Free Practice Questions for PECB ISO-45001-Lead-Auditor Exam

In a first-party audit (internal audit), the organization conducts the audit to determine whether its management system conforms to planned arrangements, to the organization’s own requirements, and to the requirements of ISO 45001, and whether it is effectively implemented and maintained. ISO 45001 Clause 9.2 requires internal audits to provide information on conformity and effectiveness.

E. Verify compliance with regulatory requirements is a valid audit objective because ISO 45001 requires the organization to determine its legal and other requirements and to evaluate compliance with them. Internal audits commonly include verification that these legal OH and S obligations are being met as part of checking the effectiveness and conformity of the OH and S management system. This aligns with Clause 6.1.3 and Clause 9.1.2 of ISO 45001.

B. Complete the audit on time is also an audit objective in practical first-party auditing because audit objectives are established for the audit and supported by planning, resources, timing, and reporting arrangements. While it is not a system conformance criterion, it is a valid objective for the audit assignment itself, ensuring the audit is performed as planned and efficiently managed. This fits normal lead auditor practice in planning and conducting internal audits.

Why the other options are not correct:

A. Apply international standards is too broad and is not itself an audit objective. Standards are the criteria or reference, not the objective.

C. Confirm the scope of the management system is accurate is not usually stated as a first-party audit objective; scope is established by the organization under Clause 4.3, though it may be reviewed during audits.

D. Prepare the audit report for the certification body does not apply to a first-party audit, because internal audits are not performed for a certification body.

F. Update the management policy is a management responsibility, not an audit objective. Audits may identify inputs for policy review, but updating the policy is not the purpose of the audit itself.

Therefore, the two correct options are:

B, E

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.

Opportunities for improvement (OFIs) are suggestions provided during audits that do not indicate nonconformities but are aimed at enhancing the system’s performance.

Analysis of Options:

A. A quality control program could involve non-destructive testing of the welded handrails: While beneficial, this focuses on product quality rather than OH and S improvements.

B. Operational planning activities may benefit from an improved risk-based approach based on international standards for risk management: Correct. Enhancing risk-based thinking aligns with Clause 6.1.1.

C. A first aid station could be located next to the handrail polishing operation: While useful, first aid station placement is an operational matter, not directly related to OH and S management system improvement.

D. Additional internal audits of the OHS management system may reduce production problems: Internal audits should address system performance, not production problems.

F. The induction program for new employees could include an awareness training video on health and safety: Correct. Enhanced training for new employees addresses Clause 7.2 (competence).

G. The requirement for wearing protective gloves could be extended to shop floor workers across all operations: Correct. This improves hazard control in line with Clause 8.1.2.

H. The molding polishers should be disciplined for incompetency: Disciplinary actions are outside the scope of system improvement.

ISO References:

Clause 6.1.1: Risk management.

Clause 7.2: Competence.

Clause 8.1.2: Hierarchy of controls.

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, E, and G .

G is true because ISO 19011 states that a closing meeting should be held to present the audit findings and conclusions . This applies to audits generally, not only third-party audits. ( Oshisis )

E is true because ISO 19011 guidance says that for some audit situations the closing meeting may be formal, but in other instances, such as internal audits, the closing meeting can be less formal and may simply consist of communicating the findings and conclusions. That means a first-party closing meeting is commonly less formal than a third-party certification closing meeting. ( Synersia Foundation )

B is also true . ISO 19011 and related guidance allow the use of remote methods / ICT in audit activities, and remote audit methods may be combined with on-site methods. From that, it follows that the audit team leader may arrange for audit team members to join activities such as the closing meeting virtually , where appropriate and controlled. This is an inference from the permitted use of ICT in audits. ( ISO )

Why the others are false:

A is false because the closing meeting is for presenting findings and conclusions, not for changing findings simply because the auditee is unhappy. Findings can be clarified, but not changed without objective evidence. ( Oshisis )

C is false because there is no rule that the audit team must meet formally immediately after the closing meeting to consider recommendations.

D is false because ISO 19011 says some closing meetings may be formal and recorded, but internal audits can be less formal, so they do not always have to be documented in that way. ( Synersia Foundation )

F is false because the audit team leader is responsible for managing the audit team and assigning roles.

H is false because the closing meeting should be chaired by the audit team leader , not by the audit client. ( Oshisis )