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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.
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.
An adventure park has the following and safety policy document displayed in the reception area:
This organization is committed to providing safe experiences, In accordance with health and safety regulations for their delivery. The organisation will strive to increase the health and safety awareness of its personal, contracts and customers. Continual health and safety improvement is a permanent objective of the organisation. This policy shall be communicated to all interested parties.
Referring to the policy statement, select three options for which the organization is meeting ISO 45001 requirements.
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference
Clause 5.2 of ISO 45001:2018 outlines requirements for the OH&S policy, emphasizing commitment to continual improvement, compliance with legal requirements, and communication of the policy to interested parties.
Analysis of Options:
A . The management is committed to health and safety improvement: Correct. The policy explicitly states the organization's commitment to improvement, meeting Clause 5.2 requirements.
C . The organization has a good reputation for safe experiences: Not relevant to ISO 45001 requirements; reputation is not a policy criterion.
D . The organization intends to communicate its policy to external parties: Correct. Clause 5.2 requires the policy to be communicated to interested parties.
E . The organization is committed to continual health and safety improvement: Correct. This directly aligns with Clause 5.2, which mandates continual improvement.
F . The organization meets all statutory requirements: The policy does not explicitly state compliance with legal requirements, even though this is implied.
G . The organization satisfies its customers' health and safety requirements: The policy does not specifically address customer requirements.
H . The organization uses contractors committed to health and safety: Not stated in the policy.
I . The organization's processes deliver the intended improvement to health and safety: This is not evident from the policy statement.
ISO Reference:
Clause 5.2: OH&S policy.
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.
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.
Whistlekleen is a national dry cleaning and laundry organization with 50 shops. You are conducting an OHSMS surveillance audit of the head office and are sampling health and safety performance monitoring. You find that 80 per cent of incident originate from five shops in the same region. Most of these relate to staff and customer feeling unwell due to breathing in the pungent atmosphere. Some required to be hospitalized. The OHS Manager tells you that these are the oldest shops in the organization. The cleaning equipment emits Volatile Organic Compounds (VOCs) and needs replacing but the organisation cannot afford it at the moment.
You raise the following nonconformity against clause 10.2 of ISO 45001.
''The organization failed to act after incidents in the five old shops involving the release of VOCs from laundry operations, which resulted in injury in some instances. The equipment used was not capable of consistently operating to the required level of safety''
Select one of the options which would constitute the most effective corrective action for the nonconformity.
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference
Clause 10.2 of ISO 45001 pertains to Nonconformity and Corrective Action. Organizations are required to evaluate incidents, investigate their causes, and implement effective corrective actions to prevent recurrence.
Issue Identified: The incidents in the five old shops are related to VOC emissions from outdated equipment, leading to staff and customer health concerns. This indicates inadequate risk management and failure to act on known safety issues.
Analysis of Options:
A . Display an emergency phone number. This is a reactive approach and does not address the root cause of the issue, i.e., VOC emissions. It also does not align with ISO 45001's emphasis on preventive measures.
B . Evaluate and update the PPE requirements. While PPE is important, relying solely on PPE without addressing the root cause (emission of VOCs) is insufficient. PPE is considered the last line of defense under the hierarchy of controls.
C . Reassess the OH&S risks associated with the laundry process in the five old shops. This option aligns with ISO 45001, Clause 8.1.2, and Clause 10.2, as it emphasizes reassessing risks and taking steps to mitigate them. A thorough risk assessment could lead to interim measures such as process improvements or administrative controls until the equipment is replaced.
D . Review the current safety procedures. While reviewing safety procedures is useful, it does not address the specific nonconformity related to the equipment's inability to operate safely.
Best Action: Reassessing the risks in the five shops (Option C) ensures a comprehensive review of the hazards posed by outdated equipment, leading to appropriate preventive and corrective actions.
ISO Reference:
Clause 10.2: Requires identifying and addressing nonconformities to prevent recurrence.
Clause 8.1.2: Emphasizes the hierarchy of controls and risk assessment as a foundation for mitigating hazards.
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?
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.
