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

Clause 9.3 of ISO 45001:2018 outlines the requirements for management reviews. These reviews must evaluate the performance of the OHSMS and identify opportunities for improvement. Outputs of management reviews typically include decisions and actions that align with strategic and operational priorities.

Analysis of Options:

A. Decisions related to continual improvement opportunities:This is a valid output, as continual improvement is a key objective of management reviews under Clause 10.3.

B. Allocation of a bigger budget for the OHS department:Resource allocation is a common output of management reviews to address identified needs.

C. Improvements in the OHSMS:Improvements reflect the organization’s commitment to enhancing safety performance.

D. Minutes of previous management reviews:While minutes provide context, they are not an output of the current management review.

E. Opportunities to integrate the OHS management system with other business processes:Integration opportunities are valid outputs, as they enhance the system ' s effectiveness.

F. Plan to prioritize health and safety issues as a business strategy:Strategic alignment of health and safety with business objectives is an expected output.

G. Procurement of new safety harnesses for workers:This is an operational action, not a direct output of the management review process.

H. Report showing the trend of an increase in safety incidents:This is an input to the management review, not an output.

I. Updates to the risk register:Risk register updates reflect changes in identified hazards and risks, making this a valid output.

J. Worker feedback of positive and negative comments:Worker feedback is an input to the management review, not an output.

ISO References:

Clause 9.3: Management review inputs and outputs.

Clause 10.3: Continual improvement actions.

Conducting the interview virtually is the most appropriate response because it preserves the planned audit activity, enables the General Manager to provide the required evidence and avoids unnecessary disruption to the surveillance audit. Remote audit methods are legitimate when the required information can be accessed effectively and confidentiality, connectivity and other audit risks are appropriately managed. Replacing the General Manager with other managers could prevent the auditor from obtaining evidence specifically associated with that person ' s leadership responsibilities. Delaying only that interview until the following week would leave the current audit incomplete, while postponing the entire audit is disproportionate when a practical remote method is available. ISO guidance expressly recognizes physical and virtual audit locations, and ISO/IEC TS 17012 provides dedicated guidance for remote methods in first-, second- and third-party management-system audits.

Clause 5.4 of ISO 45001:2018 emphasizes the importance of worker consultation and participation in the OHS management system. It requires organizations to establish processes that ensure workers are actively involved in decision-making and implementation of OHS practices.

Analysis of Options:

A. Promoting collaborating workers to higher positions:While promotions may boost morale, they do not directly contribute to worker consultation and participation in the OHSMS.

B. Appointing worker representatives:This action fosters direct communication and representation of workers ' interests in health and safety matters.

C. Conducting toolbox talks on health and safety:Toolbox talks are an effective way to engage workers in discussing and addressing health and safety issues.

D. Giving ownership of health and safety matters:Involving workers in decision-making and giving them responsibility for specific health and safety tasks encourages participation.

E. Ignoring workers ' suggestions:This undermines consultation and is contrary to ISO 45001 principles.

F. Implementing a payment scheme to reward workers ' OHS performance:While incentives can motivate safe behavior, they are not a consultation or participation mechanism as required by Clause 5.4.

G. Implementing methods for engaging workers:This aligns directly with Clause 5.4, as effective engagement methods (e.g., surveys, focus groups) enhance participation.

H. Threatening reprisals to whistleblowers:This violates ISO 45001 principles and discourages worker participation.

ISO References:

Clause 5.4: Worker consultation and participation.

Clause 5.1: Leadership’s responsibility to foster participation.

The correct answers are B and D.

In certification audits, the certification body decides the audit team composition and audit time using its own documented procedures and competence requirements. ISO/IEC 17021-1 requires the certification body to determine the competencies needed for the audit team and to assign an audit team that is competent for the audit scope. It also requires the certification body to determine the audit time needed to plan and accomplish a complete and effective audit.

IAF MD 5 further explains that the certification body should consider the composition and size of the audit team to ensure audit effectiveness. This means a client request for “only one auditor” may be considered, but it cannot simply be accepted just to reduce travel costs if that would undermine competence, coverage, or effectiveness.

Therefore:

B is correct because the OHS Manager should be told that audit duration and team make-up are decided in line with the certification body’s internal procedures.

D is correct because the request can be considered, and the certification body can respond after applying its rules and competence requirements.

Why the other options are incorrect:

A is not the best answer because the people managing the audit programme already operate within the certification body’s process.

C is inappropriate; a client request does not justify telling them to use another certification body.

E is incorrect because the accreditation body does not decide the audit team for the client’s audit.

F is incorrect because the request cannot be automatically accepted based only on cost saving.