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ISO-45001-Lead-Auditor PECB Certified OHSMS ISO 45001 Lead Auditor Exam Questions and Answers

Questions 4

You are conducting a Stage 2 certification audit to ISO 45001 at an adventure park in the Scottish Highlands. The park offers treetop walks, zip-line rides, walking trails, and horse-riding trips. The park is open to adults and children of any age. You are particularly interested in compliance with legal requirements and interview the Park Manager.

You: How do you evaluate the risks to participants that the various activities present?

Park Manager: Our risks are covered by insurance, and we operate under health and safety legislation that requires frequent checks of all our facilities. For example, we trust staff to check all our harnesses every morning.

You: Are you required to have an independent inspection carried out of zip lines, for example?

Park Manager: Yes, our insurance company employs a reputable body to do that sort of thing.

You: Can you show me a copy of the latest inspection report? Park Manager: I’d need to get that from the insurance organisation. I have the initial one when we opened eight years ago.

You examine the inspection report, which takes the form of a checklist that does not identify individual zip lines, treetop platforms, harnesses, or rope ladders. It is dated eight years previously and has a scribbled signature with no other identification of the inspection engineer. Select the two statements for which there is evidence of a nonconformity to ISO 45001.

Select two statements.

Options:

A.

The park did not have the required documentation to demonstrate compliance with legal requirements.

B.

The organisation did not monitor the safety checks by the staff of equipment.

C.

The inspection organisation employed by the insurance organisation was not evaluated.

D.

The park relied on the insurance organisation to evaluate its OHS risks.

E.

Testing to determine the safe loading of equipment was not carried out.

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Questions 5

Which three of the following statements about closing meetings are true?

Options:

A.

The closing meeting represents a final opportunity for the auditee to have the audit report findings changed if they are unhappy.

B.

The audit team leader can instruct members of the audit team to attend the closing meeting virtually.

C.

The audit team must meet formally immediately after the closing meeting to consider recommendations for the report.

D.

The first- and second-party closing meeting must always be documented.

E.

A closing meeting for a first-party audit is likely to be less formal than the closing meeting for a third-party audit.

F.

The audit team leader cannot instruct audit team members of their role at the closing meeting.

G.

A closing meeting should be held in all instances, irrespective of whether the audit conducted was first-, second- or third-party.

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Questions 6

An audit team member assigned to audit the management review and planning processes prepares a work document.

What is the name of the document prepared by the auditor?

Options:

A.

Audit checklist

B.

Audit nonconformity report

C.

Audit plan

D.

Audit report

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Questions 7

You are the OH and S manager in an organisation that makes plastic toys using injection moulding machines. You are currently training three new internal auditors who will be responsible for carrying out first- and second-party audits on behalf of your organisation. You ask them to identify which of the following statements about grading first and/or second-party nonconformities are correct.

Identify which three of the following are true:

Options:

A.

The grading of a nonconformity must be agreed with the individual(s) managing the audit programme.

B.

ISO 19011 recommends top management grade nonconformities because they are the ones who control the budgets needed to pay for any corrective action.

C.

Second-party audit teams must adopt the grading system used by the auditee they are auditing to ensure a common understanding of the severity of nonconformities.

D.

Any grading of nonconformities should recognise the risk the nonconformity presents to the organisation.

E.

The grading of a nonconformity must be changed at the closing meeting if additional documented information is provided.

F.

It is acceptable for the organisation to grade its nonconformities quantitively (e.g. 1 to 5) if it so wishes.

G.

Additional grading categories must be agreed with the auditee before the closing meeting.

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Questions 8

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

Options:

A.

The organisation should review the audit plan for agreement.

B.

The audit team leader does not select the OHS audit team members.

C.

The audit team leader should plan to interview each employee.

D.

The audit team leader should present the plan to the auditee before the Stage 2 audit.

E.

The organisation should cancel at staff leave during the audit.

F.

The plan does not need to include the names of the senior managers.

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Questions 9

Wokrer ' s participations is a key factor for the success of OHSMS. Which three of the following ISO 45001 activities require workers ' participation?

Options:

A.

Determining competence requirements

B.

Establishing OHS objectives

C.

Managing internal audit programme

D.

Determining actions to eliminate hazards

E.

Determining what needs to be communciated

F.

Establishing OHS policy

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Questions 10

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

Options:

A.

The auditee should review the audit plan for agreement.

B.

The audit team leader should plan to interview each employee.

C.

The organisation must provide hospitality for the audit team.

D.

The audit team leader should audit the Occupational Health and Safety Manager.

E.

The organisation should cancel all staff leave during the audit.

F.

The audit team leader must define the responsibilities of team members and observers.

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Questions 11

You identify that the OSHMS manager conducts a safety inspection of the building each day before the museum opens to the public. You review your latest report and note that there seems to be some confusion between what constitutes a hazard and what constitutes a risk.

Which three of the following observations has the OHSMS manager correctly rated?

Options:

A.

Conference room emergency sign directs people to an exit that is no longer available for use (Hazard)

B.

The carpet on the main staircase is peeling off (Risk)

C.

The emergency light In the gift shop did not work when checked (Risk)

D.

The fire extinguishers in the Natural World area have not been serviced in the last five years [Risk)

E.

The head of the dinosaur suspended over the main hall has become detached from the rest of the skeleton (Risk)

F.

The non-slip mats have been removed from the restaurant (Risk)

G.

There Is a high possibility of unfit food being sold due to the failure of the oven temperature indicator In the visitors ' restaurant (Hazard)

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Questions 12

In the ISO 45001 health and safety management system, what is ' documented information ' ? Select the ONE best answer.

Options:

A.

Any paperwork generated when the system is in operation

B.

Any information about the system, or generated by it, held in any format

C.

Paperwork such as Permits to work and risk assessments

D.

The master copies of the documents used to operate the system, held in any format

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Questions 13

You are preparing for a surveillance audit of an organisation that is ISO 45001 certified. When preparing the checklist, you decided to ask whether the auditee has a documented procedure for the workers ' consultation and participation. They submitted the documented procedure with the word " OBSOLETE " on the first page.

Which of the following would be the best reaction?

Options:

A.

Use the procedure to prepare the checklist and check on site the differences with the valid versions.

B.

Note the procedure and check during the audit if it is part of the auditee documented information.

C.

Ask the auditee to send the procedure related to the control of documented information.

D.

Raise a nonconformity to clause 7.5.3 and present it during the opening meeting.

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Questions 14

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.

Options:

A.

As a member of the management team, the Deputy College Principal Is not aware of the OHSMS policy.

B.

OHSS improvement is riot possible due to the lack of awareness of the OHSMS.

C.

The Deputy College Principal is not competent to manage the CM ISMS.

D.

The OH and S Polity only exists -:s -i document in the Collegeprinciple office.

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Questions 15

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

Options:

A.

Treatment of Risks

B.

OHSMS Policy

C.

Environment Management Program

D.

Analyzing OHSMS Performance Submit

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Questions 16

Wash-it-up is an organisation that provides window cleaning services for the industrial sector. It has been certified to ISO 45001 for some time and has appointed a new OHS Manager. The audit plan during a surveillance audit includes the improvement actions and the auditor asks to see the most recent management review meeting minutes.

Which six of the statements would represent output audit evidence for the management review?

Options:

A.

Report showing the trend of an increase in safety incidents

B.

Procurement of new safety harnesses for workers

C.

Minutes of previous management reviews

D.

Allocation of a bigger budget for the OHS department

E.

Plan to prioritise health and safety issues as a business strategy

F.

Decisions related to continual improvement opportunities

G.

Improvements in the OHSMS

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Questions 17

Whistlekleen is a national dry cleaning and laundry organization with 50 shops. You are conducting an OHSMS surveillance audit of the head office and are sampling health and safety performance monitoring. You find that 80 per cent of incident originate from five shops in the same region. Most of these relate to staff and customer feeling unwell due to breathing in the pungent atmosphere. Some required to be hospitalized. The OHS Manager tells you that these are the oldest shops in the organization. The cleaning equipment emits Volatile Organic Compounds (VOCs) and needs replacing but the organisation cannot afford it at the moment.

You raise the following nonconformity against clause 10.2 of ISO 45001.

‘’The organization failed to act after incidents in the five old shops involving the release of VOCs from laundry operations, which resulted in injury in some instances. The equipment used was not capable of consistently operating to the required level of safety’’

Select one of the options which would constitute the most effective corrective action for the nonconformity.

Options:

A.

Display on emergency phone number in a prominent place to ensure that injured workers and shoppers

B.

Evaluate and update the Personal protective equipment (PPE) requirements for employees working with strong chemicals such as face masks and gloves.

C.

Reassess the OH and S risks associated with the laundry process in the five old shops.

D.

Review the current safety procedures related to handling and use of chemicals In the laundry process to ensure their effectiveness.

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Questions 18

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

Options:

A.

Consider the number of functions related to OHS management

B.

Consider the number of sites to be sampled

C.

Include outsourced processes

D.

Include the time allocated for lunch breaks

E.

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

F.

Think about the complexity of the organization ' s business

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Questions 19

What does ISO 45001 say are the hazards that have to be considered when planning a health and safety management system? Select the ONE best answer.

Options:

A.

Work activities, workplace design, and human factors such as hours of work and bullying and harassment

B.

Work activities where there is the possibility of danger

C.

Hot-work, working at height, enclosed space entry, and work on electrical equipment

D.

Work hazards and environmental factors such as bad weather

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Questions 20

ISO 45001 requires the organisation to maintain and retain documented OH and SMS information.

Check each statement and determine which two are true:

Options:

A.

A documented plan for achieving occupational health and safety objectives should be maintained.

B.

Documented information to be retained includes material safety data sheets.

C.

Industry-specific standards provided by the client should be maintained.

D.

The occupational health and safety policy is an example of a document to be kept.

E.

The results of emergency drills should be kept.

F.

The terms " maintain " and " retain " can be used interchangeably. "

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Questions 21

An internal auditor of a manufacturer of plastic packaging products for the food industry raised a nonconformity against section 10.2 of ISO 45001 in Report JA202. The nonconformity (NC3) stated: " The level of reported health and safety incidents has increased by 9.7% over the last 12 months. "

As the third-party auditor who comes across this nonconformity during a surveillance audit, how would you react? Select one.

Options:

A.

You would ask the OHS Manager why the incident rate was rising by so much in one year.

B.

You would find out what corrective action was taken and whether it was effective.

C.

You would investigate whether the incident rate featured in the previous internal audit report.

D.

You would raise a nonconformity since the incident rate had not reduced at the time of the internal audit.

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Questions 22

In the initial communication by the audit team leader for a certification audit, the OHSMS Manager asks that the audit includes detailed coverage of the OHSMS legislation of the local authority, which has been specified in a recent customer contract.

Which two of the following responses should the audit team leader make?

Options:

A.

Add a legal expert to the audit team in order to accept the request.

B.

Advise the OHSMS Manager that the audit criteria has been set as ISO 45001 and the audit programme for certification will need to proceed as planned.

C.

Advise the OHSMS Manager that the new criteria can be included without any problem.

D.

Ask the individual(s) managing the programme whether the audit criteria can be revised to include the new request.

E.

Inform the OHSMS Manager that an audit against the regulatory criteria may be possible but will require a new audit team.

F.

Suggest that the OHSMS Manager cancels the audit contract and reapplies to include the additional criteria.

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Questions 23

Showitoff is an organization specialization in the design and production of wall decorating materials for the domestic market.

During an ISO 45001 certification audit of the site, the auditor comes across an open, walled area just outside the maintenance department. It contains various scraps of wood and metal as well as serveral rusty components. Several heavy concrete beams are learning against a thin brick wall in which cracks are available. When asked about it, the OHS Manager states that he presumes that the materials come from maintenance work, so it is the Maintenance Manager’s responsibility.

The auditor interview the Maintenance Manager in his department. He asks about the area outside and is told that it contains some excess material that the Manager likes to keep in case they come in handy at some stage. The auditor points out that the wall appears to be unstable and could collapse at any moment. The Maintenance Manager is not aware of such a situation.

The auditor decides to review the process for evaluation of compliance with health and safety regulations in more depth.

Select six option that provide a meaningful audit trail for this process.

Options:

A.

What is the cost of repairing the wall?

B.

What hazards have been identified as being associated with regulations?

C.

How arc maintenance start made aware of regulatory requirements?

D.

How arc OH and S objectives verified?

E.

How are OHSMS records of compliance evaluations controlled and managed?

F.

How ore updates to OH and S regulations monitored?

G.

How is the cost of safety Improvements calculated?

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Questions 24

Prior to renewing an organisation ' s ISO 45001 certification, one of the responsibilities of the audit team is to evaluate the compliance of the organisation with its legal health and safety requirements.

Is this statement true or false?

Options:

A.

True

B.

False

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Questions 25

Which two of the following options do not participate in a first-party audit?

Options:

A.

An auditor certified by CQI and IRCA

B.

A certification body auditor

C.

An auditor from an accreditation body

D.

An auditor from a consultant organisation

E.

An auditor trained in the CQI and IRCA scheme

F.

An auditor trained by the organisation

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Questions 26

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.

To complete the table click on the blank section you want to complete so it is highlighted in red and then click on the applicable text from the options below. Alternatively, drag and drop each of the following descriptions.

Options:

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Questions 27

Which two of the following phrases would apply to " act " in relation to the Plan-Do-Check-Act (PDCA) cycle for a business process?

Options:

A.

Verifying training

B.

Measuring objectives

C.

Making improvements

D.

Resetting objectives

E.

Providing infrastructure

F.

Auditing processes

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Questions 28

Select two options that are corrections.

Options:

A.

Adding a missing signature to a corrective action record.

B.

Changing a process to reduce its inherent risk.

C.

Changing the name of a tutor that did not deliver a course to the name of the tutor that did.

D.

Reviewing workers training records.

E.

Updating the emergency preparedness plan as a result of carrying out a practical test.

F.

Using OHSMS induction training to address an identified lack OHSMS awareness among winkers.

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Questions 29

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:

A.

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

B.

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

C.

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

D.

Suggest that they should increase their maintenance checks.

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Questions 30

You are an audit team leader who has been asked by the certification body to attend a regional conference given by OH and S representatives. You find the presentations informative, particularly the one that has just finished, which focused on what organisations were doing to adapt work to workers.

When the opportunity for questions arises, you ask the presenter to give you examples of what his own organisation had done to adapt work to workers. He provides the following responses.

Which three are actual examples of adapting work to workers?

Options:

A.

Ensuring only competent workers are employed in key roles.

B.

Providing work instructions by video to an organisation where workers speak different languages and no subtitles are provided.

C.

Giving workers the opportunity to stand for election to the organisation ' s health and safety committee.

D.

Providing those who spend the majority of their working days on their computers with frequent breaks.

E.

Keeping welfare facilities clean and available for use at all times.

F.

Amending a control station to facilitate handicapped workers.

G.

Amending the start and finish times of processes to accommodate cultural practices.

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Exam Name: PECB Certified OHSMS ISO 45001 Lead Auditor Exam
Last Update: Apr 18, 2026
Questions: 102
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