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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
Real Exam Qty:	80 (multiple-choice) or 12 essay-type questions
Passing Score:	70%
Exam Duration:	180 (essay-type) / 120 (multiple-choice)
Available Languages:	French, Spanish, English
Related Certifications:	PECB Certified ISO 45001 Lead Auditor PECB Certified ISO 45001 Auditor PECB Certified ISO 45001 Senior Lead Auditor PECB Certified ISO 45001 Provisional Auditor
Exam Price:	$1000 USD (exam only, without training course)
Certificate Validity Period:	Annual Maintenance Fee (AMF) required to maintain certification
Exam Format:	Multiple-choice, closed-book, Essay-type, open-book
Sample Questions:	PECB ISO-45001-Lead-Auditor Sample Questions
Exam Way:	Online (via PECB Exams application, remotely supervised by invigilator with camera) or Paper-based (at PECB partner training location, supervised by approved invigilator). Open-book exams allow: hard copy of main standard, training course materials, personal notes (printed), and a hard copy dictionary. Extra 30 minutes granted for non-native language candidates on Lead exams.
Pre Condition:	At least secondary education is required. For PECB Certified ISO 45001 Lead Auditor credential: five years of professional experience with two years in OH&S management, and 300 hours of audit activities. Signing the PECB Code of Ethics.
Official Syllabus URL:	https://pecb.com/en/education-and-certification-for-individuals/iso-45001/iso-45001-lead-auditor

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

Topic	Details
Topic 1	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 2	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 3	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 4	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 5	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 6	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 (Q53-Q58):

NEW QUESTION # 53
In the ISO 45001 health and safety management system, what is 'documented information'? Select the ONE best answer.

A. Any paperwork generated when the system is in operation
B. Any information about the system, or generated by it, held in any format
C. The master copies of the documents used to operate the system, held in any format
D. Paperwork such as Permits to work and risk assessments

Answer: B

Explanation:
ISO 45001 defines "documented information" as information required to be controlled and maintained by an organization. This can include policies, procedures, records, or other relevant data in any format (Clause 3.19). It encompasses all information used to establish, operate, and demonstrate the effectiveness of the OH&S management system.
Analysis of Options:
A . Any paperwork generated when the system is in operation:
Incorrect. This is too narrow and excludes digital or other formats.
B . Any information about the system, or generated by it, held in any format:
Correct. This aligns with the ISO 45001 definition in Clause 3.19.
C . Paperwork such as Permits to Work and risk assessments:
Incorrect. These are examples of documented information but do not encompass the full scope of the term.
D . The master copies of the documents used to operate the system, held in any format:
Incorrect. This definition is limited to master copies, while documented information includes records as well.
ISO Reference:
Clause 3.19: Definition of documented information.
Clause 7.5: Control of documented information.

NEW QUESTION # 54
During a second-party audit at a sawmill, you find that the OHSMS Manager conducted the hazard identification process. In the risk assessment report, hazards were listed as physical hazards, chemical hazards, biological hazards and psychosocial hazards, with the hazards categories as low medium and high to be addressed. The OHSMS Manager did not have an action plan for low and medium risks, saying that they ignored those He stated that they brought in a health and safety consultant to advise on treatment for the high risks.
When interviewing the OHSMS Manager, the auditor presents a nonconformity relating to potential hazards In the factory If the dust extraction system broke down. The OHSMS Manager said that. If that happened, the agreed planned action is that workers would put masks on.
Select one of the options for how the auditor should respond to this statement.

A. Advise that the factory should cease its operations It the dust extraction equipment malfunctioned.
B. Suggest that they should increase their maintenance checks.
C. Seek evidence that the response action is both Implemented and effective.
D. Ask the OH5MS Manager to confirm that this action meets regulatory requirements for air purity.

Answer: C

Explanation:
The auditor should assess whether the organization's planned action (using masks in case of dust extraction failure) is both implemented and effective. This aligns with ISO 45001 requirements to ensure that control measures are functional and meet the intended objectives.
Clause 8.1.2 (Hierarchy of Controls):
The use of PPE, such as masks, is considered a last resort in the hierarchy of controls. The organization must demonstrate that the measure is:
Implemented (e.g., PPE is available and workers are trained to use it).
Effective (e.g., masks provide adequate protection against dust).
Analysis of Options:
A . Advise that the factory should cease operations if the dust extraction equipment malfunctioned.
While ceasing operations may be a necessary control in extreme situations, it is not a practical or realistic recommendation unless a high-risk scenario cannot be otherwise managed.
B . Ask the OHSMS Manager to confirm regulatory compliance.
Regulatory compliance is important but does not fully address the requirement to ensure the action is effective.
C . Seek evidence that the response action is both implemented and effective.
This is the most appropriate response. The auditor must verify implementation and effectiveness to determine conformity.
D . Suggest increasing maintenance checks.
Maintenance is important for preventing equipment breakdowns, but this option does not address the immediate audit finding about the adequacy of response actions.
ISO Reference:
Clause 8.1.2: Emphasizes applying the hierarchy of controls effectively.
Clause 9.1.1: Requires monitoring and measuring controls to ensure effectiveness.

NEW QUESTION # 55
For the purpose of operating an ISO 45001-based Occupational Health and Safety Management System, which two of the following are relevant requirements of a relevant interested party?

A. Workers requiring a safe environment in which to work.
B. Investors requiring maximum growth in return for their capital.
C. Top management requiring an annual bonus.
D. Competitors requiring information on the organisation ' s work environment.
E. Shareholders requiring guaranteed dividend payments.
F. Subcontractor producing products and services that minimise the risk of harm.

Answer: A,F

Explanation:
ISO 45001 Clause 4.2 requires the organization to determine the relevant interested parties , their relevant needs and expectations (requirements) , and which of those become legal or other requirements for the OH and S management system. Workers are explicitly central to ISO 45001, and the standard is aimed at providing safe and healthy workplaces and preventing work-related injury and ill health. Therefore, A.
Workers requiring a safe environment in which to work is clearly a relevant requirement of a relevant interested party.
ISO 45001 Annex A.4.2 lists suppliers, contractors and subcontractors among examples of interested parties. Since externally provided products and services can affect OH and S performance, a requirement linked to minimizing the risk of harm in those products and services is relevant to the OH and S management system. That is why B. Subcontractor producing products and services that minimise the risk of harm is also relevant. It aligns with the standard's treatment of contractors/subcontractors as interested parties and with operational control over externally provided products and services that can affect OH and S.
Why the others are not correct:
* C. Competitors requiring information on the organisation ' s work environment is not a relevant OH and S requirement.
* D. Top management requiring an annual bonus is a financial/personal issue, not an OH and S interested-party requirement.
* E. Investors requiring maximum growth in return for their capital is a business expectation, but not a relevant OH and S requirement in this context.
* F. Shareholders requiring guaranteed dividend payments is also financial and not relevant to the OH and S management system, even though shareholders may be interested parties in a broader business sense. ISO 45001 requires only the needs and expectations that are relevant to the OH and SMS to be determined.

NEW QUESTION # 56
While interviewing a member of top management, you ask him to explain the process by which OH and S objectives are established.
Which three of the following responses are not aligned with ISO 45001 requirements?

A. Once we have established our OH and S objectives, we pass them over to an external provider to monitor progress. They are a specialist OH and S consultancy company, much more experienced in OH and S performance measurement and independent too.
B. We did consider checking our OH and S objectives against our OH and S policy in order to ensure they were consistent; however, as this is not mandatory and time at the meeting was short, we elected not to.
C. There is no need for us to take into account the results of our organisation's risk and opportunities assessments when setting our OH and S objectives. All that matters is what has happened, not what might happen. We therefore focus on internal and external issues instead.
D. Once we established our OH and S objectives, we did not see the need to communicate them to workers, since workers' representatives were consulted when they were set up.
E. We always try to consult with our workers before setting OH and S objectives. This means the process takes longer, but we have found workers feel greater ownership of the objectives as a result.
F. Where possible we try to make our OH and S objectives measurable. In some cases, however, we need to use professional judgement to determine whether the objective has been met.
G. Once we as top management have approved an OH and S objective, it is set and cannot be amended.
Updating objectives is a sure route to chaos and confusion.
H. Once we, as top management, approved the OH and S objectives, we did not define any action plan to achieve them, since the actions to be taken were discussed during a lunch we had with some of the managers.

Answer: C,G,H

Explanation:
The three targeted responses conflict directly with core objective-setting and planning requirements. A is incorrect because ISO 45001 Clause 6.2.1 requires OH and S objectives to be monitored and updated as appropriate; objectives are not permanently fixed once approved. B is inconsistent because objectives must take account of applicable requirements and the results of the assessment of OH and S risks and opportunities.
Objective setting therefore cannot deliberately disregard forward-looking risk and opportunity information. E conflicts with Clause 6.2.2, which requires the organisation, when planning how to achieve its OH and S objectives, to determine what will be done, required resources, responsible persons, completion timing, how results will be evaluated and how actions will be integrated into business processes. An informal discussion without defined implementation planning does not satisfy those requirements. Worker consultation and measurability where practicable are consistent with ISO 45001 ' s framework.

NEW QUESTION # 57
Which two of the following are examples of audit objectives for the audit team?

A. To implement any necessary corrective action.
B. To complete the audit on time.
C. To reduce instances of injury and ill health.
D. To improve overall health and safety performance.
E. To minimise risk resulting from the audit process.

Answer: B,E

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&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&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.
Reference:
ISO 45001:2018:
Clause 5.4: Worker consultation and participation.
Clause 6.2: OH&S objectives and planning.
Clause 8.1.2: Hierarchy of controls and worker involvement.
ISO 19011:2018: Guidelines for auditing management systems.

NEW QUESTION # 58
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