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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.
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.
Wash-it-up is an organization that provides window cleaning services for the industrial sector. It has been certified to ISO 45001 for some time and has appointed a new OHS Manager. The auditor asks to see the most recent management review meeting minutes.
Which three statement would represent input audit evidence for the management review?
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference
Clause 9.3 of ISO 45001:2018 defines inputs for management review, which must include information on performance trends, feedback, risks, and opportunities for improvement.
Analysis of Options:
A . Allocation of a bigger budget for the OHS department: This is an output of management review, not an input.
B . Decisions on improvements in the OHSMS: This is an output, not an input.
C . Decisions related to continual improvement opportunities: This is an output, not an input.
D . Procurement of new safety harnesses for workers: This is an operational action, not an input for management review.
E . Proposal to prioritize health and safety issues as a business strategy: Proposals may be discussed during review, but they are outputs.
F . Report showing the trend of an increase in safety incidents: Correct. This is a valid input that informs system performance.
G . Updates to the risk register: Correct. Risk updates are required inputs under Clause 6.1.2.
H . Worker feedback of positive and negative comments: Correct. Feedback is an essential input per Clause 5.4 and Clause 9.3.
ISO Reference:
Clause 9.3: Management review inputs.
Clause 5.4: Worker consultation and participation.
An audit team leader prepares the audit plan for an initial Stage 2 certification audit. Which two of the following statements are false?
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.
Which three of the following ISO 45001 activities require the organisation to emphasise non-managerial workers' participation?
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).
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 the effectiveness of corrective action for the non-conformities.
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 Reference:
Clause 10.2.2: Verification of corrective actions.
Clause 8.1.2: Hazard identification and controls.
