Internal Auditor qualification examination on EOHS

EMS ISO 14001:2015 & OH&S MS ISO 45001:2018

Please write your name & company name IN CAPITAL LETTERS in the space
provided below, as you would like to appear in your certificate.
Name & EMP.No:

Company Name:

DATE:

(For office use only)

Section Marks Maximum Book Ref.
1 20 Closed
2 40 Open
3 12 Closed
4 28 Closed
Total 100
Result Pass / Fail

Sign

The examination paper has got 4 Sections. All are compulsory. The pass mark is 60%.
The phrase 45001 always refers to OH&S Management systems standards ISO - Specification
with guidance for use. EMS refers to ISO 14001:2015 standards. Access to these standards
allowed but not other reference material/the course notes is not permitted. The word "clause"
refers to a paragraph or section of the standards that is identified by a number such as 4.1

Section 1 is worth 20 marks: It comprises of questions which require you to either place a
circle around a letter (a,b,c,d or e) to indicate which you judge to be the best answer or to state
fully the number of the clause from OHSAS 18001:2007 & ISO 14001:2015. You must only
give one answer for each question and answers may not be altered.
Section 2 is worth 40 marks: It comprises of questions that require brief written answers in the
space provided
Section 3 is worth 12 marks: It comprises of questions that require detailed written answers
that will normally fill the space provided
Section 4 is worth 28 marks: It comprises a number of situations for which non-conformity
reports (NCR's ) may be required.

Section 1 worth 20 Marks

20 multiple-choice questions which require you to either place a circle around a letter (a, b, c, d or e) to
indicate which you judge to be the best answer or to state fully the number of the clause from OHSAS
18001/ISO 14001. Each question is worth 1 mark. Answer must not be altered.

1.1 EOHS Audits are used to verify –

a) The number of persons working in Safety Department

Page No 1 of 13
 Internal Auditor qualification examination on EOHS
b) That the EOHS conforms to planned arrangements
c) For evaluating compliance with relevant Safety Legislation and Regulations
d) All of the above
e) None of the above

1.2 A third party audit is –

a) an internal audit
b) an audit by an customer or client
c) an audit by an independent organization
d) all the above
e) none of the above

1.3 EOHS - Internal Audit shall be planned and scheduled based on –

a) Decision of MD.
b) status and environmental importance of the activity concerned and results of previous audit
c) frequency as specified in documented procedure
d) all the above
e) none of the above

1.4 Which of the following activities must be audited by someone who has no direct responsibility for
the activity being evaluated?
a) Document changes
b) Legal requirements evaluation
c) A EOHS MS audit
d) All the above
e) None of the above

1.5 Information which can be proved true, based on facts obtained through Observation,
measurements or test results is called
a) objective evidence
b) a deficiency
c) a nonconformity report
d) all the above
e) none of the above

1.6 Continual Improvement leads to

a) enhancing EOHS performance;
b) promoting a culture that supports an EOHS MS
c) communicating the relevant results of continual improvement to workers,
d) All the above
e) None of the above

1.7 Indicate fully the clause of OHSAS 18001 & EMS ISO 14001 that requires the following:
Top management shall demonstrate leadership and commitment with respect to the EOHS
MS by: “determining and providing the resources needed for the establish, implement maintain and
continual improvement of the EOHS MS " ….. This is covered by clause-…………………….

1.8 Indicate fully the clause of OH&S MS: 45001and ISO 14001 that requires the following:
"Documented information required by the EOHS MS and by this International Standard shall be
controlled”……….
This is covered by clause-…………………………..

Page No 2 of 13
 Internal Auditor qualification examination on EOHS
1.9 The organization shall review and revise, where necessary, its emergency Preparedness and response
procedure in particular –
a) as specified periodically in the procedure
b) after the occurrence of accidents or emergency situations
c) as and when required.
d) a&b of the above
e) a&c of the above
f) all the above

1.10 Organization shall make it's employees or members at each relevant function & level aware of-
a) their roles and responsibilities in achieving conformance with the EOH & S policy
b) the significant risks of their work activities
c) the potential consequences of departure from specified operating procedures
d) all the above
e) none of the above.

1.11 EMS ISO 14001 is based on which standard?

a) BS 7700
b) BS 8800
c) ILO standards
d) None of the above

1.12 How many clauses are there in ISO 14001 Standard?

a) 4 major clauses and 15 sub-clauses
b) 10 clauses
c) 4 clauses and 4 major clauses
d) None of the above

1.13 What are the points to be covered in EOHS Policy as per the Standard?
a) Comply with applicable EOHS legal & other requirements
b) Prevention of pollution
c) Prevention of injuries and ill health
d) Continual improvement in EOHS performance
e) All the above

1.14. Participation by workers means

a) appropriate involvement in hazard identification
b) appropriate involvement in risk assessments
c) appropriate involvement in determination of controls
d) All the above

1.15 The Standard establishes a set of Quantitative targets for Environmental Performance and Specific
Pollution discharge levels: YES/NO

1.16 Standard is designed to provide a framework for setting EOH&S Management System necessary for
good EOH&S Performance: YES/NO

1.17. Environmental performance means measurable results of an organization's management of its

environmental aspects YES /NO

1.18. Consistent with its commitment to compliance, the organization shall establish implement and
maintain a procedure(s) for periodically evaluating compliance with applicable legal requirements
YES /No

Page No 3 of 13
 Internal Auditor qualification examination on EOHS

1.19 Corrective actions taken need not be appropriate to the magnitude of the problem and the
environmental impacts YES /No

1.20. An incident is defined as work-related event(s) in which an injury or ill health or fatality occurred, or
could have occurred Yes/ No
____________________________________________________________________________

Section 2 worth 40 Marks

Write a brief answer to each of the following 20 questions using only the space provided. Each question is
worth 2 marks.

2.1 Define Aspect & Impact, Hazard & Risk?

2.2 Give two examples of Aspect & Impact, Hazard & Risk in your departmental activities-

2.3 What is the purpose of conducting aspect & hazard identification?

2.4 How do you decide significant aspect and hazard in your Organization?(State Criteria)

2.5 Give any two significant impacts and risks identified in your own area?

Page No 4 of 13
Internal Auditor qualification examination on EOHS

2.6 Give any three EOHS Objectives selected by your Organization?

2.7 Give any four applicable Legal requirements applicable to your organization?

2.8 What are the factors to be considered in establishing and/ or reviewing the EOH & S
Objectives?

2.9 What are the points/ factors to be included in the EOHS Management Review?(State any Four)

2.10 Give two examples each for Internal issues and external issues identified-(4.1)EMS

2.11 What are the topics for which EOHS training is mandatory and for whom?

Page No 5 of 13
Internal Auditor qualification examination on EOHS

2.12 Operational controls are required for activities with significant aspects/hazards that are to be
carried out by establishing criteria for the process. Define what are these criteria -

2.13 Give four examples of "Interested Parties"?

2.14Give two examples foe “needs and expectations” each of any two Interested parties-(4.2)

2.15 What is the purpose of conducting Internal EOHS Audit?

2.16 Is there a requirement for calibrating the instruments used for monitoring the characteristics
related to EOHS MS? Name any four monitoring devices

Page No 6 of 13
Internal Auditor qualification examination on EOHS

2.17 What is the difference between Consultation & participation? Give two examples?

2.18 What are the decisions to be documented as output of management review?

2.19 Explain Incident, Near-miss and accident. Give one example each

2.20 Give four benefits of implementing EOHS Management System?

Page No 7 of 13
Internal Auditor qualification examination on EOHS

Section 3 worth 12 Marks

Each of the following two questions is worth 6 marks. You must attempt both questions. Where
appropriate you should identify the relevant clauses of EOHS Standards your answers.

3.1. An audit is being planned on an organization for Human resources. Write a checklist of SIX
points what the auditor should cover during the audit. State the relevant clauses of both standards.
Construct a suitable format for check list.

Page No 8 of 13
Internal Auditor qualification examination on EOHS

3.2 An audit is being planned on an organization for Maintenance/ Utility department. Write a
checklist of SIX points what the auditor should cover during the audit. State the relevant clauses of
both standards. Construct a suitable format for check list.

Page No 9 of 13
Internal Auditor qualification examination on EOHS

Section 4 worth 28 Marks

Four incidents that occur during a third party audit at four different organizations are described.
They contain situations for which nonconformity report (NCR) may be required. Examine each
incident carefully then take one of the following actions:

a) If you think that there is sufficient objective evidence of nonconformity then you should
complete a nonconformity report and categorize it as Major or Minor.
b) If you do no think there is sufficient objective evidence of nonconformity then you should
state your reasons in the space below the report. You should also state what the auditor
should do next.

Incident Number 1
During the audit of a Plant Engineering, the auditor observes that, modification work is being carried
out at 20.00 hrs Stack height of which is 20 meters. An auditor asks for work permit to carry out
work at height. On verification, he finds that time of job completion is mentioned as 18.00 hrs.
Contractor explains that he is not aware that extension for said work permit is required & it would
require another only 15-20 minutes for completion of job.

NONCONFORMANCE REPORT
Justification if this is not a NC

SL.No. NONCONFORMITY DETAILS ISO Clause

reference

AUDITOR : AUDITEE :

SL.No. CORRECTIVE ACTION RESPONSIBILITY &

TARGET

Page No 10 of 13
Internal Auditor qualification examination on EOHS

Incident Number 2
During the audit of Management Review Report, the auditor observes that last management review
meeting was conducted for the period of six months whereas the documented procedure EOHS MS
specifies the period of management review is quarterly once. Auditee explains that as our MD was
out of station. i.e he had been to America for meeting with collaborators clubbed with family tour,
we cannot conduct the review for the specified period.

NONCONFORMANCE REPORT

Justification if this is not a NC

SL.No. NONCONFORMITY DETAILS ISO Clause

reference

AUDITOR : AUDITEE :

SL.No. CORRECTIVE ACTION RESPONSIBILITY &

TARGET

Page No 11 of 13
Internal Auditor qualification examination on EOHS

Incident Number 3
In the Stores Department, the auditor notices that the quantity of Naphtha Storage exceeds 5%
than the limit specified under Management, Storage and import of Hazardous Chemicals Rules,
2016. The auditor asks them to have public liability insurance according to the Public Liability
Insurance Act, 1991 and also Off-Site Emergency Plan. The auditee explains that they have
License which can be sufficient to demonstrate with legal requirements.

NONCONFORMANCE REPORT

Justification if this is not a NC

SL.No. NONCONFORMITY DETAILS ISO Clause

reference

AUDITOR : AUDITEE :

SL.No. CORRECTIVE ACTION RESPONSIBILITY &

TARGET

Page No 12 of 13
Internal Auditor qualification examination on EOHS

Incident Number 4
Review of company's Internal EOHS Audit Reports are having the following observations:
Audit is carried out by Internal Auditors; however EOHS Coordinator was unable to show the
evidence of auditor’s qualification as the records have kept at residence.
Trend in NCR's of departments are as follows

Audit Audit Freq. MR PLE ME HR. MFG Stores Safety.

No.
I 3 months 10 6 3 2 12 5 6
II 3 Months 11 10 4 3 8 4 4
III 3 Months 3 15 3 3 9 2 3

Auditee explained that EOHS Audit IV is planned as per the routine frequency i.e once in 3 months
and MFG, PLE and ME are considered as important areas.

NONCONFORMANCE REPORT

Justification if this is not a NC

SL.No. NONCONFORMITY DETAILS ISO Clause

reference

AUDITOR : AUDITEE :

SL.No. CORRECTIVE ACTION RESPONSIBILITY &

TARGET

Page No 13 of 13