ISO-45001-Lead-Auditor Practice Exam Questions and Answers

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.

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.

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Opportunities for improvement (OFIs) are suggestions provided during audits that do not indicate nonconformities but are aimed at enhancing the system’s performance.

Analysis of Options:

A.  

A quality control program could involve non-destructive testing of the welded handrails:While beneficial, this focuses on product quality rather than OH&S improvements.

B.  

Operational planning activities may benefit from an improved risk-based approach based on international standards for risk management:Correct. Enhancing risk-based thinking aligns with Clause 6.1.1.

C.  

A first aid station could be located next to the handrail polishing operation:While useful, first aid station placement is an operational matter, not directly related to OH&S management system improvement.

D.  

Additional internal audits of the OHS management system may reduce production problems:Internal audits should address system performance, not production problems.

F.  

The induction program for new employees could include an awareness training video on health and safety:Correct. Enhanced training for new employees addresses Clause 7.2 (competence).

G.  

The requirement for wearing protective gloves could be extended to shop floor workers across all operations:Correct. This improves hazard control in line with Clause 8.1.2.

H. The molding polishers should be disciplined for incompetency:Disciplinary actions are outside the scope of system improvement.

ISO References:

Clause 6.1.1: Risk management.

Clause 7.2: Competence.

Clause 8.1.2: Hierarchy of controls.

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 References:

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.

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Analysis of Each Option:

Audit objectives for the audit team focus on ensuring the audit process is executed effectively, efficiently, and without causing undue disruption to the organization being audited. ISO 19011:2018 provides guidance on setting audit objectives.

Analysis of Options:

A.  

To reduce instances of injury and ill health:Incorrect. This is an objective of the OH&S management system, not of the audit itself.

B.  

To minimise risk resulting from the audit process:Correct. ISO 19011 emphasizes managing risks to the auditee and the audit process during audits (Clause 5.4).

C.  

To improve overall health and safety performance:Incorrect. Improving health and safety performance is an outcome of the OH&S management system, not the audit team's objective.

D.  

To complete the audit on time:Correct. Ensuring timely completion of the audit aligns with effective audit management.

E.  

To implement any necessary corrective action:Incorrect. Implementing corrective actions is the auditee’s responsibility, not the audit team’s.

References:

ISO 45001:2018:

Clause 5.4: Worker consultation and participation.

Clause 6.2: OH&S objectives and planning.

Clause 8.1.2: Hierarchy of controls and worker involvement.

ISO 19011:2018: Guidelines for auditing management systems.