PECB Updated ISO-45001-Lead-Auditor Exam Questions and Answers by lucien

The correct answers are E, F .

ISO 45001 Clause 8.1.4.2 Contractors requires the organization to coordinate its procurement processes with its contractors, in order to identify hazards and to assess and control the OH and S risks arising from the contractors’ activities and operations that impact the organization, the organization’s activities and operations that impact the contractors’ workers, and the contractors’ activities and operations that impact other interested parties in the workplace . It also requires the organization to ensure that contractors and their workers meet the organization’s OH and S management system requirements.

In this case, the objective evidence already found during the audit supports the nonconformity:

the hazards list did not include contractor-related hazards;

the Purchase Manager relied on trust rather than controlled OH and S coordination;

the OH and S team said chemical safety had never been a problem, which is not evidence of hazard identification, risk assessment, or control.

The email shown at the closing meeting only states that contractors carry out a site risk assessment . That does not automatically demonstrate that Shelf-Fit itself has met Clause 8.1.4.2 requirements for coordinated procurement control, hazard identification, and control of contractor OH and S risks within its own management system. Therefore, the nonconformity should not simply be withdrawn on the spot.

E. Advise management that the information provided will be reviewed at the audit follow-up stage is acceptable because the auditee can submit corrective-action evidence after the audit. The certification decision and close-out process can consider additional evidence later, but that does not erase the nonconformity already supported by audit evidence gathered during the audit.

F. Note the OHS Manager ' s comments but indicate that there is evidence of a nonconformity that needs to be addressed is also acceptable because this is exactly what the audit team leader should do at the closing meeting: acknowledge the auditee’s response, but maintain the finding where objective evidence supports it.

Why the other options are not acceptable:

A is not appropriate at the closing meeting. The audit team should base findings on evidence gathered within the audit scope and timing, not start a new off-line investigation with contractors at that point.

B is weak audit management. The audit team leader should control the discussion and decision, not hand it over informally.

C is incorrect because the information is not irrelevant; it is relevant, but not sufficient to invalidate the nonconformity.

D is not acceptable because the email does not remove the original evidence of failure in Shelf-Fit’s contractor control process.

The correct answers are D and F .

In audit interviewing practice, open questions are mainly used to get explanation, description, and insight, while closed questions are used to confirm specific facts or verify that the auditor’s understanding is correct. Guidance on audit interviews says auditors should rely mainly on open questions for expanded responses and use closed questions to confirm answers . ( The Auditor )

That is why D. To confirm conformity or a non-conformity finding is correct. Once the auditor has gathered evidence, a closed question can be used to verify a precise point, confirm whether a requirement has or has not been met, or make sure the factual basis of a conformity/nonconformity is accurate before recording the finding. ISO 19011 also states that nonconformities and supporting audit evidence should be reviewed with the auditee so the evidence is accurate and understood. ( Synersia Foundation )

F. To check that your understanding of a situation is correct is also correct. Closed questions are especially useful at the end of a discussion to confirm the auditor’s interpretation of what was said or observed. This is a standard interview technique in auditing. ( Designing Buildings )

Why the other options are not correct:

A. To obtain an overview of how a task is performed is better done with open questions , because the auditor needs explanation and sequence. ( The Auditor )

B. To establish communication with the auditee with a view to building trust is usually done through general conversation and open dialogue, not mainly through closed questioning. ( The Auditor )

C. To gain greater insight into the operation of a process also requires open questions . ( The Auditor )

E. To follow your audit trail generally needs probing and exploratory questions, which are typically open rather than closed. ( The Auditor )

Analysis of Options:

A. Integrated Management System: Correct. An Integrated Management System (IMS) combines multiple standards like ISO 45001, ISO 14001, and ISO 9001, addressing environment management as part of the integration.

B. ISO 14501: Incorrect. ISO 14501 pertains to milk and milk products, not environmental management.

C. ISO 45001: Incorrect. ISO 45001 focuses on Occupational Health and Safety, not environmental management.

D. ISO 14001: Correct. ISO 14001 is the primary standard for Environmental Management Systems.

ISO References:

ISO 14001: Environment Management Systems.

Integrated Management Systems: Combines standards like ISO 14001 and ISO 45001.

ISO 45001 requires the organization to adapt the work to workers as part of operational planning and control. Clause 8.1.1(d) states that the organization shall plan, implement, control and maintain the necessary processes, including adapting the work to workers . Annex A.8.1.1 then gives examples, including: redefining how work is organized , redefining processes and work environments , and using ergonomic approaches in the design or modification of workplaces and equipment .

Based on that, D. Providing those who spend the majority of their working days on their computers with frequent breaks is a valid example because it adapts the organization of work to human needs and helps reduce strain and fatigue. This matches the Annex guidance about redefining how work is organized and using ergonomic approaches.

F. Amending a control station to facilitate handicapped workers is also a clear example. ISO 45001 specifically refers to using ergonomic approaches in the design of new workplaces/equipment or in modifying workplaces/equipment . Changing a control station to suit disabled workers is exactly the kind of ergonomic and workplace adaptation the standard is referring to.

G. Amending the start and finish times of processes to accommodate cultural practices is the third valid example, because Annex A.8.1.1 includes the definition or redefinition of how work is organized . Adjusting working times to suit workers’ needs is a direct way of adapting work organization to workers.

Why the others are not the best examples:

A is about competence, which relates more to Clause 7.2 Competence , not adapting work to workers.

B is not appropriate because if workers speak different languages and there are no subtitles , the communication is not being made understandable; ISO 45001 expects information to be comprehensible and identifies language barriers as participation barriers.

C relates to worker participation and consultation, not adapting work to workers.

E is good housekeeping/welfare, but not specifically an example of adapting work to workers in the sense used by ISO 45001 Annex A.8.1.1.

H relates to planning under Clause 6.1, not adapting work to workers.

Therefore, the three actual examples of adapting work to workers are:

D, F, G