Exam ISO-45001-Lead-Auditor Topic 3 Question 28 Discussion
Actual exam question for PECB's ISO-45001-Lead-Auditor exam
Question #: 28
Topic #: 3
Question #: 28
Topic #: 3
You are auditing the purchasing process of Shelf-Fit, an organisation that designs, manufactures and installs interiors for retail stores. They always employ subcontractors for the installation work.
As an audit team member, you ask the Purchase Manager about the identification of health and safety hazards for contractors on site. Having previously reviewed the hazards list (HZD-21/11 Rev.3), you found that various health and safety hazards were listed but none were associated with contractors working on site.
When you ask about the use of contractors, the response is, " We know that contractors use chemicals, such as glues, paints and varnishes. We trust them since they know more than we do about safe handling of such issues " .
The auditor made the same enquiry to an accompanying member of the health and safety team and was told that chemical safety had never been a problem with the installation process.
You raise a nonconformance against clause 8.1.4.2 of ISO 45001.
At the closing meeting, the audit team leader presents the findings of the audit and comes to the above nonconformity. The OHS Manager presents the auditors with an email from all the current contractors confirming that they always carried out a site risk assessment. He asks that the nonconformity be withdrawn.
Which two of the following responses of the audit team leader would be acceptable?
As an audit team member, you ask the Purchase Manager about the identification of health and safety hazards for contractors on site. Having previously reviewed the hazards list (HZD-21/11 Rev.3), you found that various health and safety hazards were listed but none were associated with contractors working on site.
When you ask about the use of contractors, the response is, " We know that contractors use chemicals, such as glues, paints and varnishes. We trust them since they know more than we do about safe handling of such issues " .
The auditor made the same enquiry to an accompanying member of the health and safety team and was told that chemical safety had never been a problem with the installation process.
You raise a nonconformance against clause 8.1.4.2 of ISO 45001.
At the closing meeting, the audit team leader presents the findings of the audit and comes to the above nonconformity. The OHS Manager presents the auditors with an email from all the current contractors confirming that they always carried out a site risk assessment. He asks that the nonconformity be withdrawn.
Which two of the following responses of the audit team leader would be acceptable?
Suggested Answer: E,F Vote an answer
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.
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.
by Lee at May 27, 2026, 02:03 PM
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