PECB ISO-45001-Lead-Auditor Exam Questions Free Practice Test

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Viewing questions 21-30 out of questions

Questions # 21:

You are auditing clause 4.1 (Context of the organisation) with a member of the organisation ' s top management. You ask them for examples of external issues the OHSMS is currently facing.

Which three of their responses would you accept as valid examples of such issues?

Options:

I accept our health and safety procedures have not been revised for 12 months now. We just keep pushing the review further and further down the ' to do ' list.

New health and safety legislation was implemented in our sector last month and we are all struggling to work out how best to comply with the new regulations.

Our top management are demanding monthly health and safety performance reports ever since the fatal accident in warehouse C last year.

The Government has just launched an initiative to provide research and development grants to organisations like ours.

The training department have decided to use their budget on customer service training in preference to health and safety training.

The worker OH and S suggestion scheme has been temporarily suspended after some inappropriate comments were made by staff.

We are struggling to appoint an OH and S manager as the salary we can offer is not competitive in today ' s market.

Expert Solution

Questions # 22:

At a wall before sweeping up the reside into baskets. They have asked to see the criteria (in this case work instructions) relating to this process and find that workers are following the instructions given. The auditor in training, however, considers the process to be dangerous and wants to raise a nonconformity against clause 8.1.1.

How would you react? Select four.

Options:

Ask the auditor in training to consult the auditee before raising a nonconformity

Stop the process immediately due to the danger of broken glass to the employees identified by the auditor in training.

Advise the auditor in training to focus on hazard identification and any subsequent assessment of OH and S risks prior to making a determination.

Advise the auditor in training that they cannot raise a nonconformity against 8.1.1 as there is no evidence that the planned and implemented process is not effectively handling waste safely.

Ask the workers if they have been consulted as to how safe they believe the activity is and whether they have ever been injured.

Ask top management if they have considered an alternative way of working more safely with broken glass.

Invite the auditor in training to take part in breaking bottles to determine if the process really is dangerous or not. Providing they are not hurt, take no additional action.

Expert Solution

Questions # 23:

Select three options that would provide evidence of conformance with clause 9.1.1 of ISO 45001.

Options:

A procedure on how to determine trends when analysing OHS data.

An increase in the visitors using the website.

An OH and S objective to reduce the number of reported incidents.

Competency of centre staff.

Periodic analysis of the results of improvement actions.

Reports of accidents to staff members.

Reports showing that elevators have passed the annual inspection.

Expert Solution

Questions # 24:

You are conducting a Stage 2 audit of a steel fabrication works that uses powerful presses to shape steel sheets into various car panels. You note from the accident book that more staff hours have been lost through accidents associated with the presses than those associated with any other equipment.

You question the OH and S manager who tells you, " These big presses are just inherently more dangerous than other equipment. If there is an accident, it ' s going to be more serious as a result of the forces at work. "

Which three of the following audit trails would it now be appropriate to pursue?

Options:

Check whether the organisation has big enough finances to invest in fully automated pressing machines which would not need manual workers.

Determine whether the organisation had considered changing the panels to plastic mouldings which would be less likely to cause accidents.

Ask top management to explain how the reoccurring accidents would affect the setting of future OH and S objectives.

Check that the workers who had been injured had received appropriate compensation, so they did not suffer financially from their accidents or working hours lost while recovering.

Determine whether hazard identification had taken place in respect of the pressing process. If it did, what OH and S risks were identified and what actions were instigated to mitigate these risks?

Determine whether there were any maintenance issues that resulted in the machines being unsafe to use, such as broken or missing guards or faulty emergency stop buttons.

Ensure that the organisation had recorded the reoccurring accidents as an external issue in its determination of context of the organisation. Ensure all interested parties had been informed.

Expert Solution

Questions # 25:

An auditor has just completed an interview with a member of top management (TM), a highly experienced professional, but who has never worked within an ISO management system environment before.

They want to take the opportunity to ask the auditor about a number of management system requirements. As the interview has finished a little early, the auditor agrees.

Which three of the following auditor responses are correct?

Options:

TM - Do we as top management have to document responsibilities and authorities for relevant roles? Auditor - Yes, you do.

TM - Do we as top management need to ensure the resources necessary for the effective operation of the OHSMS are made available? Auditor - Yes, you do.

TM - Do we as top management have to ensure processes are established for worker consultation and participation? Auditor - No, you do not.

TM - Do we as top management have to write the OH and S policy statement? Auditor - Yes, you do.

TM - Do we as top management have to ensure that the OH and S management system achieves its intended results? Auditor - No, you do not.

TM - Do we as top management have to write the organisation ' s OH and S objectives for the coming year? Auditor - Yes, you do.

TM - Do we as top management need to promote continual improvement? Auditor - Yes, you do.

Expert Solution

Answer

A, B, G

Explanation

The three correct responses are A, B, and G .

A is correct because ISO 45001 Clause 5.3 requires top management to ensure that the responsibilities and authorities for relevant roles are assigned, communicated and understood at all levels within the organization , and that they are maintained as documented information . So if top management asks whether responsibilities and authorities for relevant roles have to be documented, the correct answer is yes .

B is correct because Clause 5.1 Leadership and commitment requires top management to ensure that the resources needed to establish, implement, maintain and improve the OH and S management system are available . Therefore, the auditor’s “Yes, you do” is correct.

G is correct because Clause 5.1 also requires top management to promote continual improvement . This is stated directly as part of top management leadership and commitment responsibilities under ISO 45001.

Why the others are not correct:

C is incorrect because top management does have to ensure that processes are established for consultation and participation of workers . Clause 5.4 makes this a requirement, so “No, you do not” is wrong.

D is incorrect as written. Top management must establish, implement and maintain the OH and S policy, but ISO 45001 does not state that top management personally has to “write” it. The wording in the option is too specific and not how the standard states the requirement.

E is incorrect because top management does have to ensure that the OH and S management system achieves its intended results. Clause 5.1 says this directly.

F is incorrect because top management must ensure OH and S objectives are established and compatible with the strategic direction, but ISO 45001 does not require top management personally to “write” the objectives.

H is incorrect because the organization must determine the scope under Clause 4.3 , and top management remains accountable for the OH and S management system. Saying “No, you do not” is not correct in this context.

Questions # 26:

Which two of the following are ' criteria ' in relation to a first-party audit?

Options:

Members of the audit team

Duration of the audit

Emergency plans

Management policy

Opportunities for improvement

Workers complaints "

Expert Solution

Questions # 27:

" ISO 45001:2018, in clauses 6.1.3 and 9.1.2, refers to " legal requirements and other requirements " . From the list below, select two that are " other requirements " .

Note: ILO stands for " International Labour Organisation "

NGO stands for " non-governmental organisation "

Options:

Opinions on legal compliance by a customer

Requirements from neighbours

Agreements between the organisation and workers

ILO initiatives the organisation subscribes to

Instructions on product use by customers

Requirements established by the government

Expert Solution

Questions # 28:

Which two of these statements about processes are true?

Options:

All processes must have a designated process owner who has specific responsibility to ensure the process remains under control.

All processes needed to meet the requirements of the OHSMS must be documented.

OHS and S processes that are undertaken by external providers may or may not form part of the organisation ' s OHSMS.

OHS and S processes that are undertaken by external providers must be audited to ensure they are controlled.

The organisation must implement controls to ensure processes are operating in accordance with defined criteria.

The organisation must seek to continually improve its OHSMS processes

Expert Solution

Questions # 29:

Showitoff is an organisation spcialising in the design and production of wall decorating material for the domestic market. During an ISO 45001 certification audit of the site, the auditor comes across an open, walled area just outside the maintenance department. It contains various scraps of wood and metal as well as several rusty components. Several heavy concrete beams are learning against a thin brick wall in which cracks are visible. When asked about it, the OHS Manager states that he presume that the material come from maintenance work, so it is the Maintenance Manager’s responsibility.

The auditor interviews the Maintenance Manager in his department. He asks about the area outside and is told that it contains some excess materials that the Manager likes to keep in case they come in handy at some stage. The auditor points out that the wall appears to be unstable collapse at any moment. The Maintenance Manager is not aware of such a situation.

Which three statement represent good audit practice?

Options:

The auditor should advice the organisation to get rid of the walled area.

The audit should ask the Maintenance Manager to conduct a safety survey.

The audit should check the lines of communication between the OHS Manager and maintenance Manager.

The auditor should check whether the organization has identified the safety hazards associated with the walled area.

The auditor should consider surveying more areas of the site for other potentially unsafe situations.

The audit should demand that the Maintenance Manager deals with the wall.

The audit should raise a nonconformity against ISO 45001.

Expert Solution

Answer

C, D, E

Explanation

Clause 6.1.2 of ISO 45001:2018 emphasizes the identification of hazards and assessment of risks, and Clause 5.4 highlights the importance of consultation and communication among roles. The auditor ' s role includes verifying conformity to these clauses through evidence gathering and observation.

Analysis of Options:

A. The auditor should advise the organization to get rid of the walled area. This is outside the scope of an auditor’s role, which is to observe and report findings, not to dictate specific actions.

B. The auditor should ask the Maintenance Manager to conduct a safety survey. While safety surveys are useful, asking the Maintenance Manager to conduct one is not the auditor’s responsibility.

C. The auditor should check the lines of communication between the OHS Manager and Maintenance Manager. This aligns with ISO 45001:2018, Clause 5.4, as communication gaps may have contributed to the situation.

D. The auditor should check whether the organization has identified the safety hazards associated with the walled area. Clause 6.1.2 requires hazard identification. The auditor must determine whether this has been done.

E. The auditor should consider surveying more areas of the site for other potentially unsafe situations. Broadening the audit scope to identify additional risks is a good practice in line with Clause 9.2.2.

F. The auditor should demand that the Maintenance Manager deals with the wall. Demanding action is not within the auditor’s authority. The auditor should raise findings instead.

G. The auditor should raise a nonconformity against ISO 45001. While this may be appropriate depending on evidence, raising a nonconformity is not a replacement for good audit practices.

H. The auditor should refer the organization to health and safety authorities. This step is extreme and should only occur if there is an imminent danger and no action is being taken.

ISO References:

Clause 6.1.2: Hazard identification and risk assessment.

Clause 5.4: Worker consultation and participation.

Clause 9.2.2: Internal audit program and execution.

Questions # 30:

Which three of the following findings could be used to support a nonconformity against ISO 45001:2018 clause 7.2 Competence?

Options:

There is no evidence that workers are aware of the consequences of not conforming to the requirements of the OHSMS.

There is no evidence that workers remove themselves from situations they consider to be dangerous.

There is no evidence that workers have the ability to identify hazards.

There is no evidence that workers understand their contribution to the overall effectiveness of the OHSMS.

There is no evidence that workers are assigned the responsibility for identifying health and safety risks and opportunities.

There is no evidence that the knowledge and skills of workers are assessed against the requirements of their roles.

There is no evidence that workers understand the quality policy or quality objectives.

Expert Solution

Answer

C, F, H

Explanation

ISO 45001 Clause 7.2 Competence requires the organization to:

determine the necessary competence of workers that affect or can affect OH and S performance;

ensure workers are competent , including the ability to identify hazards ;

where applicable, take actions to acquire and maintain competence and evaluate the effectiveness of those actions; and

retain appropriate documented information as evidence of competence .

Based on that wording, C is clearly correct because the clause explicitly says workers must be competent, including having the ability to identify hazards . If there is no evidence of that ability, this directly supports a nonconformity against Clause 7.2.

F is also correct because Clause 7.2 requires the organization to determine the competence needed for roles and ensure workers meet it. If there is no evidence that workers’ knowledge and skills are assessed against role requirements , the organization cannot demonstrate that competence has been determined and verified.

H is the third correct answer because Clause 7.2 requires the organization to retain documented information as evidence of competence . Attendance on OH and S training is not, by itself, full proof of competence, but the absence of training records can still support a finding that the organization lacks documented evidence related to competence development and maintenance.

Why the others are not Clause 7.2 findings:

A belongs to Clause 7.3 Awareness , which requires awareness of the consequences of not conforming.

B also relates more to Clause 7.3 Awareness , which includes awareness of the ability to remove themselves from imminent and serious danger.

D is also Clause 7.3 Awareness , because workers must understand their contribution to the effectiveness of the OHSMS.

E relates to consultation and participation under Clause 5.4, not competence.

G refers to quality policy and objectives, which are not ISO 45001 OH and S competence requirements.

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