ISO 45001:2018 LEAD AUDITING COURSE Exercise 1

Learner name:

Learner surname:

The purpose of this exercise is to expose Learners to the Auditor behaviors.

Appoint a person to capture your team’s answers and appoint a spokesman to provide feedback
on behalf of your team. Time Allocated: 30 minutes

Mix and match the columns below, by drawing lines to indicate the correct answers:

Supplier audits 1st party audit a) Certification,

Statutory, regulatory
and similar audit
Internal audits 2nd party b) Supplier/ customer
audit audits (conducted on
external providers or
other external
interested parties)
External 3rd party audit c) Auditing of internal
Certification systems, processes,
audits products/services.
 ISO 45001:2018 LEAD AUDITING COURSE Exercise 2

Learner name:

Learner surname:

The purpose of this exercise is to expose Learners to the Auditor behaviors.

Appoint a person to capture your team’s answers and appoint a spokesman to provide feedback on
behalf of your team.

Identify five good auditor characteristics or behaviors. Write down five practical (live) scenarios which
demonstrate the application of the good auditor characteristics or behaviors during auditing.

Time Allocated: 30 minutes

.NOTES
 ISO 45001:2018 LEAD AUDITING Exercise 3

Learner name:

Learner surname:

The purpose of this exercise is to expose Learners to the audit preparation activity of developing an audit
plan.

Appoint a person to capture your team’s answers and appoint a spokesman to provide feedback on
behalf of your team.

You are a member of an audit team tasked with carrying out audit an on Company XYZ (Pty)Ltd.–mining
Gold in the DRC. You are provided with the following:
1. An organization chart of the company(Total 240 employees)
2. A site layout diagram
3. IAF man-day guidelines
4. Blank audit platforms
You are required to compile an audit plan.
You have a team of two auditors, all having extensive competence in OHSMS management system
auditing, one of them is nominated as audit team leader. As none of the auditors feels comfortable
performing an audit for the audit scope and some of the criteria, you also have at technical expert on the
audit team.
You have been allocated nine auditor man-days for the supplier audit. Your audit team is:
T.Leader–Audit team leader
A.Auditor –Audit team member
X.Pert– Technical expert

One hour has been allocated to this exercise.

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 ORGANISATIONCHART –XYZ(Pty)Ltd

Managing
Director

Technical
Financial Director Production Logistics
Director Director Director

Accountant Human SHEQ R&D Works Chief Warehouse Dispatch and

Resources Transport
Manager Manager Manager Buyer Manager
Manager
Manager
us

Accounts QC Personnel R & D Engineers Planners Buyers Forklift Dispatch clerks

Training
office Testing &Laboratory Supervisors Receiving drivers Drivers
Department
Laboratory clerks

Process stage Process Stage Process Stage

2 Operators 2 Operators 3 Operators

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 SiteLayout–XYZ(Pty)Ltd

Managing Financial
Technical Production Reception
Director Director
Director Director Office

Logistics Accountant H.R. SHEQ Sales and

Manager Manager Accounts
Director office

Works Chief Ware – Logistics Dispatch & Finished goods store &Dispatch
Buyer house Good Receiving
Manager Manager Transport
Buyers Manager Manager Raw material
Receiving
Clerks store
R&D
Manager Green area Processstage3
and
Engineers Process Stage 2 ProcessStage1
QC Training Department Planners
personnel Supervisors
QC & R&D
Laboratory

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COMPANY SITE/ADDRESS

Audit Objectives:

Audit Criteria

Audit Team

Audit Dates

Audit Language
 AUDIT PLAN

LEAD AUDITOR C0-AUDITOR

TIME Department Participant ISO 45001 Std clauses Department Participant ISO 45001 Std clauses
Area/process Area/process
 ISO 45001:2018 OHSMS LEADL AUDITING Exercise 4

Learner name:

Learner surname:

The objective of this exercise is to provide delegates with the opportunity to become
involved in typical audit preparation activity. Ability to relate requirements of the ISO
standards and to information supplied within documentation and compile sensible
checklists is the main focus.

Working with your team, allocate a team leader to manage the exercise.

Appoint a person to capture your team’s answers and appoint a spokesman to provide
feedback on behalf of your team.

You are the leader audit during an Internal audit. A requirement of ISO 45001 is that
top management demonstrates leadership in support of the OHSMS. Prepare a
checklist of at least ten checkpoints which would help you, when interviewing the top
management, to determine whether the organisation conforms to this requirement.

State the applicable clause of ISO 45001:2018.

Compile a checklist using the forms provided below.

Time Allocated: 20 minutes

 Audit Checklist
ISO 45001:2018 OHSMS Management System Audit
Company: AUDIT DATE:
Process: AUDITOR:

Checklist Ref. Person/s interviewed:

NX= Not
= NA = Not X = Non-
compliance
applicable
Compliance audited
to the scope
Std. Checklist Question Symbol Evidence Reference
Ref
Leadership and Commitment
Std. Checklist Question Symbol Evidence Reference
Ref

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 ISO 45001:2018 OHSMS LEAD AUDITING Exercise 5

Learner name:
Learner surname:

The purpose of this exercise is to expose Learners to the audit activity of completing
the Non Conformity and Corrective Action form.

Working with your team allocate a team leader to manage the exercise.
Appoint a person to capture your team’s answers and appoint a spokesman to provide feedback on
behalf of your team.

Time Allocated:20 minutes

Audit Scenario 1
Non conformity to be completed by auditor

No …. of … Process/Department/Area:
Statement of Non conformity:

Objective Evidence:

Audit Criteria: ISO 45001: 2018 Standard /Internal Requirements Clause and Description

Category Minor Nonconformity Major Nonconformity

Issue Date: Name of Auditor:
2. Auditee Response with proposed action to be completed by auditee

Acknowledgement of The Finding and evaluation Yes No

Responsible person for implementing and for reporting: ……………
3. Correction (s)/ Immediate measureto be completed by auditee

4. Root Cause Analysis of non-conformity e.g. using the 5 WHY techniqueto be completed by auditee
5. Corrective action (s) to prevent recurrence to be completed by auditee

Action will be taken by: Name of Auditee:

Action is suitable Yes No
Issue Date:…. Name of Auditor:…………
6. Evidence of effective implementation i.e. attachments of documentation to be completed by auditee

7. Auditor verification for implemented corrective action to be completed by auditor

Date: Name of Auditor:

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 ISO 45001:2018 OHSMS LEADL AUDITING Exercise 6

Learner name:
Learner surname:

CLOSING MEETING

In your groups, use your material and the standard to prepare an agenda for a closing meeting and choose a
person to present the findings from the previous Activity. The Facilitator will evaluate your presentation skills on
the Oral Presentation Assessment Sheet.

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