You are an audit team leader conducting an ISO 45001 surveillance audit of a nautical college that provides course for those working in the maritime sector. The College Principle Is absent, and you are interviewing the Deputy (DP)DP: 1 apologise for the absence of the College Principle. He has called in sick today and we are really short of staff.You: 1 see, it really should not affect the OHSMS so the audit can progress as normal.DP: The College principle set up the system. I am afraidi am not as familiar with it as he is.You: OK, let's start with the OH and S policy. What are the main issues for the OHSMS here?DP: Give me a minute. I need look at the OH and S Policy on the noticeboard in his office.As the audit progresses, It is clear that the Deputy College Principle has a very low knowledge of the OHSMS. He continually has to search the answers to your questions or asks staff members about their processes.Choose one of the following options that best describes the basis for the nonconformity.
Answer(s): A
Comprehensive Detailed Explanation along with All ISO 45001 Audit ReferenceClause 5.1 of ISO 45001:2018 requires top management to demonstrate leadership and commitment to the OH&S management system. This includes awareness of the OH&S policy and its objectives.Analysis of Options:A . As a member of the management team, the Deputy College Principal is not aware of the OHSMS policy:Correct. A lack of awareness of the policy reflects poor leadership commitment, which violates Clause 5.1.B . OH&S improvement is not possible due to the lack of awareness of the OHSMS:Incorrect. While improvement may be hindered, this is not the main issue in this scenario.C . The Deputy College Principal is not competent to manage the OHSMS:Incorrect. The Deputy's competence to manage the OHSMS is not in question; the issue is their lack of awareness of key elements.D . The OH&S policy only exists as a document in the College Principal's office:Incorrect. The policy may be accessible but not effectively communicated or understood by management.ISO
Clause 5.1: Leadership and commitment.Clause 5.2: OH&S policy.
Select two options that are corrections.
Answer(s): A,C
Comprehensive Detailed Explanation along with All ISO 45001 Audit ReferenceCorrections address immediate issues, such as errors or omissions, without addressing root causes. Clause 10.2 of ISO 45001:2018 allows for corrections alongside corrective actions.Analysis of Options:A . Adding a missing signature to a corrective action record:Correct. This is a correction addressing an administrative oversight.B . Changing a process to reduce its inherent risk:Incorrect. This is a corrective action aimed at addressing root causes, not a correction.C . Changing the name of a tutor that did not deliver a course to the name of the tutor that did:Correct. This corrects an error in records without addressing systemic issues.D . Reviewing workers' training records:Incorrect. This is part of ongoing monitoring or auditing, not a correction.E . Updating the emergency preparedness plan as a result of carrying out a practical test:Incorrect. This is a corrective action resulting from performance evaluation, not a correction.F . Using OHSMS induction training to address an identified lack of OHSMS awareness among workers:Incorrect. This is a preventive or corrective action, not a correction.ISO
Clause 10.2: Nonconformity and corrective action.Clause 7.5: Control of documented information
Which two of the following are examples of activities that may occur after the third-party audit has been closed by the individual(s) managing the audit programme?
Comprehensive Detailed Explanation along with All ISO 45001 Audit ReferenceActivities following the closure of a third-party audit are generally related to improving the audit process and addressing any unresolved issues.Analysis of Options:A . Addressing any audit complaints:Correct. Post-audit, complaints or concerns from stakeholders are addressed to improve the audit process and maintain credibility.B . Conducting a closing meeting:Incorrect. The closing meeting occurs before the audit is closed.C . Conducting a review of opportunities for improvement:Correct. Reviewing opportunities for improvement post-audit helps in refining processes and aligning them with organizational goals.D . Revising the audit's objectives:Incorrect. Audit objectives are established during the planning phase, not after the audit has been closed.E . Updating risks and opportunities to the audit programme:Incorrect. Updates to risks and opportunities occur during ongoing audits, not specifically post-audit.F . Writing the audit report:Incorrect. The audit report is prepared before the audit is officially closed.ISO
Clause 9.2.2: Audit process review.ISO 19011:2018, Clause 6.7: Managing complaints and follow-up.
Aitchandness inc, manufactures safety footwear and other items of personal protective equipment (PPE). The organisation applied for ISO 45001 certification, and after the initial certificate audit, the certificate body decided that the audit team leader should carry out a follow-up audit to determine whether the non-conformities could be closed out.A major non-conformity was raised at Stage 2 because of inadequate storage and handling of chemical used in the production process. Minor non-conformities related to retaining documentation, staff safety training and inadequate testing of emergency procedures.Select four of the actions which the auditor could take at the follow-up audit to determine theeffectiveness of corrective action for the non-conformities.
Answer(s): A,D,E,F
Follow-up audits verify that corrective actions have been implemented effectively and address the root cause of the nonconformities.Analysis of Options:A . Review the latest emergency response drill report:Correct. This verifies whether emergency response processes are functional and effective.B . Check if the internal audit schedule was revised:Incorrect. While beneficial, this is not directly related to closing out the nonconformity.C . Check safety data sheets for completeness:Incorrect. While this ensures compliance, it is not directly related to verifying corrective actions.D . Check if revised procedures were signed off:Correct. This confirms that changes were properly documented and approved.E . Determine whether an updated risk assessment was carried out:Correct. Risk assessments confirm the effectiveness of new controls.F . Inspect areas for safe chemical storage and handling:Correct. Direct observation ensures that corrective actions are implemented effectively.G . Interview staff on revised emergency procedures:Incorrect. While important, this does not directly address the effectiveness of corrective actions for chemical storage.H . Interview the OH&S Manager about additional objectives:Incorrect. This is unrelated to the specific nonconformities raised.ISO
Clause 10.2.2: Verification of corrective actions.Clause 8.1.2: Hazard identification and controls.
On behalf of a certification body, you are conducting a combined audit of Shelf-Fit. The organization designs, manufacturing install interiors for retail stores. They employ subcontractors for the installation work.Representing the ISO 45001 audit, you ask the Purchase Manager about the identification of health and safety hazards for contractors on site. Having previously reviewed the hazards list (HZD-21/11 Rev.3), you found that various health and safety hazards were listed but not were associated with contractor working on-site.When you ask about the use of contractors, the response is, `'We know that contractors use chemicals, such as glues, paints and vanishes. We trust them since they know more than we do about the safe handling of such issues''. The auditor made the same enquiry to an accompanying member of the health and safety team and was told that chemical safety had never been a problem with the installation process.
Answer(s): B,D,G
Major nonconformities are raised when there is a systemic failure to meet ISO 45001 requirements that could lead to significant risks.Analysis of Options:B . Lack of a documented process for controlling outsourced work (8.1.4.3):Major nonconformity. A failure to control outsourced work is a serious systemic issue.C . Failure to include OH&S policy in contractor contracts (5.2.f):Not a major nonconformity. While this is a nonconformity, it is procedural and not critical.D . No hazard assessment for installation works (6.1.2.2):Major nonconformity. A lack of hazard assessment for site-specific tasks is a serious issue.E . Missing safety data sheets for contractor chemicals (8.1.4.2):Not a major nonconformity. While important, this issue does not indicate systemic failure.G . Chemical hazards on installation sites not referenced in the hazard list (6.1.2.2):Major nonconformity. This reflects a failure in hazard identification and risk assessment.H . Internal audit program does not cover installation sites (9.2.2):Not a major nonconformity. This is a gap in auditing scope but does not directly endanger safety.I . Safe use of chemicals left to contractors:Not a major nonconformity. This could be addressed through improved contractor oversight rather than indicating systemic failure.ISO
Clause 8.1.4.3: Control of outsourced processes.Clause 6.1.2.2: Hazard identification and risk assessment.Clause 7.4.1: Communication requirements.
You are an audit team leader overseeing the activity of a trainee auditor. Your team has just completed a surveillance audit and is assembling the final report.The trainee has not contributed to a final report before and is clearly struggling with what she should provide to you for inclusion.Which three of her following statements would be appropriate?
Answer(s): C,E,H
Audit reports should focus on objective evidence, observations, and findings relevant to the management system and the audit process. Personal opinions, unrelated remarks, or derogatory comments are inappropriate.Analysis of Statements:A . The guide was trying to be helpful and would not stop talking during the audit:Incorrect. This is irrelevant to the audit findings or conclusions.B . The Sales Manager was kind and seems to be a nice person:Incorrect. Personal opinions about individuals are not appropriate in audit reports. C. The audit client's objectives for this audit were never realistic. That's why we were unable to complete the audit plan:Correct. This is relevant as it relates to the audit process and highlights challenges in meeting objectives.D . The maintenance team could not replace a lightbulb, let alone an air conditioning unit:Incorrect. This is derogatory and irrelevant to the audit report.E . The OHS Management team were extremely helpful and went out of their way to facilitate access to required records:Correct. This is a valid observation about cooperation during the audit process.F . The OHS Manager disagreed with me in respect of all of the nonconformances I raised. He still does not accept any of them:Incorrect. While disagreements may occur, this statement is overly subjective and not constructive.G . The Production Manager is lucky to have a job as he does not appear to understand how anything works around here:Incorrect. Personal attacks or irrelevant judgments have no place in the report.H . The Sales Manager said he had forgotten the password to the Sales Ordering system and so too had everyone else in his department:Correct. This relates to system access and could indicate a nonconformance or an opportunity for improvement.ISO
ISO 19011:2018, Clause 6.7: Reporting audit results.
A trainee audit team leader Is being coached by an experienced audit team leader prior to carrying out his first Stage 2 certification audit in the team leader role. They are discussing the typical contents of audit reports and the experienced audit team leader is keen to ensure the trainee understands what such reports should contain.Which three of the trainee's responses are incorrect?
Answer(s): A,F,H
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
ISO 19011:2018, Clause 6.7.3: Content of audit reports.
You are in the closing meeting of a second-party audit to ISO 45001. Which three of the following topics are most likely to come for discussion?
Answer(s): C,D,E
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
ISO 19011:2018, Clause 6.6.1: Conducting the closing meeting.ISO 45001:2018, Clause 9.2: Internal audit requirements.
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