PECB ISO-45001 Lead Auditor 시험

Question No : 1

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 OHSM
• 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 OHSM
• 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 OHSM

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정답:
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.

Question No : 2

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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정답:
Explanation:
ISO 45001 defines "documented information" as information required to be controlled and maintained by an organization. This can include policies, procedures, records, or other relevant data in any format (Clause 3.19). It encompasses all information used to establish, operate, and demonstrate the effectiveness of the OH&S management system.
Analysis of Options:
A. Any paperwork generated when the system is in operation:
Incorrect. This is too narrow and excludes digital or other formats.
B. Any information about the system, or generated by it, held in any format:
Correct. This aligns with the ISO 45001 definition in Clause 3.19.
C. Paperwork such as Permits to Work and risk assessments:
Incorrect. These are examples of documented information but do not encompass the full scope of the term.
D. The master copies of the documents used to operate the system, held in any format:
Incorrect. This definition is limited to master copies, while documented information includes records as well.
ISO
Reference: Clause 3.19: Definition of documented information.
Clause 7.5: Control of documented information.

Question No : 3

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.9.2.2.e - Management failed to take any action to deal with the audit nonconformity.
• B.9.2.2.d - Staff were not made aware that health and safety incidents were increasing.
• C.8.1.1 - Operations were not properly controlled to avoid health and safety incidents.
• D.9.2.2 - Report IA202 contained a poorly worded nonconformity (NC3).
• E.10.2.b - The root cause of the increase in reported health and safety accidents was not investigated.
• F.7.4.3 - The results of the internal audit IA202 were not communicated to interested parties.

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정답:
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
Reference: Clause 9.2.2: Internal audit process requirements.
Clause 10.2: Nonconformity and corrective action.
Clause 7.4.3: Communication requirements.

Question No : 4

According to ISO 45001, who should participate in the continuous improvement of the health and safety management system?

• A.Everyone, at all levels of the company
• B.Top management and senior officers only
• C.Top management, senior officers and designated safety representatives only
• D.Top management only

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정답:
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
Reference: Clause 5.4: Worker consultation and participation.
Clause 10.3: Continual improvement.

Question No : 5

You are conducting a Stage 2 certification audit to ISO 45001 at an adventure park in the Scottish Highlands. The park offers treetop walks, zip-line rides, walking trails, and horse-riding trips. The park is open to adults and children of any age. You are particularly interested in compliance with legal requirements and interview the Park Manager.
You: How do you evaluate the risks to participants that the various activities present?
Park Manager: Our risks are covered by insurance, and we operate under health and safety legislation that requires frequent checks of all our facilities. For example, we trust staff to check all our harnesses every morning.
You: Are you required to have an independent inspection carried out of zip lines, for example?
Park Manager: Yes, our insurance company employs a reputable body to do that sort of thing.
You: Can you show me a copy of the latest inspection report? Park Manager: I’d need to get that from the insurance organisation. I have the initial one when we opened eight years ago.
You examine the inspection report, which takes the form of a checklist that does not identify individual zip lines, treetop platforms, harnesses, or rope ladders. It is dated eight years previously and has a scribbled signature with no other identification of the inspection engineer. Select the two statements for which there is evidence of a nonconformity to ISO 45001.
Select two statements.

• A.The park did not have the required documentation to demonstrate compliance with legal requirements.
• B.The organisation did not monitor the safety checks by the staff of equipment.
• C.The inspection organisation employed by the insurance organisation was not evaluated.
• D.The park relied on the insurance organisation to evaluate its OHS risks.
• E.Testing to determine the safe loading of equipment was not carried out.

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정답:
Explanation:
ISO 45001 requires organizations to identify and maintain documentation to demonstrate compliance with legal and other requirements (Clause 7.5 and Clause 9.1.2). It also requires the evaluation and control of outsourced processes (Clause 8.1.4.3).
Analysis of Options:
A. The park did not have the required documentation to demonstrate compliance with legal requirements:
Correct. The outdated and incomplete inspection report (8 years old, lacking detailed identification) fails to demonstrate compliance with health and safety legislation.
B. The organization did not monitor the safety checks by staff of equipment:
Incorrect. While there is a potential gap in monitoring, the evidence provided does not directly indicate a lack of monitoring of staff checks.
C. The inspection organization employed by the insurance organization was not evaluated: Correct. ISO 45001 requires the organization to evaluate outsourced services, including those provided by the inspection body, to ensure their adequacy.
D. The park relied on the insurance organization to evaluate its OHS risks:
Incorrect. Reliance on external evaluations may not constitute a nonconformity if risks are properly
managed, but there is no evidence provided for noncompliance here.
E. Testing to determine the safe loading of equipment was not carried out:
Incorrect. While load testing is crucial, there is no evidence presented to confirm this specific issue as
a nonconformity. ISO
Reference: Clause 7.5: Control of documented information.
Clause 8.1.4.3: Control of outsourced processes.
Clause 9.1.2: Evaluation of compliance.

Question No : 6

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 activities where there is the possibility of danger
• C.Hot-work, working at height, enclosed space entry, and work on electrical equipment
• D.Work hazards and environmental factors such as bad weather

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정답:
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
Reference: Clause 6.1.2.1: Hazard identification.
Annex A.6.1.2: Examples of hazard categories, including workplace design and human factors.

Question No : 7

You are in the closing meeting of a second-party audit to ISO 45001.
Which three of the following topics are most likely to come for discussion?

• A.The names and email address of a attendees at the closing meeting. The question of who should chair the closing meeting.
• B.The extent of the auditee's documented information system.
• C.The extent to which the auditee is conforming to the OH&S requirements contained in supply contracts with the auditing organisation.
• D.The extent to which the auditee Is conforming to the requirements set out in ISO 45001.
• E.nature of the trading relationship that currently exists between the auditee's and auditor's organisations.
• F.Whether the audit has correctly performed in current contracts with other customers.
• G.Whether the work instructions for a specify auditee OH&S process are focused on efficiency.

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정답:
Explanation:
The closing meeting of a second-party audit focuses on the findings, conformance to agreed requirements, and areas for improvement. ISO 19011:2018 provides guidance on closing meetings, stating that the results of the audit, including conformity with criteria, must be reviewed and agreed upon.
Analysis of Options:
A. The names and email addresses of attendees at the closing meeting:
Irrelevant. Attendance details are not part of the audit discussion.
B. The extent of the auditee’s documented information system:
While relevant during the audit, it is not typically a focus in the closing meeting.
C. The extent to which the auditee is conforming to OH&S requirements in supply contracts:
Correct. Second-party audits often assess compliance with contractual requirements.
D. The extent to which the auditee conforms to ISO 45001 requirements:
Correct. The core purpose of the audit is to evaluate conformity to ISO 45001.
E. The nature of the trading relationship between the organizations:
Correct. The trading relationship often shapes the scope and context of second-party audits.
F. Whether the audit has correctly performed in current contracts with other customers:
Irrelevant. The focus is on the specific audit, not contracts with other customers.
G. Whether the work instructions for a specific OH&S process are focused on efficiency:
Irrelevant. Efficiency is not the primary focus of an OH&S audit.
ISO
Reference: ISO 19011:2018, Clause 6.6.1: Conducting the closing meeting.
ISO 45001:2018, Clause 9.2: Internal audit requirements.

Question No : 8

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.A copy of the certification body Invoice for the audit
• B.A reference to the audit criteria used
• C.A statement of the audit objectives
• D.Audit findings and any related evidence
• E.Confirmation of the audit scope
• F.Contact details for all members of the audit team
• G.The audit conclusions reached
• H.A corrective action plan that add-cross the identified nonconformities

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정답:
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
Reference: ISO 19011:2018, Clause 6.7.3: Content of audit reports.

Question No : 9

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 guide was trying to be helpful and would not stop talking during the audit.
• B.The Sales Manager was kind and seems to be a nice person.
• C.The audit client's objectives for this audit were never realistic. That's why we were unable to complete the audit plan.
• D.The maintenance team could not replace a lightbulb, let alone an air conditioning unit.
• E.The OHS Management team were extremely helpful and went out of their way to facilitate access to required records.
• F.The OHS Manager disagreed with me In respect of all of the nonconformances I raised. He still does not accept any of them.
• G.The Production Manager is kicky to have a job as he does not appear to understand how anything works around here.
• H.The Sales Manager said he had forgotten the password to the Sales Ordering system and so too had everyone else In his department

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정답:
Explanation:
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
Reference: ISO 19011:2018, Clause 6.7: Reporting audit results.

Question No : 10

On behalf of a certification body, you are conducting a combined audit of Shelf-Fit. The organization designs, manufacturing install interiors for retail stores. They employ subcontractors for the installation work.
Representing the ISO 45001 audit, you ask the Purchase Manager about the identification of health and safety hazards for contractors on site. Having previously reviewed the hazards list (HZD-21/11 Rev.3), you found that various health and safety hazards were listed but not were associated with contractor working on-site.
When you ask about the use of contractors, the response is, ‘’We know that contractors use chemicals, such as glues, paints and vanishes. We trust them since they know more than we do about the safe handling of such issues’’. The auditor made the same enquiry to an accompanying member of the health and safety team and was told that chemical safety had never been a problem with the installation process.

• A.After gathering more evidence, you note down findings against several clauses of ISO 45001. Select three options to determine which findings stated are major nonconformities.
• B.The organization did not have a documented process in place to control outsourced work. (8.1.4.3)
• C.The organization failed to include its OH&S policy in contracts for installation contractors (5.2.f)
• D.There was not communication between the organization and site contractors (7.4.1.c.2)
• E.No hazard assessment by Shelf-Fit were in place for installation works on customer sites. (Clause 6.1.2.2)
• F.Some safety data sheets for chemical used were missing for some of the installation contractors. (clause 8.1.4.2)
• G.Staff indicated that chemical hazards on installation sites are the same as at the factory. The hazard List does not reference this. (Clause 6.1.2.2)
• H.The internal audit programme does not include installation sites. The audit programme does not cover the full OHS management system (Clause 9.2.2)
• I.The purchase manager confirmed that the safe use of chemicals in installation work was left to the contractor

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정답:
Explanation:
Major nonconformities are raised when there is a systemic failure to meet ISO 45001 requirements that could lead to significant risks.
Analysis of Options:
B. Lack of a documented process for controlling outsourced work (8.1.4.3):
Major nonconformity. A failure to control outsourced work is a serious systemic issue.
C. Failure to include OH&S policy in contractor contracts (5.2.f):
Not a major nonconformity. While this is a nonconformity, it is procedural and not critical.
D. No hazard assessment for installation works (6.1.2.2):
Major nonconformity. A lack of hazard assessment for site-specific tasks is a serious issue.
E. Missing safety data sheets for contractor chemicals (8.1.4.2):
Not a major nonconformity. While important, this issue does not indicate systemic failure.
G. Chemical hazards on installation sites not referenced in the hazard list (6.1.2.2):
Major nonconformity. This reflects a failure in hazard identification and risk assessment.
H. Internal audit program does not cover installation sites (9.2.2):
Not a major nonconformity. This is a gap in auditing scope but does not directly endanger safety.
I. Safe use of chemicals left to contractors:
Not a major nonconformity. This could be addressed through improved contractor oversight rather than indicating systemic failure.
ISO
Reference: Clause 8.1.4.3: Control of outsourced processes.
Clause 6.1.2.2: Hazard identification and risk assessment.
Clause 7.4.1: Communication requirements.

Question No : 11

Aitchandness inc, manufactures safety footwear and other items of personal protective equipment (PPE). The organisation applied for ISO 45001 certification, and after the initial certificate audit, the certificate body decided that the audit team leader should carry out a follow-up audit to determine whether the non-conformities could be closed out.
A major non-conformity was raised at Stage 2 because of inadequate storage and handling of chemical used in the production process. Minor non-conformities related to retaining documentation, staff safety training and inadequate testing of emergency procedures.
Select four of the actions which the auditor could take at the follow-up audit to determine the effectiveness of corrective action for the non-conformities.

• A.Ask to review the latest emergency response drill report to check whether the revised emergency response process is fit for purpose
• B.Ask whether the organization’s internal audit schedule was revised to included more audit associated with the storage and handling of chemicals.
• C.Check that the safety data sheets associated with the chemical being used where checked for completeness.
• D.Check whether documented procedures for the revised processes have been signed off by the OH&S Manager.
• E.Determine whether an updated risk assessment has been carried out on the revised chemical storage and handling processes.
• F.Inspect the relevant areas to check whether chemical were being stored and handled in a safe manner.
• G.Interview staff to see whether they have received training in the revised emergency response procedures.
• H.Interview the OH&S Manager to determine whether additional health and safety objectives have been established.

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정답:
Explanation:
Follow-up audits verify that corrective actions have been implemented effectively and address the root cause of the nonconformities.
Analysis of Options:
A. Review the latest emergency response drill report:
Correct. This verifies whether emergency response processes are functional and effective.
B. Check if the internal audit schedule was revised:
Incorrect. While beneficial, this is not directly related to closing out the nonconformity.
C. Check safety data sheets for completeness:
Incorrect. While this ensures compliance, it is not directly related to verifying corrective actions.
D. Check if revised procedures were signed off:
Correct. This confirms that changes were properly documented and approved.
E. Determine whether an updated risk assessment was carried out:
Correct. Risk assessments confirm the effectiveness of new controls.
F. Inspect areas for safe chemical storage and handling:
Correct. Direct observation ensures that corrective actions are implemented effectively.
G. Interview staff on revised emergency procedures:
Incorrect. While important, this does not directly address the effectiveness of corrective actions for chemical storage.
H. Interview the OH&S Manager about additional objectives:
Incorrect. This is unrelated to the specific nonconformities raised.
ISO
Reference: Clause 10.2.2: Verification of corrective actions.
Clause 8.1.2: Hazard identification and controls.

Question No : 12

Which two of the following are examples of activities that may occur after the third-party audit has been closed by the individual(s) managing the audit programme?

• A.Addressing any audit complaints.
• B.Conducting a closing meeting.
• C.Conducting a review of opportunities for Improvement.
• D.Revising the audit's objectives.
• E.Updating risks and opportunities to the audit programme.
• F.Writing the audit report.

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정답:
Explanation:
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference
Activities following the closure of a third-party audit are generally related to improving the audit process and addressing any unresolved issues.
Analysis of Options:
A. Addressing any audit complaints:
Correct. Post-audit, complaints or concerns from stakeholders are addressed to improve the audit process and maintain credibility.
B. Conducting a closing meeting:
Incorrect. The closing meeting occurs before the audit is closed.
C. Conducting a review of opportunities for improvement:
Correct. Reviewing opportunities for improvement post-audit helps in refining processes and aligning them with organizational goals.
D. Revising the audit's objectives:
Incorrect. Audit objectives are established during the planning phase, not after the audit has been closed.
E. Updating risks and opportunities to the audit programme:
Incorrect. Updates to risks and opportunities occur during ongoing audits, not specifically post-audit.
F. Writing the audit report:
Incorrect. The audit report is prepared before the audit is officially closed.
ISO
Reference: Clause 9.2.2: Audit process review.
ISO 19011:2018, Clause 6.7: Managing complaints and follow-up.

Question No : 13

Select two options that are corrections.

• A.Adding a missing signature to a corrective action record.
• B.Changing a process to reduce its inherent risk.
• C.Changing the name of a tutor that did not deliver a course to the name of the tutor that did.
• D.Reviewing workers training records.
• E.Updating the emergency preparedness plan as a result of carrying out a practical test.
• F.Using OHSMS induction training to address an identified lack OHSMS awareness among winkers.

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정답:
Explanation:
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference
Corrections address immediate issues, such as errors or omissions, without addressing root causes.
Clause 10.2 of ISO 45001:2018 allows for corrections alongside corrective actions.
Analysis of Options:
A. Adding a missing signature to a corrective action record:
Correct. This is a correction addressing an administrative oversight.
B. Changing a process to reduce its inherent risk:
Incorrect. This is a corrective action aimed at addressing root causes, not a correction.
C. Changing the name of a tutor that did not deliver a course to the name of the tutor that did:
Correct. This corrects an error in records without addressing systemic issues.
D. Reviewing workers’ training records:
Incorrect. This is part of ongoing monitoring or auditing, not a correction.
E. Updating the emergency preparedness plan as a result of carrying out a practical test:
Incorrect. This is a corrective action resulting from performance evaluation, not a correction.
F. Using OHSMS induction training to address an identified lack of OHSMS awareness among workers:
Incorrect. This is a preventive or corrective action, not a correction.
ISO
Reference: Clause 10.2: Nonconformity and corrective action.
Clause 7.5: Control of documented information

Question No : 14

You are an audit team leader conducting an ISO 45001 surveillance audit of a nautical college that provides course for those working in the maritime sector. The College Principle Is absent, and you are interviewing the Deputy (DP)
DP: 1 apologise for the absence of the College Principle. He has called in sick today and we are really short of staff.
You: 1 see, it really should not affect the OHSMS so the audit can progress as normal.
DP: The College principle set up the system. I am afraidi am not as familiar with it as he is.
You: OK, let’s start with the OH and S policy.
What are the main issues for the OHSMS here?
DP: Give me a minute. I need look at the OH and S Policy on the noticeboard in his office.
As the audit progresses, It is clear that the Deputy College Principle has a very low knowledge of the OHSMS. He continually has to search the answers to your questions or asks staff members about their processes.
Choose one of the following options that best describes the basis for the nonconformity.

• A.As a member of the management team, the Deputy College Principal Is not aware of the OHSMS policy.
• B.OHSS improvement is riot possible due to the lack of awareness of the OHSM
• C.The Deputy College Principal is not competent to manage the CM ISM
• D.The OH and S Polity only exists -:s -i document in the College principle office.

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정답:
Explanation:
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference
Clause 5.1 of ISO 45001:2018 requires top management to demonstrate leadership and commitment to the OH&S management system. This includes awareness of the OH&S policy and its objectives.
Analysis of Options:
A. As a member of the management team, the Deputy College Principal is not aware of the OHSMS policy:
Correct. A lack of awareness of the policy reflects poor leadership commitment, which violates Clause 5.1.
B. OH&S improvement is not possible due to the lack of awareness of the OHSMS:
Incorrect. While improvement may be hindered, this is not the main issue in this scenario.
C. The Deputy College Principal is not competent to manage the OHSMS:
Incorrect. The Deputy’s competence to manage the OHSMS is not in question; the issue is their lack of awareness of key elements.
D. The OH&S policy only exists as a document in the College Principal’s office:
Incorrect. The policy may be accessible but not effectively communicated or understood by management.
ISO
Reference: Clause 5.1: Leadership and commitment.
Clause 5.2: OH&S policy.

Question No : 15

Showitoff is an organization specialization in the design and production of wall decorating materials 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 serveral rusty components. Several heavy concrete beams are learning against a thin brick wall in which cracks are available. When asked about it, the OHS Manager states that he presumes that the materials come from maintenance work, so it is the Maintenance Manager’s responsibility.
The auditor interview the Maintenance Manager in his department. He asks about the area outside and is told that it contains some excess material 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 and could collapse at any moment. The Maintenance Manager is not aware of such a situation.
The auditor decides to review the process for evaluation of compliance with health and safety regulations in more depth.
Select six option that provide a meaningful audit trail for this process.

• A.What is the cost of repairing the wall?
• B.What hazards have been identified as being associated with regulations?
• C.How arc maintenance start made aware of regulatory requirements?
• D.How arc OH&S objectives verified?
• E.How are OHSMS records of compliance evaluations controlled and managed?
• F.How ore updates to OH&S regulations monitored?
• G.How is the cost of safety Improvements calculated?
• H.What are the qualifications of the OHS Manager and Maintenance Managers?
• I.What input does the Maintenance Manager have in the determination of legal compliance?
• J.What knowledge does the OHS Manager have in relevant safety leaislation?

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정답:
Explanation:
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference
An audit trail for evaluating compliance with regulations should focus on the identification, communication, and monitoring of legal and other requirements. Clause 9.1.2 of ISO 45001:2018 requires organizations to evaluate compliance with applicable OH&S legal and other requirements.
Analysis of Options:
A. What is the cost of repairing the wall?
Irrelevant to compliance evaluation, as cost considerations are not part of legal compliance.
B. What hazards have been identified as being associated with regulations?
Correct. Identifying hazards is a critical step in understanding compliance obligations (Clause 6.1.2).
C. How are maintenance staff made aware of regulatory requirements? Correct. Communication and training are vital for compliance (Clause 7.3).
D. How are OH&S objectives verified?
Not directly relevant to compliance evaluations, as objectives pertain to performance improvement.
E. How are OHSMS records of compliance evaluations controlled and managed?
Correct. Proper documentation and record-keeping are essential for demonstrating compliance (Clause 7.5).
F. How are updates to OH&S regulations monitored?
Correct. Monitoring regulatory changes is critical for maintaining compliance (Clause 6.1.3).
G. How is the cost of safety improvements calculated?
Irrelevant to compliance, as cost analysis is not required by ISO 45001.
H. What are the qualifications of the OHS Manager and Maintenance Manager?
While competence is important, this does not directly relate to compliance evaluations.
I. What input does the Maintenance Manager have in the determination of legal compliance? Correct. Understanding the roles and responsibilities of key personnel ensures effective compliance (Clause 5.3).
J. What knowledge does the OHS Manager have in relevant safety legislation?
Correct. Awareness of applicable legislation is critical for effective compliance evaluation (Clause 7.2).
ISO
Reference: Clause 9.1.2: Evaluation of compliance.
Clause 6.1.2: Hazard identification and risk assessment.
Clause 7.5: Documented information.