Work Book Questions ISO - 45001

Exercise 1: Flash A card – Terms & Definitions
The Delegates are provided with the cards at random where definitions of the terms are written.
The Tutor holds the Cards carrying the Terms written.
The Tutor has to show the card of any term at random and the delegate having the card of
correct definition matching the Term of the card flashed by the Tutor, has to flash his /her
card thereby the correct definition is matched. Once the Correct matching card is located, The
Tutor proceeds to show the next card carrying another Term and thus the exercise goes
further.
TVE CERT Issue Date: JAN 2018

Exercise 2- Auditing Perspective – Objective Evidences
As an auditor auditing an organizations against ISO 45001:2018 standard, what objective

evidences would you look in for to demonstrate conformance to the standard requirements
given below:
a) 4.3 – Determining the Scope of the OH&S Management System
b) 5.2 – OH&S Policy
c) 6.1.2.Hazard Identification and assessment of risks and opportunities
d) 6.2 – OH&S objectives and planning to achieve them
e) 7.2 - Competence
f) 7.3 - Awareness
g) 8.1 – Operational Planning and control
h) 9.2.2 – Internal audit programme
i) 9.3 – Management review
j) 10.2 – Incident, Non conformity and corrective action
k) 6.1.3 – Determination of Legal and other Requirements
l) 7.5.3 – Control of Documented Information

Exercise 3
Audit Checklist
Now your next task is to audit the Context of the Organization prepare a checklist against the
clause requirement.
Checklist format attached to write down the answers

Exercise 4
1. Verify if the given scope and the justification meets the standard requirements 4.3
Scope of the Occupational Health & Safety management system
The FAB KING determines the boundaries and applicability of the ISO 45001 to establish
its scope.
“Design, Manufacture, Supply and Servicing of Electrical Panel Boards”
W hen determining this scope, the FAB KING considers:
 the external and internal issues referred to in 4.1;
 take into account the requirements referred to in 4.2;
 take into account the planned or performed work related activities.
The ISO 45001 OH&S management system shall include the activities, products and
services within the FAB KING‟s control or inf luence that can impact the FAB KING‟s OH&S
performance.
The scope of the FAB KING‟s ISO 45001 available and be maintained as documented
information & be available to interested parties.
The organization units, functions and physical boundaries are mentioned in the organization
profile.

FAB KING Company Profile – FAB KING LIMITED Page No: 1 of 1
FAB King Private Limited is one of the leading company engaged in the field of Manufacturing,
HT/LT panels, HT/LT Bus Ducts, Cable Trays, Control Panels, C&R Panels, APFC Panels etc.
Established in the year 1994 and Situated 10KM from the Chennai City, 7KM from M/s. SRM
Hotels Pvt. Ltd., Chennai and 1km meters from Chennai - Trichy Highway (NH) and having the
nearby Land Mark of Ford Motors. Having ISO 45001: 2018. Having „Super “A” Grade Electrical
Contractor‟s License with necessary facilities to carry out all type of Electrical packages with
compliance to Indian Standards.
Facilities
FAB KING has a multistoried building with a total build up area of 25000 sq. ft We have all the
latest facilities for fabrication and production of all kinds of Electrical panels, Bus ducts and Cable
Trays.
we have a fully-fledged Manufacturing facility with all necessary equipments that includes CNC
Turret Punch, CNC Shearing, Shearing Machine, Press Brake, Power Press, Busbar
Bending/Punching Machine, Inverter based/MIG Welding Machines and Painting Equipments to
ensure the quality of the Panel Boards.
Note: Turret punches are CNC-controlled, with automatic positioning of the metal sheet beneath
the tool and programmed selection of particular tools. A CAM process first converts the CAD
design for the finished item into the number of individual punch operations needed, depending on
the tools available in the turret.
Gas metal arc welding (GMAW), sometimes referred to by its subtypes metal inert gas (MIG)
welding or metal active gas (MAG) welding, is a welding process in which an electric arc forms
between a consumable wire electrode and the workpiece metal(s), which heats the workpiece
metal(s), causing them to melt, and join
Prepared By Reviewed By Approved By Rev Date: 01.02.2018

Rev No.: 00

Exercise 5
Health & Safety Team Chart
a.In groups draw an organization chart of Health & Safety Team structure and the
relationships between them. W rite down the roles of Team Leader – ISO 45001 – Occupational
Health & Safety.
b. From the Health & Safety Team Chart, As an Auditor prepare an audit trail having Questions
Common to all positions of the Health & Safety Team Chart with their relevant Clauses.

Exercise 6
Health & Safety Policy Review.
You are given an ISO 45001 Health & Safety policy. Carefully read the policy and write if the
policy meets the criteria as required by the clause 5.2 – OH&S policy requirement of the
standard. Also write the conformances criteria & the non-conformances criteria if any you
observe, against the clause requirement.
GENERAL POLICY STATEMENT – KING LIMITED
Our policy is to provide and maintain safe and healthy working conditions, equipment and
systems of work for all employees. W e also accept our responsibility for the health and
safety of other people who may be affected by our activities.
Therefore the company accepts the responsibility:
i) To provide and maintain safe and healthy working conditions on their premises and
sites of clients, taking account of relevant statutory requirements.
ii) To provide such training and instruction as may be relevant to their particular
operations to assist employees to perform their work safely and efficiently.
iii) To make available such safety devices and protective equipment as may be
appropriate and to secure the supervision of their use.
iv) To maintain a continuing interest in health and safety matters applicable to the
activities in which they are involved and for management to set an example in safe
behaviour.
v) The company will actively carry out risk assessments of all aspects of the
business.
vi) To ensure that all employees are aware of their responsibilities with regards to
environmental matters.
T. KING
Managing Director Ma r c h 2018

Exercise 7
Risk Assessment
In a manufacturing plant of a global automotive company with headquarters in Mumbai, a large

number of engineering activities are carried out in a wide range of areas. These activities include
design, production of parts, assembly, testing, and quality assurance.
Many of the manufacturing processes in the plant are performed using automated
technologies and equipment. People also perform some of the manufacturing tasks and the plant
employs over 300 workers. The decision on whether people or machines will be used for a
particular task is dependent on many factors, including costs, time, quality and worker health and
safety.
The plant considered here produces a many parts for vehicles and assembles them. Among the
parts produced are engine materials and parts, pumps, fans, some exterior parts, and electronics
components. The plant normally operates three shifts per day and has production lines including
machining equipment, conveyers and overhead cranes, punch presses, and paint-spray booths.
The plant utilizes electricity and natural gas extensively.
A number of workers at the plant have over the last six months been subject to several different
health problems. The following information has been received by the head engineer at the plant.
a) In an assembly area that was installed recently, workers have to bend to the ground
throughout the day to attach several small parts onto a large and heavy vehicle
component. Some workers have begun to develop lower back pain, likely due to the
repetitive bending. The problem has become so severe for one of the workers that he has
been told by his doctor to stay off work for two weeks so his back can recover. The
manufacturing engineers who designed the assembly operation had wanted to use an
automated system, but that option was deemed not to be economic. So they used a
manual operation, but did not take into account industrial ergonomics, as they had no
expertise in that discipline.
b) An increased incidence of respiratory illnesses has been reported over the last
month by workers operating near the paint-spray booths. Many of the substances used in
the booths (paints, solvents, etc.) are known to be causes of the observed respiratory
illnesses. But the workers are not supposed to come into contact with any of the
substances because the paint-spray booths are designed to ensure that all materials
exit the plant through a high- capacity ventilation system and that no materials can leak
back into the plant. No test had been carried out on the ventilation system, or on the air
quality around the paint- spray booths, so it is uncertain whether or not there have been
any leaks into the plant from the paint-spray booths.
c) In an area of the plant where metal cutting occurs and workers use protective eyewear,
workers have reported minor eye injuries. The area in question is one where it is
common knowledge that the workers do not routinely use the protective eyewear. It is
often observed to be hanging on nearby hooks or to be loosely hanging around the
necks of workers. W orkers complain that they find the protective eyewear uncomfortable
and do not think it is needed or important. The plant manager knows of this behaviour but
overlooks it, since enforcing the use of the protective eyewear seems may make the
workers unhappy and, consequently, less productive. That, he feels, could render the plant
non-competitive.
Questions:
a) What are the unsafe conditions in the plant?
b) Which of the unsafe conditions identified in part b are (1) of a technical nature, or (2)
related to human behaviour or management?
c) Identify the potential hazards and arrive at the risk assessment
using the the below tables & the risk matrix
d) Classify them as High , Medium and Low risk and suggest the control measures
ie., the action to be taken.
LIKELIHOOD (L) EXAMPLE RATING

Most likely The most likely result of the hazard / event being 5
Possible Has a good chance of occurring and is not unusual 4
Conceivable Might be occur at sometime in future 3
Remote Has not been known to occur after many years 2
Inconceivable Is practically impossible and has never occurred 1
Table A
Severity can be divided into five categories. Severity are based upon an increasing level
of severity to an individual‟s health, the environment, or to property. Table B indicates
severity by using the following table:
SEVERITY (S) EX A MP LE RATING

Catastrophic Numerous fatalities, irrecoverable property damage 5
and productivity
Fatal Approximately one single fatality major property damage 4
if hazard is realized
Serious Non-fatal injury, permanent disability 3
Minor Disabling but not permanent injury 2
Negligible Minor abrasions, bruises, cuts, first aid type injury 1

Table B
An example of risk matrix (Table C) is shown below:
Severity
Likelihood (L) 1 2 3 4 5
5
4
3
2
1

Risk Assessment Report Form
Name of Company:
Date of Assessment: Name of Assessor: Date of review:
Persons Initial Risk Action by Action by Done

Hazards Risks Existing Controls Additional Con
affected Level whom? when?

Exercise 8
Objective & Planning to achieve objectives
Work in groups. Select any industry at random that may require ISO 45001 OH&S standard
implementation & audit.
1. Arrive at any 2 objective for the industry.

2. Also write down the Planning to achieve objectives for each objective. Ensure your
planning to achieve objectives follows the SMART criteria.
1. Objective:
Planning to achieve objectives:
2. Objective:
Planning to achieve objectives:

Exercise 9
OH&S Legal Obligations
You are going to Audit an Organisation which has implemented OHSMS – ISO 45001. The
OH&S Manager provides you the Procedure for identification of legal requirements and other
requirements (KSP – 6.1.3) & Procedure for evaluation of compliance (KSP – 9.1.2)
Now ensure if all the requirements of the Clauses 6.1.3 & 9.1.2 are met down. Also what
response would you look in for from the OH &S Manager regarding their Understanding on the
types of Processes the Organsition may adopt to identify and Evaluate the Legal Requirements
and How in the process this is interpreted, deployed / implemented and kept uptodate.

Exercise 10
Audit Checklist
Prepare check list to audit the Human Resource Department of the Organsiation KING
LIMITED?
Note: Consider roles, responsibilities, accountabilities and authorities ( 5.3 ), Participation
and Consultation ( 5.4 ), Resources (7.1), Competence (7.2), Awareness (7.3) and
Communication (7.4)

Exercise11 –
Noise
Now as an Lead Auditor you are to analyze the following situations and begin an audit rail to
test the OH&S management system. What probable Questions you may shoot to the auditee
with relevant clause requirements, in which you may include the Hazards in the situation,
The relevant risk assessment, Control measures & the Associated Legislative Requirements.
Problem – 1.
An automatic machine was used to perforate steel sheets. The noise produced was
continuous with impact intervals at less than 1 second. The noise level was in the
range of 98 to 105dBA.
Outlet chute of machine

Inlet of perforation machine

Problem – 2.
Noise was generated from the testing of engines and machines. The noise level measured at 1 metre
away from engine under testing was 96 dBA.
Diesel Engine

Exercise 12 – Slip, Trip & Falls
As an Auditor, in the above photograph what issues regarding slip, trip and fall
hazards you may observe. Prepare an audit trail linking to the relevant clauses of
Hazard Identification, Risk assessment, Legal requirements, Risk Mitigation & the
Work force Requirement.

Exercise 13
Audit Checklist- Operation
Now your next task is to audit the “KING LIMITED”. Prepare a checklist against the clause
requirement of Operation (8).

Exercise 14
Roles & Responsibilities of Auditors, Lead Auditors & Auditee
You have studied in the course material the various roles of the Audit team of the Auditee.
Now in groups identify the roles & responsibilities of the Auditor, Lead Auditor & Auditee.
Roles & Responsibilities
Auditor
Lead Auditor
Auditee

Exercise 15
Audit Plan
The organization KING LIMTED given, you are going to carry out the stage II audit.
Now prepare an Audit Plan appropriate to the organization.
Note: Assume the organization is having a staff strength of 100, out of which 15 are admin
staff and the 85 are the technical staff engaged in various activities of the construction work:
Use the IAF Guideline, to arrive at the mandays for the stage II Audit & Write and Audit Plan.
Annexure: IAF guideline on Mandays Calculation
TABLE A-1 AUDIT DURATION M/D Table : ISO 45001

Effective
Number of Initial Certification Annual
employees Surveillance Recertification=
visits= 2/3 of initial
Document Stage 1 + 1/3 of initial certification
review + Stage 2 Stage 2 certification
Stage 1
1-5 0.5 1 1.5 1 1
6-10 1 1 2 1 1.5
11-15 1 1.5 2.5 1 1.5
16-25 1 2 3 1 2
26-45 1 3 4 1.5 2.5
46-65 2 3 5 2 3
66-85 2 4 6 2 4
86-125 2 5 7 2.5 5
126-175 2 6 8 3 5
176-275 3 6 9 3 6
276-425 3 7 10 3.5 6.5
426-625 3 8 11 4 7
626-875 3 9 12 4 8
876-1175 4 9 13 4.5 9
1176-1550 4 10 14 5 9
1551-2025 4 11 15 5 10
2026-2675 4 12 16 5.5 11
2676-3450 4 13 17 6 11
3451-4350 4 14 18 6 12
4351-5450 4 15 19 6.5 13
5451-6800 4 16 20 7 13
Follows
Note: The numbers of employees in Table A-1 should be seen as a continuum rather than
a stepped change

Audit Plan
Organization Name Ref. No.
Audit Criteria /
Standard / Reference
documents
Audit Objective (s)
Stage -1 Stage -2 Recertification Surveillance [No. ]
a
Head Office
Site(s)
Scope of
Certification
Exclusions IAF /
(if any) NACE
Mobile No.
Contact Person
Audit Date(s) Total Man days
Role Name ARN1 Remarks
Team Leader
Audit Team
Auditor(s)
Technical Area /
Sector Expert
Remarks
Sign:
Date:

Stage 1
√ Stage 2
Audit Plan Surveillance [ ]
(Schedule) Recertification
Organization Ref. No.
Location Standard
Assessment
Date Time Areas
[Auditor /
[Auditor / Member] [/ TE]
Lead Auditor]
o Audit Schedule for stage 2 should be prepared during stage 1 audit and may be
changed, if required, during the opening meeting of stage 2.
o Audit schedule should be prepared for each site separately.
o Each man-day is equivalent to 8 working hours excluding lunch and travel

Exercise 16
Audit Checklist- Emergency Preparedness
Now your next task is to audit the Procedure of Emergency Preparedness (as per standard
requirements) . Prepare a checklist against their respective clause requirements.

AUDIT CHECK LIST Page of
Checklist process: Date of

P IS
e Oa4a50i 01 ACTIVITY
REQUIREMENT/QUESTION COMMENTS / REMARKS
Clause COMPLIANCE Y/N

Exercise 17
Mock Audit - Opening Meeting
Role Play
Prepare a Role Play of an Opening Meeting as a part of the on-site Audit
Activity. Following are the points to be covered in your Role Play.
Opening Meeting Agenda Points
Attendees of the meeting
Presenting the Audit Plan (Agenda assignments meeting
Times) Audit Methods
Control over the meeting by the Lead Auditor
Time Management
Handling of Questions
Other relevant points if any
Note to Tutor:
 Trainers should facilitate the Role Plays with one of the delegate of the team playing
the role of Lead Auditor to carry out the Opening Meeting.
 The trainer should play the role of the Auditee, when carrying out audit role
plays.
 Other Delegates should ideally only be in the role of observer.
 All the delegates should participate in the role play as Lead Auditor.
 Tutor should raise Typical issues for students that may be consider during the
opening meeting (Refer Tutor Notes for Typical issues)
 The tutor to provide the below Checklist of the Opening / Closing

Meeting to students to carry out the role play covering all the Agenda
on the Opening Meeting

Opening/Closing meeting Checklist
Organization : Ref. No. :
Lead Auditor : Date :
Opening Meeting Closing Meeting

COVERED? COVERED?
TOPICS REQUIRED TO BE ADDRESSED TOPICS REQUIRED TO BE ADDRESSED
(YES OR NO) (YES OR NO)
Introduction of the participants with role
Thank for Selecting TVE and Hospitality
Confirmation of language to be used
Verify No Conflict of Interest

Closing Meeting Attendance Sheet
-Confidentiality and Conflict of
Interest Statements
Opening Meeting Attendance Sheet

Summarize Assessment
Verify Audit Objectives, Scope & Criteria - Positive Aspects and Concerns;
- Sample Quality System;
- Confidentiality;
Audit Process Reviewed - Non-Conformance Report and
Responses;
- Sampling and Objective Evidence - Classification of Findings;
- Daily Meeting - Customer’s Questions of Findings
- Definitions of Findings
- Recommendation Definitions
- Closing Meeting Certification Assessment Report
Appeal Process
Recommendation to Certify:
Guide’s Name/Position:
YES NO or HOLD

If YES
Review Assessment Schedule
- Final Verification of Scope
- Working Hours - What Happens If Changes Are Made
- Lunch Arrangement By Customer To Quality System
- Closing Meeting - What Happens If Changes Are Made
- Any Change? : If Yes, Note on Copy By TVE To Certification System
of the Assessment Schedule and
- Confirm Non-Conformance Actions
attach to this sheet.
- Surveillance Assessment
If NO or HOLD
Confirm Official Communication Links
- Verification Assessment, if applicable
Confirm Working and Meeting Room
Provisions Corrective Action of NCR
Confirmation of work safety, emergency - Due date of Corrective Action

and security procedures for audit team - Procedure of Correction of NCR
Conditions under which the audit may be Complaints and Assessment Activity
terminated Survey
Details on ISO 9001:2015 / ISO 14001:2015 Details on ISO 9001:2015 / ISO 14001:2015
transition requirements (as applicable) transition requirements (as applicable)
Appeal Process
Answer Any Question Answer Any Question
General Comment: General Comment:

Exercise 18 - Mock Audit – Stage 1 Audit – Role Play
Now as an Auditor you are required to conduct an on-site Audit- Stage 1. This stage 1 audit should also
include the Auditing of Top Management Commitment.
Use your ability to implement the Audit plan. Gather objective evidence through effective interviewing
observations sampling & Note taking
Demonstrate your ability / Degree of Competence to:

 the ability to manage meetings effectively
 ability to implement the audit plan, use work documents and to follow
audit trails
 ability to build rapport with the auditee during the audit
 ability to manage audit interviews effectively
 ability to collect and verify appropriate audit evidence
Note to Tutor:
 Trainers should facilitate the Role Plays with one of the delegate of the team playing the
role of Lead Auditor to carry out the Mock Audit – stage 1 Role play.
 The trainer should play the role of the Auditee, when carrying out audit role plays.
Note 1: Following Documents / Record provided to use to do this Role Play -
A. List of procedures
1. Procedure for identification of hazards, evaluation of risks and determination of control measures
(KSP – 6.1)
2. Procedure for identification of legal requirements and other requirements (KSP – 6.1.3)
3. Procedure for consultation, participation and
Communication (KSP - 5.4 and 7.4)
4. Procedure for emergency preparedness and response (KSP – 8.2)
5. Procedure for performance measurement and monitoring (KSP – 9.1)
6. Procedure for evaluation of compliance (KSP – 9.1.2)
7. Procedure for handling incident investigation, nonconformities and corrective action (KSP – 10.2)
8. Procedure for Management Review (KSP-9.3)
9. Procedure for Internal Audit (KSP-9.2)
B. List of documents and records
1. Management Review Agenda and Minutes (KSF-021)

2. Internal Audit Report (KSF-020)
C. Use the output from the following Exercises :
1. Exercise 4 – Scope
2. Exercise 5 - Health and safety team chart
3. Exercise 6 – Health and safety policy review
4. Exercise 15 – Audit Plan
Note 2: You are provided with the Templates Document Review Report to write down
your findings. Write down your observations/remarks in the given audit form.

DOCUMENT REVIEW REPORT OHSMS
Compliance
Requirements 45001:2018 Observations/ remarks
Yes No
4.1 Understanding the organization and its context
4.2 Understanding the needs and expectations of

workers and other interested parties
4.3 Determining the scope of the OH&S

management system
4.4 OH&S management system
5.1 Leadership and commitment
5.2 OH&S policy
5.3 Organizational roles, responsibilities and
authorities
5.4 Consultation and participation of workers
6.1 Actions to address risks and opportunities
6.1.1 General
6.1.2 Hazard identification and assessment of risks

and opportunities
6.1.3 Determination of legal requirements and other
requirements
6.1.4 Planning action
6.2 OH&S objectives and planning to achieve them

6.2.1 OH&S objectives
6.2.2 Planning to achieve OH&S objectives
7.1 Resources
7.2 Competence
7.3 Awareness
7.4 Communication
7.4.1 General
7.4.2 Internal communication
7.4.3 External Communication
7.5 Documented Information
7.5.1 General

DOCUMENT REVIEW REPORT OHSMS
Compliance
Requirements 18001:2007 Observations/ remarks
Yes No
7.5.2 Creating and Updating
7.5.3 Control of documented information
8.1 Operational planning and control
8.1.1 General
8.1.2 Eliminating hazards and reducing OH&S risks
8.1.3 Management of change
8.1.4 Procurement
8.2 Emergency preparedness and response
9.1 Monitoring, Measurement, analysis and

performance evaluation
9.1.1 General
9.1.2 Evaluation of Compliance

9.2 Internal audit
9.2.1 General
9.2.2 Internal audit programme
9.3 Management review

10 Improvement
10.1 General
10.2 Incident, non conformity and corrective action
10.3 Continual improvement

Working Paper
Auditor Name: Date:

ISO
S. Comments /
45001 Audit Notes
No Remarks
Clause

Exercise 19
Evaluation Findings - Major/ Minor / OFI ( 6 copies of the Non Conformity report Format
Attached to be issued to the Delegates)
Now as an Lead Auditor you are to classify the audit findings. you are given different non-
conformance situations. Work in groups to evaluate the audit findings and clarify them as Major
Non conformance, Minor Non conformance & Opportunities for Improvement (OFI). Substantiate
your decisions with suitable references to the ISO 45001 OH&S Clauses.
Incident 1
At storage area the auditor observes, Oil containers are laying around on the site. It‟s an
open area. Filled Gas cylinders are stored in this area.
Incident 2:
In the machine area the monthly fire mock drill records were incomplete. As per procedure fire
mock drills had to be performed on a monthly basis. Auditor asked the staff, he replied this area
is a continuous process area. So, it is not possible to do the mock drill in this area.
Incident 3:
Our sample of documentation indicated that DMI‟s document control procedures have
generally been implemented as required by the ISO 45001 , however:
 The targets and action plan for the Objectives have not been documented as required; ·
 The progress toward achievement of the action plan tasks had not been documented according
to the defined progress reporting timeframe for any of the six objectives, despite evidence that
significant progress has been made, and;
 The action plan task completion timeframe has not been updated to reflect required task
completion adjustments for Objectives 2005-1, 2, 4, 5 or 6.
Incident 4
At Machine shop area the auditor noticed about furnace work being carried out and asked the
supervisor for the hot work permit issued the previous day. The supervisor showed the entire
folder. He didn‟t find out the previous day work permit. Again auditor asked last week Work
permit. It was also missing.

ISO 45001 AUDIT - NONCONFORMITY REPORT
Name of the Company: Non Conformity No.:
Area Under Review: . ISO 45001:2018 Clause No.:
Category : Major / Minor √ (tick ) Most Appropriate
Description of the nonconformity (Max 3 marks):
Relevant evidence (Max 3 Marks):
ISO 45001:2018 clause and requirement (Max 1 Mark):
Auditor :
or

If you don‟t think that there is sufficient evidence of non conformity, state the reasons for your
decision and state also what further actions the auditor should take.

Exercise 20
Evaluation Findings - Major/ Minor / OFI ( 6 copies of the Non Conformity report Format
Attached to be issued to the Delegates)
Now as an Lead Auditor you are to classify the audit findings. you are given different non-
conformance situations. W ork in groups to evaluate the audit findings and clarify them as
Major Non conformance, Minor Non conformance & Opportunities for Improvement (OFI).
Substantiate your decisions with suitable references to the ISO 45001 OH&S Clauses.
Incident 5
During the Audit, Auditor verified the storage tank inspection frequency. It showed annually,
but the last inspection was done 3 years before.
Incident 6
The management review conducted on August 12, 2014 covered most of the requirements of
the standard, however communications from interested parties, including complaints and
changing circumstances including developments in legal and other requirements related to its
OH&S risks were not covered in the management review nor were they addressed in the
minutes of the “Health and Safety Sub-committee Meeting Minutes”
Incident 7
The Operations Monitoring Form does not include specific prompts for assessing a number
of OH&S-related issues (e.g., conformance with Operational control procedures, hazardous
material handlings, noise risk assessment, etc.). Although these monitoring issues are
included in the Hazardous Materials & Emergency Response Checklist, document and
interview evidence indicated that these were designed for camps and are not always being
used to assess conformance on active operations. Consequently, there is a risk that the
operation has not adopted and implemented a consistent approach for capturing these
issues in its monitoring of active operations.
Incident 8
The ABC Consulting Ltd. Audit team was made up of Mr.x, lead auditor (of ABC and OH&S
LA) and Mr.Y, (external auditor/consultant). This ABC Company‟s audit report indicated that
the audit process was objective and impartial. The audit team made use of an external expert‟s
advice regarding certain risk assessment of work at height requirements and Incident
investigation issues; however the audit findings/observations of Mr.Y is not documented in the
audit report. There is an opportunity to improve the audit report by ensuring that the
credentials of all parties used in determining the audit opinion are documented, particularly as
it relates to the evaluation of compliance with laws and regulations.

ISO 45001 AUDIT - NONCONFORMITY REPORT
Name of the Company: Non Conformity No.:
Area Under Review: . ISO 45001:2018 Clause No.:
Category : Major / Minor √ (tick ) Most Appropriate
Description of the nonconformity (Max 3 marks):
Relevant evidence (Max 3 Marks):
ISO 45001:2018 clause and requirement (Max 1 Mark):
Auditor :

or
If you don‟t think that there is sufficient evidence of non conformity, state the reasons for your
decision and state also what further actions the auditor should take.

Exercise 21
Onsite Audit - Audit Findings (Mock Audit) – Role Play
Now as an Auditor you are required to conduct an on-site Audit. Use your ability to implement
the Audit plan. Gather objective evidence through effective interviewing observations sampling
& Note taking.
Demonstrate your ability / Degree of Competence to:

 the ability to manage meetings effectively
 ability to implement the audit plan, use work documents and to
follow audit trails
 ability to build rapport with the auditee during the audit
 ability to manage audit interviews effectively
 ability to collect and verify appropriate audit evidence
Note to Tutor:
 Trainers should facilitate the Role Plays with one of the delegate of the team playing
the role of Lead Auditor to carry out the Mock Audit –Audit Finding Role Play
 The trainer should play the role of the Auditee, when carrying out audit
role plays.
 Each Delegate should participate as Lead Auditor to perform onsite audit - Role
Play atleast on 2 Standard Clause Requirements and submit the Audit Findings
 Thereby Tutor to ensure maximum clauses are covered by delegates in the Role
Play
Note 1: Following Documents / Record provided to use to do this Role Play -
A. List of procedures
1. Procedure for identification of hazards, evaluation of risks and determination of control measures
(KSP – 6.1)
2. Procedure for identification of legal requirements and other requirements (KSP – 6.1.3)
3. Procedure for consultation, participation and
Communication (KSP - 5.4 and 7.4)
4. Procedure for emergency preparedness and response (KSP – 8.2)
5. Procedure for performance measurement and monitoring (KSP – 9.1)
6. Procedure for evaluation of compliance (KSP – 9.1.2)
7. Procedure for handling incident investigation, nonconformities and corrective action (KSP – 10.2)
8. Procedure for Management Review (KSP-9.3)
9. Procedure for Internal Audit (KSP-9.2)

B. List of documents and records
1. Register of regulations - KL/HSE/005
2. Operational control procedure – KL/HSE/003
3. Identification of hazard and risk assessment –working at height – (KSF – 002A)
4. Identification of hazard and risk assessment –concreting – (KSF – 002A)
5. List of significant major risks- (KSF- 003)

6. Contact numbers for emergencies (KSF- 007)
7. Location of first aid boxes – (KSF-008)

8. Location of fire extinguishers – (KSF-009)
9. Accident / dangerous occurrence report – (KSF-012)
10. Accident investigation report – (KSF-013)
11. Near miss report – (KSF-014)
12. Report of occupational disease – (KSF-015)
13. Monthly report on safety activities - (KSF-016)
14. HSE performance measurement and monitoring – (KSF-017)
15. Management Review Agenda and Minutes – (KSF-021)
16. Internal Audit Report (KSF-020)
C. Use the following Exercises and their answers

1. Exercise 3 – Audit checklist – Context of the organization
2. Exercise 7 – Risk Assessment
3. Exercise 8 – Objective & Planning to achieve objectives
4. Exercise 9 – OH&S Legal obligation
5. Exercise 10 – Audit checklist - HR
6. Exercise 11 – Noise
7. Exercise 12 – Slip, Trip & Falls
8. Exercise 13 – Audit checklist – Operation
9. Exercise 14 – Audit checklist – Emergency Preparedness
Note:
Working Paper attached is to be provided to delegates to note down their findings.

Working Paper
Auditor Name: Date:

ISO
S. Comments /
45001 Audit Notes
No Remarks
Clause

Exercise 22
Mock Audit- Closing Meeting
Prepare a Role Play of a Closing Meeting based on the Document Review and on-site
Audit conducted. Following are the points to be covered in your Role Play.
 Closing Meeting Agenda Points

 Attendees of the meeting
 Control over the meeting by the Lead Auditor
 Time Management
 Presenting the Audit Findings and recommendation
 Handling of Questions
 Other relevant points if any
Note to Tutor:
 Trainers should facilitate the Role Plays with one of the delegate of the team playing the
role of Lead Auditor to carry out the Closing Meeting – Role Play.
 The trainer should play the role of the Auditee, when carrying out audit role
plays.
 Tutor should raise Typical issues for students that may be consider during the
closing meeting (Refer Tutor Notes for Typical issues)

Exercise 23
Audit Report Writing
As an Auditor you have done the Conformance Audit successfully and gathered objective
evidences. Also you have evaluated the Findings into Conformity & Non-Conformity –
Major/Minor/OFI. Now your task is to prepare the Audit Report including the extend of
Conformity of the Management System, Identification of Positive Audit Findings in addition to
Non-Conformity and Identification potential Risk and Opportunities of Improvement. Present
your Audit Report in the work sheet attached below.
Note: You may use the output from the previous Exercises19,20
&21

An
Audit Report
Submitted to
M/s
Address---------------------------------------------------------------------
Ref No.
Disclaimer: - The Auditing is based on a sampling process of the available information and consequently there is an element of
uncertainty which may be reflected in the Audit findings. Those relying or acting upon the Audit results and conclusions to be
aware of this uncertainty. The Audit recommendations are subject to an independent review, prior to decision.
TVE Certification Services Pvt. Ltd.

21/26B, Kamarajar Street, K.K. Nagar, Trichy-620021
Ph: 0431-2352288, Mob: 9361444418,

9360728434
Email: tvecert@gmail.com,
info@tvecert.org
Website: www.tvecert.org

Audit Report STAGE 2
Management
Representative
Exclusion
Audit Criteria
[Standard] [ISO
[ISO 9001:2015/ ISO 14001:2015/ ISO 45001:2018] 9001]
Determination of the conformity of the client‟s management system, or parts of

it,
with audit criteria;
Evaluation of the ability of the management system to ensure that the
Audit Objectives client organization meets applicable statutory, regulatory and contractual
requirements;
Evaluation of the effectiveness of the management system to ensure that the
client organization is continually meeting its specified objectives;
Identification of areas for potential improvement of the management system.
Audit Scope [confirmed] [W rite as per F-12]
Audit Site[s] [W rite as per F-12]
Date[s] of audit [Dates of Stage 2 only]
Technical Code [IAF-NACE]
Team Leader
Audit Team Auditor[s]
Technical Expert
Brief Profile of the

organization
Including main products/

services and customers
Positive features

Evaluation of Internal
Audits
[Kindly provide comments related to audit plan, internal auditors, areas covered, any
impartiality, conformities
raised, periodicity
Evaluation of
Management Review
[Kindly provide comments on the periodicity, agenda, review output,

participants
Non Conformities
[Kindly provide comments on the types of nonconformities and status]
Observations/ areas
for potential
Improvement
Overall Comment on
the compliance of
the system, to the
requirements of the
standard for meeting
organization policies
and objectives.

Conclusion and Recommendation
Based on the information and audit evidences gathered audit team concluded to:
Recommend for grant of certification
Certification will be recommended subject to acceptance of corrective actions evidence
Recommend for follow up assessment
Recommend for full assessment again
Remarks:-
I pledge that the report and records will remain confidential and will not be shared with any
other person or organization and abide with the confidentiality and no conflict of interest
agreement signed.
(Signature) Team Leader
To
Audit Manager,
TVE Certification Services Pvt. Ltd.

Attachments ✓ Audit team Allocation Plan Non Conformity Reports
✓ Audit schedule ✓ Attendance Sheet
(Kindly tick) ✓ Certification Assessment ✓ Assessment Checklist
Plan ✓ Ongoing Surveillance Plan
✓ Scope of Certification
Note: Auditors may use blank sheets for putting any
supplementary/ additional information

Exercise 24
Comment on the NC form
In the given 5 Non Conformity reports - Comment on more issues related to the NC form with
proper explanation.
Also comment on the Root cause analysis(RCA), correction and corrective actions of the given
NC situations and your understanding on the difference between correction and corrective
action.
Comments on NCR Forms
Information to be Filled in the Duly Incomplete Auditor

NCR Filled Comments
Type of Audit
Name of the organization
Ref #
Audit Date
NCR No
Category of NC
Process / Area
Standard
Clause no
NC Details
Summary of RCA
Correction Planned /
Implemented
Corrective Actions taken or
planned / implemented:
Review of RCA, corrections and
corrective actions planned /
implemented
Verification of Effectiveness of
the action taken and closure of
non-conformity

 Stage 1
 Stage 2
Non-Conformity Report
 Recertification
 Surveillance [no. ]
Organization King Ltd Ref no. xxx

Audit Date 28 th Feb 2018 NCR no. 01
Category of NC major minor Process/ Area Fabrication Shop

Standard OHSMS 45001:2018 Clause no. 6.1.2.1 ( f )
Non Conformity Details [kindly write with objective evidence]:
Hazard identification and assessment of risks /opportunities are not established for the Power saw machine
(Machine#A24)
Sign: Team Leader Sign: Client Representative

Summary of RCA ( Root Cause Analysis )
Machine#A24 is recently installed (on 20th Feb 2018) and hazard identification/risk assessment process is under
progress.Will be completed on 04th Mar 2018
Correction planned / implemented: Proposed target date

No operation will be done until the completion of hazard identification and risk [04/03/2018]
assessment .

Date of response
[01/03/2018]
Corrective Actions taken or planned / implemented: Proposed target date
[04/03/2018]
Whenever new machine is installed in future , hazard identification and risk Date of response
assessment will be done during installation-stage itself and the
process/procedure will be modified accordingly.
[01/03/2018]
Review of RCA, corrections and corrective actions planned / implemented:
Acceptable: Yes or No
If No, Comment:
Team Leader (Signature) Date : / /
Verification of Effectiveness of the action taken and closure of non-conformity [This section to be completed
in the next assessment]
Nonconformity closed: Yes No. If No, Issue a new NCR

Comment:
Verified by (Signature) Date: / /

Stage 1

Stage 2
Non-Conformity Report 
Recertification

Surveillance [no. ]

Category of NC major minor Process/ Area Fabrication Shop

Standard OHSMS 45001:2018 Clause no.
When considering its communication needs , the organization has not taken into account diversity aspects
such as language, literacy.
Work instructions including safety precautions in the Machine#A12 is not in Regional/local language.

During preventive maintenance activity , the work instruction was removed from the machine guard. The same was
not replaced after the maintenance activity.

Work Instruction will be replaced in the local/Regional language [01/03/2018]
Date of response
[01/03/2018]
When ever the preventive maintenance/ maintenance/ repair work done, work instruction will [ / / ]
be removed from that area. After the completion of the work, the work instruction will be
placed in the same area. Date of response

[ / / ]

If No, Comment:

Comment:

Category of NC major minor Process/ Area Internal Audit

Standard OHSMS 45001:2018 Clause no. 9.2
The internal audit report of King Limited is verified. It is observed that MR audits his own work.

At present the only one person-MR has the knowledge & skill in internal auditing

Training will be provided to 2 or more persons to be competent to act as internal [04/03/2018]
auditor.

Date of response
[01/03/2018]
[04/03/2018]
Company will have 2 or more persons to have the internal auditing skills. Date of response
[01/03/2018]
Acceptable: Yes or No
If No, Comment:

Comment:

 Stage 1
 Stage 2
 Recertification

Category of NC major  minor Process/ Area Purchase

Standard OHSMS 45001:2018 Clause no. 8.1.4.2
Electrical contracting group AJ Company is not in the approved contractor list.

Existing contracting company ABC left out due to their lack of working knowledge in Electrical Wiring in
Multistoried Building.

AJ Company will be reviewed for health and safety criteria. [04/03/2018]
King Limited will send the application form to AJ Company for collecting
information.

Date of response
[01/03/2018]
[04/03/2018]
Whenever new contractor selected, King Limited should get all the Date of response
information relevant to the health and safety criteria. Contracting
process/procedure will be modified accordingly.
[01/03/2018]
If No, Comment:

Comment:

 Stage 1
 Stage 2
 Recertification

Category of NC major minor Process/ Area Internal Audit

Standard OHSMS 45001:2018 Clause no. 9.2
“The follow-up action items listed in the Management Review minutes for the year 2017 and 2018 reports were not
reflected as input items in the subsequent review reports.”

By Lack of Knowledge, the follow up action items listed in the MRM not included in the subsequent review.

King Limited will make sure the follow up action item will be listed in [10/03/2018]
subsequent review reports & the relevant follow up action will be taken.

Date of response
[01/03/2018]
[10/03/2018]
In future all the agenda of Management review meeting will be clearly listed
and addressed. Date of response
[01/03/2018]
Acceptable: Yes or XNo
If No, Comment:
Conduct one Management review meeting on the agenda not covered in the earlier MRM and submit the meeting report.

Comment:

Exercise 25
ISO OHSMS Quiz:
1. Define the term „Hazard‟?
2. What is meant by proactive and reactive?
3. Explain the role of top management?
4. Define the term „risk‟?
5. Define the term „ continual improvement‟?

6. Over view of the hazard identification and risk assessment process
7. List any four physical hazards?
8. Explain the incident?
9. Write about corrective action?
10. Examples of legal and other requirements?

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Exercise 1: Flash A card – Terms & Definitions

TVE CERT Issue Date: JAN 2018

As an auditor auditing an organizations against ISO 45001:2018 standard, what objective

TVE CERT Issue Date: JAN 2018

Checklist format attached to write down the answers

TVE CERT Issue Date: JAN 2018

Scope of the Occupational Health & Safety management system

W hen determining this scope, the FAB KING considers:

 the external and internal issues referred to in 4.1;

 take into account the requirements referred to in 4.2;

 take into account the planned or performed work related activities.

TVE CERT Issue Date: JAN 2018

Prepared By Reviewed By Approved By Rev Date: 01.02.2018

TVE CERT Issue Date: JAN 2018

Health & Safety Team Chart

TVE CERT Issue Date: JAN 2018

GENERAL POLICY STATEMENT – KING LIMITED

TVE CERT Issue Date: JAN 2018

In a manufacturing plant of a global automotive company with headquarters in Mumbai, a large

LIKELIHOOD (L) EXAMPLE RATING

SEVERITY (S) EX A MP LE RATING

TVE CERT Issue Date: JAN 2018

TVE CERT Issue Date: JAN 2018

Date of Assessment: Name of Assessor: Date of review:

Persons Initial Risk Action by Action by Done

TVE CERT Issue Date: JAN 2018

Objective & Planning to achieve objectives

1. Arrive at any 2 objective for the industry.

Planning to achieve objectives:

Planning to achieve objectives:

TVE CERT Issue Date: JAN 2018

OH&S Legal Obligations

TVE CERT Issue Date: JAN 2018

TVE CERT Issue Date: JAN 2018

Outlet chute of machine

TVE CERT Issue Date: JAN 2018

TVE CERT Issue Date: JAN 2018

TVE CERT Issue Date: JAN 2018

Audit Checklist- Operation

Checklist format attached to write down the answers

TVE CERT Issue Date: JAN 2018

Roles & Responsibilities of Auditors, Lead Auditors & Auditee

Roles & Responsibilities

TVE CERT Issue Date: JAN 2018

Annexure: IAF guideline on Mandays Calculation

TABLE A-1 AUDIT DURATION M/D Table : ISO 45001

TVE CERT Issue Date: JAN 2018

Audit Date(s) Total Man days

Role Name ARN1 Remarks

TVE CERT Issue Date: JAN 2018

Organization Ref. No.

TVE CERT Issue Date: JAN 2018

Audit Checklist- Emergency Preparedness

Checklist format attached to write down the answers

TVE CERT Issue Date: JAN 2018

Checklist process: Date of

TVE CERT Issue Date: JAN 2018

 The tutor to provide the below Checklist of the Opening / Closing