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  • Exam Name: PECB Certified ISO 45001 Lead Auditor Exam
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ISO-45001-Lead-Auditor Practice Exam Questions with Answers PECB Certified ISO 45001 Lead Auditor Exam Certification

Question # 6

Like many other quality management systems, ISO 45001 uses what is known as a 'PDCA' circle. What do those initials stand for?

A.

Plan, Do, Check, Act

B.

Plan, Do, Check, Ask

C.

Plan, Deliver, Control, Achieve

D.

Prepare, Deliver, Control, Assess

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Question # 7

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&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?

A.

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

B.

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

C.

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

D.

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.

E.

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

F.

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.

G.

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.

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Question # 8

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.

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Question # 9

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.

OH&S objectives are not being implemented by the organisation's personnel.

C.

H&S objectives ace not maintained as documented information.

D.

H&S objectives were not establish in alignment with the organizations OH&S polity.

E.

The consultant has not Interpreted ISO 4S001 correctly.

F.

The organization cannot afford to undertake OH&S objectives all at once

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Question # 10

You identify that the OSHMS manager conducts a safety inspection of the building each day before the museum opens to the public. You review your latest report and note that there seems to be some confusion between what constitutes a hazard and what constitutes a risk.

Which three of the following observations has the OHSMS manager correctly rated?

A.

Conference room emergency sign directs people to an exit that is no longer available for use (Hazard)

B.

The carpet on the main staircase is peeling off (Risk)

C.

The emergency light In the gift shop did not work when checked (Risk)

D.

The fire extinguishers in the Natural World area have not been serviced in the last five years [Risk)

E.

The head of the dinosaur suspended over the main hall has become detached from the rest of the skeleton (Risk)

F.

The non-slip mats have been removed from the restaurant (Risk)

G.

There Is a high possibility of unfit food being sold due to the failure of the oven temperature indicator In the visitors' restaurant (Hazard)

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Question # 11

Select the two options which describe a disadvantage of using a checklist.

A.

Helping with sampling of evidence

B.

Assisting with starting an interview

C.

Ensuring relevant audit trails are followed

D.

Not varying from the checklist when necessary

E.

Noting down evidence details

F.

Using the same checklist for every audit without review

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Question # 12

When calculating an ISO 45001 third party initial audit duration, which two of the following statements are false?

A.

Consider the number of functions related to OHS management

B.

Consider the number of sites to be sampled

C.

Include outsourced processes

D.

Include the time allocated for lunch breaks

E.

Incorporate the time taken to travel to/from the audit location

F.

Think about the complexity of the organization's business

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Question # 13

An audit team leader arrives at a fabrication organisation that manufactures stairways to ..certification audit. At a meeting with the OHSMS Manager the audit finds that the responsibility for worker consultation and participation lies with the managerial team. Select from the options four actions by the managerial team that encourage worker consultation and participation.

A.

Promoting collaborating workers to higher positions

B.

Appointing worker's representatives

C.

Conducting toolbox talks on health and safety

D.

Giving ownership of health and safety matters

E.

Ignoring worker's suggestions

F.

Implementing a payment scheme to reward worker's OHS performance

G.

Implementing methods tor engaging workers

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Question # 14

An audit team leader is interviewing a member of top management in respect of the organisation's performance evaluation processes. It is clear to the audit team leader that there is some confusion as to difference between monitoring and measurement.

Which three of the following statements by the member of top management are correct?

A.

Monitoring and measurement are used to determine the effectiveness of the OHSMS.

B.

Only measurement can be used as an input into identifying hazards, risks and opportunities.

C.

Our calibration equipment was purchased primarily to support the control of high risk hazards.

D.

Performance indicators are measures that we monitor for trends.

E.

We must keep records of our measurement activity, but whether we keep them of our monitoring activity is entirely up to us.

F.

We often use monitoring to conduct a visual check.

G.

We use a measurement process when we need a visual indication that the output of a process is OK.

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Question # 15

You are an audit team leader conducting a Stage 2 audit of a Financial Services Provider. You are currently interviewing the organisation's Risk and Compliance Officer, who appears very competent when it comes to the management of business risks. As the Risk and Compliance Officer, she is also identified as having lead responsibility for the management of OH&S risk, and you are now seeking evidence that she understands the requirements relating to risk that are contained within ISO 45001. During your conversation, she makes the following six statements about risk within an ISO 45001-based OHSMS. Which four of his statements are correct?

A.

The organisation must attempt to identify and address every risk it faces.

B.

The effect of uncertainty (i.e. risk) can result in positive outcomes as well as negative ones.

C.

Although organisations are required to carry out risk management, the method by which they do so is up to them.

D.

Risk assessment is an activity that must be carried out by top management.

E.

The organisation is required to assess risks arising from OH&S hazards.

F.

Risk is often expressed as a combination of likelihood and impact.

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Question # 16

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 advice the organisation to get rid of the walled area.

B.

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

C.

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

D.

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

E.

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

F.

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

G.

The audit should raise a nonconformity against ISO 45001.

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Question # 17

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 audit team leader does not select the OHS audit team members.

C.

The audit team leader should plan to interview each employee.

D.

The audit team leader should present the plan to the auditee before the Stage 2 audit.

E.

The organisation should cancel at staff leave during the audit.

F.

The plan does not need to include the names of the senior managers.

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Question # 18

Which three of the following ISO 45001 activities require the organisation to emphasise non-managerial workers' participation?

A.

Determining competence requirements

B.

Determining how to fulfil legal requirements

C.

Determining controls on outsourced processes

D.

Managing the internal audit programme

E.

Determining what needs to be communicated

F.

Determining actions to eliminate hazards

G.

Establishing the OHS policy

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Question # 19

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 initiated a comprehensive review of the internal and external issues to decide on actions that could lead to improving the performance of the OHSMS.

B.

Union representatives of the workers were invited to attend the OH&S management meetings.

C.

Top Management developed and is leading a programme to promote an effective culture of support for the OHSMS.

D.

Staff from departments with nonconformities were given regular OH&S safety training sessions during their daily toolbox talks.

E.

External consultants were appointed to conduct a gap analysis of the OHSMS and report on the gaps found.

F.

OH&S champions were appointed in each department to report near misses and incidents in the OHSMS.

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Question # 20

In the ISO 45001 health and safety management system, what is 'documented information'? Select the ONE best answer.

A.

Any paperwork generated when the system is in operation

B.

Any information about the system, or generated by it, held in any format

C.

Paperwork such as Permits to work and risk assessments

D.

The master copies of the documents used to operate the system, held in any format

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Question # 21

Out of the following, which is not the Part of PDCA cycle ISO 45001? Select the correct option, and then select Submit.

A.

Treatment of Risks

B.

OHSMS Policy

C.

Environment Management Program

D.

Analyzing OHSMS Performance

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