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.

Analysis of Options:

A. The organisation must attempt to identify and address every risk it faces:Incorrect. ISO 45001 focuses on OH and S risks and not every risk faced by the organization.

B. The effect of uncertainty (i.e. risk) can result in positive outcomes as well as negative ones:Correct. Clause 3.20 defines risk as the " effect of uncertainty, " which may result in positive or negative outcomes.

C. Although organisations are required to carry out risk management, the method by which they do so is up to them:Correct. ISO 45001 does not prescribe specific risk management methods, leaving the organization to choose the approach that best suits its context (Clause 6.1.2).

D. Risk assessment is an activity that must be carried out by top management:Incorrect. Risk assessment can involve workers and other personnel; it is not limited to top management.

E. The organisation is required to assess risks arising from OH and S hazards:Correct. Clause 6.1.2.2 requires organizations to assess OH and S risks associated with hazards.

F. Risk is often expressed as a combination of likelihood and impact:Correct. This is a common way to express risk, aligned with Clause 6.1.2.

ISO References:

Clause 3.20: Definition of risk.

Clause 6.1.2: Hazard identification and risk assessment

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 Clause 7.2 Competence requires the organization to:

determine the necessary competence of workers that affect or can affect OH and S performance;

ensure workers are competent, including the ability to identify hazards;

where applicable, take actions to acquire and maintain competence and evaluate the effectiveness of those actions; and

retain appropriate documented information as evidence of competence.

Based on that wording, C is clearly correct because the clause explicitly says workers must be competent, including having the ability to identify hazards. If there is no evidence of that ability, this directly supports a nonconformity against Clause 7.2.

F is also correct because Clause 7.2 requires the organization to determine the competence needed for roles and ensure workers meet it. If there is no evidence that workers’ knowledge and skills are assessed against role requirements, the organization cannot demonstrate that competence has been determined and verified.

H is the third correct answer because Clause 7.2 requires the organization to retain documented information as evidence of competence. Attendance on OH and S training is not, by itself, full proof of competence, but the absence of training records can still support a finding that the organization lacks documented evidence related to competence development and maintenance.

Why the others are not Clause 7.2 findings:

A belongs to Clause 7.3 Awareness, which requires awareness of the consequences of not conforming.

B also relates more to Clause 7.3 Awareness, which includes awareness of the ability to remove themselves from imminent and serious danger.

D is also Clause 7.3 Awareness, because workers must understand their contribution to the effectiveness of the OHSMS.

E relates to consultation and participation under Clause 5.4, not competence.

G refers to quality policy and objectives, which are not ISO 45001 OH and S competence requirements.

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.

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.

The correct answers are B and D.

In certification audits, the certification body decides the audit team composition and audit time using its own documented procedures and competence requirements. ISO/IEC 17021-1 requires the certification body to determine the competencies needed for the audit team and to assign an audit team that is competent for the audit scope. It also requires the certification body to determine the audit time needed to plan and accomplish a complete and effective audit.

IAF MD 5 further explains that the certification body should consider the composition and size of the audit team to ensure audit effectiveness. This means a client request for “only one auditor” may be considered, but it cannot simply be accepted just to reduce travel costs if that would undermine competence, coverage, or effectiveness.

Therefore:

B is correct because the OHS Manager should be told that audit duration and team make-up are decided in line with the certification body’s internal procedures.

D is correct because the request can be considered, and the certification body can respond after applying its rules and competence requirements.

Why the other options are incorrect:

A is not the best answer because the people managing the audit programme already operate within the certification body’s process.

C is inappropriate; a client request does not justify telling them to use another certification body.

E is incorrect because the accreditation body does not decide the audit team for the client’s audit.

F is incorrect because the request cannot be automatically accepted based only on cost saving.