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

ISO 45001 defines "documented information" as information required to be controlled and maintained by an organization. This can include policies, procedures, records, or other relevant data in any format (Clause 3.19). It encompasses all information used to establish, operate, and demonstrate the effectiveness of the OH&S management system.

Analysis of Options:

A. Any paperwork generated when the system is in operation:Incorrect. This is too narrow and excludes digital or other formats.

B. Any information about the system, or generated by it, held in any format:Correct. This aligns with the ISO 45001 definition in Clause 3.19.

C. Paperwork such as Permits to Work and risk assessments:Incorrect. These are examples of documented information but do not encompass the full scope of the term.

D. The master copies of the documents used to operate the system, held in any format:Incorrect. This definition is limited to master copies, while documented information includes records as well.

ISO References:

Clause 3.19: Definition of documented information.

Clause 7.5: Control of documented information.

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

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.

A screenshot of a computer Description automatically generated

Explanation

Prepares the audit report → Audit Team Leader:The Audit Team Leader is responsible for compiling and preparing the final audit report, summarizing findings and conclusions.

Prepares audit checklists for use during the audit → Auditor:Auditors create checklists to ensure a thorough and systematic evaluation during the audit.

Participates under the direction and guidance of an auditor → Auditor in Training:An auditor in training works under supervision to gain experience and contribute to the audit process.

Follows up on audit findings within an agreed timeframe → Auditee:The auditee is responsible for addressing and resolving audit findings and providing evidence of corrective actions.

A person who accompanies the audit team but does not act as an auditor → Observer:Observers are typically external parties or internal personnel who watch the audit process but do not participate actively.

Escorts the auditors but does not participate in the audit → Guide:A guide facilitates the audit by helping auditors navigate the site and access relevant areas or documents.

References

ISO 19011:2018: Guidelines for auditing management systems.

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

ISO 45001 requires organizations to identify and maintain documentation to demonstrate compliance with legal and other requirements (Clause 7.5 and Clause 9.1.2). It also requires the evaluation and control of outsourced processes (Clause 8.1.4.3).

Analysis of Options:

A. The park did not have the required documentation to demonstrate compliance with legal requirements:Correct. The outdated and incomplete inspection report (8 years old, lacking detailed identification) fails to demonstrate compliance with health and safety legislation.

B. The organization did not monitor the safety checks by staff of equipment:Incorrect. While there is a potential gap in monitoring, the evidence provided does not directly indicate a lack of monitoring of staff checks.

C. The inspection organization employed by the insurance organization was not evaluated:Correct. ISO 45001 requires the organization to evaluate outsourced services, including those provided by the inspection body, to ensure their adequacy.

D. The park relied on the insurance organization to evaluate its OHS risks:Incorrect. Reliance on external evaluations may not constitute a nonconformity if risks are properly managed, but there is no evidence provided for noncompliance here.

E. Testing to determine the safe loading of equipment was not carried out:Incorrect. While load testing is crucial, there is no evidence presented to confirm this specific issue as a nonconformity.

ISO References:

Clause 7.5: Control of documented information.

Clause 8.1.4.3: Control of outsourced processes.

Clause 9.1.2: Evaluation of compliance.

The PDCA cycle (Plan-Do-Check-Act) is a core framework in ISO 45001 for continual improvement of the OH&S management system. An Environmental Management Program is part of ISO 14001 (Environmental Management System) and not ISO 45001.

Analysis of Options:

A. Treatment of Risks:Correct. Risk treatment is part of the Plan phase.

B. OHSMS Policy:Correct. The policy is developed in the Plan phase.

C. Environment Management Program:Incorrect. This is outside the scope of ISO 45001 and relates to ISO 14001.

D. Analyzing OHSMS Performance:Correct. Performance analysis is part of the Check phase.

ISO References:

Clause 0.3: PDCA framework in ISO 45001.

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Clause 8.1.2 of ISO 45001 pertains to Eliminating Hazards and Reducing OH&S Risks. Organizations must implement appropriate controls to manage workplace hazards effectively.

Issue Identified:The kitchen environment at the audited site presents multiple hazards, including:

Oil spillage creating a slip hazard.

Open drums of waste material posing a chemical or hygiene hazard.

Unsecured knives and cleavers increasing the risk of cuts.

Boiling water left unattended, posing a risk of burns.

Lack of visible fire extinguishers or fire blankets, increasing fire risk.

Analysis of Options:

A. Failure to reduce risks associated with working in the kitchen.This option accurately captures the broader failure to implement effective measures to eliminate or reduce hazards across multiple areas in the kitchen.

B. Measures to prevent slippage in the kitchen from waste cooking oil were not taken.This is specific to one hazard (oil spillage) and does not address other significant risks observed, such as fire safety or sharp tools.

C. Staff are at risk of serious injury while working in the kitchen.While true, this is more of a general observation and does not address the root cause of the hazards or the failure of controls.

D. Training of the kitchen staff was not effective enough to prevent poor safety awareness in the kitchen area.Although training deficiencies may contribute to the issue, this option does not reflect the overarching systemic failure to manage hazards effectively.

Best Description of the Nonconformance:Failure to reduce risks associated with working in the kitchen (Option A) is the most comprehensive finding, reflecting the organization’s lack of adequate controls to mitigate hazards.

ISO References:

Clause 8.1.2: Organizations must establish controls to eliminate or minimize OH&S risks systematically.

Clause 7.2: Ensuring competency through training is important but must be coupled with hazard control measures.

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.