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

ISO 45001 Clause 5.2 explicitly requires the OH and S policy to be available as documented information, making A the correct statement. The policy must include commitments to provide safe and healthy working conditions, fulfil legal and other requirements, eliminate hazards and reduce OH and S risks, continually improve the OHSMS, and consult and ensure participation of workers. However, option B is incomplete because the prescribed commitment is to eliminate hazards and reduce OH and S risks, not merely to reduce risks in isolation. The policy must be communicated within the organisation and be available to interested parties as appropriate; this does not mean automatically supplying it to every conceivable stakeholder. Workers must be aware of the policy, but ISO 45001 does not prescribe formal policy-awareness training for every worker. The policy must also remain appropriate to the organisation ' s purpose, size and context.

2. Prepare the audit checklist, 3. Obtain objective evidence, 4. Review audit evidence, 5. Document findings

For a first-party audit, the sequence follows the normal audit flow described in ISO auditing guidance: first the audit is initiated and leadership is assigned, then audit activities are prepared, then evidence is collected during the audit, then that evidence is evaluated, then findings are recorded, and finally the audit report is issued. ISO 19011 describes the audit flow as initiating the audit, preparing audit activities, conducting audit activities, and preparing and distributing the audit report. (ISO)

That is why, after 1. Appoint an audit team leader, the next correct step is 2. Prepare the audit checklist. The checklist is part of preparing for the audit and helps the auditor plan questions, clauses, process interactions, and sampling points before going on to collect evidence. (WEDEAQ | Official VDA QMC Partner)

After preparation, the auditor moves to 3. Obtain objective evidence. Audit evidence is gathered through interviews, observation, and review of documented information during the audit. This is a core activity of conducting the audit. (DNV)

Once evidence is collected, the auditor must 4. Review audit evidence. ISO audit practice requires the evidence to be evaluated against the audit criteria to determine whether conformity or nonconformity exists. Evidence is not simply collected and reported immediately; it is first reviewed and assessed. (PRETESH BISWAS)

After reviewing the evidence, the auditor can 5. Document findings. Findings are the result of evaluating the evidence against criteria, so they logically come after evidence review. Recorded findings can include conformity, nonconformity, and opportunities for improvement, depending on the audit plan and method. (PRETESH BISWAS)

The final step is 6. Issue the report, because the report is prepared only after the audit evidence has been reviewed and the findings have been determined and documented. (ISO)

So, the correct full order is:

1. Appoint an audit team leader

2. Prepare the audit checklist

3. Obtain objective evidence

4. Review audit evidence

5. Document findings

6. Issue the report

Audit-team selection must be competence based. Option E is appropriate because an OH and S auditor needs sufficient understanding of applicable statutory, regulatory and other requirements relevant to the organisation ' s activities. This enables the auditor to recognize applicable audit criteria and evaluate objective evidence in the correct regulatory context. Option F is also essential: auditors must communicate clearly during interviews, team discussions, audit findings and closing activities so that evidence and conclusions are accurately understood. An auditor does not need expert-level knowledge of every process; technical experts can supplement the team where specialized competence is required. A history of complaints, unquestioning cooperation with a leader or an intentionally unstructured personal approach are not valid competence criteria. ISO 19011 specifically frames auditor competence around knowledge, skills, professional behaviour and the ability of the overall audit team to achieve the audit objectives.

Analysis of Options:

A. Results of management review:Correct. Clause 9.3 requires retention of management review results as documented information.

B. Risks and opportunities:Incorrect. Risks and opportunities must be considered and managed, but retaining this as documented information is not mandatory.

C. Results of compliance evaluation:Correct. Clause 9.1.2 requires retention of compliance evaluation results.

D. Workers ' current level of competency:Incorrect. Competency must be ensured, but retaining specific competency records is not explicitly required.

E. Assigned responsibilities and authorities:Incorrect. These must be defined and communicated but are not required to be retained as documented information.

F. The relevant requirements of workers:Incorrect. Relevant worker requirements must be considered but not retained as documented information.

G. Effectiveness of corrective actions:Correct. Clause 10.2 requires retention of evidence of corrective actions taken.

H. OH and S Policy:Correct. Clause 5.2 requires the OH and S policy to be maintained as documented information.

ISO References:

Clause 5.2: OH and S policy.

Clause 9.1.2: Compliance evaluation.

Clause 9.3: Management review.

Clause 10.2: Corrective actions.

The closing meeting of a second-party audit focuses on the findings, conformance to agreed requirements, and areas for improvement. ISO 19011:2018 provides guidance on closing meetings, stating that the results of the audit, including conformity with criteria, must be reviewed and agreed upon.

Analysis of Options:

A. The names and email addresses of attendees at the closing meeting:Irrelevant. Attendance details are not part of the audit discussion.

B. The extent of the auditee’s documented information system:While relevant during the audit, it is not typically a focus in the closing meeting.

C. The extent to which the auditee is conforming to OH and S requirements in supply contracts:Correct. Second-party audits often assess compliance with contractual requirements.

D. The extent to which the auditee conforms to ISO 45001 requirements:Correct. The core purpose of the audit is to evaluate conformity to ISO 45001.

E. The nature of the trading relationship between the organizations:Correct. The trading relationship often shapes the scope and context of second-party audits.

F. Whether the audit has correctly performed in current contracts with other customers:Irrelevant. The focus is on the specific audit, not contracts with other customers.

G. Whether the work instructions for a specific OH and S process are focused on efficiency:Irrelevant. Efficiency is not the primary focus of an OH and S audit.

ISO References:

ISO 19011:2018, Clause 6.6.1: Conducting the closing meeting.

ISO 45001:2018, Clause 9.2: Internal audit requirements.

Audit reports should provide a clear summary of the audit process, findings, and conclusions based on the defined scope, objectives, and criteria. They do not include administrative details (e.g., invoices) or operational aspects (e.g., corrective action plans).

Analysis of Options:

A. A copy of the certification body invoice for the audit:Incorrect. Invoices are unrelated to the content of audit reports and are handled separately.

B. A reference to the audit criteria used:Correct. Audit criteria (e.g., ISO 45001 standards) must be included in the report to define the basis for the audit.

C. A statement of the audit objectives:Correct. The report must outline the objectives to ensure clarity on the purpose of the audit.

D. Audit findings and any related evidence:Correct. Findings and evidence are essential to support conclusions and recommendations.

E. Confirmation of the audit scope:Correct. The scope defines the boundaries of the audit and must be documented in the report.

F. Contact details for all members of the audit team:Incorrect. Personal contact details are unnecessary and not typically included in reports.

G. The audit conclusions reached:Correct. Conclusions summarize the outcomes of the audit, such as conformity, nonconformities, or recommendations.

H. A corrective action plan that addresses the identified nonconformities:Incorrect. Corrective action plans are the auditee ' s responsibility and not included in the audit report.

ISO References:

ISO 19011:2018, Clause 6.7.3: Content of audit reports.

Stage 1 is the readiness and preliminary assessment stage of an initial certification audit. Its purposes include reviewing relevant management-system documented information, assessing site-specific conditions and determining whether the organisation is sufficiently prepared for Stage 2. Any weaknesses that could become nonconformities during Stage 2 can therefore be communicated as areas of concern, making C correct. Option A is incorrect because ISO 19011 provides auditing guidance; the formal two-stage certification requirements are established through ISO/IEC 17021-1. Option B describes the more extensive Stage 2 assessment, where effective implementation and conformity are evaluated. Option D is also incorrect because discussions with client personnel form part of Stage 1 readiness determination. ISO 45001 Lead Auditor training material explicitly identifies Stage 1 areas of concern that could become Stage 2 nonconformities.