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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
- 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
- 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.
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PECB Certified ISO 45001 Lead Auditor Exam Sample Questions (Q40-Q45):
NEW QUESTION # 40
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.
- A. Staff indicated that chemical hazards on installation sites are the same as at the factory. The hazard List does not reference this. (Clause 6.1.2.2)
- B. After gathering more evidence, you note down findings against several clauses of ISO 45001. Select three options to determine which findings stated are major nonconformities.
- C. Some safety data sheets for chemical used were missing for some of the installation contractors.(clause
8.1.4.2) - D. The organization failed to include its OH&S policy in contracts for installation contractors (5.2.f)
- E. No hazard assessment by Shelf-Fit were in place for installation works on customer sites. (Clause
6.1.2.2) - F. The internal audit programme does not include installation sites. The audit programme does not cover the full OHS management system (Clause 9.2.2)
- G. The purchase manager confirmed that the safe use of chemicals in installation work was left to the contractor
- H. The organization did not have a documented process in place to control outsourced work. (8.1.4.3)
- I. There was not communication between the organization and site contractors (7.4.1.c.2)
Answer: A,H,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 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 # 41
Which three of the following ISO 45001 activities require the organisation to emphasise non-managerial workers' participation?
- A. Establishing OHS objectives
- B. Determining actions to eliminate hazards
- C. Determining what needs to be communicated
- D. Establishing the OHS policy
- E. Determining how to fulfil legal requirements
- F. Determining competence requirements
- G. Determining controls on outsourced processes
- H. Managing the internal audit programme
Answer: A,B,D
Explanation:
ISO 45001 emphasizes the importance of worker participation, particularly non-managerial workers, in developing and improving the OH&S management system. Clause 5.4 outlines specific areas where their involvement is crucial.
Analysis of Options:
A : Determining competence requirements:
Incorrect. Competence requirements are primarily determined by management but may involve feedback from workers.
B : Determining how to fulfil legal requirements:
Incorrect. Management typically handles compliance with legal requirements.
C : Determining controls on outsourced processes:
Incorrect. This is a management responsibility.
D : Managing the internal audit programme:
Incorrect. Workers participate in audits, but managing the program is a management task.
E : Determining what needs to be communicated:
Incorrect. Communication strategies are usually set by management.
F : Determining actions to eliminate hazards:
Correct. Non-managerial workers' input is vital in identifying and eliminating workplace hazards (Clause 8.1.2).
G : Establishing the OHS policy:
Correct. Workers' participation in policy development ensures it is relevant and inclusive (Clause 5.2).
H: Establishing OHS objectives:
Correct. Workers' participation ensures that objectives are practical and aligned with workplace realities (Clause 6.2).
NEW QUESTION # 42
An audit team leader prepares the audit plan for an initial Stage 2 certification audit. Which two of the following statements are false?
- A. The audit team leader does not select the OHS audit team members.
- B. The organisation should cancel at staff leave during the audit.
- C. The audit team leader should present the plan to the auditee before the Stage 2 audit.
- D. The organisation should review the audit plan for agreement.
- E. The audit team leader should plan to interview each employee.
- F. The plan does not need to include the names of the senior managers.
Answer: A,E
Explanation:
Comprehensive Detailed Explanation along with All ISO 45001 Audit References Analysis of Each Option:
Reference: ISO 19011:2018, Clause 6.3.2.
B). The audit team leader does not select the OHS audit team members.False.The audit team leader is responsible for selecting competent team members with the requisite expertise to evaluate the auditee's Occupational Health & Safety Management System (OHSMS). Selection is based on criteria such as knowledge of ISO 45001, auditing skills, and understanding of the industry.Reference: ISO 19011:2018, Clause 5.4.2 and 6.3.1.
C). The audit team leader should plan to interview each employee.False.While employee interviews are an essential part of gathering evidence during an ISO 45001 audit, interviewing every employee is impractical and unnecessary. A representative sampling strategy is used to assess compliance across various levels and departments.Reference: ISO 19011:2018, Clause 6.4.6.
D). The audit team leader should present the plan to the auditee before the Stage 2 audit.True.Presenting the audit plan to the auditee before the audit is essential to ensure all parties are informed and prepared for the audit. This practice is emphasized in ISO 19011 and supports transparency and effective audit execution.
Reference: ISO 19011:2018, Clause 6.3.3.
E). The organisation should cancel staff leave during the audit.False.ISO 45001 and related audit guidelines do not mandate the cancellation of staff leave during audits. While key personnel should be available, the audit team collaborates with the organization to plan around leave schedules to minimize disruption.Reference: Not explicitly covered in ISO 45001 or ISO 19011; falls under planning discretion.
F). The plan does not need to include the names of the senior managers.True.While the audit plan should outline the scope, objectives, and methods, it does not specifically require the inclusion of senior managers' names unless they are directly involved in the audit.Reference: ISO 19011:2018, Clause 6.3.2.
Key ISO References:
ISO 45001:2018, Clause 9.2 (Internal Audit Requirements).
ISO 19011:2018, Clauses 5.4.2, 6.3.1, 6.3.2, and 6.4.6.
NEW QUESTION # 43
You are the audit team leader of an ISO 45001 remote/space certification audit. Which two of the following topics would you need to discuss with the audit OHSMS legislation of the local authority, which has been
- A. Trends in the OHS indicators and associated objectives
- B. Results of the last regulatory audit
- C. Access requirements for the virtual platform
- D. OHS management system hazards identification and risks evaluation process
- E. OHS accidents occurred since Stage 1 audit
- F. Any practical obstacles to the audit
Answer: C,F
NEW QUESTION # 44
At a wall before sweeping up the reside into baskets. They have asked to see the criteria (in this case work instructions) relating to this process and find that workers are following the instructions given. The auditor in training, however, considers the process to be dangerous and wants to raise a nonconformity against clause
8.1.1.
How would you react? Select four.
- A. Ask top management if they have considered an alternative way of working more safely with broken glass.
- B. Ask the workers if they have been consulted as to how safe they believe the activity is and whether they have ever been injured.
- C. Support the auditor in training's decision to raise a nonconformity against 8.1.1 as you share their view that the process is dangerous.
- D. Ask the auditor in training to consult the auditee before raising a nonconformity
- E. Stop the process immediately due to the danger of broken glass to the employees identified by the auditor in training.
- F. Invite the auditor in training to take part in breaking bottles to determine if the process really is dangerous or not. Providing they are not hurt, take no additional action.
- G. Advise the auditor in training that they cannot raise a nonconformity against 8.1.1 as there is no evidence that the planned and implemented process is not effectively handling waste safely.
- H. Advise the auditor in training to focus on hazard identification and any subsequent assessment of OH&S risks prior to making a determination.
Answer: A,B,G,H
NEW QUESTION # 45
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