Lead Auditor ISO 45001

Lead Auditor ISO 45001 practice questions, page 3 of 5, with answer review and explanations.

Question 11

Wash-it-up is an organization that provides window cleaning services for the industrial sector. It has been certified to ISO 45001 for some time and has appointed a new Occupational Health and Safety Manager. The audit plan during a surveillance audit includes the improvement actions, and the auditor asks to see the most recent management review meeting minutes.During the document review before the audit, the auditor collected some information from different areas of the organization. Which two options would be relevant questions for the auditor to ask during the audit? (Choose two.)

  1. Why were changes not made to the Approved Suppliers List due to new organization names adopted by some suppliers?
  2. Why were no safety team meetings held in the last year?
  3. What are the mobile phone numbers of the recently nominated workers' representatives?
  4. Has the organization implemented ISO 14001 for environmental management?
  5. When was the date of the most recent management review meeting?
  6. What about an invitation by the local authority to a meeting on Occupational Health and Safety and ISO 45001 matters in the city's industrial park?

Question 12

An audit team leader arrives at a steel fabrication organization that manufactures stairways to carry out a Stage 2 certification audit. At a meeting with the OHSMS Manager, she is told that they have won their biggest contract from a construction organization to manufacture and install stairways.During the audit, a team member found that several employees had suffered hand injuries over several months due to handrail welds not being properly polished. The OHSMS Manager blames the new employees they had to take on because of the big contract. The auditor raises a nonconformance against clause 10.2 of ISO 45001.In relation to the nonconformity raised by the auditor and in line with the policy of the certification body, the audit team raise improvement opportunities in the audit report.Which three of the options would represent acceptable opportunities for improvement in the report? (Choose three.)

  1. All workers should be given competence tests.
  2. The welding polishers should be disciplined for incompetency.
  3. The induction programme for new employees could include an awareness training video in health and safety.
  4. Additional internal audits of the OHS management system may reduce production problems.
  5. Operational planning activities may benefit from an improved risk-based approach based on international standards for risk management.
  6. The requirement for wearing protective gloves could be extended to shop floor workers across all operations.
  7. A quality control programme could involve non-destructive testing of the welded handrails.
  8. A first aid station could be located next to the handrail polishing operation.

Question 13

A multi-level shopping centre is open every day to the public from 09:00-21:00. During an external audit of the centre to ISO 45001, you establish that there are 120 retail outlets. There are eight escalators to all levels and four sets of elevators. When asked about safety performance improvement objectives, the Centre Manager says that there are plans to reduce the number of reported incidents and complaints.You: I note from the incident log that reported incidents have increased in the past year. Why is this?Centre Manager: The number of shoppers coming into the centre has increased by about 10 per cent in the last year. More people around means that more things will happen.You: What actions have been taken to deal with this increase?Centre Manager: We conducted awareness training for staff. For example, making sure that any hazardous areas are well signed.You: I see that the escalators account for a number of accidents. Have you taken any actions to try and reduce this?Centre Manager: Most of these accidents are caused by people failing to take care at the ends. So, the answer is no, it is difficult to do anything about that.You: How do you monitor safety in the centre?Centre Manager: We train our staff to be alert to potential safety problems when walking round the centre. We empower them to take whatever action is necessary.Select three options that would provide evidence of conformance with clause 9.1.1 of ISO 45001. (Choose three.)

  1. Periodic analysis of the results of improvement actions.
  2. Reports showing that elevators have passed the annual inspection.
  3. A procedure on how to determine trends when analyzing OHS data.
  4. An increase in the visitors using the website.
  5. An OH&S objective to reduce the number of reported incidents.
  6. Signage that alerts visitors to hazards in the centre.
  7. Competency of centre staff.
  8. Reports of accidents to staff members.

Question 14

When conducting an ISO 45001 audit and while reviewing a report of a recent emergency preparedness and response exercise, you note that the organization has determined that it needs to make some changes to its OHSMS in order to improve OH&S performance.Which three of the following statements about the management of change are true? (Choose three.)

  1. The organization is only required to control changes that have been identified by the organization itself.
  2. Management of change requirements apply to new products, services and processes as well as existing products, services and processes.
  3. Management of change requirements only applies to changes that impact the organization's OH&S performance.
  4. The updating of the organization's emergency preparedness and response plan will need to be undertaken in accordance with an established implementation and control of change process.
  5. Developments in knowledge and technology are specifically excluded from change management control.
  6. The organization must retain documented information of all changes made by the organization.
  7. Any changes arising from the emergency exercise that are permanent must be controlled. However, if the changes are intended to be temporary then no control is necessary.
  8. Management of change requirements only apply to planned changes. Unintended changes may or may not be subject to a review process.

Question 15

At the closing meeting, the audit team leader should advise the auditee of situations encountered during the audit that have prevented the audit objectives from being achieved.Which four of the following would constitute such a situation? (Choose four.)

  1. The top management did not attend the closing meeting.
  2. As the tutor who normally delivers calibration training was on holiday, a video he had made explaining the process was supplied instead.
  3. The organization was not keeping any hardcopy documents or records. All of the required documented information was being maintained or retained electronically.
  4. Due to a failure to find the key to the Sales office filing cabinet, it was not possible to review the sales orders.
  5. No personnel records requested were accessed due to an IT failure.
  6. While the audit team had planned to sample 20% of final inspection results, delays earlier in the audit process had reduced this to 2%.
  7. A core process identified for review on the audit plan was not operating due to the only moulding machine being out of service.
  8. The OHS Manager was absent from site during the whole audit.