Exam 01 Solutions - EMS LAC, IG, Issue 4.2, 10-23-08

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Exam 1 Solutions

EMS Lead Auditor Course

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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide

EXAMINATION INSTRUCTIONS:

This exam is designed to allow students to demonstrate their comprehension of the audit process and the application of ISO 14001:2004 to the auditing process.

The examination paper is divided into FOUR sections. All sections are to be attempted. The time allowed is two hours. There is no additional time allowance for reading the exam instructions or questions. There is a maximum of 100 points available; the passing score is 70%. Your answers must be on the exam sheets that are supplied. Additional loose sheets will NOT be accepted. Points will be deducted from your total score for persistent poor spelling, persistent bad grammar, or untidy presentation (up to maximum penalty of 10 points).

The only reference material allowed during the examination is a copy of the ISO 14001:2004 standard, the ISO 19011:2002 standard, the student manual provided by BSI Management Systems Inc, and any personal notes made by the student during the course.

Note: The phrase “ISO 14001” always refers to ISO 14001:2004, “Environmental Management Systems – Requirements with Guidance for Use.” The word “clause” refers to a paragraph or section of ISO 14001:2004 that is identified by a number such as 4.5.2.

Section 1 – 15 pointsSection 1 comprises questions that require you to either place a circle around the letter (A, B, C, D, or E) to indicate the option you judge to be the best answer or to state the number of a clause from ISO 14001:2004. You must only give one answer for each question and if one selection has been deleted and another substituted, you must initial the final selection as confirmation.

Section 2 – 25 pointsSection 2 comprises essay questions that require a brief written answer in the space provided.

Section 3 – 30 pointsSection 3 comprises essay questions that require a detailed written answer that will normally fill the space provided.

Section 4 – 30 points Section 4 comprises three situations for which a non-conformity report (NCR) or an audit trail must be written.

Course Exam Solutions EMS-042-01-EN-US Issue 4.2:10/23/08 ©The British Standards Institution 2008 2 of 16


SECTION 1 – 15 POINTS

Directions

This section includes ten multiple-choice questions that require you to place a circle around the letter (A, B, C, D, or E) to indicate the answer you believe is correct. The section also includes five questions that require you to state fully the applicable clause number from ISO 14001:2004. Each question is worth one point for a total of fifteen points.

Questions

1.01 Which statement below best describes the ISO 14000 series of standards? The ISO 14000 series of standards:

A. Are required by law.B. Are intended to replace legislative requirements.C. Are for the development and implementation of health and safety management

system principles.D. Are applicable to any organization, regardless of size, type, or level

of maturity.E. Cannot be implemented with existing quality management systems.

1.02 Which of the following statements regarding ISO 14001:2004 is NOT true? The ISO 14001:2004 standard:

A. Is developed and updated through a consensus process.B. Provides a structure for managing significant environmental aspects over which a

company has control.C. Requires disclosure of environmental performance levels.D. Is designed to be used by any industry.E. Requires that appropriate resources be allocated to the environmental management

system.

1.03 ISO 14001:2004 requires organizations to:

A. Identify all aspects affecting the organization, even those under which they have no control.

B. Ensure significant aspects are taken into account when establishing, implementing, and managing their environmental management systems.

C. Ensure aspects are measurable.D. Document aspects in the environmental policy.E. Take action to remove aspects from operations.



1.04 Which statement below is NOT a requirement of ISO 14001:2004? Organizations must:

A. Establish procedures to identify applicable legal requirements.B. Determine how legal requirements apply to their environmental aspects. C. Take legal requirements into consideration when establishing the environmental

management system. D. Include in their environmental policies a commitment to comply with

legal requirements.E. Evaluate compliance to applicable legal requirements on an

annual basis.

1.05 According to ISO 14001:2004, for which of the processes below must an organization establish, implement, and maintain a DOCUMENTED procedure?

A. Controlling situations where the absence of a procedure could lead to deviation from the environmental policy, objectives, and targets.

B. Evaluating compliance with relevant environmental legislation and regulations.

C. Determining significant environmental aspects.D. Dealing with actual and potential nonconformities.E. Identifying, storing, protecting, retrieving, retaining, and disposing of records.

1.06 A detailed performance requirement that arises from environmental objectives and that needs to be set and met to achieve those objectives is called an environmental:

A. Aspect.B. Target.C. Policy.D. Impact.E. Performance indicator.

1.07 According to ISO 19011:2002, which of the following should be considered when deciding on the size and composition of the audit team?

A. The overall competence of the audit team needed to achieve the objectives of the audit.

B. Frequency of internal audits conducted by the auditee.C. The audit plan.D. Sufficient and appropriate information for planning the audit.E. The attendance of observers and the need for guides.



1.08 ISO 17021:2006 provides information on:

A. Environmental legal regulations.B. Implementing ISO 14001:2004.C. The internal audit process.D. Certifying the environmental impact of products.E. Conflict of interest.

1.09 Records, statements of fact, or other information, which are relevant to the audit criteria and are verifiable, are referred to as:

A. Audit findingsB. Audit evidenceC. Audit scopesD. Audit plansE. Audit conclusions

1.10 According to ISO 19011:2002, environmental management systems auditors should have knowledge and skills in all of the following areas, EXCEPT:

A. Environmental management methods and techniquesB. Environmental science and technologyC. Knowledge of all federal environmental regulationsD. Technical and environmental aspects of operationsE. Environmental terminology

1.11 Indicate fully the clause of ISO 14001:2004 that is applicable to the following requirement:

Input to management reviews shall include the status of corrective and preventive actions.

This is covered by clause: 4.6


Records shall be and remain legible, identifiable, and traceable.

This is covered by clause: 4.5.4




Audit procedures shall be established, implemented, and maintained that address the determination of audit criteria, scope, frequency, and methods.



The organization shall define and document the scope of its environmental management system.

This is covered by clause: 4.1


The environmental management program shall include the designation of responsibility for achieving objectives and targets at relevant functions and levels of the organization.





Write an answer to each of the following FIVE questions using only the space provided in a short essay style using complete sentences. Responses that are not in an essay style will receive an automatic 2 point reduction per response for a maximum of 10 total points for the Section. Stand alone bullet type responses are not acceptable and will result in the automatic deduction. Each correct response is worth a maximum of 5 points. Graders must adhere to the scoring requirements.

2.01 Who appoints the management representative to his/her position (1 point)? Within the response provide the details of the TWO defined responsibilities of the management representative (2 points for each responsibility):

The management representative is appointed by “top management” (award 1 point).

The two primary responsibilities of the management representative are to ensure that anenvironmental management system is established, implemented, and maintained inaccordance with the requirements of ISO 14001:2004 and reporting to top management onthe performance of the EMS for review, including any recommendations for improvement

Clause 4.4.1 of ISO 14001:2004

2.02 Define the “environmental impact” (2 points) and explain THREE potential impacts to the environment that might be associated with the burning of coal (1 point for each impact).

Clause 3.7 of ISO 14001:2004 defines an “environmental impact” as “any change to the environment, whether adverse or beneficial, wholly or partially resulting from an organization’s environmental aspects.”

Possible impacts from burning coal include could include the generation of heat from the burning process, air pollution from the contaminates and emissions of the burning process,groundwater pollution and or pollution of the soil from by-product of burning being rained on.

Instructors should use their discretion when grading the possible impacts.



2.03 Provide a description of what an auditor could examine to determine whether an organization conforms to clause 4.2, “Environmental Policy” that contains at least FIVE specific pieces of evidence the auditor could look for (1 point for each example):

The auditor could check to see a policy has been approved by the organizations top management; verify if the policy has been documented and is under control of the organizations document control process; verify that the policy contains specific commitment to prevent pollution, comply with applicable legal requirements and continual improvement of environmental performance; contains language indicating that environmental objectives will be established; verify that personnel working for or on behalf of the organization have had the policy communicated to them and that they can explain how it effects their work performance; verify that the policy is available to the general public.

As outlined in the sample response above, students may respond by either providing specific examples of records, procedures, activities, or processes or generally state the type of requirement an auditor may examine during an audit of the environmental policy. The examples provided by students must fall in line with the requirements of clause 4.2 of ISO 14001:2004

2.04 Who should be assigned the responsibility for managing an audit program and what are some of the skills recommended for the audit program manager? (5 points )

The responsibility for managing an audit program should be assigned to one or more individuals with a general understanding of audit principles, of the competence of auditors, and the application of audit techniques. They should have management skills as well as technical and business understanding relevant to the activities to be audited.

Clause 5.3.1, ISO 19011:2002

2.05 Why are the five principles of auditing important according to ISO19011 (5 points)?

Auditing is characterized by reliance on a number of principles. These make the audit an effective and reliable tool to help support management policies and control. Adherence to these principles is a prerequisite for providing audit conclusions that are relevant and sufficient and for enabling auditors working independently from one another to reach similar conclusions in similar circumstances

Clause 4 of ISO 19011:2002




Write a detailed answer for each of the three questions in this section (each worth 10 points). The questions require answers that will normally fill the provided space. Each response should be written in complete sentences.

3.01 ISO 19011:2002 describes the seven audit activities in detail. Identify and explain the purpose of FIVE of the seven audit activities (2 points for each explanation of an audit activity):

Explanations of each of the seven audit activities are below (award 2 points for each explanation of an audit activity for a total of 10 points – students are required only to identify and explain five of the seven audit activities)

1) Initiating the Audit – is a formal process, ensuring confirmation from the auditee, selecting the audit team, defining the audit objectives, scope, and criteria.

2) Conducting Document Review – focuses on “intent” of the system. Does the system meet/cover the required clauses?

3) Preparing for On-site Audit Activities – preparing audit plans, assigning work to the team and preparing work documents such as checklists.

4) Conducting On-site Activities – opening meetings, preparing audit conclusions, interviews, collecting objective evidence, roles and responsibilities of guides and technical experts.

5) Preparing, Approving, and Distributing the Report – the audit team leader is responsible for the preparation and content of the audit report. The audit report must be issued to the audit client within the agreed time period.

6) Completing the Audit – the purpose of this phase is to formally conclude the onsite audit and to destroy or retain all documents pertaining to the audit.

7) Conducting Audit Follow-up – the audit follow-up is conducted to verify the completion and effectiveness of corrective actions taken by the auditee. The audit follow-up may be conducted as part of a subsequent audit.

Instructors should use their discretion when grading this question. The seven audit activities are outlined in Figure 2 on page 10 of ISO 19011:2002.



3.02 You have been assigned to audit an organization’s emergency preparedness and response processes. Your audit plan says you will need to interview the organization’s Environmental Management Representative. Write FIVE open-ended questions that will help you assess the organization’s conformance to ISO 14001:2004, clause 4.4.7 (2 points for each question).

Valid open-ended questions may include (award 2 points for each acceptable open-ended question for a total of 10 points):

How do you identify potential emergency situations and potential accidents that can have an impact on the environment?

How will you respond to an emergency situation or accident? How have you responded in the past to emergency situations or accidents? What steps have you taken to prevent or mitigate the associated adverse environmental

impacts from actual emergency or accidents? How do you review your emergency preparedness and response procedures? How do you revise your emergency preparedness and response procedures? How do you test your emergency preparedness and response procedures?

Instructors should use their discretion when grading the open-ended questions. No points should be awarded if the question is not open-ended or does not effectively address the emergency preparedness and response process. Instructors should consider the following question when evaluating students’ responses: will the questions help the auditor gather effective information on the organization’s ability to develop, review, and test emergency preparedness and response procedures?



3.03 The audit report is a key component of the auditing process.

A. First, describe the purpose of the audit report (2 points)B. Second, give FOUR examples of what should be included in the audit

report according to ISO 19011:2002 (1 point for each example)C. Third, give FOUR examples of what the audit report may include or

refer to, as explained in ISO 19011:2002 (1 point for each example)

The purpose of the audit report is to provide a complete, accurate, concise, and clear record of the audit (see clause 6.6.1 of ISO 19011:2002 – award 2 points for a valid description of the purpose of the audit report).

Examples of what should be included in the audit report include (award 1 point for each valid example the student provides for a maximum of 4 points):

Audit objectives Audit scope Identification of the audit client Identification of the team leader and members The dates and places where onsite activities were conducted Audit criteria Audit findings Audit conclusions

Examples of what may be included or referred to in the audit report includes (award 1 point for each valid example the student provides for a maximum of 4 points):

The audit plan List of auditee representatives A summary of the audit process Confirmation that the audit objectives have been accomplished within the scope Any areas not covered although within the scope Any unresolved diverging opinions between the audit team and the auditee Recommendations for improvement Agreed follow-up action plans Statement of the confidential nature of the contents Distribution list for the report

Responses for this question should come directly from clause 6.6.1 of ISO 19011:2002.




Three incidents are described in this section for a third-party audit of Northern Oil Corporation (NOC). Each scenario contains a situation that may require a nonconformity report. Examine each scenario carefully, and then take one and only one of the two following actions on the forms provided. The top portion of the provided forms are for a nonconformity and the bottom lined portions are for audit trail development, use only the applicable portion for your response. Placing information in both the nonconformity report form and in the audit trail for the same Incident will result in NO credit for your response:

a) If you think there is sufficient objective evidence of nonconformity, complete a nonconformity report (use the blank nonconformity reports on the following pages) and categorize it as major or minor. The sections of the nonconformity report will be graded as follows:

Area under review (1 point) ISO 14001:2004 Clause Number (1 point) Category (1 point) Requirement (3 points) Nonconformity Finding (4 points)

b) If you do not think there is sufficient objective evidence of a nonconformity, then:

Explain your reasoning for not issuing a nonconformity (2 points) Develop four audit trails an auditor should follow to gain additional evidence (2 points for

each audit trail).

Scenario Number 1 -10 points

As part of the delivery process for NOC, employees fill delivery trucks up with heating oil to be delivered to residences and businesses throughout the community. You identify that the truck filling operation is governed by a documented procedure. NOC has listed the potential for spills during the transfer of heating oil as a significant aspect. You observed this process and did not note any nonconformities. When interviewing the environmental management representative later in the day, you commented on the effectiveness of the process and the professionalism of NOC’s employees. The environmental management representative said, “thank you … we’ve meant to institute a similar documented procedure for the actual delivery of the oil. Because of our excellent training program we haven’t had any spills at a customer’s site yet.”




While discussing the management review process, the environmental management representative explained how the management team conducts management reviews every four months. The management representative showed you the meeting minutes for the management reviews from the past year, which all seemed to be in order. When you asked what actions management has taken to improve the system, the management representative then stated, “Well, we make all sorts of decisions on how to improve our EMS, but we haven’t really seen much of an impact. We’ve always felt that our system is very strong, but I cannot honestly claim that we’ve improved in the past year ... if anything we’ve regressed just a bit.”


Continuing with the audit of the delivery process you find that NOC has a number of outside fuel tanks where the delivery trucks are refilled with heating oil and that the organization conducts weekly soil samples in designated areas around the fuel tanks and the filling stations. Environmental personnel have undergone rigorous training to earn their Soils and Aggregate Laboratory Technician Certification to qualify them for conducting the soil sampling. The environmental personnel rely on calibrated equipment to monitor and measure the Total Oil/Grease (TOG) or Total Petroleum Hydrocarbon (TPH) levels in the soil. When reviewing Calibration Procedure (#CB-0141), you noted that the procedure requires the environmental personnel to calibrate the machine before each use. No logs are kept of the calibration results for the TOG/TPH analyzer. When reviewing the results of the samples, you see that in the past year, the TOG and TPH levels never exceeded legal limits or the limits set by NOC as “dangerous.”

END OF EXAMINATION QUESTIONS

Copies of nonconformity forms follow



Environmental Management System Audit Incident Number: 1 NONCONFORMITY REPORT

Company under Audit: Northern Oil Corporation

Area under Review: Heating Oil Delivery Process ISO 14001:2004 Clause Number: 4.4.6

Category: MAJOR MINOR

Requirement:

Clause 4.4.6 of ISO 14001:2004 requires organizations to identify and plan those operations that are associated with the identified significant environmental aspects and to establish, implement, and maintain a documented procedure to control situations where their absence could lead to a deviation from the environmental policy, objectives and targets.

Nonconformity/ Evidence:The significant aspect of potential spillage during home and business delivery of heating oil is not controlled by a documented procedure.

During an interview, the Environmental Management Representative stated that there was no documented procedure for the delivery of heating oil to residential and commercial customers.

Instructors should use their discretion when grading the student’s response.

If you do not think that there is sufficient evidence of nonconformity, explain your reasoning (2 points) and develop four audit trails an auditor should follow to gain additional evidence (2 points for each audit trail):

Scenario #1

This should be a nonconformity; however, if a nonconformity report is not written for this incident, a maximum of 6 points (out of 10) may be awarded on the condition the student clearly states the following:

An explanation of reasoning for not issuing a nonconformity (2 points) Four clearly written and valid audit trails (1 point each up to 4 points)



Environmental Management System Audit Incident Number: 2NONCONFORMITY REPORT


Area under Review: ________________ ISO 14001:2004 Clause Number:


Requirement:

Nonconformity/Evidence:

This should not be a nonconformity; however, if a nonconformity report is written for this incident, a maximum of 4 points (out of 10) may be awarded on condition that the student clearly states the following:

Statement of the correct appropriate clause (4.6) (1 point) MINOR nonconformity classification (1 point) Quote from the relevant clause of the standard (1 point) Clearly written nonconformity statement (1 point)

If the nonconformity is categorized as a MAJOR, award zero (0) points for the incident.


Scenario #2

There is no evidence that the organization does not conform to ISO 14001:2004. Although management representative may feel that the system has not improved, management appears to be taking actions in an attempt to improve the system. There also seems to be no reason to doubt management’s commitment to the system based on the regular management reviews that occur.

Examples of audit trails include (2 points should be awarded for valid audit trails for a total of 8 points):

Ask to see evidence of the actions management has taken (4.6). Ask to see how the organization measures the effectiveness of these actions (4.6). Ensure the results of the actions taken by management are used as inputs for subsequent management

reviews (4.6) Ensure that the changes required by management are actually conducted and communicated Ask to speak with another member of top management (4.6). Ask the environmental management representative why he/she doesn’t feel the system has improved (4.6). Examine the targets set by the organization to see if they are achievable or realistic (4.3.3).

Instructors should use their discretion when grading the student’s audit trails.



BSI Management Systems Environmental Management System Audit Incident Number: 3 NONCONFORMITY REPORT


Area under Review: Delivery Process ISO 14001:2004 Clause Number: 4.5.4


Requirement:4.5.1…The organization shall ensure that calibrated or verified monitoring and measurement equipment is used and maintained and shall retain associated records.

NOC Calibration Procedure #CB-0141 requires environmental personnel to calibrate the machine before each use.

Nonconformity/Evidence:There is no evidence of environmental personnel calibrating the TOG/TPH analyzer prior to use.There is no record for the calibration of the TOG/TPH analyzer by environmental personnel being made.

(Note: 4.4.6 may be acceptable if CB-0141 is identified as an operational control and that it is not being followed. Clause 4.5.4 Records may also be identified)

Instructors should use their discretion when grading the student’s response.


Scenario #3

This should be a nonconformity; however, if a nonconformity report is not written for this incident, a maximum of 6 points (out of 10) may be awarded on the condition the student clearly states the following:

An explanation of reasoning for not issuing a nonconformity (2 points) Four clearly written and valid audit trails (1 point each up to 4 points)


Exam 01 Solutions - EMS LAC, IG, Issue 4.2, 10-23-08

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