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

TopicDetails
Topic 1
  • 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.
Topic 2
  • Managing an ISO 45001 audit program: This section of the exam measures the skills of Audit Managers and covers the management of an ongoing ISO 45001 audit program. It focuses on scheduling audits, maintaining auditor competency, and ensuring continuous improvement within the auditing process. One skill to be measured is implementing strategies for effective audit program management.
Topic 3
  • Domain 4: Preparing for an ISO 45001 audit: This section of the exam measures the skills of Audit Consultants and covers the preparation process for conducting an ISO 45001 audit. It emphasizes planning, resource allocation, and establishing audit objectives to ensure a thorough evaluation.
Topic 4
  • ISO 45001 requirements for an OH&S MS โ€“ Clauses 4 to 10: This section of the exam measures the skills of Auditors related to specific requirements outlined in ISO 45001 about occupational health and safety management systems. It emphasizes understanding clauses that address context, leadership, planning, support, operation, performance evaluation, and improvement. A skill to be measured is applying ISO 45001 requirements to organizational practices.
Topic 5
  • Fundamental principles and concepts of an occupational health and safety management system: This section of the exam measures the skills of Health and Safety Managers and covers the essential principles and concepts underlying an occupational health and safety management system (OHSMS). It focuses on understanding the framework for managing health and safety risks to prevent workplace injuries and illnesses. One skill to be measured is identifying key components of an effective OHSMS.
Topic 6
  • 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.

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PECB Certified ISO 45001 Lead Auditor Exam Sample Questions (Q78-Q83):

NEW QUESTION # 78
You are in the closing meeting of a second-party audit to ISO 45001. Which three of the following topics are most likely to come for discussion?

Answer: C,E,F

Explanation:
The closing meeting of a second-party audit focuses on the findings, conformance to agreed requirements, and areas for improvement. ISO 19011:2018 provides guidance on closing meetings, stating that the results of the audit, including conformity with criteria, must be reviewed and agreed upon.
Analysis of Options:
* A. The names and email addresses of attendees at the closing meeting:Irrelevant. Attendance details are not part of the audit discussion.
* B. The extent of the auditee's documented information system:While relevant during the audit, it is not typically a focus in the closing meeting.
* C. The extent to which the auditee is conforming to OH&S requirements in supply contracts:
Correct. Second-party audits often assess compliance with contractual requirements.
* D. The extent to which the auditee conforms to ISO 45001 requirements:Correct. The core purpose of the audit is to evaluate conformity to ISO 45001.
* E. The nature of the trading relationship between the organizations:Correct. The trading relationship often shapes the scope and context of second-party audits.
* F. Whether the audit has correctly performed in current contracts with other customers:
Irrelevant. The focus is on the specific audit, not contracts with other customers.
* G. Whether the work instructions for a specific OH&S process are focused on efficiency:
Irrelevant. Efficiency is not the primary focus of an OH&S audit.
ISO References:
* ISO 19011:2018, Clause 6.6.1: Conducting the closing meeting.
* ISO 45001:2018, Clause 9.2: Internal audit requirements.


NEW QUESTION # 79
Select two options that are corrections.

Answer: B,F

Explanation:
Corrections address immediate issues, such as errors or omissions, without addressing root causes. Clause
10.2 of ISO 45001:2018 allows for corrections alongside corrective actions.
Analysis of Options:
* A. Adding a missing signature to a corrective action record: Correct. This is a correction addressing an administrative oversight.
* B. Changing a process to reduce its inherent risk: Incorrect. This is a corrective action aimed at addressing root causes, not a correction.
* C. Changing the name of a tutor that did not deliver a course to the name of the tutor that did:
Correct. This corrects an error in records without addressing systemic issues.
* D. Reviewing workers' training records: Incorrect. This is part of ongoing monitoring or auditing, not a correction.
* E. Updating the emergency preparedness plan as a result of carrying out a practical test:
Incorrect. This is a corrective action resulting from performance evaluation, not a correction.
* F. Using OHSMS induction training to address an identified lack of OHSMS awareness among workers: Incorrect. This is a preventive or corrective action, not a correction.
ISO References:
* Clause 10.2: Nonconformity and corrective action.
* Clause 7.5: Control of documented information


NEW QUESTION # 80
Which two of the following are examples of audit objectives for the audit team?

Answer: A,C

Explanation:
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 and 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 and 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 and S objectives and planning.
Clause 8.1.2: Hierarchy of controls and worker involvement.
ISO 19011:2018: Guidelines for auditing management systems.


NEW QUESTION # 81
An audit team leader prepares the audit plan for an initial Stage 2 certification audit. Which two of the following statements are false?

Answer: B,E

Explanation:
Comprehensive Detailed Explanation along with All ISO 45001 Audit References Analysis of Each Option:
Reference: ISO 19011:2018, Clause 6.3.2.
B). The audit team leader does not select the OHS audit team members.False.The audit team leader is responsible for selecting competent team members with the requisite expertise to evaluate the auditee's Occupational Health & Safety Management System (OHSMS). Selection is based on criteria such as knowledge of ISO 45001, auditing skills, and understanding of the industry.Reference: ISO 19011:2018, Clause 5.4.2 and 6.3.1.
C). The audit team leader should plan to interview each employee.False.While employee interviews are an essential part of gathering evidence during an ISO 45001 audit, interviewing every employee is impractical and unnecessary. A representative sampling strategy is used to assess compliance across various levels and departments.Reference: ISO 19011:2018, Clause 6.4.6.
D). The audit team leader should present the plan to the auditee before the Stage 2 audit.True.Presenting the audit plan to the auditee before the audit is essential to ensure all parties are informed and prepared for the audit. This practice is emphasized in ISO 19011 and supports transparency and effective audit execution.
Reference: ISO 19011:2018, Clause 6.3.3.
E). The organisation should cancel staff leave during the audit.False.ISO 45001 and related audit guidelines do not mandate the cancellation of staff leave during audits. While key personnel should be available, the audit team collaborates with the organization to plan around leave schedules to minimize disruption.Reference: Not explicitly covered in ISO 45001 or ISO 19011; falls under planning discretion.
F). The plan does not need to include the names of the senior managers.True.While the audit plan should outline the scope, objectives, and methods, it does not specifically require the inclusion of senior managers' names unless they are directly involved in the audit.Reference: ISO 19011:2018, Clause 6.3.2.
Key ISO References:
ISO 45001:2018, Clause 9.2 (Internal Audit Requirements).
ISO 19011:2018, Clauses 5.4.2, 6.3.1, 6.3.2, and 6.4.6.


NEW QUESTION # 82
You are the OH and S manager in an organisation that makes plastic toys using injection moulding machines.
You are currently training three new internal auditors who will be responsible for carrying out first- and second-party audits on behalf of your organisation. You ask them to identify which of the following statements about grading first and/or second-party nonconformities are correct.
Identify which three of the following are true:

Answer: A,B,G

Explanation:
The correct answers are D, F, H.
ISO 19011 guidance on generating audit findings says that nonconformities can be graded depending on the context of the organization and its risks. That directly supports D, because any grading should reflect the risk the nonconformity presents to the organization. The same guidance also says this grading can be quantitative (for example 1 to 5) or qualitative (for example minor/major), which makes F correct. Because the wording is
"can be graded", grading is optional rather than mandatory, so H is also true. (Synersia Foundation) Why the other options are not true:
A is not a requirement in ISO 19011. An organization may define grading rules in its audit programme or procedure, but there is no rule that grading must be agreed with the individual(s) managing the audit programme. (ISO) B is false. ISO 19011 does not recommend that top management grade nonconformities. Audit findings are generated by auditors based on objective evidence and audit criteria. (ISO) C is false. A second-party audit team does not have to adopt the auditee's grading system. The grading approach can follow the auditing organization's own rules and purpose for the audit. (ISO) E is false. Additional documented information at the closing meeting does not mean the grading must be changed. The evidence should be reviewed, but unresolved issues may simply remain recorded in the audit report. (Synersia Foundation) G is false. There is no requirement that extra grading categories must be agreed with the auditee before the closing meeting. The auditee should understand the findings, but the grading framework is not something ISO
19011 requires to be negotiated at that point. (ISO)


NEW QUESTION # 83
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