15 Workbook 1.

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: 28 JULY 2021 to 05 AUG 2021
Venue of the Course: City: Country: INDIA

-
Participant Name (IN CAPITALS): GOKUL GOPI Signature:
www.bsc-icc.com
Issue 1 Rev 01 Apr.18 Page 1 of 54
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 2 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 Exercise (Pairs) – 15 Minutes
Participants
Kushan kumar
YOUR PARTNER’S NAME
B.SC in Botany,PGDHSE,ADIS,IOSH(MANAGING SAFELY),OSHA 30

Qualifications HOURS.
Tomsa Destil India Private limited is his working organization and he is

working as safety engineer ,his role is inspection the site,stop and report
unsafe act.
Working Organization,
Designation & Role
He was a part of his company’s internal audit team and he he 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

His score is 02
Any I/II/III Party Audit Experience:
Rank 1(Minimum) to 5(Maximum)
To improve his knowledge in the ISO 45001:2018 standard to

support their organization as well as his own.
Objective of attending this
course:
He wants to understand and learn the standards of ISO 45001:2018

to develop his auditing skils.
Expectations from the course:
He is very much interested in reading books to gain knowledge.

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

Terms & Definitions pertaining to
Exercise 2 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 16
with responsibilities, authorities and relationships to 1 PERFORMANCE
achieve its objectives
2 extent to which planned activities are realized and 07
planned results achieved 2 OBJECTIVE
3 effect of uncertainty 20 3 REQUIREMENT
4 adverse effect on the physical, mental or cognitive 10
condition of a person 4 INCIDENT
5 information required to be controlled and maintained 13
by an organization and the medium on which it is 5 CONSULTATION
contained
6 measurable result 01 6 HAZARD
7 determining the status of a system, a process or an 11
activity 7 EFFECTIVENESS
8 recurring activity to enhance performance 14 8 SAFETY
CONDITION
9 seeking views before making a decision 505 9 WORKPLACE
10 person or group of people who directs and controls 19 10 INJURY AND ILL
an organization at the highest level HEALTH
11 result to be achieved 02 11 MONITORING
12 occurrence arising out of, or in the course of, work 04
that could or does result in injury and ill health 12 OH&S OBJECTIVE
13 place under the control of the organization where a 09 DOCUMENTED
person needs to be or to go for work purposes 13 INFORMATION
14 systematic, independent and documented process 18
for obtaining audit evidence and evaluating it CONTINUAL
objectively to determine the extent to which the 14 IMPROVEMENT
audit criteria are fulfilled
15 need or expectation that is stated, generally implied 17 15 CONFORMITY
or obligatory
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
1. Chemical Spillage chemical 5*3=12 Fire Prevention and RI&MR
while Mitigation devices
refilling in the tube Anti-slippery floor
and Drip tray
handling the Designated area for filling
chemicaLcontainers. chemicals
Spill kit
SPILL RESPONSE
Trainings and MSDS, PPE.
2. Chances of FUMES- Chemical 5*3=12 Fire prevention and RI&MR
Eye IRRITATION mitigation devices ,Fume
extraction devices,Eye wash
stations,
Trainings, ppe
3. Chances of broken physical 4*3=12 Layout improvement, ER,RI&MR

glass Proper housekeeping,
Safe handling procedures
andTrainings
Ppe.
4. MUSCULOSKELET physical 5*3=15 Adjusustable Workstation RI&MR

AL DISORDER DUE ,Layout Improvement ,job
to POOR POSTURE rotation,rest
breaks,Trainings.
OCCURENCE SCALE SEVERITY SCALE
RISK RATING
Occurrence Scale X Severity Scale
Risk Rating = > ‘9’ is Significant Hazard

Daily 5 Minor Illness (1 Day) 1
Monthly 3 Critical Illness- needing 3

Hospitalization
Risk
Hazard Type Elemination
Rating
Hazard P-Phisical (ER) / Reduce
# Activities in Production (Occur Proposed Action
Details C-Chemical Impact (RI)
a nce X
B- /Mitigate (MR)
Secerity)
Biological
1.Working at physical 3*4=12 Competent scaffolder to RI &MR
1 height
erect scaffolds, Using
Elevated Platform,
Lanyards and safe tag
system,Safety
Harness ,Safety Helmet
2.Working at physical 3*5=12 Competent and trained RI &MR

2 height
person
Competent scaffolder
and safe tag
Safety Harness and
Lanyards
Safety Helmet
Safety Boots
Improper Lifting PHYSICAL
3
4
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
Note: If more points, use backside of the page

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 Document Standard

reference reference
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.
# Issue Apex Standard

Document reference
reference
Exercise 7
Documentation – Stage 1 Audit Tutor Feedback- 15 Minutes
Read the OH&S Apex Documented Information of Industrial Gases Company Support and identify those
reference to chapter & page number of the Apex Documented Information.

reference reference

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

Document reference
reference

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
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
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
results of the test in the university
laboratory.
2 The weather outside was very rough Fact Inference
when Walker looked out of the
window of the Lab.
3 Walker was experimenting on Fact Inference
biological changes in humans.
4 Walker took the test report to show Fact Inference
to the professor in rain.
5 Walker rushed towards his car with Fact Inference
rain coat and test report.
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
the boy slipped into the pool and
jumped into the water to save the
boy.
2 The boy suddenly said “help” and Fact Inference
fainted after coming out of the pool.
3 The boy himself swims to safety as Fact Inference
he knew swimming.
4 Every one pulled out the boy out of Fact Inference
swimming pool when he fainted
5 The boy was taken to the duty doctor Fact Inference
for checkup, after he came to senses,
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:

Organization:
Scope:
Objective of Assessment:
Criteria System
Documentation:
Team Leader: Audit Start Date Opening
Meeting
Team Audit End Date Closing
Member: Meeting
Audit Schedule
Date Client Function Auditor Time (hrs)

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)
Exercise 14 Recording Non-Conformities Group Exercise – 45 Minutes
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 (Occurren CY OF
HAZARD CLASIFICAT (Cause 100% removal / REGULATORY REQUIREMENT
OF HAZARD ce X THE
I ON Control to reduce)
Severity) ACTION
Max. # of Hrs. Exposure

per employee per work
Occurrenc e day hours = IF 8 Hrs Then
EAR DRUM MAY = Daily ALL THE allowed Sound Level in dB
BE EFFECTED / Severity = TIME IN is Max. 90 [ As per
WEARING EAR Plug
1. NOISE ILLNESS Minor SIGNIFICAN PRODUC
(Control to reduce only) Chapter 2 of Health &
LEADING TO Illness T TION
HOSPITAL RISK Rating FLOOR Safety Regulation &
TREATMENT = 5 X 4 = 20 Standard (2003 Issue) of
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 RESPIRATOR SIGNIFICAN PRODUC
Illness (Control to reduce only) ENVIRONMENTAL
Y DIESES T TION
RISK PROTECTION & SAFETY
FLOOR
RATING = SECTION OF LOCAL
5
X 3 = 15 REGULATIONS
Point of
Point of Operation: GUARD
Operation:
THE BLADE ENTIRELY
CONTACT
EXCEPT THE POINT OF
WITH THE
OPERATION- PROPERLY
MOVING
ADJUST THE BLADE
BLADE MAY
GUIDE & THE UPPER
OCCUR -SEVER
SAW SO THAT IT RAISES
FINGERS
& LOWERS WITH THE
In running nip
BLADE
Points:
Occurrenc e In running nip Points: _ TG - NUMBER 16 (Personal
CLOTHING, HAIR
= Daily FULLEY ENCLIOSE HE Protection Equipment) =
OR HANDS MAY ALL THE
Severity = PULLEY MECHANIZM
BE CAUGHT BY TIME IN HEARING PROTECTION of
Minor Kickbacks
3. INJURY & PULLED INTO SIGNIFICAN PRODUC ENVIRONMENTAL
Illness USE PROTECTIVE
THE FEED ROLLS T TION PROTECTION & SAFETY
RISK CLOTHING, EYE GLASSES
OR THE PULLEY FLOOR SECTION OF Local
RATING = ETC.
MECHANISM
Kickbacks : STOCK
5 Flying Chips : Regulations
X 3 = 20 MAKE SURE THE SAW
CAUGHT BY THE
BLADE MAY BE INCLUDES A TENSION
THROWN BACK CONTROL DEVICE TO
AT THE INDICATE THE ACTUAL
OPERATOR BLADE TENSION & ALSO
Flying Chips : WOOD USE PROTECTIVE
CHIPS & SPLINTERS CLOTHING, EYE GLASSES
MAY BE ETC.
THROWN BACK AT (Control to reduce only)
THE OPERATOR
NON CONFORMITY NOTE Incident: 1
ISO 45001:2018 CLAUSE No:
Company documents Area unit involved

MAJOR / MINOR
[Strike out as required]
Failure (Nonconformity) (WHAT):
Evidence (reference of Process/Personnel/Documents) (WHERE):
Requirement (WHY):
Auditor Auditee Date
Comments:
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:
OCCURRENCE SCALE FACTORSCALE SEVERITY SCALE
Daily5 FACTORSCALE
Weekly4 Minor Illness(1 Day)1
Monthly3 Illness for 2-3 Days2
Half-Yearly2 Critical Illness – needing Hospitalization3
Yearly1 Physical Disability4
Injury Leading to Death5
Document : ABC Version 1.2

RISK
PREVENTIVE ACTION
HAZZARD (Occurrence X FREQUENCY OF THE ACTION
(Cause 100% removal / Control to reduce)
Severity)
Occurrenc e
SPARKS
= Daily
MINOR /
Severity =
MAJOR
Minor WEARING ALL PPE FOR ALL THE TIME
BURNS ON
Illness WELDING WHEN WELDING IS
ANY
RISK (Control to reduce only) DONE
BODY
PART RATING =
5
Welding X 4 = 20

MAJOR / MINOR
Requirement (WHY):
Comments:
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:

MAJOR / MINOR
Requirement (WHY):
Comments:
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.

MAJOR / MINOR
Requirement (WHY):
Comments:
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) :
# CHECK POINT (For Verification) Conclusion Evidences for NC

(Compliance / NC) (Page # of Apex
Documented
Information)
1
2
3
4
5
6
7

(Compliance / NC) (Page # of Apex Documented
Information)
1
2
3
4
5
6
7

(Compliance / NC) (Page # of Apex Documented
Information)
1
2
3
4
5
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
Company documents Company documents

MAJOR / MINOR
Requirement (WHY):

MAJOR / MINOR
Requirement (WHY):

MAJOR / MINOR
Requirement (WHY):

MAJOR / MINOR
Requirement (WHY):

MAJOR / MINOR
Requirement (WHY):

MAJOR / MINOR
Requirement (WHY):

Group Exercise – 60 Minutes for Report
Exercise 16 Audit Report- Stage 1 Document Preparation
Review 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):
Address:
Contact Person: Position:

Alternate Contact Person: Position:
Registration Scope:
No. of Employees: No. of Shifts:
Company’s Key Documented Information Reference:
Management Standard:
Assessment Type:
Assessment Commencement Date: Assessment Completion Date:
Assessment Team:
Name Status
Mandays :
Nonconformities raised during Assessment
NCR Ref. No.
Minor/Major
Nonconformities raised during last visit
NCR Ref. No.
Closed/Open
Non-applicability of requirements (with suitable justification)
NA
OH&S ASSESSMENT COMMENTARY
SCOPE OF THE OH&S MS (4.3)

CONTEXT OF OH&S MANAGEMENT SYSTEM (4.4)
POLICY (5.2)
ADDRESSING RISK AND OPPORTUNITIES (6.1):

OH&S OBJECTIVES AND PLAN (6.2):
COMPETENCE (7.2):
COMMUNICATION (7.4):
DOCUMENTED INFORMATION (7.5):
OPERATIONAL PLANNING AND CONTROL (8.1)

EMERGENCY PREPAREDNESS AND RESPONSE (8.2)
PERFORMANCE EVALUATIONS (9):
IMPROVEMENT (INCIDENT, NONCONFORMITY AND CORRECTIVE ACTION) (10.2):

ASSESSMENT COMMENTARY
(Write NA if this sheet if not applicable)

NONCONFORMITY REPORT Client Representative:
NCR Details of nonconformity Management Standard
Reference Reference
*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):
Address:
Contact Person: Position:
Alternate Contact Person: Position:
Registration Scope:
No. of Employees: No. of Shifts:

Company’s Key Documented Information Reference:
Management Standard:
Assessment Type:
Assessment Commencement Date: Assessment Completion Date:

Assessment Team:
Name Status
Mandays :
Nonconformities raised during Assessment
NCR Ref. No.
Minor/Major
Nonconformities raised during last visit
NCR Ref. No.
Closed/Open
Areas Assessed :
Audit Conclusion & Appropriateness of the Certification Scope
**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
Leadership and worker participation
Planning
Support
Operation
Performance Evaluation
Improvement
ASSESSMENT COMMENTARY
NONCONFORMITY REPORT Client Representative:
NCR Details of nonconformity Management Standard
Reference Reference
*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 A
leaks from the Transformer. (8.1 operational planning & control) U
D
Requirement of the standard: I
T
O
AUDITOR : DAT E : DD/MM/YYYY R
NAME : ABC 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
NAME : XYZ SIGN
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
NAME : ABC SIGN
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 E
effectively implemented.
VERIFICATION OF ACTION TAKEN – □Closed □ Not Closed

[C]
A
U
D
I
T
O
R

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Participant Workbook

ISO 45001:2018 Lead Auditor Training Course

BSCIC 5 Days Occupational Health &

Course Registration Number: Dates of Course: 28 JULY 2021 to 05 AUG 2021

Venue of the Course: City: Country: INDIA

Participant Name (IN CAPITALS): GOKUL GOPI Signature:

Issue 1 Rev 01 Apr.18 Page 2 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

B.SC in Botany,PGDHSE,ADIS,IOSH(MANAGING SAFELY),OSHA 30

Tomsa Destil India Private limited is his working organization and he is

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 45001:2018 standard to

He wants to understand and learn the standards of ISO 45001:2018

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

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

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 &

3. Chances of broken physical 4*3=12 Layout improvement, ER,RI&MR

4. MUSCULOSKELET physical 5*3=15 Adjusustable Workstation RI&MR

Risk Rating = > ‘9’ is Significant Hazard

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

2.Working at physical 3*5=12 Competent and trained RI &MR

# Issue Apex Document Standard reference

Note: If more points, use backside of the page

# Issue Apex Document Standard

# Issue Apex Standard

# Issue Apex Document Standard

Group Exercise – 30 Minutes

# Issue Apex Standard

Group Exercise – 30 Minutes

# Issue Apex Document Standard

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

# Issue Apex Document Standard

# Statement Judgment (Select by Reasons

# Statement Judgment (Select by Reasons

Exercise 12 Audit Plan Preparation Group Exercise – 75 Minutes

Audit Plan Date:

Date Client Function Auditor Time (hrs)

Clause # CHECK POINT (For Verification) Conclusion Evidences

Max. # of Hrs. Exposure