ISO-45001-Lead-Auditor PECB Certified OHSMS ISO 45001 Lead Auditor Exam Free Practice Exam Questions (2026 Updated)

Opportunities for improvement (OFIs) are suggestions provided during audits that do not indicate nonconformities but are aimed at enhancing the system’s performance.

Analysis of Options:

A. A quality control program could involve non-destructive testing of the welded handrails: While beneficial, this focuses on product quality rather than OH and S improvements.

B. Operational planning activities may benefit from an improved risk-based approach based on international standards for risk management: Correct. Enhancing risk-based thinking aligns with Clause 6.1.1.

C. A first aid station could be located next to the handrail polishing operation: While useful, first aid station placement is an operational matter, not directly related to OH and S management system improvement.

D. Additional internal audits of the OHS management system may reduce production problems: Internal audits should address system performance, not production problems.

F. The induction program for new employees could include an awareness training video on health and safety: Correct. Enhanced training for new employees addresses Clause 7.2 (competence).

G. The requirement for wearing protective gloves could be extended to shop floor workers across all operations: Correct. This improves hazard control in line with Clause 8.1.2.

H. The molding polishers should be disciplined for incompetency: Disciplinary actions are outside the scope of system improvement.

ISO References:

Clause 6.1.1: Risk management.

Clause 7.2: Competence.

Clause 8.1.2: Hierarchy of controls.

According to ISO 45001:2018, the PDCA cycle is explained in Clause 0.4. The Act phase is defined as: taking actions to improve continually the OH and S performance in order to achieve the intended outcomes . This clearly supports C. Making improvements as a correct answer.

Option D. Resetting objectives is also appropriate because ISO 45001 requires OH and S objectives to be reviewed and updated as appropriate . After checking performance results, the organization may revise or reset objectives as part of continual improvement and corrective action. This aligns with the Act stage, where changes are made to improve system effectiveness and performance.

The remaining options belong to other PDCA phases:

A. Verifying training relates more to evaluation of competence and effectiveness, which fits checking activities.

B. Measuring objectives belongs to the Check phase because ISO 45001 says Check includes monitoring and measurement against OH and S policy and objectives.

E. Providing infrastructure belongs to the Do phase because it is part of providing resources and operational support.

F. Auditing processes belongs to the Check phase because internal audits are part of performance evaluation under Clause 9.2.

Therefore, the correct answer is:

C, D

The correct answer is D .

ABC states that it has implemented one single OH and S management system for both plants . Once a single management system covers both sites, the certification body has to determine and audit the scope of the management system being operated , not an artificially narrowed commercial scope. IAF MD 1 says a multi-site organization has a single management system , and the certification body must confirm that a single management system is deployed and determine the scope of the management system being operated . It also says the certification document must reflect the scope of certification and the sites/legal entities covered by that multi-site certification. ( IAF )

The argument that XYZ is “just a supplier” does not solve the problem. IAF MD 5 makes an important distinction: where an external provider is only a supplier, the certification body audits the organization’s control of the supplied activity, not the performance of the activity itself . But here, XYZ is not outside the management system; ABC has already said both plants are inside one single OHSMS . So XYZ cannot simply be treated as an external supplier for certification-scoping purposes. ( IAF )

This is also consistent with the multi-site certification rules that do not allow an organization to exclude covered sites just to avoid certification consequences. IAF MD 1 explicitly says it is not admissible to exclude a problematic site from scope during certification, and the certification documents must show the sites covered by the certified system. While this example is about a “problematic” site, the principle is the same: once the site is part of the single management system, it cannot be carved out simply for convenience or marketing. ( IAF )

Therefore, as a third-party auditor, you should not agree to audit only the food plant while ignoring the packaging plant if both are included in the same ISO 45001 management system.

The correct answers are A and F .

A. The auditee should review the audit plan for agreement is true because, in certification auditing practice, the audit plan is communicated to the client/auditee in advance and should be agreed regarding the practical arrangements for the audit. ISO guidance on certification auditing includes preparation of the audit plan and communication of the audit plan and audit team as part of planning audits. ( ISO )

F. The audit team leader must define the responsibilities of team members and observers is also true. ISO/IEC 17021-1 states that the audit team leader , in consultation with the audit team, shall assign to each team member responsibility for auditing specific processes, functions, sites, areas or activities . This is a direct audit-planning responsibility of the team leader. Observers are also part of the audit arrangements that must be defined and managed during planning. ( IAS )

Why the other statements are false:

B. The audit team leader should plan to interview each employee is false. Certification audits are conducted using sampling , not by interviewing every employee. Audit evidence is gathered on a representative basis. ( ISO )

C. The organisation must provide hospitality for the audit team is false. Hospitality is not a certification requirement and can raise impartiality concerns.

D. The audit team leader should audit the Occupational Health and Safety Manager is not a mandatory requirement. The audit plan must cover relevant processes, functions, activities and responsibilities, but it does not require the team leader personally to audit one named individual. ( IAS )

E. The organisation should cancel all staff leave during the audit is false. The auditee should ensure availability of relevant personnel as needed, but cancelling all leave is not an audit requirement.

Therefore, the two true statements are:

A, F

The correct responses are C and D .

Certification bodies are required to have documented procedures for determining audit time and to determine the time needed to plan and accomplish a complete and effective audit . Audit duration is not something that can simply be shortened because the client asks for less disruption. ISO/IEC 17021-1 requires the certification body to determine audit time through its documented process, and the justification for the duration must be recorded. ( IAS )

IAF MD 5 also states that certification bodies shall identify the audit time for each client and that this framework is used within the certification body’s processes to determine the appropriate audit time , taking into account the specifics of the client organization. That means the request may be considered , but it does not have to be accepted. ( IAF )

Therefore:

C. Advise that his request will be considered but may not be taken up is correct, because the certification body can review the request, but the final decision must still comply with its audit-time rules and adequacy requirements. ( IAF )

D. Advise the OHS Manager that the audit duration and team make-up will be decided in line with the internal procedures of the certification body is correct, because ISO/IEC 17021-1 requires the certification body to use documented procedures for audit time and team decisions. ( IAS )

Why the other options are incorrect:

A is inappropriate because the request is not automatically a reason to tell the client to choose another certification body.

B is incorrect because the request cannot simply be accepted without following the certification body’s rules. ( IAS )

E is too absolute; the request should be considered against the certification body’s requirements, not rejected automatically. ( IAF )

F is unnecessary because the people managing the audit programme already have the responsibility to handle such matters through the certification body’s procedures. ( IAS )

Audit reports should provide a clear summary of the audit process, findings, and conclusions based on the defined scope, objectives, and criteria. They do not include administrative details (e.g., invoices) or operational aspects (e.g., corrective action plans).

Analysis of Options:

A. A copy of the certification body invoice for the audit: Incorrect. Invoices are unrelated to the content of audit reports and are handled separately.

B. A reference to the audit criteria used: Correct. Audit criteria (e.g., ISO 45001 standards) must be included in the report to define the basis for the audit.

C. A statement of the audit objectives: Correct. The report must outline the objectives to ensure clarity on the purpose of the audit.

D. Audit findings and any related evidence: Correct. Findings and evidence are essential to support conclusions and recommendations.

E. Confirmation of the audit scope: Correct. The scope defines the boundaries of the audit and must be documented in the report.

F. Contact details for all members of the audit team: Incorrect. Personal contact details are unnecessary and not typically included in reports.

G. The audit conclusions reached: Correct. Conclusions summarize the outcomes of the audit, such as conformity, nonconformities, or recommendations.

H. A corrective action plan that addresses the identified nonconformities: Incorrect. Corrective action plans are the auditee ' s responsibility and not included in the audit report.

ISO References:

ISO 19011:2018, Clause 6.7.3: Content of audit reports.