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

According to Clause 3.32 of ISO 45001:2018, an audit is defined as a systematic, independent, and documented process for obtaining objective evidence and evaluating it to determine the extent to which audit criteria are fulfilled.

This involves assessing the effectiveness of health and safety measures implemented in the organization ' s OH and S management system.

Analysis of Options:

A. A systematic process to assess the risks in a workplace:Incorrect. While audits may include risk assessments, the purpose is broader and involves evaluating the entire OH and S management system.

B. An evaluation of the effectiveness of health and safety measures:Correct. This aligns with the definition of an audit as per ISO 45001:2018.

C. A legal requirement to comply with health and safety standards:Incorrect. An audit is not necessarily a legal requirement but a process to assess conformity.

D. A document that outlines safety procedures and guidelines:Incorrect. An audit is a process, not a document.

ISO Reference:

Clause 3.32: Audit definition.

Clause 5.1 of ISO 45001:2018 requires top management to demonstrate leadership and commitment to the OH and S management system. This includes awareness of the OH and S policy and its objectives.

Analysis of Options:

A. As a member of the management team, the Deputy College Principal is not aware of the OHSMS policy:Correct. A lack of awareness of the policy reflects poor leadership commitment, which violates Clause 5.1.

B. OH and S improvement is not possible due to the lack of awareness of the OHSMS:Incorrect. While improvement may be hindered, this is not the main issue in this scenario.

C. The Deputy College Principal is not competent to manage the OHSMS:Incorrect. The Deputy’s competence to manage the OHSMS is not in question; the issue is their lack of awareness of key elements.

D. The OH and S policy only exists as a document in the College Principal’s office:Incorrect. The policy may be accessible but not effectively communicated or understood by management.

ISO References:

Clause 5.1: Leadership and commitment.

Clause 5.2: OH and S policy.

Hazard: A potential source of harm or adverse health effects.

Risk: The likelihood of harm occurring as a result of the hazard.

Danger: An immediate threat that requires urgent action.

Analysis of Options:

A. Conference room emergency sign directs people to an exit that is no longer available for use (Hazard):Correctly identified as a hazard since it poses a potential risk during emergencies.

B. The carpet on the main staircase is peeling off (Risk):This is a hazard, not a risk, as it represents a source of potential harm.

C. The emergency light in the gift shop did not work when checked (Risk):This is a hazard because it is a condition that could lead to a risk during emergencies.

D. The fire extinguishers in the Natural World area have not been serviced in the last five years (Risk):Correctly identified as a risk because the likelihood of fire-related harm increases without proper servicing.

E. The head of the dinosaur suspended over the main hall has become detached from the rest of the skeleton (Risk):This is a hazard, not a risk, as it represents a potential source of harm.

F. The non-slip mats have been removed from the restaurant (Risk):This is a hazard, not a risk.

G. There is a high possibility of unfit food being sold due to the failure of the oven temperature indicator in the visitors ' restaurant (Hazard):This is a risk because it specifies the likelihood of harm occurring (selling unfit food).

H. There is a water leak next to the electric heater in the admissions area (Danger):Correctly identified as a danger because it represents an immediate and critical threat.

ISO References:

Clause 6.1.2: Hazard identification and assessment of risks and opportunities.

These four actions develop meaningful audit trails from the evidence already obtained. Reviewing safety-awareness training tests whether the organisation ' s claimed control is competently implemented. Comparing incident data with shopper numbers provides a meaningful performance measure rather than relying on raw incident totals, consistent with Clause 9.1.1. Reviewing hazard identification specifically for escalators evaluates conformity with Clause 6.1.2, because recurring escalator incidents indicate a hazard requiring systematic consideration. Finally, checking incident investigations tests Clause 10.2 requirements to react to incidents, determine causes and identify corrective actions necessary to prevent recurrence. A zero-incident policy is not an ISO 45001 requirement, retail tenants do not have to be independently certified, and questioning top management ' s knowledge of the standard would not directly investigate the observed incident trend. The Centre Manager ' s qualifications are similarly secondary to evaluating actual system effectiveness.

ISO 45001 emphasizes the importance of worker participation, particularly non-managerial workers, in developing and improving the OH and S management system. Clause 5.4 outlines specific areas where their involvement is crucial.

Analysis of Options:

A. Determining competence requirements:Incorrect. Competence requirements are primarily determined by management but may involve feedback from workers.

B. Determining how to fulfil legal requirements:Incorrect. Management typically handles compliance with legal requirements.

C. Determining controls on outsourced processes:Incorrect. This is a management responsibility.

D. Managing the internal audit programme:Incorrect. Workers participate in audits, but managing the program is a management task.

E. Determining what needs to be communicated:Incorrect. Communication strategies are usually set by management.

F. Determining actions to eliminate hazards:Correct. Non-managerial workers ' input is vital in identifying and eliminating workplace hazards (Clause 8.1.2).

G. Establishing the OHS policy:Correct. Workers’ participation in policy development ensures it is relevant and inclusive (Clause 5.2).

H. Establishing OHS objectives:Correct. Workers’ participation ensures that objectives are practical and aligned with workplace realities (Clause 6.2).

The best answer is B.

Under ISO 45001, worker consultation and participation is required by Clause 5.4, but the standard does not require a specific documented procedure for that clause. The organization must provide mechanisms, information, time, training, and resources for consultation and participation, but ISO 45001 does not say it must maintain a formal procedure specifically for this.

Also, ISO 45001 Clause 7.5.3 requires documented information to be controlled so that it is available and suitable for use, and adequately protected. An “obsolete” document is not automatically a nonconformity just because it exists. It may be retained for reference or historical reasons, provided the organization controls it properly and it is not being used unintentionally as current information. That is why the correct audit reaction is to note it and verify on site whether it is actually part of the current controlled documented information.

Why the other options are not the best:

A is weak because using an obsolete procedure to prepare the checklist risks relying on invalid information before confirming what the current controlled version is.

C is unnecessary as the first response. You already have enough evidence to note a potential document-control point and verify it during the audit.

D is incorrect because you should not raise a nonconformity before verifying the facts on site. An obsolete-marked document alone does not prove a breach of Clause 7.5.3. A nonconformity must be based on objective evidence gathered during the audit.

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.

A nonconformity is raised against the organisation ' s management system and applicable audit criteria, not personally against an individual manager or top management as a separate auditee. ISO 45001 Clause 5.1 makes top management accountable for ensuring that resources needed for the OHSMS are available, while Clause 7.1 explicitly requires the organisation to determine and provide resources needed for establishing, implementing, maintaining and continually improving the OHSMS. If sufficient objective evidence demonstrates that these requirements have not been fulfilled, a nonconformity is appropriate. However, its wording should identify the organisational failure and the relevant requirement, supported by objective evidence. Option A incorrectly assumes resource adequacy cannot be audited, while D incorrectly treats top management personally as the object of the nonconformity. Additional evidence can be useful, but B does not address the fundamental issue.

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.