PECB ISO-45001-Lead-Auditor - PECB Certified OHSMS ISO 45001 Lead Auditor Exam

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

A-Hazard identification, B-Internal Communication, C-Management review, D-Incidents

ISO 45001 structures the OHSMS around the Plan-Do-Check-Act model. Plan includes identifying hazards, assessing OH and S risks and opportunities, determining requirements, and establishing objectives; therefore, Hazard identification belongs to Plan. Do concerns implementation and operation of the management system, including support processes such as communication, making Internal Communication the correct placement. Check covers monitoring, measurement, internal auditing and management review, so Management review belongs to Check. Act addresses improvement following performance evaluation, including responding to incidents, nonconformities and corrective-action requirements; therefore, Incidents belongs to Act. The mapping reflects the ISO 45001 clause architecture: planning in Clause 6, support/operation in Clauses 7–8, performance evaluation in Clause 9, and improvement in Clause 10.

Explanation

Prepares the audit report → Audit Team Leader:The Audit Team Leader is responsible for compiling and preparing the final audit report, summarizing findings and conclusions.

Prepares audit checklists for use during the audit → Auditor:Auditors create checklists to ensure a thorough and systematic evaluation during the audit.

Participates under the direction and guidance of an auditor → Auditor in Training:An auditor in training works under supervision to gain experience and contribute to the audit process.

Follows up on audit findings within an agreed timeframe → Auditee:The auditee is responsible for addressing and resolving audit findings and providing evidence of corrective actions.

A person who accompanies the audit team but does not act as an auditor → Observer:Observers are typically external parties or internal personnel who watch the audit process but do not participate actively.

Escorts the auditors but does not participate in the audit → Guide:A guide facilitates the audit by helping auditors navigate the site and access relevant areas or documents.

References

ISO 19011:2018: Guidelines for auditing management systems.

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 auditor should assess whether the organization ' s planned action (using masks in case of dust extraction failure) is both implemented and effective. This aligns with ISO 45001 requirements to ensure that control measures are functional and meet the intended objectives.

Clause 8.1.2 (Hierarchy of Controls):The use of PPE, such as masks, is considered a last resort in the hierarchy of controls. The organization must demonstrate that the measure is:

Implemented (e.g., PPE is available and workers are trained to use it).

Effective (e.g., masks provide adequate protection against dust).

Analysis of Options:

A. Advise that the factory should cease operations if the dust extraction equipment malfunctioned.While ceasing operations may be a necessary control in extreme situations, it is not a practical or realistic recommendation unless a high-risk scenario cannot be otherwise managed.

B. Ask the OHSMS Manager to confirm regulatory compliance.Regulatory compliance is important but does not fully address the requirement to ensure the action is effective.

C. Seek evidence that the response action is both implemented and effective.This is the most appropriate response. The auditor must verify implementation and effectiveness to determine conformity.

D. Suggest increasing maintenance checks.Maintenance is important for preventing equipment breakdowns, but this option does not address the immediate audit finding about the adequacy of response actions.

ISO References:

Clause 8.1.2: Emphasizes applying the hierarchy of controls effectively.

Clause 9.1.1: Requires monitoring and measuring controls to ensure effectiveness.

Clause 4.4 of ISO 45001 requires organizations to establish, implement, maintain, and continually improve an OH and S management system. The corrective actions must address systemic issues, involve leadership commitment, and aim to foster a strong safety culture.

Analysis of Options:

A. Top management initiated a comprehensive review of internal and external issues:Correct. A review of internal and external issues aligns with Clause 4.1 and demonstrates leadership commitment.

B. Union representatives were invited to attend OH and S management meetings:Incorrect. While participation is valuable, it is not a systemic corrective action.

C. Top management developed and is leading a programme to promote an effective culture of support:Correct. Promoting a safety culture is a proactive measure and aligns with Clause 5.1 (Leadership).

D. Staff from departments with nonconformities received regular safety training during toolbox talks:Incorrect. While training addresses specific gaps, it does not address systemic issues.

E. External consultants conducted a gap analysis of the OHSMS:Incorrect. While helpful, this action does not demonstrate leadership or address systemic improvement.

F. OH and S champions were appointed in each department to report near misses and incidents:Incorrect. This is a good practice but does not directly address Clause 4.4’s requirement for systemic improvement.

ISO References:

Clause 4.4: Maintaining and improving the OH and S management system.

Clause 5.1: Leadership and commitment.

Clause 10.3: Continual improvement.

Ethical – C

Diplomatic – F

Open to improvement – B

Perceptive – E

These behaviours are standard auditor personal attributes used in lead auditor training and are aligned with audit competence guidance.

Ethical – C. Fair, truthful, sincere, honest, discreet

An ethical auditor acts with integrity. This includes honesty, truthfulness, sincerity, fairness, and discretion when handling audit evidence, findings, and confidential information. Ethical behaviour is essential because audit conclusions must be trusted and based on professional conduct.

Diplomatic – F. Tactful in dealing with individuals

A diplomatic auditor interacts with people carefully and respectfully. During audits, questions may be sensitive, findings may be difficult to communicate, and interviewees may feel pressure. Being tactful helps maintain cooperation and supports effective evidence gathering.

Open to improvement – B. Willing to learn from situations

An auditor who is open to improvement learns from audit experience, changing conditions, and new information. This behaviour supports continual development and better audit effectiveness over time.

Perceptive – E. Aware of and able to understand situations

A perceptive auditor recognizes what is happening in the audit environment and understands the significance of what is seen, heard, and observed. This helps the auditor detect inconsistencies, identify risks, and understand process realities beyond prepared answers.

Why the other options are not used here:

A. Persistent and focused on objectives describes tenacious behaviour.

D. Actively observing surroundings/activities describes observant behaviour.

So the correct matching is:

Ethical – C

Diplomatic – F

Open to improvement – B

Perceptive – E