ISO-45001-Lead-Auditor Practice Questions

Worker participation is a fundamental principle of ISO 45001 (Clause 5.4). It ensures workers at all levels are involved in key activities to enhance the OH and S management system ' s effectiveness.

Analysis of Options:

A.  

Determining competence requirements: Incorrect. Determining competence is primarily the responsibility of management, though workers may provide input.

B.  

Establishing OHS objectives: Correct. Worker involvement ensures objectives are realistic and relevant to workplace conditions (Clause 6.2).

C.  

Managing internal audit programme: Incorrect. Managing audits is typically a managerial responsibility, though workers may participate in audits.

D.  

Determining actions to eliminate hazards: Correct. Workers’ insights are critical in identifying and implementing actions to eliminate hazards (Clause 8.1.2).

E.  

Determining what needs to be communicated: Incorrect. While communication strategies impact workers, their participation in determining communication needs is not explicitly required.

F.  

Establishing OHS policy: Correct. Workers should be involved in developing policies to ensure relevance and buy-in (Clause 5.2).

ISO References:

Clause 5.4: Worker participation.

Clause 6.2: OHS objectives.

Clause 8.1.2: Hierarchy of controls and hazard elimination.

ISO 45001 requires an organization to determine the external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended results of the OH and S management system. This is established in Clause 4.1 – Understanding the organization and its context . External issues are typically conditions arising outside the organization, such as market conditions, social conditions, legal environment, economic factors, and technological developments. Internal issues are those related to the organization’s people, structure, culture, ownership, competence, and operational arrangements.

D.  

F.  

Why the other options are not external:

A.  

Increased number of outsourced processes is mainly an internal organizational decision about how work is arranged and controlled. Although outsourced providers are external parties, the increase in outsourcing is part of the organization’s internal operating model.

B.  

New owners of the organisation is an internal issue because ownership and governance are part of the organization’s internal structure and direction.

C.  

Workers joined a trade union is generally treated as an internal workforce/industrial relations issue , because it directly concerns the organization’s workers and participation arrangements.

E.  

Recently hired workers with limited command of the local language is an internal issue because it concerns the competence, communication, and workforce characteristics within the organization.

Therefore, the two options related to external issues are:

D, F

The best responses are D, E, and G .

D.  

E.  

G.  

Why the other options are not the best:

A may be premature until the facts are verified.

B assumes misconduct before confirming the facts.

C is incorrect because auditors do not inherently “must” take videos.

F is too severe before the situation is properly established and investigated.

H is inappropriate because the audit team leader should not personally handle or manipulate the auditor’s personal phone.

Hazard: A potential source of harm or adverse health effects.

Risk: The likelihood of harm occurring as a result of the hazard.

Danger: An immediate threat that requires urgent action.

Analysis of Options:

A.  

Conference room emergency sign directs people to an exit that is no longer available for use (Hazard): Correctly identified as a hazard since it poses a potential risk during emergencies.

B.  

The carpet on the main staircase is peeling off (Risk): This is a hazard, not a risk, as it represents a source of potential harm.

C.  

The emergency light in the gift shop did not work when checked (Risk): This is a hazard because it is a condition that could lead to a risk during emergencies.

D.  

The fire extinguishers in the Natural World area have not been serviced in the last five years (Risk): Correctly identified as a risk because the likelihood of fire-related harm increases without proper servicing.

E.  

The head of the dinosaur suspended over the main hall has become detached from the rest of the skeleton (Risk): This is a hazard, not a risk, as it represents a potential source of harm.

F.  

The non-slip mats have been removed from the restaurant (Risk): This is a hazard, not a risk.

G.  

There is a high possibility of unfit food being sold due to the failure of the oven temperature indicator in the visitors ' restaurant (Hazard): This is a risk because it specifies the likelihood of harm occurring (selling unfit food).

H. There is a water leak next to the electric heater in the admissions area (Danger): Correctly identified as a danger because it represents an immediate and critical threat.

ISO References:

Clause 6.1.2: Hazard identification and assessment of risks and opportunities.

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 and S.

Assessment of OH and S risks → Clause 6.1.2.2: Clause 6.1.2.2 mandates the organization to assess OH and 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 and 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 and S requirements, including documented agreements.

References

Clause 4.1: Understanding the organization and its context.

Clause 6.1.2.2: Assessment of risks and opportunities related to OH and S.

Clause 6.1.3: Compliance obligations.

Clause 8.1.4.2: Control of external providers.

Clause 9.1.2 of ISO 45001:2018 outlines the need for organizations to evaluate compliance with applicable legal and other requirements as part of their OH and S management system.

Analysis of Options:

A.  

The organization must evaluate its compliance status at least once a year: The standard does not prescribe a specific frequency but states that evaluations must be conducted at planned intervals.

B.  

' Other requirements ' include requirements that the organization has chosen to comply with: Correct. Other requirements may include voluntary standards, industry codes, or contractual obligations.

C.  

A management review is required in all instances where one or more legal requirements are not being met: This is not true. Management reviews address compliance but are not mandated for every noncompliance.

D.  

Every member of an audit team must have a detailed understanding of the legal requirements for the sector and type of organization they are auditing: Not true. Auditors must have general competency but can rely on subject-matter experts for legal specifics.

E.  

If the organization is failing to address a legal requirement relating to another discipline (e.g., Environmental management), this cannot be raised in the audit: Not true. If the legal noncompliance impacts OH and S, it can be raised.

F.  

The organization cannot outsource its process for evaluating compliance: The organization can outsource evaluation but retains accountability.

G.  

The organization is required to establish a process for evaluating compliance: Correct. Clause 9.1.2 requires a process for compliance evaluation.

H. The organization is required to evaluate its compliance status with OH and S legal and other requirements: Correct. Clause 9.1.2 explicitly states this requirement.

ISO References:

Clause 9.1.2: Evaluation of compliance.

Clause 7.5: Documented information requirements