Pass the PECB ISO 45001 ISO-45001-Lead-Auditor Questions and answers with Dumpstech

Clause 8.1.2 of ISO 45001 pertains to Eliminating Hazards and Reducing OH and S Risks. Organizations must implement appropriate controls to manage workplace hazards effectively.

Issue Identified:The kitchen environment at the audited site presents multiple hazards, including:

Oil spillage creating a slip hazard.

Open drums of waste material posing a chemical or hygiene hazard.

Unsecured knives and cleavers increasing the risk of cuts.

Boiling water left unattended, posing a risk of burns.

Lack of visible fire extinguishers or fire blankets, increasing fire risk.

Analysis of Options:

A. Failure to reduce risks associated with working in the kitchen.This option accurately captures the broader failure to implement effective measures to eliminate or reduce hazards across multiple areas in the kitchen.

B. Measures to prevent slippage in the kitchen from waste cooking oil were not taken.This is specific to one hazard (oil spillage) and does not address other significant risks observed, such as fire safety or sharp tools.

C. Staff are at risk of serious injury while working in the kitchen.While true, this is more of a general observation and does not address the root cause of the hazards or the failure of controls.

D. Training of the kitchen staff was not effective enough to prevent poor safety awareness in the kitchen area.Although training deficiencies may contribute to the issue, this option does not reflect the overarching systemic failure to manage hazards effectively.

Best Description of the Nonconformance:Failure to reduce risks associated with working in the kitchen (Option A) is the most comprehensive finding, reflecting the organization’s lack of adequate controls to mitigate hazards.

ISO References:

Clause 8.1.2: Organizations must establish controls to eliminate or minimize OH and S risks systematically.

Clause 7.2: Ensuring competency through training is important but must be coupled with hazard control measures.

ISO 45001 requires organizations to identify and maintain documentation to demonstrate compliance with legal and other requirements (Clause 7.5 and Clause 9.1.2). It also requires the evaluation and control of outsourced processes (Clause 8.1.4.3).

Analysis of Options:

A. The park did not have the required documentation to demonstrate compliance with legal requirements:Correct. The outdated and incomplete inspection report (8 years old, lacking detailed identification) fails to demonstrate compliance with health and safety legislation.

B. The organization did not monitor the safety checks by staff of equipment:Incorrect. While there is a potential gap in monitoring, the evidence provided does not directly indicate a lack of monitoring of staff checks.

C. The inspection organization employed by the insurance organization was not evaluated:Correct. ISO 45001 requires the organization to evaluate outsourced services, including those provided by the inspection body, to ensure their adequacy.

D. The park relied on the insurance organization to evaluate its OHS risks:Incorrect. Reliance on external evaluations may not constitute a nonconformity if risks are properly managed, but there is no evidence provided for noncompliance here.

E. Testing to determine the safe loading of equipment was not carried out:Incorrect. While load testing is crucial, there is no evidence presented to confirm this specific issue as a nonconformity.

ISO References:

Clause 7.5: Control of documented information.

Clause 8.1.4.3: Control of outsourced processes.

Clause 9.1.2: Evaluation of compliance.

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 References:

Clause 9.2.2: Internal audit process requirements.

Clause 10.2: Nonconformity and corrective action.

Clause 7.4.3: Communication requirements.

Audit reports should focus on objective evidence, observations, and findings relevant to the management system and the audit process. Personal opinions, unrelated remarks, or derogatory comments are inappropriate.

Analysis of Statements:

A. The guide was trying to be helpful and would not stop talking during the audit:Incorrect. This is irrelevant to the audit findings or conclusions.

B. The Sales Manager was kind and seems to be a nice person:Incorrect. Personal opinions about individuals are not appropriate in audit reports.

C. The audit client’s objectives for this audit were never realistic. That’s why we were unable to complete the audit plan:Correct. This is relevant as it relates to the audit process and highlights challenges in meeting objectives.

D. The maintenance team could not replace a lightbulb, let alone an air conditioning unit:Incorrect. This is derogatory and irrelevant to the audit report.

E. The OHS Management team were extremely helpful and went out of their way to facilitate access to required records:Correct. This is a valid observation about cooperation during the audit process.

F. The OHS Manager disagreed with me in respect of all of the nonconformances I raised. He still does not accept any of them:Incorrect. While disagreements may occur, this statement is overly subjective and not constructive.

G. The Production Manager is lucky to have a job as he does not appear to understand how anything works around here:Incorrect. Personal attacks or irrelevant judgments have no place in the report.

H. The Sales Manager said he had forgotten the password to the Sales Ordering system and so too had everyone else in his department:Correct. This relates to system access and could indicate a nonconformance or an opportunity for improvement.

ISO References:

ISO 19011:2018, Clause 6.7: Reporting audit results.

ISO 19011 distinguishes the generic competence required of all auditors from the additional leadership competence required of an audit team leader. Planning the audit is a team-leader responsibility because the leader must translate the audit objectives, scope and criteria into an effective sequence of activities and coordinate the team ' s work. Likewise, the team leader must make effective use of audit resources, including available personnel, expertise and time, to ensure that the audit objectives can be achieved efficiently. Sampling, applying a risk-based auditing approach, understanding relevant cultural or social factors and verifying collected information are competencies expected of auditors generally rather than being exclusive to team leaders. The ISO 19011 guidance specifically identifies planning the audit and making effective use of resources as additional audit-team-leader capabilities.