Free PECB ISO-45001-Lead-Auditor Practice Exam with Questions & Answers

Audit objectives for the audit team focus on ensuring the audit process is executed effectively, efficiently, and without causing undue disruption to the organization being audited. ISO 19011:2018 provides guidance on setting audit objectives.

Analysis of Options:

A. To reduce instances of injury and ill health:Incorrect. This is an objective of the OH and S management system, not of the audit itself.

B. To minimise risk resulting from the audit process:Correct. ISO 19011 emphasizes managing risks to the auditee and the audit process during audits (Clause 5.4).

C. To improve overall health and safety performance:Incorrect. Improving health and safety performance is an outcome of the OH and S management system, not the audit team ' s objective.

D. To complete the audit on time:Correct. Ensuring timely completion of the audit aligns with effective audit management.

E. To implement any necessary corrective action:Incorrect. Implementing corrective actions is the auditee’s responsibility, not the audit team’s.

2. Prepare the audit checklist, 3. Obtain objective evidence, 4. Review audit evidence, 5. Document findings

For a first-party audit, the sequence follows the normal audit flow described in ISO auditing guidance: first the audit is initiated and leadership is assigned, then audit activities are prepared, then evidence is collected during the audit, then that evidence is evaluated, then findings are recorded, and finally the audit report is issued. ISO 19011 describes the audit flow as initiating the audit, preparing audit activities, conducting audit activities, and preparing and distributing the audit report. (ISO)

That is why, after 1. Appoint an audit team leader, the next correct step is 2. Prepare the audit checklist. The checklist is part of preparing for the audit and helps the auditor plan questions, clauses, process interactions, and sampling points before going on to collect evidence. (WEDEAQ | Official VDA QMC Partner)

After preparation, the auditor moves to 3. Obtain objective evidence. Audit evidence is gathered through interviews, observation, and review of documented information during the audit. This is a core activity of conducting the audit. (DNV)

Once evidence is collected, the auditor must 4. Review audit evidence. ISO audit practice requires the evidence to be evaluated against the audit criteria to determine whether conformity or nonconformity exists. Evidence is not simply collected and reported immediately; it is first reviewed and assessed. (PRETESH BISWAS)

After reviewing the evidence, the auditor can 5. Document findings. Findings are the result of evaluating the evidence against criteria, so they logically come after evidence review. Recorded findings can include conformity, nonconformity, and opportunities for improvement, depending on the audit plan and method. (PRETESH BISWAS)

The final step is 6. Issue the report, because the report is prepared only after the audit evidence has been reviewed and the findings have been determined and documented. (ISO)

So, the correct full order is:

1. Appoint an audit team leader

2. Prepare the audit checklist

3. Obtain objective evidence

4. Review audit evidence

5. Document findings

6. Issue the report

Audit-team selection must be competence based. Option E is appropriate because an OH and S auditor needs sufficient understanding of applicable statutory, regulatory and other requirements relevant to the organisation ' s activities. This enables the auditor to recognize applicable audit criteria and evaluate objective evidence in the correct regulatory context. Option F is also essential: auditors must communicate clearly during interviews, team discussions, audit findings and closing activities so that evidence and conclusions are accurately understood. An auditor does not need expert-level knowledge of every process; technical experts can supplement the team where specialized competence is required. A history of complaints, unquestioning cooperation with a leader or an intentionally unstructured personal approach are not valid competence criteria. ISO 19011 specifically frames auditor competence around knowledge, skills, professional behaviour and the ability of the overall audit team to achieve the audit objectives.

Activities following the closure of a third-party audit are generally related to improving the audit process and addressing any unresolved issues.

Analysis of Options:

A. Addressing any audit complaints:Correct. Post-audit, complaints or concerns from stakeholders are addressed to improve the audit process and maintain credibility.

B. Conducting a closing meeting:Incorrect. The closing meeting occurs before the audit is closed.

C. Conducting a review of opportunities for improvement:Correct. Reviewing opportunities for improvement post-audit helps in refining processes and aligning them with organizational goals.

D. Revising the audit ' s objectives:Incorrect. Audit objectives are established during the planning phase, not after the audit has been closed.

E. Updating risks and opportunities to the audit programme:Incorrect. Updates to risks and opportunities occur during ongoing audits, not specifically post-audit.

F. Writing the audit report:Incorrect. The audit report is prepared before the audit is officially closed.

ISO References:

Clause 9.2.2: Audit process review.

ISO 19011:2018, Clause 6.7: Managing complaints and follow-up.

Clause 4.4 of ISO 45001 requires organizations to establish, implement, maintain, and continually improve an OH and 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 and 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 and 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 and S management system.

Clause 5.1: Leadership and commitment.

Clause 10.3: Continual improvement.

ISO 45001 requires the organization to adapt the work to workers as part of operational planning and control. Clause 8.1.1(d) states that the organization shall plan, implement, control and maintain the necessary processes, including adapting the work to workers. Annex A.8.1.1 then gives examples, including: redefining how work is organized, redefining processes and work environments, and using ergonomic approaches in the design or modification of workplaces and equipment.

Based on that, D. Providing those who spend the majority of their working days on their computers with frequent breaks is a valid example because it adapts the organization of work to human needs and helps reduce strain and fatigue. This matches the Annex guidance about redefining how work is organized and using ergonomic approaches.

F. Amending a control station to facilitate handicapped workers is also a clear example. ISO 45001 specifically refers to using ergonomic approaches in the design of new workplaces/equipment or in modifying workplaces/equipment. Changing a control station to suit disabled workers is exactly the kind of ergonomic and workplace adaptation the standard is referring to.

G. Amending the start and finish times of processes to accommodate cultural practices is the third valid example, because Annex A.8.1.1 includes the definition or redefinition of how work is organized. Adjusting working times to suit workers’ needs is a direct way of adapting work organization to workers.

Why the others are not the best examples:

A is about competence, which relates more to Clause 7.2 Competence, not adapting work to workers.

B is not appropriate because if workers speak different languages and there are no subtitles, the communication is not being made understandable; ISO 45001 expects information to be comprehensible and identifies language barriers as participation barriers.

C relates to worker participation and consultation, not adapting work to workers.

E is good housekeeping/welfare, but not specifically an example of adapting work to workers in the sense used by ISO 45001 Annex A.8.1.1.

H relates to planning under Clause 6.1, not adapting work to workers.

Therefore, the three actual examples of adapting work to workers are:

D, F, G

Option A reproduces the ISO management-system definition of an interested party: a person or organisation that can affect, be affected by, or perceive itself to be affected by a decision or activity. This concept is fundamental to ISO 45001 Clause 4.2 because an organisation must determine relevant interested parties and their relevant needs and expectations when establishing its OHSMS context. Examples can include workers, contractors, regulators, suppliers, customers, neighbouring communities and other stakeholders. Options B, C and D alter the defined relationship by substituting terms such as “influence,” “interfere” or limiting the concept to a third party. Those formulations do not match the standardized ISO terminology. The same standardized interested-party wording is published in ISO ' s terminology resources.

The correct answers are E, F.

ISO 45001 Clause 8.1.4.2 Contractors requires the organization to coordinate its procurement processes with its contractors, in order to identify hazards and to assess and control the OH and S risks arising from the contractors’ activities and operations that impact the organization, the organization’s activities and operations that impact the contractors’ workers, and the contractors’ activities and operations that impact other interested parties in the workplace. It also requires the organization to ensure that contractors and their workers meet the organization’s OH and S management system requirements.

In this case, the objective evidence already found during the audit supports the nonconformity:

the hazards list did not include contractor-related hazards;

the Purchase Manager relied on trust rather than controlled OH and S coordination;

the OH and S team said chemical safety had never been a problem, which is not evidence of hazard identification, risk assessment, or control.

The email shown at the closing meeting only states that contractors carry out a site risk assessment. That does not automatically demonstrate that Shelf-Fit itself has met Clause 8.1.4.2 requirements for coordinated procurement control, hazard identification, and control of contractor OH and S risks within its own management system. Therefore, the nonconformity should not simply be withdrawn on the spot.

E. Advise management that the information provided will be reviewed at the audit follow-up stage is acceptable because the auditee can submit corrective-action evidence after the audit. The certification decision and close-out process can consider additional evidence later, but that does not erase the nonconformity already supported by audit evidence gathered during the audit.

F. Note the OHS Manager ' s comments but indicate that there is evidence of a nonconformity that needs to be addressed is also acceptable because this is exactly what the audit team leader should do at the closing meeting: acknowledge the auditee’s response, but maintain the finding where objective evidence supports it.

Why the other options are not acceptable:

A is not appropriate at the closing meeting. The audit team should base findings on evidence gathered within the audit scope and timing, not start a new off-line investigation with contractors at that point.

B is weak audit management. The audit team leader should control the discussion and decision, not hand it over informally.

C is incorrect because the information is not irrelevant; it is relevant, but not sufficient to invalidate the nonconformity.

D is not acceptable because the email does not remove the original evidence of failure in Shelf-Fit’s contractor control process.