CONFIDENTIAL

APPROVED TRAINING PARTNERS

CQI and IRCA Examination Paper OHS3

Occupational Health & Safety Management
Systems Auditor Training Courses
(PR356 & PR357 ISO 45001)

Please write your name and the date in the space below.

Name:

Date:

THESE SPACES ARE FOR OFFICIAL USE ONLY

Section Marker 1 Marker 2 Pass mark Maximum

1 5 10

2 10 20

3 15 30

4 15 30

Total 63 90

Name of Marker Confirmed

Result

This examination is closed book.

 A clean copy of ISO 45001 and a bilingual dictionary are the only items
permitted for reference.

 Electronic devices, including laptops and mobile phones, are not permitted into
the examination room. Exceptions may be granted to delegates with special
needs. Any such arrangement must be with the prior written agreement of the
Approved Training Partner and shall include a record of appropriate precautions
that will be taken to ensure the fairness and security of the examination process
and examination questions.

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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Information for delegates

The examination paper is in four sections. Attempt all sections and all questions.

The time allowed is two hours. There is no additional time allowed for reading the
examination paper.

90 marks are available. To pass you must achieve at least 63 marks (70%), and
you must achieve at least 50% in each of the four sections. The maximum marks
for each question, or part of a question, are shown in brackets.

Your answers must be written on the sheets supplied. Please avoid writing in the
margins; these are for the markers. Write on the reverse side of a page if
necessary. Additional loose sheets will not be accepted.

All references to ISO 45001 refer to the latest issue.

Examination technique

Time management is very important in the examination. For guidance, the average
time available is:
a) Reading the examination instructions – five minutes

b) Section one – fifteen minutes

c) Section two – twenty minutes

d) Section three – forty minutes

e) Section four – forty minutes

Total time available – two hours (120 minutes)

Allow enough time to read each question properly. Make sure you understand what
is being asked for before starting to write your answer.

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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Where appropriate, the action verb that indicates the depth of answer required by
the question – explain, list, describe – is printed in bold. You should ensure you
understand the meaning of these terms (see below). Full marks will not be
awarded for a list if an explanation is required. Conversely, it is a waste of time to
provide a detailed explanation if the question asks for a list.

Action verb Meaning

describe depict in words
explain give a clear account of
outline give the most important features of (less depth than explain
or describe)
give provide without explanation (used normally with the
instruction to ‘give an example (or examples) of ....’)
list provide a list without explanation (bullet points)
identify select and name
define provide a generally recognised or accepted definition
state a less demanding form of ‘define’ or where there is no
generally recognised definition
prepare make (something) ready for use or consideration

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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

1.1 Explain the difference between an ’audit programme’ and an ‘audit plan’
(2 marks)

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)

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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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)

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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

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

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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

2.1 In your own words and using examples as appropriate, briefly explain the
difference between ‘preventive measures’, ‘correction’ and ‘corrective action’.

(5 marks)

Note: No marks will be awarded for simply quoting the definitions.

2.2 a) Describe the purpose of the opening meeting

(2 marks)

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 b) List three items to be considered at the meeting

(3 marks)

Note: For your answer to b), do not repeat any issues mentioned in your answer
to a)

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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2.3 Outline five items that an audit plan should include.

(5 marks)

2.4 a) Briefly describe why it is important to contact the auditee prior to an audit.
(This might be the process owner for an internal audit or relevant management
for an external audit).

(2 marks)

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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 b) List three topics you would want to discuss when contacting the auditee prior to
the audit.

(3 marks)

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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

3.1 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)

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
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3.2 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)

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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 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)

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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

(2 marks)

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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 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)

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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 a) Outline four opportunities for OH&S improvement which might eliminate
these hazards and reduce OH&S risks.
(4 marks)

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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

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:

 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: 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)

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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4.1 – 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 following page.

OR

 Complete the audit investigation template.

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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 OH&S AUDIT - NONCONFORMITY REPORT 1

For correctly identifying the scenario as a nonconformity (2 marks)

Description of the nonconformity (Max 3 marks):

Relevant evidence (Max 3 Marks):

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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ISO 45001:2018 clause and requirement:

Note: 1 mark for clause and requirement plus 1 mark for clarity of answer

OR

 Complete your answer on the following page.

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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 Audit Investigation Template 1

Reason why there is not yet sufficient evidence for reporting nonconformity
(Max 2 marks):

Four audit trails you would follow, including, evidence sought and purpose.
(Max 2 marks for each audit trail):

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
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4.2 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 following page.

OR

 Complete the audit investigation template.

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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 OH&S AUDIT - NONCONFORMITY REPORT 2

For correctly identifying the scenario as a nonconformity (2 marks)

Description of the nonconformity (Max 3 marks):

Relevant evidence (Max 3 Marks):

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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ISO 45001:2018 clause and requirement:

Note: 1 mark for clause and requirement plus 1 mark for clarity of answer

OR

 Complete your answer on the following page.

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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 Audit Investigation Template 2

Reason why there is not yet sufficient evidence for reporting nonconformity
(Max 2 marks):

Four audit trails you would follow, including, evidence sought and purpose.
(Max 2 marks for each audit trail):

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CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
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 4.3 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 following page.

OR

 Complete the audit investigation template.

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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 OH&S AUDIT - NONCONFORMITY REPORT 3

For correctly identifying the scenario as a nonconformity (2 marks)

Description of the nonconformity (Max 3 marks):

Relevant evidence (Max 3 Marks):

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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ISO 45001:2018 clause and requirement:

Note: 1 mark for clause and requirement plus 1 mark for clarity of answer

OR

 Complete your answer on the following page.

CQI and IRCA Solutions to examination paper OHS3, July 2018. Amended for use on certified course 1886 operated
by ATP 6032950.

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 Audit Investigation Template 1

Reason why there is not yet sufficient evidence for reporting nonconformity
(Max 2 marks):

Four audit trails you would follow, including, evidence sought and purpose.
(Max 2 marks for each audit trail):

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 THIS IS THE END OF THE EXAMINATION PAPER

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