CQI and IRCA Examination Paper EMS1 Environmental Management Systems Lead Auditor Conversion Training Courses (PR361 Combined Auditor Conversion)

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

Question 1.1

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)

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)

Question 1.3

Using the following matrix document to record your answer, EMScon1 – Question 1.3,  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, and upload.

(2 marks)

Question 1.4

ISO 14001 requires that “personnel… shall be competent”. Explain, in your own words, what competent means.

(2 marks)

Question 1.5

Describe the principal difference between ISO 14001:2015 and ISO 14004:2004

(2 marks)

Section 2 – three questions worth ten marks each – maximum 30 marks

Question 2.1

Taking into account the requirements of Clause 10.2 of ISO 14001 describe, in terms of a sequence, the corrective action process from a nonconformance 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)

Question 2.2

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)

Question 2.2

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)

Question 2.3

a) List four sources of information that an organisation could use to help it keep up-to-date with relevant environmental legislation.

(4 marks)

Question 2.3

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)

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

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.

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 45001 requirement (1 mark)
• Overall clarity of the nonconformity report (1 mark)

Note: if you raise a nonconformity report when there is no nonconformity, 0 (zero) marks will be awarded.

OR

• Complete the audit investigation template, clearly stating:

• Your reason(s) for thinking there is not yet sufficient evidence to report your findings as a nonconformity (2 marks)
• How you would investigate to determine conformity or nonconformity, including audit trails you would follow and specific examples of audit evidence you 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)

3.1 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:  EMScon Audit 1

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

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.

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 45001 requirement (1 mark)
• Overall clarity of the nonconformity report (1 mark)

Note: if you raise a nonconformity report when there is no nonconformity, 0 (zero) marks will be awarded.

OR

• Complete the audit investigation template, clearly stating:

• Your reason(s) for thinking there is not yet sufficient evidence to report your findings as a nonconformity (2 marks)
• How you would investigate to determine conformity or nonconformity, including audit trails you would follow and specific examples of audit evidence you 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)

3.2 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:  EMScon Audit 2

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.

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 45001 requirement (1 mark)
• Overall clarity of the nonconformity report (1 mark)

Note: if you raise a nonconformity report when there is no nonconformity, 0 (zero) marks will be awarded.

OR

• Complete the audit investigation template, clearly stating:

• Your reason(s) for thinking there is not yet sufficient evidence to report your findings as a nonconformity (2 marks)
• How you would investigate to determine conformity or nonconformity, including audit trails you would follow and specific examples of audit evidence you 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)

3.3 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:  EMScon Audit 3