Online Access Free ISO-14001-Lead-Auditor Practice Test

An audit team leader arrives at a steel fabrication organisation that manufactures fire escape stairs to carry out a Stage 2 certification audit. At a meeting with the EMS Manager, she is told that they have won their biggest contract from a construction organisation to manufacture and install fire escape stairs. They appointed a subcontractor to perform the installation work. The EMS Manager wants the ISO 14001 audit extended to cover the installation site and has set environmental objectives for the subcontractor in line with the EMS policy below:
"It is the policy of the organisation to protect the environment by acting with responsibility at all times, to comply with relevant legislation and to set objectives that will enhance our environmental performance." The auditor seeks evidence of awareness of the environmental objectives set by management for installation subcontractor personnel.
From the following options, select two objectives that align with the policy.

• A.Continual improvement of production performance
• B.Complying with the EMS scope
• C.Planning for site environmental resources
• D.Reducing environmental impacts
• E.Involvement of stakeholders
• F.Promoting environmental awareness

An auditor from the headquarters of a large international chemical organisation is auditing a branch located along the bank of a river. During the opening meeting, the General Manager explained that 10 minutes before, the local environmental authority had sent an email informing that the organisation had been fined due to very high values of BOD and COD measured downstream. The General Manager said they are quite confident in solving the problem, as explained by their external compliance consultant. The auditor visited the laboratory and did not find any potential deviation. A competitor just built a plant across the river.
Match the following issues with the relevant ISO 14001 clause.

Correct Answer:

Explanation:
* Laboratory data analysis: 9.1.1
* External compliance consultant: 7.2
* Waste discharge as an environmental aspect: 6.1.2
* Use of the applicable regulation: 6.1.3
* A new plant across the river: 4.1
* Water treatment plant operational control: 8.1
* Communication with the new plant: 7.4
* Compliance with regulations: 9.1.2
In accordance with ISO 14001:2015, audit trails must be evaluated against their corresponding standard requirements.
Evaluating external factors such as the competitor's new plant across the river relates directly to understanding the organization and its context (Clause 4.1). Identifying waste discharge into the river aligns with identifying environmental aspects and associated impacts (Clause 6.1.2), while determining relevant legal standards for discharge represents determining compliance obligations (Clause 6.1.3). Evaluating the competence of external advisors, such as the compliance consultant, falls under competence requirements (Clause 7.2). External interactions or dialogue regarding shared environmental conditions fall under communication processes (Clause 7.4).
Operationally, managing water treatment operations to ensure effluent compliance represents operational planning and control (Clause 8.1). Monitoring and analyzing laboratory sampling data corresponds to monitoring, measurement, analysis, and evaluation (Clause 9.1.1). Finally, evaluating actual compliance status relative to environmental fine notifications and legal limits requires evaluating compliance (Clause
9.1.2).
References: ISO 14001:2015 Clauses 4.1, 6.1.2, 6.1.3, 7.2, 7.4, 8.1, 9.1.1, 9.1.2, and CQI-IRCA ISO 14001 Lead Auditor Curriculum (EMS Requirements and Audit Trail Mapping).

CleanHavenServices is a national dry cleaning and laundry organisation with 50 shops. You are conducting an EMS surveillance audit of the Head Office and are sampling environmental performance measurements. You find that all failures to meet compliance criteria originate from five shops in the same region. Most of these failures relate to the release of volatile organic compounds (VOCs), which exceed regulatory limits. The Environmental Manager tells you that these are the oldest shops in the organisation. He states that the cleaning equipment needs replacing, but the organisation cannot afford it now. He was instructed six months ago by Head Office to stop monitoring the air quality in the five shops.
On raising the matter with senior management, you are told that there are environmental objectives to replace the equipment in these shops over the next five years, which will eventually solve the problem.
After further auditing, you raised four nonconformities against ISO 14001.
Based on the scenario, select the four options which best describe the evidence for raising such nonconformities.

• A.The release of Volatile Organic Compounds exceeding regulatory limits did not align with the organisation ' s environmental policy to protect the environment.
• B.The organisation failed to adequately control the laundry operations in five shops and produced greenhouse gases exceeding regulatory limits.
• C.The senior management was unaware that future regulations will likely ban the use of Volatile Organic Compounds in dry cleaning processes.
• D.No action was taken when the earlier sampling of air quality showed regulatory limits being exceeded.
• E.The organisation failed to improve its environmental performance when monitoring of air quality in five shops was terminated.
• F.The management failed in planning to replace obsolete equipment which damages the environment.
• G.The organisation does not measure Volatile Organic Compound emission levels to determine whether environmental regulatory limits were being met.
• H.Shop managers were told to ventilate the laundry area and ignore the pungent odour of the Volatile Organic Compounds.

Which two of the following actions are the exclusive responsibility of an audit team leader during all stages of an initial certification audit?

• A.Defining the duration of the audit
• B.Planning the audit
• C.Sending the report to the accreditation body
• D.Granting certification to the organisation being audited
• E.Communicating with the auditee regarding the logistics for the audit
• F.Evaluating the process established by the auditee to identify significant environmental aspects

You are conducting a Stage 2 certification audit of Fitalot, a pharmaceutical organisation manufacturing vitamins and other healthcare medicines. In a separate area at the centre of their large site, a supplier produces oxygen that is piped directly into the manufacturing processes of Fitalot. They also deliver oxygen in bulk tankers to other customers. When you review the environmental aspects register, you find that the only environmental aspect recorded for this arrangement relates to the heavy goods vehicles of the supplier transiting the site.
You ask the EMS Manager about the environmental consequences of this arrangement for Fitalot and are told that they are not significant, since the supplier provides its own services for water, sewage, waste, and energy.
The EMS Manager tried unsuccessfully to communicate with the supplier, who is located inside the Fitalot site. He said they were outside the scope of the EMS and therefore never audited.
After gathering more evidence, you note down findings against several clauses of ISO 14001. Determine which three of the findings stated are major nonconformities.

• A.The EMS Manager had some problems communicating with the supplier by mobile phone as an interested party. No other methods of communication were employed. (Clause 7.4.3)
• B.The contractors environmetal policy is not consistent with the organisation ' s policy (Clause 5.2)
• C.Documentation of environmental impacts was missing for the supplier of oxygen. (Clause 6.1.2)
• D.The environmental aspects related to the use of heavy goods trucks were not identified. (Clause 6.1.2)
• E.Evidence was found to indicate that the needs of some interested parties had not been considered by the organisation. A neighbour ' s interests had not been identified. (Clause 4.2.b)
• F.The environmental manager did not visit the oxygen supplier (Clause 7.4.3)
• G.The internal audit programme does not cover the on-site supplier. (Clause 9.2.2)
• H.The organisation has failed to include in the EMS scope the activities, products and services associated with suppliers and contractors performing their activities on its own site. (Clause 4.3)