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

TopicDetails
Topic 1
  • 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 2
  • 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.
Topic 3
  • 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 4
  • 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 5
  • 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 6
  • 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.

Reference: https://pecb.com/en/education-and-certification-for-individuals/iso-45001/iso-45001-lead-auditor

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PECB Certified ISO 45001 Lead Auditor Sample Questions:

An auditor has just completed an interview with a member of top management (TM), a highly experienced professional, but who has never worked within an ISO management system environment before.
They want to take the opportunity to ask the auditor about a number of management system requirements. As the interview has finished a little early, the auditor agrees.
Which three of the following auditor responses are correct?

  • A. TM - Do we as top management need to promote continual improvement? Auditor - Yes, you do.
  • B. TM - Do we as top management have to ensure processes are established for worker consultation and participation? Auditor - No, you do not.
  • C. TM - Do we as top management have to document responsibilities and authorities for relevant roles?
    Auditor - Yes, you do.
  • D. TM - Do we as top management have to write the organisation ' s OH and S objectives for the coming year? Auditor - Yes, you do.
  • E. TM - Do we as top management have to write the OH and S policy statement? Auditor - Yes, you do.
  • F. TM - Do we as top management have to ensure that the OH and S management system achieves its intended results? Auditor - No, you do not.
  • G. TM - Do we as top management have to determine the scope of our OH and S management system?
    Auditor - No, you do not.
  • H. TM - Do we as top management need to ensure the resources necessary for the effective operation of the OHSMS are made available? Auditor - Yes, you do.
Reveal Solution  Discussion  0

Correct Answer: A,C,H  🗳️

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An auditor ' s personal behaviour during an audit is key to ensuring that the audit objectives are achieved.
Match each of the descriptions to the correct type of behaviour.

Reveal Solution  Discussion  0

Correct Answer:


Explanation:
A-Fair, truthful, sincere, honest, discreet; B-Tactful in dealing with individuals; C-Willing to learn from situations; D-Aware of and able to understand situations ISO 19011 identifies specific professional behaviours expected of auditors. Ethical means being fair, truthful, sincere, honest and discreet, supporting integrity and confidence in the audit process. Diplomatic means being tactful when dealing with individuals, particularly when asking difficult questions or communicating adverse findings. Open to improvement means being willing to learn from situations and improve one ' s auditing competence and approach. Perceptive means being aware of and able to understand situations rather than merely recording superficial observations. The two unused descriptions represent other ISO 19011 behaviours: actively observing surroundings and activities relates to being observant, while being persistent and focused on objectives describes being tenacious. These distinctions are explicitly reflected in ISO 19011 ' s auditor personal-behaviour guidance.

An audit team leader prepares the audit plan for an initial Stage 2 certification audit. Which two of the following statements are true?

  • A. The audit team leader should audit the Occupational Health and Safety Manager.
  • B. The auditee should review the audit plan for agreement.
  • C. The organisation should cancel all staff leave during the audit.
  • D. The audit team leader must define the responsibilities of team members and observers.
  • E. The organisation must provide hospitality for the audit team.
  • F. The audit team leader should plan to interview each employee.
Reveal Solution  Discussion  0

Correct Answer: B,D  🗳️

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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. 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.
  • B. 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.
  • C. 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.
  • D. 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.
  • E. 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.
  • F. 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.
  • G. 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.
  • H. 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.
Reveal Solution  Discussion  0

Correct Answer: C,G,H  🗳️

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

  • A. OHSMS Policy
  • B. Treatment of Risks
  • C. Environment Management Program
  • D. Analyzing OHSMS Performance
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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