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Examination Paper EnMS Specimen Paper for IRCA Energy Management Systems Auditor/Lead Auditor Training Courses (IRCA/5001)

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IRCA

Chartered Q\lality Institute

CONFIDENTIAL TO IRCA APPROVED TRAINING ORGANIZATIONS

Examination Paper EnMS Specimen Paper for IRCA Energy Management Systems Auditor/Lead Auditor Training Courses (IRCA/5001) Please write your name and the date in the space below.

I Name I

Date:

THESE SPACES ARE FOR OFFICIAL USE ONLY Section

Marker 1

Pass mark

Maximum

1

5

10

2

10

20

3

15

30

4

15

30

63

90

Total Name of Marker

Marker 2

'

Confirmed

Result

This examination is closed book. •

A copy of ISO 50001 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 students with special needs. Any such arrangement must be with the prior written agreement of the !RCA Approved Training Organization 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.

IRCA/146 EnMS 1/11/1, Aug. 2011, BV Issue date June 2012 IRCA examination paper EnMS Specimen Paper, amended for use on certified course A 17621 operated by Bureau Veritas Certification Page 1of19


Information for students 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. There is a maximum of 90 marks available; the pass mark is 70% (63 marks) and you must also 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 that are 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 50001 refer to the latest issue.

Examination technique Time management is very important in the examination. For guidance, the average time available is: a) b) c) d) e)

Reading the examination instructions - five minutes Section one - fifteen minutes Section two - twenty minutes Section three - forty minutes Section four - forty minutes

Total time available - two hours (120 minutes) Students should allow enough time to read each question properly, and make sure they understand what is being asked, before starting to write the answer. Where appropriate, the action verb that indicates the depth of answer required by the question - explain, list, describe - is printed in bold. Students should ensure they 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

define

provide a generally recognized or accepted definition

describe

depict in words

explain

give a clear account of

give

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

identify

select and name

list

provide a list without explanation (bullet point)

outline

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

state

a less demanding form of 'define' or where there is no generally recognized definition

IRCA/146 EnMS 1/11/1, Aug . 2011, BV Issue date June 2012 IRCA examination paper EnMS Specimen Paper, amended for use on certified course A 17621 operated by Bureau Veritas Certification Page 2 of 19

-Examination Paper EnMS Specimen Paper for IRCA Energy Management Systems Auditor/Lead Auditor Training Courses (IRCA/5001)

Section one - Five questions worth two marks each 1. Describe the difference between an action plan in an EnMS and a plan for corrective action. (2 marks) ~'\ H-1'1" E.- ~:T\ol\,f ~ -

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2. Outline two attributes that an energy policy brings to an EnMS. (2 marks)

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IRCA/ 146 EnMS 1/ 11/1, Aug. 2011, BV Issue date June 2012 IRCA examination paper EnMS Specimen Paper, amended for use on certified course A 17621 operated by Bureau Veritas Certification Page 3 of 19


4.

Explain the term 'energy tariff'.

(2 marks)

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5. Energy conversion is never 100% efficient. Place the following four appliances in the order of their maximum efficiency levels, beginning with the lowest: LED (light emitting diode) lamp, incandescent lightbulb, high-pressure sodium lamp and fluorescent lamp. (2 marks)

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Section two - Four questions worth five marks each 1. You are auditing an organization that has a ful ly electron ic system for managing its EnMS, in cluding the records produced. Describe what issues you would consider when assessing whether clause 4 .5.4.2 is being effectively managed. (5 marks) t\R.~

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You are the audit team leader conducting an EnMS Stage One certification audit on site by yourself in an organization. You are presented with the system documentation in an expensive-looking black leather laptop case endorsed w ith the compa ny's logo. During lunch, the EnMS manager indicates that the case is a gift for you to take away after the audit. Describe how you would respond to this situation. (5 marks)

IRCA/ 146 EnMS 1/ 11/1, Aug . 2011, BV Issue date June 2012 IRCA examination paper EnMS Specimen Paper, amended for use on certified course A 17621 operated by Bureau Veritas Certification Page 5 of 19

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a) Describe briefly why it is important that an auditor contacts the auditee before going on site to audit activities. (2 marks) \· To Ul\J.D~.fT~ 1tlc S\'fl!: ~'Ptt.11=-(C PP~

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b) List three topics you would want to discuss with the auditee before the visit and for each describe briefly the purpose of including each in your discussions. (3 marks)

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IRCA/146 EnMS 1/11/1, Aug. 2011, BV Issue date June 2012 IRCA examination paper EnMS Specimen Paper, amended for use on certified course A 17621 operated by Bureau Veritas Certification Page 6 of 19


4.

As the only team member, you and the audit team leader are conducting a two-day third-party EnMS audit of a waste recycling company . Towards the end of day one, the audit plan is seriously behind schedule and the audit team leader insists that the audit continues into the evening until the day one audit plan is complete. Describe what issues could arise from this situation. (5 marks)

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IRCA/ 146 EnMS 1/11/1, Aug . 2011, BV Issue date June 2012 !RCA examination paper EnMS Specimen Paper, amended for use on certified course A 17621 operated by Bureau Veritas Certification Page 7 of 19

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Section three - Three questions worth ten marks each

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1. You are to conduct an internal audit within an ISO 50001 EnMS that is focused on continual improvement of your organization's energy performance.

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a) Describe how you will approach this audit to determine conformance with the requirements of ISO 50001. Refer to the relevant clauses of ISO 50001 in your answer. (5 marks)

b) List five items of audit evidence that you will seek during your internal audit of continual improvement of energy performance and state, in each case, why they are important to your audit. (5 marks)


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Examination Paper En MS Specimen Paper for IRCA Energy Management Systems Auditor/Lead Auditor Training Courses (IRCA/5001)

2. You are a member of an audit team conducting a Stage Two EnMS certification audit of a large petrochemical plant. You r role is to determ ine conformance with the legal compliance requirements of ISO 50001. a) list eight sources of information that an organization could use to help to keep up to date with relevant energy legislation. ( 4 marks)

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b) List four documents that you wish to access as part of your audit, and state the relevant clause of ISO 50001. Do not repeat any answers from (a). (4 marks)

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c) During your audit, you note that electricity consumption has exceeded the maximum regulatory limits for several periods during the last six months. List four actions you would take. (2 marks)


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3. ISO 50001 is based on the plan-do-check-act cycle common to many management systems standards. a) In your own words, state what you understand by the PDCA cycle as applied to an EnMS. (4 marks)

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b) Identify six activities in an ISO 50001 EnMS that relate to one or more of the PDCA segments and state the relevant clause reference for each. (6 marks)

IRCA/146 EnMS 1/11/1, Aug. 2011, BV Issue date June 2012 IRCA examination paper EnMS Specimen Paper, amended for use on certified course A 17621 operated by Bureau Veritas Certification Page 11of19


Audit situation one: You are an external auditor waiting to meet the energy systems manager at the local manufacturing site of a multinational pharmaceutical company producing vitamin products. You notice that the prom inent energy po licy displayed in reception is not signed and is dated two years prior to the audit. The policy indicates that the company has a strong commitment to the use of renewable energy sources and to reducing its greenhouse gas emissions (GGE). On further reading, you note that the policy is written on the letterhead of the head office company, which is located in another country.

If you th ink there is sufficient evidence to report your findings as a nonconformance : •

Complete the nonconformance report below. IRCA EnMS AUDIT - NONCONFORMITY REPORT

ISO 50001: 2011 clause and requirement:

OR •

Complete your answer on the following page.

IRCA/ 146 EnMS 1/ 11/1, Aug. 2011, BV Issue date June 2012 IRCA examination paper EnMS Specimen Paper, amended for use on certified course A 17621 operated by Bureau Veritas Certification Page 13 of 19


Section four - Three questions worth ten marks each

Instructions to students: Questions in this section are designed to test your ability to analyse audit situations, evaluate audit evidence and apply knowledge of the audit criteria correctly. You are also required to demonstrate your ability to write a well constructed nonconformance statement. Three audit situations are described. For each, you are required to determine if there is sufficient evidence to report your findings as a nonconformance with the audit criteria, ISO 50001 (current issue). •

Where you determine there is sufficient evidence you should complete the nonconformance report. To gain full marks you must write a well constructed nonconformance statement that describes clearly the weakness or failure of the management system, the audit evidence and the requirement(s) of the standard.

OR

•

Give your reason(s) for thinking there is not yet sufficient evidence to report your findings as a nonconformance and describe the investigation you would follow to determine conformity or nonconformity. Give details of audit trails you would follow, state what audit evidence you would seek and for what purpose, quoting relevant ISO 50001 clause numbers. To gain full marks you must demonstrate understanding of the issue(s) in the audit situation and your ability to investigate and collect relevant audit evidence. Audit trails and audit evidence must relate clearly to the audit situation and be sufficiently comprehensive to enable conformity or nonconformity to be determined.



Audit situation one: •

Give your reason(s) for thinking there is not yet sufficient evidence to report your findings as a nonconformance and describe the investigation you would follow to determine conformity or nonconformity. Give details of audit trails you would follow, state what audit evidence you would seek and for what purpose, quoting relevant ISO 50001 clause numbers.

Audit investigation:

.A. .

THIS IS THE END OF AUDIT SITUATION ONE IRCA/146 EnMS 1/11/1, Aug. 2011, BV Issue date June 2012 IRCA examination paper EnMS Specimen Paper, amended for use on certified course A 17621 operated by Bureau Veritas Certification Page 14 of 19


Audit situation two: You are auditing a production company that, two months ago, won a large order requiring it to operate for twentyfour hours a day during the following eight days. Its usual operating hours are twelve hours in every twenty-four. The production manager shows you evidence that they asked the facilities manager to ensure that the equipment was powered on for the relevant period. You identify that the latest energy bill indicates an energy use greater than expected for the period of increased production. You investigate this further and identify that the equipment is still powered on for twenty-four hours a day. It has not yet been reset to the normal operating pattern after the period of increased production. If you think there is sufficient evidence to report your findings as a nonconformance: •

Complete the nonconformance report below. IRCA EnMS AUDIT - NONCONFORMITY REPORT

ISO 50001:2011 clause and requirement:

OR •

Complete your answer on the following page

IRCA/146 EnMS 1/11/1, Aug. 2011, BV Issue date June 2012 !RCA examination paper EnMS Specimen Paper, amended for use on certified course A 17621 operated by Bureau Veritas Certification Page 15 of 19


Audit situation two: •

Give your reason(s) for thinking there is not yet sufficient evidence to report your findings as a nonconformance and describe the investigation you would follow to determine conformity or nonconformity. Give details of audit trails you would follow, state what audit evidence you would seek and for what purpose, quoting relevant ISO 50001 clause numbers.




THIS IS THE END OF AUDIT SITUATION TWO

Audit situation three: A national utility, with half a million customers, has received a government grant to help it to communicate an energy conservation message to its client base. This project has been incorporated into its certified ISO 50001 EnMS as an objective set by top management. To take the project forward, it has appointed a training services company to deliver low cost energy efficiency awareness training courses across the country over a twelve-month period with a remit to concentrate on its biggest clients. You are conducting a third-party audit that is focusing on the procurement processes within the EnMS. You ask the purchasing manager what steps were taken when appointing the training company. She replies that they were recommended by one of their clients and provided very competitive prices so she gave them the contract. She is unaware of their energy policies, the content of their train ing or whether they are certified to ISO 50001. She believes that they are making good progress in delivering the training. If you think there is sufficient evidence to report your findings as a nonconformance: •

Complete the nonconformance report on the following page.



IRCA EnMS AUDIT - NONCONFORMITY REPORT

ISO 50001:2011 clause and requirement:

OR •

Complete your answer on the following page



Audit situation three: Give your reason(s) for thinking there is not yet sufficient evidence to report your findings as a nonconformance and describe the investigation you would follow to determine conformity or nonconformity. Give details of audit trails you would follow, state what audit evidence you would seek and for what purpose, quoting relevant ISO 50001 clause numbers.


THIS IS THE END OF AUDIT SITUATION THREE --THIS IS THE END OF THE EXAMINATION PAPER-IRCA/ 146 EnMS 1/ 11/1, Aug . 2011, BV Issue date June 2012 IRCA examination paper EnMS Specimen Paper, amended for use on certified course A 17621 operated by Bureau Veritas Certification Page 19 of 19

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