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PECB ISO-45001-Lead-Auditor Exam Syllabus Topics:
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NEW QUESTION # 20
An auditor of a manufacturer of plastic packaging products for the food industry found a nonconformity in an internal audit report raised against section 10.2 of ISO 45001 in Report IA202. The nonconformity (NC3) stated: "The level of reported health and safety incidents has increased by 9.7% over the last 12 months. This included an increase in reported accidents." Against this background, the third-party audit team found more than twenty minor nonconformities during the audit, which they agreed should be combined into one major nonconformity against clause 4.4 of ISO 45001. "The organisation has failed to demonstrate that it is maintaining and continually improving a health and safety management system." Select two options which would represent acceptable corrective actions for the nonconformity.
- A. Top Management developed and is leading a programme to promote an effective culture of support for the OHSMS.
- B. External consultants were appointed to conduct a gap analysis of the OHSMS and report on the gaps found.
- C. Staff from departments with nonconformities were given regular OH&S safety training sessions during their daily toolbox talks.
- D. OH&S champions were appointed in each department to report near misses and incidents in the OHSMS.
- E. Top management initiated a comprehensive review of the internal and external issues to decide on actions that could lead to improving the performance of the OHSMS.
- F. Union representatives of the workers were invited to attend the OH&S management meetings.
Answer: A,E
Explanation:
Clause 4.4 of ISO 45001 requires organizations to establish, implement, maintain, and continually improve an OH&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&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&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 Reference:
Clause 4.4: Maintaining and improving the OH&S management system.
Clause 5.1: Leadership and commitment.
Clause 10.3: Continual improvement.
NEW QUESTION # 21
In the initial communication by the audit team leader for a certification audit, the OHSMS Manager asks that the audit includes detailed coverage of the OHSMS legislation of the local authority, which has been specified in a recent customer contract.
Which two of the following responses should the audit team leader make?
- A. Ask the individual(s) managing the programme whether the audit criteria can be revised to include the new request.
- B. Suggest that the OHSMS Manager cancels the audit contract and reapplies to include the additional criteria.
- C. Advise the OHSMS Manager that the new criteria can be included without any problem.
- D. Add a legal expert to the audit team in order to accept the request.
- E. Advise the OHSMS Manager that the audit criteria has been set as ISO 45001 and the audit programme for certification will need to proceed as planned.
- F. Inform the OHSMS Manager that an audit against the regulatory criteria may be possible but will require a new audit team.
Answer: A,E
NEW QUESTION # 22
You will lead a second-party audit of an organization that manufactures car batteries. When you are checking the audit plan with the auditee's Safety Manager, she asks you to reduce the production line audit from two hours to one hour and to extend the audit to the warehouse from two hours to three hours. She argues that in the last four internal audits, she did not raise any nonconformities in Production while more than 10 were raised in the warehouse.
Which of the following would be your best answer?
- A. OK. I will change the plan accordingly.
- B. I will not change the plan, but I will consider your comments during the audit.
- C. OK. I will change the plan. If necessary, I will use the lunchtime to stay longer in the warehouse.
- D. OK. I will reduce the time in Production to one hour and will review with you (the Safety Manager) the corrective action process in detail during the second hour.
Answer: B
NEW QUESTION # 23
Wokrer's participations is a key factor for the success of OHSMS. Which three of the following ISO 45001 activities require workers' participation?
- A. Determining competence requirements
- B. Establishing OHS policy
- C. Establishing OHS objectives
- D. Managing internal audit programme
- E. Determining what needs to be communciated
- F. Determining actions to eliminate hazards
Answer: B,C,F
Explanation:
Worker participation is a fundamental principle of ISO 45001 (Clause 5.4). It ensures workers at all levels are involved in key activities to enhance the OH&S management system's effectiveness.
Analysis of Options:
* A. Determining competence requirements:Incorrect. Determining competence is primarily the responsibility of management, though workers may provide input.
* B. Establishing OHS objectives:Correct. Worker involvement ensures objectives are realistic and relevant to workplace conditions (Clause 6.2).
* C. Managing internal audit programme:Incorrect. Managing audits is typically a managerial responsibility, though workers may participate in audits.
* D. Determining actions to eliminate hazards:Correct. Workers' insights are critical in identifying and implementing actions to eliminate hazards (Clause 8.1.2).
* E. Determining what needs to be communicated:Incorrect. While communication strategies impact workers, their participation in determining communication needs is not explicitly required.
* F. Establishing OHS policy:Correct. Workers should be involved in developing policies to ensure relevance and buy-in (Clause 5.2).
ISO References:
* Clause 5.4: Worker participation.
* Clause 6.2: OHS objectives.
* Clause 8.1.2: Hierarchy of controls and hazard elimination.
NEW QUESTION # 24
During an internal audit of an OHSMS, what evidence would the auditor look for to demonstrate conformity to ISO 45001? Match each item with the correct ISO 45001 clause number.
Answer:
Explanation:
Explanation:
A screenshot of a computer Description automatically generated
Explanation:
* Documented information on the organization's legal requirements # Clause 6.1.3:Clause 6.1.3 requires the organization to identify, document, and maintain compliance obligations, including legal and other requirements relevant to OH&S.
* Assessment of OH&S risks # Clause 6.1.2.2:Clause 6.1.2.2 mandates the organization to assess OH&S risks associated with its operations, taking into account hazards, controls, and work activities.
* Internal and external issue determination # Clause 4.1:Clause 4.1 requires organizations to determine internal and external issues that affect the OH&S management system and its intended outcomes.
* Agreements with the organization's external providers # Clause 8.1.4.2:Clause 8.1.4.2 pertains to controlling external providers and ensuring their processes align with OH&S requirements, including documented agreements.
References
* Clause 4.1: Understanding the organization and its context.
* Clause 6.1.2.2: Assessment of risks and opportunities related to OH&S.
* Clause 6.1.3: Compliance obligations.
* Clause 8.1.4.2: Control of external providers.
NEW QUESTION # 25
The following options show key actions involved in a third-party audit. They are not in order. Order the stages in the table to show the sequence in which the actions should take place.
To complete the sequence click on the blank section you want to complete so it is highlighted in red and then click on the applicable stage from the options below. Alternatively, drag and drop the options to the appropriate blank section.
These stages take place after a certification application.
Answer:
Explanation:
NEW QUESTION # 26
A well-known fast-food organisation (ISO 45001 certified) contracts young people to deliver orders; last week one of them died in a street accident riding for the first time a new motorbike provided by the organisation. You will lead the recertification audit in two weeks, and you plan to prepare a checklist to investigate this incident. The following are potential questions you might ask; match them to the related ISO
45001 clause/subclause.
Answer:
Explanation:
Explanation:
A screenshot of a computer Description automatically generated
* Was he made aware of the hazards related to this work? # Clause 6.1.2.1:Clause 6.1.2.1 focuses on hazard identification. Organizations must identify hazards associated with work activities, such as operating a motorbike, and ensure workers are aware of these hazards.
* Was he trained to use the new motorbike? # Clause 7.2:Clause 7.2 requires organizations to ensure that workers are competent to perform their assigned tasks, including providing necessary training for new equipment like a motorbike.
* Was he asked to deliver too many orders in a short period of time? # Clause 8.2:Clause 8.2 relates to managing operational controls and ensuring that work processes do not impose undue risks, such as excessive workloads or time pressure.
* Was he carrying any contact details in case of an accident? # Clause 7.3:Clause 7.3 requires effective communication of information relevant to OH&S, including emergency contact details or procedures for accidents.
ISO References:
* Clause 6.1.2.1: Hazard identification.
* Clause 7.2: Competence.
* Clause 7.3: Awareness and communication.
* Clause 8.2: Operational control.
NEW QUESTION # 27
An auditor of a manufacturer of plastic packaging products for the food industry found a nonconformity in an internal audit report raised against section 10.2 of ISO 45001 in Report IA202. The nonconformity (NC3) stated: "The level of reported health and safety incidents has increased by 9.7% over the last 12 months. This included an increase in reported accidents." Against this background, the third-party audit team found more than twenty minor nonconformities during the audit, which they agreed should be combined into one major nonconformity against clause 4.4 of ISO 45001. "The organisation has failed to demonstrate that it is maintaining and continually improving a health and safety management system." Select two options which would represent acceptable corrective actions for the nonconformity.
- A. Top Management developed and is leading a programme to promote an effective culture of support for the OHSMS.
- B. External consultants were appointed to conduct a gap analysis of the OHSMS and report on the gaps found.
- C. Staff from departments with nonconformities were given regular OH&S safety training sessions during their daily toolbox talks.
- D. OH&S champions were appointed in each department to report near misses and incidents in the OHSMS.
- E. Top management initiated a comprehensive review of the internal and external issues to decide on actions that could lead to improving the performance of the OHSMS.
- F. Union representatives of the workers were invited to attend the OH&S management meetings.
Answer: A,E
Explanation:
Clause 4.4 of ISO 45001 requires organizations to establish, implement, maintain, and continually improve an OH&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&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&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&S management system.
* Clause 5.1: Leadership and commitment.
* Clause 10.3: Continual improvement.
NEW QUESTION # 28
What does ISO 45001 say are the hazards that have to be considered when planning a health and safety management system? Select the ONE best answer.
- A. Work activities, workplace design, and human factors such as hours of work and bullying and harassment
- B. Work hazards and environmental factors such as bad weather
- C. Work activities where there is the possibility of danger
- D. Hot-work, working at height, enclosed space entry, and work on electrical equipment
Answer: A
Explanation:
ISO 45001:2018 requires a holistic approach to occupational health and safety. This means considering all aspects that could impact worker well-being, not just obvious physical hazards. The correct answer encompasses work activities (the tasks themselves), workplace design (the physical environment), and human factors (psychological and social aspects like working hours and harassment). It's the most comprehensive and aligned with the standard's philosophy ISO 45001:2018, Clause 6.1.2, outlines requirements for hazard identification. Hazards to consider include work activities, workplace design, human factors, and social factors that may impact OH&S. These go beyond traditional physical risks and include psychosocial and organizational hazards.
Analysis of Options:
* A. Work activities, workplace design, and human factors such as hours of work and bullying and harassment:Correct. This comprehensively addresses hazard categories outlined in ISO 45001, Clause
6.1.2.
* B. Work activities where there is the possibility of danger:Too general. ISO 45001 includes broader categories of hazards, including those related to organizational and social factors.
* C. Hot-work, working at height, enclosed space entry, and work on electrical equipment:Too narrow. These are specific hazards but do not encompass the full range outlined in ISO 45001.
* D. Work hazards and environmental factors such as bad weather:Incomplete. While environmental factors are relevant, ISO 45001 also includes workplace design, human factors, and psychosocial hazards.
ISO References:
* Clause 6.1.2.1: Hazard identification.
* Annex A.6.1.2: Examples of hazard categories, including workplace design and human factors.
NEW QUESTION # 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?
- A. The auditor should check whether the organization has identified the safety hazards associated with the walled area.
- B. The audit should demand that the Maintenance Manager deals with the wall.
- C. The audit should check the lines of communication between the OHS Manager and maintenance Manager.
- D. The audit should ask the Maintenance Manager to conduct a safety survey.
- E. The audit should raise a nonconformity against ISO 45001.
- F. The auditor should advice the organisation to get rid of the walled area.
- G. The audit should refer the organization to the health and safety authorities.
- H. The auditor should consider surveying more areas of the site for other potentially unsafe situations.
Answer: A,C,H
Explanation:
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference 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 :he 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 :he 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 :he 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 Reference:
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.
NEW QUESTION # 30
Match the correct responsibility with each participant of a second-party audit:
Answer:
Explanation:
Explanation:
A screenshot of a computer Description automatically generated
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.
NEW QUESTION # 31
Wokrer's participations is a key factor for the success of OHSMS. Which three of the following ISO 45001 activities require workers' participation?
- A. Determining competence requirements
- B. Establishing OHS policy
- C. Establishing OHS objectives
- D. Managing internal audit programme
- E. Determining what needs to be communciated
- F. Determining actions to eliminate hazards
Answer: B,C,F
Explanation:
Worker participation is a fundamental principle of ISO 45001 (Clause 5.4). It ensures workers at all levels are involved in key activities to enhance the OH&S management system's effectiveness.
Analysis of Options:
A . Determining competence requirements:
Incorrect. Determining competence is primarily the responsibility of management, though workers may provide input.
B . Establishing OHS objectives:
Correct. Worker involvement ensures objectives are realistic and relevant to workplace conditions (Clause 6.2).
C . Managing internal audit programme:
Incorrect. Managing audits is typically a managerial responsibility, though workers may participate in audits.
D . Determining actions to eliminate hazards:
Correct. Workers' insights are critical in identifying and implementing actions to eliminate hazards (Clause 8.1.2).
E . Determining what needs to be communicated:
Incorrect. While communication strategies impact workers, their participation in determining communication needs is not explicitly required.
F . Establishing OHS policy:
Correct. Workers should be involved in developing policies to ensure relevance and buy-in (Clause 5.2).
ISO Reference:
Clause 5.4: Worker participation.
Clause 6.2: OHS objectives.
Clause 8.1.2: Hierarchy of controls and hazard elimination.
NEW QUESTION # 32
An audit team member assigned to audit the management review and planning processes prepares a work document.
What is the name of the document prepared by the auditor?
- A. Audit plan
- B. Audit checklist
- C. Audit nonconformity report
- D. Audit report
Answer: B
NEW QUESTION # 33
"An audit finding is the result of the evaluation of the collected audit evidence against audit criteria.
Evaluate the following potential formats of audit evidence and select the two that are acceptable.
- A. Documented information on results of OHS site inspections
- B. Observation of video recorded before the audit started demonstrating the performance of a hazardous activity
- C. An audio recording of a dialogue between the OHS manager and a line worker
- D. Statement of facts by the OHS manager"
- E. Unsigned hand-written changes to test results
- F. Statements by a worker that cannot be verified
Answer: A,C
NEW QUESTION # 34
A trainee audit team leader Is being coached by an experienced audit team leader prior to carrying out his first Stage 2 certification audit in the team leader role. They are discussing the typical contents of audit reports and the experienced audit team leader is keen to ensure the trainee understands what such reports should contain.
Which three of the trainee's responses are incorrect?
- A. Audit findings and any related evidence
- B. Contact details for all members of the audit team
- C. The audit conclusions reached
- D. A corrective action plan that add-cross the identified nonconformities
- E. A statement of the audit objectives
- F. Confirmation of the audit scope
- G. A reference to the audit criteria used
- H. A copy of the certification body Invoice for the audit
Answer: B,D,H
Explanation:
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.
NEW QUESTION # 35
An audit team leader prepares the audit plan for an initial Stage 2 certification audit. Which two of the following statements are false?
- A. The organisation should review the audit plan for agreement.
- B. The plan does not need to include the names of the senior managers.
- C. The audit team leader does not select the OHS audit team members.
- D. The audit team leader should present the plan to the auditee before the Stage 2 audit.
- E. The audit team leader should plan to interview each employee.
- F. The organisation should cancel at staff leave during the audit.
Answer: C,E
Explanation:
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference Analysis of Each Option:
A . The organisation should review the audit plan for agreement.
True.
According to ISO 45001 guidelines and ISO 19011 (Guidelines for Auditing Management Systems), it is standard practice for the auditee organization to review and agree to the audit plan to ensure clarity on scope, objectives, and processes.
Reference: ISO 19011:2018, Clause 6.3.2.
B . The audit team leader does not select the OHS audit team members.
False.
The audit team leader is responsible for selecting competent team members with the requisite expertise to evaluate the auditee's Occupational Health & Safety Management System (OHSMS). Selection is based on criteria such as knowledge of ISO 45001, auditing skills, and understanding of the industry.
Reference: ISO 19011:2018, Clause 5.4.2 and 6.3.1.
C . The audit team leader should plan to interview each employee.
False.
While employee interviews are an essential part of gathering evidence during an ISO 45001 audit, interviewing every employee is impractical and unnecessary. A representative sampling strategy is used to assess compliance across various levels and departments.
Reference: ISO 19011:2018, Clause 6.4.6.
D . The audit team leader should present the plan to the auditee before the Stage 2 audit.
True.
Presenting the audit plan to the auditee before the audit is essential to ensure all parties are informed and prepared for the audit. This practice is emphasized in ISO 19011 and supports transparency and effective audit execution.
Reference: ISO 19011:2018, Clause 6.3.3.
E . The organisation should cancel staff leave during the audit.
False.
ISO 45001 and related audit guidelines do not mandate the cancellation of staff leave during audits. While key personnel should be available, the audit team collaborates with the organization to plan around leave schedules to minimize disruption.
Reference: Not explicitly covered in ISO 45001 or ISO 19011; falls under planning discretion.
F . The plan does not need to include the names of the senior managers.
True.
While the audit plan should outline the scope, objectives, and methods, it does not specifically require the inclusion of senior managers' names unless they are directly involved in the audit.
Reference: ISO 19011:2018, Clause 6.3.2.
Key ISO Reference:
ISO 45001:2018, Clause 9.2 (Internal Audit Requirements).
ISO 19011:2018, Clauses 5.4.2, 6.3.1, 6.3.2, and 6.4.6.
NEW QUESTION # 36
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.
- A. Stop the process immediately due to the danger of broken glass to the employees identified by the auditor in training.
- B. Support the auditor in training's decision to raise a nonconformity against 8.1.1 as you share their view that the process is dangerous.
- C. Ask top management if they have considered an alternative way of working more safely with broken glass.
- D. Ask the auditor in training to consult the auditee before raising a nonconformity
- E. 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.
- F. 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.
- G. Advise the auditor in training to focus on hazard identification and any subsequent assessment of OH&S risks prior to making a determination.
- H. Ask the workers if they have been consulted as to how safe they believe the activity is and whether they have ever been injured.
Answer: C,E,G,H
NEW QUESTION # 37
Whistlekleen is a national dry cleaning and laundry organization with 50 shops. You are conducting an OHSMS surveillance audit of the head office and are sampling health and safety performance monitoring.
You find that 80 per cent of incident originate from five shops in the same region. Most of these relate to staff and customer feeling unwell due to breathing in the pungent atmosphere. Some required to be hospitalized.
The OHS Manager tells you that these are the oldest shops in the organization. The cleaning equipment emits Volatile Organic Compounds (VOCs) and needs replacing but the organisation cannot afford it at the moment.
- A. Monitor VOC emissions to ensure compliance with safe limits.
- B. Offer to compensate employees and customers for possible health implications.
- C. Give an explanation to the Agency of what went wrong.
- D. Apologise to the Agency and advise that corrective action will be taken within 15 days.
- E. Advise that the faulty equipment will be replaced within the next two years.
- F. Investigate changing the cleaning process to use chemicals with safe VOC content.
- G. Defend the court case and await the legal outcome.
- H. On raising the matter with senior management, you are told that there are plans to replace the equipment in these shops over the next five years.
- I. Conduct an internal enquiry to establish who is to blame.
- J. Select the three best options for how this should be handled by the organisation through its OHSMS.
- K. When reviewing the nonformity report files, you find the organization is facing a legal dispute with the Health and Safety Agency over multiple breaches of OHAandS legislation.
Answer: G,I,K
NEW QUESTION # 38
You have been assigned by the audit team leader to evaluate the process of complying with application legislation.
Which three of the following statements about the evaluation of compliance are true?
- A. 'Other requirements' include requirements that the organisation has chosen to comply with.
- B. A management review is required in all instances where one or more legal requirements are not being met.
- C. The organisation is required to establish a process for evaluating compliance
- D. Every member of an audit team must have a detailed understanding of the legal requirements for the sector and type of organisation they are auditing.
- E. The organisation is required to evaluate its compliance status with OH&S legal and other requirements
- F. If the organisation is falling to address a legal requirement relating to another discipline e.g. Environmental management, this cannot be raised In the audit.
- G. The organization must evaluate its compliance status at least once a year
- H. The organisation cannot outsource its process for evaluating compliance.
Answer: A,C,E
Explanation:
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference Clause 9.1.2 of ISO 45001:2018 outlines the need for organizations to evaluate compliance with applicable legal and other requirements as part of their OH&S management system.
Analysis of Options:
A :The organization must evaluate its compliance status at least once a year:
The standard does not prescribe a specific frequency but states that evaluations must be conducted at planned intervals.
B :'Other requirements' include requirements that the organization has chosen to comply with:
Correct. Other requirements may include voluntary standards, industry codes, or contractual obligations.
C :A management review is required in all instances where one or more legal requirements are not being met:
This is not true. Management reviews address compliance but are not mandated for every noncompliance.
D :Every member of an audit team must have a detailed understanding of the legal requirements for the sector and type of organization they are auditing:
Not true. Auditors must have general competency but can rely on subject-matter experts for legal specifics.
E :If the organization is failing to address a legal requirement relating to another discipline (e.g., Environmental management), this cannot be raised in the audit:
Not true. If the legal noncompliance impacts OH&S, it can be raised.
F :The organization cannot outsource its process for evaluating compliance:
The organization can outsource evaluation but retains accountability.
G:The organization is required to establish a process for evaluating compliance:
Correct. Clause 9.1.2 requires a process for compliance evaluation.
H :The organization is required to evaluate its compliance status with OH&S legal and other requirements:
Correct. Clause 9.1.2 explicitly states this requirement.
ISO Reference:
Clause 9.1.2: Evaluation of compliance.
Clause 7.5: Documented information requirements
NEW QUESTION # 39
You are auditing a site of Good Food Shack, a restaurant chain. In the kitchen area, you notice a half-filled open drum sitting in a pool of liquid, which is dribbling across a work area. You ask the head Chef what is in the drum and are told it is waste the frying process. When you ask why it is kept there, You are told that it is not normally kept there, but it not a problem and says that he will arrange it to be moved to a storeroom and will give the floor a good clean.
Look around the kitchen, you observe knives and cleavers lying around on worktops, staff wearing no protective gloves and a large pot of boiling water with nobody near it. There is no evidence of any fire extinguishers of fine blankets within sight.
You decide to raise a nonconformance. Select one of the options that best describes the finding against clause
8.1.2 of ISO 45001.
- A. Training of the kitchen staff was not effective enough to prevent poor safety awareness in the kitchen area.
- B. Measures to prevent slippage in the kitchen from waste cooking oil were not taken.
- C. Staff are at risk of serious injury while working in the kitchen.
- D. Failure to reduce risks associated with working in the kitchen.
Answer: D
Explanation:
Comprehensive Detailed Explanation along with All ISO 45001 Audit References Clause 8.1.2 of ISO 45001 pertains to Eliminating Hazards and Reducing OH&S Risks. Organizations must implement appropriate controls to manage workplace hazards effectively.
* Issue Identified:The kitchen environment at the audited site presents multiple hazards, including:
* Oil spillage creating a slip hazard.
* Open drums of waste material posing a chemical or hygiene hazard.
* Unsecured knives and cleavers increasing the risk of cuts.
* Boiling water left unattended, posing a risk of burns.
* Lack of visible fire extinguishers or fire blankets, increasing fire risk.
* Analysis of Options:
* A. Failure to reduce risks associated with working in the kitchen.This option accurately captures the broader failure to implement effective measures to eliminate or reduce hazards across multiple areas in the kitchen.
* B. Measures to prevent slippage in the kitchen from waste cooking oil were not taken.This is specific to one hazard (oil spillage) and does not address other significant risks observed, such as fire safety or sharp tools.
* C. Staff are at risk of serious injury while working in the kitchen.While true, this is more of a general observation and does not address the root cause of the hazards or the failure of controls.
* D. Training of the kitchen staff was not effective enough to prevent poor safety awareness in the kitchen area.Although training deficiencies may contribute to the issue, this option does not reflect the overarching systemic failure to manage hazards effectively.
* Best Description of the Nonconformance:Failure to reduce risks associated with working in the kitchen (Option A) is the most comprehensive finding, reflecting the organization's lack of adequate controls to mitigate hazards.
ISO References:
* Clause 8.1.2: Organizations must establish controls to eliminate or minimize OH&S risks systematically.
* Clause 7.2: Ensuring competency through training is important but must be coupled with hazard control measures.
NEW QUESTION # 40
According to ISO 45001, who should participate in the continuous improvement of the health and safety management system?
- A. Top management and senior officers only
- B. Everyone, at all levels of the company
- C. Top management, senior officers and designated safety representatives only
- D. Top management only
Answer: B
Explanation:
ISO 45001 emphasizes worker participation and engagement at all levels of the organization to support continuous improvement (Clause 5.4 and Clause 10.3). Continuous improvement requires input from everyone, including workers who identify hazards, report incidents, and contribute to safety enhancements.
Analysis of Options:
* A. Everyone, at all levels of the company:Correct. Clause 5.4 explicitly includes all levels of the organization in consultation and participation, fostering continuous improvement.
* B. Top management and senior officers only:Incorrect. While top management plays a crucial role in leadership, ISO 45001 extends the responsibility for participation to all levels.
* C. Top management, senior officers, and designated safety representatives only:Incorrect. Limiting participation to designated representatives excludes a significant portion of the workforce from the improvement process.
* D. Top management only:Incorrect. While top management must lead and commit to continuous improvement, their involvement alone is insufficient under ISO 45001.
ISO References:
* Clause 5.4: Worker consultation and participation.
* Clause 10.3: Continual improvement.
NEW QUESTION # 41
An internal auditor of a manufacturer of plastic packaging products for the food industry raised a nonconformity against section 10.2 of ISO 45001 in Report IA202. The nonconformity (NC3) stated: "The level of reported health and safety incidents has increased by 9.7% over the last 12 months. This included an increase in reported accidents." A third-party auditor reviewing the internal audit process came across the nonconformity and found that there was no evidence of having been reported to relevant staff. Select three of the following nonconformities that the auditor could raise to ISO 45001.
- A. 7.4.3 - The results of the internal audit IA202 were not communicated to interested parties.
- B. 10.2.b - The root cause of the increase in reported health and safety accidents was not investigated.
- C. 9.2.2 - Report IA202 contained a poorly worded nonconformity (NC3).
- D. 8.1.1 - Operations were not properly controlled to avoid health and safety incidents.
- E. 9.2.2.e - Management failed to take any action to deal with the audit nonconformity.
- F. 9.2.2.d - Staff were not made aware that health and safety incidents were increasing.
Answer: A,B,E
Explanation:
Clause 10.2 requires organizations to investigate nonconformities, determine their causes, and take corrective actions to prevent recurrence. Clause 9.2.2 specifies the requirements for managing internal audit processes, while Clause 7.4.3 emphasizes the need to communicate relevant information effectively.
Analysis of Options:
* A. 9.2.2.e - Management failed to take any action to deal with the audit nonconformity:Correct.
Management must ensure that internal audit findings are addressed promptly. The lack of action violates Clause 9.2.2.e.
* B. 9.2.2.d - Staff were not made aware that health and safety incidents were increasing:Incorrect.
This clause pertains to the planning and conduct of audits, not the communication of findings.
* C. 8.1.1 - Operations were not properly controlled to avoid health and safety incidents:Incorrect.
While increased incidents may suggest operational issues, this option does not directly relate to the internal audit findings.
* D. 9.2.2 - Report IA202 contained a poorly worded nonconformity (NC3):Incorrect. The clarity of the nonconformity wording is not directly relevant to Clause 9.2.2.
* E. 10.2.b - The root cause of the increase in reported health and safety accidents was not investigated:Correct. Failure to investigate root causes violates Clause 10.2.b.
* F. 7.4.3 - The results of the internal audit IA202 were not communicated to interested parties:
Correct. Effective communication of audit results is required under Clause 7.4.3.
ISO References:
* Clause 9.2.2: Internal audit process requirements.
* Clause 10.2: Nonconformity and corrective action.
* Clause 7.4.3: Communication requirements.
NEW QUESTION # 42
XYZ Corporation is an organisation that employs 100 people. As an audit team leader, you are conducting a certification audit at Stage1. When reviewing the OH&S management system (OHSMS), you find that the objectives have been defined by an external consultant using those of a competitor, but nothing is documented. The Health and Safety Manager complains that this has created a lot of resistance to the OHSMS, and the Chief Executive Is asking questions about how much It will cost.
Select two erf the options which describe the circumstances h which you could raise a nonconformity against clause 0.2 of ISO 45001.
- A. Establishing OH&S objectives did not include top management.
- B. The organization cannot afford to undertake OH&S objectives all at once
- C. OH&S objectives are not being implemented by the organisation's personnel.
- D. The consultant has not Interpreted ISO 4S001 correctly.
- E. H&S objectives were not establish in alignment with the organizations OH&S polity.
- F. H&S objectives ace not maintained as documented information.
Answer: A,E
Explanation:
Clause 0.2 of ISO 45001 emphasizes the involvement of top management and alignment of OH&S objectives with the organization's OH&S policy.
* Nonconformities Identified:
* The objectives were developed by an external consultant without involving top management, which undermines leadership accountability and commitment.
* The objectives were based on a competitor's framework, not aligned with the organization's unique OH&S policy or context.
* Analysis of Options:
* A. Establishing OH&S objectives did not include top management.True. Clause 5.1 (Leadership) and Clause 6.2 (Objectives) emphasize that top management must be involved in defining and supporting OH&S objectives.
* B. OH&S objectives are not being implemented by personnel.Implementation relates to operationalization, not the development phase, and is not relevant to Clause 0.2.
* C. OH&S objectives are not maintained as documented information.While documentation is required, the absence of documented information is a separate issue under Clause 7.5, not Clause
0.2.
* D. OH&S objectives were not established in alignment with the organization's OH&S policy.True. Clause 6.2.1 requires objectives to align with the OH&S policy, which reflects the organization's commitment to safety and health.
* E. The consultant has not interpreted ISO 45001 correctly.While possibly true, the issue here is the organization's failure to involve top management, not the consultant's interpretation.
* F. The organization cannot afford to undertake OH&S objectives all at once.Financial constraints are not relevant to Clause 0.2; objectives can be prioritized for phased implementation.
ISO References:
* Clause 0.2: Leadership commitment and alignment with organizational policy.
* Clause 5.1: Top management's role in leadership and participation.
* Clause 6.2.1: Establishing OH&S objectives aligned with the policy.
NEW QUESTION # 43
ISO 45001 requires the organisation to maintain and retain documented OH&SMS information.
Check each statement and determine which two are true:
- A. Industry-specific standards provided by the client should be maintained.
- B. The occupational health and safety policy is an example of a document to be kept.
- C. A documented plan for achieving occupational health and safety objectives should be maintained.
- D. The terms "maintain" and "retain" can be used interchangeably."
- E. Documented information to be retained includes material safety data sheets.
- F. The results of emergency drills should be kept.
Answer: B,C
NEW QUESTION # 44
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?
- A. The auditor should check whether the organization has identified the safety hazards associated with the walled area.
- B. The audit should demand that the Maintenance Manager deals with the wall.
- C. The audit should check the lines of communication between the OHS Manager and maintenance Manager.
- D. The audit should ask the Maintenance Manager to conduct a safety survey.
- E. The audit should raise a nonconformity against ISO 45001.
- F. The auditor should advice the organisation to get rid of the walled area.
- G. The audit should refer the organization to the health and safety authorities.
- H. The auditor should consider surveying more areas of the site for other potentially unsafe situations.
Answer: A,C,H
Explanation:
Comprehensive Detailed Explanation along with All ISO 45001 Audit References 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.
NEW QUESTION # 45
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