CQI and IRCA Examination Paper OHS3 OH&S Management Systems Auditor Conversion Training Courses (PR361 Combined Auditor Conversion)

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

Question 1.1

Explain the difference between an ’audit programme’ and an ‘audit plan’.

(2 marks)

Question 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)

Question 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)

Question 1.4

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

(2 marks)

Question 1.5

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

(2 marks)

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

Question 2.1

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)

Question 2.2

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)

Question 2.2

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.

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)

Question 2.3

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

(2 marks)

Question 2.3

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)

Question 2.3

c) Outline four opportunities for OH&S improvement which might eliminate these hazards and reduce OH&S risks.

(4 marks)

Section three – three questions worth 10 marks each – maximum 30 marks

Question 3.1

Questions in this section are designed to test your 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: if you raise a nonconformity report when there is no nonconformity, 0 (zero) marks will be awarded.

OR

• Complete the audit investigation template, clearly stating:

• Your reason(s) for thinking there is not yet sufficient evidence to report your findings as a nonconformity (2 marks)
• How you would investigate to determine conformity or nonconformity, including audit trails you would follow and specific examples of audit evidence you would seek and for what purpose. (8 marks)

Note: If you 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)

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.

If you think there is sufficient evidence to report your findings as a nonconformity:

• Complete the nonconformity report on the attached file and upload:  OH&S Audit 1

OR

• Complete the audit investigation template.

Question 3.2

Questions in this section are designed to test your 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: if you raise a nonconformity report when there is no nonconformity, 0 (zero) marks will be awarded.

OR

• Complete the audit investigation template, clearly stating:

• Your reason(s) for thinking there is not yet sufficient evidence to report your findings as a nonconformity (2 marks)
• How you would investigate to determine conformity or nonconformity, including audit trails you would follow and specific examples of audit evidence you would seek and for what purpose. (8 marks)

Note: If you 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)

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”.

If you think there is sufficient evidence to report your findings as a nonconformity:

• Complete the nonconformity report on the attached file and upload:  OH&S Audit 2

OR

• Complete the audit investigation template.

Question 3.3

Questions in this section are designed to test your 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: if you raise a nonconformity report when there is no nonconformity, 0 (zero) marks will be awarded.

OR

• Complete the audit investigation template, clearly stating:

• Your reason(s) for thinking there is not yet sufficient evidence to report your findings as a nonconformity (2 marks)
• How you would investigate to determine conformity or nonconformity, including audit trails you would follow and specific examples of audit evidence you would seek and for what purpose. (8 marks)

Note: If you 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)

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.

If you think there is sufficient evidence to report your findings as a nonconformity:

• Complete the nonconformity report on the attached file and upload:  OH&S Audit 3

OR

• Complete the audit investigation template.