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

SectionWeightObjectives
Closing an ISO 45001 Audit12.5% (MC) / 6.67% (essay)- Audit follow-up activities
- Evaluation of action plans by the auditor
- Closing of the audit
ISO 45001 Requirements for an OH&S MS – Clauses 4 to 1012.5% (MC) / 13.33% (essay)- Evaluate OH&S MS conformity to ISO 45001 requirements
- Interpret the ISO 45001 requirements for an OH&S MS from the perspective of an auditor
Fundamental Audit Concepts and Principles18.75% (MC) / 13.33% (essay)- Risk-based auditing
- Evaluate OH&S MS conformity in accordance with fundamental audit concepts and principles
- Explain fundamental audit concepts and principles
Fundamental Principles and Concepts of an Occupational Health and Safety Management System (OH&S MS)11.25% (MC) / 13.33% (essay)- Fundamental concepts and principles of OH&S
- Distinguish between ISO 45001 and other occupational health and safety-related standards
- Explain the scope and applicability of ISO 45001
- Identify the legal requirements and other requirements to which the organization must adhere
Conducting an ISO 45001 Audit20% (MC) / 26.68% (essay)- Audit procedures and execution
- Generating audit findings and conclusions
- Communication during the audit
Managing an ISO 45001 Audit Program12.5% (MC) / 13.33% (essay)- Management of combined audits
- Management of audit records
- Requirements, guidelines, and best practices regarding audit resources, procedures, and policies
- Personal attributes and behaviors of a professional auditor
- Application of the PDCA cycle in the management of an audit program
Preparing an ISO 45001 Audit12.5% (MC) / 13.33% (essay)- Initiation of the audit process
- Preparation of audit working documents
- Audit procedures and planning

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PECB Certified ISO 45001 Lead Auditor Exam Sample Questions (Q111-Q116):

NEW QUESTION # 111
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: E,G,I

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 # 112
Which two of these statements about processes are true?

Answer: C,E


NEW QUESTION # 113
ISO 45001 requires the organisation to maintain and retain documented OH and SMS information.
Check each statement and determine which two are true:

Answer: A,F


NEW QUESTION # 114
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: C,G,I

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 and 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 References:
* 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 # 115
As a third-party auditor, you must audit company ABC, which has agreed with the Certification Body that the scope will be " manufacture of food for domestic animals " . They have recently bought the company XYZ across the road, which can manufacture the packaging materials for their food products. They have implemented a single OHS management system (ISO 45001) for both plants. However, for marketing purposes, they want to certify the management system for the food manufacturing only. They argue that XYZ has the role of a supplier.
What would be your response? Select one

Answer: D

Explanation:
The correct answer is D.
ABC states that it has implemented one single OH and S management system for both plants. Once a single management system covers both sites, the certification body has to determine and audit the scope of the management system being operated, not an artificially narrowed commercial scope. IAF MD 1 says a multi- site organization has a single management system, and the certification body must confirm that a single management system is deployed and determine the scope of the management system being operated. It also says the certification document must reflect the scope of certification and the sites/legal entities covered by that multi-site certification. (IAF) The argument that XYZ is "just a supplier" does not solve the problem. IAF MD 5 makes an important distinction: where an external provider is only a supplier, the certification body audits the organization's control of the supplied activity, not the performance of the activity itself. But here, XYZ is not outside the management system; ABC has already said both plants are inside one single OHSMS. So XYZ cannot simply be treated as an external supplier for certification-scoping purposes. (IAF) This is also consistent with the multi-site certification rules that do not allow an organization to exclude covered sites just to avoid certification consequences. IAF MD 1 explicitly says it is not admissible to exclude a problematic site from scope during certification, and the certification documents must show the sites covered by the certified system. While this example is about a "problematic" site, the principle is the same:
once the site is part of the single management system, it cannot be carved out simply for convenience or marketing. (IAF) Therefore, as a third-party auditor, you should not agree to audit only the food plant while ignoring the packaging plant if both are included in the same ISO 45001 management system.


NEW QUESTION # 116
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