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Ohsms Specimen Exam Solutions Jan 2018
Ohsms Specimen Exam Solutions Jan 2018
Note to markers
Markers are expected to use their experience and judgement as professional
auditors, bound by the CQI and IRCA code of conduct.
Markers must give due consideration to logically argued solutions that might not
conform precisely to the typical solution and other answers may be acceptable.
This is especially relevant when marking sections three and four.
Marker One, and Marker Two where applicable, shall annotate students’
examination papers clearly to show where each mark is given and shall record
their justification for awarding marks outside of the typical solution. Markers
should use the margins provided for this, ensuring that marks and justifications
given by each marker are clearly discernible for review by the CQI and IRCA
Training Assessor.
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
Page 1 of 17
Section one – Five questions worth two marks each – maximum 10 marks
Statements in italics are for reference only and are not part of the expected answer.
1.1 ISO 45001 requires that internal audits are objective and impartial. Describe the
difference between objectivity and impartiality in this context.
(2 marks)
Typical solution
Objectivity: Auditors should gather fact based evidence that can be verified.
(1 mark)
Impartiality: auditors should act without bias, including in the gathering of and
analysis of evidence. Or, that auditors are free from a conflict of interest
(1 mark)
(2 marks)
Typical solution
Being undiplomatic could be seen as rude or disrespectful to the auditee and
cause the auditee to be offended and raise a complaint. It could also lead to a
complete withdrawal of co-operation.
It is likely that it will cause the auditee to be less willing to respond positively to
questions therefore limiting the effectiveness of the audit.
(2 marks)
Typical solution
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
Page 2 of 17
1.4 Identify two ways in which an auditor can verify that agreed corrective actions
have been effectively implemented.
(2 marks)
Typical solution
All of which must demonstrate that the corrective action has worked as opposed
to simply being introduced.
1.5 Identify whether each of the four statements below is TRUE (T) or FALSE (F) by
circling the correct letter.
(2 marks)
Typical Solution
Note to marker: 0.5 mark for each correct answer. No marks should be awarded
if the selection is unclear.
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
Page 3 of 17
Section two – Four questions worth five marks each – maximum 20 marks
2.1 a) List six responsibilities of the lead auditor when conducting an external audit
(3 marks)
Typical solution
Initial communication with the auditee
Confirm the reason for the audit, its scope and the standard
Pre-audit visit (or Stage 1 audit or document review)
Confirm and agree date of audit
Bring in audit team and any specialists
Assign tasks as necessary
Chair the opening meeting
Managing the audit – keeping to the programme and timing
Invite feedback from team at private auditors meeting(s)
Chair the closing meeting
Inform company of your findings and recommendations
Allow questions from company
Write report
Review any corrective actions taken
Arrange for a re-visit if necessary
Closedown the audit
Distribution of audit documentation in accordance with the client’s
requirements
Answering any queries the client may have post-audit
(b) An auditor conducting a third party audit finds a critical safety hazard which
has not been addressed in the OHSMS. State how the auditor should respond.
(2 marks)
Typical answer
• Make a note of the details of the situation.
• Check with the relevant individual whether or not the hazard has
been identified.
• Raise an NCR against 6.1.2.1 - if the hazard has not been identified or if the
organisation has no established process for hazard identification.
• Explain to the auditee the need to identify all hazards before assessing the
OH&S risks they present.
Check the competence of the individual that completed the
hazard identification in the area in which the hazard was found
Review any documented information relating to the area in which the hazard
was identified to determine whether there have been any other significant
omissions.
Check how long the hazard has been present. If this is a new hazard
determine why the hazard was not identified.
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
Page 4 of 17
2.2 You are the audit team leader conducting an OHSMS stage one certification audit
on site by yourself in an organisation. At the initial meeting, you are presented
with a luxury leather laptop case containing the company’s OHSMS manual and
procedure documents. The OHSMS manager indicates that the case is a gift for
you to use during the audit and retain afterwards. Describe how you would
respond to this situation.
(5 marks)
Typical Solution
Thank the OHSMS manager very sincerely for the kind offer but state that such a
generous gift would be viewed by the certification body as an inducement to the
auditor. Emphasise that auditors must be seen to be impartial and independent at
all times in accordance with certification standards such as ISO 17021 and
auditors’ professional code of conduct. Advise the OHSMS manager that there is
no intention to cause offence by refusing the gift but express the hope that the
company will understand the auditor’s position. Underline the fact that the offer of
the gift will not affect your conduct of the audit in any way.
Note to marker: The essence of this question is the need for the auditor to act
with integrity, recognise and manage cultural and social issues and maintain an
effective but independent relationship with the client. 1 mark for each
underlined issue to a maximum of 5 marks. Award 0 marks if the gift is to be
accepted.
2.3 You are the team leader allocated to a stage 2 OH&S certification audit of a large
chemical company producing explosives for industrial use wishing to gain ISO
45001 certification. You have been asked to form the audit team, list five factors
you would consider when selecting individual members of that team.
(5 marks)
Typical solution
• Individual auditors should have no conflicts of interest such as
prior consultancy within recent years.
Maturity as a currently experienced auditor – are they competent to work
alone or require supervision?
Knowledge and experience of the chemicals sector and specifically the
manufacture of explosives and the associated processes.
Occupational health and safety experience and technical competence in the
chemical/explosives sector.
Auditors should be certified and/or have the approval of the certification body
– appropriate competence including education and training is required.
Relevant personal skills and attributes to ensure a successful audit.
Geographical proximity to the audit location may be a factor.
Ideally should be fluent in the auditee’s language.
Knowledge of ISO 45001 and its interpretation in the chemical/explosive
manufacturing industry
Knowledge of relevant local and national OH&S legislation
Will technical expertise be required requiring specialist advice and guidance?
Will the team as a whole possess the overall competencies required for
effective completion of the audit and is it likely they will work effectively
together?
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
Page 5 of 17
Note to marker: 1 mark for each of the above or alternative acceptable answer to
a maximum of 5 marks
2.4 At the opening meeting of the stage 2 certification audit, the Health & Safety
manager informs you that a recent internal audit has found many nonconformities
relating to issues in the laboratory.
Corrective action has already been planned. The manager therefore suggests that
to audit the laboratory again would add no value and asks if you could delete this
department from the audit plan and spend more time in the production area as
there has been an increase in minor accidents recently and he is concerned that
there may be serious problems.
Outline five issues you would include in the response which you would give to
this request.
(5 marks)
Typical solution
An external audit needs to cover all the processes associated with the scope
of the management system and the audit criteria. (2 marks)
If laboratory is not included, it will not be possible to make a
recommendation on certification.
An audit of laboratory now could confirm the accuracy of the recent internal
audit findings.
The internal auditors may have been auditing to different criteria to the
one used in this audit
All issues must be independently verified by the auditor
The opening meeting is not the place to try to change the agreed parameters
of the audit plan
An external audit of laboratory now may identify other findings that may
need to be addressed for system improvement.
The audit can include a review of planned corrective action.
The fact that internal audits have been carried out and corrective actions
identified may well provide positive evidence of system conformance, rather
than be seen to be a problem.
Note to marker: Except where shown, award 1 mark for each issue to a maximum
of 5 marks. An answer that states ‘delete from the plan’ must result in 0 marks
unless the answer specifies acceptable special circumstances.
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
Page 6 of 17
Section three – three questions worth ten marks each – maximum 30 marks
Note to markers: Marks should be given for alternative answers that are logically
presented and comply with the requirements of ISO 45001.
3.1 A construction company has been certified to ISO 45001 for more than a year.
Two months ago, the company had a fatal accident involving someone working in
a confined space. Next week is the surveillance audit and you are the sole auditor
conducting the audit.
Explain what you would wish to examine by listing at least 10 issues for
investigation making reference to relevant clauses of ISO 45001.
(10 marks)
Typical solution
Has the organisation’s assessment of risk been reviewed post-accident?
(10.2.c)
If the organisation’s assessment of risk has been changed, has the new
assessment been communicated? (10.2)
Have new controls been implemented? (8.1.1.b)
Have people been trained in the new controls? (7.2.b)
Did the company follow due legal process for reporting the fatal accident
(6.1.4.a.2)
Review the process(es) for hazard identification and the assessment of OH&S
risks (6.1.2.2.a)
Confirm application of the appropriate process(es) to verify if hazards
associated with confined space working have been identified and assessed to
be significant. (6.1.2.1)
Look for process(es) relating to eliminating hazards and reducing OH&S risks:
were they applied in this case? (8.1.2)
Have these arrangements taken full consideration of legal requirements?
(6.1.3)
Has the adequacy of the process(es) been reviewed following the incident?
(10.2)
Look at process(es) to review the effectiveness of operational and other
controls: were they applied in this case? (8.1.1)
Look at performance monitoring and measurement (9.1.1)
Look at incident/hazard statistics, is there analysis & evaluation of data?
(9.1.1)
Look at incident/hazard reports for establishment of root cause (10.2)
Look at corrective actions based on incident investigation reports (10.2)
Look at the process for evaluating the effectiveness of corrective actions (10.2)
Confirm effective Emergency Preparedness and Response Plans are in place:
were the plans applied and effective for this incident? (8.2)
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
Page 7 of 17
3.2 Taking into account the requirements of clause 10.2 from ISO 45001, describe,
in terms of a sequence or illustrate using a diagram, the corrective action process
starting from a non-conformance being raised by an auditor through to close out
of the finding.
Identify whether the auditee or auditor is responsible for each element of the
process and identify at what point in the corrective action process decisions need
to be taken and by whom.
(10 marks)
Typical solution
Description:
Page 8 of 17
Typical Solution - Diagram
Note to marker: The fundamental requirement for this question is that students
can demonstrate a comprehensive and accurate understanding of the corrective
action process described in clause 10.2 from ISO 45001, and how this works
within the audit process.
Record facts
and decision
Auditee implements CA
Auditor verifies effective corrective action has been taken by reviewing records
and evidence of root cause determination and that the action taken has
achieved the desired results.
Auditor records acceptance of results of action taken and closes the audit
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
Page 9 of 17
3.3 A requirement of ISO 45001 (5.1) is that top management demonstrates
leadership in support of the OHSMS. Prepare a checklist of at least ten
checkpoints which would help you, when interviewing the head of an airline
services company, to determine whether the organisation conforms to this
requirement. State the applicable clause of ISO 45001.
(10 marks)
Typical Solution
How do you ensure that workplaces deliver a safe working environment for
all personnel and interested parties? (5.1.a)
How do you ensure that OH&S policies align with the strategic objectives
of the company? (5.1.b)
How do you ensure that the processes of the OHSMS are accepted as an
integral part of the business? (5.1.c)
How do you determine the resources needed to ensure the effective
functioning of the OHSMS processes? (5.1.d)
What steps are taken to communicate the importance of the
OHSMS throughout the company? (5.1.e)
How do you determine whether the OHSMS is working effectively? (5.1.f)
What support is given towards achieving ongoing improvement of the
OHSMS? (5.1.h)
How are management personnel encouraged to take a lead in creating a
strong OHSMS? (5.1.i)
What steps are taken to sustain a positive safety culture in the company?
(5.1.j)
How do you ensure that workers are not penalised for raising
OH&S issues? (5.1.k)
How are workers encouraged to contribute to the OHSMS? (5.1.l)
Are OH&S committees established in the company? (5.1.m)
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
Page 10 of
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Section four – three questions worth 10 marks each – maximum 30 marks
Questions in this section are designed to test the delegate’s ability to analyse audit
situations, evaluate audit evidence and apply knowledge of the audit criteria correctly.
OR
Their reason(s) for thinking there is not yet sufficient evidence to report
their findings as a nonconformity
(2 marks)
(8 marks)
(2 marks)
(5 marks)
Note to marker: Marks should only be awarded where the audit investigation
trails are relevant to the situation and would provide further evidence of
conformance or non-conformance.
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
Page 11 of
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4.1 – Audit situation one:
You are in a large old manor house that is used by an organisation as their National
Corporate Centre for Training. The house has a kitchen that prepares meals for the
training delegates.
In the kitchen area, you notice that a clear purple coloured fluid is stored on a shelf
alongside food items in an unmarked five litre plastic container. You ask the kitchen
supervisor what the liquid is and are told it is a chemical for degreasing the drains
because they regularly block. When you ask why it is kept on the food shelf you are
told that it is not normally kept there but it is not a problem as “everyone knows what
it is used for”.
You interview several members of the kitchen staff and their replies do not convince
you that they do know what it is for or how to use it. The training records in the
kitchen show that temporary workers are employed in the kitchen for only a few days
at a time on a regular basis. The Supervisor states that “there are no written
instructions or assessments of risk relating to the use of the degreasing fluid as
everyone knows how to use it”.
You know that using chemicals or other hazardous substances at work can put people’s
health at risk and that the law requires employers to control exposure to hazardous
Solution – Nonconformity
The clear purple coloured degreasing fluid is stored on the food shelf in an unmarked five
Litre plastic container. There is no assessment of risk relating to the identified hazard nor
are there any effective operational controls in place. Several staff interviewed were
unaware of what it was, how to use it or where it should be stored.
OR
A non-conformance based on failure to comply with legal requirements (6.1.3c) would be
acceptable
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
Page 12 of
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OR
A non-conformance based on operation control (8.1.1.b) would be acceptable
OR
A non-conformance based on worker awareness (7.3.e) would be acceptable.)
Note to marker: 1 mark for clause and requirement plus 1 mark for clarity of answer
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
Page 13 of
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4.2 – Audit situation two:
When having lunch in the canteen during an audit in a computer manufacturer, you see
a sign next to a noticeboard which states “Please place safety suggestions in the box
below” but the box is missing. On resuming the audit, you ask about the missing box
and are told that the system has changed and that safety suggestions are now invited
by email to the OH&S manager.
When interviewing the OH&S manager later, you ask about the emails and are told that
only two have been received in the past six months. One relates to loose tiles at the
factory entrance and the other relates to people smoking outside the front door. The
manager says that she forwarded the emails to the maintenance department manager
with a copy sent to the originator.
When questioned about the effectiveness of the new practice, the manager stated that
the box was removed because many people never visited the canteen. She added that
emails were introduced to encourage more suggestions and meet the consultation
requirements of the OHSMS.
Solution – No nonconformity
Audit investigation: 2
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
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Note to marker: Other relevant points of investigation along with stated evidence may
be accepted. Maximum of 8 marks. Deduct 0.5 mark for each point if the clause
reference is missing. If a nonconformity is raised, 0 marks should be awarded.
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
Page 15 of
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4.3 Audit situation three:
During your audit of a metal fabrication company you review the incident reporting
records and note that there were several incidents reported where workers had entered
a restricted area, segregated by temporary barriers, where radiography work was
being carried out on some welded fabrications. The records stated that the workers
were unaware that this activity was taking place.
You ask a representative of top management how the workers are informed of any
OH&S issues relevant to their safety. She replies stating that all OH&S issues are
addressed in weekly ‘tool box’ talks. These talks are held every Monday morning and
all members of staff must attend. You ask to see the agenda for these talks and the
examples you see cover the typical topics you would expect including the
arrangements for the radiography.
You ask how the organisation ensures all members of staff attend and are told that it’s
unnecessary for any records to be kept as it has been standard practice for many years
for all staff to attend. When asked how they ensure those members of staff who are
unable to attend these talks because of other duties, illness or holidays etc. she states
that ‘we do not have any formal arrangements, but we expect area managers to update
anyone who missed a talk when they return to work’.
Solution – Nonconformity
OR
7.3e – workers shall be made aware of hazards, OH&S risks and actions determined that
are relevant to them.
Note to marker: 1 mark for either clause and requirement plus 1 mark for clarity of
answer
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
Page 16 of
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Notes to marker: A NC on the failure to keep or retain documented information relating
to training, education etc. (i.e. attendance records of the tool box talks as per 7.2.d)
would also be acceptable. A NC based on operation control (i.e. workers entering a
clearly restricted area as per 8.1.1.b) would be acceptable.
CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified
course XXX operated by ATP xxxx.
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