Examination Paper QMS EMS

Integrated Management System

(ISO 9001: 2008, ISO 14001: 2004)

Internal Auditor Training Program

Time Allocated: 90 Minutes

Delegate Name

Course Date
Venue

For Office Use

Section No.

1
2
3
Total

Marks allotted

Minimum
Pass

15
25
10
50

Marks
Obtained

6
10
4
35

Name :Evaluator 1

Name :Evaluator 2
Remarks (Pass/Fail)

QMSEMS IA

Rev.1 (01/08/2012)

Page 1 of 9

INSTRUCTIONS TO DELEGATES
This examination paper is in three sections. All questions are to be attempted. The time allowed is 90
minutes. There is no additional time allowance for reading the questions. There is a maximum of 50
marks available. The minimum passing marks is 35.
Your answers must be on the sheets supplied. Additional sheets will not be accepted.
ISO 14001 & ISO 9001 always refers to ISO 14001:2004 Environment Management Systems
Specification with Guidance for Use & ISO 9001 :2008 Quality Management Systems-Requirements.
The word clause always refers to a paragraph, section or requirement of ISO 14001 or ISO 9001 that
is identified by a number, such as 4.2 or 4.5.1.
Access to ISO 14001:2004 & ISO 9001 standard copy, delegate notes and other notes taken during the
training is allowed. Access to any to other reference material is not permitted.
Section 1 is worth 15 points
Question 1 comprises questions which require you to place a circle around the letter (a, b, c, d or e) to
indicate which you judge to be the correct answer
Question 2 comprises questions which require you to mention True or False against each statement.
Question 3 comprises questions to indicate the relevant clause from ISO 14001 & ISO 9001
Section 2 is worth 25 points
Comprises of questions that require a brief written answer in the space provided.
Section 3 is worth 10 points
Comprises a situation for which analysis and writing a non-conformity may be required required.

QMSEMS IA

Rev.1 (01/08/2012)

Page 2 of 9

Section 1
1. Circle round the correct option

5 marks

1.1 QMS & EMS audits may be used to:

a) Assist selection and evaluation of suppliers
b) Evaluate whether the organization has fulfilled interested party requirements.
c) Identify the opportunities for environmental performance improvement.
d) All of the above
e) None of the above.
1.2 Management review of the QMS EMS should include
a) A salary review of the EMS Management Representative.
b) The adequacy, effectiveness and conformance of the system.
c) Verification of all employees dismissed for poor system performance.
d) All of the above.
e) None of the above.
1.3 Which of the following standards sets out the guidelines for auditing quality &
environmental management system
a) ISO 17021
b) ISO 14011
c) ISO 19011
d) ISO 18011
e) None of the above
1.4 Action taken to eliminate the cause of potential non conformity or other undesirable
situation is called as
a) Corrective action
b) Management Review
c) Mitigation
d) All of the above
e) None of the above.
1.5 Records, statements of facts or other information relevant to audit criteria and
which are verifiable is a definition of
a) Objective evidence
b) Audit evidence
c) Audit finding
d) Audit conclusion
e) None of the above

QMSEMS IA

Rev.1 (01/08/2012)

Page 3 of 9

2. Given below are 5 statements. You are required to state whether the statements
are TRUE Or FALSE in a space provided.
S. No.

Question / Statement

T/F

Setting up of measurable environmental /quality objectives is a job of the

top management

The organization shall demonstrate the continual improvement

Management review must address possible need for change to

Environmental,/Quality policy .

Organizations must communicate relevant procedures and requirements to

suppliers, including contractors.

Internal audits have to be conducted in all areas with equal importance.

3. Mention the Clause no. against each statement.

A) The organization shall establish, implement and maintain a procedure for periodically
evaluating compliance with applicable legal requirements.
ISO 14001:2004 CLAUSE NO.______________
B) The organization shall establish, implement and maintain procedures to review and update
as necessary and re-approve documents.
ISO 14001:2004 CLAUSE NO.______________
C) Actions taken shall be appropriate to the magnitude of the problems and the environmental
impacts encountered.
ISO 14001:2004 CLAUSE NO.______________
D) The organization must plan & develop the processes needed for the product

realization. This planning must be consistent with the requirements of the

other processes of QMS.
ISO 9001:2008 CLAUSE NO.______________

E) The organization must ensure that purchased product conforms to their own specified
requirements.
ISO 9001:2008 CLAUSE NO.______________

QMSEMS IA

Rev.1 (01/08/2012)

Page 4 of 9

Section 2

25 marks

Attempt all of the following questions. Where appropriate, identify the relevant requirements of
ISO 14001:2004 & ISO 9001:2008 . Each question is worth 5 marks.
1. Name the 5 Indian environment, legislation that will be applicable to any chemical industry
that deals in hazardous chemical.
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________

2 Describe the audit evidence that could be found during an audit to demonstrate the
effectiveness of clause 4.4.6 of ISO 14001:2004 & 7.5-of ISO 9001:2008 .
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________

QMSEMS IA

Rev.1 (01/08/2012)

Page 5 of 9

3. You are planning for internal audit of a Hotel. Identify 5 environment aspects and
impacts of its activities, products and services that may be required to be verified by
the auditor.
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
4. Name the mandatory documented procedures required for QMS implementation

and mention the relevant clause of the standard in each case.

___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________

QMSEMS IA

Rev.1 (01/08/2012)

Page 6 of 9

5. Mention each 5 questions that you would ask to the Head of the Production process
during an internal audit of QMS & EMS ? Mention the relevant clause no. against each
question.
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
Check: Have you mentioned the clause nos?

QMSEMS IA

Rev.1 (01/08/2012)

Page 7 of 9

Section 3

10 Marks

Incident that occurs during an internal audit of XYZ Ltd is described. It contains situation for which a
nonconformity report may be required. Examine the incident carefully then take the following actions:
a) If you think that there is sufficient objective evidence of nonconformity then you state the
nonconformity.
b) If you do not think that there is sufficient objective evidence of nonconformity then you should
state your reasons in the space below the report. You should also mention 5 audit trails that you
want to investigate further.

NOTE: Delegate shall fill up either part a or part b. Zero marks will be given for filling both
sections.

INCIDENT:
During third internal audit cycle, in the Management Representative department the auditor
observed that all 7 previous NCRs raised during the second internal audit cycle are not formally
closed out.
On enquiring with the MR, he responds that individual departments implemented corrective
action and results are usually discussed in Management Review Meeting. No other action is
usually required.

QMSEMS IA

Rev.1 (01/08/2012)

Page 8 of 9

NONCONFORMITY REPORT
EHS Audit Cycle .
Area under review:

Incident Number .............

*Standard: ISO 14001/ OHSAS 18001
Clause Number :

*Category: Major /Minor

Nonconformity:

*Select as appropriate

Auditor:

b) ____________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
Note: Marks will be zero if you attempt to answer both ( a ) and (b)

QMSEMS IA

Rev.1 (01/08/2012)

Page 9 of 9