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

According to Clause 3.32 of ISO 45001:2018, an audit is defined as a systematic, independent, and documented process for obtaining objective evidence and evaluating it to determine the extent to which audit criteria are fulfilled.

This involves assessing the effectiveness of health and safety measures implemented in the organization ' s OH and S management system.

Analysis of Options:

A. A systematic process to assess the risks in a workplace:Incorrect. While audits may include risk assessments, the purpose is broader and involves evaluating the entire OH and S management system.

B. An evaluation of the effectiveness of health and safety measures:Correct. This aligns with the definition of an audit as per ISO 45001:2018.

C. A legal requirement to comply with health and safety standards:Incorrect. An audit is not necessarily a legal requirement but a process to assess conformity.

D. A document that outlines safety procedures and guidelines:Incorrect. An audit is a process, not a document.

ISO Reference:

Clause 3.32: Audit definition.

Analysis of Each Option:

The correct answers are D, F, H.

ISO 19011 guidance on generating audit findings says that nonconformities can be graded depending on the context of the organization and its risks. That directly supports D, because any grading should reflect the risk the nonconformity presents to the organization. The same guidance also says this grading can be quantitative (for example 1 to 5) or qualitative (for example minor/major), which makes F correct. Because the wording is “can be graded”, grading is optional rather than mandatory, so H is also true. (Synersia Foundation)

Why the other options are not true:

A is not a requirement in ISO 19011. An organization may define grading rules in its audit programme or procedure, but there is no rule that grading must be agreed with the individual(s) managing the audit programme. (ISO)

B is false. ISO 19011 does not recommend that top management grade nonconformities. Audit findings are generated by auditors based on objective evidence and audit criteria. (ISO)

C is false. A second-party audit team does not have to adopt the auditee’s grading system. The grading approach can follow the auditing organization’s own rules and purpose for the audit. (ISO)

E is false. Additional documented information at the closing meeting does not mean the grading must be changed. The evidence should be reviewed, but unresolved issues may simply remain recorded in the audit report. (Synersia Foundation)

G is false. There is no requirement that extra grading categories must be agreed with the auditee before the closing meeting. The auditee should understand the findings, but the grading framework is not something ISO 19011 requires to be negotiated at that point. (ISO)

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.

The correct answer is C. Planning the Occupational Health and Safety policy.

ISO 45001 explicitly identifies several planning activities across Clauses 4 to 10. For example, Clause 6.1.4 requires the organization to plan actions to address risks and opportunities, legal requirements and other requirements, and to prepare for and respond to emergency situations. This means A and D are both genuine planning activities named in the standard.

ISO 45001 also identifies planning, establishing, implementing and maintaining audit programmes in Clause 9.2.2, so B. Planning an audit programme is clearly a planning activity within the requirements.

By contrast, the OH and S policy is covered in Clause 5.2 Policy. The standard requires top management to establish the OH and S policy and ensure it is communicated, available, and appropriate. It does not identify this as “planning the OH and S policy.” In ISO 45001 wording, policy is something to be established, maintained, and communicated, not described as a planning activity.

Therefore, the option that is not identified as a planning activity in ISO 45001 Clauses 4–10 is:

C

According to ISO 45001:2018, the PDCA cycle is explained in Clause 0.4. The Act phase is defined as: taking actions to improve continually the OH and S performance in order to achieve the intended outcomes. This clearly supports C. Making improvements as a correct answer.

Option D. Resetting objectives is also appropriate because ISO 45001 requires OH and S objectives to be reviewed and updated as appropriate. After checking performance results, the organization may revise or reset objectives as part of continual improvement and corrective action. This aligns with the Act stage, where changes are made to improve system effectiveness and performance.

The remaining options belong to other PDCA phases:

A. Verifying training relates more to evaluation of competence and effectiveness, which fits checking activities.

B. Measuring objectives belongs to the Check phase because ISO 45001 says Check includes monitoring and measurement against OH and S policy and objectives.

E. Providing infrastructure belongs to the Do phase because it is part of providing resources and operational support.

F. Auditing processes belongs to the Check phase because internal audits are part of performance evaluation under Clause 9.2.

Therefore, the correct answer is:

C, D

Major nonconformities are raised when there is a systemic failure to meet ISO 45001 requirements that could lead to significant risks.

Analysis of Options:

B. Lack of a documented process for controlling outsourced work (8.1.4.3):Major nonconformity. A failure to control outsourced work is a serious systemic issue.

C. Failure to include OH and S policy in contractor contracts (5.2.f):Not a major nonconformity. While this is a nonconformity, it is procedural and not critical.

D. No hazard assessment for installation works (6.1.2.2):Major nonconformity. A lack of hazard assessment for site-specific tasks is a serious issue.

E. Missing safety data sheets for contractor chemicals (8.1.4.2):Not a major nonconformity. While important, this issue does not indicate systemic failure.

G. Chemical hazards on installation sites not referenced in the hazard list (6.1.2.2):Major nonconformity. This reflects a failure in hazard identification and risk assessment.

H. Internal audit program does not cover installation sites (9.2.2):Not a major nonconformity. This is a gap in auditing scope but does not directly endanger safety.

I. Safe use of chemicals left to contractors:Not a major nonconformity. This could be addressed through improved contractor oversight rather than indicating systemic failure.

ISO References:

Clause 8.1.4.3: Control of outsourced processes.

Clause 6.1.2.2: Hazard identification and risk assessment.

Clause 7.4.1: Communication requirements.

The three correct responses are A, B, and G.

A is correct because ISO 45001 Clause 5.3 requires top management to ensure that the responsibilities and authorities for relevant roles are assigned, communicated and understood at all levels within the organization, and that they are maintained as documented information. So if top management asks whether responsibilities and authorities for relevant roles have to be documented, the correct answer is yes.

B is correct because Clause 5.1 Leadership and commitment requires top management to ensure that the resources needed to establish, implement, maintain and improve the OH and S management system are available. Therefore, the auditor’s “Yes, you do” is correct.

G is correct because Clause 5.1 also requires top management to promote continual improvement. This is stated directly as part of top management leadership and commitment responsibilities under ISO 45001.

Why the others are not correct:

C is incorrect because top management does have to ensure that processes are established for consultation and participation of workers. Clause 5.4 makes this a requirement, so “No, you do not” is wrong.

D is incorrect as written. Top management must establish, implement and maintain the OH and S policy, but ISO 45001 does not state that top management personally has to “write” it. The wording in the option is too specific and not how the standard states the requirement.

E is incorrect because top management does have to ensure that the OH and S management system achieves its intended results. Clause 5.1 says this directly.

F is incorrect because top management must ensure OH and S objectives are established and compatible with the strategic direction, but ISO 45001 does not require top management personally to “write” the objectives.

H is incorrect because the organization must determine the scope under Clause 4.3, and top management remains accountable for the OH and S management system. Saying “No, you do not” is not correct in this context.

Clause 10.2 of ISO 45001 pertains to Nonconformity and Corrective Action. Organizations are required to evaluate incidents, investigate their causes, and implement effective corrective actions to prevent recurrence.

Issue Identified:The incidents in the five old shops are related to VOC emissions from outdated equipment, leading to staff and customer health concerns. This indicates inadequate risk management and failure to act on known safety issues.

Analysis of Options:

A. Display an emergency phone number.This is a reactive approach and does not address the root cause of the issue, i.e., VOC emissions. It also does not align with ISO 45001’s emphasis on preventive measures.

B. Evaluate and update the PPE requirements.While PPE is important, relying solely on PPE without addressing the root cause (emission of VOCs) is insufficient. PPE is considered the last line of defense under the hierarchy of controls.

C. Reassess the OH and S risks associated with the laundry process in the five old shops.This option aligns with ISO 45001, Clause 8.1.2, and Clause 10.2, as it emphasizes reassessing risks and taking steps to mitigate them. A thorough risk assessment could lead to interim measures such as process improvements or administrative controls until the equipment is replaced.

D. Review the current safety procedures.While reviewing safety procedures is useful, it does not address the specific nonconformity related to the equipment’s inability to operate safely.

Best Action:Reassessing the risks in the five shops (Option C) ensures a comprehensive review of the hazards posed by outdated equipment, leading to appropriate preventive and corrective actions.

ISO References:

Clause 10.2: Requires identifying and addressing nonconformities to prevent recurrence.

Clause 8.1.2: Emphasizes the hierarchy of controls and risk assessment as a foundation for mitigating hazards.