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

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

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&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&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&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

Analysis of Options:

A. The organisation must attempt to identify and address every risk it faces:Incorrect. ISO 45001 focuses on OH&S risks and not every risk faced by the organization.

B. The effect of uncertainty (i.e. risk) can result in positive outcomes as well as negative ones:Correct. Clause 3.20 defines risk as the "effect of uncertainty," which may result in positive or negative outcomes.

C. Although organisations are required to carry out risk management, the method by which they do so is up to them:Correct. ISO 45001 does not prescribe specific risk management methods, leaving the organization to choose the approach that best suits its context (Clause 6.1.2).

D. Risk assessment is an activity that must be carried out by top management:Incorrect. Risk assessment can involve workers and other personnel; it is not limited to top management.

E. The organisation is required to assess risks arising from OH&S hazards:Correct. Clause 6.1.2.2 requires organizations to assess OH&S risks associated with hazards.

F. Risk is often expressed as a combination of likelihood and impact:Correct. This is a common way to express risk, aligned with Clause 6.1.2.

ISO References:

Clause 3.20: Definition of risk.

Clause 6.1.2: Hazard identification and risk assessment

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Clause 5.2 of ISO 45001:2018 outlines requirements for the OH&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&S policy.

Follow-up audits verify that corrective actions have been implemented effectively and address the root cause of the nonconformities.

Analysis of Options:

A. Review the latest emergency response drill report:Correct. This verifies whether emergency response processes are functional and effective.

B. Check if the internal audit schedule was revised:Incorrect. While beneficial, this is not directly related to closing out the nonconformity.

C. Check safety data sheets for completeness:Incorrect. While this ensures compliance, it is not directly related to verifying corrective actions.

D. Check if revised procedures were signed off:Correct. This confirms that changes were properly documented and approved.

E. Determine whether an updated risk assessment was carried out:Correct. Risk assessments confirm the effectiveness of new controls.

F. Inspect areas for safe chemical storage and handling:Correct. Direct observation ensures that corrective actions are implemented effectively.

G. Interview staff on revised emergency procedures:Incorrect. While important, this does not directly address the effectiveness of corrective actions for chemical storage.

H. Interview the OH&S Manager about additional objectives:Incorrect. This is unrelated to the specific nonconformities raised.

ISO References:

Clause 10.2.2: Verification of corrective actions.

Clause 8.1.2: Hazard identification and controls.

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.