ISO-45001-LEAD-AUDITOR Practice Questions

Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference

Analysis of Each Option:

A . The organisation should review the audit plan for agreement.

True.

According to ISO 45001 guidelines and ISO 19011 (Guidelines for Auditing Management Systems), it

is standard practice for the auditee organization to review and agree to the audit plan to ensure

clarity on scope, objectives, and processes.

Reference: ISO 19011:2018, Clause 6.3.2.

B . The audit team leader does not select the OHS audit team members.

False.

The audit team leader is responsible for selecting competent team members with the requisite

expertise to evaluate the auditee’s Occupational Health & Safety Management System (OHSMS).

Selection is based on criteria such as knowledge of ISO 45001, auditing skills, and understanding of

the industry.

Reference: ISO 19011:2018, Clause 5.4.2 and 6.3.1.

C . The audit team leader should plan to interview each employee.

False.

While employee interviews are an essential part of gathering evidence during an ISO 45001 audit,

interviewing every employee is impractical and unnecessary. A representative sampling strategy is

used to assess compliance across various levels and departments.

Reference: ISO 19011:2018, Clause 6.4.6.

D . The audit team leader should present the plan to the auditee before the Stage 2 audit.

True.

Presenting the audit plan to the auditee before the audit is essential to ensure all parties are

informed and prepared for the audit. This practice is emphasized in ISO 19011 and supports

transparency and effective audit execution.

Reference: ISO 19011:2018, Clause 6.3.3.

E . The organisation should cancel staff leave during the audit.

False.

ISO 45001 and related audit guidelines do not mandate the cancellation of staff leave during audits.

While key personnel should be available, the audit team collaborates with the organization to plan

around leave schedules to minimize disruption.

Reference: Not explicitly covered in ISO 45001 or ISO 19011; falls under planning discretion.

F . The plan does not need to include the names of the senior managers.

True.

While the audit plan should outline the scope, objectives, and methods, it does not specifically

require the inclusion of senior managers’ names unless they are directly involved in the audit.

Reference: ISO 19011:2018, Clause 6.3.2.

Key ISO Reference:

ISO 45001:2018, Clause 9.2 (Internal Audit Requirements).

ISO 19011:2018, Clauses 5.4.2, 6.3.1, 6.3.2, and 6.4.6.

Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference 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 Reference: Clause 9.3: Management review inputs and outputs. Clause 10.3: Continual improvement actions.

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 Reference: 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.

Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference

Clause 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 Reference:

Clause 5.1: Leadership and commitment.

Clause 5.2: OH&S policy.

ISO 45001:2018 requires a holistic approach to occupational health and safety. This means considering all aspects that could impact worker well-being, not just obvious physical hazards. The correct answer encompasses work activities (the tasks themselves), workplace design (the physical environment), and human factors (psychological and social aspects like working hours and harassment). It's the most comprehensive and aligned with the standard's philosophy ISO 45001:2018, Clause 6.1.2, outlines requirements for hazard identification. Hazards to consider include work activities, workplace design, human factors, and social factors that may impact OH&S. These go beyond traditional physical risks and include psychosocial and organizational hazards. Analysis of Options: A . Work activities, workplace design, and human factors such as hours of work and bullying and harassment: Correct. This comprehensively addresses hazard categories outlined in ISO 45001, Clause 6.1.2. B . Work activities where there is the possibility of danger: Too general. ISO 45001 includes broader categories of hazards, including those related to organizational and social factors. C . Hot-work, working at height, enclosed space entry, and work on electrical equipment: Too narrow. These are specific hazards but do not encompass the full range outlined in ISO 45001. D . Work hazards and environmental factors such as bad weather: Incomplete. While environmental factors are relevant, ISO 45001 also includes workplace design, human factors, and psychosocial hazards. ISO Reference: Clause 6.1.2.1: Hazard identification. Annex A.6.1.2: Examples of hazard categories, including workplace design and human factors.

ISO 45001 defines "documented information" as information required to be controlled and maintained by an organization. This can include policies, procedures, records, or other relevant data in any format (Clause 3.19). It encompasses all information used to establish, operate, and demonstrate the effectiveness of the OH&S management system. Analysis of Options: A . Any paperwork generated when the system is in operation: Incorrect. This is too narrow and excludes digital or other formats. B . Any information about the system, or generated by it, held in any format: Correct. This aligns with the ISO 45001 definition in Clause 3.19. C . Paperwork such as Permits to Work and risk assessments: Incorrect. These are examples of documented information but do not encompass the full scope of the term. D . The master copies of the documents used to operate the system, held in any format: Incorrect. This definition is limited to master copies, while documented information includes records as well. ISO Reference: Clause 3.19: Definition of documented information. Clause 7.5: Control of documented information.

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. Reference 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.

Explanation Prepares the audit report → Audit Team Leader: The Audit Team Leader is responsible for compiling and preparing the final audit report, summarizing findings and conclusions. Prepares audit checklists for use during the audit → Auditor: Auditors create checklists to ensure a thorough and systematic evaluation during the audit. Participates under the direction and guidance of an auditor → Auditor in Training: An auditor in training works under supervision to gain experience and contribute to the audit process. Follows up on audit findings within an agreed timeframe → Auditee: The auditee is responsible for addressing and resolving audit findings and providing evidence of corrective actions. A person who accompanies the audit team but does not act as an auditor → Observer: Observers are typically external parties or internal personnel who watch the audit process but do not participate actively. Escorts the auditors but does not participate in the audit → Guide: A guide facilitates the audit by helping auditors navigate the site and access relevant areas or documents. Reference ISO 19011:2018: Guidelines for auditing management systems.

Was he made aware of the hazards related to this work? → Clause 6.1.2.1: Clause 6.1.2.1 focuses on hazard identification. Organizations must identify hazards associated with work activities, such as operating a motorbike, and ensure workers are aware of these hazards. Was he trained to use the new motorbike? → Clause 7.2: Clause 7.2 requires organizations to ensure that workers are competent to perform their assigned tasks, including providing necessary training for new equipment like a motorbike. Was he asked to deliver too many orders in a short period of time? → Clause 8.2: Clause 8.2 relates to managing operational controls and ensuring that work processes do not impose undue risks, such as excessive workloads or time pressure. Was he carrying any contact details in case of an accident? → Clause 7.3: Clause 7.3 requires effective communication of information relevant to OH&S, including emergency contact details or procedures for accidents. ISO Reference: Clause 6.1.2.1: Hazard identification. Clause 7.2: Competence. Clause 7.3: Awareness and communication. Clause 8.2: Operational control.

Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference Opportunities for improvement (OFIs) are suggestions provided during audits that do not indicate nonconformities but are aimed at enhancing the system’s performance. Analysis of Options: A . A quality control program could involve non-destructive testing of the welded handrails: While beneficial, this focuses on product quality rather than OH&S improvements. B . Operational planning activities may benefit from an improved risk-based approach based on international standards for risk management: Correct. Enhancing risk-based thinking aligns with Clause 6.1.1. C . A first aid station could be located next to the handrail polishing operation: While useful, first aid station placement is an operational matter, not directly related to OH&S management system improvement. D . Additional internal audits of the OHS management system may reduce production problems: Internal audits should address system performance, not production problems. F . The induction program for new employees could include an awareness training video on health and safety: Correct. Enhanced training for new employees addresses Clause 7.2 (competence). G . The requirement for wearing protective gloves could be extended to shop floor workers across all operations: Correct. This improves hazard control in line with Clause 8.1.2. H . The molding polishers should be disciplined for incompetency: Disciplinary actions are outside the scope of system improvement. ISO Reference: Clause 6.1.1: Risk management. Clause 7.2: Competence. Clause 8.1.2: Hierarchy of controls.