Free PECB ISO-45001-Lead-Auditor Practice Exam with Questions & Answers | Set: 3

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.

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

Ethical – C

Diplomatic – F

Open to improvement – B

Perceptive – E

These behaviours are standard auditor personal attributes used in lead auditor training and are aligned with audit competence guidance.

Ethical – C. Fair, truthful, sincere, honest, discreet

An ethical auditor acts with integrity. This includes honesty, truthfulness, sincerity, fairness, and discretion when handling audit evidence, findings, and confidential information. Ethical behaviour is essential because audit conclusions must be trusted and based on professional conduct.

Diplomatic – F. Tactful in dealing with individuals

A diplomatic auditor interacts with people carefully and respectfully. During audits, questions may be sensitive, findings may be difficult to communicate, and interviewees may feel pressure. Being tactful helps maintain cooperation and supports effective evidence gathering.

Open to improvement – B. Willing to learn from situations

An auditor who is open to improvement learns from audit experience, changing conditions, and new information. This behaviour supports continual development and better audit effectiveness over time.

Perceptive – E. Aware of and able to understand situations

A perceptive auditor recognizes what is happening in the audit environment and understands the significance of what is seen, heard, and observed. This helps the auditor detect inconsistencies, identify risks, and understand process realities beyond prepared answers.

Why the other options are not used here:

A. Persistent and focused on objectives describes tenacious behaviour.

D. Actively observing surroundings/activities describes observant behaviour.

So the correct matching is:

Ethical – C

Diplomatic – F

Open to improvement – B

Perceptive – E

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 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)

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