Pass the PECB ISO 45001 ISO-45001-Lead-Auditor Questions and answers with Dumpstech

Opportunities for improvement (OFIs) are suggestions provided during audits that do not indicate nonconformities but are aimed at enhancing the system’s performance.

Analysis of Options:

A. A quality control program could involve non-destructive testing of the welded handrails:While beneficial, this focuses on product quality rather than OH and S improvements.

B. Operational planning activities may benefit from an improved risk-based approach based on international standards for risk management:Correct. Enhancing risk-based thinking aligns with Clause 6.1.1.

C. A first aid station could be located next to the handrail polishing operation:While useful, first aid station placement is an operational matter, not directly related to OH and S management system improvement.

D. Additional internal audits of the OHS management system may reduce production problems:Internal audits should address system performance, not production problems.

F. The induction program for new employees could include an awareness training video on health and safety:Correct. Enhanced training for new employees addresses Clause 7.2 (competence).

G. The requirement for wearing protective gloves could be extended to shop floor workers across all operations:Correct. This improves hazard control in line with Clause 8.1.2.

H. The molding polishers should be disciplined for incompetency:Disciplinary actions are outside the scope of system improvement.

ISO References:

Clause 6.1.1: Risk management.

Clause 7.2: Competence.

Clause 8.1.2: Hierarchy of controls.

The three targeted responses conflict directly with core objective-setting and planning requirements. A is incorrect because ISO 45001 Clause 6.2.1 requires OH and S objectives to be monitored and updated as appropriate; objectives are not permanently fixed once approved. B is inconsistent because objectives must take account of applicable requirements and the results of the assessment of OH and S risks and opportunities. Objective setting therefore cannot deliberately disregard forward-looking risk and opportunity information. E conflicts with Clause 6.2.2, which requires the organisation, when planning how to achieve its OH and S objectives, to determine what will be done, required resources, responsible persons, completion timing, how results will be evaluated and how actions will be integrated into business processes. An informal discussion without defined implementation planning does not satisfy those requirements. Worker consultation and measurability where practicable are consistent with ISO 45001 ' s framework.

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

ISO 45001 Clause 7.2 Competence requires the organization to:

determine the necessary competence of workers that affect or can affect OH and S performance;

ensure workers are competent, including the ability to identify hazards;

where applicable, take actions to acquire and maintain competence and evaluate the effectiveness of those actions; and

retain appropriate documented information as evidence of competence.

Based on that wording, C is clearly correct because the clause explicitly says workers must be competent, including having the ability to identify hazards. If there is no evidence of that ability, this directly supports a nonconformity against Clause 7.2.

F is also correct because Clause 7.2 requires the organization to determine the competence needed for roles and ensure workers meet it. If there is no evidence that workers’ knowledge and skills are assessed against role requirements, the organization cannot demonstrate that competence has been determined and verified.

H is the third correct answer because Clause 7.2 requires the organization to retain documented information as evidence of competence. Attendance on OH and S training is not, by itself, full proof of competence, but the absence of training records can still support a finding that the organization lacks documented evidence related to competence development and maintenance.

Why the others are not Clause 7.2 findings:

A belongs to Clause 7.3 Awareness, which requires awareness of the consequences of not conforming.

B also relates more to Clause 7.3 Awareness, which includes awareness of the ability to remove themselves from imminent and serious danger.

D is also Clause 7.3 Awareness, because workers must understand their contribution to the effectiveness of the OHSMS.

E relates to consultation and participation under Clause 5.4, not competence.

G refers to quality policy and objectives, which are not ISO 45001 OH and S competence requirements.

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.