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The questions for ISO-45001-Lead-Auditor were last updated on May 5, 2025.
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Showitoff is an organisation spcialising in the design and production of wall decorating material for the domestic market. During an ISO 45001 certification audit of the site, the auditor comes across an open, walled area just outside the maintenance department. It contains various scraps of wood and metal as well as several rusty components. Several heavy concrete beams are learning against a thin brick wall in which cracks are visible. When asked about it, the OHS Manager states that he presume that the material come from maintenance work, so it is the Maintenance Manager's responsibility.
The auditor interviews the Maintenance Manager in his department. He asks about the area outside and is told that it contains some excess materials that the Manager likes to keep in case they come in handy at some stage. The auditor points out that the wall appears to be unstable collapse at any moment. The Maintenance Manager is not aware of such a situation.
Which three statement represent good audit practice?
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference
Clause 6.1.2 of ISO 45001:2018 emphasizes the identification of hazards and assessment of risks, and Clause 5.4 highlights the importance of consultation and communication among roles. The auditor's role includes verifying conformity to these clauses through evidence gathering and observation.
Analysis of Options:
A . The auditor should advise the organization to get rid of the walled area. This is outside the scope of an auditor's role, which is to observe and report findings, not to dictate specific actions.
B . The auditor should ask the Maintenance Manager to conduct a safety survey. While safety surveys are useful, asking the Maintenance Manager to conduct one is not the auditor's responsibility.
C . The auditor should check the lines of communication between the OHS Manager and Maintenance Manager. This aligns with ISO 45001:2018, Clause 5.4, as communication gaps may have contributed to the situation.
D . The auditor should check whether the organization has identified the safety hazards associated with the walled area. Clause 6.1.2 requires hazard identification. The auditor must determine whether this has been done.
E. The auditor should consider surveying more areas of the site for other potentially unsafe situations. Broadening the audit scope to identify additional risks is a good practice in line with Clause 9.2.2.
F . The auditor should demand that the Maintenance Manager deals with the wall. Demanding action is not within the auditor's authority. The auditor should raise findings instead.
G . The auditor should raise a nonconformity against ISO 45001. While this may be appropriate depending on evidence, raising a nonconformity is not a replacement for good audit practices.
H . The auditor should refer the organization to health and safety authorities. This step is extreme and should only occur if there is an imminent danger and no action is being taken.
ISO Reference:
Clause 6.1.2: Hazard identification and risk assessment.
Clause 5.4: Worker consultation and participation.
Clause 9.2.2: Internal audit program and execution.
An internal auditor of a manufacturer of plastic packaging products for the food industry raised a nonconformity against section 10.2 of ISO 45001 in Report IA202. The nonconformity (NC3) stated: "The level of reported health and safety incidents has increased by 9.7% over the last 12 months. This included an increase in reported accidents." A third-party auditor reviewing the internal audit process came across the nonconformity and found that there was no evidence of having been reported to relevant staff. Select three of the following nonconformities that the auditor could raise to ISO 45001.
Clause 10.2 requires organizations to investigate nonconformities, determine their causes, and take corrective actions to prevent recurrence. Clause 9.2.2 specifies the requirements for managing internal audit processes, while Clause 7.4.3 emphasizes the need to communicate relevant information effectively.
Analysis of Options:
A . 9.2.2.e - Management failed to take any action to deal with the audit nonconformity: Correct. Management must ensure that internal audit findings are addressed promptly. The lack of action violates Clause 9.2.2.e.
B . 9.2.2.d - Staff were not made aware that health and safety incidents were increasing: Incorrect. This clause pertains to the planning and conduct of audits, not the communication of findings.
C . 8.1.1 - Operations were not properly controlled to avoid health and safety incidents: Incorrect. While increased incidents may suggest operational issues, this option does not directly relate to the internal audit findings.
D . 9.2.2 - Report IA202 contained a poorly worded nonconformity (NC3): Incorrect. The clarity of the nonconformity wording is not directly relevant to Clause 9.2.2.
E . 10.2.b - The root cause of the increase in reported health and safety accidents was not investigated: Correct. Failure to investigate root causes violates Clause 10.2.b.
F . 7.4.3 - The results of the internal audit IA202 were not communicated to interested parties: Correct. Effective communication of audit results is required under Clause 7.4.3.
ISO Reference:
Clause 9.2.2: Internal audit process requirements.
Clause 10.2: Nonconformity and corrective action.
Clause 7.4.3: Communication requirements.
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 Reference
Activities 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 Reference:
Clause 9.2.2: Audit process review.
ISO 19011:2018, Clause 6.7: Managing complaints and follow-up.
An audit team leader arrives at a fabrication organisation that manufactures stairways to ..certification audit. At a meeting with the OHSMS Manager the audit finds that the responsibility for worker consultation and participation lies with the managerial team. Select from the options four actions by the managerial team that encourage worker consultation and participation.
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference
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 Reference:
Clause 5.4: Worker consultation and participation.
Clause 5.1: Leadership's responsibility to foster participation.
Showitoff is an organization specialization in the design and production of wall decorating materials for the domestic market.
During an ISO 45001 certification audit of the site, the auditor comes across an open, walled area just outside the maintenance department. It contains various scraps of wood and metal as well as serveral rusty components. Several heavy concrete beams are learning against a thin brick wall in which cracks are available. When asked about it, the OHS Manager states that he presumes that the materials come from maintenance work, so it is the Maintenance Manager's responsibility.
The auditor interview the Maintenance Manager in his department. He asks about the area outside and is told that it contains some excess material that the Manager likes to keep in case they come in handy at some stage. The auditor points out that the wall appears to be unstable and could collapse at any moment. The Maintenance Manager is not aware of such a situation.
The auditor decides to review the process for evaluation of compliance with health and safety regulations in more depth.
Select six option that provide a meaningful audit trail for this process.
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference
An audit trail for evaluating compliance with regulations should focus on the identification, communication, and monitoring of legal and other requirements. Clause 9.1.2 of ISO 45001:2018 requires organizations to evaluate compliance with applicable OH&S legal and other requirements.
Analysis of Options:
A . What is the cost of repairing the wall? Irrelevant to compliance evaluation, as cost considerations are not part of legal compliance.
B . What hazards have been identified as being associated with regulations? Correct. Identifying hazards is a critical step in understanding compliance obligations (Clause 6.1.2).
C . How are maintenance staff made aware of regulatory requirements? Correct. Communication and training are vital for compliance (Clause 7.3).
D . How are OH&S objectives verified? Not directly relevant to compliance evaluations, as objectives pertain to performance improvement.
E . How are OHSMS records of compliance evaluations controlled and managed? Correct. Proper documentation and record-keeping are essential for demonstrating compliance (Clause 7.5).
F . How are updates to OH&S regulations monitored? Correct. Monitoring regulatory changes is critical for maintaining compliance (Clause 6.1.3).
G . How is the cost of safety improvements calculated? Irrelevant to compliance, as cost analysis is not required by ISO 45001.
H. What are the qualifications of the OHS Manager and Maintenance Manager? While competence is important, this does not directly relate to compliance evaluations.
I . What input does the Maintenance Manager have in the determination of legal compliance? Correct. Understanding the roles and responsibilities of key personnel ensures effective compliance (Clause 5.3).
J . What knowledge does the OHS Manager have in relevant safety legislation? Correct. Awareness of applicable legislation is critical for effective compliance evaluation (Clause 7.2).
ISO Reference:
Clause 9.1.2: Evaluation of compliance.
Clause 6.1.2: Hazard identification and risk assessment.
Clause 7.5: Documented information.
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