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PECB Certified ISO 45001 Lead Auditor Exam ISO-45001-Lead-Auditor Prüfungsfragen mit Lösungen (Q41-Q46):
41. Frage
Select the two options which represent an advantage of using a sampling plan for the audit.
- A. Overrules the auditor's instincts
- B. Gives confidence in the audit results
- C. Implements the audit plan efficiently
- D. May require an increased audit duration
- E. May miss key issues
- F. Use of the plan for consecutive audits without review
Antwort: B,C
42. Frage
When calculating an ISO 45001 third party initial audit duration, which two of the following statements are false?
- A. Consider the number of sites to be sampled
- B. Incorporate the time taken to travel to/from the audit location
- C. Consider the number of functions related to OHS management
- D. Think about the complexity of the organization's business
- E. Include the time allocated for lunch breaks
- F. Include outsourced processes
Antwort: B,E
Begründung:
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference Analysis of Each Option:
A . Consider the number of functions related to OHS management.
True.
The number of functions related to OHS management directly impacts the audit duration. More functions require additional time for the auditor to review documentation, processes, and implementation across those areas.
Reference: IAF MD 5:2020, Clause 2.3.1 (factors affecting audit time).
B . Consider the number of sites to be sampled.
True.
For multi-site organizations, the number of sites to be sampled is critical in calculating audit duration. Sampling requirements are determined using guidelines such as IAF MD 1:2022 and depend on the complexity, size, and risks associated with each site.
Reference: IAF MD 1:2022, Clause 4.2.
C . Include outsourced processes.
True.
Outsourced processes that affect the OHS management system must be evaluated as part of the audit. This includes reviewing the organization's control over such processes. Auditing these aspects impacts the audit duration.
Reference: ISO 45001:2018, Clause 8.1.4 and IAF MD 5:2020, Clause 2.3.1.
D . Include the time allocated for lunch breaks.
False.
Lunch breaks are not considered part of the audit duration as they do not contribute to the assessment of the management system. Audit time calculations exclude non-working hours, including breaks.
Reference: IAF MD 5:2020, Clause 2.5.
E . Incorporate the time taken to travel to/from the audit location.
False.
Travel time is excluded when calculating the audit duration. While travel logistics are considered in audit planning, they do not count towards the total audit time.
Reference: IAF MD 5:2020, Clause 2.5.
F . Think about the complexity of the organization's business.
True.
The complexity of the organization's business, including the nature of hazards, risks, and legal obligations, significantly affects the audit duration. More complex operations typically require longer audit times.
Reference: IAF MD 5:2020, Clause 2.3.1.
Key ISO and IAF Reference:
ISO 45001:2018: Clause 9.2.2 (Audit Program).
IAF MD 5:2020: "Determination of Audit Time of Quality and Environmental Management Systems." IAF MD 1:2022: "Audit and Certification of Multiple Sites Based on Sampling."
43. Frage
You are an audit team leader overseeing the activity of a trainee auditor. Your team has just completed a surveillance audit and is assembling the final report.
The trainee has not contributed to a final report before and is clearly struggling with what she should provide to you for inclusion.
Which three of her following statements would be appropriate?
- A. The Sales Manager was kind and seems to be a nice person.
- B. The audit client's objectives for this audit were never realistic. That's why we were unable to complete the audit plan.
- C. The OHS Manager disagreed with me In respect of all of the nonconformances I raised. He still does not accept any of them.
- D. The OHS Management team were extremely helpful and went out of their way to facilitate access to required records.
- E. The Sales Manager said he had forgotten the password to the Sales Ordering system and so too had everyone else In his department
- F. The Production Manager is kicky to have a job as he does not appear to understand how anything works around here.
- G. The maintenance team could not replace a lightbulb, let alone an air conditioning unit.
- H. The guide was trying to be helpful and would not stop talking during the audit.
Antwort: B,D,E
Begründung:
Audit reports should focus on objective evidence, observations, and findings relevant to the management system and the audit process. Personal opinions, unrelated remarks, or derogatory comments are inappropriate.
Analysis of Statements:
* A. The guide was trying to be helpful and would not stop talking during the audit:Incorrect. This is irrelevant to the audit findings or conclusions.
* B. The Sales Manager was kind and seems to be a nice person:Incorrect. Personal opinions about individuals are not appropriate in audit reports.
* C. The audit client's objectives for this audit were never realistic. That's why we were unable to complete the audit plan:Correct. This is relevant as it relates to the audit process and highlights challenges in meeting objectives.
* D. The maintenance team could not replace a lightbulb, let alone an air conditioning unit:
Incorrect. This is derogatory and irrelevant to the audit report.
* E. The OHS Management team were extremely helpful and went out of their way to facilitate access to required records:Correct. This is a valid observation about cooperation during the audit process.
* F. The OHS Manager disagreed with me in respect of all of the nonconformances I raised. He still does not accept any of them:Incorrect. While disagreements may occur, this statement is overly subjective and not constructive.
* G. The Production Manager is lucky to have a job as he does not appear to understand how anything works around here:Incorrect. Personal attacks or irrelevant judgments have no place in the report.
* H. The Sales Manager said he had forgotten the password to the Sales Ordering system and so too had everyone else in his department:Correct. This relates to system access and could indicate a nonconformance or an opportunity for improvement.
ISO References:
* ISO 19011:2018, Clause 6.7: Reporting audit results.
44. Frage
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. 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.
- B. Ask top management to explain how the reoccurring accidents would affect the setting of future OH&S objectives.
- C. 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.
- D. Determine whether the organisation had considered changing the panels to plastic mouldings which would be less likely to cause accidents.
- E. Check whether the organisation has big enough finances to invest in fully automated pressing machines which would not need manual workers.
- F. 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.
- G. 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?
Antwort: A,C,G
45. Frage
You are conducting an ISO 45001 audit of Widgets Inc.., an organization manufacturing machine parts for the aerospace industry, You find a short entry in the incident report file connecting a machine operator who suffered minor injury to his face four weeks ago when a small ribbon of metal hit him while operating his machine.
The subsequent investigation found that he was not wearing the required protective Personal Protective Equipment (PPE). He was subject to disciplinary action and warned that he would lose his job if it happened again.
Select two option of points of investigation which you would consider in order to determine conformity or nonconformity with clause 10.2 of ISO 45001.
- A. Check whether any corrective actions were taken to eliminate or reduce the risk of recurrence of the Incident.
- B. Interview the operator to check if the was wearing the correct PPE.
- C. find out whether the operator was sent to the hospital.
- D. Find out when the operator's machine was last subject to a maintenance programme.
- E. Determine whether the Health and Safety Authority was notified of the incident
- F. Establish whether the Incident Investigation determined the root cause of the Incident
Antwort: A,F
Begründung:
Clause 10.2 of ISO 45001 requires organizations to investigate incidents, determine root causes, and implement corrective actions to prevent recurrence.
* Analysis of Options:
* A. Check whether corrective actions were taken.This directly relates to the requirement to implement corrective actions to address the identified risks and hazards. Failure to do so would indicate nonconformity.
* B. Determine whether the Health and Safety Authority was notified.Notification is a legal requirement in certain jurisdictions, but it is not explicitly required under ISO 45001 unless the legal context demands it.
* C. Establish whether the root cause was determined.Root cause analysis is fundamental for effective corrective action. Without this, corrective measures may not address the underlying problem.
* D. Find out when the operator's machine was last subject to maintenance.While maintenance is important, it does not directly address the incident's nonconformity.
* E. Find out whether the operator was sent to the hospital.Sending the operator to the hospital is a reactive step and not relevant to compliance with Clause 10.2.
* F. Interview the operator about PPE usage.This is relevant but insufficient for determining compliance with Clause 10.2.
ISO References:
* Clause 10.2: Investigation of incidents, determination of causes, and implementation of corrective actions.
* Clause 8.1.2: Hierarchy of controls and risk reduction.
46. Frage
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