Free PECB ISO-45001-Lead-Auditor Practice Exam with Questions & Answers | Set: 2

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 and 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.

In a first-party audit (internal audit), the organization conducts the audit to determine whether its management system conforms to planned arrangements, to the organization’s own requirements, and to the requirements of ISO 45001, and whether it is effectively implemented and maintained. ISO 45001 Clause 9.2 requires internal audits to provide information on conformity and effectiveness.

E. Verify compliance with regulatory requirements is a valid audit objective because ISO 45001 requires the organization to determine its legal and other requirements and to evaluate compliance with them. Internal audits commonly include verification that these legal OH and S obligations are being met as part of checking the effectiveness and conformity of the OH and S management system. This aligns with Clause 6.1.3 and Clause 9.1.2 of ISO 45001.

B. Complete the audit on time is also an audit objective in practical first-party auditing because audit objectives are established for the audit and supported by planning, resources, timing, and reporting arrangements. While it is not a system conformance criterion, it is a valid objective for the audit assignment itself, ensuring the audit is performed as planned and efficiently managed. This fits normal lead auditor practice in planning and conducting internal audits.

Why the other options are not correct:

A. Apply international standards is too broad and is not itself an audit objective. Standards are the criteria or reference, not the objective.

C. Confirm the scope of the management system is accurate is not usually stated as a first-party audit objective; scope is established by the organization under Clause 4.3, though it may be reviewed during audits.

D. Prepare the audit report for the certification body does not apply to a first-party audit, because internal audits are not performed for a certification body.

F. Update the management policy is a management responsibility, not an audit objective. Audits may identify inputs for policy review, but updating the policy is not the purpose of the audit itself.

Therefore, the two correct options are:

B, E

Clause 9.3 of ISO 45001:2018 outlines the requirements for management reviews. These reviews must evaluate the performance of the OHSMS and identify opportunities for improvement. Outputs of management reviews typically include decisions and actions that align with strategic and operational priorities.

Analysis of Options:

A. Decisions related to continual improvement opportunities: This is a valid output, as continual improvement is a key objective of management reviews under Clause 10.3.

B. Allocation of a bigger budget for the OHS department: Resource allocation is a common output of management reviews to address identified needs.

C. Improvements in the OHSMS: Improvements reflect the organization’s commitment to enhancing safety performance.

D. Minutes of previous management reviews: While minutes provide context, they are not an output of the current management review.

E. Opportunities to integrate the OHS management system with other business processes: Integration opportunities are valid outputs, as they enhance the system ' s effectiveness.

F. Plan to prioritize health and safety issues as a business strategy: Strategic alignment of health and safety with business objectives is an expected output.

G. Procurement of new safety harnesses for workers: This is an operational action, not a direct output of the management review process.

H. Report showing the trend of an increase in safety incidents: This is an input to the management review, not an output.

I. Updates to the risk register: Risk register updates reflect changes in identified hazards and risks, making this a valid output.

J. Worker feedback of positive and negative comments: Worker feedback is an input to the management review, not an output.

ISO References:

Clause 9.3: Management review inputs and outputs.

Clause 10.3: Continual improvement actions.

Corrections address immediate issues, such as errors or omissions, without addressing root causes. Clause 10.2 of ISO 45001:2018 allows for corrections alongside corrective actions.

Analysis of Options:

A. Adding a missing signature to a corrective action record: Correct. This is a correction addressing an administrative oversight.

B. Changing a process to reduce its inherent risk: Incorrect. This is a corrective action aimed at addressing root causes, not a correction.

C. Changing the name of a tutor that did not deliver a course to the name of the tutor that did: Correct. This corrects an error in records without addressing systemic issues.

D. Reviewing workers’ training records: Incorrect. This is part of ongoing monitoring or auditing, not a correction.

E. Updating the emergency preparedness plan as a result of carrying out a practical test: Incorrect. This is a corrective action resulting from performance evaluation, not a correction.

F. Using OHSMS induction training to address an identified lack of OHSMS awareness among workers: Incorrect. This is a preventive or corrective action, not a correction.

ISO References:

Clause 10.2: Nonconformity and corrective action.

Clause 7.5: Control of documented information

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.

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.

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

ISO References:

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

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