PRITHIVIRAJAN ISO WORKBOOK Final

Participant Workbook
ISO 45001:2018 Lead Auditor Training Course
BSCIC 5 Days Occupational Health &

Safety Management Systems Lead Auditor
Training Course based on
ISO 45001:2018
PARTICIPANT WORKBOOK
Course Registration Number: Dates of Course: 21ST SEP to 29TH SEP
Venue of the Course: City: Abu Dhabi Country: UAE
Participant Name (IN CAPITALS): PRITHIVIRAJAN Signature:
www.bsc-icc.com
This material is for the personal use of a student attending a course presented by BSCIC.
No part of the materials may be reproduced, stored electronically, or transmitted in any form or by any
means without the prior written consent of BSCIC.
Issue 1 Rev 01 Apr.18 Page 1 of 54

INSTRUCTIONS FOR PARTICIPANTS:
1) This Workbook shall be given to you on the first day and shall be taken back at the end of each day before
you depart & finally compiled on day 5 before the test begins.
2) This workbook dully filled ones shall, be used for your continuous assessment on every day. Please ensure
that you submit this workbook to the tutor(s), for daily continuous assessment at the end of each day.
3) On the last day, please return back the course feedback forms (dully filled in by you – for our reference and
improvements) and the CQI-IRCA written answer papers for the course.
4) Tips for SUCCESSFUL COMPLETION OF THE COURSE:
➢ Be attentive and be present on all days, all modules have to be attended;

➢ The course evaluation shall consider two aspects – your daily performance shall be monitored by the tutors
and continuous assessment and your score in written examination shall be considered for your final result
of your success;
➢ Please clarify all doubts from the tutors during breaks as well;
➢ Your active participation is desired – throughout the course;
➢ While working in groups, please do not be dominating to demonstrate leadership, rather listen to every
member and your team performance shall be judged on your consensus & joint decisions – individual
differences be avoided during demonstration of the team performance (will lead to score deductions);
➢ Before each “Group Exercise”, the group should select the Group Leader for that exercise and note it in
this work book. Every member should lead team in rotation for different group exercises.
5) Following are the List of Exercises :
# Exercise Marks # Exercise Marks

Obtained Obtained
Documentation Audit -
1 Introduction of Participants (Interviewing) 10
Improvements
Terms & Definitions pertaining to

2 11 Facts and Inferences
Occupation Health & Safety
3 Auditing Risk Assessment 12 Audit Preparation- Audit Plan
Documentation Audit – Scope & Context

4 13 Audit Preparation- Audit Checklist
of Organization
Documentation Audit – Leadership &
5 14 Framing Non-Conformities
Worker Participation
Role play (Audit Interview Process
& Recording NCs- Min. 3
6 Documentation Audit – Planning 15
Departments each group and 4
NC’s)
Audit Report Preparation- Stage 1
7 Documentation Audit – Support 16
Document Review
Audit Report Preparation- Stage 2
8 Documentation Audit – Operation 17
On-Site Assessment
Documentation Audit – Performance
9 18 Audit Follow up – NC Closures
Evaluation

Exercise 1 Introduction of Participants Exercise (Pairs) – 15 Minutes
Mohamed Hussain
YOUR PARTNER’S NAME
M.sc Chemistry
Qualifications
Shift Coordinator, Sohar International Urea & Chical Industrial Oman.

He is working in the company for almost 12 years. Before moving to Oman,
he was working in Bangladesh for 10 years in multiple positions.
Working Organization,
Designation & Role
He was a part of his company’s ISO audit team and he knows the outline of
the standard not in detail, So, I can score him 02.
Knowledge of ISO 45001:2018:

Rank 1(Minimum) to 5 (Maximum)
He is a part of his company’s internal audit team.

The score is 02.
Any I/II/III Party Audit Experience:
Rank 1(Minimum) to 5(Maximum)
To improve his knowledge in the ISO 45001 standard to support their

organization as well as his own.
Objective of attending this
course:
He wants to understand and learn the standards of ISO45001 to develop his

career growth.
Expectations from the course:
He is very much interested in reading books to gain knowledge. He is very

much curious to know about the biography of well-known person in the
Any additional Information
history, along with that, he often reads religious books.
(something interesting of
yourself) :
Note: No row should be left blank because it carries marks.

Exercise 2 Terms & Definitions pertaining to Exercise – 15 Minutes

Occupational Health & Safety
Mapping
# Description OH&S # OH&S TERMS
Terms
1 person or group of people that has its own functions
with responsibilities, authorities and relationships to 16 1 PERFORMANCE
achieve its objectives
2 extent to which planned activities are realized and
planned results achieved 07 2 OBJECTIVE
3 effect of uncertainty 20 3 REQUIREMENT
4 adverse effect on the physical, mental or cognitive
condition of a person 10 4 INCIDENT
5 information required to be controlled and maintained
by an organization and the medium on which it is 13 5 CONSULTATION
contained
6 measurable result 01 6 HAZARD
7 determining the status of a system, a process or an
activity 11 7 EFFECTIVENESS
8 recurring activity to enhance performance SAFETY
14 8 CONDITION
9 seeking views before making a decision 05 9 WORKPLACE
10 person or group of people who directs and controls INJURY AND ILL
an organization at the highest level 19 10 HEALTH
11 result to be achieved 02 11 MONITORING
12 occurrence arising out of, or in the course of, work
that could or does result in injury and ill health 04 12 OH&S OBJECTIVE
13 place under the control of the organization where a DOCUMENTED
person needs to be or to go for work purposes 09 13 INFORMATION
14 systematic, independent and documented process
for obtaining audit evidence and evaluating it CONTINUAL
18 14 IMPROVEMENT
objectively to determine the extent to which the
audit criteria are fulfilled
15 need or expectation that is stated, generally implied
or obligatory 17 15 CONFORMITY
16 ORGANIZATION
17 REQUIREMENT
18 AUDIT
19 TOP
MANAGEMENT
20 RISK

Exercise 3 Auditing- Risk Assessment Group Exercise – 30 Minutes
RISK RATING
Occurrence Scale X Severity Scale OCCURENCE SCALE SEVERITY SCALE
FACTOR SCALE FACTOR SCALE
Split Molecule Testing Daily 5 Minor Illness (1 Day) 1
Weekly 4 Illness for 2-3 Days 2
Monthly 3 Critical Illness- needing 3

Hospitalization
Half-Yearly 2 Physical Disability 4
Yearly 1 Injury Leading to Death 5
Identify any three Risks in this process
# Hazard Type &

Impact Elemination (ER) /
Risk Rating
Hazard Details P-Phisical Proposed Action Reduce Impact (RI)
(Occurance X Secerity)
C-Chemical /Mitigate (MR)
B-Biological
Fire Prevention and Mitigation devices

Anti-slippery floor
Chemical Spillage while Drip tray
refilling in the tube and Designated area for filling chemicals
1 Chemical 5*3=12 RI & MR
handling the chemical Spill kit
containers Trainings and MSDS
PPE
Fire Prevention and Mitigation devices

Fume extraction devices
Chances of fumes- Eye
2 Chemical 5*3=12 Trainings RI&MR
Irritation
PPE
Layout Improvement
Chances of Broken glass
Proper Housekeeping
3 Physical 4*3=12 ER, RI&MR
Trainings
PPE
Adjustable Workstation
Layout Improvement
4 MSD due to Poor Posture Physical 5*3=15 RI&MR
Trainings

OCCURENCE SCALE SEVERITY SCALE
RISK RATING
Daily 5 Minor Illness (1 Day) 1

Occurrence Scale X Severity Scale
Monthly 3 Critical Illness- needing 3

Hospitalization
Risk Rating = > ‘9’ is Significant Hazard
Risk
Hazard Type Elemination
Rating
Hazard P-Phisical (ER) / Reduce
# Activities in Production (Occura Proposed Action
Details C-Chemical Impact (RI)
nce X
B-Biological /Mitigate (MR)
Secerity)
1
Competent scaffolder
Using Elevated Platform
Lanyards and safe tag
Safety Harness
Working at height Physical 3*4=12 Safety Helmet RI&MR
MEWP
Competent and trained person
Competent scaffolder and safe tag
Safety Harness and Lanyards
Work at height Physical 3*5=12 RI&MR
Safety Helmet
Safety Boots
Hydraulic Jack
Not allowed at roadside/worksite
Physical 2*5=10 RI&MR
Improper Lifting PPE(Hand gloves and Safety
Helmet)

Electrical Work at
4 Height
Power Shut Down

Using MEWP
Competent Person
LOTO
Traffic management
Electrical/ Physical 2*5=10 Barricading the work area RI&MR
Safety Signage’s
PPE

Group Exercise – 30 Minutes

Exercise 4 Documentation – Stage 1 Audit Tutor Feedback- 10 Minutes
Read the OH&S Apex Documented Information of Industrial Gases Company Context of the Organisation
[including Scope] and identify those issues which do not comply with the requirements of the standard (up
to specific sub-clause) with reference to chapter & page number of the Apex Documented Information.
# Issue Apex Document Standard reference

Reference
01 Scope is not clearly defined and OSH requirements in Issue 1 February 2018 Page 6 ISO 45001:2018(E) 1 Scope
Page 01 para 01
the manual of the APEX, Scope is not fulfilled in the
manual.
Issue 1 February 2018 Page 7 ISO 45001:2018(E) 1 Scope
02 The external issues such as legal, financial, Page 08
environment where company operates, product
characteristics, subcontractor, supplier are not stated
clearly.
Issue 1 February 2018 Page 7 ISO 45001:2018(E) 1 Scope
Page 08
03 The requirements of workers are not defined.
04 As per 4.3, the scope is not documented properly. Issue 1 February 2018 Page 6 ISO 45001:2018(E) 1 Scope
Page 01
Note: If more points, use backside of the page

Exercise 5 Tutor Feedback- 10 Minutes
Documentation – Stage 1 Audit
Read the OH&S Apex Documented Information of Industrial Gases Company Leadership and Worker
Participation and identify those issues which do not comply with the requirements of the standard (up to
specific sub-clause) with reference to chapter & page number of the Apex Documented Information.
# Issue Apex Standard

Document reference
reference
1 There is no proof of signed document such as policy for showing their Chapter F and Page No 5.1 leadership
accountability from top management for prevention of work-related 8 and
injury and ill health as well as the provision of safe and healthy commitment[a,b]
workplace and activities. No objectives are explained.
5.1 leadership
2 There is no proof of workers consultation and participation documents Chapter F and page No and
such as safety committee, site tours, Toolbox talk Near miss report etc 8 commitment[l]

Exercise 6 Documentation – Stage 1 Audit Group Exercise – 20 Minutes

Tutor Feedback- 10 Minutes
Read the OH&S Apex Documented Information of Industrial Gases Company Planning and identify those
issues which do not comply with the requirements of the standard (up to specific sub-clause) with reference
to chapter & page number of the Apex Documented Information.

Document reference
reference
1 There is no hazard identification process and composition of workers, nature of Chapter G page 6.1.2.1 Hazard
activity, Human factors, available resources for ensure hierarchy of control can No10 identification
be apply for risk findings are not explained.
2 There is no determination of legal and other requirements because the planning Chapter G page 6.1.3
should be adhering to latest applicable legal and other requirements. No10 determination
of legal
requirements
and other
requirements
3. There is no planning action so that no prioritization of risk control Chapter G page 6.1.4 Planning
No10 action [a]
4. There are no objectives discussed and not able to set a time frame for its review Chapter G page 6.2.1 O.H.S
to continuous improvement process no 11 Objective [b]


Read the OH&S Apex Documented Information of Industrial Gases Company Support and identify those
to chapter & page number of the Apex Documented Information.
# Issue Apex Document Standard

reference reference
1. There is no explanation of resources in terms of machinery, Chapter H and Page No11 7.1 Resources
equipment, humans.
2. There is no proof of training record such as induction training and Chapter H and Page No12 7.2
training matrix, training schedule with respective actual and expected Competence
date information to ensure the competency of all workers including [b,c,d]
sub-contractors
3. There is no proof of awareness training regarding the OH&S policy, Chapter H and Page No12 7.3
identifying dangerous hazards and their occurrence which is life Awareness[e,f]
threatening, Incident or accident Reporting procedure, workplace rules
and regulations, site emergency contact numbers. There is no
documented evidence of awareness training.
4. There is no policy of communication channels for identifying the Chapter H and Page No12 7.4.1 General
process of communication.
5. There is no explanation of way of communication to group of people Chapter H and Page No12 7.4.1
General[d]
6. There is no evidence of inspection, safety manual, Training records, Chapter H and Page No12 7.4.2
safety operating procedure, Codes of practices and MSDS. Internal[a],
7.4.3
7. There is no evidence of format for creating and updating of Chapter H and Page No13 7.5.2
documented information for its review and continuous improvement
8. There is no evidence of process regarding the storage of files for Chapter H and Page No13 7.5.3[b]
backup and recovering the data for further updating process.


Read the OH&S Apex Documented Information of Industrial Gases Company Operation and identify those
to chapter & page number of the Apex Documented Information

Document reference
reference
1 There is no proof of evidence that IGC that maintaining the documents Chapter I, page 8.1[c,d]
regarding the process have been carried out as planned and adapting the No:14
work to workers
2. There is no proof evidence that risk assessment is carried out against the Chapter I, Page 8.1.2
performed work-related activities in order to eliminating hazards and risk NO:15
3. There is no proper document proof regarding method of management and no Chapter I, page 8.1.3
evidence are found to explain the consequences of united changes which No:15
may have to review the policy, objectives as well as planning and risk
assessment
4. There is no proper evidence of material safety data sheets regarding the Chapter I, page 8.1.4
procurement products, risk assessment and method of statement, contractor No:15
license, worker
5. There is no proper evidence of induction training to outsourcing contractors Chapter I, page 8.1.4.3
No:15
6. There is no proper evidence of training plans with its actual date and Chapter, page No:16 8.2[c,d,f]
expected date and there is no documented information for communication to
various level of workers evaluating the performance of delivered training at
planned intervals.


Read the OH&S Apex Documented Information of Industrial Gases Company Performance Evaluation and
identify those issues which do not comply with the requirements of the standard (up to specific sub- clause)
with reference to chapter & page number of the Apex Documented Information

reference reference
1. There is no proof of documented information such as legal register and Chapter J, Page No: 16 9.1.1[b,c,e]
method of evaluation and its outcome performance evaluated form not
found for communication to other level of workers regarding the
compliance of legal and other requirements.
2. There is no proof of evident that ensuring the auditor competent level Chapter J, Page No: 17 9.2.2[a,b,d]
such as registration card to ISO audit association and experience. There is
no proof of internal audit documented information for set an priority time
scale on its outcomes and further communication to other level of
workers.
3 There is no proof of previous management review, internal and external Chapter J, Page No: 17 9.3[a,b]
issue for provide a control measure
4 There is no proof of circular regarding management review outcomes Chapter J, page NO:18 9.3[d]
5. There is no proof of reviewing the OHS policy and objectives for Chapter J, page NO:19 9.3[g]
continual improvement

Exercise 10 Documentation – Stage 1 Audit Group Exercise – 30 Minutes

Tutor Feedback- 15 Minutes
Read the OH&S Apex Documented Information of Industrial Gases Company Improvements and identify
those issues which do not comply with the requirements of the standard (up to specific sub-clause) with
reference to chapter & page number of the Apex Documented Information

reference reference
01. There is no proper plan for evaluating and assessing the incidents. Chapter K,Page 19. ISO 10.2 (b)
(3)
02. There is no proper evidence of reporting procedure for various level of Chapter K, 18 ISO 10.2 (b)
organization and their time scale.
03. There is no KPI to check the effectiveness Chapter K, 19 ISO 10.3 (E)
04. There is no evidence of conducting the Management Review Meeting. Chapter K, 19 ISO 10.3 (C)
05. There is no previous year data for setting the benchmark such as near miss, Chapter K, 19 ISO 10.2 (F)
non-conformity, incident rate.
06. There is no risk assessment revision and the Hierarchy of controls the risks Chapter K, 19 ISO 10.2 (C)
are not implied. (D)

Exercise 11 Facts or Inference Group Exercise – 30 Minutes
Read the following cases and identify whether the statement is a fact or Inference. Also give reasons in
case of your judgment for an inference.
1) Walker was doing an experiment (in lab) on biological changes in humans, when they tell lies. Walker was
surprised to see the results of one test and wanted to inform the professor of her university but the telephone
lines were dead. No mobile connectivity. Walker thought that since the weather was very rough when arrived at
the lab in the morning, looked out of the window and was surprised to see dark clouds and realized that it might
be raining. Took rain coat & test report and went out of the Laboratory and rushed towards the car, to reach the
professor.
# Statement Judgment (Select by Reasons

“X”)
1 Mr. Walker was surprised to the Fact Inference As per stated scene, the walker is female but
results of the test in the university in context the walker is mentioned as male so
laboratory. its consider as “Inference”
2 The weather outside was very rough Fact Inference As per stated scene, walker thought that the
when Walker looked out of the weather is very rough when reached lab at
window of the Lab. morning, so it considered as “Inference”
3 Walker was experimenting on Fact Inference Yes, the statement is “Fact” as per stated
biological changes in humans. scene.
4 Walker took the test report to show Fact Inference As per stated scene, the walker observed dark
to the professor in rain. clouds and realized that it might be raining so
the statement is “Inference”
5 Walker rushed towards his car with Fact Inference As per stated scene, the car belonging or
rain coat and test report. owner are not explained so the statement is
“Inference”
2) The swimming pool safe guard was beside the swimming pool and suddenly found that one boy fell into the pool
(slipped on the edge). The guard jumped into the pool to rescue the boon approaching the boy he realized that
the boy knew swimming and he swim him to one side and started smiling. The guard also smiled but suddenly the
boy said “help” and fainted. He was taken out of the pool and given artificial respiration by the guard and boy
came to senses. The guard insisted for medical checkup by duty doctor and taken immediately for checkup.
# Statement Judgment (Select by Reasons

“X”)
1 The Safe guard at the pool seen that Fact Inference Yes, the statement is “Fact”
the boy slipped into the pool and
jumped into the water to save the
boy.
2 The boy suddenly said “help” and Fact Inference “Inference”, As per stated scene the boy is
fainted after coming out of the pool. fainted when he was inside that pool
3 The boy himself swims to safety as Fact Inference “Inference”, As per stated scene the boy is not
he knew swimming. swim towards guard and guard observed that
the boy is fainted before reaching by guard.
4 Every one pulled out the boy out of Fact Inference “Inference”, only the guard was pulled out the
swimming pool when he fainted boy from swimming pool
5 The boy was taken to the duty doctor Fact Inference ‘Inference”, only the guard was insisted for
for checkup, after he came to senses, medical checkup.
as everyone insisted for the same.

Exercise 12 Audit Plan Preparation Group Exercise – 75 Minutes

15 Min. for Presentation
Considering the OH&S Apex Document of Industrial Gases Company, prepare an Audit Plan, as per following
guidelines:
1. Total man days = Calculate audit duration from IAF MD5 Table for 50 employees or take Four (minimum)
[One Man day = 08.00 hrs with Half an hour Lunch Break) or use audit duration as given by tutor.
2. Use all the personnel in your group as auditors (you can use auditor – 1, 2, or A & B etc.) as references,
rather than actual names.
3. Avoid if possible two people going for same process area audit.
4. Cover one Installation site also in the audit plan as they do execution as well.
5. The audit plan shall contain basic information as under:
a) The start time of each process area and the auditor allotted for that specific process area.
b) Allot 5 minutes as auditor’s brush up time in middle for effective smooth continuity and effective
audit, for information sharing and judgment on audit proceedings.
c) You can do this in two ways…one plan accommodating all process areas and auditors or separate plan
for each auditor, with distributing the process areas.
6. Assume that all Non- Conformities raised in Stage 1 audit have been completed and closed.
MAKE THE AUDIT PLAN IN ROUGH ON THE NEXT PAGE & AS A GROUP ON THE FLIP CHART(S)
THE GROUP LEADER TO MAKE A PRESENTATION OF THE EXERCISE FROM THE FLIP CHART
For Tutor: Tutor to Scan the flip charts and send to the BSCIC. In case Scanning is not possible send photographs.

Audit Plan Date: 28/09/2020

Organization: Industrial Gases Co., Avenue 10 C Industrial Area, City XYZ, Gujarat State- 360024, India
Scope: Production, Maintenance including Utilization, HR including Admin, MR, Sales & Marketing, Installation,
Purchase, Transport, Dispatch &Top Management.
Objective of Assessment: To evaluate the OH&S performances of the organization with respect to ISO 45001:2018
standard.
Criteria Requirements of ISO System Policies & Procedures, Audit Implementation Guide.
45001:2018. Documentation:
Legal Requirements,
Organization Policies &
Procedures.
Team Leader: Sandeep Opening
Audit Start Date 28/09/2020 10:00am
Meeting
Team Mathi, Prithivi, Shivy, Closing
Audit End Date 29/09/2020 06:00PM
Member: Baabu. Meeting
Audit Schedule
Date Client Function Auditor Time (hrs)

Audit Team &
28/09/2020 Audit Opening Meeting 10:00am- 11:00am (1hr)
Organization Members
Production
28/09/2020 Prithivi & Shivy 11:00AM- 01:00PM
Maintenance including Utilization
28/09/2020 HR including Admin Mathi & Baabu 11:00AM- 01:00PM
28/09/2020 Top Management Sandeep 11:00AM- 01:00PM
28/09/2020 Lunch Break 01:00PM- 02:00PM
28/09/2020 Installation Prithivi & Mathi 02:00PM- 04:00 PM
28/09/2020 Purchase Shivy & Baabu 02:00PM- 04:00 PM
28/09/2020 Tea Break 04:00 PM- 04:15PM
Summarize day observation with Audit Team
28/09/2020 04:15 PM- 05:30 PM
Leader & Draft report preparation
28/09/2020 Team Discussion 05:30PM-06:00PM
Audit Team &
29/09/2020 Introduction Meeting 10:00AM-10:30AM
Organization Members
29/09/2020 MR Mathi 10:30 AM -11:00 AM
29/09/2020 Sales & marketing Shivy & Prithivi 10:30 AM -12:30 PM
29/09/2020 Transport Baabu 10:30 AM -12:30 PM
29/09/2020 Dispatch Sandeep 10:30 AM -12:30 PM
29/09/2020 Lunch Break 12:30PM- 01:30 PM
Summarize day observation with Audit Team
29/09/2020 01:30PM-05:00PM
Leader & started Preparing report


Exercise 13 Preparation of Audit Checklist Tutor Review- 15 Minutes
Considering the ISO 45001:2018 standard and OH&S Apex Document of Industrial Gases Company, and using the
organization structure, prepare an Audit Checklist for three process areas (functions/departments), allotted to your
group by the Tutor.
Note: As you are aware, the word “SHALL” means “MANDATORY” and all the requirements after shall are action
points to be verified in an audit. Take this as a tip in preparing Audit Checklist
Make the audit checklists in rough on the next page & as a group on the flip chart(s).
Each Group to make check lists for 3 Department allotted by tutor on three separate flip charts.
The group leaders to make a presentation of the exercise from the flip chart
Tutor guidance: In a training course, tutor should preferably ensure that all departments Industrial Gases Company
are covered in Ex 13 for making check list and in Exercise 15 for conducting role play. The eight departments to be
covered are (in order of priority): Production, Installation, Maintenance (including Utilities), HR (including Admin),
Purchase, Transportation & Dispatch, MR, Top Management and Sales and Marketing i.e. If the batch has only four or
five delegates, two groups will be made and each group will cover 3 departments, If the batch has 6 or more delegates,
then three groups will be formed and each group will cover 3 departments each. If the batch has 12 or more delegates,
then four groups will be formed and each group will cover 3 departments each.
Clause # CHECK POINT (For Verification) Conclusion Evidences

(Compliance / for NC
NC)
4 .1 Understanding the organization and its context
4.1 Have you determined external and internal issues that are
relevant to your purpose and your strategic direction and
that affect your ability to achieve the intended outcomes
of your Occupational Health and Safety Management
System?
4.1 How do you monitor and review information about these
external and internal issues?
4.2 Understanding the needs and expectations of workers and other interested parties
4.2 Have you determined the following:
a) the interested parties in addition to workers that

are relevant to the Occupational Health and
Safety Management System?
b) the needs and expectations of these interested

parties that are relevant to the Occupational
Health and Safety Management System?
c) which of these needs and expectations are, or

could become legal requirements and other
requirements?
How do you monitor and review information about these

interested parties and their relevant needs and
expectations?
4.3 Determining the scope of the OH&S Management system.
4.3 Have you determined the boundaries and applicability of
the OH&S management system to establish your scope?
When determining the scope of the OH&S management
system how did you consider:
a) the external and internal issues referred to in 4.1?
b) the requirements of relevant interested parties
referred to in 4.2?
c) take into account the planned or performed work
related activities?
Is the scope available as documented information?
4.4 OH&S Management System
4.4 Have you implemented and have the system in place to
maintain and continually improve your OH&S
management system, including the processes needed and
their interactions, in accordance with the requirements of
ISO45001?
5.1 Leadership and commitment

How does Top Management demonstrate leadership and
commitment with respect to the OH&S management?
system:
a) taking overall responsibility and accountability
for the prevention of work related injury and ill
health, as well as the provision of safe and
healthy workplaces and activities?
b) ensuring that the OH&S policy and related
OH&S objectives are established for the OH&S
management system and are compatible with the
strategic direction of the organization?
d) ensuring that the resources needed for the OH&S
management system are available?
e) communicating the importance of effective
OH&S management and of conforming to the
OH&S management system requirements?
j) developing, leading and promoting a culture in
the organization that supports the intended
outcomes of the OH&S management system?
k) protecting workers from reprisals when reporting
incidents, hazards, risks and opportunities?
supporting the establishment and functioning of health and
safety committee?

5.2 OH&S Policy

5.2 Have top management established, implemented and
maintained a OH&S policy that:
a) includes a commitment to provide safe and
healthy working conditions for the prevention of
work related injury and ill health and is
appropriate to the purpose, size and context of the
organization and to the specific nature of its
OH&S risks and opportunities?
b) provides a framework for setting OH&S
objectives?
c) includes a commitment to fulfil legal
requirements and other requirements?
Is the OHS policy
• available as documented information
• communicated within organization
• available as interested parties
relevant and appropriate?
5.3 organization roles and responsibilities and authorities
5.3 Does top management ensure that the responsibilities and
authorities for relevant roles within the OH&S
management system are assigned, available as
documented information, communicated and understood
at all levels within the organization?
Do workers assume responsibility for those aspects of the
OH&S management system for which they have control?
Has top management assigned the responsibility and
authority for:
a) ensuring that the OH&S management system
conforms to the requirements of ISO 45001?
b) reporting on the performance of the OH&S
management system to top management?
5.4 Consultation and Participation of workers

5.4 Has your organization established, implemented and
maintained a process (es) for consultation and
participation of workers at all applicable levels and
functions, and where they exist, workers representatives,
in the development, performance evaluation and actions
for improvement of the OH&S system?
Does the organization:
a) provide mechanisms, time, training and resources

necessary for consultation and participation?
b) provide timely access to clear, understandable and
relevant information about the OS&H management
system?
c) determine and remove obstacles or barriers to
participation and minimize those that cannot be removed?
d) emphasize the consultation of non-managerial
workers on the following:
1) determining the needs and expectations of
interested parties
2) establishing the OH&S policy
3) assigning organizational roles, responsibilities and
authorities, as applicable
6) determining applicable controls for outsourcing,
procurement and contractors
e) emphasize the participation of non-managerial workers
in the following:
1)determining the mechanisms for their consultation and
participation;
2) identifying hazards and assessing risks and
opportunities
3) determining actions to eliminate hazards and reduce
OH&S risks
4) determining competence requirements, training needs,
training and evaluating training
5) determining what needs to be communicated and how
this will be done
6) determining control measures and their effective
implementation and use
7) investigating incidents and nonconformities and
determining corrective actions
6.1 Action to address risk and opportunities

6.1.1 When planning for the OH&S management system, the
organization shall consider the issues referred to in 4.1
(context), the requirements referred to in 4.2 (interested
parties) and 4.3 (the scope of its OH&S management
system) and determine the risks and opportunities that
need to be addressed to:
a) give assurance that the OH&S management system
can achieve its intended outcome(s);
b) prevent, or reduce, undesired effects;
c) achieve continual improvement.
When determining the risks and opportunities for the

OH&S management system and its intended outcomes
that need to be addressed, the organization shall take into
account:
— hazards
— OH&S risks and other risks
— OH&S opportunities and other opportunities
— legal requirements and other requirements.
Does your organization maintained documented

information on:
— risks and opportunities;
— the process(es) and actions needed to determine and
address its risks and opportunities (see 6.1.2 to 6.1.4) to
the extent necessary to have confidence that they are
carried out as planned.
6.1.2 Hazard identification and assessment of risk and opportunities
6.1.2.1 Has the organization established, implemented and
maintained a process(es) for hazard identification that is
ongoing and proactive? Do the process(es) shall take into
account, but not be limited to:
a) how work is organized, social factors (including

workload, work hours, victimization, harassment and
bullying), leadership and the culture in the organization;
b) routine and non-routine activities and situations,
including hazards arising from:
1) infrastructure, equipment, materials, substances and
the physical conditions of the workplace;
2) product and service design, research, development,
testing, production, assembly, construction, service
delivery, maintenance and disposal;
3) human factors;
4) how the work is performed;
c) past relevant incidents, internal or external to the
organization, including emergencies, and their causes;
d) potential emergency situations;
e) people, including consideration of:
1) those with access to the workplace and their activities,
including workers, contractors, visitors and other
persons;
2) those in the vicinity of the workplace who can be
affected by the activities of the organization;
3) workers at a location not under the direct control of the
organization;
f) other issues, including consideration of:
1) the design of work areas, processes, installations,
machinery/equipment, operating procedures and work
organization, including their adaptation to the needs and
capabilities of the workers involved;
2) situations occurring in the vicinity of the workplace
caused by work-related activities under the control of the
organization;
3) situations not controlled by the organization and
occurring in the vicinity of the workplace that can cause
injury and ill health to persons in the workplace;
g) actual or proposed changes in organization, operations,
processes, activities and the OH&S management system
(see 8.1.3);
h) changes in knowledge of, and information about,
hazards.
6.1.2.2 Assessment of OH&S risks and other risks to the OH&S management system

6.1.2.2 Does the organization established, implemented and

maintained a process?
a) assess OH&S risks from the identified hazards, while
taking into account the effectiveness of existing controls;
b) determine and assess the other risks related to the
establishment, implementation, operation and
maintenance of the OH&S management system is
documented information shall be maintained and retained
on the methodology(ies) and criteria?
6.1.3 Determination of legal requirements and other requirements
6.1.3 Does the organization established, implemented and
maintained a process?
a) determine and have access to up-to-date legal
requirements and other requirements that are applicable
to its hazards, OH&S risks and OH&S management
system;
b) determine how these legal requirements and other
requirements apply to the organization and what needs to
be communicated;
c) take these legal requirements and other requirements
into account when establishing, implementing,
maintaining and continually improving its OH&S
management system
Is organization maintain the documented information on

its legal requirements and other requirements and shall
ensure that it is updated to reflect any changes?
6.1.4 Planning action
6.1.4 Does the organization plan includes:

a) actions to:
1) address these risks and opportunities
2) address legal requirements and other requirements
3) prepare for and respond to emergency situations

6.2.1 OH&S objectives

6.2.1 Has your organization established OH&S objectives at
relevant functions and levels in order to maintain and
continually improve the OH&S management system and
OH&S performance?
The OH&S objectives shall:

a) be consistent with the OH&S policy;
b) be measurable (if practicable) or capable of
performance evaluation;
c) take into account:
1) applicable requirements;
2) the results of the assessment of risks and opportunities
(see 6.1.2.2 and 6.1.2.3);
3) the results of consultation with workers (see 5.4) and,
where they exist, workers’ representatives;
d) be monitored;
e) be communicated;
f) be updated as appropriate.
6.2.2 Planning to achieve OH&S objectives
6.2.2 When planning how to achieve its OH&S objectives, the
organization shall determine:
a) what will be done;
b) what resources will be required;
c) who will be responsible;
d) when it will be completed;
e) how the results will be evaluated, including indicators
for monitoring;
f) how the actions to achieve OH&S objectives will be
integrated into the organization’s business processes.
Is the organization shall maintain and retain documented

information on the OH&S objectives and plans to
achieve them?
7.Support
7.1 Resources
7.1 Has your organization determined and provided the
resources needed for the establishment, implementation,
maintenance and continual improvement of the OH&S
management system?
7.2 Competence
7.2 Has your organization:
a) determine the necessary competence of workers that
affects or can affect its OH&S performance;
b) ensure that workers are competent (including the
ability to identify hazards) on the basis of appropriate
education, training or experience;
c) where applicable, take actions to acquire and maintain
the necessary competence, and evaluate the effectiveness
of the actions taken;
d) retain appropriate documented information as
evidence of competence.
7.3 Awareness
7.3 How does the organization ensure that workers are aware
of:
a) the OH&S policy and OH&S objectives;
b) their contribution to the effectiveness of the OH&S
management system, including the benefits of improved
OH&S performance;
c) the implications and potential consequences of not
conforming to the OH&S management system
requirements;
d) incidents and the outcomes of investigations that are
relevant to them;
e) hazards, OH&S risks and actions determined that are
relevant to them;
f) the ability to remove themselves from work situations
that they consider present an imminent and serious
danger to their life or health, as well as the arrangements
for protecting them from undue consequences for doing
so.
7.4 Communication
7.4 How have you determine the organization shall establish,
implement and maintain the process(es) needed for the
internal and external communications relevant to the
OH&S management system?
a) on what it will communicate;
b) when to communicate;
c) with whom to communicate:
1) internally among the various levels and functions of
the organization;
2) among contractors and visitors to the workplace;
3) among other interested parties;
d) how to communicate.
In what form the organization shall retain documented

information as evidence of its communications, as
appropriate?
7.4.2 Internal Communication

Has the organization ensured that:
a) internally communicate information relevant to the

OH&S management system among the various levels and
functions of the organization, including changes to the
OH&S management system, as appropriate;
b) ensure its communication process(es) enables workers
to contribute to continual improvement.
7.4.3 External Communication
7.4.3 Has the organization ensured that externally
communicate information relevant to the OH&S
management system, as established by the organization’s
communication process(es) and taking into account its
legal requirements and other requirements.

7.5 Documented Information
7.5.1 Does your organizations OH&S Management system
include:
a) documented information required by ISO45001?
b) documented information determined by the
organization as being necessary for the effectiveness of
the OH&S management system.
7.5.2 Creating and updating
7.5.2 When creating and updating documented information, the
organization shall ensure appropriate:
a) identification and description (e.g. a title, date, author
or reference number);
b) format (e.g. language, software version, graphics) and
media (e.g. paper, electronic);
c) review and approval for suitability and adequacy.
7.5.3 Control of documented information

How do you ensure documented information required by
your OH&S management system and by ISO45001 is
controlled to ensure:
a) it is available and suitable for use, where and when it

is needed;
b) it is adequately protected (e.g. from loss of
confidentiality, improper use or loss of integrity).
For the control of documented information, the

organization shall address the following activities, as
applicable:
— distribution, access, retrieval and use;
— storage and preservation, including preservation of
legibility;
— control of changes (e.g. version control);
— retention and disposition.
8 Operation
8.1 Operational planning control
8.1.1 General
8.1.1 Does your organization plan, implement and control the
processes (see 4.4) needed to meet the requirements of
the OH&S management system and to implement the

actions determined in Clause 6 by:
a) establishing criteria for the processes;

b) implementing control of the processes in accordance
with the criteria;
c) maintaining and retaining documented information to
the extent necessary to have confidence that the
processes have been carried out as planned;
d) adapting work to workers.
8.1.2 Eliminating Hazards and Reducing OH&S Risk

8.1.2 Has the organization established, implemented and
maintained processes for the elimination of hazards and
reduction of OH&S risks using the following hierarchy
of controls:
a) eliminate the hazard;

b) substitute with less hazardous processes, operations,
materials or equipment;
c) use engineering controls and reorganization of work;
d) use administrative controls, including training;
e) use adequate personal protective equipment.
8.1.3 Management to change

8.1.3 Has the organization established processes for the
implementation and control of planned temporary and
permanent changes that impact performance including:
a) new products, services and processes, or changes to

existing products, services and processes, including:
— workplace locations and surroundings;
— work organization;
— working conditions;
— equipment;
— work force;
b) changes to legal requirements and other requirements;
c) changes in knowledge or information about hazards
and OH&S risks;
d) developments in knowledge and technology.
Does the organization review the consequences of

unintended changes, taking action to mitigate any
adverse effects, as necessary?
8.1.4 Procurement
8.1.4.1(General) Has the organisation established, implemented and
maintained processes to control the procurement of
products and services in order to ensure their conformity
to its OH&S management system?
8.1.4.2(contractors) Does the organisation coordinate its procurement

processes with its contractors, in order to identify hazards
and assess and control the OH&S risks arising from:
a) the contractors’ activities and operations that impact

the organization;
b) the organization’s activities and operations that impact
the contractors’ workers;
c) the contractors’ activities and operations that impact
other interested parties in the workplace.
Does the organizations procurement processes define and
apply occupational health and safety criteria for the
selection of contractors?
8.1.4.3(outsourcing) How does the organization ensure outsourced functions

and processes are controlled?
Does the organization ensure that its outsourcing
arrangements are consistent with legal requirements and
other requirements and with achieving the intended
outcomes of the OH&S management system?
Has the type and degree of control to be applied to these
functions and processes been defined within the OH&S
management system?
8.2 Emergency preparedness and response
8.2 Has the organization established , implemented and
maintained the processes needed to prepare for and
respond to potential emergency situations identified in
6.1.2.1 and do they include:
a) establishing a planned response to emergency

situations, including the provision of first aid;
b) providing training for the planned response;
c) periodically testing and exercising the planned
response capability;
d) evaluating performance and, as necessary, revising the
planned response, including after testing and, in
particular, after the occurrence of emergency situations;
e) communicating and providing relevant information to
all workers on their duties and responsibilities;
f) communicating relevant information to contractors,
visitors, emergency response services, government
authorities and, as appropriate, the local community;
g) taking into account the needs and capabilities of all
relevant interested parties and ensuring their
involvement, as appropriate, in the development of the
planned response.
Has the organization maintained documented information

on the process and on the plans for responding to
potential emergency situations?
9. performance evaluation
9.1 Monitoring, Measurement, analysis and evaluation
9.1.1 The organization shall establish, implement and maintain
processes for monitoring, measurement analysis and
performance evaluation. How does your organization
determine:
a) what needs to be monitored and measured, including:

1) the extent to which legal requirements and other
requirements are fulfilled;
2) its activities and operations related to identified
hazards, risks and opportunities;
3) progress towards achievement of the organization’s
OH&S objectives;
4) effectiveness of operational and other controls;
b) the methods for monitoring, measurement, analysis

and performance evaluation, as applicable, to ensure
valid results;
c) the criteria against which the organization will
evaluate its OH&S performance;
d) when the monitoring and measuring shall be
performed;
e) when the results from monitoring and measurement
shall be analysed, evaluated and communicated.
In what form does your organization retain appropriate
documented information as evidence of the monitoring,
measurement, analysis and performance evaluation and
maintenance, calibration or verification of measuring
equipment?
9.1.2 Evaluation of compliance
9.1.2 How does your organization establish implement and
maintain processes for evaluating compliance with legal
and other requirements?
a) determine the frequency and method(s) for the

evaluation of compliance;
b) evaluate compliance and take action if needed (see
10.2);
c) maintain knowledge and understanding of its
compliance status with legal requirements and other
requirements;
d) retain documented information of the compliance
evaluation result(s).
9.1.2 Evaluation of compliance

9.1.2 How does your organization establish implement and
maintain processes for evaluating compliance with legal
and other requirements?
a) determine the frequency and method(s) for the

evaluation of compliance;
b) evaluate compliance and take action if needed (see
10.2);
c) maintain knowledge and understanding of its
compliance status with legal requirements and other
requirements;
d) retain documented information of the compliance
evaluation result(s).
9.2 Internal audit

9.2.1 Does your organization conduct internal audits at planned
intervals to provide information on whether the OH&S
management system:
a) conforms to:
1) the organization’s own requirements for its OH&S
management system, including the OH&S policy and
OH&S objectives;
2) the requirements of this document;
9.2.2 Does your organization:
a) plan, establish, implement and maintain an audit

programme(s) including the frequency, methods,
responsibilities, consultation, planning requirements and
reporting, which shall take into consideration the
importance of the processes concerned and the results of
previous audits;
b) define the audit criteria and scope for each audit;
c) select auditors and conduct audits to ensure objectivity
and the impartiality of the audit process;
d) ensure that the results of the audits are reported to
relevant managers; ensure that relevant audit results are
reported to workers, and, where they exist, workers’
representatives, and other relevant interested parties;
e) take action to address nonconformities and continually
improve its OH&S performance (see Clause 10);
f) retain documented information as evidence of the
implementation of the audit programme and the audit
results.
9.3 Management review

9.3 ISO 45001 requires “Top management shall review the
organization’s OH&S management system, at planned
intervals, to ensure its continuing suitability, adequacy,
effectiveness”. What format does this review(s) take?
Is your organizations management review planned and

carried out taking into consideration:
a) the status of actions from previous management

reviews;
b) changes in external and internal issues that are relevant
to the OH&S management system, including:
1) the needs and expectations of interested parties;
2) legal requirements and other requirements;

3) risks and opportunities;
c) the extent to which the OH&S policy and the OH&S
objectives have been met;
d) information on the OH&S performance, including
trends in:
1) incidents, nonconformities, corrective actions and
continual improvement;
2) monitoring and measurement results;
3) results of evaluation of compliance with legal
requirements and other requirements;
4) audit results;
5) consultation and participation of workers;
6) risks and opportunities;
e) adequacy of resources for maintaining an effective
OH&S management system;
f) relevant communication(s) with interested parties;
g) opportunities for continual improvement.
Do the outputs of the management review include

decisions and actions related to:
— the continuing suitability, adequacy and effectiveness
of the OH&S management system in achieving its
intended outcomes;
— continual improvement opportunities;
— any need for changes to the OH&S management
system;
— resources needed;
— actions, if needed;
— opportunities to improve integration of the OH&S
management system with other business processes;
— any implications for the strategic direction of the
organization.
How are the relevant outputs from management review

communicated to workers and where they exist workers
representatives?
In what form does your organization retain documented

information as evidence of the results of management
reviews?
10 Improvement
10.1(General) How do you determine and select opportunities for
improvement and implement any necessary actions to
achieve intended outcomes of your OH&S management
system?
10.2(Incident, non When an incident or nonconformity occurs, how does

conformity and corrective your organization:
action)
a) react in a timely manner to the incident or
nonconformity and, as applicable:
1) take action to control and correct it;
2) deal with the consequences;
b) evaluate, with the participation of workers (see 5.4)
and the involvement of other relevant interested parties,
the need for corrective action to eliminate the root
cause(s) of the incident or nonconformity, in order that it
does not recur or occur elsewhere, by:
1) investigating the incident or reviewing the
nonconformity;
2) determining the cause(s) of the incident or
nonconformity;
3) determining if similar incidents have occurred, if
nonconformities exist, or if they could potentially occur;
c) review existing assessments of OH&S risks and other
risks, as appropriate (see 6.1);
d) determine and implement any action needed, including
corrective action, in accordance with the hierarchy of
controls (see 8.1.2) and the management of change (see
8.1.3);
e) assess OH&S risks that relate to new or changed
hazards, prior to taking action;
f) review the effectiveness of any action taken, including
corrective action;
g) make changes to the OH&S management system, if
necessary.
Does the organization retain the documented information

about:
the nature of the incidents or nonconformities and any
subsequent actions taken;
— the results of any action and corrective action,
including their effectiveness.
10.3(Continuous How does your organization continually improve the

improvement) suitability, adequacy and effectiveness of the OH&S
management system?
b) promoting a culture that supports an OH&S

management system;
c) promoting the participation of workers in
implementing actions for the continual improvement of
the OH&S management system;
d) communicating the relevant results of continual
improvement to workers, and, where they exist, workers’
representatives;
e) maintaining and retaining documented information as
evidence of continual improvement.

Recording Non-Conformities Group Exercise – 45 Minutes

Exercise 14
15 Minutes for presentation
15 Minutes for Tutor Review
Please read the following cases and judge as under – please note you are an auditor assessing this situation, that
means you are standing there in the case and performing interview while auditing.
1. If you think there is a sufficient objective evidence of nonconformity then complete the Non-conformity notes
provided in top part of the Non-Conformity Note and categorize the same as “Major” or “Minor”.
2. If you think there is not sufficient objective evidence of nonconformity then state the reasons in the section
“Comments” for not classifying it as Non-conformity. In this section, also state what must be further
investigated as an “Audit Trail” before concluding your decision wither it is conforming or non-conforming.
(Audit Trail is the sequence of probing to establish C or NC – can be forward trail or backward trail).
Questions in this section are designed to test student’s ability to analyse audit situations, evaluate audit evidence and
apply knowledge of the audit criteria correctly.
Students are also required to demonstrate their ability to write a well- constructed nonconformity statement that
describes clearly the weakness or failure of the management system, the audit evidence and the requirement(s) of the
standard.
Note to marker:
To raise a nonconformity report when there is not sufficient audit evidence should be penalized and markers
should normally award zero mark.
To complete an audit investigation where there is sufficient evidence to report nonconformity can often be
supported and be given marks, normally up to a maximum of 7 marks from a possible 10 marks.
To be awarded marks a student must state clearly their reason for thinking there is not yet sufficient evidence to report
the findings as a nonconformity and describe the investigation they would follow to determine conformity or
nonconformity; including audit trails and audit evidence they would seek and for what purpose, quoting relevant ISO
45001 clause numbers.
Exceptionally, where there was some obvious ambiguity in the description of the audit situation or the student
demonstrates logical argument, knowledge of the subject and the answer shows an ability to make a reasoned judgement
leading to a clear determination of conformity or nonconformity marks up to the maximum available may be given.
Typical solutions for nonconformities follow a standard method of presentation: i.e. failure in the system (3 marks for
identifying the failure), audit evidence (3 marks for identifying the audit evidence) and requirements (1 mark for
identifying the ISO 45001 clause and requirement). Alternative structure or presentation of the nonconformity by a
student is acceptable provided these three components of the nonconformity are clearly present and the distribution
of marks adhered to.

A) Case studies for judging conformity/ non-conformity (non-relevant to Industrial

Gases)
For each of the following 4 cases, conclude the degree of compliance by performing audits and
give your judgment in the form of non-conformities.
Incident 1
Following is the hazard analysis (Document: WER Ver. 3.4) done by one company. Audit this analysis and come
out with your output – Non-conformities if they are there:
OCCURRENCE SCALE SEVERITY SCALE
Daily 5 Minor Illness(1 Day) 1
Monthly 3 Critical Illness – needing Hospitalization 3
RISK FREQUEN
HAZARD PREVENTIVE ACTION
DISCRIPTION OF (Occurren CY OF
HAZARD CLASIFICATI (Cause 100% removal / REGULATORY REQUIREMENT
HAZARD ce X THE
ON Control to reduce)
Severity) ACTION
Max. # of Hrs. Exposure

per employee per work
Occurrenc day hours = IF 8 Hrs Then
EAR DRUM MAY e = Daily ALL THE allowed Sound Level in dB
BE EFFECTED / Severity = TIME IN is Max. 90 [ As per
WEARING EAR Plug
1. NOISE ILLNESS LEADING Minor SIGNIFICANT PRODUC Chapter 2 of Health &
(Control to reduce only)
TO HOSPITAL Illness TION Safety Regulation &
TREATMENT RISK Rating FLOOR
Standard (2003 Issue) of
= 5 X 4 = 20
BEND SAW Machine in Ports, Customs & free
Joinery Co. Zone Regulation OF Local
Regulations
TG - NUMBER 21 (Personal
Occurrenc
e = Daily Protective Equipment) =
ALL THE RESPIRATORY
Severity =
SKIN / TIME IN
Minor WEARING FACE MASK PROTECTION of
2. AIR RESPIRATORY SIGNIFICANT PRODUC
DIESES
Illness (Control to reduce only)
TION ENVIRONMENTAL
RISK PROTECTION & SAFETY
FLOOR
RATING = 5 SECTION OF LOCAL
X 3 = 15
REGULATIONS
Point of
Point of Operation:
Operation:
GUARD THE BLADE
CONTACT WITH
ENTIRELY EXCEPT THE
THE MOVING
POINT OF OPERATION-
BLADE MAY
PROPERLY ADJUST THE
OCCUR -SEVER
BLADE GUIDE & THE
FINGERS
UPPER SAW SO THAT IT
In running nip
RAISES & LOWERS WITH
Points:
THE BLADE
CLOTHING, HAIR
Occurrenc In running nip Points: _ TG - NUMBER 16 (Personal
OR HANDS MAY
e = Daily FULLEY ENCLIOSE HE Protection Equipment) =
BE CAUGHT BY & ALL THE
Severity = PULLEY MECHANIZM
PULLED INTO THE TIME IN HEARING PROTECTION of
Minor Kickbacks
3. INJURY FEED ROLLS OR
Illness
SIGNIFICANT PRODUC ENVIRONMENTAL
USE PROTECTIVE
THE PULLEY TION PROTECTION & SAFETY
RISK CLOTHING, EYE GLASSES
MECHANISM FLOOR SECTION OF Local
RATING = 5 ETC.
Kickbacks :
X 3 = 20 Flying Chips : Regulations
STOCK CAUGHT
MAKE SURE THE SAW
BY THE BLADE
INCLUDES A TENSION
MAY BE THROWN
CONTROL DEVICE TO
BACK AT THE
INDICATE THE ACTUAL
OPERATOR
Flying Chips : BLADE TENSION & ALSO
USE PROTECTIVE
WOOD CHIPS &
CLOTHING, EYE GLASSES
SPLINTERS MAY BE
ETC.
THROWN BACK AT
(Control to reduce only)
THE OPERATOR

NON CONFORMITY NOTE Incident: 1
ISO 45001:2018 CLAUSE No: 6.1.2.2
Company documents Area unit involved

MAJOR / MINOR
Documents Wer Production Process [Strike out as required]
Ver3.4
Failure (Nonconformity) (WHAT):
Risk is not properly identified(6.1.2)
Who might be harmed is not properly identified (6.1.2.1.e.1)
There is no proper implementation of Hierarchy of Controls (6.1.2.3.a.2)
Evaluation of risk (risk rating) are not mentoned(6.1.4.b)
Legal requirements are not properly identified to mitigate the risks. (6.1.3.b.b)
Evidence (reference of Process/Personnel/Documents) (WHERE):

Documents Wer Ver3.4
Requirement (WHY):
Hazard shall be properly identified to assess the risks
Control of risk shall be implemented and established
Communication of risks shall be communicated to the workers to understand the tisk.
Auditor Auditee Date

Prithivi & Mathi 28.09.2020
Comments:
Process Deficiency- machine operating procedure has not been defined
Personnel – people or worker who might be harmed has not been identified
There is no proper implementation of Hierarchy of Controls
Action to be taken-
Proper training shall be provided to operator and worker towards safe operation of bend saw machine
The organization shall maintain and retain documented information towards its legal requirement and
calibration record of the machine.

Incident 2
Following is the hazard analysis done by one company. Audit this analysis and come out with your
output – Non-conformities if they are there:
Document : ABC Version 1.2

RISK
PREVENTIVE ACTION
HAZZARD (Occurrence FREQUENCY OF THE ACTION
(Cause 100% removal / Control to reduce)
X Severity)
Occurrenc
SPARKS
e = Daily
MINOR /
Severity =
MAJOR
Minor WEARING ALL PPE FOR WELDING ALL THE TIME WHEN
BURNS ON
Illness (Control to reduce only) WELDING IS DONE
ANY BODY
RISK
PART
RATING = 5
Welding X 4 = 20
ISO 45001:2018 CLAUSE No : 6.1.2&6.1.2.2

MAJOR / MINOR
ABC Version 1.2 Welding Area [Strike out as required]
All Hazard with reference to welding work has not been identified
Assessment of Risk from identified Hazard has not been performed
Process- Identification of Hazard like Electric Shock, Exposure to UV & IR radiation, inappropriate
use of face Shield etc. has not been Consider
Personnel- the welder is holding the Face Shield with his hand which is not a safer way for welding
work
Document- Assessment of Risk from identified Hazard has not been performed according to the
document ABC Version 1.2
Requirement (WHY):
Welding work should be organized considering all Safety precautions.
Risk Assessment should be carried out to check the effectiveness of Existing control
Legal and other requirement not Identified in hazard analysis


Jerin & Mohammad Welding Company 28/09/2020
Comments:
Major Hazard Which is not mentioned are

Electric Shock,
Exposure to UV & IR radiation,
inappropriate use of face Shield
Risk Assessment should be carried out to check the effectiveness of Existing control
Incident 3
In the following case, identify any non-compliance exists or not:
Document: XYZ Version 1.9
““ In a scaffolding design carried out by a scaffold designing company, for a construction company,
constructing an Oil Tank at the storage yard of Oil & Gas company, HSE requirements for the
guardrails were not considered. The legal requirements were not confirmed from the client by the
scaffolding company while preparing the design. The local regulation (Local regulation code of
construction Safety Practice shown as below:

ISO 45001:2018 CLAUSE No: 8.1.2&8.1.4

MAJOR / MINOR
XYZ Version 1.9 Storage Yard [Strike out as required]
Scaffolding not designed as per the international OH&S standard.
Hierarchy of control is not mentioned
Legal requirements are not properly identified to mitigate the risks.

Process- HSE requirements for the guardrails were not considered as per company document XYZ
Version 1.9
Personnel - Hierarchy of control is not mentioned as the scaffolding design is not as per International
OH&S standard
Document - The legal requirements were not confirmed from the client by the scaffolding company
while preparing the design
Requirement (WHY):
Toe board to top rail not less than 95cm
Toe board height 15cm required
Maximum distance Posts 240cm required.
Top rail, Mid Rail, & Toe board distance not more than 47cm
Sandeep & Baabu scaffold designing 28/09/2020
company
Comments:
• Scaffolding Design Shall Be as per OH&S standard.
• The organization shall establish implement and maintain process for elimination of hazards and
reduction of OH&S risk
The organization shall ensure that outsourcing arrangement are consistent with legal requirement.

Incident 4
In Local Regulation code of construction safety practice Rev.008 para 7.4 states following for 8
hours :
The OHSAS Manual PQP Ver. 2.5 Dt. 20/05/2008 of a logistic company states as following in store yard
operation, as below:
Para 5.1 – Manual Load Lifting

“Maximum allowable limit for load lifting by personnel in operation is 25kgs and any load above 25kgs
is to be done by fork lift or trolleys”.
Following precautions to be taken during load lifting:

1. Manual Load lifting - Always wear helmets, safety shoes and gloves
2. Manual load lifting - Check for any sharp objects precluding which may be harmful;
3. Manual load lifting - Always wear gloves for load listings;
4. Manual load lifting - Never put the load on shoulders / head for changing the location;
5. Manual load lifting- For carrying- never carry for not more than 15 feet;
6. Manual Load lifting – Take rest for 15 minutes after load lifting for 45 minutes;
7. Manual Load Lifting – In case of injury / ill health, stop the work - Always inform supervisor / HSE In-charge
In case of any Near miss / injury / ill health, please fill up incident report (Part -1) and hand over to
supervisor / safety officer on duty. In case you are not in a position to record, take help from any one
(including supervisor / safety officer) and ensure that adequate communication is done to the safety
officer and also recommend (if feasible), the improvements required for such incident not to recur
again.

ISO 45001:2018 CLAUSE No:

MAJOR / MINOR
OHSAS Manual PQP Store Yard [Strike out as required]
Ver. 2.5 operation
In accordance with para 5.1 manual lifting load. The max load lifting by personnel Is 25 kg and weight
more than 25 kg to be lifted by fork lift or trolleys.
In accordance to serial 1 to serial 7 at para 5.1 manual load lifting safety precaution logistic
company& standard
In accordance with standard para 6.1.2.2a&b regard to process not listed

Injury Caused to individual & near miss raised due to
Process: Non conformity of instruction regards to weight lifting guideline provided via standard
Para 5.1 OH&S Manual PQP ver2.5
Personnel: Non conformity of process precaution indicated via Standard serial 1 to Serial 7 Para 5.1
OH&S Manual PQP ver2.5.
Document: The Document for record of load lifting along with personnel details/ body weight and
health not found as per standard
Requirement (WHY):
The implementation of OH&S as per standard of OH &S manual of the logistic company

AJIN logistic company 28/09/2020
SHIVY
BL SHARMA
Comments:
Process Deficiencies- The load lifting is observed to higher than permitted load as per standard OH&S manual provided by
company
Person Deficiency: The knowledge of person about precaution are not as re standard OH&S manual provided by company
Documents: The Document related to person Details body weight and health not found as per standard
Preventative Measures to be implemented (For non-repetitive of same incidence as per ISO 6.1.2.3& 6.1.3 with regards to
risk opportunity and process
A) Process Deficiencies: The load lifted must be as per OH&S Manual instruction laid as per para 5.1
B) Person Deficiency: Every person selected for weight lifting job must be briefed about the process and safety precaution
as per standard OH&S manual provided by company
C) Documents: the detail of personnel such as body weight and health Status shall be maintained in lifting Log Book of the Day
as per OH&S manual provided by company

Group Exercise –
Exercise 15 Role Play – Interview Process 450 Min. for Role Play
30 Minutes for presenting audit findings
20 Minutes for Tutor Review
Role play for Stage 2 audit of Industrial Gas Company will be conducted after Stage 1 audit already done. It is
assumed that the company has taken corrective actions on all NC’s of Stage 1 audit including scope.
Teams will be same as made for the exercise on Checklist # 14 – Each Team will audit for the specific 3 functions
allotted by tutor.
Tutor will act as Auditee.
Conduct the role play involving each team so that all get a chance for the LIVE AUDIT. And record at least 2 NC of
each function i.e. total 4 NCs.
The group (s) which are not auditing shall observe the other group while auditing and present their observations
and findings at the end of each role play.
Process Area (Department) : MR
# CHECK POINT (For Verification) Conclusion Evidences for NC

(Compliance / NC) (Page # of Apex
Documented
Information)
1 Has your organization considered issue required to OH&S Compliance
2 Are you maintaining documented information on Risk and NC Page 10 of Apex
opportunities Documented Information
3 Has your organization considered routine and non-routine Compliance
activities to maintain process for hazard Identification
4 Has your organization established any process to emphasize the NC Page 11 of Apex
participation of non – managerial workers Documented Information
5 Are you Maintaining the documented information on legal and Compliance
other requirement
6 Has your organization established OH&S objective at relevant Compliance
function for its continual improvement of OH&S management
system
7
Process Area (Department) : Maintenance including utilization

(Compliance / NC) (Page # of Apex Documented
Information)
1 Has organization maintained the process to Compliance
meet requirement of OH&S
2 Is there any evidence that risk NC Page 15 of Apex Documented Information
assessment is carried out against the
performed work-related activities
3 Has organization established the process Compliance
for implementation and control of planned
temporary and permanent changes

4 Are there records of induction training NC Page 15 of Apex Documented Information
to outsourcing contractors
5 Has your organization maintained a Compliance
process to control the procurement of
product and services
6
7

Process Area (Department) : Transport

(Compliance / NC) (Page # of Apex Documented
Information)
1 Is there any process to ensure the competency of the Compliance
worker
2 Have you maintained documented information as Compliance
evidence of competence
3 Is there any record of inspection, safety manual, NC Page 11 of Apex Documented Information
Training records, safety operating procedure, Codes of
practices and MSDS
4 Is there any policy of communication channels for NC Page 11 of Apex Documented Information
identifying the process of communication.
5 Is there any awareness program for worker with Compliance
regards to OH&S policy and objective
6
7
Questions in this section are designed to test student’s ability to analyse audit situations, evaluate audit evidence
and apply knowledge of the audit criteria correctly.
Students are also required to demonstrate their ability to write a well- constructed nonconformity statement that
describes clearly the weakness or failure of the management system, the audit evidence and the requirement(s)
of the standard.
Note to marker:
To raise a nonconformity report when there is not sufficient audit evidence should be penalized and
markers should normally award zero mark.
To complete an audit investigation where there is sufficient evidence to report nonconformity can often
be supported and be given marks, normally up to a maximum of 7 marks from a possible 10 marks.
To be awarded marks a student must state clearly their reason for thinking there is not yet sufficient evidence to
report the findings as a nonconformity and describe the investigation they would follow to determine conformity or
nonconformity; including audit trails and audit evidence they would seek and for what purpose, quoting relevant
ISO 45001 clause numbers.
Exceptionally, where there was some obvious ambiguity in the description of the audit situation or the student
demonstrates logical argument, knowledge of the subject and the answer shows an ability to make a reasoned
judgement leading to a clear determination of conformity or nonconformity marks up to the maximum available
may be given.
Typical solutions for nonconformities follow a standard method of presentation: i.e. failure in the system (3 marks
for identifying the failure), audit evidence (3 marks for identifying the audit evidence) and requirements (1 mark
for identifying the ISO 45001 clause and requirement). Alternative structure or presentation of the nonconformity
by a student is acceptable provided these three components of the nonconformity are clearly present and the
distribution of marks adhered to.

Write NCRs for any two NC’s for the three functions in the prescribed format (i.e. Total of 6 NC’s) on subsequent
pages
NON CONFORMITY NOTE (Role Play) NC: 1
ISO 45001:2018 CLAUSE No: 6.1.1 e
Company documents Company

MAJOR / MINOR
OCCUPATIONAL Industrial Gases CO. [Strike out as required]
HEALTH & SAFETY
MANAGEMENT
SYSTEM (OH&S) APEX
DOCUMENTED
INFORMATION
COMPLYING TO ISO
45001:2018 Issue 1
February 2018
Documented information on Risk and opportunities has not been provided by the company

Process- IGC company has not maintained any documented record of risk and opportunity during their plaining
process
Document- According to Apex manual there is no record of information on risk and opportunity ( Apex page 11)
Requirement (WHY):
IGC Shall maintain and retain documented information on Risk and opportunities, which shall be reviewed and
updated by the authority

Shivy & Prithvi Industrial Gases CO 28/09/2020

ISO 45001:2018 CLAUSE No: 5.4

MAJOR / MINOR
OCCUPATIONAL HEALTH & TOP Management [Strike out as required]
SAFETY MANAGEMENT SYSTEM
(OH&S) APEX DOCUMENTED
INFORMATION COMPLYING TO
ISO 45001:2018 Issue 1
February 2018
Failure (Nonconformity) (WHAT)
The organization has not established any process to emphasize the participation of non – managerial workers
Process- Requirement for participation of non – managerial workers to determine the mechanisms for their
consultation and participation
Document – Apex page no.11 , clause5.4e 1
Requirement (WHY):
The organization Shall emphasize the participation of non – managerial workers for identifying hazard and assessing
risk and opportunity

Shivy & Prithivi Industrial Gases CO 28/09/2020

ISO 45001:2018 CLAUSE No: 6.1.2.2

MAJOR / MINOR
OCCUPATIONAL HEALTH & Operation / [Strike out as required]
SAFETY MANAGEMENT SYSTEM Installation/Production
(OH&S) APEX DOCUMENTED
INFORMATION COMPLYING TO
ISO 45001:2018 Issue 1
February 2018
There is no evidence Whether the risk assessment is carried out against the work-related activities

Document-No record has been maintained in apex manual Page 15 to identify whether risk assessment has been
done for work related activities
Requirement (WHY):
According to ISO 45001:2018 Standard the organization criteria for the assessment of OH&S shall be documented
and retained

Prthivi & MATHI Industrial Gases CO 28/09/2020
ISO 45001:2018 CLAUSE No: 9.1.1

MAJOR / MINOR
OCCUPATIONAL Operation / [Strike out as required]
HEALTH & SAFETY Installation/Produ
MANAGEMENT ction
SYSTEM (OH&S) APEX
DOCUMENTED
INFORMATION
COMPLYING TO ISO
45001:2018 Issue 1
February 2018

there is no records of induction training to outsourcing contractors

Document : As per Apex Manual the outsourced function and process has not mentioned any safety induction
training program for outsources contractors
Requirement (WHY):
Safety Induction program shall be implemented for the contractors regularly to have process control

Prthivi &Mathi Industrial Gases CO 28/09/2020
ISO 45001:2018 CLAUSE No: 8.1.1

MAJOR / MINOR
OCCUPATIONAL HEALTH & SAFETY Transport [Strike out as required]
MANAGEMENT SYSTEM (OH&S)
APEX DOCUMENTED INFORMATION
COMPLYING TO ISO 45001:2018
Issue 1 February 2018
No record of inspection, safety manual, Training records, safety operating procedure, Codes of practices and MSDS were found

Document- As per apex manual of IGC No Training records or safety operating procedure were provided
Requirement (WHY):
According to ISO 45001: 2018 Standards the organization Shall provide the resources needed for maintenance of
OH&S System
Resources - inspection, safety manual, Training records, safety operating procedure

Industrial Gases CO 28/09/2020
Sandeep & Babu
ISO 45001:2018 CLAUSE No: 7.4d

MAJOR / MINOR
OCCUPATIONAL HEALTH & SAFETY Transport [Strike out as required]
MANAGEMENT SYSTEM (OH&S)
APEX DOCUMENTED INFORMATION
COMPLYING TO ISO 45001:2018
Issue 1 February 2018
There is no policy of communication channels for identifying the process of communication.

Document- As per Apex manual mode or policy of communication Channels has not been specified.
Requirement (WHY):
The organization Shall ensure into account Diversity aspects when considering its communication needs.

Sandeep & Baabu Industrial Gases CO 28/09/2020

Exercise 16 Audit Report- Stage 1 Document Review Group Exercise – 60 Minutes for Report
Preparation
20 Minutes for the Reports Presentation
10 Minutes for Tutor Feedback

Based on the audit done and findings recorded, please prepare Audit Report as below:
(A flipchart can be used in addition to the workbook)
ASSESSMENT REPORT
Name of Company (Organization): Industry Gases Co.
Address: Avenue 10 C Industrial Area, City XYZ, Gujarat State- 360024, India
Contact Person: Mr. Robert Position: General Manager Projects and MR (OHS)
Alternate Contact Person: Position:
Registration Scope: PRODUCTION AND TRADING OF INDUSTRIAL AND SPECIALTY GASES
No. of Employees: 50-60 No. of Shifts: Day
Company’s Key Documented Information Reference:
Apex Manual Industrial Gases Company Issue:01 Feb 2018
Management Standard: ISO 45001:2018
Assessment Type: Audit
Assessment Commencement Date: Assessment Completion Date: 29/09/2020
28/09/2020
Assessment Team:
Name Status
Mr.Sandeep – Audit Team Leader
Mr.Mathi- Audit Team Member
Mr.Mathi - Audit Team Member
Mr.Shivy - Audit Team Member
Mr.Baabu- Audit Team Member
Mandays : 02
Nonconformities raised during Assessment
NCR Ref. No. 01 02 03 04
Minor/Major Minor Minor Minor Minor
Nonconformities raised during last visit
NCR Ref. No. 01 02 03 04
Closed/Open open open open open
Non-applicability of requirements (with suitable justification)
NA
OH&S ASSESSMENT COMMENTARY
SCOPE OF THE OH&S MS (4.3)
The external and internal issues of the OSH system have identified and the stake holder’s comments are taken in
to consider while implementing the system.

Entire premises are found covered as a part of the organization in scope. IGC is committed to deliver its best
services and understand how relevant factors arising from legal, political, economic, social and technological issues
influence its strategic direction and Organizational context.
All activities of management systems are found covered in scope. Organization activities, products & services was
well defined in the OH&S Apex Documented Information.
Manager is heading the organization and have full control and influence on all activities of the organization which
are covered in scope.
CONTEXT OF OH&S MANAGEMENT SYSTEM (4.4)
The organization meet the requirements of the ISO standards and monitoring procedures are available, workers
are considered, stake holders are considered and investors are considered while developing the context of the
organization.
Following external & internal issues were verified that are relevant to its purpose that affects its ability to achieve
the intended outcomes of its OH&S management system:
Internal issues External Issues
Employees Demand of Interested Parties
Performance Weather Conditions
OH&S Legal and Other requirements
Knowledge & Skills Technological
OH&S
POLICY (5.2)
Organization has implemented safety culture to reduce the occupational related illness, injury. But thee is no proper
identification of hazards, even the risk rating is not evaluated properly for the identified hazards.
The organization policy has been developed, but the document is not approved by the top management shows the commitment
of top management inconsistence (5.2.f)
ADDRESSING RISK AND OPPORTUNITIES (6.1):
Risk rating has not properly mentioned in the assessment and also the identification of hazards are not
considered.
There are no objectives that are discussed and not able to set a time frame for its review to continuous
improvement process
Even though there are concerns raised on the grounds of proper identification of significant risk, opportunities,
Correct methodology for risk rating were not evident
OH&S OBJECTIVES AND PLAN (6.2):
IGC has established OH&S objectives at relevant functions, levels in order to maintain and continually improve the
OH&S management system and OH&S performance.
The OH&S objectives has been consistent with the OH&S policy; measurable or capable of performance evaluation;
taken into account applicable requirements; results of the assessment of risks and opportunities; the result of
consultation of workers and where they exist, workers’ representatives be monitored; be communicated; be
updated as appropriate.

When planning how to achieve its OH&S objectives, the IGC has determined what will be done; which resources will
be required; who will be responsible; when it will be completed; how the results will be evaluated, including
indicators for monitoring; how the actions to achieve OH&S objectives will be integrated into IGC’s business
processes.
COMPETENCE (7.2):
Competency assessment has done but task based training and assessment is not done.
Competency of personnel doing risk assessment is not mentioned
Verified that organization has determined the necessary competence of workers doing work under its control that affects
OH&S performance and its ability to fulfil its legal and other requirements.
COMMUNICATION (7.4):
INTERNAL COMMUNICATION:
Internal communication is done through display of OH&S policies at prominent places and available through data
boards, training courses/ workshops, circular on notice board, any other relevant information etc. All workers can
inform their OH&S suggestions/ concerns verbally or by writing. HR shall ensure feedback within 14 working days
on action taken.
EXTERNAL COMMUNICATION:
External Communication with interested parties is done through all the types of communication channel
available.
There is no proof of worker’s consultation and participation documents such as safety committee, site tours,
Toolbox talk Near miss report.
DOCUMENTED INFORMATION (7.5):
Retention period of the document is not mentioned in the manual. Records of conducting training is not available. Revision
history of the document is not available in the document and the also the top management is not approved the document.
Master document control form is available to track the document, nevertheless the document number is not mentioned in
the manual. The organization has the provision to track the documents, unauthorized access in its place.
OPERATIONAL PLANNING AND CONTROL (8.1)

Change of management procedure has been established, but there is no proof for the evidence of any organizational/
product/workforce/procedure change.
EMERGENCY PREPAREDNESS AND RESPONSE (8.2)
IGC is providing emergency planned response training to all the staff and also the mock exercises are conducted to response
such situations. The drill exercises evaluation record ins not available and also debriefing documents are not available to
improvise the process.
PERFORMANCE EVALUATIONS (9):
Functionalities based KPI are not available. PPM schedule and calibration of the equipment is available.
Internal audit has implanted and the audit findings are discussed in the management review meeting
IGC monitors, measures, analyse and evaluate its performance in terms of requirements, methods, criteria,
results and action required to validate the results of product, health and safety requirements.
REFERENCE DOCUMENTS:
DOCUMENT No. DOCUMENT TITLE
IGC/CP-05 Monitoring and measurement
IGC/F-17 OH&S Monitoring measurement and action Plan
IGC/CP-13 Management review & Continual Improvement
IGC analyses and evaluates appropriate data and information arising from monitoring and measurement. The
results of analysis shall be used to evaluate:
a) Conformity of Health and safety requirements.
b) Key performance indicators of the OH&S system.
c) The performance and effectiveness of the OH&S Management System.
e) If planning has been implemented effectively.
f) The effectiveness of actions taken to address risks and opportunities in Health and safety, requirements.
g) The performance of external providers.
IMPROVEMENT (INCIDENT, NONCONFORMITY AND CORRECTIVE ACTION) (10.2):
As the organization has reporting the Near miss and its is a good sign though, There is no proper incident reporting procedure
No procedure for improving the continual improvement of the procedure. The organization failed to address the opportunities to improve
the OHS system considering the review of policy and procedures including the SOPs.

ASSESSMENT COMMENTARY
IGC has established OHS management system in the organization in a effective manner. Over all the audit assessment has be
satisfied and all the sections in the standards has been compiled. There are few areas which requires attention to improvise
the safety culture in the organization. Especially in the hazard management and the risk rating standard, the organization
needs to be concentrated more to identify the hazards and the hierarchy of controls should be established. Also, we
recommend, the organization has to involve their department supervisors and HODs to participate in the ISO 45001 training
to understand the standards to implement effectively in the organization which will increase the IGC’s work culture and also
rise the organizational effectiveness among the stakeholders.
There are few NCs identified and IGC has taken this in a positive way to improve the safety culture in the organization.
(Write NA if this sheet if not applicable)

NONCONFORMITY REPORT Client Representative:
NCR Details of nonconformity Management Standard
Reference Reference
NC01 The organization policy has been developed, but the document is not ISO 45001:2018 Standard
approved by the top management shows the commitment of top Clause 5.2
management inconsistence
NC02 RA not suitable and sufficient ISO 45001:2018 Standard
1.RA format shall include Risk rating, Hierarchy of control, Clause 6.1.22&8.1.2
effectiveness of existing control and its revision
NC03 There is no proof of worker’s consultation and participation documents ISO 45001:2018 Standard
such as safety committee, site tours, Toolbox talk Near miss report Clause 7.4
NC04 No procedure for improving the continual improvement of the procedure. ISO 45001:2018 Standard
The organization failed to address the opportunities to improve the OHS Clause 10.2
system considering the review of policy and procedures including the SOPs.
*Add more rows if required
RECOMMENDATION FOR CERTIFICATION

Congratulations, we are pleased to recommend certification for the scope detailed in Assessment Report:
Subsequently this Assessment Report Pack along with your satisfactory Corrective Action Plan and objective evidences
(if applicable) shall be reviewed independently with in BSCIC. Once the recommendations are found as sound, BSCIC
will be pleased to issue a Certificate of Registration. This will come along with the BSCIC Logo and Accreditation Mark.
The conditions for use of BSCIC Logo and Accreditation Mark have been stipulated and the same will be provided to
you.
BSCIC believes in value added partnership with its clients, and we will be pleased to revisit your company for the
Surveillance Assessments for a visit every Year for 2 Manday per visit.
Details of Additional Locations and Activities for certification (If applicable)

Location 1 NA
Activity NA
*Add Rows for more


Recommendation for Supplementary /Re-Assessment
1.The following have been considered as major concerns during this assessment visit -------- NA
2. This assessment is based on random samples therefore nonconformities may exist which have not been
identified.
For Registration Assessments:

3. A recommendation for certification cannot be made until the nonconformities have been cleared, following
the corrective action plan being submitted and a limited/full reassessment being satisfactorily completed.
Scope Assessed -------- NA
4. The non-conformities identified indicate a breakdown in the management system to effectively control the
activities for which it was intended.
Immediate action is required to investigate the underlying cause of these non-conformities and implement
effective, corrective and preventive action. A plan to determine actions, time scales and responsibilities must be
prepared and submitted to Chief Executive for review, no later than ----/-----/ ------------------NA
5. Team recommends a Limited Supplementary Assessment for --- Manday(s) or a full Re-assessment for -----
Manday(s). The same could be conducted by ----/----/ ------ , upon satisfactory corrective action plan submitted
by client to BSCIC’s Chief Executive-------- NA
6. Client to inform their readiness to BSCIC’s Chief Executive for the further assessment as in 4 above so that the
same could be satisfactorily planned & conducted.

SURVEILLANCE ASSESSMENT(SA) PROGRAMME
(Write NA if any Area is not applicable. Please do not DELETE any ROW)
S.A. Frequency 1 year
S.A. Conduct Number SA1 SA2 REA
Re
Assess.
Man day(s) X X X
MM / YYYY MM/YY MM/YY MM/YY
Functions/ Areas / Site
• Context of the Organization

  
Leadership
  
MR or a resource assigned by top
management for responsibility and
authority as per clause 5.3 (a) to (b)
  
Planning, Aspect and Impact,
Compliance Obligations, Risks and
Opportunities
 
Marketing and Sales
  
Design & development of products
and services
 
Control of externally provided
processes, products and services
  
Production and Service provision
Performance Evaluation /   
Monitoring and Measuring
resources
HR and Admin  
  
Management Review
QMS Documented Information &   
Changes
Internal Audits   
Complaints Management   
Previous NCR & Corrective Actions   
Use of BSCIC Logo & Marks   
Re-assessment (Tick ) 
Legal (OH&S specific)
Notice: 1. Fill the areas as per the client activities and processes. Mandatory fields are already mentioned.
2. Assessor to please  in boxes indicating a full plan. This is required to be updated upon each Surveillance
Assessment.
DECLARATION OF NON-CONFLICT OF INTEREST

I confirm that I have no consultancy or other commercial association with M/S Industrial Gases Company during the
last two years other than activities conducted under the direction of BSCIC.
BSCIC Registration Assessment Report Acceptance
The onsite Registration Assessment of M/S Industrial Gases Company was completed.

BSCIC through its Team Leader / Lead Auditor confirms the Confidentiality of the information received, Observed
and Reported by the Team BSCIC.
Team Leader / Lead Auditor by signing this sheet confirm the Non Conflict of Interests with the Organization.
This report and its full contents are completely understood and accepted.
Please sign below confirming acceptance of the assessment report’s contents
Signed for & on behalf of BSCIC Signed for on behalf of the client
Name: Name:
Date: Date:
++++++++++++++++++

Group Exercise – 60 Minutes for Report

Exercise 17 Audit Report- Stage 2 On-Site Mock Assessments Preparation
20 Minutes for the Reports Presentation
Based on the audit done and findings recorded, please prepare Audit Report as below:
(A flipchart can be used in addition to the workbook)
ASSESSMENT REPORT
Name of Company (Organization): Industry Gases Co.
Address: Avenue 10 C Industrial Area, City XYZ, Gujarat State- 360024, India
Contact Person: Mr. Robert Position: General Manager Projects and MR (OHS)
Alternate Contact Person: Position:
Registration Scope: PRODUCTION AND TRADING OF INDUSTRIAL AND SPECIALTY GASES
No. of Employees: No. of Shifts:

Company’s Key Documented Information Reference:
Apex Manual Industrial Gases Company Issue:01 Feb 2018
Management Standard: ISO 45001:2018
Assessment Type:
Assessment Commencement Date: Assessment Completion Date: 29/09/2020

28/09/2020
Assessment Team:
Name Status
Mr. Sandeep – Audit Team Leader Team Leader
Mr. Shivy - Audit Team Member Auditor
Mr. Prithivi- Audit Team Member Auditor
Mr. Mathi- Audit Team Member Auditor
Mr.NCR
Baabu- Audit Team
Ref. No. Member
NC05 NC06
Minor/Major MINOR MINOR
Mandays :
Nonconformities raised during Assessment
Nonconformities raised during last visit

NCR Ref. No.
Closed/Open

Areas Assessed :
Leadership and worker participation, Resource assigned by Top Management for 5.3 (a) & (b), Planning /
Risks and Opportunities, Requirements for Products and Services (Customer Related Processes), Control of
Externally Provided Processes, Products and Services (Supplier, Storage, Warehousing Dispatch/ Logistic &
Delivery Related), Production and Service Provision, Installation Activity, Performance Evaluation /
Monitoring and Measuring Resources, HR / Training Processes, Emergency Preparedness and Response,
Hazards/ Risks and Legal requirements and other requirements.
Audit Conclusion & Appropriateness of the Certification Scope

We have audited the Industrial Gases Co.On the basis of the Sample observed, the IGC management system is
complying with the ISO 45001:2018
requirements. On the basis of documents cross verification, interviews, records and procedure on the
basis of audit plan, we found that IGC has successful implemented the ISO 45001 standards and have met
all the requirements of ISO 45001. During audit 6 NCR’s were raised and it should be closed with root
cause analysis, corrective and preventive action.
Overall System Is Effectively Maintained and Implemented throughout IGC. The Scope Established Is
Appropriate.
Industrial GasesCo. Should be Recommended for certification
**Disclaimer - Auditing & its conclusion is based on a sampling process of the available information**
Non-applicability of requirements (with suitable justification)
OH&S ASSESSMENT COMMENTARY

Context of the Organization
The organization meet the requirements of the ISO standards and monitoring procedures are available,
workers are considered, stake holders are considered and investors are considered while developing the
context of the organization.
Although it acknowledges that ISO 45001:2018 does not require its organizational context to be
maintained as documented information, it maintains and retain; in addition to this document, the
following documented information to describe its organizational context:
1. Analysis of daily performance, strategies, legal requirements and other requirements commitments.
2. Analysis of technology.
3. Technical reports from technical experts and consultants.
4. Minutes of meetings (Management and review minutes), process maps and reports etc.
IGC shall determine external and internal issues that are relevant to its purpose and that affect its
ability to achieve the intended outcomes of its OH&S management system.

Leadership and worker participation

The Top management of IGC is Managing Director.
The Managing Director has endorsed and is committed to the Management System as presented
in this Management Systems Policy Manual. This commitment is not limited to the initial development
of the system but to it continual improvement through implementation of the necessary management
responsibilities.
Top management shall demonstrate leadership and commitment with respect to the OH&S management
system by:
a) taking overall responsibility and accountability for the prevention of work-related injury and ill health as
well as the provision of safe and healthy workplaces and activities;
b) ensuring that the OH&S policy and related OH&S objectives are established and are compatible with
Planning
When planning for the OH&S Management System, IGC consider the issues referred to its context as
well as internal and external stakeholders, the requirements referred to interested parties and the
scope of its OH&S management system and determine the risks and opportunities that need to be
addressed to give assurance that the OH&S management system can achieve its intended results,
prevent or reduce undesirable effects and achieve continual improvement.
IGC has taken into account:
A. hazards;
B. OH&S risks and other risks;
C. OH&S opportunities and other opportunities;
D. legal requirements and other requirements
IGC has planned actions to address:
A. Risks and Opportunities
B. Legal requirements and other requirements
A. Response to emergency situations
Requirements identified in Cl 4.2

Support
The IGC has determined and provided the resources needed for the establishment, implementation,
maintenance and continual improvement of the OH&S management system.
The IGC shall:
a) determine the necessary competence of workers that affect or can affects the performance
b) ensure that workers are competent on the basis of appropriate education, training, or
experience;
c) where applicable, take actions to acquire and maintain the necessary competence, and
evaluate the effectiveness of the actions taken;
d) retain appropriate documented information as evidence of competence.
The IGC shall ensure that workers doing work under the IGC’s control are aware of:
a) the OH&S policy and OH&S objectives;
b) their contribution to the effectiveness of the OH&S management system, including the
benefits of improved OH&S performance;
c) the implications and potential consequences of not conforming to the OH&S management
system requirements;
d) incidents and the outcomes of investigations that are relevant to them;
e) hazards, OH&S risks and actions determined that are relevant to them;
f) the ability to remove themselves from work situations that they consider present an
imminent and serious danger to their life or health, as well as the arrangements for protecting them
from undue consequences for doing so.
IGC communication process:
Takes into account legal requirements and other requirements
Ensures that OH&S information communicated is consistence with information generated
Ensures all OH&S communications are reliable
Ensures that all relevant communications are responded
Operation
The IGC shall plan, implement, maintain and control the processes needed to meet the requirements
for the OH&S MS, and to implement the actions determined in Clause 6, by:
a) establishing operation criteria for the processes
b) implementing control of the processes in accordance with the criteria;
c) maintaining and retaining documented information to the extent necessary to have
confidence that the processes have been carried out as planned;
d) adapting work to workers.
The hierarchy of controls in IGC for OH&S risks will be:
Elimination
Substitution
Engineering Controls
Administrative Control
Use of PPE
The IGC has establish a processes for the implementation and control of planned temporary and
permanent changes that impact OH&S performance.

Performance Evaluation
IGC shall establish, implement and maintain processes for monitoring, measurement, analysis and
performance evaluation.
IGC shall determine:
a) what needs to be monitored and measured, including:
1) the extent to which legal requirements and other requirements are fulfilled;
2) its activities and operations related to identified hazards, risks and opportunities;
3) progress towards achievement of the organization’s OH&S objectives;
4) effectiveness of operational and other controls;
b) the methods for monitoring, measurement, analysis and performance evaluation, as applicable, to ensure
valid results;
c) the criteria against which the organization will evaluate its OH&S performance;
d) when the monitoring and measuring shall be performed;
e) when the results from monitoring and measurement shall be analyzed, evaluated and communicated.

Improvement
IGC shall determine opportunities for improvement and implement necessary actions to achieve the
intended outcomes of its OH&S management system.
When an incident or a nonconformity occurs, IGC shall:
a) react in a timely manner to the incident or nonconformity and, as applicable:
1) take action to control and correct it;
2) deal with the consequences;
b) evaluate, with the participation of workers and the involvement of other relevant interested
parties, the need for corrective action to eliminate the root causes of the incident or nonconformity, in
order that it does not recur or occur elsewhere, by:
1) investigating the incident or reviewing the nonconformity;
2) determining the cause(s) of the incident or nonconformity;
3) determining if similar incidents have occurred, nonconformities exist, or if they
could potentially occur;
c) review existing assessments of OH&S risks and other risks, as appropriate (see 6.1);
d) determine and implement any action needed, including corrective action, in accordance
with the hierarchy of controls (see 8.1.2) and the management of change (see 8.1.3);
e) assess OH&S risks that relate to new or changed hazards, prior to taking action;
f) review the effectiveness of any action taken, including corrective action;
g) make changes to the OH&S management system, if necessary.
IGC shall retain documented information as evidence of:
— the nature of the incidents or nonconformities and any subsequent actions taken;
— the results of any action and corrective action, including their effectiveness.
IGC shall communicate this documented information to relevant workers, and, where they exist,
workers’ representatives, and other relevant interested parties.
ASSESSMENT COMMENTARY
Positive Issues
1) Involvement of top management is there; their wiliness is much positive.
2) No accident till now.
3) Legal requirements are properly fulfilled.
4) Effective SOPs at different areas.
Opportunities for further improvements:
1) Involvement of people to be needed.
2) Require improvement in training area.
Observations:
1) Document control has some scope of improvement


NONCONFORMITY REPORT Client Representative:
NCR Details of nonconformity Management Standard
Reference Reference
NCR 05 Failure to demonstrate Emergency contact numbers with ISO 45001:2018 CLAUSE No:
respect to first aid preparedness at site and in the document 7.4.2 and 7.4.3
NCR 06 Poor Hazard identification. ISO 45001:2018 CLAUSE No:

6.1.2
*Add more rows if required
RECOMMENDATION FOR CERTIFICATION

Congratulations, we are pleased to recommend certification for the scope detailed in Assessment Report:
Subsequently this Assessment Report Pack along with your satisfactory Corrective Action Plan and objective evidences
(if applicable) shall be reviewed independently with in BSCIC. Once the recommendations are found as sound, BSCIC
will be pleased to issue a Certificate of Registration. This will come along with the BSCIC Logo and Accreditation Mark.
The conditions for use of BSCIC Logo and Accreditation Mark have been stipulated and the same will be provided to
you.
BSCIC believes in value added partnership with its clients, and we will be pleased to revisit your company for the
Surveillance Assessments for a visit every Year for 2 Manday per visit.
Details of Additional Locations and Activities for certification (If applicable)

Location 1 NA
Activity NA
*Add Rows for more

Recommendation for Supplementary /Re-Assessment
1.The following have been considered as major concerns during this assessment visit -------- NA

2. This assessment is based on random samples therefore nonconformities may exist which have not been
identified.
For Registration Assessments:

3. A recommendation for certification cannot be made until the nonconformities have been cleared, following
the corrective action plan being submitted and a limited/full reassessment being satisfactorily completed.
Scope Assessed -------- NA
4. The non-conformities identified indicate a breakdown in the management system to effectively control the
activities for which it was intended.
Immediate action is required to investigate the underlying cause of these non-conformities and implement
effective, corrective and preventive action. A plan to determine actions, time scales and responsibilities must be
prepared and submitted to Chief Executive for review, no later than ----/-----/ ------------------NA
5. Team recommends a Limited Supplementary Assessment for --- Manday(s) or a full Re-assessment for -----
Manday(s). The same could be conducted by ----/----/ ------ , upon satisfactory corrective action plan submitted
by client to BSCIC’s Chief Executive-------- NA
6. Client to inform their readiness to BSCIC’s Chief Executive for the further assessment as in 4 above so that the
same could be satisfactorily planned & conducted.

SURVEILLANCE ASSESSMENT(SA) PROGRAMME
(Write NA if any Area is not applicable. Please do not DELETE any ROW)
S.A. Frequency 1 year
S.A. Conduct Number SA1 SA2 REA
Re
Assess.
Man day(s) 2 2 3
MM / YYYY 12/16 12/17 10/18
Functions/ Areas / Site
• Context of the Organization

  
Leadership
  
MR or a resource assigned by top
management for responsibility and
authority as per clause 5.3 (a) to (b)
  
Planning, Aspect and Impact,
Compliance Obligations, Risks and
Opportunities
 
Marketing and Sales
  
Design & development of products
and services
 
Control of externally provided
processes, products and services
  
Production and Service provision
Performance Evaluation /   
Monitoring and Measuring
resources
HR and Admin  
  
Management Review
QMS Documented Information &   
Changes
Internal Audits   
Complaints Management   
Previous NCR & Corrective Actions   
Use of BSCIC Logo & Marks   
Re-assessment (Tick ) 
Legal (OH&S specific)
Notice: 1. Fill the areas as per the client activities and processes. Mandatory fields are already mentioned.
2. Assessor to please  in boxes indicating a full plan. This is required to be updated upon each Surveillance
Assessment.
DECLARATION OF NON-CONFLICT OF INTEREST

I confirm that I have no consultancy or other commercial association with M/S Industrial Gases Company during the
last two years other than activities conducted under the direction of BSCIC.
BSCIC Registration Assessment Report Acceptance
The onsite Registration Assessment of M/S Industrial Gases Company was completed.

BSCIC through its Team Leader / Lead Auditor confirms the Confidentiality of the information received, Observed
and Reported by the Team BSCIC.
Team Leader / Lead Auditor by signing this sheet confirm the Non Conflict of Interests with the Organization.
This report and its full contents are completely understood and accepted.
Please sign below confirming acceptance of the assessment report’s contents
Signed for & on behalf of BSCIC Signed for on behalf of the client
Name: Name:
Date: Date:
++++++++++++++++++

Group Exercise – 40 Minutes for preparation

Exercise 18 Audit Follow-up NC Closures Minutes for reviewing & decision making
Review the closure submitted by auditee and judge whether this closure is acceptable or not, for the below three
cases.
NON CONFORMITY NOTE - 1
PROCESS ACTIVITY ISO 45001:2018 CLAUSE

Operational Planning & Aspect/ Impact 8.1
Control determination [A]
DETAILS OF NON-CONFORMITY
Oil from Transformer No. 1 was found to be leaking and spilled over on the concrete floor of the
transformer Room. No operational Procedure was found to be in place for control of such oil leaks A
from the Transformer. (8.1 operational planning & control) U
D
Requirement of the standard: I
T
O
AUDITOR : DAT E : 30/09/2020 R
NAME : Prithvirajan SIGN
ROOT CAUSE PROPOSED ACTION
The oil was leaking from the transformer due to The same will be updated very soon by the [B]
inadvertent omission. MR. A
Target Date: DD/MM/YYYY U
Responsibility : MR D
ACTION TAKEN I
Sand trench would be constructed m Transformer Room. Checklist would be created for T
periodical checking for any oil leaks etc in Transformer Room. E
E
VERIFICATION OF ACTION TAKEN – □ Closed □Not Closed
[C]
A
U
D
I
T
O
R


Operation Records of Designing 8.2
[A]
While assessing it was found that large and proper gathering place was not identified in
case if there are any potentially emergency situations. A
U
Requirement of the standard: D
8.2 Emergency preparedness and response I
The organization shall establish, implement and maintain the processes needed to prepare T
for and respond to potential emergency situations identified O
The organization shall: R
a) prepare to respond by planning actions to prevent or mitigate adverse environmental
impacts from emergency situations;
b) respond to actual emergency situations;
c) take action to prevent or mitigate the consequences of emergency situations,
appropriate to the magnitude of the emergency and the potential environmental impact;
d) periodically test the planned response actions, where practicable;
e) periodically review and revise the processes and planned response actions, in particular
after the occurrence of emergency situations or tests;
f) provide relevant information and training related to emergency preparedness and
response, as appropriate, to relevant interested parties, including persons working under
its control.
The organization shall maintain documented information to the extent necessary to have
confidence that the processes are carried out as planned.
AUDITOR : DAT E : DD/MM/YYYY
Due to lack of knowledge on safety measures, Large area will be identified where [B]
construction engineer did not make any such everyone can easily gather during A
space. potentially emergency situations. U
ACTION TAKEN D
I
Land of 100 sq feet has been identified and cleared so that everyone can gather during T
emergency situations. Further Construction engineers have been trained for such a safety E
aspect for emergency evacuation. E
VERIFICATION OF ACTION TAKEN – □ Closed □ Not Closed

[C]
A
U
D
I
T
O
R


Awareness Determining the effectiveness of 7.3 [A]
the training conducted
While assessing it was found that the frequency of conducting 2 days Induction, basic training and awareness A
plan is within 6 working days from the date of joining for the newly joined employees. However at the time of U
interviewing during assessment it was found that an employee who joined 10 days ago from the date of the D
assessment, he was not aware of the PPEs that he should wear during his work operation (Stack operation). I
Requirement of the standard: T
The organization shall ensure that persons doing work under the organization’s control are aware of: O
a) the environmental policy; R
b) the significant environmental aspects and related actual or potential environmental impacts
associated with their work;
c) their contribution to the effectiveness of the environmental management system, including the benefits of
enhanced environmental performance;
d) the implications of not conforming with the environmental management system requirements, including not
fulfilling the organization’s compliance obligations.
AUDITOR : DATE : DD/MM/YYYY
The training and induction was planned for the recently Immediate training will be conducted as soon [B]
joined employees but due to certain emergency the trainer as the trainer is back from holiday. It is A
was on leave and so the training could not be completed on expected to be conducted within 10 next U
time. days. D
ACTION TAKEN I
T
One day training and induction of recently joined employees has been conducted by the person of other E
department and internal test was also taken to justify their knowledge and the same was found to be effectively E
implemented.
VERIFICATION OF ACTION TAKEN – □Closed □ Not Closed

[C]
A
U
D
I
T
O
R

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What are the instructions given to participants?

What are the instructions given to participants?

What are the different exercises listed in the workbook?

What are the different exercises listed in the workbook?

Participant Workbook

ISO 45001:2018 Lead Auditor Training Course

BSCIC 5 Days Occupational Health &

Course Registration Number: Dates of Course: 21ST SEP to 29TH SEP

Venue of the Course: City: Abu Dhabi Country: UAE

Participant Name (IN CAPITALS): PRITHIVIRAJAN Signature:

Issue 1 Rev 01 Apr.18 Page 1 of 54

INSTRUCTIONS FOR PARTICIPANTS:

4) Tips for SUCCESSFUL COMPLETION OF THE COURSE:

➢ Be attentive and be present on all days, all modules have to be attended;

5) Following are the List of Exercises :

# Exercise Marks # Exercise Marks

Terms & Definitions pertaining to

3 Auditing Risk Assessment 12 Audit Preparation- Audit Plan

Documentation Audit – Scope & Context

Issue 1 Rev 01 Apr.18 Page 2 of 54

Exercise 1 Introduction of Participants Exercise (Pairs) – 15 Minutes

Shift Coordinator, Sohar International Urea & Chical Industrial Oman.

Knowledge of ISO 45001:2018:

He is a part of his company’s internal audit team.

Rank 1(Minimum) to 5(Maximum)

To improve his knowledge in the ISO 45001 standard to support their

He wants to understand and learn the standards of ISO45001 to develop his

He is very much interested in reading books to gain knowledge. He is very

Note: No row should be left blank because it carries marks.

Issue 1 Rev 01 Apr.18 Page 3 of 54

Exercise 2 Terms & Definitions pertaining to Exercise – 15 Minutes

Issue 1 Rev 01 Apr.18 Page 4 of 54

Exercise 3 Auditing- Risk Assessment Group Exercise – 30 Minutes

FACTOR SCALE FACTOR SCALE

Split Molecule Testing Daily 5 Minor Illness (1 Day) 1

Weekly 4 Illness for 2-3 Days 2

Monthly 3 Critical Illness- needing 3

Half-Yearly 2 Physical Disability 4

Yearly 1 Injury Leading to Death 5

Identify any three Risks in this process

# Hazard Type &

Fire Prevention and Mitigation devices

Fire Prevention and Mitigation devices

Issue 1 Rev 01 Apr.18 Page 5 of 54

OCCURENCE SCALE SEVERITY SCALE

Daily 5 Minor Illness (1 Day) 1

Monthly 3 Critical Illness- needing 3

Yearly 1 Injury Leading to Death 5

Issue 1 Rev 01 Apr.18 Page 6 of 54

Power Shut Down

Issue 1 Rev 01 Apr.18 Page 7 of 54

Group Exercise – 30 Minutes

# Issue Apex Document Standard reference

Note: If more points, use backside of the page

# Issue Apex Standard

Issue 1 Rev 01 Apr.18 Page 8 of 54

Exercise 6 Documentation – Stage 1 Audit Group Exercise – 20 Minutes

# Issue Apex Standard

Issue 1 Rev 01 Apr.18 Page 9 of 54

Group Exercise – 25 Minutes