EMS Specimen Exam Paper - 092018

 

 

CONFIDENTIAL APPROVED TRAINING PARTNERS  PARTNERS 

CQI and IRCA Specimen Examination Paper for Environment Management Systems Auditor Training Courses (PR315 & PR338 ISO 14001:2015) Please write your name and the date in the space below.

Name: Date: THESE SPACES ARE FOR OFFICIAL USE ONLY Section

Marker 1

Marker 2

Pass mark

Maximum

1

5

10

2

10

20

3

15

30

4

15

30

Total

63

90

Name of Marker

Confirmed

Result

This examination is closed book. •

  A clean copy of ISO 14001 and a bilingual dictionary are the only items permitted for reference.

  Electronic devices, including laptops and mobile phones, are not permitted into the examination room. Exceptions may be granted to delegates with special needs. Any such arrangement must be with the prior written agreement of the Approved Training Partner and shall include a record of appropriate precautions that will be taken to ensure the fairness and security of the examination process and examination questions.

•

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650  Page 1 of 33

 

 

Information for delegates The examination paper is in four sections. Attempt all sections and all questions. The time allowed is two hours. There is no additional time allowed for reading the examination paper. 90 marks are available. To pass you must achieve at least 63 marks (70%), and you must achieve at least 50% in each of the four sections. The maximum marks for each question, or part of a question, are shown in brackets. Your answers must be written on the sheets supplied. Please avoid writing in the margins; these are for the markers. Write on the reverse side of a page if necessary. Additional loose sheets will not be accepted. All references to ISO 14001 refer to the latest issue. Examination technique Time management is very important in the examination. For guidance, the average time available is: a)  Reading the examination instructions – five minutes m inutes b)  Section one – fifteen minutes c)  Section two – twenty minutes d)  Section three – forty minutes e)  Section four – forty minutes Total time available – two hours (120 minutes) Allow enough time to read each question properly. Make sure you understand what is being asked for before starting to write your answer. Where appropriate, the action verb that indicates the depth of answer required by the question – explain, list, describe – is printed in bold bold.. You should ensure you understand the meaning of these terms (see below). Full marks will not be awarded for a list if an explanation is required. Conversely, it is a waste of time to provide a detailed explanation if the question asks for a list. Action verb

Meaning

describe   describe

depict in words

explain   explain

give a clear account of

outline   outline

give the most important features of (less depth than explain or

briefly   briefly

describe) using few words or without giving a lot of details  details 

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give give  

provide without explanation (used normally with the instruction to ‘give an example (or examples) of ....’)

list   list

provide a list without explanation (bullet points)

identify   identify

select and name

define   define

provide a generally recognised or accepted definition

state   state prepare

a less demanding form of ‘define’ or where there is no generally recognised definition make (something) ready for use or consideration

support

strengthen, substantiate, substantiate, back up, give weight to  to  

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Section one – Five questions worth two marks each – maximum 10 marks 1.1 

Identify   two ISO 14001 clauses that relate to 4.1 -  Understanding the Identify  organization and its context . (2 marks)

1.2 

List two factors to be considered in determining the extent of documented information to be included within an ISO14001 environmental management. management. (2 marks)

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1.3

Using the matrix below to record your answers, place a tick (  ) in the correct empty box for each of the features in the left-hand column to select whether it is an Activity, Act ivity, Environmental Environmental Aspect or an Environmental Impact. (2 marks)

Feature

Activity

Environmental Environmental Aspect

Impact

A vehicle washing facility using jet washers, detergents and a mains water supply. Low water levels in reservoirs resulting in a hosepipe ban. Abstracting water from an underground undergroun d source for use in a manufacturing process. Leakage of ozone depleting gases from air conditioning units. 1.4

Explain in your own words what is meant in the context of ISO 14001 by the term “interested party”. (2 marks)

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1.5

List two topics that you would focus on when evaluating “internal audit” during List two an ISO 14001 certification audit. (2 marks)

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Section two – four questions worth five marks each – maximum 20 marks 2.1

At the opening meeting of of an ISO 14001 14001 stage stage 2 certification audit the the Environmental Manager tells you that the Environmental Regulator has recently been on site due to an incident involving contamination of a local river. Whilst the organisation was found not to be the source of the contamination, the regulator did report a general lack of knowledge about key environmental regulations and a failure to evaluate fulfilment of its i ts compliance obligations. As a result, a high priority programme of corrective action was put in place to address the Regulator’s concerns. The Environmental Manager requests that ISO 14001 clauses 6.1.3, 6.1.4, and 9.1.2 are deleted from the audit plan, as he claims activities relating to these clauses have been subject to so much scrutiny that there is no value in auditing them. Outline  five issues you would include in your response to this request. Outline (5 marks)

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2.2

During an ISO 14001 14001 certification certification audit you you signal signal your your intent intent to perform a desktop review of the organisation’s management arrangements for addressing ISO 14001. The Chief Executive hands over a laptop in a leather case designed to function as a “mobile office” which contains all the system documentation including copies of all relevant licenses, permits and authorisation as well as an embedded short video presentation about the organisation, its history, markets and products. During your review of the documented arrangements the General Manager drops into the office allocated to you to advise you in confidence that the  “mobile office” is a personal gift from the Chief Executive as a token of the excellent work you will do in approving their system and that it is yours to keep. Describe how Describe  how you would respond to this situation. (5 marks)

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650 

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2.3

Briefly describe  describe the actions an audit team leader should carry out during each of the four main phases of an ISO 14001 certification audit. (5 marks)

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650 

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2.4

Identify  five different methods that could be used to collect objective Identify  evidence during an EMS audit. For each method give an example example  relevant to ISO 14001 as to how it could be used. (5 marks)

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650 

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Section three – three questions worth ten marks each – maximum 30 marks  marks  3.1

You are chairing the opening meeting of a stage 2 ISO 14001 certification audit at an organisation that assembles and tests electro-mechanical products for the automotive industry.

As you confirm the scope, which that was agreed at on your 1 visit, Executive interrupts you stating a factory anstage adjacent sitethe hasChief just been acquired, and since they share the same drainage system he wants their activity included in the scope of the certification. The acquired plant mixes a variety of chemical raw materials to produce products for the after-market such as solvent cleaners. a)  Describe whether Describe whether you would agree to this request or not and explain the explain  the reason for your decision. (2 marks)

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AND b) Outline Outline four  four issues that you would need to consider in responding to the request to extend the audit scope. (8 marks)

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3.2

As part part of an on-site on-site EMS audit to ISO 14001 at one of of your your organisation’s organisation’s key suppliers you have been assigned by the audit team leader to verify that the continual improvement of the EMS as required by clause 10.3 is effectively deployed. Your objective is to seek evidence of a planned and systematic approach to improvement throughout the organisation, taking into account applicable requirements requirement s from ISO 14001. Outline in a checklist how you will perform this part of the audit by developing Outline  a series of ten audit checkpoints that you could use to guide you through the audit in a structured and systematic way. For each audit checkpoint, outline outline   the objective evidence you would want to gather. To gain full marks you must demonstrate you understand and can reference the applicable requirements of ISO 14001. (10 marks)

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650 

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3.3

You are conducting an ISO 14001 certification audit of of a company company manufacturing manufacturin g kitchen cabinets. You note that the auditee has used a systematic approach based on process inputs, outputs, controls and resources throughout their EMS. a)  List two environmental aspects that they might have identified at the input stage of the process approach for their production processes. Outline how Outline  how they are relevant to the input stage. (2 marks)

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List  four factors that you would expect to be considered in determining the b)  List significance of these aspects (considering a Life-Cycle Perspective) and briefly explain  explain how each factor can influence the decision on significance of aspects. (4 marks)

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650 

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Describe how the use of a systematic approach based on process inputs, c)  Describe how outputs, controls and resources by the auditee could influence your planning of stage 2 of the audit as audit team leader. (4 marks)

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650 

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Section four – three questions worth 10 marks each – maximum 30 marks Questions in this section are designed to test the delegate’s ability to analyse audit situations, evaluate audit evidence and apply knowledge of the audit criteria correctly. Delegates are required to either:

  Complete the nonconformity report template.

•

Marking scheme for a nonconformity:

  For correctly identifyin identifying g the scenario as a nonconfor nonconformity mity

(2 marks)

  For a clear description of the nonconfor nonconformity mity

(3 marks)

  For correctly quoting relevant evidence

(3 marks)

•

•

•

  For correctly identifyin identifying g the relevant ISO 14001 requirem requirement ent

(1 mark)

  Overall clarit clarity y of the nonconformity report

(1 mark)

•

•

Note: if Note:  if you raise a nonconformity report when there is no nonconformity, 0 (zero) marks will be awarded. OR investigation n template, clearly stating: stating:     Complete the audit investigatio

•

  Your reason(s) for thinking there is not yet sufficient evidence to report their findings as a nonconformity (2 marks)

•

  How you would investigate to determine conformity or nonconformity, including audit trails they would follow and specific examples of audit evidence they would seek and for what purpose. (8 marks)

•

Note: If you complete the audit investigation template for a situation where there Note: If is evidence that a noncon nonconformity formity exists, a maximum of 7 marks may be awarded as follows:

  Providing a valid reason why there is insufficient evidence for a nonconfor nonconformity mity

•

(2 marks)

  Providing relevant audit trails as above.

•

(5 marks)

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650 

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4.1 Audit situation one: A company takes in used paper and, by a series of chemical processes, breaks this input material down into its original wood pulp fibres before recycling it into large reels of newsprint. The production process uses a large volume of water extracted from a local river. This water becomes heavily contaminated by the process and needs to be treated before being discharged back into the river. This is licensed by the local Regulatory Authority and one of the controlled features within the permit issued is a limit on the amount of suspended solids that is contained in the discharged water. The Regulatory Authority takes a sample every six months for analysis by an accredited test laboratory and so far the results have always been within the permitted limit although close to the maximum value. The license conditions require the company to monitor the parameters every week and issue an “annual statement of compliance” to the Regulatory Authority. An auditor is reviewing this process and notes that in the previous three-month period the limit was exceeded by between 35% and 55% on four consecutive weeks before returning to the range of values normally seen at the weekly sampling. The Plant Manager informed the auditor that the situation was caused by a failure in the filtration process but the plant could not be shut down to repair the fault because it was a high demand period when an urgent export order needed to be completed. Later the auditor read a note which was recorded in the management review meeting minutes held two weeks earlier that the company remained in legal compliance during the previous year and a statement to this effect had been issued to the Regulatory Authority. If you think there is sufficient evidence to report your findings as a nonconformity:

  Complete the nonconformity report on the following page.

•

Or •

template.    Complete the audit investigation template. 

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650 

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EMS AUDIT - NONCONFORMI NONCONFORMITY TY REPORT 1 For correctly identifying the scenario as a nonconformity (2 marks) Description of the nonconformity (Max 3 marks):

Relevant evidence (Max 3 Marks):

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650 

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ISO 14001:2015 clause and requirement:

Note: 1 mark for clause and requirem requirement ent plus 1 mark for clarity of answer OR Complete your answer on the following page.

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1   EMS AUDIT - AUDIT INVESTIGATION 1 Reason why there is not yet sufficient evidence for reporting nonconformity (Max 2 marks):

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

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4.2 Audit situation two: An EMS auditor is reviewing the arrangements of an international distributer of electronic products for establishing the regulatory requirements relevant to the organisation and for keeping this up to date. The Head of Security explains that as she is not an environmental expert she has a contract with an external consultant who notifies her by email when any new legislation or regulation is published. There is a dedicated file on the server and it can be seen that developments in key pieces of environmental legislation have indeed been issued promptly over the previous three years covering the topics expected. The individual notes from the consultant state the title, date and unique reference for the regulation/legislation concerned along with a summary of what each contains. The Head of Security adds each new item to a rolling two column list entitled “Environmental “Environmental Legislation” which is issue controlled. The auditor asks the Head of Security how on-going compliance is monitored. She replies that the consultant visits the organisation once per year and checks that the list entitled “Environmental Legislation” does in fact include all the items he has notified to them over the previous year and signs a hard copy of the register after the last entry. On this basis the Head of Security prepares a signed statement for inclusion in the minutes of the annual management review to state, “Following periodic review, the organisation remains in compliance with all relevant environmental legislation”.

If you think there is sufficient evidence to report your findings as a nonconformity:

  Complete the nonconformity report on the following page.

•

Or •

  Complete the audit investigation template.  template. 

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650 

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2   EMS AUDIT - NONCONFORMITY REPORT 2 For correctly identifying the scenario as a nonconformity (2 marks) Description of the nonconformity (Max 3 marks):

Relevant evidence (Max 3 Marks):

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650 

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ISO 14001:2015 clause and requirement:

Note: 1 mark for clause and requirem requirement ent plus 1 mark for clarity of answer OR Complete your answer on the following page.

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650 

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2   EMS AUDIT - AUDIT INVESTIGATION 2 Reason why there is not yet sufficient evidence for reporting nonconformity (Max 2 marks):

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

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650 

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4.3 Audit situation three: You are auditing the waste management activity at an organisation in the pharmaceutical industry who manufactures a range of prescription medicines in pill form. Outside of the building you notice just one large waste skip (container). On examining the contents, you see a mixture of items including cardboard packaging, plastic bottles, waste paper, empty tin cans and food waste. The skip is covered as required by local regulations that prohibit liquids from going to landfill. The environmental manager tells you that the only other waste stream is within the plant and involves recycling of scrap pills and ingredients, none of which is wasted.

If you think there is sufficient evidence to report your findings as a nonconformity:

  Complete the nonconformity report on the following page.

•

Or •

  Complete the audit investigation template.  template. 

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650 

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3   EMS AUDIT - NONCONFORMITY REPORT 3 For correctly identifying the scenario as a nonconformity (2 marks) Description of the nonconformity (Max 3 marks):

Relevant evidence (Max 3 Marks):

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650 

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ISO 14001:2015 clause and requirement:

Note: 1 mark for clause and requirem requirement ent plus 1 mark for clarity of answer OR Complete your answer on the following page.  page.  

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3   EMS AUDIT - AUDIT INVESTIGATION 3 Reason why there is not yet sufficient evidence for reporting nonconformity (Max 2 marks):

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

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THIS IS THE END OF THE EXAMINATION PAPER

CQI and IRCA EMS Specimen exam paper, September 2018. Amended for use on certified course 2198 operated by  ATP 6027650