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

The correct answers are B. Boundaries of the OHSMS and C. Processes and functions.

In audit terminology, the audit scope describes the extent and boundaries of the audit. This includes matters such as the physical locations, organizational units, activities, processes, and functions being audited. In ISO 45001, the organization is also required to determine the boundaries and applicability of its OH and S management system when establishing its scope under Clause 4.3. Therefore, the boundaries of the OHSMS and the relevant processes and functions are part of audit scope.

Why the other options are not part of the audit scope:

A. Trade union communications may be relevant audit evidence or an issue within worker participation and consultation, but it is not itself a standard way to define the audit scope.

D. Audit checklists are audit preparation tools, not part of the scope.

E. Organisation procedures are usually part of the audit criteria, because auditors compare actual practice against documented procedures.

F. ISO 45001 requirements are also part of the audit criteria, since they are the requirements against which conformity is assessed.

So, the two issues that are part of the audit scope are:

B, C

A nonconformity is raised against the organisation ' s management system and applicable audit criteria, not personally against an individual manager or top management as a separate auditee. ISO 45001 Clause 5.1 makes top management accountable for ensuring that resources needed for the OHSMS are available, while Clause 7.1 explicitly requires the organisation to determine and provide resources needed for establishing, implementing, maintaining and continually improving the OHSMS. If sufficient objective evidence demonstrates that these requirements have not been fulfilled, a nonconformity is appropriate. However, its wording should identify the organisational failure and the relevant requirement, supported by objective evidence. Option A incorrectly assumes resource adequacy cannot be audited, while D incorrectly treats top management personally as the object of the nonconformity. Additional evidence can be useful, but B does not address the fundamental issue.

This statement is True.

ISO 45001:2018 requires the organization to determine, access, and comply with its legal requirements and other requirements related to occupational health and safety. It also requires the organization to evaluate compliance with those legal and other requirements as part of performance evaluation. This is clearly addressed in Clause 6.1.3 Determination of legal requirements and other requirements and Clause 9.1.2 Evaluation of compliance. Therefore, when an audit team conducts a certification renewal assessment, it is part of the audit responsibility to verify that the organization has established, implemented, and maintained processes to meet and evaluate compliance with applicable legal OH and S requirements.

In a renewal audit, the audit team is not limited to checking documents only. It must assess whether the management system continues to be effective and whether the organization fulfills the requirements of ISO 45001, including compliance obligations relevant to worker health and safety. Since legal compliance is a core expected outcome of the OH and S management system, checking this area is an essential audit activity before certification is renewed.

So the correct answer is:

A. True

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 two options that give the strongest cause for concern are E and F.

E. The oil on the floor might spread to other areas of the kitchen is a clear OH and S concern because the spilled oil already presents a slip hazard in the work area and could increase the risk further if it spreads. ISO 45001 requires the organization to eliminate hazards and reduce OH and S risks through operational control. A spreading oil spill shows inadequate control of a workplace hazard and poor housekeeping in an active kitchen environment.

F. Fire protection may be inadequate without adjacent safety equipment is also a strong concern. In a kitchen with hot oil, boiling water, and multiple ignition sources, the absence of visible fire extinguishers or fire blankets raises concern about the adequacy of emergency preparedness and operational control. ISO 45001 requires organizations to establish processes for emergency preparedness and response, including provision for relevant emergency equipment where needed.

Why the other options are weaker:

A is speculative and refers to the storeroom, even though the immediate issue is the unsafe condition in the kitchen.

B is an assumption about workload, not objective evidence of a system failure.

C may be true, but impurities in waste oil are not the key OH and S issue identified here.

D focuses on whether cleaning arrangements are documented, but ISO 45001 does not require every control to be a documented procedure; the stronger evidence is the unsafe condition itself.

Analysis of Options:

A. Integrated Management System:Correct. An Integrated Management System (IMS) combines multiple standards like ISO 45001, ISO 14001, and ISO 9001, addressing environment management as part of the integration.

B. ISO 14501:Incorrect. ISO 14501 pertains to milk and milk products, not environmental management.

C. ISO 45001:Incorrect. ISO 45001 focuses on Occupational Health and Safety, not environmental management.

D. ISO 14001:Correct. ISO 14001 is the primary standard for Environmental Management Systems.

ISO References:

ISO 14001: Environment Management Systems.

Integrated Management Systems: Combines standards like ISO 14001 and ISO 45001.

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.

ISO 45001:2018 requires a holistic approach to occupational health and safety. This means considering all aspects that could impact worker well-being, not just obvious physical hazards. The correct answer encompasses work activities (the tasks themselves), workplace design (the physical environment), and human factors (psychological and social aspects like working hours and harassment). It ' s the most comprehensive and aligned with the standard ' s philosophy

ISO 45001:2018, Clause 6.1.2, outlines requirements for hazard identification. Hazards to consider include work activities, workplace design, human factors, and social factors that may impact OH and S. These go beyond traditional physical risks and include psychosocial and organizational hazards.

Analysis of Options:

A. Work activities, workplace design, and human factors such as hours of work and bullying and harassment:Correct. This comprehensively addresses hazard categories outlined in ISO 45001, Clause 6.1.2.

B. Work activities where there is the possibility of danger:Too general. ISO 45001 includes broader categories of hazards, including those related to organizational and social factors.

C. Hot-work, working at height, enclosed space entry, and work on electrical equipment:Too narrow. These are specific hazards but do not encompass the full range outlined in ISO 45001.

D. Work hazards and environmental factors such as bad weather:Incomplete. While environmental factors are relevant, ISO 45001 also includes workplace design, human factors, and psychosocial hazards.

ISO References:

Clause 6.1.2.1: Hazard identification.

Annex A.6.1.2: Examples of hazard categories, including workplace design and human factors.