OHSMS exam solutions Jan2018

CQI and IRCA Solutions to Specimen examination paper OHS, January 2018. Amended for use on certified course
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CONFIDENTIAL
APPROVED TRAINING PARTNERS
CQI and IRCA Solutions to Specimen
Examination Paper Occupational Health and
Safety Management Systems Auditor
Training Courses
(PR356 & PR357 ISO 45001)
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.

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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)
Note to marker: Similar answers are acceptable.
1.2 Explain the likely consequences of undiplomatic behaviour by an auditor.
(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.
Note to marker: Award 0.5 mark for each consequence up to a maximum of 2
marks. Similar answers are acceptable.
1.3 Give four examples of evidence which demonstrates that an organisation is
managing its OH&S legal responsibilities in conformance with ISO 45001.
(2 marks)
Typical solution
• A process to determine & have access to up-to-date legal requirements
• A list of legislative, regulatory & other requirements
• A link between its OH&S hazards and the appropriate legislation
 A register of applicable legislation
 Access to a competent person, expertise or advice
 Evidence of compliance checking
• A process for periodic evaluation of legislative compliance and associated
retained documented information to evidence such evaluations
• Objectives have taken legal requirements into account
• Appropriate operational controls are in place
• Reviews are in place to assess changing legislative or other requirements
Note to marker: 0.5 mark per point up to 2 marks maximum.

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1.4 Identify two ways in which an auditor can verify that agreed corrective actions
have been effectively implemented.
(2 marks)
Typical solution
 Acceptance of a written response.
 Evaluation of submitted evidence
 Verification of corrective action at the audit location
 Results of re-audit
 Photographic evidence (e.g. in the instance of an infrastructure issue)
All of which must demonstrate that the corrective action has worked as opposed
to simply being introduced.
Note to marker: 1 mark each for each correct answer.
1.5 Identify whether each of the four statements below is TRUE (T) or FALSE (F) by
circling the correct letter.
(2 marks)
a) Organisations must report fewer safety incidents
year on year in order to demonstrate continual
improvement of the OHSMS
T F
b) Workers must be represented in the management
review process
T F
c) Auditors must identify the root cause of any
nonconformities which they report
T F
d) The expectations of interested parties must be
considered within the scope of the OHSMS
T F
Typical Solution
A, B, C are false. D is true.
Note to marker: 0.5 mark for each correct answer. No marks should be awarded
if the selection is unclear.

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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
Note to marker: 0.5 mark for each answer up to 3 marks maximum
(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.
Note to marker: 1 mark for each point up to 2 marks maximum

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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?

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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.

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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)
Note to marker: 1 mark per point up to 10 marks maximum

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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:
 Review the nonconformity – Auditee (0.5 mark)
 Determination of root cause(s) –Auditee (0.5 mark)
 Evaluation of the need for actions to ensure that nonconformities do not recur
– Auditee (0.5 mark)
 Review existing assessments of OH&S risks and other risks as appropriate
(0.5 mark)
 A decision (after evaluation of the need or as part of the evaluation process)
to take action or not – Auditee (1 mark)
 Determine action needed – Auditee (0.5 mark)
 Assess OH&S risks that relate to new or changed hazards prior to taking
action (0.5 mark)
 Agree proposed action, taking into account the assessment of OH&S risks.
Not mandatory but often part of audit process – Auditor (0.5 mark)
 Implement action needed in accordance with hierarchy of controls and the
management of change – Auditee (0.5 mark)
 Record results of action taken – Auditee (0.5 mark)
 Review effectiveness of action taken, i.e. check if results of action taken meet
requirements – Auditee (0.5 mark)
 A decision is needed here on whether or not the action taken has brought
about the results needed. If yes, proceed and if no, go back – Auditee
(0.5 mark)
 The Auditee must now decide whether it is necessary to make any other
changes to the OH&S system as a result of the identified nonconformity
(0.5 mark)
 Verify 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 (1 mark)
 A decision is needed here on whether or not the corrective action process has
been implemented and on whether there is evidence that the results of the
action taken have been reviewed and demonstrate requirements are being met
– Auditor (1 mark)
 Record acceptance of results of the action taken and close the audit – Auditor
(1 mark)

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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.
Auditor raises nonconformity
Auditee reviews/agrees nonconformity
Auditee determines root cause
Auditee evaluates the need for action to prevent recurrence
Auditee reviews existing assessment of OH&S and other risks as appropriate
No action Auditee decides whether action is needed
Record facts
and decision
Auditee determines corrective action
Auditee assesses OH&S risks that relate to new
or changed hazards
Auditor agrees proposal (not mandatory)
Auditee implements CA
Auditee records action taken and results
Auditee reviews effectiveness of action taken,
i.e. decides if results of action taken meet requirements.
Auditee decides if corrective action has been effective
Auditee makes changes to the OH&S management system, if necessary
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 decides if corrective action requirements have been met
Auditor records acceptance of results of action taken and closes the audit

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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)
Note to marker: 1 mark for each relevant checkpoint up to 10 marks maximum.
Deduct 0.5 mark if the correct clause is not given.

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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.
Delegates are required to either:
 Complete the nonconformity report template.
Marking scheme for a nonconformity:
 For correctly identifying the scenario as a nonconformity (2 marks)
 For a clear description of the nonconformity (3 marks)
 For correctly quoting relevant evidence (3 marks)
 For correctly identifying the relevant ISO 45001 requirement (1 mark)
 Overall clarity of the nonconformity report (1 mark)
Note to marker: if delegates raise a nonconformity report when there is no
nonconformity, 0 (zero) marks will be awarded.
OR
 Complete the audit investigation template, clearly stating:
 Their reason(s) for thinking there is not yet sufficient evidence to report their
findings as a nonconformity
(2 marks)
 How they would investigate to determine conformity or nonconformity, including
audit trails they would follow and specific examples of audit evidence they would
seek and for what purpose.
(8 marks)
Note to marker: If delegates complete the audit investigation template for a
situation where there is evidence that a nonconformity exists, a maximum of 7
marks may be awarded as follows:
 Providing a valid reason why there is insufficient evidence for a nonconformity
(2 marks)
 Providing relevant audit trails as above.
(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.

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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
substances to prevent ill health.
Solution – Nonconformity
OH&S AUDIT - NONCONFORMITY REPORT 1
Nonconformity (2 marks for identifying the scenario as a nonconformity)
Description of the nonconformity (3 marks for identifying the failure)
The system failed to identify all the hazards or take into consideration the legal
requirements with regard to hazardous substances.
Evidence (3 marks for identifying the evidence)
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.
ISO 45001 clause and requirement:
6.1.2.1 – The organization shall establish, implement and maintain a process(es) for the
identification of hazards.
OR
A non-conformance based on failure to comply with legal requirements (6.1.3c) would be
acceptable

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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
Note to marker: Whilst this is clearly a nonconformity of UK legislation (e.g. COSHH
regulations), it is written so that students outside the UK can still recognise the
problem.

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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
There is insufficient evidence for a nonconformity. Whilst the change in process
has not been particularly effective, it does depend on people responding. There is also
cause to further investigate the OH&S manager’s response to the emails and whether
any follow up took place. More evidence is required.
(2 marks)
Points of investigation and evidence sought:
 Establish if there has been a wider campaign to increase awareness of the
suggestion scheme and how to report concerns (5.4) (2 marks)
 Establish whether all staff has access to email during working hours (7.1)
(2 marks)
 Review the assessment of OH&S risks associated with the concerns raised
(6.1.2.2) (2 marks)
 Ask whether any other measures are taken to involve the workers in the OHSMS
(5.4.e) (2 marks)
 Review the methods of communicating processes and establish if staff understand
how to report incidents and safety issues (7.4.2) (2 marks)
 Determine how the manager sees her responsibilities in the OHSMS and
demonstrates a focus on continual improvement (10.3) (2 marks)
 Determine whether any other documentation exists in relation to the concerns
(7.5.1.b) (2 marks)
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.

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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
OH&S AUDIT - NONCONFORMITY REPORT 3
Nonconformity (2 marks for identifying the scenario as a nonconformity)
Description of the nonconformity (3 marks for identifying the failure)
The organisation has failed to implement effective procedures that inform staff of OH&S
issues they need knowledge of to ensure their personal safety.
Evidence (3 marks for identifying the evidence)
Several workers had not been informed of radiation work that was being carried out and
had entered a radiation controlled area.
ISO 45001 clause and requirement:
7.4.2 – the organization shall internally communicate information relevant to the OH&S
management system among the various levels and functions of the organization
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

Page 16 of 16
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.
END OF SPECIMEN EXAM PAPER

OHSMS exam solutions Jan2018

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