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

A first-party audit is an internal audit. In ISO management system auditing terminology, first-party audits are performed by, or on behalf of, the organization itself to evaluate its own management system. Therefore, E. Internal audit is directly correct.

A first-party audit can also be carried out as a process audit when the organization audits one of its own processes to determine whether it is planned, implemented, maintained, and effective. Since internal audits under ISO 45001 are planned and conducted over processes, functions, and areas within the OH and S management system, D. Process audit also applies.

Why the other options are not correct:

A. Certification audit is a third-party audit, carried out by a certification body, not a first-party audit.

B. Surveillance audit is also a third-party certification body activity conducted after certification.

C. Regulatory audit is performed by a regulator or authority, not by the organization on itself.

F. External audit does not describe a first-party audit, because first-party audits are internal by definition.

Therefore, the two phrases that apply to a first-party audit are:

D, E

ISO 45001:2018 Clause 9.3.3 states that the outputs of management review shall include decisions related to:

the continued suitability, adequacy and effectiveness of the OH and S management system,

opportunities for continual improvement,

any need for changes to the OH and S management system,

resources needed,

actions, if needed,

opportunities to improve integration of the OH and S management system with other business processes, and

any implications for the strategic direction of the organization.

Based on that, the six correct outputs are:

B. Procurement of new safety harnesses for workers

This is evidence of an action/resource decision arising from management review. It shows management has decided to provide resources or take action to improve OH and S performance.

D. Allocation of a bigger budget for the OHS department

This clearly matches resources needed, which is specifically listed as a management review output.

E. Plan to prioritise health and safety issues as a business strategy

This fits implications for the strategic direction of the organization, which ISO 45001 names as a management review output.

F. Decisions related to continual improvement opportunities

This is almost verbatim from Clause 9.3.3: management review outputs include decisions related to opportunities for continual improvement.

G. Improvements in the OHSMS

This reflects changes needed in the OH and S management system and resulting improvement actions. Where management review decisions lead to system improvements, those improvements are valid output evidence from the review.

J. Opportunities to integrate the OHS management system with other business processes

This is directly stated in Clause 9.3.3 as a required management review output.

Why the other four are not outputs:

A. Report showing the trend of an increase in safety incidents is an input to management review under performance information and trends, not an output.

C. Minutes of previous management reviews are also an input, because management review must consider the status of actions from previous reviews.

H. Worker feedback of positive and negative comments is an input, linked to consultation, participation, and relevant communications.

I. Updates to the risk register may result from actions elsewhere in the system, but they are not specifically identified in ISO 45001 as required management review outputs.

Therefore, the six statements that represent output audit evidence for management review are:

B, D, E, F, G, J

Hazard: A potential source of harm or adverse health effects.

Risk: The likelihood of harm occurring as a result of the hazard.

Danger: An immediate threat that requires urgent action.

Analysis of Options:

A. Conference room emergency sign directs people to an exit that is no longer available for use (Hazard):Correctly identified as a hazard since it poses a potential risk during emergencies.

B. The carpet on the main staircase is peeling off (Risk):This is a hazard, not a risk, as it represents a source of potential harm.

C. The emergency light in the gift shop did not work when checked (Risk):This is a hazard because it is a condition that could lead to a risk during emergencies.

D. The fire extinguishers in the Natural World area have not been serviced in the last five years (Risk):Correctly identified as a risk because the likelihood of fire-related harm increases without proper servicing.

E. The head of the dinosaur suspended over the main hall has become detached from the rest of the skeleton (Risk):This is a hazard, not a risk, as it represents a potential source of harm.

F. The non-slip mats have been removed from the restaurant (Risk):This is a hazard, not a risk.

G. There is a high possibility of unfit food being sold due to the failure of the oven temperature indicator in the visitors ' restaurant (Hazard):This is a risk because it specifies the likelihood of harm occurring (selling unfit food).

H. There is a water leak next to the electric heater in the admissions area (Danger):Correctly identified as a danger because it represents an immediate and critical threat.

ISO References:

Clause 6.1.2: Hazard identification and assessment of risks and opportunities.