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

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)

Clause 10.2 of ISO 45001 requires organizations to investigate incidents, determine root causes, and implement corrective actions to prevent recurrence.

Analysis of Options:

A. Check whether corrective actions were taken.This directly relates to the requirement to implement corrective actions to address the identified risks and hazards. Failure to do so would indicate nonconformity.

B. Determine whether the Health and Safety Authority was notified.Notification is a legal requirement in certain jurisdictions, but it is not explicitly required under ISO 45001 unless the legal context demands it.

C. Establish whether the root cause was determined.Root cause analysis is fundamental for effective corrective action. Without this, corrective measures may not address the underlying problem.

D. Find out when the operator ' s machine was last subject to maintenance.While maintenance is important, it does not directly address the incident ' s nonconformity.

E. Find out whether the operator was sent to the hospital.Sending the operator to the hospital is a reactive step and not relevant to compliance with Clause 10.2.

F. Interview the operator about PPE usage.This is relevant but insufficient for determining compliance with Clause 10.2.

ISO References:

Clause 10.2: Investigation of incidents, determination of causes, and implementation of corrective actions.

Clause 8.1.2: Hierarchy of controls and risk reduction.