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CONFIDENTIAL
APPROVED TRAINING 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.
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
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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
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. 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 depict in words
explain give a clear account of
outline give the most important features of (less depth than explain or
describe)
briefly using few words or without giving a lot of details,
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
ASCIC.
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list
identify
define
state
prepare
support
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provide without explanation (used normally with the instruction
to ‘give an example (or examples) of ....")
provide a list without explanation (bullet points)
select and name
provide a generally recognised or accepted definition
a less demanding form of ‘define’ or where there is no
generally recognised definition
make (something) ready for use or consideration
strengthen, substantiate, back up, give weight to
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
ASCIC.
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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
organization and its context.
(2 marks)
4.4 Environmental management system
The organization shall consider the knowledge gained in 4.1 and 4.2 when es-
tablishing and maintaining the environmental management system
6.1 Actions to address risks and opportunities _
When planning for the environmental management system, the organization
shall consider:
a) the issues referred to in 4.1;
1.2 List two factors to be considered in determining the extent of documented
information to be included within an 15014001 environmental management.
(2 marks)
the size of organization and its type of activities, processes, products and ser-
vices;
— the need to demonstrate fulfilment of its compliance obligations;
— the complexity of processes and their interactions;
— the competence of persons doing work under the organization's control.
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
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1.3 Using the matrix below to record your answers, place a tick (7) in the correct
empty box for each of the features in the left-hand column to select whether it
is an Activity, Environmental Aspect or an Environmental Impact.
(2 marks)
Feature
Environmental
Activity Aspect
Environmental
Impact
A vehicle washing facility using
jet washers, detergents and a
mains water supply.
yes
Low water levels in reservoirs
resulting in a hosepipe ban.
yes
Abstracting water from an
underground source for use in
a manufacturing process.
yes
Leakage of ozone depleting
gases from air conditioning
units.
yes
1.4 Explain in your own words what is meant in the context of ISO 14001 by the
term “interested party”.
— Responsibility — investors, etc.
Influence ~ pressure groups, etc.
~ Proximity — neighbours, etc.
Dependency - employees, ete.
— Representation — trade unions, ete.
Authority — regulators, etc.
(2 marks)
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List two topics that you would focus on when evaluating “internal audit” during
an ISO 14001 certification audit.
(2 marks)
1. internal audit programme(s), including the frequency, methods, responsibili-
ties, planning requirements and reporting of its internal audits. -conduct inter-
nal audits at planned intervals
2.The organization shall retain documented information as evidence of the im-
plementation of the audit programme and the audit results.
Qt and
ASCIC.
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Section two - four questions worth five marks each - maximum 20 marks
24
At the opening meeting of an ISO 14001 stage 2 certification audit 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 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.
(5 marks)
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
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CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
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During an ISO 14001 certification audit you signal your 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 you would respond to this situation.
(5 marks)
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
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2.3 Briefly describe the actions an audit team leader should carry out during
each of the four main phases of an ISO 14001 certification audit.
(S marks)
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
ASCIC.
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2.4 Identify five different methods that could be used to collect objective
evidence during an EMS audit. For each method give an example relevant to
ISO 14001 as to how it could be used.
(5 marks)
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
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Section three - three questions worth ten marks each - maximum 30 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 was agreed at your stage 1 visit, the Chief
Executive interrupts you stating that a factory on an adjacent site has 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 you would agree to this request or not and expl
the reason for your decision.
(2 marks)
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
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AND
b) Outline four issues that you would need to consider in responding to the
request to extend the audit scope.
(8 marks)
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
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As part of an on-site EMS audit to ISO 14001 at one of your 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 from ISO 14001.
Outline in a checklist how you will perform this part of the audit by
developing 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 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)
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
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3.3. You are conducting an ISO 14001 certification audit of a company
manufacturing 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 they are relevant to the input stage.
(2 marks)
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
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b) List four factors that you would expect to be considered in determining
the significance of these aspects (considering a Life-Cycle Perspective)
and briefly explain how each factor can influence the decision on
significance of aspects.
(4 marks)
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c) Describe how the use of a systematic approach based on process inputs,
outputs, controls and resources by the auditee could influence your
planning of stage 2 of the audit as audit team leader.
(4 marks)
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
ASCIC.
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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 identifying the scenario as a nonconformity (2 marks)
* For a clear description of the nonconformity (3 marks)
+ For correctly quoting relevant evidence (3 marks)
* For correctly identifying the relevant ISO 14001 requirement (1 mark)
* Overall clarity of the nonconformity report (1 mark)
Note: if you raise a nonconformity report when there is no nonconformity,
0 (zero) marks will be awarded.
OR
+ Complete the audit investigation template, clearly stating:
* 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 is evidence that a nonconformity exists, a maximum of 7 marks may be
awarded as follows:
* Providing a valid reason why there Is insufficient evidence for a nonconformity
(2 marks)
* Providing relevant audit trails as above.
(5 marks)
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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
* Complete the audit investigation template.
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
ASCIC.
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EMS AUDIT - NONCONFORMITY REPORT 1
For correctly identifying the scenario as a nonconformity (2 marks)
Description of the nonconformity (Max 3 marks):
Relevant evidence (Max 3 Marks):
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ISO 14001:2015 clause and requirement:
Note: 1 mark for clause and requirement plus 1 mark for clarity of answer
OR
Complete your answer on the following page.
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
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EMS AUDIT - AUDIT INVESTIGATION 1
Reason why there is not yet sufficient evidence for reporting nonconformity
(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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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 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.
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
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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):
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
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ISO 14001:2015 clause and requirement:
Note: 1 mark for clause and requirement plus 1 mark for clarity of answer
OR
Complete your answer on the following page.
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
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EMS AUDIT - AUDIT INVESTIGATION 2
Reason why there is not yet sufficient evidence for reporting nonconformity
(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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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.
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
ASCIC.
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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):
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ASCIC.
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ISO 14001:2015 clause and requirement:
Note: 1 mark for clause and requirement plus 1 mark for clarity of answer
OR
Complete your answer on the following page.
CQL and IRCA EMS Specimen exam paper, September 2018, Amended for use on certified course 1833 operated by
ASCIC.
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EMS AUDIT - AUDIT INVESTIGATION 3
Reason why there is not yet sufficient evidence for reporting nonconformity
(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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THIS IS THE END OF THE EXAMINATION PAPER
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