Interviewing

• Confirm and gauge the understanding of workers

• Top Management Commitment
• Employees awareness
• Involvement and participation
• Subsequent to an observation/ document review
for clarification

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 Effective Interviewing Tips
• Put interviewee at ease
• What evidence will be sought & why
• Open ended questions
• Rephrasing the question
• Create a friendly environment.
• Use of closed ended questions quite wisely
• Do not jump to the conclusions
• Listen carefully and with patience.
• Remain neutral
• Ask relevant question
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 Interview Considerations
• Fearful (Organizational issues)
• Over enthusiastic
• Language barrier
• Social and cultural issues
• Psychological issues
• Distractions/ interruptions

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 Exercise 11
You have recently carried out the mock onsite audit for
documented information. There were some non-conformities
and also some observation which needed clarification from
auditee. Prepare a questionnaire to satisfy yourself as an
auditor for making decision for non-conformity or otherwise.
Tutor will be interviewed by each group
• Type: Group (Max 4 persons each group)
• Ref Doc: Relevant Documented Information, ISO 45001:2018
Standard
• Purpose: To nurture and measure skills to ensure the students
can prepare effective audit questions and can carry out effective
interviews
• Time : 30 Min for written response & 60 mins for interviews and
15 mins for discussion 4
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 Observations
• Very important part of evidence collection
• Auditor judgment is very crucial
• How processes work
• Compliance with the procedures
• Attitude of workers, managers and top
management towards quality
• Overall health and safety culture in the organization
• Resources available

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 Exercise 12
You have observed some scenarios/ actions written in
Doc 1B (pg 223). Please assess the situation and identify
objective evidence to ensure if it is a non-conformity or
otherwise. Please mention relevant ISO 45001:2018
Clause/ PMS OH&S MS Doc Ref (As applicable)
• Type: Individual
• Ref Doc: Doc 1B, ISO 45001:2018 standard
• Purpose: To nurture and measure skills to ensure the
students can use observation as an important tool for
collecting objective evidences
• Time : 30 Min for written response & 15 mins for
discussion
6
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 Audit Trail
• Not an NC itself
• Alarming situation
• Further investigation needed
• Extent of further investigation

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 Exercise 13
Please analyze the situations given in Doc 2B (Pg
225 of book) to ensure if there is a non-conformity
or otherwise. Please follow audit trails to confirm
• Type: Individual
• Ref Doc: Doc 2B, ISO 45001:2018 Standard
• Purpose: To nurture and measure skills to ensure
students can effectively follow audit trails
• Time : 45 Min for written response & 15 mins for
discussion

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 Communication During the audit
Between Lead Auditor and Auditee
• To apprise auditee about the audit progress
• For seeking evidences
• To ensure there is no surprise for auditee in
closing meetings
• Any concerns of audit team
• Any amendments required in audit plan

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 Communication During the audit
Between Lead Auditor and team
• To ensure audit progresses as planned
• To ensure quality of work for team
• To seek guidance from Lead Auditor
• Any concerns of audit team

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 Quiz 8
While interview, a person told that there has
been no PPE provided before the audit day. After
some time, the interviewee along with his
managers comes to you. The interviewee explains
that there was a confusion in understanding the
question and the subject PPE’s have been
available for use. As an auditor, what will be your
response and further course of action

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Post Audit activities

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 Audit Findings
Degree to which the organization’s management
system conforms to the criteria:-
• The compliance with documented OH&S MS
• Non Compliance
– Non-conformity
• Major Non-conformity
• Minor Non-conformity
– Observations/ Improvement Opportunities

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 Non- Conformity
Non-fulfillment of a specified
requirement of the criteria/
documented OH&S MS

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Grading Non-Conformities

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 Major Non- Conformity
A major non conformity is when
- There is a absence of a required procedure or total
ineffectiveness in implementation of a procedure
- Ineffectiveness of a key aspect of Quality
Management system
- A number of non conformities against the same
procedure
- Significant affect on the OH&S MS
- Credibility of OH&S MS is under question
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 Minor Non- Conformity
A minor non conformity is when
- There is a single isolated lapse in the
implementation of OH&S MS
- There is no significant affect on the OH&S MS

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 Observation/ Improvement Opportunity
An observation/ IO is raised by the auditor once
- There is a situation with potential non conformity
and requires clarification from the auditee to
ensure the effectiveness of OH&S MS
- Observations/ IO’s are although not a binding on
Auditee to comply but they really add value in
OH&S MS

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 Non-Conformity Statement Features
- Self explanatory
- Extent and type of corrective actions required
- Should elicit response
- Should be based on evidence and facts
- Should be numbered, dated and signed by the
auditee
- Significant
- Should not be a suggesting itself in statement
- Should not point the name of the persons

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 Exercise 14
• Please write non-conformity statements for the
scenarios mentioned in Doc 3B (Pg 226 of the
book) and grade them into Major/ Minor as
applicable
• Type: Individual
• Ref Doc: ISO 45001:2018 standard, Doc 3B
• Purpose: To nurture and measure skills to ensure
the students can grade non conformities
• Time : 45 Min for preparation & 15 mins for
discussion
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Audit Report

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 Audit Report Preparation
• As required in the agreed audit programme
• Non- Conformities have been graded
• Audit team agreement on outcome
• The degree of conformance of OH&S MS
• The effectiveness of the OH&S MS
• Highlighting good practices and procedures
• Capability of the management review process
• Overall insight of OH&S MS of the organization

Cont…
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 Audit Report Preparation
• Audit team and auditee’s Reference
• The dates and locations of the audit
• Any unresolved diverging opinions
• Agreed follow-up action plans
• Statement of the confidential nature of the contents
• Distribution list as agreed

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 Audit Report Distribution
• Issued within agreed time
• If delayed, reasons must be mentioned
• dated, reviewed and approved, as appropriate
• Distributed as per audit plan

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