Pass the PECB ISO 45001 ISO-45001-Lead-Auditor Questions and answers with CertsForce

Stage 1 is the readiness and preliminary assessment stage of an initial certification audit. Its purposes include reviewing relevant management-system documented information, assessing site-specific conditions and determining whether the organisation is sufficiently prepared for Stage 2. Any weaknesses that could become nonconformities during Stage 2 can therefore be communicated as areas of concern, making C correct. Option A is incorrect because ISO 19011 provides auditing guidance; the formal two-stage certification requirements are established through ISO/IEC 17021-1. Option B describes the more extensive Stage 2 assessment, where effective implementation and conformity are evaluated. Option D is also incorrect because discussions with client personnel form part of Stage 1 readiness determination. ISO 45001 Lead Auditor training material explicitly identifies Stage 1 areas of concern that could become Stage 2 nonconformities.

ISO 45001 emphasizes worker participation and engagement at all levels of the organization to support continuous improvement (Clause 5.4 and Clause 10.3). Continuous improvement requires input from everyone, including workers who identify hazards, report incidents, and contribute to safety enhancements.

Analysis of Options:

A. Everyone, at all levels of the company:Correct. Clause 5.4 explicitly includes all levels of the organization in consultation and participation, fostering continuous improvement.

B. Top management and senior officers only:Incorrect. While top management plays a crucial role in leadership, ISO 45001 extends the responsibility for participation to all levels.

C. Top management, senior officers, and designated safety representatives only:Incorrect. Limiting participation to designated representatives excludes a significant portion of the workforce from the improvement process.

D. Top management only:Incorrect. While top management must lead and commit to continuous improvement, their involvement alone is insufficient under ISO 45001.

ISO References:

Clause 5.4: Worker consultation and participation.

Clause 10.3: Continual improvement.

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.

ISO 45001:2018 requires a holistic approach to occupational health and safety. This means considering all aspects that could impact worker well-being, not just obvious physical hazards. The correct answer encompasses work activities (the tasks themselves), workplace design (the physical environment), and human factors (psychological and social aspects like working hours and harassment). It ' s the most comprehensive and aligned with the standard ' s philosophy

ISO 45001:2018, Clause 6.1.2, outlines requirements for hazard identification. Hazards to consider include work activities, workplace design, human factors, and social factors that may impact OH and S. These go beyond traditional physical risks and include psychosocial and organizational hazards.

Analysis of Options:

A. Work activities, workplace design, and human factors such as hours of work and bullying and harassment:Correct. This comprehensively addresses hazard categories outlined in ISO 45001, Clause 6.1.2.

B. Work activities where there is the possibility of danger:Too general. ISO 45001 includes broader categories of hazards, including those related to organizational and social factors.

C. Hot-work, working at height, enclosed space entry, and work on electrical equipment:Too narrow. These are specific hazards but do not encompass the full range outlined in ISO 45001.

D. Work hazards and environmental factors such as bad weather:Incomplete. While environmental factors are relevant, ISO 45001 also includes workplace design, human factors, and psychosocial hazards.

ISO References:

Clause 6.1.2.1: Hazard identification.

Annex A.6.1.2: Examples of hazard categories, including workplace design and human factors.

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 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.

The three targeted responses conflict directly with core objective-setting and planning requirements. A is incorrect because ISO 45001 Clause 6.2.1 requires OH and S objectives to be monitored and updated as appropriate; objectives are not permanently fixed once approved. B is inconsistent because objectives must take account of applicable requirements and the results of the assessment of OH and S risks and opportunities. Objective setting therefore cannot deliberately disregard forward-looking risk and opportunity information. E conflicts with Clause 6.2.2, which requires the organisation, when planning how to achieve its OH and S objectives, to determine what will be done, required resources, responsible persons, completion timing, how results will be evaluated and how actions will be integrated into business processes. An informal discussion without defined implementation planning does not satisfy those requirements. Worker consultation and measurability where practicable are consistent with ISO 45001 ' s framework.

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 correct responses are C and D.

Certification bodies are required to have documented procedures for determining audit time and to determine the time needed to plan and accomplish a complete and effective audit. Audit duration is not something that can simply be shortened because the client asks for less disruption. ISO/IEC 17021-1 requires the certification body to determine audit time through its documented process, and the justification for the duration must be recorded. (IAS)

IAF MD 5 also states that certification bodies shall identify the audit time for each client and that this framework is used within the certification body’s processes to determine the appropriate audit time, taking into account the specifics of the client organization. That means the request may be considered, but it does not have to be accepted. (IAF)

Therefore:

C. Advise that his request will be considered but may not be taken up is correct, because the certification body can review the request, but the final decision must still comply with its audit-time rules and adequacy requirements. (IAF)

D. Advise the OHS Manager that the audit duration and team make-up will be decided in line with the internal procedures of the certification body is correct, because ISO/IEC 17021-1 requires the certification body to use documented procedures for audit time and team decisions. (IAS)

Why the other options are incorrect:

A is inappropriate because the request is not automatically a reason to tell the client to choose another certification body.

B is incorrect because the request cannot simply be accepted without following the certification body’s rules. (IAS)

E is too absolute; the request should be considered against the certification body’s requirements, not rejected automatically. (IAF)

F is unnecessary because the people managing the audit programme already have the responsibility to handle such matters through the certification body’s procedures. (IAS)