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

Clause 10.2 requires organizations to investigate nonconformities, determine their causes, and take corrective actions to prevent recurrence. Clause 9.2.2 specifies the requirements for managing internal audit processes, while Clause 7.4.3 emphasizes the need to communicate relevant information effectively.

Analysis of Options:

A. 9.2.2.e - Management failed to take any action to deal with the audit nonconformity: Correct. Management must ensure that internal audit findings are addressed promptly. The lack of action violates Clause 9.2.2.e.

B. 9.2.2.d - Staff were not made aware that health and safety incidents were increasing: Incorrect. This clause pertains to the planning and conduct of audits, not the communication of findings.

C. 8.1.1 - Operations were not properly controlled to avoid health and safety incidents: Incorrect. While increased incidents may suggest operational issues, this option does not directly relate to the internal audit findings.

D. 9.2.2 - Report IA202 contained a poorly worded nonconformity (NC3): Incorrect. The clarity of the nonconformity wording is not directly relevant to Clause 9.2.2.

E. 10.2.b - The root cause of the increase in reported health and safety accidents was not investigated: Correct. Failure to investigate root causes violates Clause 10.2.b.

F. 7.4.3 - The results of the internal audit IA202 were not communicated to interested parties: Correct. Effective communication of audit results is required under Clause 7.4.3.

ISO References:

Clause 9.2.2: Internal audit process requirements.

Clause 10.2: Nonconformity and corrective action.

Clause 7.4.3: Communication requirements.

The PDCA (Plan-Do-Check-Act) model is a continuous improvement framework used in ISO 45001 and other management systems.

Plan: Establish objectives and processes to deliver results in line with the OH and S policy.

Do: Implement the processes.

Check: Monitor and measure processes against the policy, objectives, and requirements.

Act: Take actions to continually improve the system ' s performance.

Analysis of Options:

A. Plan, Do, Check, Act: Correct. This is the standard PDCA cycle.

B. Plan, Do, Check, Ask: Incorrect. " Ask " is not part of the cycle.

C. Plan, Deliver, Control, Achieve: Incorrect. This is not the PDCA cycle.

D. Prepare, Deliver, Control, Assess: Incorrect. This deviates from the PDCA framework.

ISO Reference:

Clause 0.3: PDCA model.

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 and 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 and 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 and 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

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.

Analysis of Options:

A. Integrated Management System: Correct. An Integrated Management System (IMS) combines multiple standards like ISO 45001, ISO 14001, and ISO 9001, addressing environment management as part of the integration.

B. ISO 14501: Incorrect. ISO 14501 pertains to milk and milk products, not environmental management.

C. ISO 45001: Incorrect. ISO 45001 focuses on Occupational Health and Safety, not environmental management.

D. ISO 14001: Correct. ISO 14001 is the primary standard for Environmental Management Systems.

ISO References:

ISO 14001: Environment Management Systems.

Integrated Management Systems: Combines standards like ISO 14001 and ISO 45001.

The correct responses are C and D .

Certification bodies are required to have documented procedures for determining audit time and to determine the time needed to plan and accomplish a complete and effective audit . Audit duration is not something that can simply be shortened because the client asks for less disruption. ISO/IEC 17021-1 requires the certification body to determine audit time through its documented process, and the justification for the duration must be recorded. ( IAS )

IAF MD 5 also states that certification bodies shall identify the audit time for each client and that this framework is used within the certification body’s processes to determine the appropriate audit time , taking into account the specifics of the client organization. That means the request may be considered , but it does not have to be accepted. ( IAF )

Therefore:

C. Advise that his request will be considered but may not be taken up is correct, because the certification body can review the request, but the final decision must still comply with its audit-time rules and adequacy requirements. ( IAF )

D. Advise the OHS Manager that the audit duration and team make-up will be decided in line with the internal procedures of the certification body is correct, because ISO/IEC 17021-1 requires the certification body to use documented procedures for audit time and team decisions. ( IAS )

Why the other options are incorrect:

A is inappropriate because the request is not automatically a reason to tell the client to choose another certification body.

B is incorrect because the request cannot simply be accepted without following the certification body’s rules. ( IAS )

E is too absolute; the request should be considered against the certification body’s requirements, not rejected automatically. ( IAF )

F is unnecessary because the people managing the audit programme already have the responsibility to handle such matters through the certification body’s procedures. ( IAS )