The three verification techniques used in auditing an HSE management system are:
a. Review and sample files, distribute and evaluate questionnaires, inspect worksites
b. Review and analyse documentation, conduct interviews, observe work practices and conditions
c. Analyse and sort data collected, complete the audit protocol, prepare recommendations
d. Pre-audit consultation, audit evaluation activities, post-audit debriefing
B — Review and analyse documentation, conduct interviews, observe work practices and conditions
How often a HSE management system is audited may vary. The frequency of audits will depend on:
a. Degree of workplace hazards
b. Location of the company’s operations
c. Size of the workforce
d. Whether operations are centralized or decentralized
A — Degree of workplace hazards
A HSE audit is a comprehensive and objective review of the design and effectiveness of an organization’s HSE management system. Auditing the system allows the organization to:
a. Determine which employees need retraining
b. Show that senior management is committed to safety
c. Avoid potential lawsuits or WCB fines
d. Obtain valuable input from employees
D — Obtain valuable input from employees
The people that attend the closeout meeting should be:
a. The line supervisors and OHS committee
b. Union reps, management, safety personnel
c. The same people that attended the kick off meeting
d. All people involved in the audit
C — The same people that attended the kick off meeting
Audit interview selections are made by:
a. The organization being audited
b. The safety coordinator
c. The auditor and the organization being audited
d. The auditor
D — The auditor
Most sampling for audit interviews is done using:
a. A targeted sampling technique
b. An arbitrary sampling process
c. Targeted sampling and random selection
d. Numerical sampling combined with random selection
C — Targeted sampling and random selection
Auditors are expected to conduct audits following and applying an established code of ethics. A key element of an auditor code of ethics is:
a. Confidentiality of information
b. Transparency and openness
c. Follow the standard reporting format
d. Discuss the audit findings with a third party
A — Confidentiality of information
Audits can degenerate into a “contest” between those seeking to hide weaknesses in their systems and auditors trying to find them. A technique to avoid this is to:
a. Use a transparent standard as an agreed basis for the audit
b. Conduct the audit unannounced
c. Complete the audit as quickly as possible
d. Change the audit schedule
A — Use a transparent standard as an agreed basis for the audit
The two general classes of audit instruments are:
a. Current and historical
b. Conformance and non-conformance
c. Checklist and written
d. Scored and un-scored
D — Scored and un-scored
An auditor may encounter interviewees who resist providing the requested information. Should this be encountered, the auditor should:
a. Ask for the requested information again
b. Remain silent until the interviewee speaks
c. Stress confidentiality
d. Speak in a louder voice
C — Stress confidentiality
Auditor competence requires knowledge, skill, practical experience and suitable personal qualities. The skills of a good auditor have much in common with:
a. A certified professional accountant
b. An inspector
c. A policeman
d. An incident investigator
D — An incident investigator
An international standard that an organization can use to have its management system third-party registered for certification is:
a. ISO 14001
b. ISO 88001
c. ANSI Z16-2005
d. CSA-Q850
A — ISO 14001
An environmental audit is defined as:
a. A planned, documented, and independent assessment to determine if agreed upon criteria is being met
b. An inspection of hazardous waste facilities
c. An evaluation of inspections, observation and document review
d. The organization structure, commitment and documented methods used to plan and perform an audit
A — A planned, documented, and independent assessment to determine if agreed upon criteria is being met
The report usually contains the following components except for:
a. Executive summary and scoring summary
b. Methodology description
c. Element profiles – strengths and recommendations for improvement
d. Interview rough notes
D — Interview rough notes
Choosing a valid sample size for employee interviews is critical to a successful auditing process. Typically the number of employee interviews to be conducted for companies larger than 1000 employees is:
a. 6-8%
b. 10% or greater
c. 4-6%
d. 3.5%
C — 4-6%
The post-audit phase of any audit should include:
a. An opportunity for the management team of the audited company to comment and suggest changes to the audit report
b. A peer review for on-going auditor certification
c. A written report and presentation meeting
d. A review by a certifying agency
C — A written report and presentation meeting
The final written audit report should contain:
a. The auditor’s field notes
b. A scoring summary
c. A list of employee names who were interviewed
d. a, and b
D — a, and b
Random selection of those to be interviewed helps to ensure a good cross section of samples has been selected. A good strategy that can be used to select who is going to be interviewed is to:
a. Select every nth employee from a printed employee list depending on desired sample size
b. Select those to be interviewed alphabetically
c. Ask the supervisors who they would interview
d. Ask the union representatives who should be interviewed
A — Select every nth employee from a printed employee list depending on desired sample size
System Audits are often performed as a result of:
a. Ensure participation in industry or government accident prevention schemes to achieve financial benefits or to satisfy insurer carriers
b. Third party assessment of an organization’s operation following regulatory action or a court decision
c. Management wishing to ensure due diligence is carried out in managing HSE programs at the operational level
d. Government orders
A — Ensure participation in industry or government accident prevention schemes to achieve financial benefits or to satisfy insurer carriers
A gap is created when actual practices are different from those required in the ______ that sometimes leads to unsafe conditions and actions.
a. Operational records
b. Safe work procedures
c. Directive documents
d. Operational documents
C — Directive documents
Which sampling technique do auditors utilize when choosing people for interviewing purposes?
a. True randomization technique
b. Un-random technique
c. Random selection technique
d. Semi-randomized technique
d. Semi-randomized technique
Deming’s Continual Improvement PDCA cycle is the basis of all of the popular OHSE Audit instruments. PDCA means:
a. Plan, Decide, Communicate, Act
b. Plan, Do, Check, Act
c. Prepare, Document, Communicate, Act
d. Plan, Document, Check, Act
B — Plan, Do, Check, Act
The two inspection type activities used by the auditor to collect information and verify certain questions in the audit instrument are:
a. inspection tour and the familiarization tour
b. familiarization tour and observational tour
c. inspection tour and the close out tour
d. familiarization tour and close out meeting tour
B — familiarization tour and observational tour
Two general classes of audit instruments are used, they are:
a. Written and unwritten
b. Government and non-government approved
c. Scored and un-scored instruments
d. Compliance and ohs management
C — Scored and un-scored instruments
-
Applied Safety Fundamentals70
-
Risk Management31
-
Law and Ethics27
-
occupational Hygiene27
-
Auditing25
-
Fire prevention and protection12
-
Management systems8
-
health and wellness8
-
Ergonomics8
-
PART 2 Applied Safety Fundamentals70
-
Risk Management 230
-
Law and Ethics 226
-
Management System 28
-
Applied safety 370
-
Risk 330
-
Law 326
