1.1 The difference between objectivity and impartiality in this context.

(2 marks)

Objectivity: Objectivity is sticking to the facts, being guided by the evidence and considering an
event will be closer to the truth the more supporting evidence it has. This is important when
gathering evidences during the audit.

Impartiality: impartiality is not taking sides, giving up making value judgments and treat as
equivalent different versions of an event, believing the truth is in the middle.

Traits of an auditor

2.3 A positive auditor professional behavior is to be diplomatic.

a) State the meaning of ‘diplomatic’ and give an example to demonstrate how an auditor could
be diplomatic. (3 marks)

 Diplomatic is when we convey the message that we’d like to communicate with the
client in a respectful way, that would be understood by the client. For example when
the auditee is disagreeing with the auditor that a particular evidence (or lack of) should
be considered as a NC – a diplomatic auditor with cordially disagreed with the auditee
and read the relevant clause in a way that is perceived as friendly, respectful and
professional.      

1.2 b) Describe briefly the effect that not being diplomatic could have on an
audit. (2 marks)

 Severe the relationship with the client by arguing

 If one the other hand the auditor is agreeable, to avoid being assertive, the downside
could be that we do not achieve the intended outcome of the audit which to ensure that
the company is complying to the requirements set by the standard

1.2. C) Explain the likely consequences of undiplomatic behavior by an

auditor.

The likely consequences of undiplomatic behavior by an auditor:

 According to Auditing Guidelines Standards (AGS), auditors should exhibit professional

behavior such as diplomatic behavior, else undesirable consequences leading to failure
of audit process and entire Audit system may result as the audit may not be able to deal
with the people (auditee) in a tactful way, to evaluate a situation/condition or act
before speaking about it taking the best course of action.
 Diplomacy involves evaluation of a situation before acting which can be different but
one can remain poised by being tactful, diffusing difficult situations and building
relationship with others, else as a consequence they may see you as a fault finder,
 indiscrete, injudicious, imprudent, tactless and unwise and this will not let the facts
dictate the outcomes

1.3Give four examples of evidence which demonstrates that an

organization is managing its OH&S legal responsibilities in
conformance with ISO 45001.

 Ans:

 The followings the examples of evidence to demonstrate that an

organization is Managing its OH&S legal responsibilities in conformance
with iso45001
 1)    Document such as scope of management system or SMS has been
identified established approved and implemented in the organization.
 2)    Policy has been established implemented and being maintained by the
top management showing organizations leadership and commitment
towards OH&S of workers.
 3)    OH&S Objectives goals and plans for achieving them has been
established and cascaded to one and all in the lower hierarchy of the
organization.
 4)    OH&S process for addressing risk and opportunities as per clause 6.1.1
and methodology and criteria for assessment of OH&S risks (as per
iso45001 Clause 6.1. 2.2) has been established by the organizations
Ans 2
 Organization shouldhave identified legal laws applicable on
them in documented information.
 2. Organization should also identify that how these legal laws or
requirements are applicable on them.

 3. Legal requirements must be present in minutes of management review

meeting and issues related to it must be discussed and addressed for
 continual improvement.
 4. Organization must take into account all legal requirements applicable
on them while developing or managing OHS management system.

Two ways in which an auditor can verify that agreed corrective actions have
been effectively implemented.

After noting a corrective action as documented information an auditor can:

  Check whether changes are made to the management systems and talk with the people
involved to ensure that they know/implement the change
 Update risks and opportunities during planning, and ensure that the right actions are taken
and implemented to mitigate risks and seize opportunities for effective risk based
management as per ISO 9001:2015
 Go on site, to confirm that the changes has been implemented

1. Whether the closed down action is part of continual process, so that the
recurrence is not manifested during next audit(both internal/external)
2. Whether the training provided as part of preventive action is effective, by
auditing the personnel who underwent training as part of the action.
3. In the case of process parameters, whether the action taken is reflected in the
final outcome/subsequent product as defect free.
4. The actions taken are discussed in the management review meeting so that the
effectiveness is ensured by the top management due to their active participation
in the action plan.
5. Documents providing details of the action taken with concerned personnel at
stages which are earlier part of non conformance report.

What are the differences between Audit Plan and Programme

Basis for
Audit Plan Audit Programme
Comparison
Audit plan refers to the strategies or Audit programme is the list of steps, that
Meaning guidelines which are followed by the are to be followed by audit staff to obtain
auditor for conducting audit. sufficient audit evidence.
Series of examination and verification
What is it? Basic principle of audit.
steps.
Step First Second