CQI and IRCA Examination Paper 3 Environment Management Systems Auditor Training Courses (PR315 & PR338 ISO 14001:2015)

Section one – five questions worth two marks each – maximum 10 marks

Question 1.1

Identify two ISO 14001 clauses (clause number and title) that require documented information to be maintained.

(2 marks)

Question 1.2

In your own words describe the difference between an environmental condition and an environmental aspect, giving an example of each.

(2 marks)

Question 1.3

Using the document EMS3 – 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)

Question 1.4

Explain in your own words what is meant in the context of ISO 14001 by the term “environmental objective”.

(2 marks)

Question 1.5

List four considerations to be made by an organisation in determining the “scope” of an environmental management system.

(2 marks)

Section two – four questions worth five marks each – maximum 20 marks

Question 2.1

a) In your own words briefly describe the difference between “keeping up to date with compliance obligations” and “evaluation of compliance”.

(2 marks)

Question 2.1

b) Give three examples of requirements within ISO 14001 in connection with compliance obligations.

(3 marks)

Question 2.2

You are a member of an audit team conducting an ISO 14001 certification audit. You are tasked with assessing the organisation’s conformance with Leadership and commitment (clause 5.1) by interviewing the Managing Director and members of the senior management team.

List five key topics that you need to investigate. For each topic give an example of acceptable evidence of conformance.

(5 marks)

Question 2.3   

List five details that you would need to consider in order to confirm effective management of a Discharge Consent when auditing the conformance of an organisation’s EMS to clause 9.1.1 (monitoring, measurement and evaluation).

(5 marks)

Question 2.4

A company uses large quantities of plastics granules and powders which they mix and blend to accommodate the wide range of colour and composition required for their extruded products. Many of these products are painted and/or varnished as a final stage on the automated extrusion lines using material supplied in one-gallon tins.

The production machinery is operated on a 24-hour basis and uses large amounts of electricity, gas for the drying ovens and water for cooling the finished product as it exits from the extruders. The factory uses gas for space heating.

There is a large fleet of company-owned and operated heavy good vehicles used to deliver products to their customers.

List five examples of an environmental objective and associated target that would be appropriate for an ISO 14001 certified EMS.

 (5 marks)

Section three – three questions worth 10 marks each – maximum 30 marks

Question 3.1

An ISO 14001 certification audit is underway at an organisation with a wide range of manufacturing, metal finishing and assembly processes. The organisation distributes finished products direct to their customers using their own transport. You have been allocated the task of auditing the organisation against the requirements of 6.1.2 – Environmental Aspects.

Prepare a checklist of at least five open questions that you would need to ask in order to verify conformity with clause 6.1.2

(10 marks)

Question 3.2

Clause 8.1. of ISO 14001 – Operational planning and control sets out requirements to establish operating criteria and implement control of EMS processes.

 List a single criteria and control that could be used to demonstrate conformance to this clause for each of the five typical organisational processes listed below:

• Design and development
• Sales operations
• IT services
• Warehousing and dispatch
• Outsourced painting

(10 marks)

Question 3.3

You are conducting an ISO 14001 certification audit at a manufacturing organisation. Your current audit topic within the programme is continual improvement.

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)

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 company takes in used paper in the form of magazines, newspapers, etc and by a series of chemical processes breaks down this input material into its original wood pulp fibres before recycling it into large reels of newsprint. These reels are then sold on to the newspaper industry.

The production process uses a large volume of water extracted from a local river and a bore hole on site. Throughout the recycling process this water becomes heavily contaminated and needs to be treated before discharge back into the river.

This process 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. The most recent statement is available.

Whilst in the effluent treatment plant the EMS auditor noted that a flow meter, which was being used to record the volume of treated water discharged to the river, had been issued with a calibration certificate supplied by the manufacturer when it was installed seven years ago to replace the original unit that had developed a fault.

 If you think there is sufficient evidence to report your findings as a nonconformity:

• Complete the nonconformity report on the following page:  EMS Audit 1

Or

• Complete the audit investigation template.

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:

The headquarters of an international distributor of electronic products and components comprises a five storey office block housing 630 staff. The complex also includes the high bay distribution warehouse in which all products purchased for on sales are received, inspected and stored for later retrieval when order picking using automated handling technology. The receiving area is at the opposite side of the warehouse to where the goods vehicles are docked whilst being loaded with products to be distributed. There are more than 100 heavy goods vehicles in operation at any one time as part of a 24-hour operation. The scope of the EMS covers all site activity.

As the assigned ISO 14001 certification body auditor you are reviewing the environmental aspects evaluation process. You note that use of vehicles is identified as an activity to be assessed. They list four company cars and the environmental aspect of their use has been accurately assessed. The environmental significance of the impact has been allocated to the lowest level because of the small number of cars involved.

You establish that the company do not have a car policy and would not wish to impose any restriction on the four Sales Executives who use them as their contribution to sales turnover is very important to profit. You ask the Warehouse Supervisor why the environmental aspect related to the use of the fleet of goods vehicles has not been included. The justification is that the company do not own the vehicles which are the property of a fleet management company who are subcontracted to deal with all logistics including route planning and vehicle fuelling, servicing and repair. 

As you drove into the complex you noted that there is a very large car park and judging by how full it is realised that most employees use their car to get to work at this remote location. Again, the Warehouse Supervisor was surprised that you asked about the environmental aspect of this activity since the employees use private cars.

If you think there is sufficient evidence to report your findings as a nonconformity:

• Complete the nonconformity report on the following page:  EMS Audit 2

Or

• Complete the audit investigation template.

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:

You have returned to an organisation that was first certified to ISO 14001 three years ago.

It was you who led the audit team on that occasion, however you have had no contact with the organisation since. On a brief re-familiarisation, you note that some new processes and products have been added along with a number of plant modifications, extensions and relocations as a consequence.

When you were signing in at the reception desk you saw the Environmental Policy displayed. This was signed and dated by the Chief Executive. Later when you check the management review minutes you see reference to an updated Environmental Policy however the one in reception and on the company website are copies of the original dated three year earlier.

The company has defined a list of environmental legislation you note that it bears the same original issue status although you have confirmed that the two recent amendments that you know which directly affect their activities have been added and correctly interpreted as to what action needs to be taken.

You confirm that the organisation has a comprehensive register of environmental aspects and significant impacts which had been compiled by a consultant and an EMS action team. You have also determined that the team was disbanded once the certificate was issued. The register is issue controlled and carries the original date as at certification.

 If you think there is sufficient evidence to report your findings as a nonconformity:

• Complete the nonconformity report on the following page:  EMS Audit 3

Or

• Complete the audit investigation template.