Free PECB ISO-45001-Lead-Auditor Practice Exam with Questions & Answers

Name: How to Pass ISO-45001-Lead-Auditor Exams
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Questions 1

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.

Options:

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.

The organization did not have a documented process in place to control outsourced work. (8.1.4.3)

The organization failed to include its OH&S policy in contracts for installation contractors (5.2.f)

There was not communication between the organization and site contractors (7.4.1.c.2)

No hazard assessment by Shelf-Fit were in place for installation works on customer sites. (Clause 6.1.2.2)

Some safety data sheets for chemical used were missing for some of the installation contractors.(clause 8.1.4.2)

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)

PECB ISO-45001-Lead-Auditor Premium Access

Questions 2

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 categories as low medium and high 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.

Options:

Advise that the factory should cease its operations It the dust extraction equipment malfunctioned.

Ask the OH5MS Manager to confirm that this action meets regulatory requirements for air purity.

Seek evidence that the response action is both Implemented and effective.

Suggest that they should increase their maintenance checks.

Questions 3

An audit team leader is interviewing a member of top management in respect of the organisation's performance evaluation processes. It is clear to the audit team leader that there is some confusion as to difference between monitoring and measurement.

Which three of the following statements by the member of top management are correct?

Options:

Monitoring and measurement are used to determine the effectiveness of the OHSMS.

Only measurement can be used as an input into identifying hazards, risks and opportunities.

Our calibration equipment was purchased primarily to support the control of high risk hazards.

Performance indicators are measures that we monitor for trends.

We must keep records of our measurement activity, but whether we keep them of our monitoring activity is entirely up to us.

We often use monitoring to conduct a visual check.

We use a measurement process when we need a visual indication that the output of a process is OK.

Questions 4

You are an audit team leader overseeing the activity of a trainee auditor. Your team has just completed a surveillance audit and is assembling the final report.

The trainee has not contributed to a final report before and is clearly struggling with what she should provide to you for inclusion.

Which three of her following statements would be appropriate?

Options:

The guide was trying to be helpful and would not stop talking during the audit.

The Sales Manager was kind and seems to be a nice person.

The audit client's objectives for this audit were never realistic. That's why we were unable to complete the audit plan.

The maintenance team could not replace a lightbulb, let alone an air conditioning unit.

The OHS Management team were extremely helpful and went out of their way to facilitate access to required records.

The OHS Manager disagreed with me In respect of all of the nonconformances I raised. He still does not accept any of them.

The Production Manager is kicky to have a job as he does not appear to understand how anything works around here.

Questions 5

You are an audit team leader conducting an ISO 45001 Stage 2 audit of a nautical college that provides courses for those working in the maritime sector. The College Principal is absent, and the Deputy Principal represents top management.

At the closing meeting attended solely by the Deputy Principal, you inform him that you have found numerous gaps in the OHSMS processes which constitute poor planning and control of the OHSMS. Your team raises a large number of findings including major nonconformities, minor nonconformities, and opportunities for improvement.

Select three of the options which would represent major nonconformities from the evidence described.

Options:

College staff members were not consulted by an external OH&S consultant who was appointed to plan, establish, and maintain the OHSMS.

Fire Marshalls had not been appointed to manage emergency response in the event of a fire breaking out at the college.

No internal audits of the OHSMS had been conducted because the report from the consultant appointed to plan, implement, and maintain the internal audit programme was not complete.

Rainwater dripping from the ceiling in a corridor presented a slip hazard with no mitigating action being taken.

Some of the college staff did not wear personal protective equipment (PPE) during fire drills.

Student Union representatives were unaware of the OH&S policy of the college.

Students were not given OH&S safety training during their initiation to the courses being undertaken.

Questions 6

You have been assigned by the audit team leader to evaluate the process of complying with application legislation.

Which three of the following statements about the evaluation of compliance are true?

Options:

The organization must evaluate its compliance status at least once a year

'Other requirements' include requirements that the organisation has chosen to comply with.

A management review is required in all instances where one or more legal requirements are not being met.

Every member of an audit team must have a detailed understanding of the legal requirements for the sector and type of organisation they are auditing.

If the organisation is falling to address a legal requirement relating to another discipline e.g. Environmental management, this cannot be raised In the audit.

The organisation cannot outsource its process for evaluating compliance.

The organisation is required to establish a process for evaluating compliance

Answer:

B, G, H

Explanation:

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Clause 9.1.2 of ISO 45001:2018 outlines the need for organizations to evaluate compliance with applicable legal and other requirements as part of their OH&S management system.

Analysis of Options:

A. The organization must evaluate its compliance status at least once a year:The standard does not prescribe a specific frequency but states that evaluations must be conducted at planned intervals.

B. 'Other requirements' include requirements that the organization has chosen to comply with:Correct. Other requirements may include voluntary standards, industry codes, or contractual obligations.

C. A management review is required in all instances where one or more legal requirements are not being met:This is not true. Management reviews address compliance but are not mandated for every noncompliance.

D. Every member of an audit team must have a detailed understanding of the legal requirements for the sector and type of organization they are auditing:Not true. Auditors must have general competency but can rely on subject-matter experts for legal specifics.

E. If the organization is failing to address a legal requirement relating to another discipline (e.g., Environmental management), this cannot be raised in the audit:Not true. If the legal noncompliance impacts OH&S, it can be raised.

F. The organization cannot outsource its process for evaluating compliance:The organization can outsource evaluation but retains accountability.

G. The organization is required to establish a process for evaluating compliance:Correct. Clause 9.1.2 requires a process for compliance evaluation.

H. The organization is required to evaluate its compliance status with OH&S legal and other requirements:Correct. Clause 9.1.2 explicitly states this requirement.

ISO References:

Clause 9.1.2: Evaluation of compliance.

Clause 7.5: Documented information requirements

Questions 7

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.

Options:

Advise that the factory should cease its operations if the dust extraction equipment malfunctioned.

Ask the OHSMS Manager to confirm that this action meets regulatory requirements for air purity.

Seek evidence that the response action is both implemented and effective.

Suggest that they should increase their maintenance checks.

Questions 8

When calculating an ISO 45001 third party initial audit duration, which two of the following statements are false?

Options:

Consider the number of functions related to OHS management

Consider the number of sites to be sampled

Include outsourced processes

Include the time allocated for lunch breaks

Incorporate the time taken to travel to/from the audit location

Think about the complexity of the organization's business

Answer:

D, E

Explanation:

Comprehensive Detailed Explanation along with All ISO 45001 Audit References

Analysis of Each Option:

[Reference: IAF MD 5:2020, Clause 2.3.1 (factors affecting audit time)., B. Consider the number of sites to be sampled.True.For multi-site organizations, the number of sites to be sampled is critical in calculating audit duration. Sampling requirements are determined using guidelines such as IAF MD 1:2022 and depend on the complexity, size, and risks associated with each site.Reference: IAF MD 1:2022, Clause 4.2., C. Include outsourced processes.True.Outsourced processes that affect the OHS management system must be evaluated as part of the audit. This includes reviewing the organization’s control over such processes. Auditing these aspects impacts the audit duration.Reference: ISO 45001:2018, Clause 8.1.4 and IAF MD 5:2020, Clause 2.3.1., D. Include the time allocated for lunch breaks.False.Lunch breaks are not considered part of the audit duration as they do not contribute to the assessment of the management system. Audit time calculations exclude non-working hours, including breaks.Reference: IAF MD 5:2020, Clause 2.5., E. Incorporate the time taken to travel to/from the audit location.False.Travel time is excluded when calculating the audit duration. While travel logistics are considered in audit planning, they do not count towards the total audit time.Reference: IAF MD 5:2020, Clause 2.5., F. Think about the complexity of the organization's business.True.The complexity of the organization’s business, including the nature of hazards, risks, and legal obligations, significantly affects the audit duration. More complex operations typically require longer audit times.Reference: IAF MD 5:2020, Clause 2.3.1., Key ISO and IAF References:, ISO 45001:2018: Clause 9.2.2 (Audit Program)., IAF MD 5:2020: “Determination of Audit Time of Quality and Environmental Management Systems.”, IAF MD 1:2022: “Audit and Certification of Multiple Sites Based on Sampling.”, , ]

Questions 9

The following options show key actions involved in a third-party audit. They are not in order. Order the stages in the table to show the sequence in which the actions should take place.

To complete the sequence click on the blank section you want to complete so it is highlighted in red and then click on the applicable stage from the options below. Alternatively, drag and drop the options to the appropriate blank section.

These stages take place after a certification application.

ISO-45001-Lead-Auditor Question 9