PECB ISO-14001-Lead-Auditor real exam prep : PECB Certified EMS ISO 14001 Lead Auditor Exam

You are the audit team leader of a third-party initial certification audit to ISO 14001 for two days of audit.
This is the first time you lead an audit, and a second member of the team is a qualified audit team leader who will evaluate your performance as the audit team leader.
During lunch on the second day, you are informed that the second member of the audit team will have to leave the audit due to personal problems but could return the following day.
What would you do? Select the best two options.

• A. Ask the auditee if they could accept to extend the audit till the following day.
• B. Continue with the audit under your leadership and revise the audit plan for the rest of day two.
• C. Cancel the audit and ask the certification body to reschedule it.
• D. Urgently contact the certification body to see if there is an audit team leader available to lead the remaining part of the audit.
• E. Ask the auditee if they are happy to continue without the second member.
• F. Urgently contact the certification body and explain the situation.

A chain of 10 paint shops in a city has established an EMS following the requirements of ISO 14001, which was third-party certified 10 years ago. You are performing a second-party audit. The audit plan included an interview with the General Manager (GM). The dialogue was as follows:
You: Hi, good evening. I have seen well-developed environmental risk assessment processes. However, I did not find the identification of emergency situations included in the results of this process. The Environmental Manager (EM) could not provide me with an acceptable answer to this question.
GM: The EM joined us two months ago, and he may not know some decisions we made some time ago, when we first certified our EMS. During those days, I met with all 10 supervisors and asked them what the emergencies were that they feared most. They unanimously said: fire. That was it. This is the only emergency we care about. As far as I remember, we do not test the plan very often because the supervisors of all our 10 shops know it very well. The auditors of our certification body accepted this. We have not had a fire in the last 10 years.
What evidence would you need to review to determine conformity with ISO 14001 in this scenario? Select six
.

• A. Number of persons working in each shop.
• B. Signage related to health and safety in each shop.
• C. Records of the specific fire combat training of workers.
• D. Replacements of supervisors of each shop when they are absent (for any reason).
• E. Reports of the management reviews.
• F. More details on whether the risk assessment process was applied to emergencies.
• G. Reports of the last two fire drills performed.
• H. Reports of audits from the certification body.
• I. Minutes of the meeting with supervisors where a fire was determined as the only emergency situation.
• J. General competence records of all 10 supervisors.
• K. Results of the inspection of fire extinguishers.
• L. Shops that have tested the plan in the last 10 years.

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

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 informed that they have secured their largest 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.
During the audit, a team member found that several complaints had been made to the organisation regarding their installation operators being seen to dispose of excess paint into the site drains, which breached legal requirements. The EMS Manager blames the contractors they had to take on because of the big contract. The auditor raises a nonconformance against clause 8.1 of ISO 14001.
Which one of the following statements would support this finding?

• A. There was no record that the operators were aware of the environmental risks associated with their work.
• B. The organisation did not provide the correct resources to prevent the environmental incidents from taking place.
• C. There was no statement in the installation contract of the need for the subcontractor to comply with the EMS policy.
• D. The organisation failed to check the competence of the operators to perform work in an environmentally friendly way.

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 the awareness of subcontractor personnel of the environmental policy set by management.
From the following options, select two issues that all subcontractor personnel should be aware of relating to the organisation's environmental policy.

• A. Conducting environmental risk assessments
• B. Communicating with trade unions
• C. Continual improvement of the EMS
• D. Complying with legal requirements
• E. Commitment to environmental protection
• F. Addressing customer complaints