Question Bank Module 4
Question Bank Module 4
Question Bank Module 4
1. Give the process flow diagram for management of an environmental audit programme.
4. Explain in brief about major and minor nonconformities that affect the efficiency of
environmental management standards in an industry.
Major and minor nonconformities can differ depending on what sector your organization operates
in. Any type of nonconformity may have a greater environmental impact at a nuclear power station
than at a car parts retail facility; nonetheless, if you are handed a nonconformity you may fail your
14001:2015 audit, so it is vitally important that you understand the difference. With that in mind,
let’s look at some examples of each to help you relate this to your own business and understand
how both major and minor nonconformities may manifest in your company. Minor
nonconformities (a minor deficiency that does not seriously affect the efficiency of the EMS):
Let’s say your organization has a process and procedures, but it is discovered during the audit
that one person is not using this correctly or at all. This may be raised as a minor
nonconformity.
Your organization keeps maintenance records to prove machinery is maintained. This is
generally done, but one or two instances have been missed.
A procedure exists, but is not found to be accurate and needs an amendment to ensure the
process can be followed accurately.
Major nonconformities (a major deficiency that seriously impairs the effectiveness of the EMS):
The organization has failed to comply with or implement a clause of ISO 14001:2015.
There is no evidence, or evidence is not substantial enough, of corrective action.
Procedures are missing.
Minor and major nonconformities can be treated slightly differently, as some minor instances can
almost be fixed on the spot. However, a good practice is to use your established corrective action
procedure to ensure your nonconformities are treated in the correct way in terms of root cause
analysis, monitoring, and prevention of reoccurrence. Remember that clause 10.2 of the
14001:2015 standard specifies how to deal with nonconformity and corrective action, and
documenting any changes that may occur in your EMS due to repairing nonconformity falls firmly
into that category. So, if you treat the process of repairing a nonconformity as you would with any
corrective action, you will have evidence to demonstrate compliance to the auditor if executed
correctly. While prevention is better than cure, we understand that in reality there will be instances
where we have to fix problems identified by an auditor.
investigate
understand
identify
These are used to help improve existing human activities, with the aim of reducing the adverse effects of
these activities on the environment. An environmental auditor will study an organization’s environmental
effects in a systematic and documented manner and will produce an environmental audit report. There are
many reasons for undertaking an environmental audit, which include issues such as environmental
legislation and pressure from customers.
12. With suitable example, explain corrective and preventive actions after preparation of
checklist.
The systematic process for CAPA has not really changed in the newer ISO management system
standards, which are aligned with the ISO Annex SL format. Corrective actions are about
improving behavior or performance of the process, and this hasn’t changed. In general, you need
to:
1) Identify the process problem – Define what the problem actually is. First, make sure the
problem is, in fact, a real problem, and not a perceived problem. A good test is if you can write the
problem with a requirement to compare, what is often called a “Should Be” and “Is” statement
(e.g. Parts should be nickel plated, parts were received painted black). If you can’t say what the
outcome should be (or is expected to be), then you may not have identified a real problem.
2) Identify how big the problem is – What is the scope of the problem? Make sure you understand
how big the problem to be addressed is. Is it just today’s product, or was yesterday’s product
affected too? Is it just this one product, or is it on more than one product? Make sure you know
what the problem is, and more importantly, what it is not. If the problem only happens on
Wednesday, this may be important information.
3) Take action to contain the problem – How can we stop the problem while we fix the root
cause? Make a correction to stop the problem for right now while you look for the ultimate cause
and fix that. Basically, what immediate checks or stop gap measures are you putting in place to
make sure that you will definitely catch the problem again if it recurs while you are fixing it.
4) Identify the root cause of the problem – What is the base of the problem, not just the surface
manifestation? This is the trickiest part. How do you make sure you have found the underlying
issue? There are many different ways to do this, from asking “Why” five times until you find the
ultimate cause, to more difficult methods like a classic Ishikawa (or Fishbone) Diagram. Whole
training courses have been dedicated to this topic, but suffice it to say that you want to try to
identify the underlying problem, not just a surface problem. After this step, it is wise to make sure
that your scope has not become bigger, making further containment actions necessary.
5) Come up with a plan to fix the root cause – What do you need to change to eliminate the root
cause? Decide what steps are needed to eliminate the root cause of the problem. Here, depending
on the problem, you will need to identify the cost and return on investment. How will it be funded
(if it is a complicated and expensive fix), and who needs to approve the expense? Make sure the
planned changes will not cause further problems.
6) Put your plan in place – Do what you have planned. This is as simple as following through on
your plan and making it happen. It could be as simple as implementing the preventive maintenance
program already described, or buying and installing a new piece of equipment because the old one
could no longer keep the accuracy you need.
7) Check that your plan worked – Make sure your plan was effective. Simply put, after you have
made your updates, wait a suitable amount of time and make sure the problem doesn’t recur. If it
does, you need to question if you got the actual root cause. This is the most important step, but
also the step that most companies have trouble with. Often, people want to close out the paperwork
quickly, or think the registrar requires closure early to demonstrate timeliness, but proper follow-
up is essential.
Many companies will have a corrective action form that follows this process, or a modified
process, to capture the information and ensure that you do not forget any steps. Having a good
systematic process is important to find and fix the root of the problem for large, systemic issues
within your organization. If you only treat the symptom, then the problem will come back. The
goal of corrective actions is to correct the root of the problem, so the failure does not recur.
13. What are roles and responsibilities of the auditor.
Environmental auditors assess the environmental operations and procedures for businesses,
governments, or utility companies. They are responsible for making sure the environmental
standards are being met by the business and detecting existing compliance problems or
environmental management deficiencies. Once problems are detected, they make
recommendations for corrections.
Environmental auditors conduct two different types of audits: environmental compliance audits
and management performance audits. The compliance audit is described above. A management
performance audit measures how a business is meeting criteria for management systems.
Typical Job Duties of Environmental Auditors
As an environmental auditor, you will be responsible for the regular auditing of all environmental
policies and procedures. This involves working with an audit team and with staff to get a good
picture of how environmental compliance is being handled. You will be responsible for:
Selecting and managing the audit team
Reviewing the operations of the business being audited and determining how environmental issues
are being handled
Gathering data on the business operations through on-site inspections, document reviews, staff
interviews, and other methods
Check business records for governmental permits and requirements, safety standards,
maintenance, and inventory control measures
Review emergency preparedness and response procedures
Review management systems, environmental monitoring programs and waste management efforts
Review employee training procedures and programs and the work environment for compliance
with government and corporate standards
Write and compile final audit reports including results of the audit and recommendations for
changes and improvement
Present the audit findings to the business managers and directors
Assist in the development of an environmental management plan
Follow up at a future time to ensure improvements and recommendations have been successfully
implemented.