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

Clause 10.2 of ISO 45001 requires organizations to investigate incidents, determine root causes, and implement corrective actions to prevent recurrence.

Analysis of Options:

A. Check whether corrective actions were taken.This directly relates to the requirement to implement corrective actions to address the identified risks and hazards. Failure to do so would indicate nonconformity.

B. Determine whether the Health and Safety Authority was notified.Notification is a legal requirement in certain jurisdictions, but it is not explicitly required under ISO 45001 unless the legal context demands it.

C. Establish whether the root cause was determined.Root cause analysis is fundamental for effective corrective action. Without this, corrective measures may not address the underlying problem.

D. Find out when the operator's machine was last subject to maintenance.While maintenance is important, it does not directly address the incident's nonconformity.

E. Find out whether the operator was sent to the hospital.Sending the operator to the hospital is a reactive step and not relevant to compliance with Clause 10.2.

F. Interview the operator about PPE usage.This is relevant but insufficient for determining compliance with Clause 10.2.

ISO References:

Clause 10.2: Investigation of incidents, determination of causes, and implementation of corrective actions.

Clause 8.1.2: Hierarchy of controls and risk reduction.

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Clause 5.4 of ISO 45001:2018 emphasizes the importance of worker consultation and participation in the OHS management system. It requires organizations to establish processes that ensure workers are actively involved in decision-making and implementation of OHS practices.

Analysis of Options:

A. Promoting collaborating workers to higher positions:While promotions may boost morale, they do not directly contribute to worker consultation and participation in the OHSMS.

B. Appointing worker representatives:This action fosters direct communication and representation of workers' interests in health and safety matters.

C. Conducting toolbox talks on health and safety:Toolbox talks are an effective way to engage workers in discussing and addressing health and safety issues.

D. Giving ownership of health and safety matters:Involving workers in decision-making and giving them responsibility for specific health and safety tasks encourages participation.

E. Ignoring workers' suggestions:This undermines consultation and is contrary to ISO 45001 principles.

F. Implementing a payment scheme to reward workers' OHS performance:While incentives can motivate safe behavior, they are not a consultation or participation mechanism as required by Clause 5.4.

G. Implementing methods for engaging workers:This aligns directly with Clause 5.4, as effective engagement methods (e.g., surveys, focus groups) enhance participation.

H. Threatening reprisals to whistleblowers:This violates ISO 45001 principles and discourages worker participation.

ISO References:

Clause 5.4: Worker consultation and participation.

Clause 5.1: Leadership’s responsibility to foster participation.

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 References:

Clause 8.1.2: Emphasizes applying the hierarchy of controls effectively.

Clause 9.1.1: Requires monitoring and measuring controls to ensure effectiveness.

A screenshot of a computer Description automatically generated

Was he made aware of the hazards related to this work? → Clause 6.1.2.1:Clause 6.1.2.1 focuses on hazard identification. Organizations must identify hazards associated with work activities, such as operating a motorbike, and ensure workers are aware of these hazards.

Was he trained to use the new motorbike? → Clause 7.2:Clause 7.2 requires organizations to ensure that workers are competent to perform their assigned tasks, including providing necessary training for new equipment like a motorbike.

Was he asked to deliver too many orders in a short period of time? → Clause 8.2:Clause 8.2 relates to managing operational controls and ensuring that work processes do not impose undue risks, such as excessive workloads or time pressure.

Was he carrying any contact details in case of an accident? → Clause 7.3:Clause 7.3 requires effective communication of information relevant to OH&S, including emergency contact details or procedures for accidents.

ISO References:

Clause 6.1.2.1: Hazard identification.

Clause 7.2: Competence.

Clause 7.3: Awareness and communication.

Clause 8.2: Operational control.

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&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.

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Clause 9.1.2 of ISO 45001:2018 outlines the need for organizations to evaluate compliance with applicable legal and other requirements as part of their OH&S management system.

Analysis of Options:

A. The organization must evaluate its compliance status at least once a year:The standard does not prescribe a specific frequency but states that evaluations must be conducted at planned intervals.

B. 'Other requirements' include requirements that the organization has chosen to comply with:Correct. Other requirements may include voluntary standards, industry codes, or contractual obligations.

C. A management review is required in all instances where one or more legal requirements are not being met:This is not true. Management reviews address compliance but are not mandated for every noncompliance.

D. Every member of an audit team must have a detailed understanding of the legal requirements for the sector and type of organization they are auditing:Not true. Auditors must have general competency but can rely on subject-matter experts for legal specifics.

E. If the organization is failing to address a legal requirement relating to another discipline (e.g., Environmental management), this cannot be raised in the audit:Not true. If the legal noncompliance impacts OH&S, it can be raised.

F. The organization cannot outsource its process for evaluating compliance:The organization can outsource evaluation but retains accountability.

G. The organization is required to establish a process for evaluating compliance:Correct. Clause 9.1.2 requires a process for compliance evaluation.

H. The organization is required to evaluate its compliance status with OH&S legal and other requirements:Correct. Clause 9.1.2 explicitly states this requirement.

ISO References:

Clause 9.1.2: Evaluation of compliance.

Clause 7.5: Documented information requirements

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Clause 6.1.2 of ISO 45001:2018 emphasizes the identification of hazards and assessment of risks, and Clause 5.4 highlights the importance of consultation and communication among roles. The auditor's role includes verifying conformity to these clauses through evidence gathering and observation.

Analysis of Options:

A. The auditor should advise the organization to get rid of the walled area.This is outside the scope of an auditor’s role, which is to observe and report findings, not to dictate specific actions.

B. The auditor should ask the Maintenance Manager to conduct a safety survey.While safety surveys are useful, asking the Maintenance Manager to conduct one is not the auditor’s responsibility.

C. The auditor should check the lines of communication between the OHS Manager and Maintenance Manager.This aligns with ISO 45001:2018, Clause 5.4, as communication gaps may have contributed to the situation.

D. The auditor should check whether the organization has identified the safety hazards associated with the walled area.Clause 6.1.2 requires hazard identification. The auditor must determine whether this has been done.

E. The auditor should consider surveying more areas of the site for other potentially unsafe situations.Broadening the audit scope to identify additional risks is a good practice in line with Clause 9.2.2.

F. The auditor should demand that the Maintenance Manager deals with the wall.Demanding action is not within the auditor’s authority. The auditor should raise findings instead.

G. The auditor should raise a nonconformity against ISO 45001.While this may be appropriate depending on evidence, raising a nonconformity is not a replacement for good audit practices.

H. The auditor should refer the organization to health and safety authorities.This step is extreme and should only occur if there is an imminent danger and no action is being taken.

ISO References:

Clause 6.1.2: Hazard identification and risk assessment.

Clause 5.4: Worker consultation and participation.

Clause 9.2.2: Internal audit program and execution.

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

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.

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&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&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.

Worker participation is a fundamental principle of ISO 45001 (Clause 5.4). It ensures workers at all levels are involved in key activities to enhance the OH&S management system's effectiveness.

Analysis of Options:

A. Determining competence requirements:Incorrect. Determining competence is primarily the responsibility of management, though workers may provide input.

B. Establishing OHS objectives:Correct. Worker involvement ensures objectives are realistic and relevant to workplace conditions (Clause 6.2).

C. Managing internal audit programme:Incorrect. Managing audits is typically a managerial responsibility, though workers may participate in audits.

D. Determining actions to eliminate hazards:Correct. Workers’ insights are critical in identifying and implementing actions to eliminate hazards (Clause 8.1.2).

E. Determining what needs to be communicated:Incorrect. While communication strategies impact workers, their participation in determining communication needs is not explicitly required.

F. Establishing OHS policy:Correct. Workers should be involved in developing policies to ensure relevance and buy-in (Clause 5.2).

ISO References:

Clause 5.4: Worker participation.

Clause 6.2: OHS objectives.

Clause 8.1.2: Hierarchy of controls and hazard elimination.