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

Questions 4

Like many other quality management systems, ISO 45001 uses what is known as a ' PDCA ' circle. What do those initials stand for?

Options:

A.

Plan, Do, Check, Act

B.

Plan, Do, Check, Ask

C.

Plan, Deliver, Control, Achieve

D.

Prepare, Deliver, Control, Assess

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Questions 5

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 6

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:

A.

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

B.

Ask the OHSMS 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 7

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 8

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?

Options:

A.

TM - Do we as top management have to document responsibilities and authorities for relevant roles? Auditor - Yes, you do.

B.

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.

C.

TM - Do we as top management have to ensure processes are established for worker consultation and participation? Auditor - No, you do not.

D.

TM - Do we as top management have to write the OH and S policy statement? Auditor - Yes, you do.

E.

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.

F.

TM - Do we as top management have to write the organisation ' s OH and S objectives for the coming year? Auditor - Yes, you do.

G.

TM - Do we as top management need to promote continual improvement? Auditor - Yes, you do.

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Questions 9

Which two of the following options do not participate in a second-party audit against ISO 45001?

Options:

A.

An auditor employed by an external consultancy organisation

B.

An auditor from a customer

C.

An internal auditor from the auditee

D.

An auditor employed by a certification body

E.

An auditor trained in the CQI and IRCA scheme

F.

An auditor from an accreditation body

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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

Which one of these statements about a health and safety policy is correct?

Options:

A.

The policy must be available as documented information.

B.

The policy must contain a commitment to reduce OH and S risks.

C.

Top management must write the organisation’s quality policy.

D.

The policy must be provided to all stakeholders.

E.

All workers must receive OH and S policy awareness training.

F.

The policy must be revised if the organisation’s context changes.

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Questions 12

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 13

Which three of the following findings could be used to support a nonconformity against ISO 45001:2018 clause 7.2 Competence?

Options:

A.

There is no evidence that workers are aware of the consequences of not conforming to the requirements of the OHSMS.

B.

There is no evidence that workers remove themselves from situations they consider to be dangerous.

C.

There is no evidence that workers have the ability to identify hazards.

D.

There is no evidence that workers understand their contribution to the overall effectiveness of the OHSMS.

E.

There is no evidence that workers are assigned the responsibility for identifying health and safety risks and opportunities.

F.

There is no evidence that the knowledge and skills of workers are assessed against the requirements of their roles.

G.

There is no evidence that workers understand the quality policy or quality objectives.

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Questions 14

During a Stage 2 audit, you, as the audit team leader, are approached for advice by an auditor who wishes to raise a nonconformity against top management for failing to provide the resources necessary for the maintenance of the Occupational Health and Safety Management System.

What advice should you give them? Select one.

Options:

A.

Recognise that it is impossible to make an accurate judgement as to whether sufficient resources are available to maintain the system, and, as such, do not raise a nonconformity.

B.

Suggest they speak to other members of the audit team to see if they have additional audit evidence that supports the auditor’s conclusion.

C.

If they believe they have sufficient audit evidence to support the raising of a nonconformity, they should raise one, but against the organisation, not top management.

D.

If they believe they have sufficient audit evidence to support the raising of a nonconformity against top management, carry on and do so.

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Questions 15

Which two of these statements about processes are true?

Options:

A.

All processes must have a designated process owner who has specific responsibility to ensure the process remains under control.

B.

All processes needed to meet the requirements of the OHSMS must be documented.

C.

OHSandS processes that are undertaken by external providers may or may not form part of the organisation ' s OHSMS.

D.

OHSandS processes that are undertaken by external providers must be audited to ensure they are controlled.

E.

The organisation must implement controls to ensure processes are operating in accordance with defined criteria.

F.

The organisation must seek to continually improve its OHSMS processes

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Questions 16

As a third-party auditor, you must audit company ABC, which has agreed with the Certification Body that the scope will be " manufacture of food for domestic animals " . They have recently bought the company XYZ across the road, which can manufacture the packaging materials for their food products. They have implemented a single OHS management system (ISO 45001) for both plants. However, for marketing purposes, they want to certify the management system for the food manufacturing only. They argue that XYZ has the role of a supplier.

What would be your response? Select one

Options:

A.

Agree to perform the audit of the food manufacturing plant only. The new XYZ plant will be considered as one of ABC ' s suppliers.

B.

Agree to perform the audit if they commit to buy packaging material from a supplier other than XYZ.

C.

Agree to perform the audit if ABC commits to extending the scope of certification to the second plant in 12 months.

D.

Do not agree to perform the audit because the scope of certification cannot be narrower than the scope of ABC ' s management system.

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Questions 17

XYZ Corporation is an organisation that employs 100 people. As an audit team leader, you are conducting a certification audit at Stage1. When reviewing the OH and S management system (OHSMS), you find that the objectives have been defined by an external consultant using those of a competitor, but nothing is documented. The Health and Safety Manager complains that this has created a lot of resistance to the OHSMS, and the Chief Executive Is asking questions about how much It will cost.

Select two erf the options which describe the circumstances h which you could raise a nonconformity against clause 0.2 of ISO 45001.

Options:

A.

Establishing OH and S objectives did not include top management.

B.

OH and S objectives are not being implemented by the organisation ' s personnel.

C.

HandS objectives ace not maintained as documented information.

D.

HandS objectives were not establish in alignment with the organizations OH and S polity.

E.

The consultant has not Interpreted ISO 4S001 correctly.

F.

The organization cannot afford to undertake OH and S objectives all at once

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Questions 18

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?

Options:

A.

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.

B.

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.

C.

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.

D.

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.

E.

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.

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 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.

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Questions 19

You are conducting an ISO 45001 audit of Widgets Inc.., an organization manufacturing machine parts for the aerospace industry, You find a short entry in the incident report file connecting a machine operator who suffered minor injury to his face four weeks ago when a small ribbon of metal hit him while operating his machine.

The subsequent investigation found that he was not wearing the required protective Personal Protective Equipment (PPE). He was subject to disciplinary action and warned that he would lose his job if it happened again.

Select two option of points of investigation which you would consider in order to determine conformity or nonconformity with clause 10.2 of ISO 45001.

Options:

A.

Check whether any corrective actions were taken to eliminate or reduce the risk of recurrence of the Incident.

B.

Determine whether the Health and Safety Authority was notified of the incident

C.

Establish whether the Incident Investigation determined the root cause of the Incident

D.

Find out when the operator ' s machine was last subject to a maintenance programme.

E.

find out whether the operator was sent to the hospital.

F.

Interview the operator to check if the was wearing the correct PPE.

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Questions 20

Wash-it-up is an organization that provides window cleaning services for the industrial sector. It has been certified t 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.

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.

Decagons related to continual improvement opportunities

B.

Allocation of a bigger budget for the OHS department

C.

Improvements In the OHSMS

D.

Minutes of previous management reviews

E.

Opportunities to integrate the OHS management system with other business processes

F.

Plan to priorities health and safety issues as a business strategy

G.

Procurement of new safety harnesses for workers

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Questions 21

" ISO 45001:2018, in clauses 6.1.3 and 9.1.2, refers to " legal requirements and other requirements " . From the list below, select two that are " other requirements " .

Note: ILO stands for " International Labour Organisation "

NGO stands for " non-governmental organisation "

Options:

A.

Opinions on legal compliance by a customer

B.

Requirements from neighbours

C.

Agreements between the organisation and workers

D.

ILO initiatives the organisation subscribes to

E.

Instructions on product use by customers

F.

Requirements established by the government

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Questions 22

Which one of the following statements best describes audit resources?

Options:

A.

Audit resources include the management resources to complete the audit programme, including adequate personnel to achieve the audit timescales.

B.

Audit resources include the technological resources to complete the audit programme, including reserve personnel to achieve the audit plan.

C.

Audit resources include the timescale resources to complete the audit programme, including management personnel to achieve the audit scope.

D.

Audit resources include adequate resources to complete the audit programme, including competent personnel to achieve the audit objectives.

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Questions 23

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.

Options:

A.

On raising the matter with senior management, you are told that there are plans to replace the equipment in these shops over the next five years.

B.

When reviewing the nonformity report files, you find the organization is facing a legal dispute with the Health and Safety Agency over multiple breaches of OHAandS legislation.

C.

Select the three best options for how this should be handled by the organisation through its OHSMS.

D.

Advise that the faulty equipment will be replaced within the next two years.

E.

Apologise to the Agency and advise that corrective action will be taken within 15 days.

F.

Conduct an internal enquiry to establish who is to blame.

G.

Defend the court case and await the legal outcome.

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Questions 24

Think about a Stage 1 initial certification audit. Which one of the following statements is true?

Options:

A.

ISO 19011:2018 provides requirements for conducting a Stage 1 audit.

B.

The purpose of the audit is to verify that the OH and S management system is effectively implemented.

C.

Gaps in the OH and S management system may be reported as “Areas of Concern”.

D.

Involvement and participation by the auditee is not required for a Stage 1 audit.

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Questions 25

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 26

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 27

Out of the following, which is not the Part of PDCA cycle 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

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Questions 28

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:

A.

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

B.

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

C.

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

D.

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

E.

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

F.

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

G.

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

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Questions 29

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 30

When conducting an ISO 45001 audit and while reviewing a report of a recent emergency preparedness and response exercise, you note that the organisation has determined that it needs to make some changes to its OHSMS in order to improve OH and S performance.

Which three of the following statements about the management of change are true?

Options:

A.

Management of change requirements apply to new products, services and processes as well as existing products, services and processes.

B.

Management of change requirements only applies to changes that impact the organisation ' s OH and S performance.

C.

Management of change requirements only apply to planned changes. Unintended changes may or may not be subject to a review process.

D.

The organisation must retain documented information of all changes made by the organisation.

E.

The updating of the organisation ' s emergency preparedness and response plan will need to be undertaken in accordance with an established implementation and control of change process.

F.

Developments in knowledge and technology are specifically excluded from change management control.

G.

The organisation is only required to control changes that have been identified by the organisation itself.

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Questions 31

You are an audit team leader conducting a Stage 2 audit of a Financial Services Provider. You are currently interviewing the organisation ' s Risk and Compliance Officer, who appears very competent when it comes to the management of business risks. As the Risk and Compliance Officer, she is also identified as having lead responsibility for the management of OH and S risk, and you are now seeking evidence that she understands the requirements relating to risk that are contained within ISO 45001. During your conversation, she makes the following six statements about risk within an ISO 45001-based OHSMS. Which four of his statements are correct?

Options:

A.

The organisation must attempt to identify and address every risk it faces.

B.

The effect of uncertainty (i.e. risk) can result in positive outcomes as well as negative ones.

C.

Although organisations are required to carry out risk management, the method by which they do so is up to them.

D.

Risk assessment is an activity that must be carried out by top management.

E.

The organisation is required to assess risks arising from OH and S hazards.

F.

Risk is often expressed as a combination of likelihood and impact.

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Questions 32

You are auditing the purchasing process of Shelf-Fit, an organisation that designs, manufactures and installs interiors for retail stores. They always employ subcontractors for the installation work.

As an audit team member, you ask the Purchase Manager about the identification of health and safety hazards for contractors on site. Having previously reviewed the risk assessment report (HZD-21/11 Rev.3), you found that various health and safety hazards were listed but none were associated with contractors 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 varnishes. We trust them since they know more than we do about 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.

You raise a nonconformance against clause 8.1.4.2 of ISO 45001:

“The Purchase Manager confirmed that the safe use of chemicals in installation work was left to the contractor to deal with. The company did not work with contractors to control such hazards.”

Which two of the following actions proposed by Shelf-Fit would permit you to close out the nonconformity?

Options:

A.

Shelf-Fit shall contractually establish health and safety requirements relating to contractors working on installation sites.

B.

Contractors will be required to send a risk assessment report to Shelf-Fit before commencing work at an installation site.

C.

Shelf-Fit will expand their audit programme to include audits of contractors on sites when safety incidents are reported.

D.

Contractors will be requested to retain all unused chemicals from site operations.

E.

Shelf-Fit will suggest that contractors should undertake training on safe handling of chemicals.

F.

Contractors will be requested to implement an ISO 45001 management system within the next three months.

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Questions 33

During discussions with the individual(s) managing the audit programme of a certification body, the OHS Manager of the client organisation asks that only one auditor is used for the audit duration to save on travel expenses.

Which two of the following responses should the individual(s) managing the audit programme make?

Options:

A.

Suggest asking the certification body management to consider the request.

B.

Advise the OHS Manager that the audit duration and team make-up is decided in line with the internal procedures of the certification body.

C.

Suggest that the OHS Manager chooses another certification body.

D.

Advise that his request will be considered and we will respond accordingly.

E.

Suggest asking the accreditation body management to consider the request.

F.

Advise the OHS Manager that his request can be accepted.

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Questions 34

Below is a list of potential issues related to the context of organisations. Some of them are internal, and others are external.

Which two are related to external issues?

Options:

A.

Increased number of outsourced processes

B.

New owners of the organisation

C.

Workers joined a trade union

D.

New technology available on the market

E.

Recently hired workers with limited command of the local language

F.

Average salaries in the business sector

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Questions 35

Which of the following standards talk about the Environment Management System? Select all the correct options, and then select Submit.

Options:

A.

Integrated Management system

B.

ISO 14501

C.

ISO 45001

D.

ISO 14001

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Exam Name: PECB Certified OHSMS ISO 45001 Lead Auditor Exam
Last Update: Oct 16, 2026
Questions: 119
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