Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Clause 6.1.2 of ISO 45001:2018 emphasizes the identification of hazards and assessment of risks, and Clause 5.4 highlights the importance of consultation and communication among roles. The auditor's role includes verifying conformity to these clauses through evidence gathering and observation.

Analysis of Options:

A. The auditor should advise the organization to get rid of the walled area.This is outside the scope of an auditor’s role, which is to observe and report findings, not to dictate specific actions.

B. The auditor should ask the Maintenance Manager to conduct a safety survey.While safety surveys are useful, asking the Maintenance Manager to conduct one is not the auditor’s responsibility.

C. The auditor should check the lines of communication between the OHS Manager and Maintenance Manager.This aligns with ISO 45001:2018, Clause 5.4, as communication gaps may have contributed to the situation.

D. The auditor should check whether the organization has identified the safety hazards associated with the walled area.Clause 6.1.2 requires hazard identification. The auditor must determine whether this has been done.

E. The auditor should consider surveying more areas of the site for other potentially unsafe situations.Broadening the audit scope to identify additional risks is a good practice in line with Clause 9.2.2.

F. The auditor should demand that the Maintenance Manager deals with the wall.Demanding action is not within the auditor’s authority. The auditor should raise findings instead.

G. The auditor should raise a nonconformity against ISO 45001.While this may be appropriate depending on evidence, raising a nonconformity is not a replacement for good audit practices.

H. The auditor should refer the organization to health and safety authorities.This step is extreme and should only occur if there is an imminent danger and no action is being taken.

ISO References:

Clause 6.1.2: Hazard identification and risk assessment.

Clause 5.4: Worker consultation and participation.

Clause 9.2.2: Internal audit program and execution.

The PDCA (Plan-Do-Check-Act) model is a continuous improvement framework used in ISO 45001 and other management systems.

Plan: Establish objectives and processes to deliver results in line with the OH&S policy.

Do: Implement the processes.

Check: Monitor and measure processes against the policy, objectives, and requirements.

Act: Take actions to continually improve the system's performance.

Analysis of Options:

A. Plan, Do, Check, Act:Correct. This is the standard PDCA cycle.

B. Plan, Do, Check, Ask:Incorrect. "Ask" is not part of the cycle.

C. Plan, Deliver, Control, Achieve:Incorrect. This is not the PDCA cycle.

D. Prepare, Deliver, Control, Assess:Incorrect. This deviates from the PDCA framework.

ISO Reference:

Clause 0.3: PDCA model.

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.

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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&S.

Assessment of OH&S risks → Clause 6.1.2.2:Clause 6.1.2.2 mandates the organization to assess OH&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&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&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&S.

Clause 6.1.3: Compliance obligations.

Clause 8.1.4.2: Control of external providers.

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Analysis of Each Option:

Major nonconformities are raised when there is a systemic failure to meet ISO 45001 requirements that could lead to significant risks.

Analysis of Options:

B. Lack of a documented process for controlling outsourced work (8.1.4.3):Major nonconformity. A failure to control outsourced work is a serious systemic issue.

C. Failure to include OH&S policy in contractor contracts (5.2.f):Not a major nonconformity. While this is a nonconformity, it is procedural and not critical.

D. No hazard assessment for installation works (6.1.2.2):Major nonconformity. A lack of hazard assessment for site-specific tasks is a serious issue.

E. Missing safety data sheets for contractor chemicals (8.1.4.2):Not a major nonconformity. While important, this issue does not indicate systemic failure.

G. Chemical hazards on installation sites not referenced in the hazard list (6.1.2.2):Major nonconformity. This reflects a failure in hazard identification and risk assessment.

H. Internal audit program does not cover installation sites (9.2.2):Not a major nonconformity. This is a gap in auditing scope but does not directly endanger safety.

I. Safe use of chemicals left to contractors:Not a major nonconformity. This could be addressed through improved contractor oversight rather than indicating systemic failure.

ISO References:

Clause 8.1.4.3: Control of outsourced processes.

Clause 6.1.2.2: Hazard identification and risk assessment.

Clause 7.4.1: 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.