Participant Name: _______________________ Date: __________

ISO 9001:2015, ISO 14001:2015 & ISO 45001:2018

Internal Auditor Training Exam Paper

Circle the correct answer for questions 1 to 5. Please note that there is only one
correct answer to each of these questions.

1. "Action to eliminate the cause of a detected nonconformity in order to prevent their

recurrence" is called
a. correction
b. corrective action
c. preventive action
d. risk-based thinking
e. all of the above

2. “Data supporting the existence or proof of something” is called:

a. audit evidence
b. a deficiency
c. a nonconformity report
d. all of the above
e. none of the above

3. Documented information to be maintained and retained include the following:

a. drawings
b. management system manual
c. records
d. all of the above
e. none of the above

4. Internal audit team members must be:

a. certified auditors on a national register

b. independent of the audited activity
c. experts in the organization’s processes
d. all of the above
e. none of the above

5. A good auditor should not use the following questioning technique(s) in the
interview an auditee:

a. close question
b. probing question
c. leading question
d. all of the above
e. none of the above

6. Element of an organisation’s activities or products or services that can

interact with the environment is a definition of:
a environmental indicator
b life-cycle analysis
c environmental aspect
d environmental impact
e all of the above

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7. A significant environmental aspect can result one or more significant
environmental impacts:
a reach or exceed the threshold of 15 risk rating on 5 x 5 matrix
b legal and other requirements
c interested parties concern becomes a compliance obligation
d none of the above
e all of the above

8. Answer below:

Hazards Identification Risk Assessment Mitigation/Control

Aspects Identification Impact Assessment Mitigation/Control

9. Identify the clause number and reference to company manual with the
specific document name in determining the extent of documented information
to be included in ISO 9001, ISO14001 and ISO 45001 in which have been
maintained or retained as documented information. For example: ISO 9001
clause 7.2 (R), Welder Training Certificate Ref: IMS-M-001.

a ISO 9001 (M) _________________________________________

_________________________________________

ISO 9001 (R) _________________________________________

_________________________________________

b ISO 14001 (M) _________________________________________

_________________________________________

ISO 14001 (R) _________________________________________

_________________________________________

c ISO 45001 (M) _________________________________________

_________________________________________

ISO 45001 (R) _________________________________________

_________________________________________

10. List 2 examples of worker consultation & participation.

a ___________________________________________
b ___________________________________________

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Identify below questions are a noncompliance, an observation or not an issue.
If a noncompliance is identified, the clause/sub-clause in the ISO 9001, ISO
14001, ISO 45001 standards should be specified and categorized as major or
minor.

11. Customer drawing #213-3 rev 3 was not updated on the drawing master list.

NC – Major / Minor – Clause/Sub-clause Number ____________________

Why________________________________________________________

Observation / No Issue – Why____________________________________

12. In going through the purchase orders, the auditor found an order for skid
fabrication was made to a new subcontractor not in the approved vendor
list. He asks how the new subcontractor for skid fabrication was selected.
The purchasing officer explains that the regular subcontractor could not
meet the delivery date and the order was placed with a subcontractor
which they had never used before, but who could meet their delivery date
and is cheaper.

NC – Major / Minor – Clause/Sub-clause Number ____________________

Why________________________________________________________

Observation / No Issue – Why____________________________________

13. An internal audit nonconformity report was closed out upon verification t
that the corrective action has been completed. The corrective action stated
that the affected measuring equipment which has expired calibration due date
has now been calibrated.

NC – Major / Minor – Clause/Sub-clause Number _______________

Why________________________________________________________

Observation / No Issue – Why_______________________________

14. The management review minutes did not document the effectiveness of
actions taken to address risks and opportunities. The MR explained that
these were discussed during the management review so there is no
need to have it documented.

NC – Major / Minor – Clause/Sub-clause Number ____________________

Why________________________________________________________

Observation / No Issue – Why___________________________________

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15. Employees performing rigging operation have been trained and
certificates of training from ASMI are available. However, the company is
not able to produce certificates of training for the subcontractors
employed to perform the rigging operation. The MR defended saying that
the subcontractors are briefed by the trained employees and hence
should not be an issue.

NC – Major / Minor – Clause/Sub-clause Number ____________________

Why________________________________________________________

Observation / No Issue – Why____________________________________

16. In auditing management review the auditor found that no review was
carried out during the last seven months, although the company’s
procedure stipulated management review to be carried out at six-monthly
intervals. The MR claimed that the ramp up in customer orders had
prevented them from carrying out the review. He also claimed that
customers have no complaint.

NC – Major / Minor – Clause/Sub-clause Number ____________________

Why________________________________________________________

Observation / No Issue – Why____________________________________

17. Records indicated accidental spillage of motor oil on two occasions within
the past six months which caused worker to fall. The incidents were
investigated and documented. The corrective actions were carried out.
The auditor asked to see the latest emergency response plan which was
dated one year ago. The management representative indicated that no
further review of the emergency response plan was necessary since
corrective actions had been taken and closed.

NC – Major / Minor – Clause/Sub-clause Number ____________________

Why________________________________________________________

Observation / No Issue – Why____________________________________

18. You witnessed a walker walked under a suspended loading load of a

mobile crane and then crawled under the mobile crane truck in order to get
to the other side to secure the loading. The incident was investigated,
documented and corrective action was carried out. The safety officer
indicated worker is an “outsourced contractor” and that no further action
was necessary since corrective action had been taken and closed.

NC – Major / Minor – Clause/Sub-clause Number ____________________

Why________________________________________________________

Observation / No Issue – Why____________________________________

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