Occupational Health & Safety Management System (RABQSA-OH)

CONFIDENTIAL TO ISC EXAMINERS

EXAMINERS GUIDE

TYPICAL SOLUTIONS TO RABQSA-OH

Assessment
(MODEL ANSWERS)

The course examiner who marks the Assessments is expected to use their experience and judgment as
certified auditors and experienced trainers bound by the ISC Code of Conduct. The marking
examiner is to give due consideration to logical argued solutions that may not conform precisely
to the typical solution and other answers may be acceptable.

Assessment Criteria
The participants are allowed to refer to the AS 4801/OHSAS 18001 standard and
course notes.

Assessment 1: Score 9 Acceptable 100%

Assessment 2: Score 10 Acceptable 80%

Assessment 3: Score 20 Acceptable 80% with

conditions (See each question)

Assessment 4: (Section A and B) Score 20 Acceptable 80% with

conditions (See each question)

Examination Guide RABQSA -OH rev2 June 2007 Page 1 of 16

Occupational Health & Safety Management System (RABQSA-OH)

ASSESSMENT 1

Time: 45 minutes

Score : 9 Marks (Acceptable Score 100%)

Objective:

To identify hazards, assess the risks and evaluate the effectiveness of the control measures in
the context of applicable legal requirements in a chemical store located within a paper
manufacturing company.

Site:

This store contains various flammable & toxic chemical substances in drums. Both
manual handling and forklifts are used for transportation of Drums. Activities involve
receiving, storage and issuing of drums to production on a daily basis.

Task: Using the format provided, for each activity as detailed (Receiving, Storage and
Issuance to production), complete the following:

Identify actual or potential hazards (at least 1) in each activity

Assess the risks (you could include any assumption for the existing controls in
order to assess the risks)
Propose any additional control measures to control the hazards.

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Occupational Health & Safety Management System (RABQSA-OH)
Hazard sources or situation
Receiving:
1.Mix up of flammable and toxic
substance due to leakage.
2. Transfer of substance from the
delivery van to receiving area.
3. Damage or corrosion of container
4. exposure or inhalation to such
substances
Storage:
1. Inappropriate storage conditions
2. accumulation or presence of hazardous
and flammable substance
3. inappropriate location where presence
of potential sparks, electricity tripping
may be adjacent to the substance as well
as exposure to human
4. spillage due to corrosion or accident
5. Access to storage area by personnel
being exposed thereto
Examination Guide RABQSA -OH Rev 2 June 2007
Risk- likelihood and occurrence
1. May cause fire, emergency situation
2. Injury to the employees, exposure or toxic
substance, flammable substance may trigger fire
3. Spillage, fire, exposure to human,
4. May cause health and safety problem
1. May trigger fire and emergency condition
2. Respiratory or health problem, fire and
emergency situation
3. Fire and emergency situation
4. safety, fire and emergency situation
5. Safety and health
Page 3 of 16
Control Measure
1. Separation of chemicals from those that reacts from each other ;
training of personnel involved in this operation.
2. Use of Personal protective Equipment, Trained personnel. Additional
inspection, Use of check sheet to ensure necessary steps are taken
before the commencement of transfer.
3. Periodic visual inspection using a check sheet ; kept in a protected
storage; May provide external protection on its container using rubber
etc. Availability of MSDS
4. Use of PPEs ; Stored in a separate area from employees; Use of
exhaust in order to lessen accumulation of chemicals. Testing if
applicable.
1. Room temperature or condition as flammable substance may require
adequate ventilation. Monitoring of temperature requirement.
2. Exhaust fan in order to lessen accumulation of fumes, gases; proper
ventilation. Monitoring and testing as appropriate.
3. Rehabilitation or use of appropriate storage area for chemicals; use
of anti static bulb; regular inspection on electrical wires. (Electrical
testing and tagging)
4. First in first out system; regular inspection be made on the container;
use of plastic containers or appropriate container to prevent corrosion;
elastic paint against slippery on the floor.
5. Use of PPEs; only authorized and trained personnel be allowed
inside the storage area; Use monitoring equipment prior to entering the
area. Availability of MSDS
Occupational Health & Safety Management System (RABQSA-OH)
Hazard sources or situation
Issuance to production
1. Manual handling
2. Forklift operation
3. Oil spillage from the forklift
4. exposure to the flammable and toxic
substance.
5. Failure to communicate the effects of
each chemical reactivity upon exposure
to humans.
6.Accidental spillage inside production
area
Examination Guide RABQSA -OH Rev 2 June 2007
Risk- likelihood and occurrence
1. Accidental spillage that may cause injury to
exposure to chemicals
2. Injury due to its normal operation such as over
running, bumps etc.
3. Slips and fall
4. Respiratory or health problem, fire and
emergency situation.
5. Endangered employees health and safety due to
lack of information.
6. Slips and fall, health and safety
Page 4 of 16
Control Measure
1. Training on manual transfer; only authorized personnel may be
allowed to manually transfer chemicals; Designate the route of transfer
to minimize potential accident.
2. Designate a route of forklift operation that employees be aware of its
designation; Only trained and qualified personnel may be allowed to
use the forklift
3. Regular maintenance of the forklift; Visual inspection on its route if
there were presence of oil.
4. Use of PPEs; use of exhaust fan ; enough consumption of chemicals
be delivered to the production area. Employees awareness to its
exposure.
5. Post the health and safety policy; Post safety and health precautions
in the strategic location to be reminded of their health and safety;
Monitor the records of training made to cover those that were not
trained. Availability of MSDS
6. Inspection on its container; qualified and trained personnel be
allowed to move the chemicals inside the production
Occupational Health & Safety Management System (RABQSA-OH)

ASSESSMENT 2

Time : 30 minutes
Score : 10 Marks ( Acceptable score 80%)

Objective: To determine your ability to relate an incident/hazard to the management

system requirements of AS/NZS 4801.

Your task: To submit an individual report for the following incident investigation.

The following incident has taken place in a factory. Review the information and evidence
gathered during the investigation and determine the immediate causes and root cause
(which may include both the management system and organizational elements) that
resulted in the incident.

If any of the information is inadequate and you believe it could be a possible cause of the
accident, include it in the root cause column and highlight it. Include what additional
evidence you would need to gather.

1. Use the format (Table 1) provided for your reporting. Include the proposed corrective
actions needed in order to prevent the incident from recurring.
(6 Marks)
2. In addition, also identify any other two non conformances of the current management
system related to AS/NZS 4801 in Table 2
( 4 Marks)
Incident:

At 14:00hrs, a factory worker operating a stamping press got her fingers caught between
the stamping press tools. The operator next to her noticed the accident but did not know
what to do. It took more than 20 minutes before someone could apply first aid to her and
contact the emergency services.

Information and evidence gathered during the investigation:

At the time of the accident, the operator was on overtime duty. She had been working for
the previous 4 days consecutively for an average of 1.5 hours of overtime per day.

The two-hand switch for operating the press had been disengaged to allow her to feed
the parts into the press by hand while operating the press by a foot pedal. 2 out of 5
machines in that department have the same machine alterations. According to the
operator, this was done 2 weeks prior to the accident by the maintenance department to
overcome the problem with securing larger parts during the stamping operation.

While interviewing another operator, it was highlighted that there had been similar
incidents of near misses/hits in the days prior to the accident. The process of reporting
involves filling in a complicated 2-page form (which staff members are reluctant to
complete) or reporting the incident directly to the supervisor. Since, past experience has

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Occupational Health & Safety Management System (RABQSA-OH)
shown that reporting to the supervisor was a not productive, no incidents were generally
reported.

The safety committee is comprised of the production manager, a supervisor and 3

operators and is due to meet in 2 days time. The last meeting was about 1 month ago
where there was no report of any change or incident relating to this machine. The minutes
of the safety committee have been very brief and do not include any discussion on the
issues concerning control measures. The last safety inspection was done at the same time
as the meeting and there is no record of any problem relating to the machine. The
checklist for the inspection does not include any items relating to the modification of
machines. As there is no formal management system, there has not been any audit
conducted on the OHS system. Agenda and records of management meetings for the past
6 months have not included any items from the safety committee. There is no clear
indication what the reporting structure for the safety committee is.

The supervisor in the department claims that he is not aware of the modification made to
the machine and believes that this was modified by the operators to achieve the incentive
offered by top management for meeting productivity targets. Maintenance records
indicated that time was spent working on the machines 2 weeks ago but the maintenance
staff member responsible was not available at the time of investigation. The relevant
drawings for the machines do not show any changes made to the machines.

Records of general safety training showed that all staff had been provided with a general
safety awareness session. However the need for the two-hand switch has not been
included in the safety awareness or communication sessions.

A general risk assessment for all the activities in the company was conducted by the
safety committee, however, no specific job safety analysis was conducted involving the
relevant staff from each operation and machine.

There were no first aid trained staff personnel covering the overtime operation.

The current OHS Policy is 5 years old when the press operation was not part of the
existing business.

While the safety committee was tasked to ensure legal compliance, it is unclear who is
responsible for the updating and communication of legal requirements to those concerned.
There is no specific person appointed formally to be responsible for the management
system.

There is currently no objective or plan set for improving existing safety procedures or
practices. No commitment has been made by the top management in the policy towards
continual improvement.

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 Occupational Health & Safety Management System (RABQSA-OH)
(Table 1): Incident Investigation
Immediate Cause Root Cause related to management System Proposed Corrective Action
and organizational factors
There was an alteration Unauthorized change made. Provide resources to implement
of two hand switch proper control such as assurance
operation by No notification/communication made against unauthorize changes.
maintenance department for changes to include in the system
without necessary Any change requires
information made prior No checklist for inspection in order to documentation and communication
to changes. verify awareness of its employees to the concerned personnel.
concerned and monitor the result of such
changes. Safety checklist, safety awareness
and communication sessions shall be
held.

Risk assessments for specific jobs

needs to be conducted.

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 Occupational Health & Safety Management System (RABQSA-OH)

(Table 2): Nonconformance

Nonconformance to AS/NZS 4801 requirements AS/NZS 4801 Clause No Proposed improvement action needed
1. There was an unofficial disengaging of the two hand presses. 4.4.6 1. Follow the operational control. In case changes made is deemed
better, it must be reviewed and approved by authorized person and
communicate to the concerned personnel.

2. No investigation/report generated for the accident and near 4.5.2 2. Provide a system by creating a procedure to define responsibility
misses days prior to the incident. and authority for investigating accident, incident and the like.
Records must also be kept.

3. There was no audit made based on OHS. 4.5.4 3. Train personnel and conduct internal audit to monitor the progress
and effectively of the operation in general.

4. Agenda and records of management meeting does not 4.6 4. Necessary information such as items from safety committee should
include any items from the safety committee. be included in the management review. Agenda should be clearly
stipulated and evidenced through its record.

5. No clear indication what the reporting structure for the 4.4.1 5. There should be a clear distinction of individual roles and
safety committee. responsibility and authority. Who is to report to whom and up to what
extend should a person act in his own behalf.

6. Relevant drawings for the machines shows no changes 4.4.5 6. In case where there authorized changes made such as on drawings,
made. current version must be is expected to be available.

7. The need for the two hand switch has not been included in 4.4.2 7. All those activities that has an impact on health and safety should
the safety awareness or communication sessions. conduct awareness and communication. Hazard analysis should be
conducted to determine areas where there should be necessary
training be done to minimize if not to eliminate accidents or injuries.

8. No specific job safety analysis was conducted involving 4.4.6 8. There should be safety analysis to be conducted in order to identify
relevant staff from each operation and machine. those operation and activities associated with risk where control
measures needs to be applied.

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 Occupational Health & Safety Management System (RABQSA-OH)
9. No trained first aid personnel covering the overtime
operation.
10. Current OHS policy is 5 yrs. Old when the press operation
was not part of the existing business.
11. It is unclear who is the responsible for the updating and
communicating of legal requirements to those concerned.
12. No specific person appointed formally to be responsible for
the management system.
13. No current objectives or plan set for improving existing
safety procedure or practices
14. No commitment in the policy by top management to
continual improvement
ISC Examiners Guide Module 1 RABQSA OH, Rev 2; June 07
4.4.7 9. Add and train first aid personnel so in the event of accident or
emergency situation, there would be trained personnel that will
respond in all shifts where employees work.
4.2 10. Policy also need changes to upgrade itself to changing
circumstances. It is expected to be appropriate to the nature, scale of
the organizations OHS. Inclusion of press operation may requires
changes to policy adding impact on OHS.
4.4.1 11. Identify the responsible person who will update and
communicate legal requirements to concerned personnel.
4.4.1 12. There should be a specific person(s) responsible for
implementing the management system. It is expected that
member of top management be the management representative.
4.3.3 The organization should set a current objectives or plan in order
to improve their existing safety practices. This will be the basis
to determine if they are improving.
4.2 There should be a commitment in the policy especially by the
top management where he has the power to control the
company towards the direction of continual improvement. It is
one essential element of the standard.
Page 9 of 16
 ASSESSMENT 3

Time : 60 minutes
Score 20: Acceptable 80%

Q1 Identify at least one scientific method for risk assessment for the identified hazard?
(1Mark) (Must be correct)
Answer: FMEA (Failure Modes and Effect analysis), HAZOP (Hazard and Operability Study),
5X5 method, Tie Bar or Line Risk assessment tool.

Q2 What considerations need to be made when developing control measures?

(1 Mark) (Must be correct)
Answer: Severity/Consequence, Likelihood /Occurrence

Q3 Using 5X5 method, for the any two hazards identified, assess the risk and control the risk using
hierarchy of risk control. (4 Marks) (Minimum acceptable 2 Marks)

Scenario: NMB Company is a paint manufacturing company. This involves the use of hazardous
chemicals. MSDS reveals that some of the chemicals require special handling and storage conditions
because of its effect on health and safety of the user.

Chemical Usage: The production is using large quantity of the chemicals. The chemical is transported on a
daily basis from the chemical storage to the production area. Evidence verified indicated 3 of the 50
production operators suffered from the irritation or occupational asthma due to exposure to such chemicals.

Handling: Records reveals that there were 2 accidents (Slips) and 1 near miss occurred in the past 3 months
when transporting the chemicals to the production area. The cause of accident was the oil spill on the floor
occurred during maintenance on the machine. The Transported slipped on the floor where oil spill has
occurred. The victim requires first aid attention on these accidents. These accident results to chemical
spillage 100 meters away where combustible materials are being stored.
Answer:
Hazards Risk Severity Risk Code Hierarchy of Risk Control and Proposed
identified Involved (Conseq (highest risk Actions
(Likelihoo uence) code is the
d) highest risk
involved)
Chemical use 5 4 or 3 20 or 15 Urgent/Planned
1. Find an alternative that is more chemical
friendly for use.
2. Improve the exhaust system to minimize
exposure.
3. Conduct training, awareness seminar to be
aware of its use.
4. Provide PPEs to all user.
5.Regular Health check ups
Slipping on 5 4 to 2 20 , 15, 10 Urgent/Planned
the floor 1. Improve the area by providing non slippery
floor
2. Post several safety reminders before coming
to such area.
3. Re-routing to avoid slips in the area.
Regular inspection/safety checklist after
maintenance of the machines
Potential for 1 5 or 4 5 or 4 1. Isolate the combustible material.
fire due to 3. Regular safety inspection.
combustible
materials

Risk (Likelihood)
5 = Daily Occurrence or Very Likely to Occur/has occurred
4 = Weekly Occurrence or Probable
3 = Monthly Occurrence or Possible
2 = Quarterly Occurrence or Remote
1 = Annual Occurrence or Improbable

Severity (Consequence)
5 = Fatal outcome
4 = Major Injury (Reportable)
3 = Two Day Injury
2 = Minor Injury (first aid only)
1 = Accident or incident where no injury occurs.

Basic Matrix Actions

5 10 15 20 25 Immediate

4 8 12 16 20 Urgent

Risk 3 6 9 12 15 Planned

2 4 6 8 10 None

1 2 3 4 5

Severity

Q4. Identify what can be the possible effect on personal safety if we had an omission on OHS for
Health Surveillance (4.5.1.2). What should be done to verify if it is accurate?
(2 Marks) (Must be correct)
Answer:
Possible effect in case of omission: Health hazard to Employees. The organization will not be able
to determine/identify any health changes that may be due to the occupational exposure to a hazard
by an Individual who might be affected by it.

What shall be done to verify if it is accurate?

A procedure in place for monitoring health of employees who are exposed to specific
hazards.
Records of such results shall be maintained.
Ensure the privacy of the records.
Verify for any specified legislative requirements applicable to the organization.
They shall be periodically verified to ensure accuracy of results.
Q5. Clause 4.4.1.2 discussed accountability and responsibility of personnel involved in the
operations of OHSMS. Identify two things, where would an auditor look to determine if this
matches with the corporate organization structure?
(1 Mark) (Must be correct)
Answer:
Organization Structure highlights the OHS responsible personnel.
Job descriptions include responsibilities and authorities related to OHSMS.
Evidence of appointment of Management Representative/OHS representative or Officer
and his/her roles and authorities.

Q6. Identify what are two (2) potential organizational barriers to the effective implementation of
an organizational OHS system . How might these be overcome?
(2 Marks) (Must be correct)
Answer: The potential organizational barriers that may arise against effective implementation of
the system are Man, Machine, method, money or material . Such barriers may be over come by
1. Man The organization may eliminate by conducting appropriate trainings to ensure all its
personnel are aware of the OHS system in place and helps to the effective implementation of
OHS.
2. Machine The organization should identify the machines, equipment that poses hazards to
health and safety of its employees and thereafter initiate necessary action such as providing
machine guarding, confinement, work permit system and other methods.
3. Method Some work instructions may need amendment where, records reveal health and
safety matters were being jeopardized. This may need further studies to find out the best
possible method of workmanship standard that may eliminate hazards on health and safety.
Once the method is identifed there should be proper implementation to be effective.
4. Materials Materials per se or items utilized by its employees, may on itself be a danger, it is
necessary to determine the chemical composition or the component being used if it poses
danger to the health and safety of the personnel being exposed to the materials.
5. Money Top management need to ensure sufficient financial resources to implement the
system.

Q7. Identify, at least two, the appropriate verification activities in an accident involving chemical
spillage (Forklift spears a 100L drum of sodium hydroxide) in an organization.
(2 Marks) (Must be correct)
Answer : Conduct an immediate investigation to determine the root cause.
Initiate necessary corrective and preventive action
Record any changes in the OHMS procedures and inform all interested parties any changes
being made.
Follow up actions shall be conducted after implementation to ensure the actions are
effectively implemented.

Q8. Identify two pieces of evidence that an organization might have and you would look as an
auditor, to satisfy the requirements of the clause 4.4.7 Emergency preparedness and response of
AS/NZS 4801/OHS 18001 (Must be correct)
( 2 Marks)
Answer:
Responsibility for control of emergency situations
Training in emergency procedures
Regular rehearsals of fire drill
Evidence of regular inspections of Emergency equipment exit signs and alarm system.
Essential legislative requirements
Q9 List at least 4 key Acts and related acts in Mining Industry for OHS in your state/country
(4 Marks) (Minimum acceptable 2 marks)
Answer: (The answer will be based on the location of the training course, as the regulations
change from one state to another and from one country to another.)
It is the responsibility of the examiner to forward applicable list of acts/legislations to HO, before
conducting the examination.

e.g . In New South Wales, Australia following legislations/Act will be applicable.

Occupation Health and Safety Act 2000
Electrical Safety Act 1945
The Electrical Safety (Electrical Installations) regulation1998
Mining Act 1992
Mines Inspection Act 1901
Coal Mines Regulations Act 1962
Electrical Supply Act 1995
Mine Health and Safety Act 2004

Q10 As an Auditor, what type of objective evidence (List at least two) are required in relation to
compliance with the legislative requirements for chemical handling.
(1Mark) (Must be correct)
Answer : Evidence of
Notification/registration with authorities and the associated emergency authority etc.
Compliance with regulatory requirements.
Availability of MSDS
 ASSESSMENT 4

Individual Assessment (45 minutes)

Total score 20 - Acceptable score 16 (80%) and Findings and Multiple choice questions
Marked as * Must be answered correctly.

(0.5 Score for correct Clause and 0.5 score for correct Conforming/Non conforming status).
1 Score each for multiple choice.

Section A - Requirements of AS/NZS 4801 / OHSAS 18001

The following 15 findings have been reported as a result of an audit of a paper manufacturing
plant. Determine the most applicable clause of AS/NZS 4801:2001 or OHSAS 18001:1999 that
apply to the following findings and indicate if it is conforming or non conforming finding.

No. Findings Clause Conforming

or Non
conforming
1* The OHS Committee has provided copies of the OHS 4.2, 4.4.5 Non
policy to employees only directly engaged in the conforming
manufacturing activities.
2 The Companys health and safety policy requirements 4.4.3 Non
such as changes in the personal protective equipment and conforming
health standard were developed by the top management
without the consultation of the employees
3* The employees involved in the testing of the products 4.3.2, Non
using an X-ray machine were not aware of the legal 4.4.5 conforming
requirements in relation to OHS.
4 The auditor found that OHS management program of the 4.3.3, Conforming
organization involves all information as follows: 4.3.4
Objective: Elimination of Manual Handling Injuries for
all staff.
Target: 50% reduction in reporting of manual handling
injuries - all staff
Program :1. Introduction of No lifting policy for all
staff
2. Training on the policy
3. Implementation of the policy

Time Frame: 1. December 2007

5* Mr. Grant who is the Quality Manager was appointed by 4.4.1 Conforming
the Top management to be the management representative
for OH&S who shall be responsible to ensure the
establishing, implementing and maintaining OHSMS. He
is also responsible for reporting to the Top Management.
6 During the audit it was observed that internal audit plan is 4.5.4 Conforming
documented for OHSMS and audit results were available.
7* A fire broke out 11 months ago and the organization has 4.4.7 Non
evidence that they responded according to their conforming
procedure. However at the time of audit fire alarm was
not working and there was no evidence that fire drills was
conducted since last incident.
 No. Findings Clause Conforming
or Non
conforming
8 The top management explains that management reviews 4.6 Non
are conducted only if orders coming from the customers conforming
are low. Evidence verified indicated that management
review was not conducted in last 12 months.
9 The organization has an existing procedure against 4.5.2 Non
accident involving slips and fall. Evidence shows despite conforming
such procedure followed by the employees, such
accidents occur. The corrective and preventive actions
initiated were effectively implemented but the procedure
remains to be the same.
10 Noise resulting from the operation was monitored on a 4.5.1 Non
regular basis. The equipment is well maintained but no conforming
calibration was done for last 2 years. The procedure
requires that equipment needs to be calibrated every 6
months.
11 The record on injury statistic to help track the 4.5.3 Non
performance of safety was not retrievable by the conforming
management during the audit.
12 The organization has no documented procedure for OHS 4.4.2 Non
training for Subcontractors and visitors. conforming
13 Documents revealed that 12 months after new processes 4.3.1, Non
and products was used, the same hazards identification 4.4.6 conforming
was presented.
14 * The version of the OH&S policy that was posted in the 4.4.5 Non
companys premise was different to the one included in Conforming
the marketing materials. Relevant copies of the Safety
Data Sheets for 5 of the chemicals cannot be located.
15 * The Quality Manual is available to all employees in the 4.4.4. Conforming
Electronic form in the organization. It also provides 4.4.5
reference to the relevant procedures. A hard copy of OHS
procedures is distributed to the relevant departments and
distribution record is maintained.
Section B - Multiple Choices

Select the most suitable answer for each of the following questions: answer in red color

1) * The guidance notes (Appendices) in AS/NZS 4801 are:

a) Not for auditors
b) not part of the standard
c) providing additional information on the requirements of this standard.
d) all of the above
e) none of the above

2) The effectiveness of the risk control must be:

a) evaluated periodically
b) maintained
c) improved where possible
d) all of the above
e) none of the above

3) * Document control could help meet the legal obligations by:

a) keeping legal requirements up-to-date
b) maintaining an obsolete copy of documents for reference
c) ensuring that all staff have access to the relevant legal requirements
d) all of the above
e) none of the above

4) * The ultimate responsibility for OHS lies:

a) with the individual staff
b) with the senior / top management
c) with the safety management system representative
d) all of the above
e) none of the above

5) * Evidence to verify competence of personnel with responsibility of OHS includes

a) Education
b) Experience
c) Training
d) All of the above
e) None of the above