Section Maximum Actual

Marks Marks Result

Q, E, OH&S Internal Auditor Training SECTION-1
EXAMINATION PAPER 20
NAME OF THE CANDIDATE
SECTION-2 30
PASS/
(In Block Capital Letters)

SECTION-3 30 FAIL
SECTION-4 10

Date of Training Class

Exercises 10
Signature of
Venue Total 100 Evaluator

Write Either
Section -1 (True or False).
SL There are 10 mandatory questions, with 2 marks for each question.
True or
Attempt all questions. There is no negative marking.
False
It is a mandatory requirement for an organization to apply the same structure and
1 terminology to the documented information of its quality management system, as the
structure and terminology in ISO 9001:2015 Standard.
One requirement of ISO 45001 is that Top management shall communicate the relevant
2
outputs of management reviews to workers and where they exist, worker’s
representatives.

3 There are no normative references in the EMS, 14001:2015 Standard.

4 In ISO 45001, The term Workers refers to all personnel, except those persons who are in a
managerial role.

5 The term ‘consultation’ of workers means, involving them in decision making.

ISO 14001 requires that the organization shall provide relevant information and training
6
related to emergency preparedness and response, as appropriate, to persons working
under its control and also to relevant interested parties.
The terms “occupational health and safety” (OH&S) and “occupational safety and health”
7
(OSH) have the same meaning and hence either of these terms can be used in the
organisation’s documented information.
Use of space too can be considered by an organization, when determining its
8 Environmental aspects.

As per the definition of Life cycle stages in ISO 14001, the stages include acquisition of
9
raw materials, design, production, transportation and delivery of products/ services.
Thus, end-of-life treatment and final disposal are not included.

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 When determining environmental aspects, the organization shall take into account
10 foreseeable emergency situations too.

Section -2; Short-Answer Questions. There are 5 mandatory questions, attempt all, maximum marks 30;
6 marks per each question, No negative marking

1. List 3 advantages and 3 disadvantages of an auditor using a Checklist for audit.

2. How will you audit workers’ consultation and participation? List down minimum 6 questions you
would ask relevant auditee.

3. In the context of managing an audit programme, briefly explain, in your own words, 4 risks in the
audit process.

4. ISO 45001 has a requirement that, when an incident or a nonconformity occurs, the organization
shall communicate the corrective action taken to relevant workers, and, where they exist, workers’
representative.
Explain in your own words, what is the purpose of this requirement in the ISO Standard.

5. The I SO 14001 states that the organization shall determine the environmental aspects of its
activities, products and services that it can control and those that it can influence, and their
associated environmental impacts, considering a life cycle perspective. Explain with an example what
is meant by life cycle perspective.

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Section -3; There are 10 statements given identify whether it is conformity or non-conformity. Also
identify associated clause w.r.t. ISO9001, ISO14001 & ISO45001mandatory questions. Attempt all,
maximum marks 30; 3 marks per each question, No negative marking

Associated clause
CONFORMITY
w.r.t ISO9001,
SL STATEMENT / NON-
ISO14001 &
CONFORMITY
ISO45001
The Management Review Meeting minutes do not reflect any
1 consideration of opportunities for improvement.

The MR tells the IMS auditor that the organization has outsourced
their electronic product design work and due to this reason the life
2
cycle perspective for design need not be taken into account while
addressing environment issues.
The organisation has a large number of vehicles for which the
3 servicing and maintenance is done inhouse. The oil used for cleaning
of the engine and gearbox is disposed off through the factory
drainage system.
During IMS audit it was observed that the Safety committee meeting
4 minutes show that it was not attended by any worker. The OHSE
Manager stated that this is because in the organization all decisions
are taken only by Managers.
The organsation’s IMS manual indicates that there are 8 types of
Emergency situations identified and that Mock drill shall be once a
5
month. The MR tells the auditor that mock drills were done only 2
times in the last year, but they were satisfied with it, and in any case
it is in conformity with the requirement of ISO 45001.
During an IMS audit, the auditor observes that the Environment
aspect impact document is well prepared. When he asks for the
6
document related to the criteria used to determine the significant
environmental aspects the MR states that it is easy to understand
and so no document is prepared.
While auditing the Internal audit process, the IMS auditor sees that
all 9 departments including the training department have been
7
audited by the Training Manager who is the only Internal auditor in
the organization.
During IMS audit, the auditor finds the organization’s procurement
processes do not apply occupational health and safety criteria for
8 the selection of contractors.

The MR states that while worker participation is encouraged during

evaluation of the need for corrective action to eliminate root cause of
9
the nonconformity, he does not think it is necessary to communicate
the results of the corrective action, as they are not smart enough to
understand the matter.

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 The organization has demolished an old workshop and erected a
bigger one with new equipment in the last one year. However, as
there has been no change in the physical location, and the equipment
10 is of latest technology, the MR did not consider it necessary to
determine the Environmental aspects and OH&S risks.

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Section -4. Answer following 2 questions. Maximum marks 5 each. No negative marking.
1. Prepare a checklist of 5 points for an audit of Emergency Preparedness as per ISO 14001
requirement.

2. Prepare a checklist of 5 points for an audit of “Consultation and participation of workers” as per
ISO 45001 requirements

End of Examination Paper

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