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| Section | Objectives |
|---|---|
| Topic 1: ISO 45001 requirements | - Performance evaluation and improvement - Support and operational control - Context of the organization - Leadership and worker participation - Planning and risk assessment |
| Topic 2: Fundamental concepts of Occupational Health and Safety Management System (OHSMS) | - ISO 45001 principles and structure - Key concepts of occupational health and safety |
| Topic 3: Fundamentals of auditing | - Audit principles and types of audits - Audit planning and preparation |
| Topic 4: Audit reporting and follow-up | - Corrective actions and follow-up audits - Preparing audit reports |
| Topic 5: Audit process | - Collecting and verifying audit evidence - Audit findings and nonconformity classification - Conducting opening meeting and audit activities |
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질문 # 104
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.
정답:B,F
설명:
Clause 0.2 of ISO 45001 emphasizes the involvement of top management and alignment of OH&S objectives with the organization's OH&S policy.
* Nonconformities Identified:
* The objectives were developed by an external consultant without involving top management, which undermines leadership accountability and commitment.
* The objectives were based on a competitor's framework, not aligned with the organization's unique OH&S policy or context.
* Analysis of Options:
* A. Establishing OH&S objectives did not include top management.True. Clause 5.1 (Leadership) and Clause 6.2 (Objectives) emphasize that top management must be involved in defining and supporting OH&S objectives.
* B. OH&S objectives are not being implemented by personnel.Implementation relates to operationalization, not the development phase, and is not relevant to Clause 0.2.
* C. OH&S objectives are not maintained as documented information.While documentation is required, the absence of documented information is a separate issue under Clause 7.5, not Clause
0.2.
* D. OH&S objectives were not established in alignment with the organization's OH&S policy.True. Clause 6.2.1 requires objectives to align with the OH&S policy, which reflects the organization's commitment to safety and health.
* E. The consultant has not interpreted ISO 45001 correctly.While possibly true, the issue here is the organization's failure to involve top management, not the consultant's interpretation.
* F. The organization cannot afford to undertake OH&S objectives all at once.Financial constraints are not relevant to Clause 0.2; objectives can be prioritized for phased implementation.
ISO References:
* Clause 0.2: Leadership commitment and alignment with organizational policy.
* Clause 5.1: Top management's role in leadership and participation.
* Clause 6.2.1: Establishing OH&S objectives aligned with the policy.
질문 # 105
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.
정답:A,B,E
설명:
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 and 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.
질문 # 106
Like many other quality management systems, ISO 45001 uses what is known as a 'PDCA' circle. What do those initials stand for?
정답:D
설명:
The PDCA (Plan-Do-Check-Act) model is a continuous improvement framework used in ISO 45001 and other management systems.
* Plan: Establish objectives and processes to deliver results in line with the OH&S policy.
* Do: Implement the processes.
* Check: Monitor and measure processes against the policy, objectives, and requirements.
* Act: Take actions to continually improve the system's performance.
Analysis of Options:
* A. Plan, Do, Check, Act:Correct. This is the standard PDCA cycle.
* B. Plan, Do, Check, Ask:Incorrect. "Ask" is not part of the cycle.
* C. Plan, Deliver, Control, Achieve:Incorrect. This is not the PDCA cycle.
* D. Prepare, Deliver, Control, Assess:Incorrect. This deviates from the PDCA framework.
ISO Reference:
* Clause 0.3: PDCA model.
질문 # 107
As the audit team leader, you are approached by an auditor in training during the lunchtime break. They advise you that the auditor to whom they have been assigned is, in their opinion, acting inappropriately. The auditor is alleged to have told the auditee " not to worry " about several clear nonconformities, has been rude to the auditor in training when they challenged this and has accepted two tickets for a football match as a thank you gift from the organisation.
How would you respond in this situation? Select three.
정답:F,G,H
설명:
The correct answers are E, F, and H .
This situation raises three serious concerns: impartiality , professional conduct , and the reliability of the audit conclusion . Third-party auditors are expected to act honestly and impartially, and accepting gifts from the auditee is inconsistent with that expectation. The IAF auditor code of conduct says auditors must be honest and impartial and must avoid conduct that discredits the profession. ( IAF ) E is correct because the audit team leader must first consider whether the alleged behavior could compromise the validity of the audit findings and conclusion . If that risk is significant, the matter should be escalated to the individual(s) managing the audit programme for direction, since certification audits must remain competent, consistent, and impartial. ( ISO ) F is correct because the team leader should gather specific facts and then give the auditor an opportunity to respond to the allegations before deciding the next step. That is the appropriate immediate management action and is consistent with fair handling of an issue that could affect audit integrity. The concern is too serious to ignore, but it should still be examined on evidence, not assumption. ( ISO ) H is also correct because, while the matter is being addressed, moving the auditor in training away from the auditor concerned is a sensible control to protect the trainee and the audit process. It helps reduce further disruption and prevents the trainee from being exposed to more inappropriate conduct during the remainder of the audit. This is a practical audit-management response flowing from the team leader's responsibility to maintain control of the audit team and audit activities. ( ISO ) Why the other options are not correct:
* A is too immediate and inappropriate. The auditor in training cannot simply replace a qualified auditor without proper competence and authorization being confirmed.
* B is premature. The audit should not be terminated immediately without first assessing the facts and the impact on the audit.
* C is clearly wrong because the issue could affect the integrity of the current audit and cannot wait until later.
* D is wrong and unethical; the tickets should not be accepted by anyone on the audit team. ( IAF )
* G is wrong because experience does not excuse unethical or unprofessional behavior.
질문 # 108
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.
정답:A
설명:
Clause 5.1 of ISO 45001:2018 requires top management to demonstrate leadership and commitment to the OH and S management system. This includes awareness of the OH and 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 and 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 and 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 References:
* Clause 5.1: Leadership and commitment.
* Clause 5.2: OH and S policy.
질문 # 109
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