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PECB ISO-45001-Lead-Auditor Exam Overview:

Certification Vendor:PECB
Exam Name:PECB Certified ISO 45001 Lead Auditor Exam
Exam Number:ISO-45001-Lead-Auditor
Exam Format:Closed-book exam, Multiple-choice questions
Available Languages:Chinese (availability may vary), English, Spanish, French, German
Related Certifications:PECB Certified ISO 45001 Lead Implementer
PECB Certified Lead Auditor
PECB Certified ISO 45001 Foundation
Certificate Validity Period:3 years (renewable with Continuing Professional Development credits)
Exam Duration:180 minutes
Real Exam Qty:80 multiple-choice questions
Passing Score:70%
Exam Price:Varies by region/training provider (typically included in training package; standalone exam fees vary)
Recommended Training:ISO 45001 Training Programs (Authorized Partners)
PECB ISO 45001 Lead Auditor Training Course
Exam Registration:PECB Official Certification Page
PECB Exam Registration
Sample Questions:PECB ISO-45001-Lead-Auditor Sample Questions
Exam Way:Online or onsite proctored exam depending on provider
Pre Condition:It is recommended (but not mandatory) to have knowledge of ISO 45001 standard and auditing principles; prior experience in OHSMS or auditing is highly recommended.
Official Syllabus URL:https://pecb.com

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PECB ISO-45001-Lead-Auditor Exam Syllabus Topics:

TopicDetails
Topic 1
  • Closing an ISO 45001 audit: This section of the exam measures the skills of Audit Consultants and covers the procedures for concluding an ISO 45001 audit. It emphasizes reporting results, discussing findings with stakeholders, and ensuring follow-up actions are planned.
Topic 2
  • Conducting an ISO 45001 audit: This section of the exam measures the skills of Lead Auditors and covers the execution of an ISO 45001 audit. It focuses on gathering evidence, interviewing personnel, and assessing compliance with OHSMS requirements during the audit process.
Topic 3
  • Fundamental audit concepts and principles: This section of the exam measures the skills of Internal Auditors and covers the basic concepts and principles related to auditing an OHSMS. It focuses on understanding audit types, methodologies, and the role of audits in compliance and improvement. One skill to be measured is conducting effective audits to assess OHSMS performance.

PECB Certified ISO 45001 Lead Auditor Exam Sample Questions (Q68-Q73):

NEW QUESTION # 68
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.

Answer: F,G,H

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.


NEW QUESTION # 69
Out of the following, which is not the Part of PDCA cycle ISO 45001? Select the correct option, and then select Submit.

Answer: A

Explanation:
The PDCA cycle (Plan-Do-Check-Act) is a core framework in ISO 45001 for continual improvement of the OH&S management system. An Environmental Management Program is part of ISO 14001 (Environmental Management System) and not ISO 45001.
Analysis of Options:
* A. Treatment of Risks:Correct. Risk treatment is part of the Plan phase.
* B. OHSMS Policy:Correct. The policy is developed in the Plan phase.
* C. Environment Management Program:Incorrect. This is outside the scope of ISO 45001 and relates to ISO 14001.
* D. Analyzing OHSMS Performance:Correct. Performance analysis is part of the Check phase.
ISO References:
* Clause 0.3: PDCA framework in ISO 45001.


NEW QUESTION # 70
An audit team leader prepares the audit plan for an initial Stage 2 certification audit. Which two of the following statements are true?

Answer: C,D

Explanation:
The correct answers are A and F.
A). The auditee should review the audit plan for agreement is true because, in certification auditing practice, the audit plan is communicated to the client/auditee in advance and should be agreed regarding the practical arrangements for the audit. ISO guidance on certification auditing includes preparation of the audit plan and communication of the audit plan and audit team as part of planning audits. (ISO) F). The audit team leader must define the responsibilities of team members and observers is also true. ISO/IEC
17021-1 states that the audit team leader, in consultation with the audit team, shall assign to each team member responsibility for auditing specific processes, functions, sites, areas or activities. This is a direct audit- planning responsibility of the team leader. Observers are also part of the audit arrangements that must be defined and managed during planning. (IAS) Why the other statements are false:
B). The audit team leader should plan to interview each employee is false. Certification audits are conducted using sampling, not by interviewing every employee. Audit evidence is gathered on a representative basis.
(ISO)
C). The organisation must provide hospitality for the audit team is false. Hospitality is not a certification requirement and can raise impartiality concerns.
D). The audit team leader should audit the Occupational Health and Safety Manager is not a mandatory requirement. The audit plan must cover relevant processes, functions, activities and responsibilities, but it does not require the team leader personally to audit one named individual. (IAS) E). The organisation should cancel all staff leave during the audit is false. The auditee should ensure availability of relevant personnel as needed, but cancelling all leave is not an audit requirement.
Therefore, the two true statements are:
A, F


NEW QUESTION # 71
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.

Answer: C

Explanation:
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.


NEW QUESTION # 72
Which two of the following are ' objectives ' in relation to a first-party audit?

Answer: B,F

Explanation:
In a first-party audit (internal audit), the organization conducts the audit to determine whether its management system conforms to planned arrangements, to the organization's own requirements, and to the requirements of ISO 45001, and whether it is effectively implemented and maintained. ISO 45001 Clause 9.2 requires internal audits to provide information on conformity and effectiveness.
E). Verify compliance with regulatory requirements is a valid audit objective because ISO 45001 requires the organization to determine its legal and other requirements and to evaluate compliance with them. Internal audits commonly include verification that these legal OH and S obligations are being met as part of checking the effectiveness and conformity of the OH and S management system. This aligns with Clause 6.1.3 and Clause 9.1.2 of ISO 45001.
B). Complete the audit on time is also an audit objective in practical first-party auditing because audit objectives are established for the audit and supported by planning, resources, timing, and reporting arrangements. While it is not a system conformance criterion, it is a valid objective for the audit assignment itself, ensuring the audit is performed as planned and efficiently managed. This fits normal lead auditor practice in planning and conducting internal audits.
Why the other options are not correct:
* A. Apply international standards is too broad and is not itself an audit objective. Standards are the criteria or reference, not the objective.
* C. Confirm the scope of the management system is accurate is not usually stated as a first-party audit objective; scope is established by the organization under Clause 4.3, though it may be reviewed during audits.
* D. Prepare the audit report for the certification body does not apply to a first-party audit, because internal audits are not performed for a certification body.
* F. Update the management policy is a management responsibility, not an audit objective. Audits may identify inputs for policy review, but updating the policy is not the purpose of the audit itself.
Therefore, the two correct options are:
B, E


NEW QUESTION # 73
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