Introduction:

Preparing for an examination can be stressful, not only because of the large volume of materials to be studied, with the limited time we get but also because of the huge fear of failing the exam. But, you can gain the confidence you need to pass the ISO 14001 lead auditor final exam with preparation and practice, also by revising the ISO 14001 lead auditor paper-based sample exam questions and answers.

In this article, we will look into a few CQI IRCA certified ISO 14001 lead auditor paper-based sample exam questions and answers to help you pass your final exam. 

CQI IRCA Certified ISO 14001 Lead Auditor Paper-Based Sample Exam Questions and Answers

To successfully complete CQI IRCA Certified ISO 14001 EMS Lead Auditor course, learners must pass both the continuous evaluation and the final examination.

1. Continuous Evaluation

The continuous evaluation is a formative assessment held throughout the 5 days course. You will undergo audit activities, and be provided daily feedback on your progress formulated to increase your knowledge in performing audits. The activities of each delegate are graded by the tutor. You need to successfully complete all the activities and score a minimum passing grade in the continuous evaluation.

2. Final Examination

Here are some of the key details you need to know before appearing for the final examination.

1. The duration of the exam is 120 Minutes. However, if you are a non-native speaker you will be given an extra 24 Minutes in addition to the 120 Minutes. 

2. The exam is conducted both in class or online depending on the mode of your training. (3FOLD Training conducts the entire training and the final exam online)

3. The only resource that you can use during the exam is the relevant ISO Scheme standard ISO 14001:2015. It is not permissible to use ISO 19011 standard.

4. Using an English dictionary is allowed but is not found useful by many of the participants as a constant reference to the dictionary may slow you down greatly.

ISO 14001 Lead Auditor Paper-Based Sample Exam Questions and Answers:

There are 4 sections in the ISO 14001 EMS Lead Auditor examination as illustrated in table 1 below. In this ISO 14001 lead auditor sample exam questions and answer article, we will examine one question per section and provide their answers.

In table 1, you can find the question break-ups and the passing scores. 

Table 1: ISO 14001 Exam Section and Question break-up

The above table shows us the total available and minimum marks to pass each section. It is mandatory to pass each section. For example: if you have scored 6 marks on section 1, 18 marks on section 2, 10 marks on section 3 & 30 marks on section 4, your subtotal would be 64 marks. Though you have scored a total of 64 marks, since you haven’t scored the minimum passing marks on section 3, it will be considered a fail. 

Now, let’s look at a few sample exam questions in each section.

Section 1:
This section has 5 questions and each carries 2 marks, minimum passing score on section 1 would be 4.5 marks out of 10 marks.

Sample Question: What is a positive or beneficial environmental aspect? Give an example.

Sample Answer:
An element of an organization’s activity that interacts with the environment and results in a positive or beneficial impact on the environment is called a positive environmental aspect.

Eg.: Use of sludge from paint shop through recycling, as a secondary fuel in a boiler

Note: CQI IRCA provides ATP a grading scheme. However, while grading the paper, it is not necessary that your answer must match exactly as per the grading scheme. Trainers will use their discretion while grading the paper according to the answer you have provided. Questions that relate to identifying the clause numbers are objective in nature and should match the grading scheme.

Section 2:
This section has 4 questions and each carries 5 marks, minimum passing score on section 2 would be 9.5 marks out of 20 marks.

Sample Question: Explain life cycle perspective as per ISO 14001:2015 and stages involved, In your own words.

Sample Answer:
Life cycle is interlinked stages of products or services from procuring raw material to final disposal of products.
The stages involved are: 

1. 1. Receipt of raw materials
   2. Design
   3. Production
   4. Delivery /Transportation
   5. Use of products
   6. End of life of products/Expiry of products
   7. Final disposal

Section 3:
This section has 3 questions and each carries 10 marks, minimum passing score on section 3 would be 14.5 marks out of 30 marks.

Sample Question: You are now about to audit the ETP facility of a large dairy plant processing raw milk into value-added products like cheese and butter. The ETP’s effluent consists of water, milk spillage, and cleaning agents that are used in the cleaning of containers. A negligible quantity of oils and greases used in the machinery are also present in the effluent.

Prepare a checklist of ten audit questions that you would ask based on the given scenario. Also mention the clause number of ISO 14001:2015 as well as the objective evidence that you will look for.

Sample Answer :

1. Show me the process flow map of the ETP process (4.4)
Objective Evidence: Process Flow Map of ETP process

2. Show me the analysis reports of the inputs to the ETP (4.4)
Objective Evidence: ETP Input material analysis

3. What are the process parameters that you have set for ETP operation? (8.1)
Objective Evidence: Operation Control Procedure for ETP process

4. What are your present controls for the ETP process? (8.1)
Objective Evidence: Operation Control Procedure for ETP process

5. Show me the daily ETP log for the month of April and May (8.1)
Objective Evidence: ETP Output material analysis

6.  What are the aspects and impacts associated with the ETP (6.1.2)
Objective Evidence: Aspect & Impact Register

7.  Of these aspects, which are the ones that have significant environmental impacts (6.1.2)
Objective Evidence: Aspect & Impact Register

8. What is the competence required to operate the ETP plant? (7.2)
Objective Evidence: Competence Requirement Matrix

9. Did you identify any environmental emergencies in the ETP process? (8.2)
Objective Evidence: Emergency Preparedness and Response

10. Can you produce the latest internal audit report of the ETP process? (9.2)
Objective Evidence: Audit findings

11. How did you address the non-conformities identified in the ETP process with corrective actions (10.2)
Objective Evidence: NC and CA Report

Section 4:
This section has 3 questions each carries 10 marks, minimum passing score on section 4 would be 14.5 marks out of 30 marks. (10 marks)

Questions in this section are designed to test your ability to analyze audit situations, evaluate audit evidence and apply knowledge of the audit criteria correctly.

You are required to either:

1. 1. Complete the non-conformity report template (or)
   2. Complete the audit investigation template

Depending on the case, you have to determine whether to use a non-conformity or audit investigation template.

Non-Conformity template grading rubric:

1. For correctly identifying the scenario as non-conformity (2 Marks)
2. Description of the nonconformity (3 Marks)
3. Relevant Evidence (3 Marks)
4. ISO 14001:2015 Clause and requirement (2 Marks)

or

Audit investigation template grading rubric:

1. Their reasons for why there is not yet sufficient evidence to report nonconformity. (2 marks)
2. Write four audit trails they would follow and specific examples of audit evidence. (8 marks)

Sample Question:

Scenario 1: An engineering company that is into manufacturing plastic injection-moulded components for home appliances, has a manufacturing capacity of 100000 units of moulded components per day that weigh up to 0.5 kg per unit. They have a common exhaust that sucks the emissions from all the seven injection moulding machines, passed through a scrubber that sprays a reactive chemical solution on the emission, neutralizing the emission to a considerable extent, leaving a small volume of CO2 to the atmosphere, a quantity acceptable to the regulatory requirements. The Consent Order requires the organization to monitor the emission-quality and quantity once a week. Their license to operate in the Consent Order states that they also need to measure the ambient air quality just outside their factory periphery once in a week.

The Auditor asks the Factory Manager to show the evidence of having measured the emission levels and ambient air quality on a weekly basis. The Production Manager shows the evidence of having used environmentally friendly plastic granules as also the Material Safety Data Sheet (MSDS) of the raw material used. The Certificate of Quality for the plastic granules shows a five-star quality, the highest level as per national standards.

MSDS also states that the raw material used is not toxic in the operating temperature range of 50 to 150 deg. Centigrade.  He states that the workers never complained of any obnoxious odour and the neighbors are also quite understanding; hence weekly monitoring could be a waste of money and time. The organization has donated over 2000 books to the local school and college. They have also planted over 2500 trees in the forest area that lies 5 km from the factory.

Sample Answer: 

1. Non-conformity.

2. Description of Non-conformity: The compliance obligation is to monitor and measure the emission quality and peripheral air quality. However, the same was not evident from the Factory Manager’s statement.

3. Relevant Evidence: Absence of weekly monitoring records, as required under compliance obligation; Factory Manager’s statement confirming non-measurement of emission and air quality.

4. ISO 14001:2015 Clause and requirement:

9.1.2 (b) Evaluation of compliance

The organization shall establish, implement and maintain the process(es) needed to evaluate fulfillment of its compliance obligations.

The organization shall:

b) evaluate compliance and take action if needed;

Note: The EMS Exam is a closed book, only the ISO 14001:2015 standard will be allowed during your exam.

As part of the ISO 14001:2015 EMS Lead Auditor training program, participants will get a full-length specimen examination with answers and grading rubrics. This will help facilitate the preparation for the final examination. 3FOLD Training tutors can help you understand each element of the final examination.

What if you don’t pass the final examination?

We have a stellar passing track record. In the unlikely event of you not passing the final exam, the second attempt is completely free of cost. However, this will likely change because CQI IRCA is planning to administer the exam through a third-party testing partner.

We hope this ISO 14001 Lead Auditor sample exam questions and answers article has helped to ease the tension that you may have regarding the ISO 14001 final exam and show you that with our guidance and hard work, you can pass the ISO 14001 final exam!

Why 3FOLD?

3FOLD provides world-class training resources, including mock and specimen exam patterns for ISO 14001 EMS Lead Auditor course; this will help you know the type of questions to expect in the final exam. 

Interested in knowing more?

Enroll in 3FOLD ISO 14001:2015 EMS Lead Auditor Course to gain access to our Learning Management System (LMS) where we have more ISO 14001 Lead Auditor sample exam questions and answers to help you in your final exam.

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