PECB PECB Certified OHSMS ISO 45001 Lead Auditor Exam ISO-45001-Lead-Auditor Exam Dumps: Updated Questions & Answers (October 2026)

Analysis of Options:

A. Integrated Management System:Correct. An Integrated Management System (IMS) combines multiple standards like ISO 45001, ISO 14001, and ISO 9001, addressing environment management as part of the integration.

B. ISO 14501:Incorrect. ISO 14501 pertains to milk and milk products, not environmental management.

C. ISO 45001:Incorrect. ISO 45001 focuses on Occupational Health and Safety, not environmental management.

D. ISO 14001:Correct. ISO 14001 is the primary standard for Environmental Management Systems.

ISO References:

ISO 14001: Environment Management Systems.

Integrated Management Systems: Combines standards like ISO 14001 and ISO 45001.

The correct answers are B and D.

In certification audits, the certification body decides the audit team composition and audit time using its own documented procedures and competence requirements. ISO/IEC 17021-1 requires the certification body to determine the competencies needed for the audit team and to assign an audit team that is competent for the audit scope. It also requires the certification body to determine the audit time needed to plan and accomplish a complete and effective audit.

IAF MD 5 further explains that the certification body should consider the composition and size of the audit team to ensure audit effectiveness. This means a client request for “only one auditor” may be considered, but it cannot simply be accepted just to reduce travel costs if that would undermine competence, coverage, or effectiveness.

Therefore:

B is correct because the OHS Manager should be told that audit duration and team make-up are decided in line with the certification body’s internal procedures.

D is correct because the request can be considered, and the certification body can respond after applying its rules and competence requirements.

Why the other options are incorrect:

A is not the best answer because the people managing the audit programme already operate within the certification body’s process.

C is inappropriate; a client request does not justify telling them to use another certification body.

E is incorrect because the accreditation body does not decide the audit team for the client’s audit.

F is incorrect because the request cannot be automatically accepted based only on cost saving.

2. Prepare the audit checklist, 3. Obtain objective evidence, 4. Review audit evidence, 5. Document findings

For a first-party audit, the sequence follows the normal audit flow described in ISO auditing guidance: first the audit is initiated and leadership is assigned, then audit activities are prepared, then evidence is collected during the audit, then that evidence is evaluated, then findings are recorded, and finally the audit report is issued. ISO 19011 describes the audit flow as initiating the audit, preparing audit activities, conducting audit activities, and preparing and distributing the audit report. (ISO)

That is why, after 1. Appoint an audit team leader, the next correct step is 2. Prepare the audit checklist. The checklist is part of preparing for the audit and helps the auditor plan questions, clauses, process interactions, and sampling points before going on to collect evidence. (WEDEAQ | Official VDA QMC Partner)

After preparation, the auditor moves to 3. Obtain objective evidence. Audit evidence is gathered through interviews, observation, and review of documented information during the audit. This is a core activity of conducting the audit. (DNV)

Once evidence is collected, the auditor must 4. Review audit evidence. ISO audit practice requires the evidence to be evaluated against the audit criteria to determine whether conformity or nonconformity exists. Evidence is not simply collected and reported immediately; it is first reviewed and assessed. (PRETESH BISWAS)

After reviewing the evidence, the auditor can 5. Document findings. Findings are the result of evaluating the evidence against criteria, so they logically come after evidence review. Recorded findings can include conformity, nonconformity, and opportunities for improvement, depending on the audit plan and method. (PRETESH BISWAS)

The final step is 6. Issue the report, because the report is prepared only after the audit evidence has been reviewed and the findings have been determined and documented. (ISO)

So, the correct full order is:

1. Appoint an audit team leader

2. Prepare the audit checklist

3. Obtain objective evidence

4. Review audit evidence

5. Document findings

6. Issue the report

Clause 6.1.2 of ISO 45001:2018 emphasizes the identification of hazards and assessment of risks, and Clause 5.4 highlights the importance of consultation and communication among roles. The auditor ' s role includes verifying conformity to these clauses through evidence gathering and observation.

Analysis of Options:

A. The auditor should advise the organization to get rid of the walled area.This is outside the scope of an auditor’s role, which is to observe and report findings, not to dictate specific actions.

B. The auditor should ask the Maintenance Manager to conduct a safety survey.While safety surveys are useful, asking the Maintenance Manager to conduct one is not the auditor’s responsibility.

C. The auditor should check the lines of communication between the OHS Manager and Maintenance Manager.This aligns with ISO 45001:2018, Clause 5.4, as communication gaps may have contributed to the situation.

D. The auditor should check whether the organization has identified the safety hazards associated with the walled area.Clause 6.1.2 requires hazard identification. The auditor must determine whether this has been done.

E. The auditor should consider surveying more areas of the site for other potentially unsafe situations.Broadening the audit scope to identify additional risks is a good practice in line with Clause 9.2.2.

F. The auditor should demand that the Maintenance Manager deals with the wall.Demanding action is not within the auditor’s authority. The auditor should raise findings instead.

G. The auditor should raise a nonconformity against ISO 45001.While this may be appropriate depending on evidence, raising a nonconformity is not a replacement for good audit practices.

H. The auditor should refer the organization to health and safety authorities.This step is extreme and should only occur if there is an imminent danger and no action is being taken.

ISO References:

Clause 6.1.2: Hazard identification and risk assessment.

Clause 5.4: Worker consultation and participation.

Clause 9.2.2: Internal audit program and execution.

ISO 45001 Clause 8.1.3 Management of change states that the organization must establish processes for the implementation and control of planned temporary and permanent changes that impact OH and S performance. It also says this includes new products, services and processes, and changes to existing products, services and processes. That makes A true. It also supports B, because the clause is specifically about changes that impact the organization’s OH and S performance.

Statement E is also true. If the organization decides, after an emergency preparedness and response exercise, that it needs to change part of the OHSMS to improve OH and S performance, then that change has to be implemented in a controlled way under the organization’s management-of-change process. ISO 45001 links emergency preparedness with improvement and requires changes impacting OH and S performance to be controlled.

Why the others are false:

C is false because ISO 45001 does not limit management of change to planned changes only. It says the organization must also review the consequences of unintended changes and take action to mitigate adverse effects.

D is false because Clause 8.1.3 does not require retaining documented information of all changes. The clause requires establishing processes for implementation and control, but it does not state a blanket requirement to retain documented information for every change.

F is false because developments in knowledge and technology are explicitly included in management of change, not excluded.

G is false because changes are not limited to those identified by the organization itself; the clause also includes changes in legal and other requirements, and changes in knowledge or information about hazards and risks.

H is false because ISO 45001 explicitly says management of change applies to temporary and permanent planned changes.

Option D provides the most complete description because audit resources must be adequate for the audit programme and capable of supporting achievement of the audit objectives, with competent personnel being a critical component. Resources are broader than management personnel, technology or a timescale considered individually. Depending on the programme, they may include auditors and technical experts with appropriate competence, sufficient time, financial resources, audit methods and tools, travel arrangements, information and communication technology, and other logistical support. The overriding requirement is that resources collectively allow audits to be conducted effectively and credibly. ISO/IAF guidance on ISO 19011 specifically states that those managing an audit programme should ensure the audit team ' s competence matches the audit scope and objectives and that adequate resources are available for the audits included in the programme.

ISO 45001 defines " documented information " as information required to be controlled and maintained by an organization. This can include policies, procedures, records, or other relevant data in any format (Clause 3.19). It encompasses all information used to establish, operate, and demonstrate the effectiveness of the OH and S management system.

Analysis of Options:

A. Any paperwork generated when the system is in operation:Incorrect. This is too narrow and excludes digital or other formats.

B. Any information about the system, or generated by it, held in any format:Correct. This aligns with the ISO 45001 definition in Clause 3.19.

C. Paperwork such as Permits to Work and risk assessments:Incorrect. These are examples of documented information but do not encompass the full scope of the term.

D. The master copies of the documents used to operate the system, held in any format:Incorrect. This definition is limited to master copies, while documented information includes records as well.

ISO References:

Clause 3.19: Definition of documented information.

Clause 7.5: Control of documented information.

ISO 45001 emphasizes the importance of worker participation, particularly non-managerial workers, in developing and improving the OH and 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).