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ISO 45001:2018 Occupational Health and Safety Management Systems (OHSMS) - Lead auditor
Trainer : Zain Bin Awad Lardi
Training Agenda
By the end of this session, participants will be able to:
Understand the purpose of ISO 45001:2018.
Describe the 10 clauses of the standard in a clear and simple way.
Apply audit principles and conduct internal audits.
Analyze audit findings and prepare audit reports.
Understand the certification process and audit stages.
What is ISO 45001?
ISO 45001 is an international standard for Occupational Health & Safety Management Systems (OHSMS).
It helps organizations:
Prevent workplace injuries and illnesses.
Control hazards systematically.
Improve safety culture.
Meet legal and client requirements.
Modules of ISO 45001 :
Module 1:
OHSMS Fundamentals & ISO 45001 Overview
Module 2:
Organizational Context, Leadership & Policy
Module 3:
Hazard Identification & Risk Assessment
Module 4:
Planning & Operational Control
Module 5:
Support Processes
Module 6:
Performance Evaluation & Audit
Module 7:
Audit Principles, Auditor Competence & Audit Types
Module 8:
Audit Planning & Preparation
Module 9:
Conducting the OHSMS Audit
Module 10:
Audit Findings, Nonconformities & Reporting
Module 11:
Corrective Actions & Incident Investigation
Module 12:
Certification & Lead Auditor Skills
ISO 45001:2018 – 10 Clauses Overview
Scope
Normative References
Terms & Definitions
Context of Organisation
Leadership & Participation
Planning
Support
Operation
Performance Evaluation
Improvement
Module 1: OHSMS Fundamentals & ISO 45001 Overview
Introduction to OHSMS
OHSMS is a system used by organizations to manage workplace safety. It helps prevent accidents and improve employee health. It is proactive rather than reactive.
OHSMS is a structured system used to manage occupational health and safety risks in an organized and systematic way
It focuses on preventing injuries and illnesses before they occur rather than reacting after incidents happen
It integrates safety into daily work processes and business operations
It improves overall safety performance and workplace conditions
It helps organizations meet legal and regulatory requirements
It promotes a strong safety culture among employees
Clause - 1&2 : ISO 45001 Overview
ISO 45001 is an international standard for safety management. It provides a framework for organizations to control risks and improve safety performance.
ISO 45001 is a globally recognized standard designed to manae occupational health and safety risks effectively
It replaces OHSAS 18001 and follows a risk-based approach
It aligns with other ISO standards using Annex SL structure
It focuses on leadership involvement and worker participation
It helps organizations reduce workplace accidents
It supports continuous improvement in safety systems
Key Concepts (Hazard, Risk, Opportunity)
Hazard
Risk
Opportunity
Anything that can cause harm (e.g., machinery, chemicals, unsafe conditions)
The likelihood and severity of harm caused by a hazard
A chance to improve safety through better systems or technologies
Identifies potential sources of danger
Evaluates how serious and likely the danger is
Focuses on improvement and positive outcomes
Must be identified before assessing risk
Depends on the hazard and exposure level
Comes from analyzing risks and finding better solutions
Example: Wet floor, exposed wires
Example: Slipping on wet floor causing injury
Example: Installing anti-slip flooring
Helps recognize unsafe conditions
Helps prioritize safety actions
Helps enhance safety performance and efficiency
PDCA Cycle in OHSMS
The PDCA cycle ensures continuous improvement in safety systems. It is the core of ISO 45001 implementation.
Plan
involves identifying hazards, assessing risks, and setting safety objectives
Do
involves implementing control measures and safety procedures
Check
involves monitoring performance and conducting audits
Act
involves improving processes based on findings
PDCA ensures continuous improvement of safety systems
Module 2 : Organizational Context, Leadership & Policy
Clause - 4 Organizational Context
Organizations must understand internal and external factors affecting safety. This helps in effective planning.
Internal factors
include workforce, processes, and company culture
External factors
include laws, stakeholders, and market conditions
Organizations must identify interested parties such as employees and regulators
Understanding context helps improve system effectiveness
It ensures alignment with business goals
It supports better decision-making
Clause - 5 Leadership and Commitment
Leadership plays a major role in safety success. Top management must actively support safety initiatives.
Top management must take responsibility for safety performance
Leaders must provide resources for safety implementation
Safety must be integrated into business decisions
Leaders must promote a positive safety culture
Workers must be involved in safety processes
Leadership ensures continuous improvement
Worker Consultation & Participation
ISO 45001 strongly emphasizes worker involvement in OH&S decision-making.
Workers participate in hazard identification
Workers contribute to incident investigations
Safety committees encourage participation
Workers must be consulted on changes
Reporting unsafe conditions should be encouraged
Remove barriers to participation
OH&S Policy
The OH&S policy defines the organization’s commitment to safety. It guides safety objectives and actions.
Policy must include commitment to safe working conditions
It must comply with legal requirements
It must support continuous improvement
It must be communicated to all employees
It must be documented and maintained
It guides safety planning and implementation
Module 3 : Hazard Identification & Risk Assessment
Hazard Identification
Hazard identification is the first step in safety management. It helps identify potential dangers.
First step in safety management to recognize hazards
Helps identify potential dangers before they cause harm
Hazard Identification Process
Hazards must be identified in all workplace activities
Include routine and non-routine tasks
Consider human behavior and environmental factors
Use inspections and audits to identify hazards
Review past incidents and near misses
Involve workers in hazard identification
Risk Assessment
Risk assessment helps evaluate how serious a hazard is. It helps prioritize actions.
Risk is evaluated based on likelihood and severity
Helps prioritize high-risk activities
Supports decision-making for control measures
Must be documented properly
Must be reviewed regularly
Ensures effective risk management
Module 4 :
Planning & Operational Control
Clause - 6 Planning
Planning ensures safety is managed proactively. It includes objectives and action plans.
Ensures proactive management of workplace safety
Includes setting objectives and planning actions
Key Elements of Safety Planning
Organizations must set clear safety objectives
Objectives must be measurable and achievable
Plans must include responsibilities and timelines
Legal requirements must be considered
Planning ensures systematic implementation
It improves safety performance
Legal and Other Requirements
Organizations must identify and comply with all applicable legal and other requirements related to occupational health and safety. Compliance is a core requirement of ISO 45001.
Identify all applicable OH&S laws, regulations, and permits
Monitor updates to legal requirements regularly
Maintain legal compliance register
Evaluate compliance periodically
Take action on non-compliance issues
Include client and contractual safety requirements
Risks and Opportunities
Organizations must address both risks that can harm the system and opportunities that improve safety performance.
Identify OH&S risks
Identify business/system risks
Identify improvement opportunities
Plan actions for each risk/opportunity
Monitor effectiveness
Update risk register regularly
Risk vs Opportunity
Risks (Negative Impact)
Opportunities (Positive Impact)
Workplace hazards causing injuries or accidents
Improve safety controls and reduce incidents
Non-compliance with legal requirements
Achieve compliance and avoid penalties
Equipment failure or unsafe conditions
Upgrade to safer and efficient technology
Poor safety awareness among workers
Enhance training and safety culture
Ineffective risk controls
Implement better control measures and systems
Incident recurrence due to poor investigation
Improve investigation and prevent future incidents
Clause - 7 Resources & Competence
Resources and competence are essential for implementing safety systems effectively.
Organizations must provide necessary resources
Workers must be trained and competent
Skills and knowledge must be regularly updated
Training improves safety awareness
Competence ensures safe work practices
It supports system effectiveness
Module 5: Support Processes
Clause - 8 Operational Control
Operational control ensures safety during daily work activities. It helps manage risks.
Implement safe systems of work
Control contractor and supplier activities
Manage changes in processes
Ensure emergency preparedness
Monitor risks continuously
Maintain safe working conditions
Emergency Preparedness & Response
Organizations must prepare for emergencies to minimize injuries, damage, and disruption.
Identify potential emergency situations
Develop emergency response procedures
Conduct drills and mock exercises
Provide emergency equipment
Train emergency response teams
Review emergency plans after incidents
Awareness & Communication
Awareness and communication ensure that safety information is shared effectively.
Workers must understand safety risks
Communication must be clear and effective
Safety information must be shared regularly
Awareness programs improve safety culture
Feedback systems must be implemented
Communication ensures coordination
Documentation
Documentation ensures consistency and control of safety systems.
Documents must be properly maintained
Records must be accurate and updated
Documentation supports audits
It ensures consistency in processes
It improves traceability
It supports compliance
Module 6: Performance Evaluation & Audit
Clause - 9 Monitoring & Measurement
Monitoring ensures safety performance is evaluated regularly.
Use KPIs to measure safety performance
Monitor workplace conditions
Track incidents and near misses
Evaluate compliance
Review safety data regularly
Improve performance
Internal Audit
Internal audits check system effectiveness and compliance.
Audits verify compliance with ISO 45001
Auditors must be competent
Findings identify gaps
Audit plans must be prepared
Evidence must be collected
Reports must be documented
Module 7:
Audit Principles, Auditor Competence & Audit Types
Audit Principles
Audit principles ensure that audits are reliable and effective. They guide auditors to perform their work professionally and objectively.
Fundamental Audit Principles
Integrity ensures that auditors perform their work honestly and with strong ethical values at all times
Fair presentation ensures that audit findings are reported truthfully and accurately without any bias or manipulation
Due professional care ensures that auditors apply their knowledge and skills carefully during the audit process
Confidentiality ensures that sensitive information is protected and not shared without authorization
Independence ensures that auditors remain unbiased and free from conflicts of interest
Evidence-based approach ensures that conclusions are based only on verified and objective evidence
Auditor Competence
Auditors must have the right knowledge and skills to conduct effective audits. Competence ensures quality and reliability.
Auditors must have a strong understanding of ISO 45001 requirements and safety management systems
They must possess good communication skills to interact effectively with auditees
Analytical skills are required to identify root causes and system weaknesses
Auditors must have practical knowledge of workplace safety practices
Continuous learning and training are required to maintain competence
Professional behavior and ethics are essential for credibility
Types of Audits
Different types of audits are conducted to evaluate system performance. Each type serves a specific purpose.
Internal audits
are conducted within the organization to check system effectiveness
External audits
are conducted by third parties to verify compliance
Certification audits
are conducted to achieve ISO certification
Surveillance audits
ensure continued compliance after certification
Supplier audits
evaluate the safety practices of vendors
Each type of audit helps improve system performance
Module 8 :
Audit Planning & Preparation
Audit Planning
Audit planning ensures that audits are conducted in a structured and organized manner. It defines scope and objectives.
Define the audit scope clearly including processes, departments, and locations
Establish audit objectives such as compliance verification and improvement
Identify audit criteria based on ISO 45001 clauses
Allocate audit team members with required competence
Schedule audit activities to ensure smooth execution
Proper planning ensures effective and efficient audits
Audit Preparation
Preparation helps auditors conduct audits effectively. It includes reviewing documents and planning activities.
Review documented information such as policies, procedures, and records before the audit
Prepare audit checklists based on ISO requirements
Understand the organization’s processes and risks
Plan interview questions for auditees
Arrange logistics such as time and location
Preparation improves audit effectiveness
Audit Checklist Development
Audit checklists help auditors remain systematic and ensure complete coverage.
Prepare clause-based questions
Include legal requirements
Include process-specific questions
Use objective evidence columns
Record findings during audit
Customize by department/process
Module 9 :
Conducting the OHSMS Audit
Conducting the Audit
Conducting an audit involves collecting evidence and evaluating processes. It must be systematic and professional.
Conduct an opening meeting to explain audit objectives and scope
Collect evidence through interviews, observations, and document review
Verify compliance with ISO 45001 requirements
Record findings clearly and accurately
Maintain professional behavior during the audit
Ensure effective communication with auditees
Opening and Closing Meetings
Opening and closing meetings formally start and conclude audits.
Confirm audit scope and objectives
Introduce audit team
Confirm schedule and logistics
Explain reporting method
Present findings in closing meeting
Clarify next steps and timelines
Collecting Audit Evidence
Audit evidence is required to support findings. It must be objective and verifiable.
Evidence can be collected through interviews with employees
Observations of workplace activities provide real-time evidence
Document review helps verify compliance
Evidence must be relevant and reliable
Cross-check information to ensure accuracy
Evidence supports audit conclusions
Module 10 :
Audit Findings, Nonconformities & Reporting
Audit Findings
Audit findings show whether the system meets requirements. They help identify strengths and weaknesses.
Findings include conformities where requirements are met
Nonconformities indicate gaps in the system
Observations highlight improvement opportunities
Findings must be based on evidence
Clear documentation is required
Findings support decision-making
Nonconformities
Nonconformities are failures to meet requirements. They must be identified and corrected.
Major nonconformities indicate serious system failures
Minor nonconformities indicate small gaps
Root causes must be identified for each nonconformity
Corrective actions must be implemented
Follow-up is required to verify closure
Proper handling improves system performance
Audit Reporting
Audit reports communicate findings to management. They must be clear and accurate.
Reports must include audit scope, objectives, and findings
Information must be clear and easy to understand
Evidence must support all findings
Reports must be shared with management
Recommendations for improvement must be included
Reports support decision-making
Module 11 :
Corrective Actions & Incident Investigation
Management Review
Top management must review the OH&S management system periodically to ensure effectiveness.
Review audit results
Review incident trends
Review objectives achievement
Review legal compliance status
Review resource needs
Decide improvement actions
Clause - 10 Corrective Actions
Corrective actions help fix problems and prevent recurrence. They improve system performance.
Identify root causes of problems before taking action
Implement corrective actions to eliminate causes
Assign responsibilities for actions
Monitor effectiveness of actions
Prevent recurrence of issues
Improve overall safety performance
Incident Investigation
Incident investigation helps identify causes of accidents. It prevents similar incidents in the future.
Investigate all incidents including near misses
Identify immediate and root causes
Collect evidence such as reports and observations
Analyze data to identify trends
Recommend corrective actions
Improve safety systems
Module 12 :
Certification & Lead Auditor Skills
Certification Process in Organizations
Certification ensures that the organization meets ISO requirements. Lead auditors must have strong skills to conduct audits effectively.
Certification involves stage 1 and stage 2 audits by certification bodies
Organizations must demonstrate compliance with ISO 45001
Continuous audits ensure ongoing compliance
Lead auditors must have strong technical knowledge
Communication and leadership skills are essential
Ethical behavior ensures trust and credibility
Thank you
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