CQI and IRCA SPECIMEN Examination Paper EMS Environment 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    

Identify two ISO 14001 clauses that relate to 4.1 – Understanding the organization and its context.

(1 mark for each clause = 2 marks)

Question 1.2    

List two factors to be considered in determining the extent of documented information to be included within an ISO14001 environmental management.

(2 marks)

Question 1.3    

Using the matrix attached below to record your answers, 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:

EMS specimen – Question 1.3

(0.5 mark will be awarded for each correct selection = 2 marks)

Question 1.4    

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

(2 marks)

Question 1.5    

List two topics that you would focus on when evaluating “internal audit” during an ISO 14001 certification audit.

(1 mark for each topic = 2 marks)

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

Question 2.1    

You are chairing the opening meeting of a stage 2 ISO 14001 certification audit at an organisation that assembles and tests electro-mechanical products for the automotive industry.

As you confirm the scope, which was agreed at your stage 1 visit, the Chief Executive interrupts you stating that a factory on an adjacent site has just been acquired, and since they share the same drainage system he wants their activity included in the scope of the certification.

The acquired plant mixes a variety of chemical raw materials to produce products for the after-market such as solvent cleaners.

a) Describe whether you would agree to this request or not and explain the reason for your decision.   

(2 marks)

Question 2.1    

You are chairing the opening meeting of a stage 2 ISO 14001 certification audit at an organisation that assembles and tests electro-mechanical products for the automotive industry.

As you confirm the scope, which was agreed at your stage 1 visit, the Chief Executive interrupts you stating that a factory on an adjacent site has just been acquired, and since they share the same drainage system he wants their activity included in the scope of the certification.

The acquired plant mixes a variety of chemical raw materials to produce products for the after-market such as solvent cleaners.

b) Outline four issues that you would need to consider in responding to the request to extend the audit scope.

(2 marks for each issue to be considered = 8 marks)

Question 2.2    

As part of an on-site EMS audit to ISO 14001 at one of your organisation’s key suppliers you have been assigned by the lead auditor to verify that the continual improvement of the EMS as required by clause 10.3 is effectively deployed.

Your objective is to seek evidence of a planned and systematic approach to improvement throughout the organisation, taking into account applicable requirements from 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.

(1 mark for each relevant checkpoint plus supporting audit evidence plus appropriate reference(s) to ISO 14001 requirements = 10 marks total)

Question 2.3    

You are conducting an ISO 14001 certification audit of a company manufacturing kitchen cabinets.

You note that the auditee has used a systematic approach based on process inputs, outputs, controls and resources throughout their EMS.

a) List two environmental aspects that they might have identified at the input stage of the process approach for their production processes. Outline how they are relevant to the input stage.

(1 mark for each aspect = 2 marks)

Question 2.3    

You are conducting an ISO 14001 certification audit of a company manufacturing kitchen cabinets.

You note that the auditee has used a systematic approach based on process inputs, outputs, controls and resources throughout their EMS.

b) List four factors that you would expect to be considered in determining the significance of these aspects (considering a life cycle perspective) and briefly explain how each factor can influence the decision on significance of aspects.

(1 mark for each factor = 4 marks)

Question 2.3    

You are conducting an ISO 14001 certification audit of a company manufacturing kitchen cabinets.

You note that the auditee has used a systematic approach based on process inputs, outputs, controls and resources throughout their EMS.

c) Describe how the use of a systematic approach based on process inputs, outputs, controls and resources by the auditee could influence your planning of stage 2 of the audit as Lead Auditor.

(4 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 attached nonconformity report template below and upload

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.

Audit situation one:

A company takes in used paper and, by a series of chemical processes, breaks this input material down into its original wood pulp fibres before recycling it into large reels of newsprint.

The production process uses a large volume of water extracted from a local river. This water becomes heavily contaminated by the process and needs to be treated before being discharged back into the river. This 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.

An auditor is reviewing this process and notes that in the previous three month period the limit was exceeded by between 35% and 55% on four consecutive weeks before returning to the range of values normally seen at the weekly sampling.

The Plant Manager informed the auditor that the situation was caused by a failure in the filtration process but the plant could not be shut down to repair the fault because it was a high demand period when an urgent export order needed to be completed.

Later the auditor read a note which was recorded in the management review meeting minutes held two weeks earlier that the company remained in legal compliance during the previous year and a statement to this effect had been issued to the Regulatory Authority.

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

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

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 attached nonconformity report template below and upload

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.

Audit situation two:

An EMS auditor is reviewing the arrangements of an international distributer of electronic products for establishing the regulatory requirements relevant to the organisation and for keeping this up to date.

The Head of Security explains that as she is not an environmental expert she has a contract with an external consultant who notifies her by email when any new legislation or regulation is published.

There is a dedicated file on the server and it can be seen that developments in key pieces of environmental legislation have indeed been issued promptly over the previous three years covering the topics expected. The individual notes from the consultant state the title, date and unique reference for the regulation/legislation concerned along with a summary of what each contains. The Head of Security adds each new item to a rolling two column list entitled “Environmental Legislation” which is issue controlled.

The auditor asks the Head of Security how on-going compliance is monitored. She replies that the consultant visits the organisation once per year and checks that the list entitled “Environmental Legislation” does in fact include all the items he has notified to them over the previous year and signs a hard copy of the register after the last entry. On this basis the Head of Security prepares a signed statement for inclusion in the minutes of the annual management review to state “Following periodic review, the organisation remains in compliance with all relevant environmental legislation”.

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

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 attached below

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.

Audit situation three:

You are auditing the waste management activity at an organisation in the pharmaceutical industry who manufactures a range of prescription medicines in pill form.

Outside of the building you notice just one large waste skip (container). On examining the contents, you see a mixture of items including cardboard packaging, plastic bottles, waste paper, empty tin cans and food waste.

The skip is covered as required by local regulations that prohibit liquids from going to landfill. The environmental manager tells you that the only other waste stream is within the plant and involves recycling of scrap pills and ingredients, none of which is wasted.

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

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