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

Clause 4.4 of ISO 45001 requires organizations to establish, implement, maintain, and continually improve an OH&S management system. The corrective actions must address systemic issues, involve leadership commitment, and aim to foster a strong safety culture.

Analysis of Options:

A. Top management initiated a comprehensive review of internal and external issues:Correct. A review of internal and external issues aligns with Clause 4.1 and demonstrates leadership commitment.

B. Union representatives were invited to attend OH&S management meetings:Incorrect. While participation is valuable, it is not a systemic corrective action.

C. Top management developed and is leading a programme to promote an effective culture of support:Correct. Promoting a safety culture is a proactive measure and aligns with Clause 5.1 (Leadership).

D. Staff from departments with nonconformities received regular safety training during toolbox talks:Incorrect. While training addresses specific gaps, it does not address systemic issues.

E. External consultants conducted a gap analysis of the OHSMS:Incorrect. While helpful, this action does not demonstrate leadership or address systemic improvement.

F. OH&S champions were appointed in each department to report near misses and incidents:Incorrect. This is a good practice but does not directly address Clause 4.4’s requirement for systemic improvement.

ISO References:

Clause 4.4: Maintaining and improving the OH&S management system.

Clause 5.1: Leadership and commitment.

Clause 10.3: Continual improvement.

Audit reports should focus on objective evidence, observations, and findings relevant to the management system and the audit process. Personal opinions, unrelated remarks, or derogatory comments are inappropriate.

Analysis of Statements:

A. The guide was trying to be helpful and would not stop talking during the audit:Incorrect. This is irrelevant to the audit findings or conclusions.

B. The Sales Manager was kind and seems to be a nice person:Incorrect. Personal opinions about individuals are not appropriate in audit reports.

C. The audit client’s objectives for this audit were never realistic. That’s why we were unable to complete the audit plan:Correct. This is relevant as it relates to the audit process and highlights challenges in meeting objectives.

D. The maintenance team could not replace a lightbulb, let alone an air conditioning unit:Incorrect. This is derogatory and irrelevant to the audit report.

E. The OHS Management team were extremely helpful and went out of their way to facilitate access to required records:Correct. This is a valid observation about cooperation during the audit process.

F. The OHS Manager disagreed with me in respect of all of the nonconformances I raised. He still does not accept any of them:Incorrect. While disagreements may occur, this statement is overly subjective and not constructive.

G. The Production Manager is lucky to have a job as he does not appear to understand how anything works around here:Incorrect. Personal attacks or irrelevant judgments have no place in the report.

H. The Sales Manager said he had forgotten the password to the Sales Ordering system and so too had everyone else in his department:Correct. This relates to system access and could indicate a nonconformance or an opportunity for improvement.

ISO References:

ISO 19011:2018, Clause 6.7: Reporting audit results.

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

ISO References:

Clause 5.2: OH&S policy.

Clause 9.1.2: Compliance evaluation.

Clause 9.3: Management review.

Clause 10.2: Corrective actions.

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

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&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&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&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.

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&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&S process are focused on efficiency:Irrelevant. Efficiency is not the primary focus of an OH&S audit.

ISO References:

ISO 19011:2018, Clause 6.6.1: Conducting the closing meeting.

ISO 45001:2018, Clause 9.2: Internal audit requirements.