ISO-45001-Lead-Auditor PECB Certified ISO 45001 Lead Auditor Exam Questions and Answers

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

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.

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.

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Analysis of Each Option:

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

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.

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&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&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.

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Clause 10.2 of ISO 45001 pertains to Nonconformity and Corrective Action. Organizations are required to evaluate incidents, investigate their causes, and implement effective corrective actions to prevent recurrence.

Issue Identified:The incidents in the five old shops are related to VOC emissions from outdated equipment, leading to staff and customer health concerns. This indicates inadequate risk management and failure to act on known safety issues.

Analysis of Options:

A. Display an emergency phone number.This is a reactive approach and does not address the root cause of the issue, i.e., VOC emissions. It also does not align with ISO 45001’s emphasis on preventive measures.

B. Evaluate and update the PPE requirements.While PPE is important, relying solely on PPE without addressing the root cause (emission of VOCs) is insufficient. PPE is considered the last line of defense under the hierarchy of controls.

C. Reassess the OH&S risks associated with the laundry process in the five old shops.This option aligns with ISO 45001, Clause 8.1.2, and Clause 10.2, as it emphasizes reassessing risks and taking steps to mitigate them. A thorough risk assessment could lead to interim measures such as process improvements or administrative controls until the equipment is replaced.

D. Review the current safety procedures.While reviewing safety procedures is useful, it does not address the specific nonconformity related to the equipment’s inability to operate safely.

Best Action:Reassessing the risks in the five shops (Option C) ensures a comprehensive review of the hazards posed by outdated equipment, leading to appropriate preventive and corrective actions.

ISO References:

Clause 10.2: Requires identifying and addressing nonconformities to prevent recurrence.

Clause 8.1.2: Emphasizes the hierarchy of controls and risk assessment as a foundation for mitigating hazards.

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

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&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&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.

Major nonconformities are raised when there is a systemic failure to meet ISO 45001 requirements that could lead to significant risks.

Analysis of Options:

B. Lack of a documented process for controlling outsourced work (8.1.4.3):Major nonconformity. A failure to control outsourced work is a serious systemic issue.

C. Failure to include OH&S policy in contractor contracts (5.2.f):Not a major nonconformity. While this is a nonconformity, it is procedural and not critical.

D. No hazard assessment for installation works (6.1.2.2):Major nonconformity. A lack of hazard assessment for site-specific tasks is a serious issue.

E. Missing safety data sheets for contractor chemicals (8.1.4.2):Not a major nonconformity. While important, this issue does not indicate systemic failure.

G. Chemical hazards on installation sites not referenced in the hazard list (6.1.2.2):Major nonconformity. This reflects a failure in hazard identification and risk assessment.

H. Internal audit program does not cover installation sites (9.2.2):Not a major nonconformity. This is a gap in auditing scope but does not directly endanger safety.

I. Safe use of chemicals left to contractors:Not a major nonconformity. This could be addressed through improved contractor oversight rather than indicating systemic failure.

ISO References:

Clause 8.1.4.3: Control of outsourced processes.

Clause 6.1.2.2: Hazard identification and risk assessment.

Clause 7.4.1: Communication requirements.

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.

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

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.