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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.
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.
When calculating an ISO 45001 third party initial audit duration, which two of the following statements are false?
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference
Analysis of Each Option:
A . Consider the number of functions related to OHS management. True. The number of functions related to OHS management directly impacts the audit duration. More functions require additional time for the auditor to review documentation, processes, and implementation across those areas. Reference: IAF MD 5:2020, Clause 2.3.1 (factors affecting audit time).
B . Consider the number of sites to be sampled. True. For multi-site organizations, the number of sites to be sampled is critical in calculating audit duration. Sampling requirements are determined using guidelines such as IAF MD 1:2022 and depend on the complexity, size, and risks associated with each site. Reference: IAF MD 1:2022, Clause 4.2.
C . Include outsourced processes. True. Outsourced processes that affect the OHS management system must be evaluated as part of the audit. This includes reviewing the organization's control over such processes. Auditing these aspects impacts the audit duration. Reference: ISO 45001:2018, Clause 8.1.4 and IAF MD 5:2020, Clause 2.3.1.
D . Include the time allocated for lunch breaks. False. Lunch breaks are not considered part of the audit duration as they do not contribute to the assessment of the management system. Audit time calculations exclude non-working hours, including breaks. Reference: IAF MD 5:2020, Clause 2.5.
E . Incorporate the time taken to travel to/from the audit location. False. Travel time is excluded when calculating the audit duration. While travel logistics are considered in audit planning, they do not count towards the total audit time. Reference: IAF MD 5:2020, Clause 2.5.
F . Think about the complexity of the organization's business. True. The complexity of the organization's business, including the nature of hazards, risks, and legal obligations, significantly affects the audit duration. More complex operations typically require longer audit times. Reference: IAF MD 5:2020, Clause 2.3.1.
Key ISO and IAF Reference:
ISO 45001:2018: Clause 9.2.2 (Audit Program).
IAF MD 5:2020: ''Determination of Audit Time of Quality and Environmental Management Systems.''
IAF MD 1:2022: ''Audit and Certification of Multiple Sites Based on Sampling.''
Which two of the following are examples of audit objectives for the audit team?
Audit objectives for the audit team focus on ensuring the audit process is executed effectively, efficiently, and without causing undue disruption to the organization being audited. ISO 19011:2018 provides guidance on setting audit objectives.
Analysis of Options:
A . To reduce instances of injury and ill health: Incorrect. This is an objective of the OH&S management system, not of the audit itself.
B . To minimise risk resulting from the audit process: Correct. ISO 19011 emphasizes managing risks to the auditee and the audit process during audits (Clause 5.4).
C . To improve overall health and safety performance: Incorrect. Improving health and safety performance is an outcome of the OH&S management system, not the audit team's objective.
D . To complete the audit on time: Correct. Ensuring timely completion of the audit aligns with effective audit management.
E . To implement any necessary corrective action: Incorrect. Implementing corrective actions is the auditee's responsibility, not the audit team's.
ISO 45001:2018:
Clause 5.4: Worker consultation and participation.
Clause 6.2: OH&S objectives and planning.
Clause 8.1.2: Hierarchy of controls and worker involvement.
ISO 19011:2018: Guidelines for auditing management systems.
ISO 45001 requires the organisation to retain OHSMS documented information. From the following list of documented information, which four examples must be retained by the organisation?
Analysis of Options:
A . Results of management review: Correct. Clause 9.3 requires retention of management review results as documented information.
B . Risks and opportunities: Incorrect. Risks and opportunities must be considered and managed, but retaining this as documented information is not mandatory.
C . Results of compliance evaluation: Correct. Clause 9.1.2 requires retention of compliance evaluation results.
D . Workers' current level of competency: Incorrect. Competency must be ensured, but retaining specific competency records is not explicitly required.
E . Assigned responsibilities and authorities: Incorrect. These must be defined and communicated but are not required to be retained as documented information.
F . The relevant requirements of workers: Incorrect. Relevant worker requirements must be considered but not retained as documented information.
G . Effectiveness of corrective actions: Correct. Clause 10.2 requires retention of evidence of corrective actions taken.
H . OH&S Policy: Correct. Clause 5.2 requires the OH&S policy to be maintained as documented information.
ISO Reference:
Clause 5.2: OH&S policy.
Clause 9.1.2: Compliance evaluation.
Clause 9.3: Management review.
Clause 10.2: Corrective actions.
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.
