Integrated Management Systems Coordinator and Auditor Training

Assessment

Name: _________________________________ Date: ________________________

Part 1: Provide the correct answer:

1. What is IMS and how does it apply to you as an Internal Auditor? (3PTS)
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2. What is lifecycle thinking? (3PTS)
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3. What is the focus of QMS? Please compare the differences with EMS. (7PTS)
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4. What is the difference between Major and Minor non-conformity? (4PTS)
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5. What is the purpose of the aspect and impacts register? (3PTS)
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 Integrated Management Systems Coordinator and Auditor Training
Assessment

Part 2: Read the cases carefully and provide the following:

A. Write the audit finding following O.L.F (Objective evidence, Location, Find the problem) (2PTS)
B. What was the ISO standard applicable (14001/9001) and the premise/clause it affects? (2PTS)
C. State why it is a Major NC, Minor NC or observation. (1PT)

Case #1:

John (auditor) interviewed a tenured specialist of the purchasing department and found out that
company ABC has no documented procedure for records control. It is also evident that the records
procedure is not included in the company’s master list of approved procedures. However, the company,
as their traditional practice, ensures that all their records are identifiable and that they store these
records in a common archive folder.

A. ___________________________________________________________________________________
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B. ___________________________________________________________________________________
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C. ___________________________________________________________________________________

Case #2:

Alice and Stella are associates of CSR department in company XYZ for 8 months now. Their role is to
handle complaints and disputes of all the company products. Upon checking on their records as well as
with Human Resources, there are no available trainings records for Alice and Stella since their hiring
date.

Note: Only the 2 mentioned staffs have no training records out of the 20 associates of the CSR
department.

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B. ___________________________________________________________________________________
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C. ___________________________________________________________________________________

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 Integrated Management Systems Coordinator and Auditor Training
Assessment

Case #3:

Christine (auditor) was assigned to audit the top management of company DEF. During the interview, the
CEO mentioned that they do not have exact targets or measurements of their environmental
performance. He said that, what’s important is that the community around them are happy and content.
Christine didn’t find any evidence of EPI targets or reports in all the records of company however, it is
noted that there were no records of complaints for the last 2 years.

A. ___________________________________________________________________________________
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B. ___________________________________________________________________________________
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C. ___________________________________________________________________________________

Case #4:

The Admin department of Company QRS has 5 systems/processes but Paola (auditor) found out that 2 of
their procedures are obsolete. Some actual activities are not documented in the current procedures. Pao
asked Mr. Sales, the Admin manager, and he said that the 2 processes/systems were already revised.

Notes:
 Procedure A and B (ADM-PR-01 and ADM-PR-02) were revised and implemented as of May 30,
2018. The revisions to these procedures were recorded in the MOM dated May 29, 2018. These
were communicated to all 50 employees, however, the revisions to the procedures were not
properly documented as of audit date. Also, the said procedures were not digitally signed by the
HOD.
 According to the Document Control Procedure of the company (QLT-PR-05) all process
documents shall be digitally sign as evidence of approval or re-approval.
 Procedure C, D and E were all approved and updated.

A. ___________________________________________________________________________________
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B. ___________________________________________________________________________________
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C. ___________________________________________________________________________________

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 Integrated Management Systems Coordinator and Auditor Training
Assessment

Case #5:

Company ABC was not able to comply with the country legal law #XXX in providing their environmental
reports to the DENR for the following occurrences:

a. Environmental inspection no. 37 (24 July 2013)

b. City governance inspection no. 44 (12 January 2018)

Next inspection will be on 15 June 2018. Current frequency of inspection should be twice a year as
documented and required by legal law #XXX.

A. ___________________________________________________________________________________
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B. ___________________________________________________________________________________
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C. ___________________________________________________________________________________

Case #6:

Out of 50 employees of company ABC, one employee did not know that there is a quality policy.

Notes:
 Auditee name: Fiona Santos, a payroll associate of department B.
 According to the MOM, the management communicated the quality policy to all 50 employees
dated May 30, 2016. Fiona Santos attended this meeting.

A. ___________________________________________________________________________________
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B. ___________________________________________________________________________________
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C. ___________________________________________________________________________________

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