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

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 9.3 of ISO 45001:2018 defines inputs for management review, which must include information on performance trends, feedback, risks, and opportunities for improvement.

Analysis of Options:

A. Allocation of a bigger budget for the OHS department: This is an output of management review, not an input.

B. Decisions on improvements in the OHSMS: This is an output, not an input.

C. Decisions related to continual improvement opportunities: This is an output, not an input.

D. Procurement of new safety harnesses for workers: This is an operational action, not an input for management review.

E. Proposal to prioritize health and safety issues as a business strategy: Proposals may be discussed during review, but they are outputs.

F. Report showing the trend of an increase in safety incidents: Correct. This is a valid input that informs system performance.

G. Updates to the risk register: Correct. Risk updates are required inputs under Clause 6.1.2.

H. Worker feedback of positive and negative comments: Correct. Feedback is an essential input per Clause 5.4 and Clause 9.3.

ISO References:

Clause 9.3: Management review inputs.

Clause 5.4: Worker consultation and participation.

Clause 5.4 of ISO 45001:2018 emphasizes the importance of worker consultation and participation in the OHS management system. It requires organizations to establish processes that ensure workers are actively involved in decision-making and implementation of OHS practices.

Analysis of Options:

A. Promoting collaborating workers to higher positions: While promotions may boost morale, they do not directly contribute to worker consultation and participation in the OHSMS.

B. Appointing worker representatives: This action fosters direct communication and representation of workers ' interests in health and safety matters.

C. Conducting toolbox talks on health and safety: Toolbox talks are an effective way to engage workers in discussing and addressing health and safety issues.

D. Giving ownership of health and safety matters: Involving workers in decision-making and giving them responsibility for specific health and safety tasks encourages participation.

E. Ignoring workers ' suggestions: This undermines consultation and is contrary to ISO 45001 principles.

F. Implementing a payment scheme to reward workers ' OHS performance: While incentives can motivate safe behavior, they are not a consultation or participation mechanism as required by Clause 5.4.

G. Implementing methods for engaging workers: This aligns directly with Clause 5.4, as effective engagement methods (e.g., surveys, focus groups) enhance participation.

H. Threatening reprisals to whistleblowers: This violates ISO 45001 principles and discourages worker participation.

ISO References:

Clause 5.4: Worker consultation and participation.

Clause 5.1: Leadership’s responsibility to foster participation.

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.

Clause 10.2 of ISO 45001 pertains to Nonconformity and Corrective Action . Organizations are required to evaluate incidents, investigate their causes, and implement effective corrective actions to prevent recurrence.

Issue Identified: The incidents in the five old shops are related to VOC emissions from outdated equipment, leading to staff and customer health concerns. This indicates inadequate risk management and failure to act on known safety issues.

Analysis of Options:

A. Display an emergency phone number. This is a reactive approach and does not address the root cause of the issue, i.e., VOC emissions. It also does not align with ISO 45001’s emphasis on preventive measures.

B. Evaluate and update the PPE requirements. While PPE is important, relying solely on PPE without addressing the root cause (emission of VOCs) is insufficient. PPE is considered the last line of defense under the hierarchy of controls.

C. Reassess the OH and S risks associated with the laundry process in the five old shops. This option aligns with ISO 45001, Clause 8.1.2, and Clause 10.2, as it emphasizes reassessing risks and taking steps to mitigate them. A thorough risk assessment could lead to interim measures such as process improvements or administrative controls until the equipment is replaced.

D. Review the current safety procedures. While reviewing safety procedures is useful, it does not address the specific nonconformity related to the equipment’s inability to operate safely.

Best Action: Reassessing the risks in the five shops (Option C) ensures a comprehensive review of the hazards posed by outdated equipment, leading to appropriate preventive and corrective actions.

ISO References:

Clause 10.2: Requires identifying and addressing nonconformities to prevent recurrence.

Clause 8.1.2: Emphasizes the hierarchy of controls and risk assessment as a foundation for mitigating hazards.

Audit objectives for the audit team focus on ensuring the audit process is executed effectively, efficiently, and without causing undue disruption to the organization being audited. ISO 19011:2018 provides guidance on setting audit objectives.

Analysis of Options:

A. To reduce instances of injury and ill health: Incorrect. This is an objective of the OH and S management system, not of the audit itself.

B. To minimise risk resulting from the audit process: Correct. ISO 19011 emphasizes managing risks to the auditee and the audit process during audits (Clause 5.4).

C. To improve overall health and safety performance: Incorrect. Improving health and safety performance is an outcome of the OH and S management system, not the audit team ' s objective.

D. To complete the audit on time: Correct. Ensuring timely completion of the audit aligns with effective audit management.

E. To implement any necessary corrective action: Incorrect. Implementing corrective actions is the auditee’s responsibility, not the audit team’s.

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.

Analysis of Options:

A. Results of management review: Correct. Clause 9.3 requires retention of management review results as documented information.

B. Risks and opportunities: Incorrect. Risks and opportunities must be considered and managed, but retaining this as documented information is not mandatory.

C. Results of compliance evaluation: Correct. Clause 9.1.2 requires retention of compliance evaluation results.

D. Workers ' current level of competency: Incorrect. Competency must be ensured, but retaining specific competency records is not explicitly required.

E. Assigned responsibilities and authorities: Incorrect. These must be defined and communicated but are not required to be retained as documented information.

F. The relevant requirements of workers: Incorrect. Relevant worker requirements must be considered but not retained as documented information.

G. Effectiveness of corrective actions: Correct. Clause 10.2 requires retention of evidence of corrective actions taken.

H. OH and S Policy: Correct. Clause 5.2 requires the OH and S policy to be maintained as documented information.

ISO References:

Clause 5.2: OH and S policy.

Clause 9.1.2: Compliance evaluation.

Clause 9.3: Management review.

Clause 10.2: Corrective actions.

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.

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.

The correct answer is D .

ABC states that it has implemented one single OH and S management system for both plants . Once a single management system covers both sites, the certification body has to determine and audit the scope of the management system being operated , not an artificially narrowed commercial scope. IAF MD 1 says a multi-site organization has a single management system , and the certification body must confirm that a single management system is deployed and determine the scope of the management system being operated . It also says the certification document must reflect the scope of certification and the sites/legal entities covered by that multi-site certification. ( IAF )

The argument that XYZ is “just a supplier” does not solve the problem. IAF MD 5 makes an important distinction: where an external provider is only a supplier, the certification body audits the organization’s control of the supplied activity, not the performance of the activity itself . But here, XYZ is not outside the management system; ABC has already said both plants are inside one single OHSMS . So XYZ cannot simply be treated as an external supplier for certification-scoping purposes. ( IAF )

This is also consistent with the multi-site certification rules that do not allow an organization to exclude covered sites just to avoid certification consequences. IAF MD 1 explicitly says it is not admissible to exclude a problematic site from scope during certification, and the certification documents must show the sites covered by the certified system. While this example is about a “problematic” site, the principle is the same: once the site is part of the single management system, it cannot be carved out simply for convenience or marketing. ( IAF )

Therefore, as a third-party auditor, you should not agree to audit only the food plant while ignoring the packaging plant if both are included in the same ISO 45001 management system.

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.

Ethical – C

Diplomatic – F

Open to improvement – B

Perceptive – E

These behaviours are standard auditor personal attributes used in lead auditor training and are aligned with audit competence guidance.

Ethical – C. Fair, truthful, sincere, honest, discreet

An ethical auditor acts with integrity. This includes honesty, truthfulness, sincerity, fairness, and discretion when handling audit evidence, findings, and confidential information. Ethical behaviour is essential because audit conclusions must be trusted and based on professional conduct.

Diplomatic – F. Tactful in dealing with individuals

A diplomatic auditor interacts with people carefully and respectfully. During audits, questions may be sensitive, findings may be difficult to communicate, and interviewees may feel pressure. Being tactful helps maintain cooperation and supports effective evidence gathering.

Open to improvement – B. Willing to learn from situations

An auditor who is open to improvement learns from audit experience, changing conditions, and new information. This behaviour supports continual development and better audit effectiveness over time.

Perceptive – E. Aware of and able to understand situations

A perceptive auditor recognizes what is happening in the audit environment and understands the significance of what is seen, heard, and observed. This helps the auditor detect inconsistencies, identify risks, and understand process realities beyond prepared answers.

Why the other options are not used here:

A. Persistent and focused on objectives describes tenacious behaviour.

D. Actively observing surroundings/activities describes observant behaviour.

So the correct matching is:

Ethical – C

Diplomatic – F

Open to improvement – B

Perceptive – E

Corrections address immediate issues, such as errors or omissions, without addressing root causes. Clause 10.2 of ISO 45001:2018 allows for corrections alongside corrective actions.

Analysis of Options:

A. Adding a missing signature to a corrective action record: Correct. This is a correction addressing an administrative oversight.

B. Changing a process to reduce its inherent risk: Incorrect. This is a corrective action aimed at addressing root causes, not a correction.

C. Changing the name of a tutor that did not deliver a course to the name of the tutor that did: Correct. This corrects an error in records without addressing systemic issues.

D. Reviewing workers’ training records: Incorrect. This is part of ongoing monitoring or auditing, not a correction.

E. Updating the emergency preparedness plan as a result of carrying out a practical test: Incorrect. This is a corrective action resulting from performance evaluation, not a correction.

F. Using OHSMS induction training to address an identified lack of OHSMS awareness among workers: Incorrect. This is a preventive or corrective action, not a correction.

ISO References:

Clause 10.2: Nonconformity and corrective action.

Clause 7.5: Control of documented information

A first-party audit is an internal audit . In ISO management system auditing terminology, first-party audits are performed by, or on behalf of, the organization itself to evaluate its own management system. Therefore, E. Internal audit is directly correct.

A first-party audit can also be carried out as a process audit when the organization audits one of its own processes to determine whether it is planned, implemented, maintained, and effective. Since internal audits under ISO 45001 are planned and conducted over processes, functions, and areas within the OH and S management system, D. Process audit also applies.

Why the other options are not correct:

A. Certification audit is a third-party audit , carried out by a certification body, not a first-party audit.

B. Surveillance audit is also a third-party certification body activity conducted after certification.

C. Regulatory audit is performed by a regulator or authority, not by the organization on itself.

F. External audit does not describe a first-party audit, because first-party audits are internal by definition.

Therefore, the two phrases that apply to a first-party audit are:

D, E

The three correct responses are A, B, and G .

A is correct because ISO 45001 Clause 5.3 requires top management to ensure that the responsibilities and authorities for relevant roles are assigned, communicated and understood at all levels within the organization , and that they are maintained as documented information . So if top management asks whether responsibilities and authorities for relevant roles have to be documented, the correct answer is yes .

B is correct because Clause 5.1 Leadership and commitment requires top management to ensure that the resources needed to establish, implement, maintain and improve the OH and S management system are available . Therefore, the auditor’s “Yes, you do” is correct.

G is correct because Clause 5.1 also requires top management to promote continual improvement . This is stated directly as part of top management leadership and commitment responsibilities under ISO 45001.

Why the others are not correct:

C is incorrect because top management does have to ensure that processes are established for consultation and participation of workers . Clause 5.4 makes this a requirement, so “No, you do not” is wrong.

D is incorrect as written. Top management must establish, implement and maintain the OH and S policy, but ISO 45001 does not state that top management personally has to “write” it. The wording in the option is too specific and not how the standard states the requirement.

E is incorrect because top management does have to ensure that the OH and S management system achieves its intended results. Clause 5.1 says this directly.

F is incorrect because top management must ensure OH and S objectives are established and compatible with the strategic direction, but ISO 45001 does not require top management personally to “write” the objectives.

H is incorrect because the organization must determine the scope under Clause 4.3 , and top management remains accountable for the OH and S management system. Saying “No, you do not” is not correct in this context.

Clause 5.2 of ISO 45001:2018 outlines requirements for the OH and S policy, emphasizing commitment to continual improvement, compliance with legal requirements, and communication of the policy to interested parties.

Analysis of Options:

A. The management is committed to health and safety improvement: Correct. The policy explicitly states the organization’s commitment to improvement, meeting Clause 5.2 requirements.

C. The organization has a good reputation for safe experiences: Not relevant to ISO 45001 requirements; reputation is not a policy criterion.

D. The organization intends to communicate its policy to external parties: Correct. Clause 5.2 requires the policy to be communicated to interested parties.

E. The organization is committed to continual health and safety improvement: Correct. This directly aligns with Clause 5.2, which mandates continual improvement.

F. The organization meets all statutory requirements: The policy does not explicitly state compliance with legal requirements, even though this is implied.

G. The organization satisfies its customers’ health and safety requirements: The policy does not specifically address customer requirements.

H. The organization uses contractors committed to health and safety: Not stated in the policy.

I. The organization’s processes deliver the intended improvement to health and safety: This is not evident from the policy statement.

ISO References:

Clause 5.2: OH and S policy.

The correct answers are D, F, H .

ISO 19011 guidance on generating audit findings says that nonconformities can be graded depending on the context of the organization and its risks . That directly supports D , because any grading should reflect the risk the nonconformity presents to the organization. The same guidance also says this grading can be quantitative (for example 1 to 5) or qualitative (for example minor/major) , which makes F correct. Because the wording is “can be graded” , grading is optional rather than mandatory, so H is also true. ( Synersia Foundation )

Why the other options are not true:

A is not a requirement in ISO 19011. An organization may define grading rules in its audit programme or procedure, but there is no rule that grading must be agreed with the individual(s) managing the audit programme. ( ISO )

B is false. ISO 19011 does not recommend that top management grade nonconformities. Audit findings are generated by auditors based on objective evidence and audit criteria. ( ISO )

C is false. A second-party audit team does not have to adopt the auditee’s grading system. The grading approach can follow the auditing organization’s own rules and purpose for the audit. ( ISO )

E is false. Additional documented information at the closing meeting does not mean the grading must be changed. The evidence should be reviewed, but unresolved issues may simply remain recorded in the audit report. ( Synersia Foundation )

G is false. There is no requirement that extra grading categories must be agreed with the auditee before the closing meeting. The auditee should understand the findings, but the grading framework is not something ISO 19011 requires to be negotiated at that point. ( ISO )

The PDCA cycle (Plan-Do-Check-Act) is a core framework in ISO 45001 for continual improvement of the OH and S management system. An Environmental Management Program is part of ISO 14001 (Environmental Management System) and not ISO 45001.

Analysis of Options:

A. Treatment of Risks: Correct. Risk treatment is part of the Plan phase.

B. OHSMS Policy: Correct. The policy is developed in the Plan phase.

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

D. Analyzing OHSMS Performance: Correct. Performance analysis is part of the Check phase.

ISO References:

Clause 0.3: PDCA framework in ISO 45001.

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 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.