CQI and IRCA Examination Paper EMS2 Environmental Management Systems Lead Auditor Conversion Training Courses (PR361 Combined Auditor Conversion)

Section 1 – Five questions worth two marks each – maximum 10 marks

Question 1.1

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

(2 marks)

Question 1.2

Identify two ISO 14001 clauses that require documented information to be included within the environmental management system.

(2 marks)

Question 1.3

Using the matrix in the document below 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, and upload.

EMS2 – Question 1.3

(2 marks)

Question 1.4

In an EMS conforming to ISO 14001, documented information (indicating a possibility or capability) can provide evidence of results achieved (which can be referred to as records).

List four examples of documented information that falls within this category and that may be seen within the EMS.

(2 marks)

Question 1.5

During an ISO14001 certification audit, you are reviewing the organisation’s environmental objectives.

List four considerations relevant to ISO14001 requirements for environmental objectives.

(2 marks)

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

Question 2.1

Following an ISO 14001 certification audit you are delivering the closing meeting and summarising the three nonconformities found. These concern failures to include all activities, products and services in the environmental aspects evaluation, failure to determine the identified aspects that have a significant impact and the absence of a mechanism for keeping up to date with current environmental compliance obligations.

When you advise those attending the meeting that you cannot make an immediate recommendation for certification the Managing Director insists that you close out the findings because the problems have now been fixed. He then tells you that the EHS Manager has worked through the night to complete the corrective action statements required and he offers them to you for review and signature.

a) In your own words, describe whether you would agree to this request.

(2 marks)

Question 2.1

Following an ISO 14001 certification audit you are delivering the closing meeting and summarising the three nonconformities found. These concern failures to include all activities, products and services in the environmental aspects evaluation, failure to determine the identified aspects that have a significant impact and the absence of a mechanism for keeping up to date with current environmental compliance obligations.

When you advise those attending the meeting that you cannot make an immediate recommendation for certification the Managing Director insists that you close out the findings because the problems have now been fixed. He then tells you that the EHS Manager has worked through the night to complete the corrective action statements required and he offers them to you for review and signature.

b) Outline at least four relevant points you would make in response to this request.

(8 marks)

Question 2.2

During an ISO 14001 certification audit, you have been assigned by the Lead Auditor to seek evidence that the organisation has a planned and systematic approach to requirements for compliance obligations within ISO 14001.

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 audit 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)

Question 2.3

List ten individual items of documented information that may be available for your consideration during an ISO 14001 certification audit of a manufacturing site. Identify the related clause of ISO 14001.

(10 marks)

Section 3 – three questions worth ten marks each – maximum 30 marks

Questions in this section are designed to test the student’s ability to analyse audit situations, evaluate audit evidence and apply knowledge of the audit criteria correctly.

Students 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 students raise a nonconformity report when there is no nonconformity, 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 audit evidence they                             would seek and for what purpose.  (8 marks)

Note: If students 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)

Note: Marks should only be awarded where the audit investigation trails are relevant to the situation and would provide further evidence of conformance or                                           non-conformance.

3.1 Audit situation one:

A large 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 completely finished to drawing by a range of suitably qualified sub-contractors. There are
many fabrication cells throughout the plant, each dedicated to a particular range of products.

During an ISO14001 certification audit a member of the audit team is reviewing the continuous improvement process and a recent project to clean up the working environment is outlined by the Plant Manager. The exhaust gasses produced in each cell are now locally extracted and connected into a central ducting system
that connects into one common flue, which takes all the aerial emissions outside of the factory.

As there is no filter fitted and hence little back pressure the unit is very efficient and has resulted in a significant improvement in air quality within the building.
The masks, personal air samplers and sometimes respirators previously used by the work force are no longer needed.

The auditor notes that there is no continuous monitoring fitted to the flue and that the various air samples taken have been confined to the factory interior with none
taken of the exhaust gasses.

The Plant Manager is proud of the project – it was completed on time and within the allocated budget, and has exceeded expectations for improvement in the
working environment. The objective and targets, along with the programme and minutes of the outcome, were seen in the minutes of the last management review
and confirm all that the Plant Manager had related.

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

• Complete the nonconformity report on the following document and upload:  EMS Audit 1

OR

• Complete your answer on the following page.

Questions in this section are designed to test the student’s ability to analyse audit situations, evaluate audit evidence and apply knowledge of the audit criteria correctly.

Students 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 students raise a nonconformity report when there is no nonconformity, 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 audit evidence they                              would seek and for what purpose.  (8 marks)

Note: If students 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)

Note: Marks should only be awarded where the audit investigation trails are relevant to the situation and would provide further evidence of conformance or                                           non-conformance.

3.2 Audit situation two:

You are performing an ISO 14001 certification audit of an organisation that assembles and tests electro-mechanical products using parts produced by subcontractors.

As you entered the site, you noticed a new building that was not there at the last surveillance visit one year ago. At the opening meeting you learn that they had
demolished three derelict buildings that were last used by the previous site owner who they acquired the site from 20 years ago. They are using the new building for
chemical processes such as acid cleaning and surface protection treatments including anodising. You know that these activities are covered by local pollution
prevention legislation, which requires discharge consent for any effluent disposal.

You are examining operational control of processes and decide to adjust your audit plan and visit this new plant as part of your audit. The Plant Manager explains that
bringing the chemical processes on site was required urgently as a key subcontractor was going out of business. So far, only limited quantities had passed
through the plant over the last three months as process capability was still to be finalised. You note that all chemicals are positively identified, are in suitable
containers and are stored within secondary containments areas. Spill kits are available to deal with any liquid that is spilled.

You enquire about wastewater and note that due to small quantities so far produced this is being collected in a large tank and that no analysis of content, such as pH, solids, heavy metal content, etc., had been made. The intention is to discharge the wastewater to a fast flowing local river once regular processing begins. The Facilities Manager has only emptied the tank twice in the first three months. He explained that he does this when it is quiet on a Sunday morning by opening the valve allowing a slow flow, which he dilutes with fresh water, to run to the river as the discharge is flowing. There has been no obvious impact from this action so he is happy to continue with this method until full production levels are reached.

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

• Complete the nonconformity report on the following document and upload: EMS Audit 2

OR

• Complete your answer on the following page.

Questions in this section are designed to test the student’s ability to analyse audit situations, evaluate audit evidence and apply knowledge of the audit criteria correctly.

Students 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 students raise a nonconformity report when there is no nonconformity, 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 audit evidence they                              would seek and for what purpose.  (8 marks)

Note: If students 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)

Note: Marks should only be awarded where the audit investigation trails are relevant to the situation and would provide further evidence of conformance or                                           non-conformance.

3.3 Audit situation three:
An ISO 14001 certification audit is progressing at the head office of a sales and distribution organisation.

They have a small team of technical sales engineers and sales administers at head office but their marketing focus is deployed through a large team of field sales
executives who operate from home or are based at regional offices around the country.

You are interviewing the Sales Director because the environmental aspect with the most significant impact is the use of company cars with a fleet of close to 100.
The only company car policy you are made aware of is that a sales executive is allowed to purchase a new car every two years to a monetary value determined
by seniority.

There are no restrictions on the size or type of engine, fuel consumption or CO2 emissions as the Sales Director tells you that the sales force are the most
important human resource in the organisation whose success is directly due to their efforts and she would not want to upset them.

She also is unhappy at the suggestion that fuel consumption should be monitored or that more effective journey planning could be introduced to save fuel. You make
some notes and move on to your next interview.

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

• Complete the nonconformity report on the following document and upload:  EMS Audit 3

OR

• Complete your answer on the following page.