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

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.

The correct answers are E, F, and H .

This situation raises three serious concerns: impartiality , professional conduct , and the reliability of the audit conclusion . Third-party auditors are expected to act honestly and impartially, and accepting gifts from the auditee is inconsistent with that expectation. The IAF auditor code of conduct says auditors must be honest and impartial and must avoid conduct that discredits the profession. ( IAF )

E is correct because the audit team leader must first consider whether the alleged behavior could compromise the validity of the audit findings and conclusion . If that risk is significant, the matter should be escalated to the individual(s) managing the audit programme for direction, since certification audits must remain competent, consistent, and impartial. ( ISO )

F is correct because the team leader should gather specific facts and then give the auditor an opportunity to respond to the allegations before deciding the next step. That is the appropriate immediate management action and is consistent with fair handling of an issue that could affect audit integrity. The concern is too serious to ignore, but it should still be examined on evidence, not assumption. ( ISO )

H is also correct because, while the matter is being addressed, moving the auditor in training away from the auditor concerned is a sensible control to protect the trainee and the audit process. It helps reduce further disruption and prevents the trainee from being exposed to more inappropriate conduct during the remainder of the audit. This is a practical audit-management response flowing from the team leader’s responsibility to maintain control of the audit team and audit activities. ( ISO )

Why the other options are not correct:

A is too immediate and inappropriate. The auditor in training cannot simply replace a qualified auditor without proper competence and authorization being confirmed.

B is premature. The audit should not be terminated immediately without first assessing the facts and the impact on the audit.

C is clearly wrong because the issue could affect the integrity of the current audit and cannot wait until later.

D is wrong and unethical; the tickets should not be accepted by anyone on the audit team. ( IAF )

G is wrong because experience does not excuse unethical or unprofessional behavior.

ISO 45001 requires the organization to adapt the work to workers as part of operational planning and control. Clause 8.1.1(d) states that the organization shall plan, implement, control and maintain the necessary processes, including adapting the work to workers . Annex A.8.1.1 then gives examples, including: redefining how work is organized , redefining processes and work environments , and using ergonomic approaches in the design or modification of workplaces and equipment .

Based on that, D. Providing those who spend the majority of their working days on their computers with frequent breaks is a valid example because it adapts the organization of work to human needs and helps reduce strain and fatigue. This matches the Annex guidance about redefining how work is organized and using ergonomic approaches.

F. Amending a control station to facilitate handicapped workers is also a clear example. ISO 45001 specifically refers to using ergonomic approaches in the design of new workplaces/equipment or in modifying workplaces/equipment . Changing a control station to suit disabled workers is exactly the kind of ergonomic and workplace adaptation the standard is referring to.

G. Amending the start and finish times of processes to accommodate cultural practices is the third valid example, because Annex A.8.1.1 includes the definition or redefinition of how work is organized . Adjusting working times to suit workers’ needs is a direct way of adapting work organization to workers.

Why the others are not the best examples:

A is about competence, which relates more to Clause 7.2 Competence , not adapting work to workers.

B is not appropriate because if workers speak different languages and there are no subtitles , the communication is not being made understandable; ISO 45001 expects information to be comprehensible and identifies language barriers as participation barriers.

C relates to worker participation and consultation, not adapting work to workers.

E is good housekeeping/welfare, but not specifically an example of adapting work to workers in the sense used by ISO 45001 Annex A.8.1.1.

H relates to planning under Clause 6.1, not adapting work to workers.

Therefore, the three actual examples of adapting work to workers are:

D, F, G

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.

ISO 45001:2018 Clause 9.3.3 states that the outputs of management review shall include decisions related to:

the continued suitability, adequacy and effectiveness of the OH and S management system,

opportunities for continual improvement ,

any need for changes to the OH and S management system ,

resources needed ,

actions, if needed,

opportunities to improve integration of the OH and S management system with other business processes, and

any implications for the strategic direction of the organization.

Based on that, the six correct outputs are:

B. Procurement of new safety harnesses for workers

This is evidence of an action/resource decision arising from management review. It shows management has decided to provide resources or take action to improve OH and S performance.

D. Allocation of a bigger budget for the OHS department

This clearly matches resources needed , which is specifically listed as a management review output.

E. Plan to prioritise health and safety issues as a business strategy

This fits implications for the strategic direction of the organization , which ISO 45001 names as a management review output.

F. Decisions related to continual improvement opportunities

This is almost verbatim from Clause 9.3.3: management review outputs include decisions related to opportunities for continual improvement .

G. Improvements in the OHSMS

This reflects changes needed in the OH and S management system and resulting improvement actions. Where management review decisions lead to system improvements, those improvements are valid output evidence from the review.

J. Opportunities to integrate the OHS management system with other business processes

This is directly stated in Clause 9.3.3 as a required management review output.

Why the other four are not outputs:

A. Report showing the trend of an increase in safety incidents is an input to management review under performance information and trends, not an output.

C. Minutes of previous management reviews are also an input , because management review must consider the status of actions from previous reviews.

H. Worker feedback of positive and negative comments is an input , linked to consultation, participation, and relevant communications.

I. Updates to the risk register may result from actions elsewhere in the system, but they are not specifically identified in ISO 45001 as required management review outputs.

Therefore, the six statements that represent output audit evidence for management review are:

B, D, E, F, G, J

Analysis of Options:

A. Results of management review: Correct. Clause 9.3 requires retention of management review results as documented information.

B. Risks and opportunities: Incorrect. Risks and opportunities must be considered and managed, but retaining this as documented information is not mandatory.

C. Results of compliance evaluation: Correct. Clause 9.1.2 requires retention of compliance evaluation results.

D. Workers ' current level of competency: Incorrect. Competency must be ensured, but retaining specific competency records is not explicitly required.

E. Assigned responsibilities and authorities: Incorrect. These must be defined and communicated but are not required to be retained as documented information.

F. The relevant requirements of workers: Incorrect. Relevant worker requirements must be considered but not retained as documented information.

G. Effectiveness of corrective actions: Correct. Clause 10.2 requires retention of evidence of corrective actions taken.

H. OH and S Policy: Correct. Clause 5.2 requires the OH and S policy to be maintained as documented information.

ISO References:

Clause 5.2: OH and S policy.

Clause 9.1.2: Compliance evaluation.

Clause 9.3: Management review.

Clause 10.2: Corrective actions.

ISO 45001 Clause 7.2 Competence requires the organization to:

determine the necessary competence of workers that affect or can affect OH and S performance;

ensure workers are competent , including the ability to identify hazards ;

where applicable, take actions to acquire and maintain competence and evaluate the effectiveness of those actions; and

retain appropriate documented information as evidence of competence .

Based on that wording, C is clearly correct because the clause explicitly says workers must be competent, including having the ability to identify hazards . If there is no evidence of that ability, this directly supports a nonconformity against Clause 7.2.

F is also correct because Clause 7.2 requires the organization to determine the competence needed for roles and ensure workers meet it. If there is no evidence that workers’ knowledge and skills are assessed against role requirements , the organization cannot demonstrate that competence has been determined and verified.

H is the third correct answer because Clause 7.2 requires the organization to retain documented information as evidence of competence . Attendance on OH and S training is not, by itself, full proof of competence, but the absence of training records can still support a finding that the organization lacks documented evidence related to competence development and maintenance.

Why the others are not Clause 7.2 findings:

A belongs to Clause 7.3 Awareness , which requires awareness of the consequences of not conforming.

B also relates more to Clause 7.3 Awareness , which includes awareness of the ability to remove themselves from imminent and serious danger.

D is also Clause 7.3 Awareness , because workers must understand their contribution to the effectiveness of the OHSMS.

E relates to consultation and participation under Clause 5.4, not competence.

G refers to quality policy and objectives, which are not ISO 45001 OH and S competence requirements.

Audit objectives for the audit team focus on ensuring the audit process is executed effectively, efficiently, and without causing undue disruption to the organization being audited. ISO 19011:2018 provides guidance on setting audit objectives.

Analysis of Options:

A. To reduce instances of injury and ill health: Incorrect. This is an objective of the OH and S management system, not of the audit itself.

B. To minimise risk resulting from the audit process: Correct. ISO 19011 emphasizes managing risks to the auditee and the audit process during audits (Clause 5.4).

C. To improve overall health and safety performance: Incorrect. Improving health and safety performance is an outcome of the OH and S management system, not the audit team ' s objective.

D. To complete the audit on time: Correct. Ensuring timely completion of the audit aligns with effective audit management.

E. To implement any necessary corrective action: Incorrect. Implementing corrective actions is the auditee’s responsibility, not the audit team’s.

The auditor should assess whether the organization ' s planned action (using masks in case of dust extraction failure) is both implemented and effective. This aligns with ISO 45001 requirements to ensure that control measures are functional and meet the intended objectives.

Clause 8.1.2 (Hierarchy of Controls): The use of PPE, such as masks, is considered a last resort in the hierarchy of controls. The organization must demonstrate that the measure is:

Implemented (e.g., PPE is available and workers are trained to use it).

Effective (e.g., masks provide adequate protection against dust).

Analysis of Options:

A. Advise that the factory should cease operations if the dust extraction equipment malfunctioned. While ceasing operations may be a necessary control in extreme situations, it is not a practical or realistic recommendation unless a high-risk scenario cannot be otherwise managed.

B. Ask the OHSMS Manager to confirm regulatory compliance. Regulatory compliance is important but does not fully address the requirement to ensure the action is effective.

C. Seek evidence that the response action is both implemented and effective. This is the most appropriate response. The auditor must verify implementation and effectiveness to determine conformity.

D. Suggest increasing maintenance checks. Maintenance is important for preventing equipment breakdowns, but this option does not address the immediate audit finding about the adequacy of response actions.

ISO References:

Clause 8.1.2: Emphasizes applying the hierarchy of controls effectively.

Clause 9.1.1: Requires monitoring and measuring controls to ensure effectiveness.

Analysis of Options:

A. The organisation must attempt to identify and address every risk it faces: Incorrect. ISO 45001 focuses on OH and 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 and S hazards: Correct. Clause 6.1.2.2 requires organizations to assess OH and 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