ISO-45001-Lead-Auditor PECB Certified OHSMS ISO 45001 Lead Auditor Exam Questions and Answers

The correct answers are E, F, and H.

This situation raises three serious concerns: impartiality, professional conduct, and the reliability of the audit conclusion. Third-party auditors are expected to act honestly and impartially, and accepting gifts from the auditee is inconsistent with that expectation. The IAF auditor code of conduct says auditors must be honest and impartial and must avoid conduct that discredits the profession. (IAF)

E is correct because the audit team leader must first consider whether the alleged behavior could compromise the validity of the audit findings and conclusion. If that risk is significant, the matter should be escalated to the individual(s) managing the audit programme for direction, since certification audits must remain competent, consistent, and impartial. (ISO)

F is correct because the team leader should gather specific facts and then give the auditor an opportunity to respond to the allegations before deciding the next step. That is the appropriate immediate management action and is consistent with fair handling of an issue that could affect audit integrity. The concern is too serious to ignore, but it should still be examined on evidence, not assumption. (ISO)

H is also correct because, while the matter is being addressed, moving the auditor in training away from the auditor concerned is a sensible control to protect the trainee and the audit process. It helps reduce further disruption and prevents the trainee from being exposed to more inappropriate conduct during the remainder of the audit. This is a practical audit-management response flowing from the team leader’s responsibility to maintain control of the audit team and audit activities. (ISO)

Why the other options are not correct:

A is too immediate and inappropriate. The auditor in training cannot simply replace a qualified auditor without proper competence and authorization being confirmed.

B is premature. The audit should not be terminated immediately without first assessing the facts and the impact on the audit.

C is clearly wrong because the issue could affect the integrity of the current audit and cannot wait until later.

D is wrong and unethical; the tickets should not be accepted by anyone on the audit team. (IAF)

G is wrong because experience does not excuse unethical or unprofessional behavior.

ISO 45001 Clause 5.2 OH and S policy requires top management to establish, implement and maintain an OH and S policy that includes a commitment to provide safe and healthy working conditions, fulfill legal and other requirements, and achieve continual improvement of the OH and S management system. It also requires the policy to be communicated within the organization and to be available to interested parties, as appropriate.

B. The management is committed to health and safety improvement is correct because the policy states: “Continual health and safety improvement is a permanent objective of the organisation.” That clearly demonstrates commitment to improvement, which aligns with Clause 5.2.

C. The organisation intends to communicate its policy to external parties is correct because the policy says: “Where required, the policy shall be communicated to all interested parties.” This matches the ISO 45001 requirement that the OH and S policy be available to interested parties, as appropriate.

G. The organisation is committed to continual health and safety improvement is also correct because the statement explicitly says: “Continual health and safety improvement is a permanent objective of the organisation.” This directly reflects the requirement for continual improvement in the OH and S policy.

Why the other options are not supported by the policy statement:

A is not correct because the policy expresses intent to work in accordance with regulations, but it does not prove the organization meets all statutory requirements in practice.

D is not correct because the policy does not provide evidence of reputation.

E is not correct because the policy does not prove that processes actually deliver improvement; it only states commitment.

F is not correct because the policy mentions contractors, but it does not prove that contractors themselves are committed to health and safety.

H is not correct because the policy mentions safe experiences and customers, but it does not prove that customer health and safety requirements are satisfied.

Therefore, the three options for which the organization is meeting ISO 45001 policy requirements are:

B, C, G

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.

The best responses are D, E, and G.

D. Insist that the nonconformities must stand since there is clear evidence for them apart from the videos is correct because audit findings and nonconformities must be based on objective evidence. If the evidence supporting the findings exists independently of the videos, then the findings should not be rescinded simply because there is a dispute about how supplementary material was recorded. A problem with auditor conduct or site permission does not automatically invalidate valid audit evidence already obtained.

E. Advise the OHS Manager that they should speak to the supervisor to confirm the situation is also appropriate because the auditor stated that permission had been obtained from a supervisor who was part of the safety team. Before taking action, the audit team leader should verify the facts. This is a reasonable and proportionate response to clarify whether site permission was actually granted.

G. Indicate that he, as audit team leader, will seek approval for the taking of videos by auditors at the opening meetings with management at all audits in the future is appropriate because it addresses the control weakness going forward. Audit teams should be clear about site rules, confidentiality, and permissions for photographs or videos before audit activities begin. This is a constructive preventive action for future audits.

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.

ISO 45001 Clause 4.2 requires the organization to determine the relevant interested parties, their relevant needs and expectations (requirements), and which of those become legal or other requirements for the OH and S management system. Workers are explicitly central to ISO 45001, and the standard is aimed at providing safe and healthy workplaces and preventing work-related injury and ill health. Therefore, A. Workers requiring a safe environment in which to work is clearly a relevant requirement of a relevant interested party.

ISO 45001 Annex A.4.2 lists suppliers, contractors and subcontractors among examples of interested parties. Since externally provided products and services can affect OH and S performance, a requirement linked to minimizing the risk of harm in those products and services is relevant to the OH and S management system. That is why B. Subcontractor producing products and services that minimise the risk of harm is also relevant. It aligns with the standard’s treatment of contractors/subcontractors as interested parties and with operational control over externally provided products and services that can affect OH and S.

Why the others are not correct:

C. Competitors requiring information on the organisation ' s work environment is not a relevant OH and S requirement.

D. Top management requiring an annual bonus is a financial/personal issue, not an OH and S interested-party requirement.

E. Investors requiring maximum growth in return for their capital is a business expectation, but not a relevant OH and S requirement in this context.

F. Shareholders requiring guaranteed dividend payments is also financial and not relevant to the OH and S management system, even though shareholders may be interested parties in a broader business sense. ISO 45001 requires only the needs and expectations that are relevant to the OH and SMS to be determined.

Opportunities for improvement (OFIs) are suggestions provided during audits that do not indicate nonconformities but are aimed at enhancing the system’s performance.

Analysis of Options:

A. A quality control program could involve non-destructive testing of the welded handrails:While beneficial, this focuses on product quality rather than OH and S improvements.

B. Operational planning activities may benefit from an improved risk-based approach based on international standards for risk management:Correct. Enhancing risk-based thinking aligns with Clause 6.1.1.

C. A first aid station could be located next to the handrail polishing operation:While useful, first aid station placement is an operational matter, not directly related to OH and S management system improvement.

D. Additional internal audits of the OHS management system may reduce production problems:Internal audits should address system performance, not production problems.

F. The induction program for new employees could include an awareness training video on health and safety:Correct. Enhanced training for new employees addresses Clause 7.2 (competence).

G. The requirement for wearing protective gloves could be extended to shop floor workers across all operations:Correct. This improves hazard control in line with Clause 8.1.2.

H. The molding polishers should be disciplined for incompetency:Disciplinary actions are outside the scope of system improvement.

ISO References:

Clause 6.1.1: Risk management.

Clause 7.2: Competence.

Clause 8.1.2: Hierarchy of controls.

Clause 0.2 of ISO 45001 emphasizes the involvement of top management and alignment of OH and S objectives with the organization’s OH and S policy.

Nonconformities Identified:

The objectives were developed by an external consultant without involving top management, which undermines leadership accountability and commitment.

The objectives were based on a competitor’s framework, not aligned with the organization’s unique OH and S policy or context.

Analysis of Options:

A. Establishing OH and S objectives did not include top management.True. Clause 5.1 (Leadership) and Clause 6.2 (Objectives) emphasize that top management must be involved in defining and supporting OH and S objectives.

B. OH and S objectives are not being implemented by personnel.Implementation relates to operationalization, not the development phase, and is not relevant to Clause 0.2.

C. OH and S objectives are not maintained as documented information.While documentation is required, the absence of documented information is a separate issue under Clause 7.5, not Clause 0.2.

D. OH and S objectives were not established in alignment with the organization’s OH and S policy.True. Clause 6.2.1 requires objectives to align with the OH and S policy, which reflects the organization’s commitment to safety and health.

E. The consultant has not interpreted ISO 45001 correctly.While possibly true, the issue here is the organization’s failure to involve top management, not the consultant’s interpretation.

F. The organization cannot afford to undertake OH and S objectives all at once.Financial constraints are not relevant to Clause 0.2; objectives can be prioritized for phased implementation.

ISO References:

Clause 0.2: Leadership commitment and alignment with organizational policy.

Clause 5.1: Top management’s role in leadership and participation.

Clause 6.2.1: Establishing OH and S objectives aligned with the policy.

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.

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

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)

Was he made aware of the hazards related to this work? → Clause 6.1.2.1:Clause 6.1.2.1 focuses on hazard identification. Organizations must identify hazards associated with work activities, such as operating a motorbike, and ensure workers are aware of these hazards.

Was he trained to use the new motorbike? → Clause 7.2:Clause 7.2 requires organizations to ensure that workers are competent to perform their assigned tasks, including providing necessary training for new equipment like a motorbike.

Was he asked to deliver too many orders in a short period of time? → Clause 8.2:Clause 8.2 relates to managing operational controls and ensuring that work processes do not impose undue risks, such as excessive workloads or time pressure.

Was he carrying any contact details in case of an accident? → Clause 7.3:Clause 7.3 requires effective communication of information relevant to OH and S, including emergency contact details or procedures for accidents.

ISO References:

Clause 6.1.2.1: Hazard identification.

Clause 7.2: Competence.

Clause 7.3: Awareness and communication.

Clause 8.2: Operational control.

The PDCA (Plan-Do-Check-Act) cycle is a core principle of ISO 45001 and many other management systems. It does not include environmental management, as ISO 45001 focuses on Occupational Health and Safety (OH and S), while environmental aspects are covered by ISO 14001.

Analysis of Options:

A. Treatment of Risks:Correct. Risk assessment and control are part of the Plan phase.

B. OHSMS Policy:Correct. The OH and S policy is established in the Plan phase.

C. Environment Management Program:Incorrect. This is outside the scope of ISO 45001 and pertains to ISO 14001.

D. Analyzing OHSMS Performance:Correct. Performance analysis occurs in the Check phase of the PDCA cycle.

ISO Reference:

Clause 0.3: PDCA model in ISO 45001.

In a first-party audit (internal audit), the organization conducts the audit to determine whether its management system conforms to planned arrangements, to the organization’s own requirements, and to the requirements of ISO 45001, and whether it is effectively implemented and maintained. ISO 45001 Clause 9.2 requires internal audits to provide information on conformity and effectiveness.

E. Verify compliance with regulatory requirements is a valid audit objective because ISO 45001 requires the organization to determine its legal and other requirements and to evaluate compliance with them. Internal audits commonly include verification that these legal OH and S obligations are being met as part of checking the effectiveness and conformity of the OH and S management system. This aligns with Clause 6.1.3 and Clause 9.1.2 of ISO 45001.

B. Complete the audit on time is also an audit objective in practical first-party auditing because audit objectives are established for the audit and supported by planning, resources, timing, and reporting arrangements. While it is not a system conformance criterion, it is a valid objective for the audit assignment itself, ensuring the audit is performed as planned and efficiently managed. This fits normal lead auditor practice in planning and conducting internal audits.

Why the other options are not correct:

A. Apply international standards is too broad and is not itself an audit objective. Standards are the criteria or reference, not the objective.

C. Confirm the scope of the management system is accurate is not usually stated as a first-party audit objective; scope is established by the organization under Clause 4.3, though it may be reviewed during audits.

D. Prepare the audit report for the certification body does not apply to a first-party audit, because internal audits are not performed for a certification body.

F. Update the management policy is a management responsibility, not an audit objective. Audits may identify inputs for policy review, but updating the policy is not the purpose of the audit itself.

Therefore, the two correct options are:

B, E

ISO 45001 Clause 5.2 explicitly requires the OH and S policy to be available as documented information, making A the correct statement. The policy must include commitments to provide safe and healthy working conditions, fulfil legal and other requirements, eliminate hazards and reduce OH and S risks, continually improve the OHSMS, and consult and ensure participation of workers. However, option B is incomplete because the prescribed commitment is to eliminate hazards and reduce OH and S risks, not merely to reduce risks in isolation. The policy must be communicated within the organisation and be available to interested parties as appropriate; this does not mean automatically supplying it to every conceivable stakeholder. Workers must be aware of the policy, but ISO 45001 does not prescribe formal policy-awareness training for every worker. The policy must also remain appropriate to the organisation ' s purpose, size and context.

2. Prepare the audit checklist, 3. Obtain objective evidence, 4. Review audit evidence, 5. Document findings

For a first-party audit, the sequence follows the normal audit flow described in ISO auditing guidance: first the audit is initiated and leadership is assigned, then audit activities are prepared, then evidence is collected during the audit, then that evidence is evaluated, then findings are recorded, and finally the audit report is issued. ISO 19011 describes the audit flow as initiating the audit, preparing audit activities, conducting audit activities, and preparing and distributing the audit report. (ISO)

That is why, after 1. Appoint an audit team leader, the next correct step is 2. Prepare the audit checklist. The checklist is part of preparing for the audit and helps the auditor plan questions, clauses, process interactions, and sampling points before going on to collect evidence. (WEDEAQ | Official VDA QMC Partner)

After preparation, the auditor moves to 3. Obtain objective evidence. Audit evidence is gathered through interviews, observation, and review of documented information during the audit. This is a core activity of conducting the audit. (DNV)

Once evidence is collected, the auditor must 4. Review audit evidence. ISO audit practice requires the evidence to be evaluated against the audit criteria to determine whether conformity or nonconformity exists. Evidence is not simply collected and reported immediately; it is first reviewed and assessed. (PRETESH BISWAS)

After reviewing the evidence, the auditor can 5. Document findings. Findings are the result of evaluating the evidence against criteria, so they logically come after evidence review. Recorded findings can include conformity, nonconformity, and opportunities for improvement, depending on the audit plan and method. (PRETESH BISWAS)

The final step is 6. Issue the report, because the report is prepared only after the audit evidence has been reviewed and the findings have been determined and documented. (ISO)

So, the correct full order is:

1. Appoint an audit team leader

2. Prepare the audit checklist

3. Obtain objective evidence

4. Review audit evidence

5. Document findings

6. Issue the report

According to ISO 45001:2018, the PDCA cycle is explained in Clause 0.4. The Act phase is defined as: taking actions to improve continually the OH and S performance in order to achieve the intended outcomes. This clearly supports C. Making improvements as a correct answer.

Option D. Resetting objectives is also appropriate because ISO 45001 requires OH and S objectives to be reviewed and updated as appropriate. After checking performance results, the organization may revise or reset objectives as part of continual improvement and corrective action. This aligns with the Act stage, where changes are made to improve system effectiveness and performance.

The remaining options belong to other PDCA phases:

A. Verifying training relates more to evaluation of competence and effectiveness, which fits checking activities.

B. Measuring objectives belongs to the Check phase because ISO 45001 says Check includes monitoring and measurement against OH and S policy and objectives.

E. Providing infrastructure belongs to the Do phase because it is part of providing resources and operational support.

F. Auditing processes belongs to the Check phase because internal audits are part of performance evaluation under Clause 9.2.

Therefore, the correct answer is:

C, D

An audit trail for evaluating compliance with regulations should focus on the identification, communication, and monitoring of legal and other requirements. Clause 9.1.2 of ISO 45001:2018 requires organizations to evaluate compliance with applicable OH and S legal and other requirements.

Analysis of Options:

A. What is the cost of repairing the wall?Irrelevant to compliance evaluation, as cost considerations are not part of legal compliance.

B. What hazards have been identified as being associated with regulations?Correct. Identifying hazards is a critical step in understanding compliance obligations (Clause 6.1.2).

C. How are maintenance staff made aware of regulatory requirements?Correct. Communication and training are vital for compliance (Clause 7.3).

D. How are OH and S objectives verified?Not directly relevant to compliance evaluations, as objectives pertain to performance improvement.

E. How are OHSMS records of compliance evaluations controlled and managed?Correct. Proper documentation and record-keeping are essential for demonstrating compliance (Clause 7.5).

F. How are updates to OH and S regulations monitored?Correct. Monitoring regulatory changes is critical for maintaining compliance (Clause 6.1.3).

G. How is the cost of safety improvements calculated?Irrelevant to compliance, as cost analysis is not required by ISO 45001.

H. What are the qualifications of the OHS Manager and Maintenance Manager?While competence is important, this does not directly relate to compliance evaluations.

I. What input does the Maintenance Manager have in the determination of legal compliance?Correct. Understanding the roles and responsibilities of key personnel ensures effective compliance (Clause 5.3).

J. What knowledge does the OHS Manager have in relevant safety legislation?Correct. Awareness of applicable legislation is critical for effective compliance evaluation (Clause 7.2).

ISO References:

Clause 9.1.2: Evaluation of compliance.

Clause 6.1.2: Hazard identification and risk assessment.

Clause 7.5: Documented information.

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

The auditor should assess whether the organization ' s planned action (using masks in case of dust extraction failure) is both implemented and effective. This aligns with ISO 45001 requirements to ensure that control measures are functional and meet the intended objectives.

Clause 8.1.2 (Hierarchy of Controls):The use of PPE, such as masks, is considered a last resort in the hierarchy of controls. The organization must demonstrate that the measure is:

Implemented (e.g., PPE is available and workers are trained to use it).

Effective (e.g., masks provide adequate protection against dust).

Analysis of Options:

A. Advise that the factory should cease operations if the dust extraction equipment malfunctioned.While ceasing operations may be a necessary control in extreme situations, it is not a practical or realistic recommendation unless a high-risk scenario cannot be otherwise managed.

B. Ask the OHSMS Manager to confirm regulatory compliance.Regulatory compliance is important but does not fully address the requirement to ensure the action is effective.

C. Seek evidence that the response action is both implemented and effective.This is the most appropriate response. The auditor must verify implementation and effectiveness to determine conformity.

D. Suggest increasing maintenance checks.Maintenance is important for preventing equipment breakdowns, but this option does not address the immediate audit finding about the adequacy of response actions.

ISO References:

Clause 8.1.2: Emphasizes applying the hierarchy of controls effectively.

Clause 9.1.1: Requires monitoring and measuring controls to ensure effectiveness.

ISO 45001 emphasizes the importance of worker participation, particularly non-managerial workers, in developing and improving the OH and 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).

A second-party audit is conducted by a party having an interest in the auditee—most commonly a customer auditing a supplier—or by another competent party acting on that interested party ' s behalf. Consequently, an auditor from a customer may perform the audit, and an external consultant may conduct it on the customer ' s behalf. Auditor training or professional credentials do not, by themselves, determine whether an audit is first-, second- or third-party. By contrast, a certification-body auditor performs independent third-party certification activities, while an accreditation-body auditor assesses conformity-assessment or certification bodies rather than functioning as a customer-side second-party auditor. Therefore, D and F are the two roles that do not correspond to participation in a normal second-party ISO management-system audit. ISO 19011 provides the overarching framework for internal and external management-system audits.

The three targeted responses conflict directly with core objective-setting and planning requirements. A is incorrect because ISO 45001 Clause 6.2.1 requires OH and S objectives to be monitored and updated as appropriate; objectives are not permanently fixed once approved. B is inconsistent because objectives must take account of applicable requirements and the results of the assessment of OH and S risks and opportunities. Objective setting therefore cannot deliberately disregard forward-looking risk and opportunity information. E conflicts with Clause 6.2.2, which requires the organisation, when planning how to achieve its OH and S objectives, to determine what will be done, required resources, responsible persons, completion timing, how results will be evaluated and how actions will be integrated into business processes. An informal discussion without defined implementation planning does not satisfy those requirements. Worker consultation and measurability where practicable are consistent with ISO 45001 ' s framework.

Option A reproduces the ISO management-system definition of an interested party: a person or organisation that can affect, be affected by, or perceive itself to be affected by a decision or activity. This concept is fundamental to ISO 45001 Clause 4.2 because an organisation must determine relevant interested parties and their relevant needs and expectations when establishing its OHSMS context. Examples can include workers, contractors, regulators, suppliers, customers, neighbouring communities and other stakeholders. Options B, C and D alter the defined relationship by substituting terms such as “influence,” “interfere” or limiting the concept to a third party. Those formulations do not match the standardized ISO terminology. The same standardized interested-party wording is published in ISO ' s terminology resources.

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.

Explanation

Prepares the audit report → Audit Team Leader:The Audit Team Leader is responsible for compiling and preparing the final audit report, summarizing findings and conclusions.

Prepares audit checklists for use during the audit → Auditor:Auditors create checklists to ensure a thorough and systematic evaluation during the audit.

Participates under the direction and guidance of an auditor → Auditor in Training:An auditor in training works under supervision to gain experience and contribute to the audit process.

Follows up on audit findings within an agreed timeframe → Auditee:The auditee is responsible for addressing and resolving audit findings and providing evidence of corrective actions.

A person who accompanies the audit team but does not act as an auditor → Observer:Observers are typically external parties or internal personnel who watch the audit process but do not participate actively.

Escorts the auditors but does not participate in the audit → Guide:A guide facilitates the audit by helping auditors navigate the site and access relevant areas or documents.

References

ISO 19011:2018: Guidelines for auditing management systems.