PECB Updated ISO-45001-Lead-Auditor Exam Questions and Answers by elwood

The correct answers are E, F, and H .

This situation raises three serious concerns: impartiality , professional conduct , and the reliability of the audit conclusion . Third-party auditors are expected to act honestly and impartially, and accepting gifts from the auditee is inconsistent with that expectation. The IAF auditor code of conduct says auditors must be honest and impartial and must avoid conduct that discredits the profession. ( IAF )

E is correct because the audit team leader must first consider whether the alleged behavior could compromise the validity of the audit findings and conclusion . If that risk is significant, the matter should be escalated to the individual(s) managing the audit programme for direction, since certification audits must remain competent, consistent, and impartial. ( ISO )

F is correct because the team leader should gather specific facts and then give the auditor an opportunity to respond to the allegations before deciding the next step. That is the appropriate immediate management action and is consistent with fair handling of an issue that could affect audit integrity. The concern is too serious to ignore, but it should still be examined on evidence, not assumption. ( ISO )

H is also correct because, while the matter is being addressed, moving the auditor in training away from the auditor concerned is a sensible control to protect the trainee and the audit process. It helps reduce further disruption and prevents the trainee from being exposed to more inappropriate conduct during the remainder of the audit. This is a practical audit-management response flowing from the team leader’s responsibility to maintain control of the audit team and audit activities. ( ISO )

Why the other options are not correct:

A is too immediate and inappropriate. The auditor in training cannot simply replace a qualified auditor without proper competence and authorization being confirmed.

B is premature. The audit should not be terminated immediately without first assessing the facts and the impact on the audit.

C is clearly wrong because the issue could affect the integrity of the current audit and cannot wait until later.

D is wrong and unethical; the tickets should not be accepted by anyone on the audit team. ( IAF )

G is wrong because experience does not excuse unethical or unprofessional behavior.

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.

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 and 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.