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

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.

ISO 45001 Clause 8.1.3 Management of change states that the organization must establish processes for the implementation and control of planned temporary and permanent changes that impact OH and S performance . It also says this includes new products, services and processes , and changes to existing products, services and processes . That makes A true. It also supports B , because the clause is specifically about changes that impact the organization’s OH and S performance .

Statement E is also true. If the organization decides, after an emergency preparedness and response exercise, that it needs to change part of the OHSMS to improve OH and S performance, then that change has to be implemented in a controlled way under the organization’s management-of-change process. ISO 45001 links emergency preparedness with improvement and requires changes impacting OH and S performance to be controlled.

Why the others are false:

C is false because ISO 45001 does not limit management of change to planned changes only. It says the organization must also review the consequences of unintended changes and take action to mitigate adverse effects.

D is false because Clause 8.1.3 does not require retaining documented information of all changes . The clause requires establishing processes for implementation and control, but it does not state a blanket requirement to retain documented information for every change.

F is false because developments in knowledge and technology are explicitly included in management of change, not excluded.

G is false because changes are not limited to those identified by the organization itself; the clause also includes changes in legal and other requirements , and changes in knowledge or information about hazards and risks .

H is false because ISO 45001 explicitly says management of change applies to temporary and permanent planned changes.

Clause 5.1 of ISO 45001:2018 requires top management to demonstrate leadership and commitment to the OH and S management system. This includes awareness of the OH and S policy and its objectives.

Analysis of Options:

A. As a member of the management team, the Deputy College Principal is not aware of the OHSMS policy: Correct. A lack of awareness of the policy reflects poor leadership commitment, which violates Clause 5.1.

B. OH and S improvement is not possible due to the lack of awareness of the OHSMS: Incorrect. While improvement may be hindered, this is not the main issue in this scenario.

C. The Deputy College Principal is not competent to manage the OHSMS: Incorrect. The Deputy’s competence to manage the OHSMS is not in question; the issue is their lack of awareness of key elements.

D. The OH and S policy only exists as a document in the College Principal’s office: Incorrect. The policy may be accessible but not effectively communicated or understood by management.

ISO References:

Clause 5.1: Leadership and commitment.

Clause 5.2: OH and S policy.

Clause 4.4 of ISO 45001 requires organizations to establish, implement, maintain, and continually improve an OH and S management system. The corrective actions must address systemic issues, involve leadership commitment, and aim to foster a strong safety culture.

Analysis of Options:

A. Top management initiated a comprehensive review of internal and external issues: Correct. A review of internal and external issues aligns with Clause 4.1 and demonstrates leadership commitment.

B. Union representatives were invited to attend OH and S management meetings: Incorrect. While participation is valuable, it is not a systemic corrective action.

C. Top management developed and is leading a programme to promote an effective culture of support: Correct. Promoting a safety culture is a proactive measure and aligns with Clause 5.1 (Leadership).

D. Staff from departments with nonconformities received regular safety training during toolbox talks: Incorrect. While training addresses specific gaps, it does not address systemic issues.

E. External consultants conducted a gap analysis of the OHSMS: Incorrect. While helpful, this action does not demonstrate leadership or address systemic improvement.

F. OH and S champions were appointed in each department to report near misses and incidents: Incorrect. This is a good practice but does not directly address Clause 4.4’s requirement for systemic improvement.

ISO References:

Clause 4.4: Maintaining and improving the OH and S management system.

Clause 5.1: Leadership and commitment.

Clause 10.3: Continual improvement.

The best responses are D, E, and G .

D. Insist that the nonconformities must stand since there is clear evidence for them apart from the videos is correct because audit findings and nonconformities must be based on objective evidence . If the evidence supporting the findings exists independently of the videos, then the findings should not be rescinded simply because there is a dispute about how supplementary material was recorded. A problem with auditor conduct or site permission does not automatically invalidate valid audit evidence already obtained.

E. Advise the OHS Manager that they should speak to the supervisor to confirm the situation is also appropriate because the auditor stated that permission had been obtained from a supervisor who was part of the safety team. Before taking action, the audit team leader should verify the facts. This is a reasonable and proportionate response to clarify whether site permission was actually granted.

G. Indicate that he, as audit team leader, will seek approval for the taking of videos by auditors at the opening meetings with management at all audits in the future is appropriate because it addresses the control weakness going forward. Audit teams should be clear about site rules, confidentiality, and permissions for photographs or videos before audit activities begin. This is a constructive preventive action for future audits.

Why the other options are not the best:

A may be premature until the facts are verified.

B assumes misconduct before confirming the facts.

C is incorrect because auditors do not inherently “must” take videos.

F is too severe before the situation is properly established and investigated.

H is inappropriate because the audit team leader should not personally handle or manipulate the auditor’s personal phone.

A first-party audit is an internal audit . ISO defines internal audits, or first-party audits, as audits conducted by, or on behalf of, the organization itself . That means the people participating can be the organization’s own auditors or external people acting on its behalf, such as a consultant. ( ISO )

Therefore:

A. An auditor certified by CQI and IRCA can participate in a first-party audit, provided the auditor is acting for the organization or on its behalf. Certification status does not prevent participation in an internal audit. This is consistent with the principle that first-party audits are defined by who the audit is for , not by the auditor’s credential. ( ISO )

D. An auditor from a consultant organisation can also participate, because first-party audits may be carried out on behalf of the organization by a qualified external consultant. ( ISO )

E. An auditor trained in the CQI and IRCA scheme can participate for the same reason: training route does not change the audit type; the audit remains first-party if it is conducted by or for the organization. ( ISO )

F. An auditor trained by the organisation clearly can participate, since internal audits are commonly performed by trained internal auditors from within the organization. ( ASQ )

The two that do not participate in a first-party audit are:

B. A certification body auditor

C. An auditor from an accreditation body

A certification body auditor performs a third-party audit , not a first-party audit. An accreditation body auditor/assessor evaluates certification bodies or similar conformity assessment bodies, not the organization’s own internal audit program. These are external oversight roles, not first-party audit roles. ( ISO )

So the correct answer is:

B, C

Analysis of Each Option:

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

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 )