Section one – Five questions worth two marks each – maximum 10

marks

1.1 Explain the difference between an ’audit programme’ and an ‘audit plan’
(2 marks)

Audit Programme: Arrangements for set of one or more audits planned for a
specific time frame and directed towards a specific purpose. (3.4)

Audit Plan: Description of the activities and arrangements for an audit. (3.6)

1.2 ISO 45001 requires organisations to determine methods for monitoring

and measuring OH&S performance. Give four examples of
typical
measures that could be used by an organisation.
(2 marks)

Examples of typical measures include (referring 9.1.1-a)

 Assessment of compliance with legal and other requirements;

 Evaluation of the effectiveness of OH&S training;
 Use of worker surveys to evaluate OH&S culture and
related worker satisfaction;
 Completion of statutory and other inspection schedules;
 The extent to which programmes have been implemented;
 The effectiveness of the worker consultation and
participation process;
 Use of health screening.

1.3 During an audit of an insurance company an auditor noted that members

of staff were using portable ladders to reach shelves containing files. The
highest shelf was 3 metres high. No assessment of OH&S risks had been
carried out for this activity and a non-conformance report was raised.

Give at least four examples of evidence that could allow the auditor to
consider closing out this non-conformance.(2 marks)

 Staff Train Safety Training was conducted related to working

aloft. (8.1.2-d)
 Risk Assessments were carried out for every task assigned
that includes working aloft.
 PPE was donned as per Company’s PPE Matrix while carrying
out the job. (8.1.2-e)
 Communication process was observed.

1.4 Give at least 4 reasons for an auditor carrying out a documentation review (or
stage one audit).

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 - To establish whether it is in line with the requirements of the standard.
- Gather information to understand the auditee’s operations and to
prepare audit activities and applicable audit work documents e.g. on
processes, functions.
- Establish an overview of the extent of the documented information to
determine possible conformity to the audit criteria and detect possible
areas of concern, such as defeciencies, omissions or conflicts.
(2 marks)

1.5 List four reasons why OH&S objectives are an important part of an OHSMS
which conforms to ISO 45001.
(2 marks)

- In order to maintain and continually improve the OHSMS and OH&S

performance (6.2.1)

- Promoting a culture that supports an OHSMS. (10.3-b)

- Promoting the participation of workers in implementing actions for

the continual improvement of OHSMS. (10.3-c)

- Maintaining and retaining documented information as evidence of

continual improvement. (10.3-d)

Section two – Four questions worth five marks each – maximum 20

marks

2.1 In your own words and using examples as appropriate, briefly explain the
difference between ‘preventive measures’, ‘correction’ and ‘corrective action’.

(5 marks)

Correction is any action that is taken to eliminate a nonconformity.

Example: While entering the tank, Gas meter batteries went dead. Went back to
the Workshop, replaced the batteries and resumed the operation.

Corrective actions are steps that are taken to remove the causes of an existing
nonconformity or undesirable situation.

Example: Taking extra pair of batteries before entering in the tank.

Preventive actions are steps that are taken to remove the causes of potential
nonconformities or potential situations that are undesirable.

Example: In a Risk Assessment before Carrying out the Task of entering into
enclosed spaces, minimise the risk of getting batteries of Gas Meter dead and
accordingly precautions must be taken to remove such mishap.

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 2.2 a) Describe the purpose of the opening meeting

(2 marks)
The primary purpose of an audit opening meeting is to confirm the audit
plan and prior arrangements. It is also an opportunity to introduce the
audit team members and describe your audit approach.
The opening meeting is chaired by the Lead Auditor and held with
management of the organization and the areas to be audited. The
meeting should be conducted in a friendly manner and put the auditee at
ease. You want to create a sense of trust and cooperation from the very
start of the audit.
If you will be assigned guides, or be accompanied by observers, the
opening meeting can be used to carefully explain their roles to avoid
possible disruptions during the audit.
Remember to allocate time in the opening meeting for the auditee to ask
questions. The opening meeting can also give insights into the level of
management commitment and support.

b) List three items to be considered at the meeting

(3 marks)

Note: For your answer to b), do not repeat any issues mentioned in your answer
to a)

 Introduction of meeting participants

 Roles of auditor; auditee; guide; observer
 Attendance list (names, titles, contact information)
 Audit objective (purpose or reason for the audit)
 Audit scope (coverage of areas; processes; clauses)
 Audit criteria (applicable requirements)
 Documentation status (changes since plan developed)
 Agenda plan (agenda; assignments; meetings; times)
 Audit methods (procedure; sampling; forms)

2.3 Outline five items that an audit plan should include.

(5 marks)

 What are the audit objectives?

 Where will the audit be done? (i.e. scope)
 When will the audit(s) occur?
 Who are the auditors?
 How will the audit be done?

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2.4 a) Briefly describe why it is important to contact the auditee prior to an audit.
(This might be the process owner for an internal audit or relevant
management for an external audit).

(2 marks)
- It is important to contact the Auditee before an Audit, in order to
confirm the arrangements that are required to be done before
conducting the Audit.

- Auditor and Auditee can confirm meeting arrangements and in case of

any query which both of them have, that can be cleared before the
Audit.

b) List three topics you would want to discuss when contacting the auditee prior to
the audit.

(3 marks)

- I will call the Auditee and confirm our meeting arrangements regarding
meeting place, time location and scope of the Audit.

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Section three – three questions worth ten marks each – maximum 30
marks

3.1 During a Stage 1 visit to an organisation you note that a construction

company, contracted to repair and maintain the site drainage system, is
currently working in the main production area. The organisation informs
you that production is continuing and the production personnel have to
work around the contractor’s activities (which involves removing and
replacing many of the existing drains).

Next month is the Stage 2 audit and you are the lead auditor carrying out
the audit.

Explain what you would wish to examine by listing at least 10 issues or

audit checkpoints for investigation making reference to relevant clauses of
ISO 45001.

(10 marks)
- 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. (5.1-a)
- Top-management shall establish,implement and maintain an
OH&S policy that 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 specify nature of its OH&S risks
and OH&S opportunites (5.2-a)
- Routine and non-routine activities and situations, including
hazards arising from infrastructure, equipment, materials,
substance and the physical conditions of the workplace.
(6.1.2.1- b1)
- Other issues, including consideration of 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. (6.1.2.1-f1)
- situations occurring in the vicinity of the workplace caused
by work related activities under the control of the
organization. (6.1.2.1-f2)
- situations not controlled by the organisation and occurring in
the vicinity of the workplace that can cause injury and ill health
to persons in the workplace (6.1.2.1-f3)
- the organisation shall ensure that workers are competent
including the ability to identify hazards on the basis of
appropriate education training or experience. (7.2-b)
- workers shall be made aware of their implications and potential
consequences of not confirming to the OH&S management
system requirements. (7.3-c)

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 - 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. (7.3-
f).

3.2 You are conducting a third-party, ISO 45001 audit of a food processing company,
focussing on their internal audit process.

You determine that the organisation’s occupational health and safety system
internal audit programme has been the same for the past four years. Each
department is audited once every year and audit objectives have been limited to
checking that the operational controls are carried out as described in documented
information.

a) There are two requirements of ISO 45001 clause 9.2 that are unlikely to be
met based on what you have determined so far.

Describe these two requirements.

(4 marks)
- Include frequency, methods, and responsibilities. (9.2.2-
a)
- Define the audit criteria and scope for each audit. (9.2.2-b)

b) List three topics that you would want to discuss with the audit programme
manager during your audit. For each topic, briefly outline what you would
want to discuss and why. State the applicable clauses of ISO 45001 as
appropriate.

(6 marks)

- OH&S Objectives: The Objectives of the company are not

well- defined . (6.2.1)
- Operational Planning & Control: Criteria is not
established, operational control of the processes is not
implemented in accordance with the criteria. (8.1.1)
- Internal Audit: Internal Audit program has not been
continually reviewed. (9.2.2)

3.3 a) Explain, in your own words, the difference between a “hazard” and an
“OH&S risk” in an OHSMS.

Hazard: is any source of potential damage, harm or adverse health

effects on something or someone.

OH&S Risk: Its an effect of uncertainty, it is the chance or probability

that a person will be harmed or experience an adverse health effect
if exposed to Hazard.

(2 marks)

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 b) You are conducting a OHSMS audit in the warehouse of a large distribution
company working mainly in the online market for books and other publications.
From an overhead gantry, you observe that there are a number of diesel powered
fork lift trucks moving around the floor area which has pallet storage racks four
levels high. A number of people are pushing trolleys along the passageways. You
have noted that more safety incidents took place in this area in the last year than
in any other area.

Describe four hazards and their potential consequences in the warehouse which
you would expect to have been identified as part of their risk management
process.
(4 marks)
- Hazards arising from infrastructure, equipment, materials,
substances, and the physical conditions of the work place. (6.1.2.1-
b1)
- How the work is performed. (6.1.2.1-b4)
- Pass relevant incidents internal or external to the organisation
including emergencies and their causes. (6.1.2.1-c)
- people including consideration of those with access to the workplace
and the activities including workers, contractors, visitors and other
persons. (6.1.2.1-e1)
- other issues including consideration of the design of work areas
processes installations machinery equipment, operating procedures in
work of organisations including their adaptation to the needs and
capabilities of the workers involved. (6.1.2.1-f1)

a) Outline four opportunities for OH&S improvement which might eliminate

these hazards and reduce OH&S risks.
(4 marks)
- the organisation shall determine the necessary competence of
workers that affects on can affect its OH&Sperformance. (7.2-
a)
- ensure that workers are competent including the ability to
identify hazards on the basis of appropriate education, training or
experience. (7.2-b)
- workers can be made aware of incidents and the outcomes of
investigations that are relevant to them. (7.3-d)
- Workers shall be made aware of hazards OH&S risks and
actions determined that are relevant to them. (7.3-e).
- Workers shall be made aware of 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. (7.3-
f).

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Section four – three questions worth ten marks each – maximum 30
marks

4.1 – Audit situation one:

During an audit of a company that refurbishes computers, you notice a new Spray Booth
has been built for use when painting small parts. It uses Aerosol Spray Cans. This
activity used to be sub-contracted overseas, but has now been brought ‘in house’.

You observe the spraying being carried out and note that there is a strong smell of
solvent even though the fans in the spray booths are operating. You note from the paint
material safety data sheet that the paint fumes are harmful and ask if an assessment of
OH&S risks has been carried out for this activity. The Manager replies stating that was
not necessary as the aerosol spray paint and the booths are similar to those used by the
overseas sub-contractor so the hazards are well established. The operators have access
to face masks.

Your audit trail leads you to the accident and incident records and you note that there
have been recent reports of personnel complaining about ‘stinging’ eyes and slight
difficulties in breathing. The action taken was to instruct operators not to put their heads
too far into the spray booth when spraying.

SOLUTION: NON CONFIRMITY

DESCRIPTION OF THE NON-CONFIRMITY: HARMFUL SPRAY PAINT SOLVENT BEING

USED WITHOUT ANY PRECAUTIONS AS MSDS CLEARLY STATES THAT PAINT FUMES ARE
HARMFUL PLUS INSUFFICIENT INSTUCTIONS WERE GIVEN TO THE OPERATORS
REGARDING PAINTING PROCEDURES.

EVIDENCE:
- NO RISK ASSESSMENT WAS CONDUCTED PRIOR CARRYING OUT THE JOB.
- RECENT PAST ACCIDENT AND INCIDENT RECORD SHOWS PERSONNEL COMPLAINING
ABOUT STINGING EYES AND SLIGHT DIFFICULTIES IN BREATHING.

ISO 45001-2017: CLAUSE AND REQUIREMENT:

6.1 ACTIONS TO ADDRESS RISKS AND OPPORTUNITIES – (6.1.1,6.1.2-b,c,e,f)
7.2 COMPETENCE (7.2-a,b)
7.3 AWARENESS (7.3-c,d,e,f)
8.1.2 ELIMINATING HAZARDS AND REDUCING OH&S RISKS

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4.2 Audit situation two:
You are auditing an organisation that delivers sandwiches to offices by a fleet of small
vans on a daily basis. You note that, over the past twelve months, there has been a
twenty-five percent increase in ‘near misses’ for road traffic accidents recorded by the
six employees.
You are provided with a verbal explanation as to how the incident reporting process
operates. The auditee further advises you that although this process is not maintained as
documented information, all six employees know how to report and record incidents,
including any near misses, as it is covered in the induction training.
You ask about the cause of the increase in near misses and are told “there are no special
reasons; we can go for a while without any and then we get quite a few in a short
period”.

SOLUTION: NONCONFIRMITY

DESCRIPTION OF THE NON-CONFIRMITY: INCREASE IN NEAR MISSES AND NOT

DOCUMENTED

EVIDENCE: PROCESS IS NOT MAINTAINED AS DOCUMENTED INFORMATION. CAUSE

OF NEAR MISSES NOT YET KNOWN. AUDITEE UNAWARE OF THE DOCUMENTATION AND
REPORTING PROCEDURES OF ORGANISATION.

ISO 45001:2017: CLAUSE AND REQUIREMENT:

6.1 ACTIONS TO ADDRESS RISKS AND OPPORTUNITIES – (6.1.1,6.1.2-b,c)
7.3 AWARENESS (7.3-c,d)
7.4 COMMUNICATION – (7.4.1)
7.5 DOCUMENTED INFORMATION (7.5.1, 7.5.2,7.5.3)
8.1.2 ELIMINATING HAZARDS AND REDUCING OH&S RISKS
10.2 INCIDENT, NON-CONFIRMITY AND CORRECTIVE ACTION

4.3 Audit situation three:

During a site visit for a stage 2 certification audit of a facility management company,
you notice that a window cleaner is stretching from a long ladder to clean a window
pane on the second floor. The ladder is resting on loose chippings. There is no
indication that the ladder is secured and the cleaner is unaccompanied. He is not
wearing a safety harness and is working with a bucket perched on the top rung of the
ladder.

You discuss this situation with the OH&S Manager who states that the operator works
for a subcontractor, EasyClean. He adds that they have also used this subcontractor
for many years to service their own clients. He tells you that he has visited the
contractor’s offices to discuss OH&S issues and was satisfied with their level of
awareness of their responsibilities. He mentions that he will have a word with the
operator about safety practices when using ladders.

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SOLUTION: NO NON CONFIRMITY

AUDIT INVESTIGATION: AS OPERATOR WORKS FOR THE SUBCONTRACTOR AND

BEING PROVIDING SERVICE TO THEIR CLIENTS.

POINT OF INVESTIGATION:

THIS IS THE END OF THE EXAMINATION PAPER

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