PECB Certified ISO 45001 Lead Auditor Exam ISO-45001-Lead-Auditor Exam Questions

The auditor should assess whether the organization's planned action (using masks in case of dust extraction failure) is both implemented and effective. This aligns with ISO 45001 requirements to ensure that control measures are functional and meet the intended objectives. Clause 8.1.2 (Hierarchy of Controls): The use of PPE, such as masks, is considered a last resort in the hierarchy of controls. The organization must demonstrate that the measure is: Implemented (e.g., PPE is available and workers are trained to use it). Effective (e.g., masks provide adequate protection against dust). Analysis of Options: A . Advise that the factory should cease operations if the dust extraction equipment malfunctioned. While ceasing operations may be a necessary control in extreme situations, it is not a practical or realistic recommendation unless a high-risk scenario cannot be otherwise managed. B . Ask the OHSMS Manager to confirm regulatory compliance. Regulatory compliance is important but does not fully address the requirement to ensure the action is effective. C . Seek evidence that the response action is both implemented and effective. This is the most appropriate response. The auditor must verify implementation and effectiveness to determine conformity. D . Suggest increasing maintenance checks. Maintenance is important for preventing equipment breakdowns, but this option does not address the immediate audit finding about the adequacy of response actions. ISO Reference: Clause 8.1.2: Emphasizes applying the hierarchy of controls effectively. Clause 9.1.1: Requires monitoring and measuring controls to ensure effectiveness.

Analysis of Options:

A. The organisation must attempt to identify and address every risk it faces: Incorrect. ISO 45001 focuses on OH&S risks and not every risk faced by the organization.

B. The effect of uncertainty (i.e. risk) can result in positive outcomes as well as negative ones: Correct. Clause 3.20 defines risk as the 'effect of uncertainty,' which may result in positive or negative outcomes.

C. Although organisations are required to carry out risk management, the method by which they do so is up to them: Correct. ISO 45001 does not prescribe specific risk management methods, leaving the organization to choose the approach that best suits its context (Clause 6.1.2).

D. Risk assessment is an activity that must be carried out by top management: Incorrect. Risk assessment can involve workers and other personnel; it is not limited to top management.

E. The organisation is required to assess risks arising from OH&S hazards: Correct. Clause 6.1.2.2 requires organizations to assess OH&S risks associated with hazards.

F. Risk is often expressed as a combination of likelihood and impact: Correct. This is a common way to express risk, aligned with Clause 6.1.2.

ISO Reference:

Clause 3.20: Definition of risk.

Clause 6.1.2: Hazard identification and risk assessment

Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference Clause 8.1.2 of ISO 45001 pertains to Eliminating Hazards and Reducing OH&S Risks. Organizations must implement appropriate controls to manage workplace hazards effectively. Issue Identified: The kitchen environment at the audited site presents multiple hazards, including: Oil spillage creating a slip hazard. Open drums of waste material posing a chemical or hygiene hazard. Unsecured knives and cleavers increasing the risk of cuts. Boiling water left unattended, posing a risk of burns. Lack of visible fire extinguishers or fire blankets, increasing fire risk. Analysis of Options: A . Failure to reduce risks associated with working in the kitchen. This option accurately captures the broader failure to implement effective measures to eliminate or reduce hazards across multiple areas in the kitchen. B . Measures to prevents lippage in the kitchen from waste cooking oil were not taken. This is specific to one hazard (oil spillage) and does not address other significant risks observed, such as fire safety or sharp tools. C . Staff are at risk of serious injury while working in the kitchen. While true, this is more of a general observation and does not address the root cause of the hazards or the failure of controls. D . Training of the kitchen staff was not effective enough to prevent poor safety awareness in the kitchen area. Although training deficiencies may contribute to the issue, this option does not reflect the overarching systemic failure to manage hazards effectively. Best Description of the Nonconformance: Failure to reduce risks associated with working in the kitchen (Option A) is the most comprehensive finding, reflecting the organization’s lack of adequate controls to mitigate hazards. ISO Reference: Clause 8.1.2: Organizations must establish controls to eliminate or minimize OH&S risks systematically. Clause 7.2: Ensuring competency through training is important but must be coupled with hazard control measures.

Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference Analysis of Each Option: A . The organisation should review the audit plan for agreement. True. According to ISO 45001 guidelines and ISO 19011 (Guidelines for Auditing Management Systems), it is standard practice for the auditee organization to review and agree to the audit plan to ensure clarity on scope, objectives, and processes. Reference: ISO19011:2018, Clause 6.3.2. B . The audit team leader does not select the OHS audit team members. False. The audit team leader is responsible for selecting competent team members with the requisite expertise to evaluate the auditee’s Occupational Health & Safety Management System (OHSMS). Selection is based on criteria such as knowledge of ISO 45001, auditing skills, and understanding of the industry. Reference: ISO 19011:2018, Clause 5.4.2 and 6.3.1. C . The audit team leader should plan to interview each employee. False. While employee interviews are an essential part of gathering evidence during an ISO 45001 audit, interviewing every employee is impractical and unnecessary. A representative sampling strategy is used to assess compliance across various levels and departments. Reference: ISO19011:2018, Clause 6.4.6. D . The audit team leader should present the plan to the auditee before the Stage 2 audit. True. Presenting the audit plan to the auditee before the audit is essential to ensure all parties are informed and prepared for the audit. This practice is emphasized in ISO 19011 and supports transparency and effective audit execution. Reference: ISO19011:2018, Clause 6.3.3. E . The organisation should cancel staff leave during the audit. False. ISO 45001 and related audit guidelines do not mandate the cancellation ofstaff leave during audits. While key personnel should be available, the audit team collaborates with the organization to plan around leave schedules to minimize disruption. Reference: Not explicitly covered in ISO 45001 or ISO 19011; falls under planning discretion. F . The plan does not need to include the names of the senior managers. True. While the audit plan should outline the scope, objectives, and methods, it does not specifically require the inclusion of senior managers’ names unless they are directly involved in the audit. Reference: ISO 19011:2018, Clause 6.3.2. Key ISO Reference: ISO 45001:2018, Clause 9.2 (Internal Audit Requirements). ISO 19011:2018, Clauses 5.4.2, 6.3.1, 6.3.2, and 6.4.6. 

Explanation: Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference Analysis of Each Option: A . Consider the number of functions related to OHS management. True. The number of functions related to OHS management directly impacts the audit duration. More functions require additional time for the auditor to review documentation, processes, and implementation across those areas. Reference: IAF MD 5:2020, Clause 2.3.1 (factors affecting audit time). B . Consider the number of sites to be sampled. True. For multi-site organizations, the number of sites to be sampled is critical in calculating audit duration. Sampling requirements are determined using guidelines such as IAF MD 1:2022 and depend on the complexity, size, and risks associated with each site. Reference: IAF MD 1:2022, Clause 4.2. C . Include outsourced processes. True. Outsourced processes that affect the OHS management system must be evaluated as part of the audit. This includes reviewing the organization’s control over such processes. Auditing these aspects impacts the audit duration. Reference: ISO 45001:2018, Clause 8.1.4 and IAF MD 5:2020, Clause 2.3.1. D . Include the time allocated for lunch breaks. False. Lunch breaks are not considered part of the audit duration as they do not contribute to the assessment of the management system. Audit time calculations exclude non-working hours, including breaks. Reference: IAF MD 5:2020, Clause 2.5. E . Incorporate the time taken to travel to/from the audit location. False. Travel time is excluded when calculating the audit duration. While travel logistics are considered in audit planning, they do not count towards the total audit time. Reference: IAF MD 5:2020, Clause 2.5. F . Think about the complexity of the organization's business. True. The complexity of the organization’s business, including the nature of hazards, risks, and legal obligations, significantly affects the audit duration. More complex operations typically require longer audit times. Reference: IAF MD 5:2020, Clause 2.3.1. Key ISO and IAF Reference: ISO 45001:2018: Clause 9.2.2 (Audit Program). IAF MD 5:2020: “Determination of Audit Time of Quality and Environmental Management Systems.” IAF MD 1:2022: “Audit and Certification of Multiple Sites Based on Sampling.”