Introduction

ISO 45001 Lead Auditors employ a range of techniques to ensure compliance with Occupational Health and Safety (OHS) standards and to identify opportunities for improvement. These techniques help organizations create safer workplaces and maintain ongoing compliance with ISO 45001. This article outlines essential ISO 45001 Lead Auditor techniques, including risk-based auditing, root cause analysis, and effective reporting practices.

Table of Contents

• 1. Using a Risk-Based Auditing Approach
• 2. Conducting Root Cause Analysis for Non-Conformances
• 3. Evidence-Based Reporting Techniques
• 4. Establishing Continuous Monitoring and Follow-Up
• Frequently Asked Questions

1. Using a Risk-Based Auditing Approach

Risk-based auditing is essential in ISO 45001, focusing on high-risk areas to ensure the most significant hazards are managed effectively. Key practices include:

• Prioritizing High-Risk Activities: Auditors identify and prioritize high-risk activities for thorough assessment, focusing on areas with the greatest potential for harm.
• Evaluating Risk Management Practices: Review the organization’s approach to identifying and controlling risks, ensuring alignment with ISO 45001 requirements.
• Adapting to Changing Risks: Encourage the organization to continuously reassess risks as conditions change, supporting ongoing safety improvement.

A risk-based approach ensures focused, impactful audits. For further guidance, refer to QMII’s ISO 45001 Lead Auditor course.

2. Conducting Root Cause Analysis for Non-Conformances

Root cause analysis (RCA) is crucial for identifying the underlying reasons for non-conformances, allowing for effective corrective actions. Key RCA techniques include:

• The “5 Whys” Technique: Ask “why” multiple times to uncover the root cause, ensuring that the issue is addressed at its source.
• Fishbone Diagram: Use a fishbone (Ishikawa) diagram to categorize potential causes, making it easier to identify contributing factors to safety issues.
• Involving Process Owners: Engage those directly involved in the process to gain insights into the factors that may have led to non-conformances.

RCA ensures corrective actions are effective and sustainable. For training in these techniques, QMII’s ISO 45001 course offers comprehensive guidance.

3. Evidence-Based Reporting Techniques

Clear, evidence-based reporting is essential for communicating audit findings and supporting corrective action. Effective reporting practices include:

• Providing Detailed Descriptions: Clearly describe each non-conformance, including references to ISO 45001 clauses, supporting transparency and clarity.
• Presenting Objective Evidence: Use factual evidence, such as records and observations, to substantiate findings and recommendations.
• Offering Actionable Recommendations: Provide specific, practical recommendations to help the organization address non-conformances and improve OHS practices.

Evidence-based reporting builds trust and drives improvement. For reporting skills, see QMII’s ISO 45001 Lead Auditor training.

4. Establishing Continuous Monitoring and Follow-Up

Continuous monitoring and follow-up are essential for maintaining OHS performance over time, helping organizations address emerging risks and adapt to new challenges. Important follow-up techniques include:

• Tracking Corrective Actions: Monitor the implementation of corrective actions, verifying that they are completed effectively and on schedule.
• Periodic Re-Audits: Conduct regular follow-up audits to ensure sustained compliance and identify areas for further improvement.
• Encouraging Proactive Monitoring: Guide organizations in establishing internal monitoring practices that identify issues before they escalate into non-conformances.

Continuous monitoring supports long-term safety improvements. For more on follow-up, refer to QMII’s ISO 45001 training course.

Frequently Asked Questions

What is the purpose of a risk-based auditing approach in ISO 45001?

Risk-based auditing focuses on high-risk areas, ensuring that the most significant hazards are managed effectively and that resources are used where they’re most needed.

How does root cause analysis benefit OHS audits?

Root cause analysis identifies the underlying reasons for non-conformances, allowing auditors to recommend corrective actions that prevent recurrence and strengthen safety.

Why is continuous monitoring important in ISO 45001 audits?

Continuous monitoring allows organizations to adapt to new risks and maintain compliance over time, supporting ongoing safety improvement and resilience.