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

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 The outdated and incomplete inspection report (8 years old, lacking detailed identification) fails to demonstrate compliance with health and safety legislation.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 correct answers are D and F.

In audit interviewing practice, open questions are mainly used to get explanation, description, and insight, while closed questions are used to confirm specific facts or verify that the auditor’s understanding is correct. Guidance on audit interviews says auditors should rely mainly on open questions for expanded responses and use closed questions to confirm answers. (The Auditor)

That is why D. To confirm conformity or a non-conformity finding is correct. Once the auditor has gathered evidence, a closed question can be used to verify a precise point, confirm whether a requirement has or has not been met, or make sure the factual basis of a conformity/nonconformity is accurate before recording the finding. ISO 19011 also states that nonconformities and supporting audit evidence should be reviewed with the auditee so the evidence is accurate and understood. (Synersia Foundation)

F. To check that your understanding of a situation is correct is also correct. Closed questions are especially useful at the end of a discussion to confirm the auditor’s interpretation of what was said or observed. This is a standard interview technique in auditing. (Designing Buildings)

Why the other options are not correct:

A. To obtain an overview of how a task is performed is better done with open questions, because the auditor needs explanation and sequence. (The Auditor)

B. To establish communication with the auditee with a view to building trust is usually done through general conversation and open dialogue, not mainly through closed questioning. (The Auditor)

C. To gain greater insight into the operation of a process also requires open questions. (The Auditor)

E. To follow your audit trail generally needs probing and exploratory questions, which are typically open rather than closed. (The Auditor)

These four actions develop meaningful audit trails from the evidence already obtained. Reviewing safety-awareness training tests whether the organisation ' s claimed control is competently implemented. Comparing incident data with shopper numbers provides a meaningful performance measure rather than relying on raw incident totals, consistent with Clause 9.1.1. Reviewing hazard identification specifically for escalators evaluates conformity with Clause 6.1.2, because recurring escalator incidents indicate a hazard requiring systematic consideration. Finally, checking incident investigations tests Clause 10.2 requirements to react to incidents, determine causes and identify corrective actions necessary to prevent recurrence. A zero-incident policy is not an ISO 45001 requirement, retail tenants do not have to be independently certified, and questioning top management ' s knowledge of the standard would not directly investigate the observed incident trend. The Centre Manager ' s qualifications are similarly secondary to evaluating actual system effectiveness.

Conducting the interview virtually is the most appropriate response because it preserves the planned audit activity, enables the General Manager to provide the required evidence and avoids unnecessary disruption to the surveillance audit. Remote audit methods are legitimate when the required information can be accessed effectively and confidentiality, connectivity and other audit risks are appropriately managed. Replacing the General Manager with other managers could prevent the auditor from obtaining evidence specifically associated with that person ' s leadership responsibilities. Delaying only that interview until the following week would leave the current audit incomplete, while postponing the entire audit is disproportionate when a practical remote method is available. ISO guidance expressly recognizes physical and virtual audit locations, and ISO/IEC TS 17012 provides dedicated guidance for remote methods in first-, second- and third-party management-system audits.

The available audit evidence demonstrates that the organisation has recognised the hazards arising from the equipment change and has implemented an appropriate temporary control: restaurant 2 is closed to the public until replacement equipment is installed and personnel are trained. ISO 45001 Clause 8.1.3 requires organisations to establish processes for implementing and controlling planned temporary and permanent changes that can affect OH and S performance. The auditor should assess conformity against requirements and objective evidence, not criticise legitimate business decisions. There is no evidence that restaurant 2 is operating without required emergency equipment; consequently, raising a legal-compliance nonconformity is unsupported. Nor should the auditor prescribe improved purchasing schedules. The correct audit response is therefore to record the evidence demonstrating controlled management of change and continue with the planned audit trail.

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)