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

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.

ISO 45001 Clause 5.2 OH and S policy requires top management to establish, implement and maintain an OH and S policy that includes a commitment to provide safe and healthy working conditions, fulfill legal and other requirements, and achieve continual improvement of the OH and S management system. It also requires the policy to be communicated within the organization and to be available to interested parties, as appropriate .

B. The management is committed to health and safety improvement is correct because the policy states: “Continual health and safety improvement is a permanent objective of the organisation.” That clearly demonstrates commitment to improvement, which aligns with Clause 5.2.

C. The organisation intends to communicate its policy to external parties is correct because the policy says: “Where required, the policy shall be communicated to all interested parties.” This matches the ISO 45001 requirement that the OH and S policy be available to interested parties, as appropriate.

G. The organisation is committed to continual health and safety improvement is also correct because the statement explicitly says: “Continual health and safety improvement is a permanent objective of the organisation.” This directly reflects the requirement for continual improvement in the OH and S policy.

Why the other options are not supported by the policy statement:

A is not correct because the policy expresses intent to work in accordance with regulations, but it does not prove the organization meets all statutory requirements in practice.

D is not correct because the policy does not provide evidence of reputation.

E is not correct because the policy does not prove that processes actually deliver improvement; it only states commitment.

F is not correct because the policy mentions contractors, but it does not prove that contractors themselves are committed to health and safety.

H is not correct because the policy mentions safe experiences and customers, but it does not prove that customer health and safety requirements are satisfied.

Therefore, the three options for which the organization is meeting ISO 45001 policy requirements are:

B, C, G

Analysis of Options:

A. Integrated Management System: Correct. An Integrated Management System (IMS) combines multiple standards like ISO 45001, ISO 14001, and ISO 9001, addressing environment management as part of the integration.

B. ISO 14501: Incorrect. ISO 14501 pertains to milk and milk products, not environmental management.

C. ISO 45001: Incorrect. ISO 45001 focuses on Occupational Health and Safety, not environmental management.

D. ISO 14001: Correct. ISO 14001 is the primary standard for Environmental Management Systems.

ISO References:

ISO 14001: Environment Management Systems.

Integrated Management Systems: Combines standards like ISO 14001 and 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 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 )

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 answer is A. Audit findings that pose a significant health and safety risk.

In management system auditing practice, the audit team leader is expected to maintain communication with the auditee during the audit, especially when serious issues are identified. Where audit evidence indicates a significant risk , this should be communicated without waiting for the closing meeting , so the organization can take prompt action if needed. ISO guidance on conducting audits emphasizes communication during the audit and presentation of findings and conclusions at the closing meeting, while serious risks are handled immediately rather than being delayed. ( ISO )

Why the other options are not correct:

B. The outcome of the audit, including the conclusion is normally communicated at the closing meeting , not before it. ( Advisera )

C. Diverging opinions within the audit team are internal audit team matters. Only unresolved issues relevant to audit results may be raised appropriately, but internal team differences are not the key information to communicate beforehand.

D. Performance of individual workers when responding to health and safety-related questions is not the purpose of audit reporting. A management system audit evaluates the system and its implementation, not individual worker appraisal.

Therefore, the information that should be communicated to the auditee before the closing meeting is:

A. Audit findings that pose a significant health and safety risk.

Audit reports should provide a clear summary of the audit process, findings, and conclusions based on the defined scope, objectives, and criteria. They do not include administrative details (e.g., invoices) or operational aspects (e.g., corrective action plans).

Analysis of Options:

A. A copy of the certification body invoice for the audit: Incorrect. Invoices are unrelated to the content of audit reports and are handled separately.

B. A reference to the audit criteria used: Correct. Audit criteria (e.g., ISO 45001 standards) must be included in the report to define the basis for the audit.

C. A statement of the audit objectives: Correct. The report must outline the objectives to ensure clarity on the purpose of the audit.

D. Audit findings and any related evidence: Correct. Findings and evidence are essential to support conclusions and recommendations.

E. Confirmation of the audit scope: Correct. The scope defines the boundaries of the audit and must be documented in the report.

F. Contact details for all members of the audit team: Incorrect. Personal contact details are unnecessary and not typically included in reports.

G. The audit conclusions reached: Correct. Conclusions summarize the outcomes of the audit, such as conformity, nonconformities, or recommendations.

H. A corrective action plan that addresses the identified nonconformities: Incorrect. Corrective action plans are the auditee ' s responsibility and not included in the audit report.

ISO References:

ISO 19011:2018, Clause 6.7.3: Content of audit reports.

The closing meeting of a second-party audit focuses on the findings, conformance to agreed requirements, and areas for improvement. ISO 19011:2018 provides guidance on closing meetings, stating that the results of the audit, including conformity with criteria, must be reviewed and agreed upon.

Analysis of Options:

A. The names and email addresses of attendees at the closing meeting: Irrelevant. Attendance details are not part of the audit discussion.

B. The extent of the auditee’s documented information system: While relevant during the audit, it is not typically a focus in the closing meeting.

C. The extent to which the auditee is conforming to OH and S requirements in supply contracts: Correct. Second-party audits often assess compliance with contractual requirements.

D. The extent to which the auditee conforms to ISO 45001 requirements: Correct. The core purpose of the audit is to evaluate conformity to ISO 45001.

E. The nature of the trading relationship between the organizations: Correct. The trading relationship often shapes the scope and context of second-party audits.

F. Whether the audit has correctly performed in current contracts with other customers: Irrelevant. The focus is on the specific audit, not contracts with other customers.

G. Whether the work instructions for a specific OH and S process are focused on efficiency: Irrelevant. Efficiency is not the primary focus of an OH and S audit.

ISO References:

ISO 19011:2018, Clause 6.6.1: Conducting the closing meeting.

ISO 45001:2018, Clause 9.2: Internal audit requirements.

ISO 45001 Clause 8.1.3 Management of change states that the organization must establish processes for the implementation and control of planned temporary and permanent changes that impact OH and S performance . It also says this includes new products, services and processes , and changes to existing products, services and processes . That makes A true. It also supports B , because the clause is specifically about changes that impact the organization’s OH and S performance .

Statement E is also true. If the organization decides, after an emergency preparedness and response exercise, that it needs to change part of the OHSMS to improve OH and S performance, then that change has to be implemented in a controlled way under the organization’s management-of-change process. ISO 45001 links emergency preparedness with improvement and requires changes impacting OH and S performance to be controlled.

Why the others are false:

C is false because ISO 45001 does not limit management of change to planned changes only. It says the organization must also review the consequences of unintended changes and take action to mitigate adverse effects.

D is false because Clause 8.1.3 does not require retaining documented information of all changes . The clause requires establishing processes for implementation and control, but it does not state a blanket requirement to retain documented information for every change.

F is false because developments in knowledge and technology are explicitly included in management of change, not excluded.

G is false because changes are not limited to those identified by the organization itself; the clause also includes changes in legal and other requirements , and changes in knowledge or information about hazards and risks .

H is false because ISO 45001 explicitly says management of change applies to temporary and permanent planned changes.