CQI and IRCA Examination Paper 1 for Environment Management Systems Auditor Training Courses (PR315 & PR338 ISO 14001:2015)
This examination is closed book.
- A clean copy of ISO 14001 and a bilingual dictionary are the only items permitted for reference.
- Additional Electronic devices, including laptops and mobile phones, are not permitted. 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.
Information for delegates
The examination 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.
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:
- 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)
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
give              provide without explanation (used normally with the instruction to ‘give an example (or examples) of ….’)
list               provide a list without explanation (bullet points)
identify          select and name
define           provide a generally recognised or accepted definition
state             a less demanding form of ‘define’ or where there is no generally recognised definition
prepare         make (something) ready for use or consideration
support         strengthen, substantiate, back up, give weight to
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Question 1 of 18
1. Question
Section one – five questions worth two marks each – maximum 10 marks
Question 1.1Â
In your own words, describe two of the main differences between a stage 1 and a stage 2 on-site ISO 14001 certification audit.
(2 marks)
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This response will be reviewed and graded after submission.
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Question 2 of 18
2. Question
Question 1.2
List two ISO 14001 clauses (clause number and title) that require an organisation to establish, implement and maintain a process.
(2 marks)
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Question 3 of 18
3. Question
Question 1.3
Using the document EMS1 – Question 1.3 to record your answer, place a (Y) 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)
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Upload your answer to this question.
This response will be reviewed and graded after submission.
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Question 4 of 18
4. Question
Question 1.4
ISO 14001 requires that “personnel… shall be competent”. Explain, in your own words, what competent means. Â
(2 marks)
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Question 5 of 18
5. Question
Question 1.5
Describe the principal difference between ISO 14001:2015 and ISO 14004:2016.
(2 marks)
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Question 6 of 18
6. Question
Question 2.1
A desired professional behaviour for an auditor is to be diplomatic.
a) State the meaning of ‘diplomatic’ and give at least two examples to demonstrate how an auditor could be diplomatic.
(3 marks)
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Question 7 of 18
7. Question
Question 2.1
A desired professional behaviour for an auditor is to be diplomatic.
b) Describe briefly the effect that not being diplomatic could have on an audit.
(2 marks)
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Question 8 of 18
8. Question
Question 2.2
You are auditing an organisation that has a fully electronic system for managing its EMS. Describe what issues you would consider when assessing whether Clauses 7.5.2 and 7.5.3 are being effectively managed.
(5 marks)
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Question 9 of 18
9. Question
Question 2.3
You are the audit team leader of a team that includes two other auditors. You are conducting an ISO 14001 certification audit. It’s a multi-site audit and you have each performed your allocated auditing at different sites. The auditors from the other two sites will arrive soon to join you when you conduct the closing meeting.
List at least five items you would cover in a team meeting prior to the closing meeting in order to prepare for this.
(5 marks)
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Question 10 of 18
10. Question
Question 2.4
During an on-site ISO 14001 certification audit, you wish to establish that the organisation has implemented an effective environmental aspects evaluation considering a Life Cycle Perspective related to the scope of their EMS.
Within the context of the activities, products and services that the organisation it can control, and those that it can influence, list at least five considerations you would expect to be included in the approach that has been taken.
(5 marks)
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This response will be reviewed and graded after submission.
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Question 11 of 18
11. Question
Section three – three questions worth 10 marks each – maximum 30 marks
Question 3.1
Taking into account the requirements of Clause 10.2 of ISO 14001 describe, in terms of a sequence, the corrective action process from a non-conformance being raised by an auditor through to the close out of the finding.
Identify who is responsible for each element of the process and identify where in the corrective action process decisions need to be taken.
(10 marks)
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Question 12 of 18
12. Question
Question 3.2
ISO 14001 is based on the Plan, Do, Check, Act (PDCA) cycle, which it has in common with many other management systems standards.
a) In your own words, describe what you understand by the PDCA cycle in the context of an EMS.
(4 marks)
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This response will be reviewed and graded after submission.
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Question 13 of 18
13. Question
Question 3.2
ISO 14001 is based on the Plan, Do, Check, Act (PDCA) cycle, which it has in common with many other management systems standards.
b) Identify six activities in an ISO 14001 EMS that relate to one or more of the PDCA segments and state the relevant clause reference.
(6 marks)
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Question 14 of 18
14. Question
Question 3.3
a) List four sources of information that an organisation could use to help it keep up-to-date with relevant environmental legislation.
(4 marks)
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Question 15 of 18
15. Question
Question 3.3
b) List six items of documented information that you would wish to assess as part of an EMS audit and state the relevant clause of ISO 14001 for each.
(6 marks)
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This response will be reviewed and graded after submission.
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Question 16 of 18
16. Question
Section four – three questions worth 10 marks each – maximum 30 marks
Questions in this section are designed to test the delegates’ ability to analyse audit situations, evaluate objective 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 none, 0 (zero) marks will be awarded.
OR
Complete the audit investigation template clearly stating:
- Their reason(s) for thinking there is not yet sufficient evidence to report their findings as a nonconformity. (2 marks)
- How they would investigate to determine conformity or nonconformity, including audit trails they would follow and specific examples of objective 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)
4.1 Audit situation one:
A manufacturing plant specialises in the supply of products to the automotive and aerospace industries. These are carbon steel or stainless steel fabrications formed by the welding of individual metal components, produced and completely finished to drawing by a range of suitably qualified subcontractors. There are many fabrication cells throughout the plant, each dedicated to a particular range of products.
 An EMS auditor is reviewing the continuous improvement process and has consulted the minutes of the past two annual management reviews for evidence of what environmental objectives had been set and what had been achieved. There were three EMS improvement objectives mentioned in both sets of minutes, which involved year-on-year reduction in the volume of general waste, use of gas and electricity.
The chart attached to the minutes showed the respective quantities for these three parameters over the past five years, with little variation from year to year other than for the previous year in which a steep increase of nearly 10% was noted in all three figures. The managing director explained that a major client had stepped up their orders the previous year.
If you think there is sufficient evidence to report your findings as a nonconformity:
- Complete the nonconformity report on the following page:Â EMS Audit 1
Or
- Complete the audit investigation template.
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Upload your answer to this question.
This response will be reviewed and graded after submission.
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Question 17 of 18
17. Question
Questions in this section are designed to test the delegates’ ability to analyse audit situations, evaluate objective 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 none, 0 (zero) marks will be awarded.
OR
Complete the audit investigation template clearly stating:
- Their reason(s) for thinking there is not yet sufficient evidence to report their findings as a nonconformity. (2 marks)
- How they would investigate to determine conformity or nonconformity, including audit trails they would follow and specific examples of objective 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)
4.2 Audit situation two:
You are performing an ISO 14001 recertification audit at an organisation that assembles, finishes and tests electromechanical products using parts produced by subcontractors.
As you enter the site you notice a new building that was not there at the last surveillance visit a year ago. At the opening meeting you learn that they had demolished three derelict buildings that were last used by the previous owner, who they acquired the site from 20 years ago. They are using the building for chemical processes, such as acid cleaning, passivation and anodising.
You are examining the aspects and impacts process and start by checking the issue status of the register, which is at revision 1 – reflecting a minor adjustment to address a finding from the past surveillance 12 months ago.
You ask if an environmental impact assessment for the demolition and construction activity, and a waste management plan, had been completed. The environmental health and safety manager informs you that although the processes involved fall within the scope of the EMS, no formal planning was done but they did find significant quantities of asbestos while taking down the last of the buildings.
Records show that the asbestos was correctly handled and disposed of as hazardous waste in accordance with local regulations. A subcontractor with the correct carrier licence removed the debris from the demolition and the earth that was excavated was collected by a local farmer for use on his farm.
If you think there is sufficient evidence to report your findings as a nonconformity:
- Complete the nonconformity report on the following page:Â EMS Audit 2
Or
- Complete the audit investigation template.
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Upload your answer to this question.
This response will be reviewed and graded after submission.
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Question 18 of 18
18. Question
Questions in this section are designed to test the delegates’ ability to analyse audit situations, evaluate objective 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 none, 0 (zero) marks will be awarded.
OR
Complete the audit investigation template clearly stating:
- Their reason(s) for thinking there is not yet sufficient evidence to report their findings as a nonconformity  (2 marks)
- How they would investigate to determine conformity or nonconformity, including audit trails they would follow and specific examples of objective 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)
4.3 Audit situation three:
An ISO 14001 EMS audit is underway at a medium-sized organisation that designs and manufactures domestic appliances for consumer use through the retail trade.
The team leader has allocated you to audit the design department. Your interview with the design manager, who leads a team of mixed discipline engineers (mechanical, electronic and software), reveals that he understands the main significant environmental aspects and impacts of his departments activity in the use of electricity and waste disposal.
 He describes how batteries, printer and toner cartridges, and any computer hardware no longer used, is kept segregated from other general waste and is passed onto the facilities department for disposal as hazardous waste.
 He points out that all desktop computers are switched off when not in use and have been recently replaced by state-of-the-art models incorporating 3D modelling. He also tells you that he has had his lighting replaced with more efficient luminaries.
 Despite further prompting from you, he insists that within his area of control there are no other environmental aspects and impacts. You confirm later with the quality manager (who has been allocated responsibility to extend their existing ISO 9001 certified system to include ISO 14001) that environmental aspects and impacts list correctly reflect what the design manager told you.
If you think there is sufficient evidence to report your findings as a nonconformity:
- Complete the nonconformity report on the following page:Â EMS Audit 3
Or
- Complete the audit investigation template.
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Upload your answer to this question.
This response will be reviewed and graded after submission.