CQI and IRCA Specimen Examination Paper for Occupational Health and Safety Management Systems Auditor Training Course (PR356 & PR357 ISO 45001)

Section One – Five questions worth Two marks each – maximum 10 marks

Question 1.1

ISO 45001 requires that internal audits are objective and impartial. Describe the difference between objectivity and impartiality in this context (2 marks)

Section One – Five questions worth Two marks each – maximum 10 marks

Question 1.2

Explain the likely consequences of undiplomatic behaviour by an auditor (2 marks)

Section One – Five questions worth Two marks each – maximum 10 marks

Question 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)

Section One – Five questions worth Two marks each – maximum 10 marks

Question 1.4

Identify two ways in which an auditor can verify that agreed corrective actions have been effectively implemented (2 marks)

Section One – Five questions worth Two marks each – maximum 10 marks

Question 1.5

Identify whether each of the four statements detailed in the following document is TRUE (T) or FALSE (F) by underlining and putting in bold the correct letter (2 marks)

[please download the following document, complete the required answers, save and Upload using the button below]

Question-1.5-True-or-False-selection document

Section two – Four questions worth five marks each – maximum 20 marks

Question 2.1

a) List six responsibilities of the lead auditor when conducting an external audit. (3 marks)

Section two – Four questions worth five marks each – maximum 20 marks

Question 2.1

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)

Section two – Four questions worth five marks each – maximum 20 marks

Question 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)

Section two – Four questions worth five marks each – maximum 20 marks

Question 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)

Section two – Four questions worth five marks each – maximum 20 marks

Question 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)

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

Question 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)

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

Question 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)

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

Question 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)

Section Four – Three questions worth 10 marks each – maximum 30 marks

Question 4.1

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)

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.

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

• Complete the nonconformity report on the attached page. OHSMS Audit 1

Or

• Complete the audit investigation template.

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

Question 4.2

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:

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.

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

• Complete the nonconformity report on the attached page OHSMS Audit 2

OR

• Complete the audit investigation template.

Section Four – Three questions worth 10 marks each – maximum 30 marks

Question 4.3

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 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’.

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

• Complete the nonconformity report on the following page OHSMS Audit 3

Or

• Complete the audit investigation template.