EMS EMS Corrective Actions & Continual Improvement 2 — Questions and Answers
Question 1: Which clause of ISO 14001:2015 specifically addresses nonconformity and corrective action?
- Clause 10.2 (Correct answer)
- Clause 6.1
- Clause 8.1
- Clause 9.3
Correct answer: Clause 10.2
Clause 10.2 of ISO 14001:2015 outlines the requirements for responding to nonconformities and implementing corrective actions.
Question 2: During an EMS audit, an auditor finds that an operator regularly bypasses a waste segregation procedure. What classification is this finding most likely to receive?
- Major nonconformity (Correct answer)
- Observation
- Opportunity for improvement
- Commendation
Correct answer: Major nonconformity
A systematic failure to follow a documented procedure that could lead to significant environmental impact is typically classified as a major nonconformity.
Question 3: What is a 'minor nonconformity' in an EMS internal audit context?
- An isolated lapse or single instance that does not constitute a systemic failure of the EMS (Correct answer)
- Any finding that does not require corrective action
- A nonconformity that was self-reported by the auditee
- A finding that applies only to administrative processes
Correct answer: An isolated lapse or single instance that does not constitute a systemic failure of the EMS
A minor nonconformity is an isolated deficiency that does not represent a systemic breakdown of the EMS but still requires corrective action.
Question 4: How should an EMS auditor treat an 'observation' identified during an audit?
- Document it as a potential area for improvement that does not yet constitute a nonconformity (Correct answer)
- Treat it with the same urgency as a major nonconformity
- Ignore it if no legal requirement is violated
- Immediately halt the audit and notify top management
Correct answer: Document it as a potential area for improvement that does not yet constitute a nonconformity
An observation is a factual audit finding that suggests a potential weakness or opportunity for improvement without meeting the threshold of a nonconformity.
Question 5: What information must be retained as documented evidence of a corrective action according to ISO 14001?
- The nature of the nonconformity, actions taken, results of those actions, and effectiveness review (Correct answer)
- Only the date the nonconformity was closed
- The names of all employees involved in the incident
- Only the final approval signature from top management
Correct answer: The nature of the nonconformity, actions taken, results of those actions, and effectiveness review
ISO 14001 clause 10.2 requires retaining documented information that captures the full corrective action lifecycle including the nature of the finding, actions taken, and effectiveness of those actions.
Question 6: What does it mean when an EMS auditor classifies a finding as an 'opportunity for improvement' (OFI)?
- The auditor has identified a way to enhance EMS performance that is not a requirement (Correct answer)
- The auditee has violated a legal regulation
- The finding requires immediate suspension of the activity
- The organization has failed to meet an ISO 14001 clause
Correct answer: The auditor has identified a way to enhance EMS performance that is not a requirement
An OFI is an auditor suggestion for enhancing EMS performance beyond current requirements, not a compliance failure.
EMS EMS Corrective Actions & Continual Improvement 2
Which clause of ISO 14001:2015 specifically addresses nonconformity and corrective action?