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

SectionWeightObjectives
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
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
Managing an ISO 45001 Audit Program12.5% (MC) / 13.33% (essay)- Personal attributes and behaviors of a professional auditor
- Management of audit records
- Management of combined audits
- Requirements, guidelines, and best practices regarding audit resources, procedures, and policies
- Application of the PDCA cycle in the management of an audit program
Preparing an ISO 45001 Audit12.5% (MC) / 13.33% (essay)- Audit procedures and planning
- Preparation of audit working documents
- Initiation of the audit process
Conducting an ISO 45001 Audit20% (MC) / 26.68% (essay)- Generating audit findings and conclusions
- Audit procedures and execution
- Communication during the audit
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
- Identify the legal requirements and other requirements to which the organization must adhere
- Explain the scope and applicability of ISO 45001

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PECB Certified ISO 45001 Lead Auditor Exam Sample Questions (Q113-Q118):

NEW QUESTION # 113
Like many other quality management systems, ISO 45001 uses what is known as a ' PDCA ' circle. What do those initials stand for?

Answer: C

Explanation:
The PDCA (Plan-Do-Check-Act) model is a continuous improvement framework used in ISO 45001 and other management systems.
* Plan: Establish objectives and processes to deliver results in line with the OH and S policy.
* Do: Implement the processes.
* Check: Monitor and measure processes against the policy, objectives, and requirements.
* Act: Take actions to continually improve the system ' s performance.
Analysis of Options:
* A. Plan, Do, Check, Act: Correct. This is the standard PDCA cycle.
* B. Plan, Do, Check, Ask: Incorrect. " Ask " is not part of the cycle.
* C. Plan, Deliver, Control, Achieve: Incorrect. This is not the PDCA cycle.
* D. Prepare, Deliver, Control, Assess: Incorrect. This deviates from the PDCA framework.
ISO Reference:
* Clause 0.3: PDCA model.


NEW QUESTION # 114
You are auditing a site of Good Food Shack, a restaurant chain. In the kitchen area, you notice a half-filled open drum sitting in a pool of liquid, which is dribbling across a work area. You ask the head Chef what is in the drum and are told it is waste the frying process. When you ask why it is kept there, You are told that it is not normally kept there, but it not a problem and says that he will arrange it to be moved to a storeroom and will give the floor a good clean.
Look around the kitchen, you observe knives and cleavers lying around on worktops, staff wearing no protective gloves and a large pot of boiling water with nobody near it. There is no evidence of any fire extinguishers of fine blankets within sight.
You decide to raise a nonconformance. Select one of the options that best describes the finding against clause
8.1.2 of ISO 45001.

Answer: B

Explanation:
Comprehensive Detailed Explanation along with All ISO 45001 Audit References Clause 8.1.2 of ISO 45001 pertains to Eliminating Hazards and Reducing OH&S Risks. Organizations must implement appropriate controls to manage workplace hazards effectively.
* Issue Identified:The kitchen environment at the audited site presents multiple hazards, including:
* Oil spillage creating a slip hazard.
* Open drums of waste material posing a chemical or hygiene hazard.
* Unsecured knives and cleavers increasing the risk of cuts.
* Boiling water left unattended, posing a risk of burns.
* Lack of visible fire extinguishers or fire blankets, increasing fire risk.
* Analysis of Options:
* A. Failure to reduce risks associated with working in the kitchen.This option accurately captures the broader failure to implement effective measures to eliminate or reduce hazards across multiple areas in the kitchen.
* B. Measures to prevent slippage in the kitchen from waste cooking oil were not taken.This is specific to one hazard (oil spillage) and does not address other significant risks observed, such as fire safety or sharp tools.
* C. Staff are at risk of serious injury while working in the kitchen.While true, this is more of a general observation and does not address the root cause of the hazards or the failure of controls.
* D. Training of the kitchen staff was not effective enough to prevent poor safety awareness in the kitchen area.Although training deficiencies may contribute to the issue, this option does not reflect the overarching systemic failure to manage hazards effectively.
* Best Description of the Nonconformance:Failure to reduce risks associated with working in the kitchen (Option A) is the most comprehensive finding, reflecting the organization's lack of adequate controls to mitigate hazards.
ISO References:
* Clause 8.1.2: Organizations must establish controls to eliminate or minimize OH&S risks systematically.
* Clause 7.2: Ensuring competency through training is important but must be coupled with hazard control measures.


NEW QUESTION # 115
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: D

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 # 116
Out of the following, which is not the Part of PDCA cycle ISO 45001? Select the correct option, and then select Submit.

Answer: C

Explanation:
The PDCA cycle (Plan-Do-Check-Act) is a core framework in ISO 45001 for continual improvement of the OH and 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 # 117
Select the two options which represent an advantage of using a sampling plan for the audit.

Answer: A,C


NEW QUESTION # 118
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