3.2 Ohsms Lac Slides June 19

Session-1
ISO45001 2018
Occupational Health & Safety Management Systems
Auditor/Lead Auditor Training Course
Copyright © 2015 IRCLASS. All rights reserved.

Session-1
IRCLASS Systems and Solutions Private limited

Welcome you all
for
Occupational Health & Safety Management System
Auditor/Lead Auditor Training Course
Revision MAY-2019 Copyright © 2019 IRCLASS All rights reserved. 2

Instructions! Session-1

Lead Auditor Course Session-1
CQI-IRCA Accreditation No. 2122
Trainer: Mr. Amod Deshpande
Location: Mumbai
Dates: ZZth XXXX to ZZth YYYY

Session-1
Welcome to your CQI and IRCA Certified

ISO45001:2018 OCCUPATIONAL HEALTH AND SAFETY Management
Systems Auditor/Lead Auditor course
IRCLASS Systems and Solutions Pvt. Ltd. has been independently assessed and approved by the CQI and IRCA. This
means they have the processes and systems in place to deliver certified courses to the highest standard.
About the CQI and IRCA

The CQI is the only chartered professional body dedicated entirely to quality.
IRCA is its specialist division dedicated to management system auditors.
Take the next step in your career and become a member. Join a unique global network of nearly 20,000 quality
professionals and gain unrivalled professional recognition as an individual and in your career.
Find out more about the CQI and IRCA at www.quality.org

We hope you enjoy your course

Course Prerequisite Session-1
Recommend prior knowledge: FD127 ISO 45001:2018 Foundation (OHSMS)
Management systems
• The Plan, Do, Check, Act (PDCA) cycle
• The core elements of a management system and the interrelationship between top management responsibility,
policy, objectives, planning, implementation, measurement, review and continual improvement.
a) Occupational health and safety management

• The concepts of managing occupational health and safety through hazard identification, risk assessment and risk
control and compliance with legal requirements and other requirements.
• The relationship between occupational health and safety management and the provision of safe and healthy
workplaces, the prevention of work-related injury and ill health, and the proactive improvement of health and safety
performance.
• Common examples of relevant national and local OH&S legislation and requirements
ISO 45001
b) Knowledge of the requirements of ISO 45001 and the commonly used occupational health and safety management
terms and definitions, as given in ISO 45001, which may be gained by completing a CQI and IRCA Certified ISO
45001:2018 Foundation OHSMS training course or the equivalent.
CQI-IRCA Benefits Session-1
60,000 delegates in over 100 countries across the world take CQI and IRCA
Certified Training every year, delivered by our trusted network of Approved
Training Partners.
The right training will enhance your career prospects – and we offer some of the
best training for quality and auditing professionals in the world.
CQI-IRCA certified training courses provide you with the skills and knowledge to
support your application for CQI membership or CQI-IRCA certification.
Membership offers you infinite development opportunities and is an invaluable

way of gaining professional recognition for your expertise and commitment.
Delegates Introduction Session-1
Name
Academics
Organization
OH&S Management System Auditing Experience, if any
Your Expectations from the Course
8 8
Revision MAY-2019 Copyright © 2019 IRCLASS All rights reserved.
IRclass Session-1

About……IRCLASS Systems and Solutions Pvt Ltd Session-1
Revision MAY-2019 Copyright © 2019 IRCLASS All rights reserved 10

IRQS is a department of IRCLASS Session-1
IRQS is a Multinational Certification Body with 9 operational locations abroad and

with 16 offices in India.
IRQS is the first certification body in the entire Asia to receive direct accreditation
from RvA (RAAD VOOR ACCREDITATIE), the Dutch Accreditation Council in 1993 and
NABCB.
IRQS has certified more than 2500 Organizations till date with more than 2200
active certificate.

Our Strengths
Session-1
Established Legal Entity

Robust Quality Assurance system
Proactive Customer communication
Well established Professional Setup
Regular professional development of auditors
Value addition during audits

IRClass on Global Presence
Session-1
1.Sri Lanka 5.China

2.United Kingdom 6. U.S.A.
3.South Korea 7.Thailand
4.Singapore 8.Greece
9. UAE

Course Aim
Session-1
Provide knowledge & skills required to perform 1st, 2nd, and 3rd
party audits of OH&S Management Systems against ISO45001 2018,
in accordance with ISO 19011, ISO 17021, as applicable

Learning Objectives
Describe the purpose of:

• an OH&S ISO45001;
• of OH&S MS Standards; Have the skills to:
• the business benefits of improved • Plan;
performance of the OH&S MS. • Conduct;
• of management system audit; • Report;
• of third-party certification. • And follow up…
KNOWLEDGE SKILLS
Explain the role of an auditor to plan,

conduct, report and follow up an …an audit of ISO45001 to establish
ISO45001 audit in accordance with ISO conformity (or otherwise) with ISO45001
19011 (and ISO 17021 where 2018; ISO 19011 (and ISO17021where
appropriate). appropriate).

Course Structure
Session-1
Materials
• Tutorials
• Exercises & Role-Plays
• Daily evening work
Evaluation:
– Continuous assessment
– Exam
Continuous Assessment (70% to pass)

Two-hour written examination (70% to pass)
Criteria for Continuous Assessment
Session-1
• Participation in class and team activities

• Written assignments
• Attitude and personal attributes
• Attendance and punctuality
• Communication skills
• Feedback

Examination
Session-1
The written examination shall evaluate the students’ comprehension of the audit
process and the application of OH&S ISO45001 2018 and their ability to provide written
justification of their evaluations.
course examination questions could relate to any requirement of OH&S ISO45001 2018
and the expected prior knowledge.
the examination is split into four sections. There is a maximum of 90 marks available;
the pass mark is 70% (63 marks) and delegates must also achieve at least 50% in each of
the four sections.
break ups of marks for 4 Sections are Section one – Five questions worth two marks
each, Section two – Four questions worth Five marks each, Section three – Three
questions worth Ten marks each, Section Four- three questions worth Ten marks each
Examination
Session-1
The time allotted for taking the examination shall be two hours.
only permissible materials during Exam are one unmarked copy of the
standard and a bilingual dictionary.
Strict adherence to the time limit shall be maintained.
The trainer may allow a student with particular disability that adversely
affects the delegates capability to complete the examination in the allotted
time up to 30 minutes additional time for taking the written examination.

Examination
Session-1
Students who are unsuccessful in written Exam only, can re-appear the
examination within a 12 months period from the last day of the Exam;
however, students who fail in ‘continual assessment’ need to repeat the entire
course again

Certificates Session-1
“Certificate of Achievement”
else
“Certificate of Attendance” will be issued

Complaints/Appeals Session-1
May send in writing to IRQS

Written response within 7 working days
Right of appeal to CQI-IRCA in writing if not resolved by IRQS
Right of appeal to CQI-IRCA in writing if not resolved by IRQS

CQI-IRCA Course Certification Session-1
You are attending a course certified by the International Register of

Certificated Auditors (CQI-IRCA) Certification; a division of the Chartered
Quality Institute (CQI)
This means that your training provider has voluntarily achieved the rigorous
requirements set by CQI-IRCA to provide you with confidence that:
“Your course content covers key knowledge and skills that you will need on
your journey as a management systems auditor”

Your tutors are experienced and competent auditors and trainers, who will use a
variety of practical student-focused learning techniques to help you learn and
enjoy the course
Your achievement of the learning objectives will be fairly assessed through

monitoring and coaching and, where required by CQI-IRCA, written examination

You have access to a robust complaints process and recourse to complain to

CQI-IRCA if you are unable to resolve your complaint with the training provider
and think that the course has not met the criteria set down by CQI-IRCA

You can verify the training organisations we approve and the courses we certify
directly with CQI-IRCA at www.quality.org
At the end of this course we will provide you with some useful information on
what to do next, from becoming an CQI-IRCA Certificated Auditor to finding a
job.

Enabling Objectives Session-1
Knowledge
Learning Outcomes Session-1
Upon completion of this course, participants should be able to:

• Correlate Terminologies related to OH&S MS
• Demonstrate the processes involved with
– First, Second & Third-party Certification audits
– Managing audit programs
– Communication skills
– Auditor Personal and interpersonal skills
– Initiating an audit
– Preparing for an audit

Learning Outcomes Session-1
– Conducting audit activities

– Reporting on audit findings
– Conducting post-audit activities

Why Management System Audit is essential? Session-2
Management System Audits are an essential element of the Safety function. The
general objectives of OH&S audits are:
1. To determine conformity or non-conformity of the OH&S management

system element
2. with specified requirements, Legal and other
3. To determine the effectiveness of the implemented OH&S management
system in meeting specified OH&S objectives.
4. To provide an opportunity to improve the OH&S management system.
5. To provide managers with information.
Audits may also consider for meeting regulatory requirements.

Activity-1 : Terms & Definitions related to audit Session-3

Activity:2 First, Second & Third-party Certification audits Session-4

First Party Audit Session-4
An organization auditing its own systems, a self-assessment
Used to measure the strengths and weaknesses against requirements,

and an organizations own standards
Provide feedback to management that the OH&S MS system is both

implemented and effective, and
Gauged for continual improvement effort as well as measuring the return

on investment for sustaining that effort.

Second Party Audit Session-4
Inspections/Audits of Other Facilities

One organization auditing another with which it either has, or is going to
have, a contract or agreement for the supply of goods or services with
safe practices
Supplier audit will include the OH&S MS Management System involved in

their plants

Third Party Audit Session-4
Independent of the organization being audited

Compared to first and second party audits where auditors are either from
same orgnization or from customer/supplier, in the third party audit it is by an
independent orgnization.
Generally used to certify, register or verify
Reasons to Perform: Verify compliance to specific regulations or standards
For example : ISO45001:2018 requirements.

Third-party Accredited Certification Session-4
Third-party Accredited Certification

Third-party Accredited Certification Session-4
SEQUENCE CERTIFIED TO AGENCY

INTERNATIONAL
ACCREDITATION -----
FORUM
ACCREDITATION ISO/IEC 17011Conformity assessment -- General

BODIES requirements for accreditation bodies accrediting
conformity assessment bodies
Certification Bodies ISO/IEC 17021 Conformity assessment --

Requirements for bodies providing audit and
certification of management systems
Orgnization ISO 45001:2018 OH&S Management Systems –

Requirements

Third-Party Accredited Certification- Benefits Session-4
control costs with the help of knowledge transfer since accredited

certification bodies can be a good source of impartial advice
offer market differentiation and leadership by showing to others credible

evidence of good practice
demonstrate due diligence in the event of legal action
reduce paperwork and increase efficiency by reducing the necessity to re-

audit your business

Activity: 3 Audit Process and its Deliverables Session-5
Comparison (1st, 2nd 3rd party certification audit)
INPUTS AUDIT ACTIVITY OUTPUTS
AUDIT CRITERIA
(REQUIREMENTS)
AUDIT FINDINGS
AUDIT EVIDENCE
(OBJECTIVE) EVALUATION
Guidelines for auditing Management systems (ISO 19011:2018)

Audit Process Session-5
REMEMBER …. THE
TERMINOLOGY…………..Establish………….Document……….Establish……….Maintain
1. Does Leadership exhibits intent of OH&S MS?
2. Does Orgnization need mere certificate or really interested in the system?
3. Has leadership demonstrate it through their daily activities?
4. Is policy is in place, objective s are derived and deployed?
Establishment of OH&S MS
1. Is intent of leadership translated and what needs to be where w.r.t. OH&S MS decided?
Documentation of OH&S MS
1. Does this translated to adequate procedures, instruction, records and monitoring?
Implementation of OH&S MS
1. Is implementation meets the expectations of the requirements?
Maintenance (Effectiveness) of OH&S MS
1. Selection of audit team; concerns reporting and closure, continual improvement
Typical Audit Activities Session-5
6.2 Initiating audit
6.2.1 General
6.2.2 Establishing initial contact with the auditee
6.2.1 General 6.2.3 Determining the feasibility of the audit
6.2.2 Establishing contact with auditee

6.3.1 Performing document review in preparation for the audit
6.3.2
6.2.3 Determining feasibility of Preparing the audit plan
audit
6.3.3 Assigning work to the audit team
6.3.4 Preparing work documents
6.3 Preparing audit activities.
6.3.1 Performing review of documented information
6.3.2 Audit planning
6.3.3 Assigning work to audit team
6.3.4 Preparing documented information for audit

Cont’dplan)
Typical Audit Activities Session-5
6.4 Conducting audit activities

6.4.1 General.
6.4.2 Assigning roles and responsibilities of guides and observers
6.5.1 Preparing the audit report
6.4.3 Conducting opening meeting
6.5.2 Distributing the audit report
6.4.4 Communicating during audit
6.4.5 Audit information availability and access
6.4.6 Reviewing documented information while conducting audit
6.4.7 Collecting and verifying information.
6.4.8 Generating audit findings.
(if specified in the audit plan)
6.4.9 Determining audit conclusions.
6.4.10 Conducting closing meeting. NOTE:
6.5 Preparing and distributing audit report Sub-clause numbering
6.5.1 Preparing audit report refers to the relevant
sub-clauses of ISO19011
6.5.2 Distributing audit report International Standard.
6.6 Completing audit
6.7 Conducting audit follow-up

Activity:4
Key Difference in methodology of 1’st; 2’nd & 3’rd party Audits
Session-6
What are the key differences in the methodology of various audits?

Activity:5 Establishment of Objectives, Scopes & Criteria's Session-7

Establishment of Objectives, Scopes & Criteria's (cont’d) Session-7
Audit objectives could …

1. Recommendation for issuance of certificate.
2. Recommendation for the approval supplier.
3. Conformance to effective implementation of ISO45001 2018
requirements.
4. Verification of Customer complaint status
5. Verification of non-conformity on-site by an auditor for effective
implementation of proposed corrective action.
So objective is ultimate outcome of an Audit, which the Orgnization

aims for at the beginning of the audit.

Audit scope – extent and boundaries of an audit.
NOTE: The audit scope generally includes a description of the physical

locations, organizational units, activities and processes, as well as the
time period covered.
It advise
when audit shall be conducted (start and end date)
what/who are we going to audit
where the audit shall be done
Audit scope shall be derived from the OH&S MS

Scope
Audit criteria – set of policies, procedures or requirements.
NOTE: Audit criteria are used as a reference against which audit evidence is
compared.
It advise
what we are going to check (or audit) the conformance.
what are the requirements of the audit.
Audit criteria could be a combination of the following
Standard requirement (ISO45001 2018)
Statuary or Regulatory Requirement
Organization Process/Policies/Procedures, etc.
Customer Requirement
Resources Session-8
Audit team – Auditors, Subject Matter Experts, Translators, Legal Expert.
Technical Expert – person who provides information relates to the organization, the
process or activity to be audited, or language or culture to the audit team
A technical expert does not act as an auditor in the audit team.
Logistics : Travel between two processes/sites, availability of meeting rooms, internet

access, printing facility, Specific PPEs, Security requirements,
Auditee – Top management, Coordinator from the Orgnization, Process heads in the
organizations.
Documents :- Manuals, Procedures, Contracts, Records either hard and soft.

Resources- Competency Session-8
Personal Behaviors
Generic knowledge and skills of management system auditors
Knowledge of Management System requirements ISO45001:2018
Organization’s business environment,
Applicable legal and contractual requirements and other requirements
Discipline and sector-specific knowledge and skills

Activity:6 Roles & Responsibilities Session-8
1 2 3
Person(s) managing
Guide(s) Audit Client
the audit programme
Auditee(s) (including
Auditors Lead Auditor
management)
Person(s) managing
Observer(s) Technical experts
the audit programme

Activity:7 Audit methods Session-9

Auditor Confidentiality Session-10
To gain the privileged access to

information that is needed for the
certification body to assess conformity
to requirements for certification
adequately,
it is essential that a certification body does

not disclose any confidential information

Stage-1 Audit Process & Deliverables Session-10
Audit Plan
Ensure an adequacy
of Organization established
documentation
Ensure the relevant
procedures
to be used during audit
Understand the hazards, risks
& identify relevant legal
requirement
Identify any specific needs,
skills, Personal protective Gain an understanding
Principle of equipments Context of the organization
Stage 1 Demonstrate scope and
audit objective
Ensure Organization
readiness for an audit
Resolve any
misunderstandings
Identify organization/plant
layout and its context of
OH&S MS

Stage -2 Audit Process & Deliverables Session-10
Consider:
• Past results (if available) Organize
• Present issues/ risks work
• Management's issues documents
• Management's priorities
Establish Identify the hazard potential of:

level of audit • Activities
• Products Audit
and resources Determine the importance/risk
• and Services Team assignment
necessity (including legal Requirements)
Establish
Contact Brief the
and concur
auditee and audit team
audit plan
confirm date(s)
Stage 1 Report
Consideration

Initial certification audit – Stages 1 & 2 Session-10
From ISO 17021
Opening Meeting
17021:2011 Document Review Corrective Actions
Audit Plan Checklists Objective evidence Nonconformity Reports
Audit Recommendation
Closing Meeting & conclusion Audit report
Stage 1
Stage 2 From ISO 17021

Opening Meeting
17021:2011 Onsite Audit Corrective Actions
Audit Plan Checklists Objective evidence Nonconformity Reports
Audit Recommendation
Closing Meeting & conclusion
Audit report
Surveillance Assessment Visits (1 & 2 ) followed by Renewal Audit
3 Yearly Recertification Revision MAY-2019 Copyright © 2019 IRCLASS All rights reserved. 55
Activity:8 Audit Plan Session-11
The audit plan enveloped by

1. Risks to achieving the audit objectives created by ineffective audit planning;
2. Risks to the auditee created by performing the audit.
3. Audit objectives
4. Audit scope
5. Functional units, as well as processes to be audited
6. Audit criteria
7. Any reference documents
8. locations, dates, expected time and duration of audit activities to be conducted
9. Audit methods
10. Audit evidence
11. Roles and responsibilities of the audit team members, including guides & observers
12. Allocation of critical areas of the audit.
Work Documents Session-11
1. Checklists – Hard or Digitial TEMPLATE FOR CHECKLIST

Cl What to Look For How to look For Conformity/
2. Audit Sampling Plan au ( REQUIREMENT) ( EVIDENCES) Non-
se Doc/record/data conformity
#
3. Formats for capturing the evidences
4. Non-conformity format

Work Documents Session-11
Advantages/Dis-advantages of Checklist

Activity:9 Conducting Opening meeting Session-12

Conducting Opening meeting Session-12
Covers following agenda

1. Audit objectives
2. Audit scope
3. Functional units, as well as processes to be audited
4. Audit criteria
5. Any reference documents
6. locations, dates, expected time and duration of audit activities to be conducted
7. Audit methods
8. Audit evidence
9. Roles and responsibilities of the audit team members, including guides & observers
10. Allocation of critical areas of the audit.

Activity:10 Audit Evidence Session-13

Evidences Session-13

Sources of (Evidence) Information Session-13
1. Interviews
2. Observations
3. Documents
4. Records
5. Data summaries
6. Reports
7. Database and Website
8. Performance Indicator

Sources of (Evidence) Information Session-13
Recording the objective evidence:

1. Admissible statements (Quotes and statements)
2. Document numbers and issue/revision levels
3. Identifiers (Product identification)
4. Rough sketches
5. Work Environment
6. Departments
7. Name of auditee or preferably job titles
8. Issues which may impact other functions

Audit Evidence Session-13
Audit evidence should be evaluated against the audit criteria

should be verifiable.
support conformity
qualitative or quantitative.
checklists
Audit sampling plans
forms for recording information, such as supporting evidence,
audit findings and records of meetings

Audit Sampling Session-13
Audit Sampling Approach

1. 100% can not be checked.
2. Relevant and non-relevant information
3. How to select sample from large data which is offered to auditors.
4. Sampling shall give confidence that Audit objective will be met.
5. Sampling carries RISK, may not represent the full population and judgment
may go wrong.
6. Systematic approach to collect the evidence is needed to confidently answer
the questions:
7. Is the sample size sufficient to establish conformance or deficiency?
8. Would another auditor draw the same conclusion based on the sample?

Activity:11 Effective Communications Protocol Session-14 &15
Session- 14- OVERVIEW OF DAY-1
Session- 15- ACTIVITY-11

Communications Protocol Session-15
1. establish communications with the auditee’s representatives

2. formal communication channels between the audit team and the auditee
3. interactive communication means
— conducting interviews
— completing checklists and questionnaires
— conducting document review with auditee participation

Questioning Technique Session-15
1. Open ended Closed ended

2. Questions
3. Specific
4. Leading
5. Hypothetical
6. Reflective
7. Probing

Effective Communication Session-15
• Body Language
55%
• Tone of Voice
38%
• Words
7%

Audit Findings Session-16
Positive audit findings
Nonconformity means (non-fulfilment of a requirement)
references to
ISO45001:2018, clause # 3.34 -
ISO 19011:2018, clause no. 3.21 &
ISO/IEC 17021-1:2015, clause no. 3.11

Nonconformity Session-16
Non fulfillment of a requirement

1. Specified OH&S MS requirements
2. ISO45001 2018 standard requirements
3. Organization OH&S MS manual & procedures
4. Control of risk identification and process criteria
5. Legislative requirements

Nonconformity Statement Session-16
Use auditee’s terminology

Make it retrievable
Must be factual
Make it complete
Make it concise
Do not draw unsubstantiated conclusions

Nonconformity Statement (Cont’d) Session-16
1. State the exact nature of the problem clearly

2. Avoid generalities
3. Communicate the extent of the problem fully
4. Do not draw legal opinion
5. Avoid extreme language
6. Use familiar terminology
7. Give legislative, site or good management practice
reference
8. Avoid contradictory messages

Minor Non-conformance Session-16
As per Clause 3.13 of ISO/IEC17021-1:2015 standard…..

Definition of minor nonconformity
nonconformity that does not affect the capability of the management system
to achieve the intended results
Examples…..
1. Management of Change process not established by the Orgnization when
less hazardous material developed from the supplier to reduce safety
hazard to workers, but changes are implemented effectively.
2. Operational control procedure not updated, although workmen are found
fully aware off the new procedure and could able to demonstrate the
same
Major Non-conformity Session-16
As per Clause 3.12 of ISO/IEC17021-1:2015 standard…..

Definition of MAJOR nonconformity……
nonconformity that affects the capability of the management system to achieve the intended
results.
Nonconformities could be classified as major in the following circumstances:
— if there is a significant doubt that effective process control is in place, or that products or
services will meet specified requirements;
— a number of minor nonconformities associated with the same requirement or issue could
demonstrate a systemic failure and thus constitute a major nonconformity.
Example:
Procedure for issuance of Work permit system not being followed for “entry into confined Space”

Audit Meetings Session-17
1. Audit Briefing meetings

2. Progress meetings
3. Audit Team meetings

Audit Conclusions Session-17
Audit team should meet prior to the closing meeting to :

1. Review audit findings and other appropriate information
2. Prepare list of audit findings
3. Reach consensus on audit conclusions
4. Agree on roles and tasks for closing meeting
5. Prepare recommendations –if specified
6. Discuss audit follow-up –if appropriate

Closing Meeting Session-12
A closing meeting, facilitated by the audit team leader, should be held to present
the audit findings and conclusions.
As appropriate,
— audit evidence collected was based on a sample of the information available
— method of reporting
— process of handling of audit findings and possible consequences
— presentation of the audit findings and conclusions, understood & acknowledged
by the auditee’s management
— any related post-audit activities (e.g. corrective actions,
audit complaint handling & appeal process)

Audit Report Session-18
The audit report should include

1. Audit Team Leader responsible for preparing the Audit Report
2. Audit Objectives, scope & criteria
3. Identification of audit client
4. Identification of processes audited and time period.
5. dates and locations where the audit activities were conducted
6. Identification of audit team leader & members
7. Audit findings and related evidence
8. Recommendations for improvement
9. Audit conclusions
10. Statement of Confidentiality
11. Next audit date/s
12. Distribution list for the audit report
Approving & Distributing the Audit Report Session-18
1. Report should be issued within agreed time or communicate reason for

delay to the audit client
2. Report to be dated, reviewed and approved in accordance with the audit
programme procedure
3. Distributed to recipients designated by the audit client
4. Audit Report is the property of the audit client, hence audit team should
maintain confidentiality of the report

Audit Report Session-18
Contents
Generation of
Audit report
No
Technical review
Yes
Report Clearance
Client (Audit
Report)
communication
Client Acceptance

Activity:12 Audit Follow-up Session-19
The conclusions of the audit can be include with,
1.depending on the audit objectives

2.indicate the need for corrections & /or corrective action improvement
actions.
3.undertaken by the auditee within an agreed timeframe.
4.communication - status of these actions.
5.effectiveness of these actions should be verified.
6.This verification may be part of a subsequent audit.

Benefits of ISO45001 2018 Session-2
To Client.
To Orgnization.
&
To WORKERS & other interested parties.

Activity:13 Terminology (ISO45001 2018) Session-20

PdCa Session-20
Plan
Do
Check
Act

Activity-14 & 15 : Structure of OH&S MS Session-21 & 22
Activity-14, understanding the ISO45001 2018,
Activity-15, Audit Trail ( Forward Tracing, Backward Tracing)

Activity-16: Documented Information Session-23
Documented Information to be maintained
Documented information to be retained

Session-24
Enabling Objectives
Skills
Activity:17 Initiating the audit Session-24
PREPARE FOR THE AUDIT

INITIATE THE AUDIT • Gather background information
• Establishing initial contact with the auditee • Prepare the audit plan
• Determine feasibility of Audit • Assign work to the audit team
• Prepare work documents
CONDUCT THE AUDIT

PREPARE & DISTRIBUTE AUDIT REPORT • Conduct opening meeting
• Prepare the audit report • Manage communication
• Distribute the audit report • Collect & verify information
• Generate audit findings
• Prepare audit conclusions
• Conduct closing meeting
CONDUCT AUDIT FOLLOW-UP
( if specified in the audit plan)
NOTE: The dotted lines indicate that any audit follow-up actions are usually not considered to be part of the audit.
Source: ISO 19011

Activity:18 Document review Session-25
The auditors should consider if the information in the documents provided by

client shall be:
1. complete
2. correct
3. consistent
4. current
5. cover the audit scope and provide sufficient information to support the
audit objectives
6. the use of information and communication technologies

Activity:19 Audit Plan Session-26 & 27
SESSION-27 : HOME WORK DISCUSSION DAY-2

Activity:20 Work Documents Session-28 &29
SESSION-28 : Overview of Day-2
Preparation of work documents, as necessary, for

reference and for recording audit evidence.
Such work documents may include the following:
— checklists
— audit sampling plans
— forms for recording information, such as
supporting evidence, audit findings and records of
meetings.

Checklists (Aide Memoir) Session-29
1. Used by the auditor as an Aide Memoir and an audit trace record

2. A checklist is a systematic set of questions/prompts
3. A checklist should not be a list of questions to ask the auditee.
4. Are compiled from the results of a detailed study of the process
descriptions, procedures and the standard
5. Used to ensure that all elements & relevant requirements contained in
the standard are covered without any omissions

Aide Memoirs -Benefits Session-29
1. Keep audit objectives clear

2. Provide evidence of audit planning
3. Maintain audit pace and continuity
4. Reduce auditor bias
5. Reduce workload during audit
6. Can be adapted for use in other audits
7. Can be modified and improved based on experience
8. Provides structure -questions arranged in a logical order
9. Allows for review of the questions beforehand, to determine if an
expert is needed
Checklist drawbacks Session-29
1. Tick lists
2. Questionnaires
3. Too focused (may limit the scope of inquiry)
4. Inflexible and may miss valuable audit trails
5. Used as a master and may distract from active listening
6. Asked in a tone of ‘interrogation’

Activity:21 Conducting Opening Meeting Session-30
Opening Meeting

Activity: 22 Session-31
HOW TO MAKE EFFECTIVE PLANT TOUR?

Activity: 23 Interviewing ‘Top Management' Session-32
PS:- to view power point notes kindly refer delegate workbook

Auditing ISO45001:2018 requirements Session-33
Activity 24 will be performed in a group and as per process approach

auditing.
Lead Tutor/Tutor will play a role of Auditee in all scenarios.
Each audit team needs to interview auditee tutor during role play
covering all applicable ISO45001 clauses across the specific
departments assigned to the team by the tutor.
This activity to be performed on the case study “Autozen Exile Global

Products Ltd”

Activity: 24 Auditing ‘Context and Interested Parties’ Session-33
Internal issues
External Issues
Interested Parties
Scope
OH&S Management Processes

Activity: 24 Auditing ‘Risk & Opportunities’ Session-33

‘Legal requirements related to OH&S’ Session-33
These are some of the OH&S related Legal requirements;

1. Factory License
2. Handling, Storage of Hazardous material
3. Gas Cylinder Rules
4. Work Permit System
5. Petroleum Rules
6. Central Motor Vehicle Rules
7. Lifting Tools and Tackles
8. Boiler rules.
9. …….
How will you audit this?
‘Legal requirements related to OH&S’ Session-33
Difference between Legal Compliance evaluation between OH&S Auditor and the
regulatory role of evaluating legal compliance.
Key element OH&S AUDITOR Regulatory role of evaluating legal compliance

Reference standard ISO45001:2018 and Legal and other requirements.
respective legal and other
requirements.
Role Can verify the compliance by Can actually take a sample and send it for the
checking the evaluation verification.
documents/records He can take the statement of any employee for the same.
Appeals and Certification Body Law of court
Complaints
Visits Shall be planned audit May carry out surprise checks.

Activity: 24 “Support”
Session-33
1. internal and external parties with whom orgnization need to communicate, to ensure the
effective operation of the OH&S management system
2. Communication may include relevant interested parties (such as customers, external

providers used to source products and services, or regulatory bodies).
3. External Communication might require reports, specifications, invoices or service level

agreements, might be required for external relevant interested parties.
4. For internal communication, methods such as daily contact, regular department meetings,
briefing sessions, email or an intranet may be used.
5. written reports or job specifications could also be required for internal communication,
depending on the nature of the information and how critical the issues are that need to be
communicated.
Activity: 24 “Objectives, Competence and Awareness’ Session-33
What, Who When and HOW of OH&S objectives.
Awareness is attained when persons understand their responsibilities and

authorities and how their actions contribute to the achievement of the
organization’s OH&S objectives.
Competence can be audited through education, training, and experience

records.

Activity: 24 ‘Auditing ‘Operations ; Emergency Preparedness & Performance
Evaluation’ Session-33 & 34

Activity: 24 Auditing ‘Improvement’ Session-35,36, 37
SESSION-35 : OVER VIEW DAY-3
SESSION-37 : HOME WORKDAY-3

Activity: 25 Nonconformities & Closure Session-38 & 39
SESSION-38: OVER VIEW DAY-4
Major & Minor

Activity: 26 Conducting Closing meeting Session-40
Closing Meeting

Activity: 27 Preparing Audit report (Stage-2) Session-41

Activity: 28 Audit follow-up Session-42

Activity: 29 Specimen exam paper Session-43

Session-44
CQI-IRCA Certified Auditor

CQI-IRCA Certificated Auditor Session-44
Congratulations from CQI-IRCA on completing your CQI-IRCA certified

training course!
We hope that you enjoyed the experience and that you achieved your
objectives.
what next?

Your Professional Development Session-44
Ask your CQI-IRCA approved training organization how they can help you
develop your management systems and auditing skills.
For information and support from CQI-IRCA and the CQI : Register in CQI-
IRCA for free on-line auditing magazine
Register for the CQI-IRCA and CQI on-line Linked-In discussion groups,
where you will find a community of management systems auditors who
can provide support and guidance

CQI-IRCA Auditor Status Session-44
Apply to become an CQI-IRCA Provisional Auditor.
Remember that your certificate is valid for three years for this purpose
To achieve full CQI-IRCA Internal Auditor, Auditor or Lead Auditor status, start using
your audit knowledge and skills in real audit situations.
We recommend that you do this under the supervision of a certificated Lead Auditor
until you have achieved the audit experience

CQI-IRCA Auditor Status (cont’d) Session-44
Delegates seeking a certification grade for ‘Provisional’ and beyond must

apply directly to CQI-IRCA, and demonstrate the additional skills, personal
attributes, qualifications and competencies required for the grade they
seek.
Refer to IRCA website www.quality.org for further details.

CQI Membership Session-44
If your focus will not be auditing, or you want to include wider management
systems responsibility, you should consider membership of the Chartered
Quality Institute (CQI) .
CQI-IRCA Lead Auditor courses will meet the learning requirements for the
higher CQI Practitioner membership.
This provides you with an excellent platform to progress on to becoming a

Quality Council of India (CQI)

Auditor / Lead Auditor Certification Session-44
The Criteria for Certification as a OHSMS Auditor

1. Auditor training course
2. Education and qualifications
3. Work experience (general and specific)
4. Auditing experience
5. Continuing professional development (CPD)
6. Code of conduct declaration

Auditor Registration Session-44
OHSMS Provisional Auditor:

A person who meets all the requirements for certification, except for audit
experience
OHSMS Auditor:
Person who is qualified to perform as an audit team member
OHSMS Lead Auditor:

An auditor who is qualified to manage and lead a OHSMS audit team
Note: Certificates are valid for three (3) years from the last day of the course

Auditor Certification – Contact Details Session-44 & 45
For any Enquiries
2nd Floor North

Chancery Exchange
10 Furnival Street
EC4A 1AB, London.
Telephone: +44 (0)20 7245 6833
Fax: +44 (0)20 7245 6755
Email: training@quality.org
Website: www.quality.org
Session 45 Written Examination

We hope you enjoyed your course Session-46
You will be contacted by the CQI and IRCA for feedback on the course and your Approved Training Partner.
Completing this short survey will help to ensure the continuing high standards of
these courses.
You can also record your certificate and receive information about the CQI
and IRCA, auditing and quality news, ISO updates and much more.
To record your certificate, visit www.quality.org/record-your-certificate

Questions & Course Feedback Session-46

Session-46

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Session-1

Copyright © 2015 IRCLASS. All rights reserved.

IRCLASS Systems and Solutions Private limited

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CQI-IRCA Accreditation No. 2122

Trainer: Mr. Amod Deshpande

Dates: ZZth XXXX to ZZth YYYY

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Welcome to your CQI and IRCA Certified

About the CQI and IRCA

Find out more about the CQI and IRCA at www.quality.org

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a) Occupational health and safety management

Membership offers you infinite development opportunities and is an invaluable

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IRQS is a Multinational Certification Body with 9 operational locations abroad and

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Established Legal Entity

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1.Sri Lanka 5.China

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Describe the purpose of:

Explain the role of an auditor to plan,

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Continuous Assessment (70% to pass)

• Participation in class and team activities

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Strict adherence to the time limit shall be maintained.

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“Certificate of Attendance” will be issued

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May send in writing to IRQS

Right of appeal to CQI-IRCA in writing if not resolved by IRQS

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You are attending a course certified by the International Register of

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Your achievement of the learning objectives will be fairly assessed through

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You have access to a robust complaints process and recourse to complain to

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Upon completion of this course, participants should be able to:

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– Conducting audit activities

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1. To determine conformity or non-conformity of the OH&S management

Audits may also consider for meeting regulatory requirements.

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An organization auditing its own systems, a self-assessment

Used to measure the strengths and weaknesses against requirements,

Provide feedback to management that the OH&S MS system is both

Gauged for continual improvement effort as well as measuring the return

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Inspections/Audits of Other Facilities

Supplier audit will include the OH&S MS Management System involved in

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Independent of the organization being audited

Generally used to certify, register or verify

Reasons to Perform: Verify compliance to specific regulations or standards