PECB ISO-45001-Lead-Auditor Exam Dumps - Actual Questions Answers

ISO 45001 requires an organization to determine the external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended results of the OH and S management system. This is established in Clause 4.1 – Understanding the organization and its context . External issues are typically conditions arising outside the organization, such as market conditions, social conditions, legal environment, economic factors, and technological developments. Internal issues are those related to the organization’s people, structure, culture, ownership, competence, and operational arrangements.

D. New technology available on the market is an external issue because it exists in the external business and technological environment. It is not created inside the organization, but it can affect how the organization manages OH and S risks and opportunities, for example by introducing safer equipment, automation, or new control methods. ISO 45001 guidance in Annex A recognizes that technological environment can be part of context analysis.

F. Average salaries in the business sector is also an external issue because it relates to the wider economic and labor-market environment, not the organization’s own internal arrangements. This kind of issue can influence recruitment, retention, competence availability, and worker welfare conditions, all of which may indirectly affect OH and S performance. It is part of the external economic context.

Why the other options are not external:

A. Increased number of outsourced processes is mainly an internal organizational decision about how work is arranged and controlled. Although outsourced providers are external parties, the increase in outsourcing is part of the organization’s internal operating model.

B. New owners of the organisation is an internal issue because ownership and governance are part of the organization’s internal structure and direction.

C. Workers joined a trade union is generally treated as an internal workforce/industrial relations issue , because it directly concerns the organization’s workers and participation arrangements.

E. Recently hired workers with limited command of the local language is an internal issue because it concerns the competence, communication, and workforce characteristics within the organization.

Therefore, the two options related to external issues are:

D, F

The correct answers are D, F, H .

ISO 19011 guidance on generating audit findings says that nonconformities can be graded depending on the context of the organization and its risks . That directly supports D , because any grading should reflect the risk the nonconformity presents to the organization. The same guidance also says this grading can be quantitative (for example 1 to 5) or qualitative (for example minor/major) , which makes F correct. Because the wording is “can be graded” , grading is optional rather than mandatory, so H is also true. ( Synersia Foundation )

Why the other options are not true:

A is not a requirement in ISO 19011. An organization may define grading rules in its audit programme or procedure, but there is no rule that grading must be agreed with the individual(s) managing the audit programme. ( ISO )

B is false. ISO 19011 does not recommend that top management grade nonconformities. Audit findings are generated by auditors based on objective evidence and audit criteria. ( ISO )

C is false. A second-party audit team does not have to adopt the auditee’s grading system. The grading approach can follow the auditing organization’s own rules and purpose for the audit. ( ISO )

E is false. Additional documented information at the closing meeting does not mean the grading must be changed. The evidence should be reviewed, but unresolved issues may simply remain recorded in the audit report. ( Synersia Foundation )

G is false. There is no requirement that extra grading categories must be agreed with the auditee before the closing meeting. The auditee should understand the findings, but the grading framework is not something ISO 19011 requires to be negotiated at that point. ( ISO )

The auditor should assess whether the organization ' s planned action (using masks in case of dust extraction failure) is both implemented and effective. This aligns with ISO 45001 requirements to ensure that control measures are functional and meet the intended objectives.

Clause 8.1.2 (Hierarchy of Controls): The use of PPE, such as masks, is considered a last resort in the hierarchy of controls. The organization must demonstrate that the measure is:

Implemented (e.g., PPE is available and workers are trained to use it).

Effective (e.g., masks provide adequate protection against dust).

Analysis of Options:

A. Advise that the factory should cease operations if the dust extraction equipment malfunctioned. While ceasing operations may be a necessary control in extreme situations, it is not a practical or realistic recommendation unless a high-risk scenario cannot be otherwise managed.

B. Ask the OHSMS Manager to confirm regulatory compliance. Regulatory compliance is important but does not fully address the requirement to ensure the action is effective.

C. Seek evidence that the response action is both implemented and effective. This is the most appropriate response. The auditor must verify implementation and effectiveness to determine conformity.

D. Suggest increasing maintenance checks. Maintenance is important for preventing equipment breakdowns, but this option does not address the immediate audit finding about the adequacy of response actions.

ISO References:

Clause 8.1.2: Emphasizes applying the hierarchy of controls effectively.

Clause 9.1.1: Requires monitoring and measuring controls to ensure effectiveness.