CONFIDENTIAL

ICS TECHNOLOGIES
IMS Internal Auditor Course
ISO 9001:2015
ISO 14001:2015
OHSMS 45001:2018
Quality Management System (QMS)
Environmental Management System (EMS)
Occupational Health & Safety Management System (OHSMS)

Examination Paper
Please write your name and the date in the space provided

Name :
Date :

THESE SPACES ARE FOR ICST OFFICIAL USE ONLY

Section Marks Scored Pass Marks Maximum Max. Time
(Min)
1 14 20 25
2 14 20 25
3 14 20 30
4 21 30 40
TOTAL 63 90 120
Name of Marker Confirmed:

Result
This is an OPEN book examination. You can use your Study Materials, ISO Standards and a
bilingual dictionary if required. However, electronic devices such as Laptop/palm top
computers, Mobile phones, Digital diaries, etc., are NOT permitted during the examination.

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 IMS (QMS / EMS 2015, OHSMAS 45001:2018) Internal Auditor Course –
Final Examination Questions

Section 1.
(Answer ALL Questions. Total 25 Marks Time: 35 Minutes)

Q.1 Quality/Environmental/Health & safety Management System audits are used to verify

a. the number of persons working on a contract

b. the extent to which audit criteria are fulfilled
c. that all suppliers to the organization have ISO 9001/ 14001 certifications
d. all of the above
e. none of the above

Q.2 A Third Party Audit is

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

Q.3 ISO 9001 includes:

a. health and safety requirements

b. quality planning
c. quality costing
d. all of the above
e. none of the above

Q.4 In preparing for an audit it is important to

a. plan
b. define the scope of the audit
c. select a lead auditor and a component team
d. all of the above
e. none of the above

Q.5 “Data supporting the existence or verify of something” is called:

a. objective evidence
b. a deficiency
c. a nonconformity report
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d. all of the above
e. none of the above
Q.6 What information is being sought during a 3rd party audit of a quality/environment/ Health &
Safety management system?

a. a list of nonconformities to ISO 9001/ 14001/45001

b. objective evidence of conformity with ISO 9001/14001/45001
c. a management commitment to quality assurance/ prevention of pollution
d. all of the above
e. none of the above

Q.7 To act as an internal auditor of a quality/environment/health & safety management system,

a person has to

a. be registered as a Certificated Auditor

b. have detailed knowledge of products / services/activities of the company to be audited
c. have been a quality/environment systems manager
d. all of the above
e. none of the above

Q.8 The process approach to quality/environment/health & safety management system aims to
help organizations:

a. manage numerous linked activities

b. understand and fulfill requirements
c. continually improve processes
d. all of the above
e. none of the above

Q.9 If the audit team does not find any nonconformity the audit team leader should

a. explain to the management of the audited organization that the audit only investigated a
sample of activities and that there may be nonconformities which the sample did not
uncover.
b. conclude that there are no nonconformities existing in the QHSE system:
c. cancel the closing meeting
d. all of the above
e. none of the above

Q.10 The extent of documentation of the quality/environment/health & safety management system
should be determined by:

a. the complexity of processes and their interactions

b. the expectations of auditees
c. the culture of the quality/environment departments
d. all of the above

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e. none of the above

Q.11 Indicate the clause of ISO 9001: 2015 that is applicable to the following:
“ The organization shall ensure that the results of audits are reported to the relevant
management’
a. 5.1.1 (b)
b. 6.1.2 (a)
c. 9.2.2 (d)
d. 5.3 (c )
e. None of above

Q.12 Indicate the clause of ISO 14001: 2015 that is applicable to the following:
“ The organization shall conduct internal audits at planned intervals to provide information
on whether the EMS is effectively implemented and maintained”
a. 4.3
b. 5.1(d)
c. 9.1.1
d. 9.2.1 (b)
e. None of above

Q.13 Indicate the clause of ISO 14001: 2015 that is applicable to the following:
“Within the defined scope of the environmental management system, 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.
a. 4.2
b. 5.1(b)
c. 6.1.2
d. 6.2.1
e. None of above

Q.14 What are the ISO 14001:2015 Standard clause numbers that is addressing the Life cycle
perspective?

a. 0.2, 1.0 & 3.3

b. 6.1.2
c. 8.1
d. All of above
e. None of above

Q.15 Some of the vocational trainees were found to standing with a maintenance engineer inside
the battery limit of the chemical plant and when auditor asked, they were found to be
completely unaware of what they would be doing in case of a leakage of toxic gas, this
situation is covered in OHSMS 45001:2018 clause No.

a. 5.1 c)
b. 5.4 b)
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c. 6.1.1
d. 8.2 e)
e. 9.1.2
Q.16 Obsolete version of an operational manual was being used along with a superseded process
and Instrument diagram; therefore auditor found the operators were unaware of what was
happening? The problem is:

a. There was lack of control to prevent unintended use of obsolete documents

b. Documents were not approved for adequacy prior to issue;
c. Relevant versions of applicable documents are not available at points of use
d. All the above
e. a & c above

Q. 17 Top management shall communicate the relevant outputs of managements reviews to

workers, and, where they exist, workers’ representatives. This is covered in the standard
Clause No.----

a. Not addressed in the OHSAS 45001:2018 Standard

b. 4.2
c. 6.1
d. 9.3
e. 7.5

Q. 18 The OH&S objectives shall:

a. be consistent with the OH&S policy.

b. be measurable (if practicable) or capable of performance evaluation
c. be monitored
d. be communicated;
e. All of the above

Q.19 The organization shall determine opportunities for improvement and implement necessary
actions to achieve the intended outcomes of its OHS management system. This is addressed
in clause no.:

a. 10.1
b. 10.2
c. 10.3
d. 8.1
e. 9.1

Q.20 According to OHSMS ISO 45001:2018 standard, the organization shall:

a. provide mechanisms, time, training and resources necessary for consultation and participation.
b. provide timely access to clear, understandable and relevant information about the OH&S
management system.
c. determine and remove obstacles or barriers to participation and minimize those that cannot be
removed
d. emphasize the consultation of non-managerial workers on determining the needs and
expectations of interested parties
e. All of the above
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 Section 2
( Answer ALL questions. Total 20 marks. Time: 25 Minutes
Write a brief answer to each of the following five questions using only the space provided.

2.01 There are three types of IMS management systems audit based on a first, second and
third party involvement. Explain the specific features that distinguish each of them.

2.02 What are the objectives and benefits of quality/environment/safety management

system documentation?

2.03 ISO 14001:2015 standard is based on “Plan-Do-Check-Act Model”. Identify and name
at least 4 ISO 14001 clauses that support PDCA Model.

Plan Do Check Act

2.04 What objective evidence could be available in order to verify compliance with the
requirements of clause 8.2.1 of ISO 9001:2015? In your answer, make links to other
ISO 9001 clauses as necessary.

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 Section 3
( Answer ALL Questions. Total 20 Marks. Time 20 Minutes)
3.1 You are planning an internal audit of an organization as per QMS ISO 9001:2015 that
supplies electronic cabling and networking products. The organisation consists of the
following departments: sales and marketing – purchasing – warehouse – packing and
dispatch – human resources – support services including maintenance, IT and Quality.
The top management team consists of the Managing Director and departmental
managers from each of the above areas.

a) What would be your 2 main considerations in deciding the sequence of activities for
the audit?

b) How would you approach the audit of continual improvement in this organization?

3.2 Describe the principal actions which should be taken, and by whom, when a non-
conformity has been identified during an internal audit as per QMS/EMS/OHSMS
Standards ? A simple flow chart may be used to answer this question.

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 Section 4
(AUDIT SITUATIONS : Answer 3 Situations. One each for QMS, EMS &
OHSAS. Total 35 Marks. 10 Marks for each NCR / Investigation Report.
5 Marks for overall neatness & clarity. Time: 40 Minutes)

Examine the following audit situations carefully then take one of the following actions:

1. 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.

2. If you do not think that there is sufficient objective evidence of nonconformity then:

a. State why you think that there is insufficient evidence of nonconformity

b. Make a list of things you would look for as evidence that the situation is under
control

SITUATION 1 (QMS ISO 9001:2015)

In the audit of a food manufacturer the auditor noticed 6 cans of an unknown product in an
unmarked box under the production line. The cans were unmarked and the operator told the
auditor that they were left from the previous shift and he thought they might be reject beans.

SITUATION 2 (EMS ISO 14001:2015)

You are an internal auditor for the EMS ISO 14001:2015 and are auditing your organization’s
operations department. You observe that the Aspect Impact Register is still the same that
was established during implementation of earlier version of EMS ISO 14001:2004 standard.
HOD of the operations dept. says that the aspects and impacts haven’t changed as there are
no new activities / processes being undertaken by the operations dept. He further adds that
routine operations are ongoing and there are no significant environmental issues from his
dept. To a question whether life cycle perspective was considered while determining the
aspects and impacts, the HOD informed that he is not aware of any such perspective.

SITUATION 3 (OHSMS 45001:2018)

In the maintenance department, the auditor discovered that he 7 fork lift truck did not have a
written procedure, diagram or instruction for the operation of the trucks. The Maintenance
Manager explained that he drivers all had licenses and that any instruction would be a waste
of paper. There was a Procedure for handling materials.

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 QMS AUDIT NON-CONFORMITY REPORT
Description of Non-Conformity ( Max 3 marks):

Category of NC : MAJOR / MINOR

Relevant Evidence (Max 3 Marks):

ISO Clause and requirement (Max 1 Mark):

Note:
 For identifying the scenario as Non-conformity : 2 Marks awarded
 For overall clarity : 1 Mark Awarded

OR

 Complete your answer on the following page.

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 QMS Audit Investigation Template
Reason why there is not yet sufficient evidence for reporting Non-conformity ( Max 2 marks):

Four audit trails you would follow, including evidence sought and purpose (Max 2 Marks for each audit trail):

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 EMS AUDIT NON-CONFORMITY REPORT
Description of Non-Conformity ( Max 3 marks):

Category of NC : MAJOR / MINOR

Relevant Evidence (Max 3 Marks):

ISO Clause and requirement (Max 1 Mark):

Note:
 For identifying the scenario as Non-conformity : 2 Marks awarded
 For overall clarity : 1 Mark Awarded

OR

 Complete your answer on the following page.

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 EMS Audit Investigation Template
Reason why there is not yet sufficient evidence for reporting Non-conformity ( Max 2 marks):

Four audit trails you would follow, including evidence sought and purpose (Max 2 Marks for each audit trail):

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 OHSMS AUDIT NON-CONFORMITY REPORT
Description of Non-Conformity ( Max 3 marks):

Category of NC : MAJOR / MINOR

Relevant Evidence (Max 3 Marks):

ISO Clause and requirement (Max 1 Mark):

Note:
 For identifying the scenario as Non-conformity : 2 Marks awarded
 For overall clarity : 1 Mark Awarded

OR

 Complete your answer on the following page.

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 OHSMS Audit Investigation Template
Reason why there is not yet sufficient evidence for reporting Non-conformity ( Max 2 marks):

Four audit trails you would follow, including evidence sought and purpose (Max 2 Marks for each audit trail):

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