Exercise No.
17 Performing Stage 2 Audit based on Clauses 4,5,6, 7
Instructions: 1. TutorAudit
shall checkpoints
assign the Same clause requirements assigned to the Team during the ExerciseConformity
12 for performing Evidence
the stage /2Remarks
audit.
(Yes/No/NA)
Clause No.
Has the organization determined external and internal issues that are Documented list or analysis of
4.1 relevant to its purpose and that affect its ability to achieve the intended Conformity internal/external issues.
outcome(s) of its OH&S management system?
Has the organization identified the needs and expectations of workers and Stakeholder analysis, records of
Requires further
4.2 a. other interested parties? consultations or meetings with
investigation
interested parties, documented expectations
Has the organization determined the needs and expectations are, legal Legal register, documented monitoring
4.2 c requirements or other requirements? Conformity process, evidence of legal compliance
reviews was obtained and reviewed.
Has the organization determined the boundaries and applicability of the Needs further Scenario 2:
OH & S Management system? information about Scope statement in the manual, considering
4.3
Has the organization taken into account the planned or performed work- addressing the needs internal/external issues and stakeholder
related activities? Has the scope available as documented information? and expectations of needs.
interested parties.
Has the Top management established and implemented the policy? Documented policies, meeting minutes
5.2 Conformity showing leadership involvement, evidence
of OH&S considerations in strategic plans
Has the OHS Policy includes a commitment to provide safe and healthy Statements of accountability, resource
working conditions for the prevention of work-related injury and ill health allocation records, organizational charts
5.2a Conformity
and is appropriate to the purpose, size and context of the organization and showing OH&S oversight roles.
to the specific nature of its OH&S risks and OH&S opportunities?
Has Top management ensure that the responsibilities and authorities for Accountability is delegated to other staff.
5.3 relevant roles within the OH&S management system are assigned and Non-Conformance Responsibility can be delegated but
communicated at all levels within the organization? accountability cannot be transferred.
Has the organization established a process to address risks, opportunities, Scenario 6
6.1.1 Non-Conformance
and their potential impact on OH&S?
Has the organization identified hazards and assessed OH&S risks associated Scenario 9
6.1.2.1 Non-Conformance
with its activities?
Does the risk assessment process prioritize risks based on likelihood and The Risk Assessment methodology makes
6.1.2.2 severity? Conformity use of the 5 X 5 Matrix to evaluate risks and
establish Control Measures.
Does the organization have a process to comply with applicable legal and Legal register, documented monitoring
6.1.3 other requirements? Conformity process, evidence of legal compliance
reviews was obtained and reviewed.
Has the organization set OH&S objectives that are measurable and aligned SMART objectives documentation, progress
Requires further
6.2.1 with its policy? tracking reports, meeting
investigation
minutes for objective reviews.
Has the organization determined and provided the necessary resources for Resource plans, budgets, evidence of
7.1 the OH&S management system? To a high degree. resource allocation (e.g., for
training, equipment, technology).
Are workers with roles affecting OH&S identified, and is their competence Competence matrices, job descriptions,
7.2 Conformity
evaluated? evaluation records for relevant roles.
Are workers aware of the OH&S policy, their contributions to the system, Awareness programs, communication
and the consequences of non-conformance, their roles, and the benefits of records, survey results on worker awareness,
7.3 Non-Conformance
improved performance? Training materials, disciplinary policies, and
documented communications.
Does the organization have procedures for internal and external Communication procedures, records of
7.4.1 communications, ensuring consistent OH&S messaging? Non-Conformance stakeholder communications,
meeting minutes, and memos
Is documented information required by ISO 45001 and the organization’s Document control procedures, evidence of
7.5.1 processes established and maintained? To a high degree. controlled documents,
version histories, or distribution lists.
