ISO-45001-Lead-Auditor Sample Questions Answers

A screenshot of a computer Description automatically generated

Explanation

Documented information on the organization’s legal requirements → Clause 6.1.3:Clause 6.1.3 requires the organization to identify, document, and maintain compliance obligations, including legal and other requirements relevant to OH&S.

Assessment of OH&S risks → Clause 6.1.2.2:Clause 6.1.2.2 mandates the organization to assess OH&S risks associated with its operations, taking into account hazards, controls, and work activities.

Internal and external issue determination → Clause 4.1:Clause 4.1 requires organizations to determine internal and external issues that affect the OH&S management system and its intended outcomes.

Agreements with the organization’s external providers → Clause 8.1.4.2:Clause 8.1.4.2 pertains to controlling external providers and ensuring their processes align with OH&S requirements, including documented agreements.

References

Clause 4.1: Understanding the organization and its context.

Clause 6.1.2.2: Assessment of risks and opportunities related to OH&S.

Clause 6.1.3: Compliance obligations.

Clause 8.1.4.2: Control of external providers.

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Clause 8.1.2 of ISO 45001 pertains to Eliminating Hazards and Reducing OH&S Risks. Organizations must implement appropriate controls to manage workplace hazards effectively.

Issue Identified:The kitchen environment at the audited site presents multiple hazards, including:

Oil spillage creating a slip hazard.

Open drums of waste material posing a chemical or hygiene hazard.

Unsecured knives and cleavers increasing the risk of cuts.

Boiling water left unattended, posing a risk of burns.

Lack of visible fire extinguishers or fire blankets, increasing fire risk.

Analysis of Options:

A. Failure to reduce risks associated with working in the kitchen.This option accurately captures the broader failure to implement effective measures to eliminate or reduce hazards across multiple areas in the kitchen.

B. Measures to prevent slippage in the kitchen from waste cooking oil were not taken.This is specific to one hazard (oil spillage) and does not address other significant risks observed, such as fire safety or sharp tools.

C. Staff are at risk of serious injury while working in the kitchen.While true, this is more of a general observation and does not address the root cause of the hazards or the failure of controls.

D. Training of the kitchen staff was not effective enough to prevent poor safety awareness in the kitchen area.Although training deficiencies may contribute to the issue, this option does not reflect the overarching systemic failure to manage hazards effectively.

Best Description of the Nonconformance:Failure to reduce risks associated with working in the kitchen (Option A) is the most comprehensive finding, reflecting the organization’s lack of adequate controls to mitigate hazards.

ISO References:

Clause 8.1.2: Organizations must establish controls to eliminate or minimize OH&S risks systematically.

Clause 7.2: Ensuring competency through training is important but must be coupled with hazard control measures.

ISO 45001 emphasizes the importance of worker participation, particularly non-managerial workers, in developing and improving the OH&S management system. Clause 5.4 outlines specific areas where their involvement is crucial.

Analysis of Options:

A. Determining competence requirements:Incorrect. Competence requirements are primarily determined by management but may involve feedback from workers.

B. Determining how to fulfil legal requirements:Incorrect. Management typically handles compliance with legal requirements.

C. Determining controls on outsourced processes:Incorrect. This is a management responsibility.

D. Managing the internal audit programme:Incorrect. Workers participate in audits, but managing the program is a management task.

E. Determining what needs to be communicated:Incorrect. Communication strategies are usually set by management.

F. Determining actions to eliminate hazards:Correct. Non-managerial workers' input is vital in identifying and eliminating workplace hazards (Clause 8.1.2).

G. Establishing the OHS policy:Correct. Workers’ participation in policy development ensures it is relevant and inclusive (Clause 5.2).

H. Establishing OHS objectives:Correct. Workers’ participation ensures that objectives are practical and aligned with workplace realities (Clause 6.2).

Clause 0.2 of ISO 45001 emphasizes the involvement of top management and alignment of OH&S objectives with the organization’s OH&S policy.

Nonconformities Identified:

The objectives were developed by an external consultant without involving top management, which undermines leadership accountability and commitment.

The objectives were based on a competitor’s framework, not aligned with the organization’s unique OH&S policy or context.

Analysis of Options:

A. Establishing OH&S objectives did not include top management.True. Clause 5.1 (Leadership) and Clause 6.2 (Objectives) emphasize that top management must be involved in defining and supporting OH&S objectives.

B. OH&S objectives are not being implemented by personnel.Implementation relates to operationalization, not the development phase, and is not relevant to Clause 0.2.

C. OH&S objectives are not maintained as documented information.While documentation is required, the absence of documented information is a separate issue under Clause 7.5, not Clause 0.2.

D. OH&S objectives were not established in alignment with the organization’s OH&S policy.True. Clause 6.2.1 requires objectives to align with the OH&S policy, which reflects the organization’s commitment to safety and health.

E. The consultant has not interpreted ISO 45001 correctly.While possibly true, the issue here is the organization’s failure to involve top management, not the consultant’s interpretation.

F. The organization cannot afford to undertake OH&S objectives all at once.Financial constraints are not relevant to Clause 0.2; objectives can be prioritized for phased implementation.

ISO References:

Clause 0.2: Leadership commitment and alignment with organizational policy.

Clause 5.1: Top management’s role in leadership and participation.

Clause 6.2.1: Establishing OH&S objectives aligned with the policy.

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Hazard: A potential source of harm or adverse health effects.

Risk: The likelihood of harm occurring as a result of the hazard.

Danger: An immediate threat that requires urgent action.

Analysis of Options:

A. Conference room emergency sign directs people to an exit that is no longer available for use (Hazard):Correctly identified as a hazard since it poses a potential risk during emergencies.

B. The carpet on the main staircase is peeling off (Risk):This is a hazard, not a risk, as it represents a source of potential harm.

C. The emergency light in the gift shop did not work when checked (Risk):This is a hazard because it is a condition that could lead to a risk during emergencies.

D. The fire extinguishers in the Natural World area have not been serviced in the last five years (Risk):Correctly identified as a risk because the likelihood of fire-related harm increases without proper servicing.

E. The head of the dinosaur suspended over the main hall has become detached from the rest of the skeleton (Risk):This is a hazard, not a risk, as it represents a potential source of harm.

F. The non-slip mats have been removed from the restaurant (Risk):This is a hazard, not a risk.

G. There is a high possibility of unfit food being sold due to the failure of the oven temperature indicator in the visitors' restaurant (Hazard):This is a risk because it specifies the likelihood of harm occurring (selling unfit food).

H. There is a water leak next to the electric heater in the admissions area (Danger):Correctly identified as a danger because it represents an immediate and critical threat.

ISO References:

Clause 6.1.2: Hazard identification and assessment of risks and opportunities.

The closing meeting of a second-party audit focuses on the findings, conformance to agreed requirements, and areas for improvement. ISO 19011:2018 provides guidance on closing meetings, stating that the results of the audit, including conformity with criteria, must be reviewed and agreed upon.

Analysis of Options:

A. The names and email addresses of attendees at the closing meeting:Irrelevant. Attendance details are not part of the audit discussion.

B. The extent of the auditee’s documented information system:While relevant during the audit, it is not typically a focus in the closing meeting.

C. The extent to which the auditee is conforming to OH&S requirements in supply contracts:Correct. Second-party audits often assess compliance with contractual requirements.

D. The extent to which the auditee conforms to ISO 45001 requirements:Correct. The core purpose of the audit is to evaluate conformity to ISO 45001.

E. The nature of the trading relationship between the organizations:Correct. The trading relationship often shapes the scope and context of second-party audits.

F. Whether the audit has correctly performed in current contracts with other customers:Irrelevant. The focus is on the specific audit, not contracts with other customers.

G. Whether the work instructions for a specific OH&S process are focused on efficiency:Irrelevant. Efficiency is not the primary focus of an OH&S audit.

ISO References:

ISO 19011:2018, Clause 6.6.1: Conducting the closing meeting.

ISO 45001:2018, Clause 9.2: Internal audit requirements.

Analysis of Options:

A. The organisation must attempt to identify and address every risk it faces:Incorrect. ISO 45001 focuses on OH&S risks and not every risk faced by the organization.

B. The effect of uncertainty (i.e. risk) can result in positive outcomes as well as negative ones:Correct. Clause 3.20 defines risk as the "effect of uncertainty," which may result in positive or negative outcomes.

C. Although organisations are required to carry out risk management, the method by which they do so is up to them:Correct. ISO 45001 does not prescribe specific risk management methods, leaving the organization to choose the approach that best suits its context (Clause 6.1.2).

D. Risk assessment is an activity that must be carried out by top management:Incorrect. Risk assessment can involve workers and other personnel; it is not limited to top management.

E. The organisation is required to assess risks arising from OH&S hazards:Correct. Clause 6.1.2.2 requires organizations to assess OH&S risks associated with hazards.

F. Risk is often expressed as a combination of likelihood and impact:Correct. This is a common way to express risk, aligned with Clause 6.1.2.

ISO References:

Clause 3.20: Definition of risk.

Clause 6.1.2: Hazard identification and risk assessment

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Clause 9.3 of ISO 45001:2018 outlines the requirements for management reviews. These reviews must evaluate the performance of the OHSMS and identify opportunities for improvement. Outputs of management reviews typically include decisions and actions that align with strategic and operational priorities.

Analysis of Options:

A. Decisions related to continual improvement opportunities:This is a valid output, as continual improvement is a key objective of management reviews under Clause 10.3.

B. Allocation of a bigger budget for the OHS department:Resource allocation is a common output of management reviews to address identified needs.

C. Improvements in the OHSMS:Improvements reflect the organization’s commitment to enhancing safety performance.

D. Minutes of previous management reviews:While minutes provide context, they are not an output of the current management review.

E. Opportunities to integrate the OHS management system with other business processes:Integration opportunities are valid outputs, as they enhance the system's effectiveness.

F. Plan to prioritize health and safety issues as a business strategy:Strategic alignment of health and safety with business objectives is an expected output.

G. Procurement of new safety harnesses for workers:This is an operational action, not a direct output of the management review process.

H. Report showing the trend of an increase in safety incidents:This is an input to the management review, not an output.

I. Updates to the risk register:Risk register updates reflect changes in identified hazards and risks, making this a valid output.

J. Worker feedback of positive and negative comments:Worker feedback is an input to the management review, not an output.

ISO References:

Clause 9.3: Management review inputs and outputs.

Clause 10.3: Continual improvement actions.

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Clause 5.4 of ISO 45001:2018 emphasizes the importance of worker consultation and participation in the OHS management system. It requires organizations to establish processes that ensure workers are actively involved in decision-making and implementation of OHS practices.

Analysis of Options:

A. Promoting collaborating workers to higher positions:While promotions may boost morale, they do not directly contribute to worker consultation and participation in the OHSMS.

B. Appointing worker representatives:This action fosters direct communication and representation of workers' interests in health and safety matters.

C. Conducting toolbox talks on health and safety:Toolbox talks are an effective way to engage workers in discussing and addressing health and safety issues.

D. Giving ownership of health and safety matters:Involving workers in decision-making and giving them responsibility for specific health and safety tasks encourages participation.

E. Ignoring workers' suggestions:This undermines consultation and is contrary to ISO 45001 principles.

F. Implementing a payment scheme to reward workers' OHS performance:While incentives can motivate safe behavior, they are not a consultation or participation mechanism as required by Clause 5.4.

G. Implementing methods for engaging workers:This aligns directly with Clause 5.4, as effective engagement methods (e.g., surveys, focus groups) enhance participation.

H. Threatening reprisals to whistleblowers:This violates ISO 45001 principles and discourages worker participation.

ISO References:

Clause 5.4: Worker consultation and participation.

Clause 5.1: Leadership’s responsibility to foster participation.

The PDCA (Plan-Do-Check-Act) cycle is a core principle of ISO 45001 and many other management systems. It does not include environmental management, as ISO 45001 focuses on Occupational Health & Safety (OH&S), while environmental aspects are covered by ISO 14001.

Analysis of Options:

A. Treatment of Risks:Correct. Risk assessment and control are part of the Plan phase.

B. OHSMS Policy:Correct. The OH&S policy is established in the Plan phase.

C. Environment Management Program:Incorrect. This is outside the scope of ISO 45001 and pertains to ISO 14001.

D. Analyzing OHSMS Performance:Correct. Performance analysis occurs in the Check phase of the PDCA cycle.

ISO Reference:

Clause 0.3: PDCA model in ISO 45001.

Audit reports should provide a clear summary of the audit process, findings, and conclusions based on the defined scope, objectives, and criteria. They do not include administrative details (e.g., invoices) or operational aspects (e.g., corrective action plans).

Analysis of Options:

A. A copy of the certification body invoice for the audit:Incorrect. Invoices are unrelated to the content of audit reports and are handled separately.

B. A reference to the audit criteria used:Correct. Audit criteria (e.g., ISO 45001 standards) must be included in the report to define the basis for the audit.

C. A statement of the audit objectives:Correct. The report must outline the objectives to ensure clarity on the purpose of the audit.

D. Audit findings and any related evidence:Correct. Findings and evidence are essential to support conclusions and recommendations.

E. Confirmation of the audit scope:Correct. The scope defines the boundaries of the audit and must be documented in the report.

F. Contact details for all members of the audit team:Incorrect. Personal contact details are unnecessary and not typically included in reports.

G. The audit conclusions reached:Correct. Conclusions summarize the outcomes of the audit, such as conformity, nonconformities, or recommendations.

H. A corrective action plan that addresses the identified nonconformities:Incorrect. Corrective action plans are the auditee's responsibility and not included in the audit report.

ISO References:

ISO 19011:2018, Clause 6.7.3: Content of audit reports.

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Analysis of Each Option:

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Clause 5.2 of ISO 45001:2018 outlines requirements for the OH&S policy, emphasizing commitment to continual improvement, compliance with legal requirements, and communication of the policy to interested parties.

Analysis of Options:

A. The management is committed to health and safety improvement:Correct. The policy explicitly states the organization’s commitment to improvement, meeting Clause 5.2 requirements.

C. The organization has a good reputation for safe experiences:Not relevant to ISO 45001 requirements; reputation is not a policy criterion.

D. The organization intends to communicate its policy to external parties:Correct. Clause 5.2 requires the policy to be communicated to interested parties.

E. The organization is committed to continual health and safety improvement:Correct. This directly aligns with Clause 5.2, which mandates continual improvement.

F. The organization meets all statutory requirements:The policy does not explicitly state compliance with legal requirements, even though this is implied.

G. The organization satisfies its customers’ health and safety requirements:The policy does not specifically address customer requirements.

H. The organization uses contractors committed to health and safety:Not stated in the policy.

I. The organization’s processes deliver the intended improvement to health and safety:This is not evident from the policy statement.

ISO References:

Clause 5.2: OH&S policy.