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Question 1 of 10
1. Question
The monitoring system at a mid-sized retail bank has flagged an anomaly related to Legal and Ethical Considerations in OSH Management during model risk. Investigation reveals that the bank recently updated its ergonomic workstation standards for 500 branch employees without conducting the required worker consultation sessions mandated by the internal OSH policy and ISO 45001:2018. The project team bypassed this step to meet a strict Q3 rollout deadline, citing that the new furniture met all national safety standards. As the Safety Manager reviewing this audit finding, which of the following actions best addresses the legal and ethical obligations of the organization?
Correct
Correct: Under ISO 45001:2018 and general ethical OSH principles, the consultation and participation of workers, especially non-managerial workers, is a fundamental requirement for the ‘Plan’ and ‘Do’ stages of the PDCA cycle. Bypassing this step for a deadline is a breach of the OSH management system. Initiating a formal consultation ensures that those actually using the equipment can identify specific hazards that management or manufacturers might overlook, fulfilling both legal compliance and the ethical duty of care.
Incorrect: Relying solely on manufacturer certificates is insufficient because it does not account for site-specific hazards or the employer’s duty to involve workers in risk assessment. Post-implementation surveys are reactive rather than proactive and do not satisfy the requirement for consultation during the planning phase. Restricting consultation to a committee alone, while better than nothing, often fails to capture the diverse ergonomic needs of the broader workforce and may still violate the spirit of worker participation standards.
Takeaway: Effective and ethical OSH management requires proactive worker consultation during the design and implementation of new processes to ensure all hazards are identified and addressed.
Incorrect
Correct: Under ISO 45001:2018 and general ethical OSH principles, the consultation and participation of workers, especially non-managerial workers, is a fundamental requirement for the ‘Plan’ and ‘Do’ stages of the PDCA cycle. Bypassing this step for a deadline is a breach of the OSH management system. Initiating a formal consultation ensures that those actually using the equipment can identify specific hazards that management or manufacturers might overlook, fulfilling both legal compliance and the ethical duty of care.
Incorrect: Relying solely on manufacturer certificates is insufficient because it does not account for site-specific hazards or the employer’s duty to involve workers in risk assessment. Post-implementation surveys are reactive rather than proactive and do not satisfy the requirement for consultation during the planning phase. Restricting consultation to a committee alone, while better than nothing, often fails to capture the diverse ergonomic needs of the broader workforce and may still violate the spirit of worker participation standards.
Takeaway: Effective and ethical OSH management requires proactive worker consultation during the design and implementation of new processes to ensure all hazards are identified and addressed.
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Question 2 of 10
2. Question
How can the inherent risks in Lifelong Learning in the Field of Safety be most effectively addressed? A safety manager at a large manufacturing facility is reviewing the organization’s ISO 45001:2018 compliance and notices that while initial safety training is robust, there is no structured mechanism for safety professionals to stay current with emerging psychosocial hazards and technological shifts in machine guarding. To ensure the OSH management system remains resilient and proactive against knowledge obsolescence, which strategy should the manager prioritize?
Correct
Correct: Linking continuous professional development (CPD) to the ‘Check’ and ‘Act’ phases of the Plan-Do-Check-Act (PDCA) cycle ensures that the safety management system is dynamic. Under ISO 45001, competence is a requirement; by using performance data (Check) to identify knowledge gaps and taking action (Act) to update competencies, the organization ensures that safety professionals are equipped to handle evolving risks rather than just static, historical hazards.
Incorrect: Focusing only on foundational refreshers fails to address the ‘lifelong learning’ aspect of emerging risks like psychosocial or technological changes. Outsourcing regulatory monitoring prevents the development of internal expertise and fails to build a sustainable safety culture. Simply increasing inspection frequency for known hazards ignores the need for new knowledge and skills required to identify and mitigate previously unrecognized or emerging hazard types.
Takeaway: Lifelong learning in safety is most effective when integrated into the OSH management system’s continuous improvement cycle to align professional competence with evolving organizational risks.
Incorrect
Correct: Linking continuous professional development (CPD) to the ‘Check’ and ‘Act’ phases of the Plan-Do-Check-Act (PDCA) cycle ensures that the safety management system is dynamic. Under ISO 45001, competence is a requirement; by using performance data (Check) to identify knowledge gaps and taking action (Act) to update competencies, the organization ensures that safety professionals are equipped to handle evolving risks rather than just static, historical hazards.
Incorrect: Focusing only on foundational refreshers fails to address the ‘lifelong learning’ aspect of emerging risks like psychosocial or technological changes. Outsourcing regulatory monitoring prevents the development of internal expertise and fails to build a sustainable safety culture. Simply increasing inspection frequency for known hazards ignores the need for new knowledge and skills required to identify and mitigate previously unrecognized or emerging hazard types.
Takeaway: Lifelong learning in safety is most effective when integrated into the OSH management system’s continuous improvement cycle to align professional competence with evolving organizational risks.
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Question 3 of 10
3. Question
The risk committee at a listed company is debating standards for Effectiveness of Controls as part of regulatory inspection. The central issue is that while the organization has implemented a series of engineering controls to mitigate noise exposure in the manufacturing wing, recent internal audit findings suggest that the residual risk remains above the established 85 dBA threshold for several shifts. To address the committee’s concerns regarding the ‘Check’ component of the ISO 45001 PDCA cycle, which approach should the safety manager prioritize to validate control performance?
Correct
Correct: In the ISO 45001 and PDCA (Plan-Do-Check-Act) framework, the ‘Check’ phase involves monitoring and measuring activities and processes relative to OSH objectives and reporting the results. Implementing quantitative noise dosimetry and area monitoring provides the objective data necessary to verify if the engineering controls are meeting their intended performance specifications and effectively reducing risk to the desired level.
Incorrect: Revising the Job Safety Analysis to mandate PPE is an administrative and PPE-based control measure, which falls under the ‘Do’ or ‘Act’ phase rather than the ‘Check’ phase of performance verification. Scheduling a procurement review for new equipment is a corrective or improvement action (Act) taken after a deficiency is confirmed. Developing training modules is an administrative control focused on worker awareness and behavior, which does not provide a systematic measurement of the engineering control’s technical effectiveness.
Takeaway: The ‘Check’ phase of the PDCA cycle requires objective monitoring and measurement of control performance against established benchmarks to verify their ongoing effectiveness.
Incorrect
Correct: In the ISO 45001 and PDCA (Plan-Do-Check-Act) framework, the ‘Check’ phase involves monitoring and measuring activities and processes relative to OSH objectives and reporting the results. Implementing quantitative noise dosimetry and area monitoring provides the objective data necessary to verify if the engineering controls are meeting their intended performance specifications and effectively reducing risk to the desired level.
Incorrect: Revising the Job Safety Analysis to mandate PPE is an administrative and PPE-based control measure, which falls under the ‘Do’ or ‘Act’ phase rather than the ‘Check’ phase of performance verification. Scheduling a procurement review for new equipment is a corrective or improvement action (Act) taken after a deficiency is confirmed. Developing training modules is an administrative control focused on worker awareness and behavior, which does not provide a systematic measurement of the engineering control’s technical effectiveness.
Takeaway: The ‘Check’ phase of the PDCA cycle requires objective monitoring and measurement of control performance against established benchmarks to verify their ongoing effectiveness.
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Question 4 of 10
4. Question
A gap analysis conducted at an insurer regarding Administrative Controls as part of outsourcing concluded that the current contractor management framework lacked specific procedural oversight for high-risk tasks. The facility manager noted that while the vendor provided their own safety manual, it did not integrate with the insurer’s ISO 45001:2018 objectives. To address this within the 30-day onboarding window, the safety committee must select the most appropriate administrative control to mitigate operational risks. Which of the following actions represents the most effective application of administrative controls in this scenario?
Correct
Correct: Administrative controls are designed to change the way people work through procedures, training, and scheduling. A permit-to-work system is a fundamental administrative control that ensures high-risk activities are only performed after specific safety checks and authorizations are completed. Site-specific inductions are also administrative controls that ensure external workers are aware of local hazards and emergency protocols, aligning with ISO 45001 requirements for worker participation and consultation.
Incorrect: Retrofitting mechanical systems with interlocks and barriers is classified as an engineering control, which involves physical changes to the workplace rather than procedural changes. Distributing high-visibility vests and boots is a Personal Protective Equipment (PPE) control, which is the least effective level of the hierarchy of controls. Substituting solvent-based cleaners with water-based ones is a substitution control, which is a higher-level strategy than administrative controls but does not fall under the administrative category.
Takeaway: Administrative controls focus on procedural safeguards, training, and work practices to mitigate risks when hazards cannot be entirely eliminated or engineered out.
Incorrect
Correct: Administrative controls are designed to change the way people work through procedures, training, and scheduling. A permit-to-work system is a fundamental administrative control that ensures high-risk activities are only performed after specific safety checks and authorizations are completed. Site-specific inductions are also administrative controls that ensure external workers are aware of local hazards and emergency protocols, aligning with ISO 45001 requirements for worker participation and consultation.
Incorrect: Retrofitting mechanical systems with interlocks and barriers is classified as an engineering control, which involves physical changes to the workplace rather than procedural changes. Distributing high-visibility vests and boots is a Personal Protective Equipment (PPE) control, which is the least effective level of the hierarchy of controls. Substituting solvent-based cleaners with water-based ones is a substitution control, which is a higher-level strategy than administrative controls but does not fall under the administrative category.
Takeaway: Administrative controls focus on procedural safeguards, training, and work practices to mitigate risks when hazards cannot be entirely eliminated or engineered out.
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Question 5 of 10
5. Question
What control mechanism is essential for managing Steps in Incident Investigation? A safety manager at a large manufacturing facility is reviewing the organization’s response to a series of near-miss events in the assembly line. While the initial reports successfully documented the time, location, and personnel involved, the subsequent corrective actions failed to prevent a recurrence of the same issues. To improve the effectiveness of the investigation process and ensure it aligns with ISO 45001:2018 standards, the manager must refine the transition from data collection to analysis.
Correct
Correct: A standardized root cause analysis (RCA) protocol is essential because it moves the investigation beyond the ‘surface’ symptoms (immediate causes) to the ‘root’ (systemic failures). Under OSH management systems like ISO 45001, the goal of an investigation is to identify nonconformities in the management system itself—such as inadequate training, poor maintenance schedules, or flawed procurement—to prevent recurrence. Differentiating between these levels of causation ensures that corrective actions are directed at the system rather than just the individual or the specific event.
Incorrect: Focusing on disciplinary reviews often creates a culture of fear that discourages incident reporting and fails to address the environmental or systemic factors that allowed the error to occur. Prioritizing the restoration of operations before a thorough analysis is completed can lead to the loss of latent evidence and the persistence of the original hazard. Relying exclusively on eyewitness testimony is problematic because human memory is fallible and subjective; a professional investigation must triangulate witness accounts with physical evidence, digital logs, and environmental data to ensure accuracy.
Takeaway: The most critical step in an incident investigation is the application of a systematic root cause analysis that identifies and corrects underlying management system failures rather than just addressing immediate symptoms.
Incorrect
Correct: A standardized root cause analysis (RCA) protocol is essential because it moves the investigation beyond the ‘surface’ symptoms (immediate causes) to the ‘root’ (systemic failures). Under OSH management systems like ISO 45001, the goal of an investigation is to identify nonconformities in the management system itself—such as inadequate training, poor maintenance schedules, or flawed procurement—to prevent recurrence. Differentiating between these levels of causation ensures that corrective actions are directed at the system rather than just the individual or the specific event.
Incorrect: Focusing on disciplinary reviews often creates a culture of fear that discourages incident reporting and fails to address the environmental or systemic factors that allowed the error to occur. Prioritizing the restoration of operations before a thorough analysis is completed can lead to the loss of latent evidence and the persistence of the original hazard. Relying exclusively on eyewitness testimony is problematic because human memory is fallible and subjective; a professional investigation must triangulate witness accounts with physical evidence, digital logs, and environmental data to ensure accuracy.
Takeaway: The most critical step in an incident investigation is the application of a systematic root cause analysis that identifies and corrects underlying management system failures rather than just addressing immediate symptoms.
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Question 6 of 10
6. Question
Excerpt from a whistleblower report: In work related to Emergency Preparedness and Response as part of market conduct at a credit union, it was noted that the facility’s emergency evacuation plan has not been updated since the installation of a high-density mobile filing system in the main records room six months ago. This new system significantly alters the primary egress path for employees in that department. Furthermore, the report indicates that while the Safety Manager conducted a walkthrough, no input was sought from the administrative staff who operate the system daily. Which of the following represents the most significant failure in the OSH management system regarding this change?
Correct
Correct: According to ISO 45001:2018 and general OSH management principles, worker participation and consultation (Clause 5.4) are essential for effective hazard identification and risk assessment. When a workplace change occurs, such as the installation of equipment that alters egress paths, the organization must re-evaluate risks and involve the workers who are most familiar with the area to ensure the emergency preparedness plan remains effective and realistic.
Incorrect: Implementing specific engineering controls like fire suppression is a secondary step that follows a proper risk assessment, not the primary management system failure. Relying on a fixed 18-month review cycle is a failure of the Plan-Do-Check-Act (PDCA) cycle, as changes must be addressed when they occur rather than waiting for a calendar date. Quantitative risk assessment is a specific methodology but is not a universal requirement; a qualitative assessment with worker input is often more critical for emergency egress planning.
Takeaway: Effective emergency preparedness requires immediate re-evaluation of risks and active worker consultation whenever significant changes are made to the workplace environment.
Incorrect
Correct: According to ISO 45001:2018 and general OSH management principles, worker participation and consultation (Clause 5.4) are essential for effective hazard identification and risk assessment. When a workplace change occurs, such as the installation of equipment that alters egress paths, the organization must re-evaluate risks and involve the workers who are most familiar with the area to ensure the emergency preparedness plan remains effective and realistic.
Incorrect: Implementing specific engineering controls like fire suppression is a secondary step that follows a proper risk assessment, not the primary management system failure. Relying on a fixed 18-month review cycle is a failure of the Plan-Do-Check-Act (PDCA) cycle, as changes must be addressed when they occur rather than waiting for a calendar date. Quantitative risk assessment is a specific methodology but is not a universal requirement; a qualitative assessment with worker input is often more critical for emergency egress planning.
Takeaway: Effective emergency preparedness requires immediate re-evaluation of risks and active worker consultation whenever significant changes are made to the workplace environment.
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Question 7 of 10
7. Question
The privacy officer at a listed company is tasked with addressing Effectiveness of Controls during control testing. After reviewing a board risk appetite review pack, the key concern is that the current lockout/tagout (LOTO) procedures for high-voltage maintenance have shown a 15% increase in near-miss incidents over the last fiscal quarter. Despite the implementation of mandatory annual training and the provision of high-quality padlocks, internal audits suggest that workers are frequently bypassing the secondary verification step due to time constraints during peak production cycles. The board is concerned that the existing administrative controls are not sufficiently mitigating the risk of electrical shock to an acceptable level. Which of the following actions would be most effective in improving the control environment and ensuring the residual risk aligns with the organization’s risk appetite?
Correct
Correct: According to the hierarchy of controls, engineering controls are significantly more effective than administrative controls or PPE because they physically isolate the hazard from the worker. In this scenario, the trapped-key interlocking system removes the reliance on human behavior and the possibility of bypassing the secondary verification step, directly addressing the root cause of the near-misses and aligning the residual risk with the board’s appetite.
Incorrect: Increasing audits and disciplinary measures relies on behavioral compliance and administrative oversight, which the scenario indicates is already failing under production pressure. Revising training is another administrative control that, while helpful, does not change the physical work environment or the ease with which procedures can be bypassed. Upgrading PPE is the least effective control method as it only provides a final layer of protection to minimize injury severity after a failure has occurred, rather than preventing the failure itself.
Takeaway: Engineering controls are inherently more reliable than administrative controls because they reduce the potential for human error by physically preventing unsafe actions.
Incorrect
Correct: According to the hierarchy of controls, engineering controls are significantly more effective than administrative controls or PPE because they physically isolate the hazard from the worker. In this scenario, the trapped-key interlocking system removes the reliance on human behavior and the possibility of bypassing the secondary verification step, directly addressing the root cause of the near-misses and aligning the residual risk with the board’s appetite.
Incorrect: Increasing audits and disciplinary measures relies on behavioral compliance and administrative oversight, which the scenario indicates is already failing under production pressure. Revising training is another administrative control that, while helpful, does not change the physical work environment or the ease with which procedures can be bypassed. Upgrading PPE is the least effective control method as it only provides a final layer of protection to minimize injury severity after a failure has occurred, rather than preventing the failure itself.
Takeaway: Engineering controls are inherently more reliable than administrative controls because they reduce the potential for human error by physically preventing unsafe actions.
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Question 8 of 10
8. Question
A whistleblower report received by a mid-sized retail bank alleges issues with Types of Hazards (e.g., physical, chemical, biological, ergonomic, psychosocial) during change management. The allegation claims that the transition to a high-density open-office layout and the introduction of a new high-speed transaction software were completed without assessing the impact on employee mental health or physical strain. The report specifically mentions that several employees have reported increased anxiety and wrist discomfort since the rollout three months ago. As the Safety Manager reviewing the Occupational Safety and Health Management System (OSHMS), which approach best addresses the identification of these specific hazards and validates the risk assessment’s effectiveness?
Correct
Correct: The whistleblower’s report highlights psychosocial hazards (anxiety/mental health) and ergonomic hazards (wrist discomfort/physical strain). Under ISO 45001 and general OSH management principles, identifying these hazards requires active worker participation and consultation. Reviewing incident reports provides lagging indicator data, while structured interviews serve as a qualitative method to identify hazards that are not easily captured through physical inspections alone.
Incorrect: Focusing on physical hazards like noise and light levels does not address the specific allegations of mental health and ergonomic strain. Reviewing chemical Safety Data Sheets is irrelevant to the reported issues of software-related strain and office layout stress. Reviewing the organizational chart for reporting lines is an administrative check that fails to identify or assess the actual psychosocial risks associated with the work environment or job design.
Takeaway: Effective hazard identification during change management must specifically target the reported hazard types, such as psychosocial and ergonomic risks, through worker consultation and data review.
Incorrect
Correct: The whistleblower’s report highlights psychosocial hazards (anxiety/mental health) and ergonomic hazards (wrist discomfort/physical strain). Under ISO 45001 and general OSH management principles, identifying these hazards requires active worker participation and consultation. Reviewing incident reports provides lagging indicator data, while structured interviews serve as a qualitative method to identify hazards that are not easily captured through physical inspections alone.
Incorrect: Focusing on physical hazards like noise and light levels does not address the specific allegations of mental health and ergonomic strain. Reviewing chemical Safety Data Sheets is irrelevant to the reported issues of software-related strain and office layout stress. Reviewing the organizational chart for reporting lines is an administrative check that fails to identify or assess the actual psychosocial risks associated with the work environment or job design.
Takeaway: Effective hazard identification during change management must specifically target the reported hazard types, such as psychosocial and ergonomic risks, through worker consultation and data review.
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Question 9 of 10
9. Question
An internal review at a fund administrator examining Administrative Controls as part of internal audit remediation has uncovered that the organization’s 18-month-old policy on workstation ergonomics has not been updated to reflect the shift to a hybrid work model. While the policy mandates annual in-person assessments for all staff, the Safety Manager has noted a 40% decrease in compliance since employees began working from home three days a week. The audit team is evaluating the most effective administrative adjustment to ensure the OSH management system remains compliant with ISO 45001:2018 standards regarding worker participation and risk mitigation. Which of the following actions represents the most appropriate administrative control to address this gap?
Correct
Correct: Administrative controls are designed to change the way people work through the implementation of policies, procedures, and training. By revising the standard operating procedure (SOP) to include remote self-assessments and virtual training, the organization is modifying its administrative framework to align with the current work environment. This approach ensures that risk assessment continues despite the change in physical location, fulfilling ISO 45001:2018 requirements for maintaining an effective OSH management system and encouraging worker participation in hazard identification.
Incorrect: Providing ergonomic furniture such as standing desks and chairs is classified as an engineering control because it involves physical changes to the work environment to reduce risk. Distributing wrist braces and blue-light glasses is categorized as Personal Protective Equipment (PPE), which is the least effective level of the hierarchy of controls and does not address the procedural gap. Increasing disciplinary warnings is an enforcement mechanism rather than a control design improvement; it fails to address the systemic failure of the policy to account for remote work realities.
Takeaway: Administrative controls focus on procedural changes, training, and work practices to mitigate risks when higher-level controls like elimination or engineering are not applicable.
Incorrect
Correct: Administrative controls are designed to change the way people work through the implementation of policies, procedures, and training. By revising the standard operating procedure (SOP) to include remote self-assessments and virtual training, the organization is modifying its administrative framework to align with the current work environment. This approach ensures that risk assessment continues despite the change in physical location, fulfilling ISO 45001:2018 requirements for maintaining an effective OSH management system and encouraging worker participation in hazard identification.
Incorrect: Providing ergonomic furniture such as standing desks and chairs is classified as an engineering control because it involves physical changes to the work environment to reduce risk. Distributing wrist braces and blue-light glasses is categorized as Personal Protective Equipment (PPE), which is the least effective level of the hierarchy of controls and does not address the procedural gap. Increasing disciplinary warnings is an enforcement mechanism rather than a control design improvement; it fails to address the systemic failure of the policy to account for remote work realities.
Takeaway: Administrative controls focus on procedural changes, training, and work practices to mitigate risks when higher-level controls like elimination or engineering are not applicable.
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Question 10 of 10
10. Question
An escalation from the front office at an audit firm concerns Safety Audits and Inspections during control testing. The team reports that during a 12-month review of a heavy machinery plant, there is a significant disconnect between the hazards identified in the formal Risk Register and the actual hazards observed during unannounced site walkthroughs. Despite the facility maintaining an ISO 45001:2018 certification, the internal audit findings suggest that the current hazard identification methods are failing to capture dynamic operational risks. As the Safety Manager overseeing the corrective action plan, which approach best aligns with the ‘Act’ phase of the Plan-Do-Check-Act (PDCA) cycle to resolve this systemic issue?
Correct
Correct: In the PDCA cycle, the ‘Act’ phase involves taking actions to continually improve OSH performance. By conducting a root cause analysis and modifying the methodology to include worker participation—a core requirement of ISO 45001—the manager addresses the systemic failure of the hazard identification process. This ensures that the system evolves to capture the dynamic risks that were previously missed, rather than just repeating ineffective monitoring.
Incorrect: Increasing the frequency of inspections using a flawed checklist focuses on the quantity of data rather than the quality or methodology of hazard identification. Simply revising a policy statement is an administrative change that does not address the operational failure of the risk assessment process. Implementing tracking software improves the monitoring of findings but does not address the underlying reason why the hazards were not identified in the first place.
Takeaway: Effective safety management requires using audit findings to drive systemic changes in risk assessment methodologies and worker engagement rather than just increasing the frequency of existing controls.
Incorrect
Correct: In the PDCA cycle, the ‘Act’ phase involves taking actions to continually improve OSH performance. By conducting a root cause analysis and modifying the methodology to include worker participation—a core requirement of ISO 45001—the manager addresses the systemic failure of the hazard identification process. This ensures that the system evolves to capture the dynamic risks that were previously missed, rather than just repeating ineffective monitoring.
Incorrect: Increasing the frequency of inspections using a flawed checklist focuses on the quantity of data rather than the quality or methodology of hazard identification. Simply revising a policy statement is an administrative change that does not address the operational failure of the risk assessment process. Implementing tracking software improves the monitoring of findings but does not address the underlying reason why the hazards were not identified in the first place.
Takeaway: Effective safety management requires using audit findings to drive systemic changes in risk assessment methodologies and worker engagement rather than just increasing the frequency of existing controls.