Exemplar Global OHSMS Lead Auditor flashcards

32 cards. Read the term and the definition here. The deck at the top of this page is optional.

Harmonized Structure clauses

ISO 45001 uses clauses 4 to 10: context, leadership and worker participation, planning, support, operation, performance evaluation, and improvement. Auditors map evidence to these clause requirements.

Consultation versus participation

Consultation means seeking workers' views before a decision; participation means workers are involved in decision-making. Clause 5.4 requires both, with evidence of worker involvement.

Hierarchy of controls

Order of control effectiveness: eliminate the hazard, substitute, engineering controls and work reorganization, administrative controls including training, then PPE as last resort. Auditors verify controls follow this order.

Documented information control

Clause 7.5 requires documented information to be identified, formatted, reviewed and approved, and controlled for distribution, access, retrieval, retention and disposition. Auditors sample version control and availability.

Risk versus opportunity

Risk combines likelihood and severity of injury or ill health from a hazard. OH&S opportunity is a circumstance that can lead to improved OH&S performance, assessed separately under 6.1.2.2.

Audit definition

A systematic, independent and documented process for obtaining objective evidence and evaluating it objectively against audit criteria. Consulting or advising is not auditing.

Audit programme

A set of one or more audits planned for a specific time frame and directed at a specific purpose. It is managed to ensure risk-based scheduling and adequate resourcing.

Third-party audit

An audit conducted by an external independent organization, such as a certification body, for certification, surveillance or recertification purposes. It is distinct from first- and second-party audits.

Audit principles

ISO 19011 principles: integrity, fair presentation, due professional care, confidentiality, independence, evidence-based approach, and risk-based approach. They guide auditor conduct and conclusions.

Surveillance audit frequency

Surveillance audits are conducted at least once a year after initial certification, except where justified otherwise. Recertification is required before certificate expiry, typically every three years.

Auditor competence elements

Competence includes audit principles and methods, management system knowledge, organizational context and sector knowledge, generic auditor skills, and discipline-specific OH&S knowledge. It is evaluated through education, training and experience.

Technical expert role

A technical expert provides specialized knowledge to the audit team but does not act as an auditor. The expert is accompanied by an auditor, who remains responsible for findings.

Lead auditor responsibilities

The lead auditor plans and manages the audit, represents the team, allocates tasks, leads the team to conclusions, and prevents or resolves conflicts. The lead also finalizes the report.

Auditor ethical conduct

Auditors act with honesty, confidentiality, discretion, independence and impartiality. They avoid gifts or benefits that could influence judgment and disclose conflicts of interest.

Audit criteria

The set of requirements used as a reference against which objective evidence is compared. For OH&S audits these include ISO 45001, legal requirements and organizational requirements.

Audit scope versus objectives

Objectives state what the audit is intended to accomplish; scope defines boundaries such as functions, activities, sites and time period. Both are confirmed at the opening meeting.

Documentation review purpose

Review of documented information in preparation determines conformity with criteria and informs planning. It supplements, but does not replace, on-site evidence gathering.

Audit plan contents

The audit plan includes objectives, scope, criteria, dates, locations, expected time and duration, roles, and resource allocation. It is communicated to auditees and may be adjusted.

Objective evidence

Verifiable information, records, statements of fact or other information relevant to audit criteria. Evidence must be traceable and recorded to support findings and conclusions.

Opening meeting purpose

The opening meeting confirms the audit plan, scope, criteria, communication arrangements and resource availability. It also reminds auditees that the audit uses sampling.

Sampling limitation

Audits use samples, so absence of a finding does not prove absence of nonconformity. This limitation should be stated in the audit report.

Interview technique

Ask open questions, listen actively, avoid leading questions, sample across shifts and levels, and verify statements against records and observation. This strengthens the reliability of evidence.

Hazard identification scope

Hazard identification covers routine and non-routine activities, emergency situations, human factors, changes and past incidents. Risk assessment then determines likelihood and severity.

Legal and other requirements

Clause 6.1.3 requires determining legal and other requirements and how they apply. These include legislation, regulations, collective agreements and voluntary commitments.

Compliance evaluation

Clause 9.1.2 requires evaluating compliance with legal and other requirements at planned intervals and retaining evidence of the results. Auditors verify the evaluation and its outputs.

Contractor OH&S control

Clause 8.1.4 requires controls ensuring contractors and outsourced processes meet the organization's OH&S requirements. Auditors verify procurement and contractor management arrangements.

Nonconformity definition

Non-fulfillment of a requirement. Nonconformities are classified by severity and type and must state the requirement, the objective evidence and the significance.

Major nonconformity indicators

A major nonconformity typically indicates systemic failure, absence of a required process or control, or significant OH&S risk or legal noncompliance. Minor indicates an isolated lapse.

Observation versus nonconformity

An observation or opportunity for improvement is not a nonconformity. It should be clearly distinguished in the report and not used to inflate findings.

Corrective action verification

Verification checks whether corrective action was implemented and is effective in preventing recurrence. Implementation alone is not sufficient for closure.

Audit completion criteria

The audit is complete when all planned audit activities have been carried out or otherwise justified and the audit report is distributed per the audit programme.

Conflict management in audits

Address disagreements with evidence, focus on criteria and facts, escalate unresolved issues to the lead auditor, and record unresolved disagreements in the report.