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

TopicDetails
Topic 1
  • 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 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
  • 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 4
  • 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 5
  • ISO 45001 requirements for an OH&S MS – 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.

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PECB Certified ISO 45001 Lead Auditor Exam Sample Questions (Q109-Q114):

NEW QUESTION # 109
An audit team leader arrives at a steel fabrication organisation that manufactures stairways to carry out a Stage2 certification audit. At a meeting with the OHSMS Manager, she is told that they have won their biggest contact from a construction organization to manufacture and install stairways.
During the audit, a team member found that several employees had suffered hand injuries over several months due to handrail welds not being property polished. The OHSMS Manager blames the new employees they had to take on because of the big contract. The auditor raises a nonconformance against clause 10.2 erf ISO 45001.
In relation to the nonconformity raised by the auditor and in line with the policy of the certification body, the audit team raise improvement opportunities in the audit report.
Which three of the options would represent acceptance opportunities for improvement in the report?

Answer: B,D,H

Explanation:
Comprehensive Detailed Explanation along with All ISO 45001 Audit Reference Opportunities for improvement (OFIs) are suggestions provided during audits that do not indicate nonconformities but are aimed at enhancing the system's performance.
Analysis of Options:
A . A quality control program could involve non-destructive testing of the welded handrails:
While beneficial, this focuses on product quality rather than OH&S improvements.
B . Operational planning activities may benefit from an improved risk-based approach based on international standards for risk management:
Correct. Enhancing risk-based thinking aligns with Clause 6.1.1.
C . A first aid station could be located next to the handrail polishing operation:
While useful, first aid station placement is an operational matter, not directly related to OH&S management system improvement.
D . Additional internal audits of the OHS management system may reduce production problems:
Internal audits should address system performance, not production problems.
F . The induction program for new employees could include an awareness training video on health and safety:
Correct. Enhanced training for new employees addresses Clause 7.2 (competence).
G . The requirement for wearing protective gloves could be extended to shop floor workers across all operations:
Correct. This improves hazard control in line with Clause 8.1.2.
H . The molding polishers should be disciplined for incompetency:
Disciplinary actions are outside the scope of system improvement.
ISO Reference:
Clause 6.1.1: Risk management.
Clause 7.2: Competence.
Clause 8.1.2: Hierarchy of controls.


NEW QUESTION # 110
During an internal audit of an OHSMS, what evidence would the auditor look for to demonstrate conformity to ISO 45001? Match each item with the correct ISO 45001 clause number.

Answer:

Explanation:

Reference:
Clause 4.1: Understanding the organization and its context.
Clause 6.1.2.2: Assessment of risks and opportunities related to OH&S.
Clause 6.1.3: Compliance obligations.
Clause 8.1.4.2: Control of external providers.


NEW QUESTION # 111
You are an audit team leader conducting a Stage 2 audit of a Financial Services Provider. You are currently interviewing the organisation's Risk and Compliance Officer, who appears very competent when it comes to the management of business risks. As the Risk and Compliance Officer, she is also identified as having lead responsibility for the management of OH&S risk, and you are now seeking evidence that she understands the requirements relating to risk that are contained within ISO 45001. During your conversation, she makes the following six statements about risk within an ISO 45001-based OHSMS. Which four of his statements are correct?

Answer: B,C,D,E

Explanation:
Analysis of Options:
* A. The organisation must attempt to identify and address every risk it faces:Incorrect. ISO 45001 focuses on OH&S risks and not every risk faced by the organization.
* B. The effect of uncertainty (i.e. risk) can result in positive outcomes as well as negative ones:
Correct. Clause 3.20 defines risk as the "effect of uncertainty," which may result in positive or negative outcomes.
* C. Although organisations are required to carry out risk management, the method by which they do so is up to them:Correct. ISO 45001 does not prescribe specific risk management methods, leaving the organization to choose the approach that best suits its context (Clause 6.1.2).
* D. Risk assessment is an activity that must be carried out by top management:Incorrect. Risk assessment can involve workers and other personnel; it is not limited to top management.
* E. The organisation is required to assess risks arising from OH&S hazards:Correct. Clause 6.1.2.2 requires organizations to assess OH&S risks associated with hazards.
* F. Risk is often expressed as a combination of likelihood and impact:Correct. This is a common way to express risk, aligned with Clause 6.1.2.
ISO References:
* Clause 3.20: Definition of risk.
* Clause 6.1.2: Hazard identification and risk assessment


NEW QUESTION # 112
Which three of the following findings could be used to support a nonconformity against ISO 45001:2018 clause 7.2 Competence?

Answer: B,C,G

Explanation:
ISO 45001 Clause 7.2 Competence requires the organization to:
* determine the necessary competence of workers that affect or can affect OH and S performance;
* ensure workers are competent , including the ability to identify hazards ;
* where applicable, take actions to acquire and maintain competence and evaluate the effectiveness of those actions; and
* retain appropriate documented information as evidence of competence .
Based on that wording, C is clearly correct because the clause explicitly says workers must be competent, including having the ability to identify hazards . If there is no evidence of that ability, this directly supports a nonconformity against Clause 7.2.
F is also correct because Clause 7.2 requires the organization to determine the competence needed for roles and ensure workers meet it. If there is no evidence that workers' knowledge and skills are assessed against role requirements , the organization cannot demonstrate that competence has been determined and verified.
H is the third correct answer because Clause 7.2 requires the organization to retain documented information as evidence of competence . Attendance on OH and S training is not, by itself, full proof of competence, but the absence of training records can still support a finding that the organization lacks documented evidence related to competence development and maintenance.
Why the others are not Clause 7.2 findings:
* A belongs to Clause 7.3 Awareness , which requires awareness of the consequences of not conforming.
* B also relates more to Clause 7.3 Awareness , which includes awareness of the ability to remove themselves from imminent and serious danger.
* D is also Clause 7.3 Awareness , because workers must understand their contribution to the effectiveness of the OHSMS.
* E relates to consultation and participation under Clause 5.4, not competence.
* G refers to quality policy and objectives, which are not ISO 45001 OH and S competence requirements.


NEW QUESTION # 113
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 categorized as low, medium, and high risk 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.

Answer: A


NEW QUESTION # 114
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