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| Topic | Details |
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| Topic 1 | - 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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| Topic 2 | - 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.
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| 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.
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| Topic 4 | - 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.
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PECB Certified ISO 45001 Lead Auditor Exam Sample Questions (Q15-Q20):
NEW QUESTION # 15
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. 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.
- C. 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.
- D. 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.
- 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. 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.
- 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. 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.
Answer: D,F,G
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 # 16
Which two of the following phrases would apply to a first-party audit?
- A. Process audit
- B. Internal audit
- C. Regulatory audit
- D. External audit
- E. Certification audit
- F. Surveillance audit
Answer: A,B
Explanation:
A first-party audit is an internal audit . In ISO management system auditing terminology, first-party audits are performed by, or on behalf of, the organization itself to evaluate its own management system. Therefore,
E). Internal audit is directly correct.
A first-party audit can also be carried out as a process audit when the organization audits one of its own processes to determine whether it is planned, implemented, maintained, and effective. Since internal audits under ISO 45001 are planned and conducted over processes, functions, and areas within the OH and S management system, D. Process audit also applies.
Why the other options are not correct:
* A. Certification audit is a third-party audit , carried out by a certification body, not a first-party audit.
* B. Surveillance audit is also a third-party certification body activity conducted after certification.
* C. Regulatory audit is performed by a regulator or authority, not by the organization on itself.
* F. External audit does not describe a first-party audit, because first-party audits are internal by definition.
Therefore, the two phrases that apply to a first-party audit are:
D, E
NEW QUESTION # 17
You are auditing clause 4.1 (Context of the organisation) with a member of the organisation ' s top management. You ask them for examples of external issues the OHSMS is currently facing.
Which three of their responses would you accept as valid examples of such issues?
- A. New health and safety legislation was implemented in our sector last month and we are all struggling to work out how best to comply with the new regulations.
- B. The Government has just launched an initiative to provide research and development grants to organisations like ours.
- C. The worker OH and S suggestion scheme has been temporarily suspended after some inappropriate comments were made by staff.
- D. I accept our health and safety procedures have not been revised for 12 months now. We just keep pushing the review further and further down the ' to do ' list.
- E. The training department have decided to use their budget on customer service training in preference to health and safety training.
- F. We are struggling to appoint an OH and S manager as the salary we can offer is not competitive in today ' s market.
- G. We have to use outdated safety equipment as replacing it would require expensive retraining of the workers.
- H. Our top management are demanding monthly health and safety performance reports ever since the fatal accident in warehouse C last year.
Answer: A,B,F
NEW QUESTION # 18
ISO 45001 requires the organisation to retain OHSMS documented information. From the following list of documented information, which four examples must be retained by the organisation?
- A. Workers' current level of competency
- B. Effectiveness of corrective actions
- C. Results of management review
- D. Risks and opportunities
- E. The relevant requirements of workers
- F. Results of compliance evaluation
- G. Assigned responsibilities and authorities
- H. OH&$ Policy
Answer: B,C,F,H
Explanation:
Analysis of Options:
* A. Results of management review:Correct. Clause 9.3 requires retention of management review results as documented information.
* B. Risks and opportunities:Incorrect. Risks and opportunities must be considered and managed, but retaining this as documented information is not mandatory.
* C. Results of compliance evaluation:Correct. Clause 9.1.2 requires retention of compliance evaluation results.
* D. Workers' current level of competency:Incorrect. Competency must be ensured, but retaining specific competency records is not explicitly required.
* E. Assigned responsibilities and authorities:Incorrect. These must be defined and communicated but are not required to be retained as documented information.
* F. The relevant requirements of workers:Incorrect. Relevant worker requirements must be considered but not retained as documented information.
* G. Effectiveness of corrective actions:Correct. Clause 10.2 requires retention of evidence of corrective actions taken.
* H. OH&S Policy:Correct. Clause 5.2 requires the OH&S policy to be maintained as documented information.
ISO References:
* Clause 5.2: OH&S policy.
* Clause 9.1.2: Compliance evaluation.
* Clause 9.3: Management review.
* Clause 10.2: Corrective actions.
NEW QUESTION # 19
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?
- A. All workers should be given competence test.
- B. The requirement for wearing protective gloves could be extended to shop floor workers across all operations.
- C. A quality control programme could involve non-destructive testing of the welded handrails
- D. Operational planning activities may benefit from an improved risk based approach based on international standards tor risk management.
- E. Additional internal audits of the OHS management system may reduce production problems.
- F. A first aid station could be located next to the handrail polishing operation.
- G. The molding polishers should be disciplined for Incompetency.
- H. The induction programme for new employees could include an awareness training video in health and safety.
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 # 20
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