Download PECB : ISO-14001-Lead-Auditor Fragen & Antworten als PDF & Test Software

The audit team leader presents the audit outcome at the closing meeting attended by the Chief Executive and the senior managers of a care home. The agenda involves the reporting of a low number of minor nonconformities in the EMS to ISO 14001. It becomes clear to the audit team leader and team members that the Chief Executive becomes increasingly agitated as the meeting progresses.
Before the audit team leader can present a summary of the audit results, the Chief Executive interrupts the report and angrily claims that the whole process is flawed and that the organisation has wasted its time on trying to get certification because it has chosen the wrong certification body.
Select the one option you would take as the audit team leader in response to the situation.

• A. Terminate the meeting to allow you to consult with your line manager in the certification body.
• B. Request firmly that the Chief Executive holds back his comments until the report is completed.
• C. Suggest that a meeting break is taken to allow a separate meeting with the Chief Executive to discuss his concerns.
• D. Bring the meeting to a close and advise that it will be rescheduled to continue at a later date.

XM, a chain of 25 petrol stations, established an EMS following the requirements of ISO 14001, which was third-party certified 10 years ago. You are performing an internal audit before the fourth certification cycle.
During the audit to the EMS Manager (EM), the following dialogue takes place:
You: Could you please give me some details on the inspection of underground tanks in each station?
EM: It ' s very simple. There is a regulation that requires an annual leak inspection.
You: Who performs these inspections?
EM: I personally contract the inspectors and submit the results to the local authority. These are the certificates submitted last year.
You: I see only 22 certificates. There are three missing.
EM: The tanks of those three stations will be removed next year and replaced by new ones. I phoned the local authority and they told me that I do not need to send any report of the tanks that will be changed.
Which one of the following would be your next question?

• A. Have you planned any final disposal of the tanks to be removed?
• B. Did you ask the local authority to send a written confirmation of their decision?
• C. Can I see the plan for the installation of the new tanks?
• D. Can I see the contract XM signed with the inspector?

A chemical organisation has a plant at which they have to clean several vessels 4-5 times per day, and during the process, they release for 5-10 minutes some water vapor with a strong acid smell.
You are the audit team leader and are auditing the plant, as part of a second-stage initial certification audit.
When auditing the environmental aspects register, you see that the emission of that acid vapor has not been evaluated as a significant aspect. You raise a nonconformity.
At the closing meeting, only two people are present: the Health & Safety supervisor and a sales analyst, neither of whom has participated in the audit.
You: Good evening, could you please inform the managers that we are ready to start with the closing meeting?
H & S Supervisor: Good evening. We are sorry to inform you that the Sales Manager was involved in a serious car accident, and the General Manager and the Environmental Manager have had to leave urgently to attend the emergency.
Sales Analyst: They have asked us to listen to what you need to say and to sign whatever we need to sign.
However, the Environmental Manager said that he will not accept the nonconformity related to the acid smell and requests you not to include it in the audit report. Here is a note in which he explains why.
Which one of the following would be your preferred response to the final comment made by the Sales Analyst?

• A. Please tell him that I will phone him in two days and will discuss the issue. Could you please give me his mobile number?
• B. OK. I will get in contact with my organisation to ask for instructions on what to do with this nonconformity. We will call you later as soon as we have an answer.
• C. Please tell him that this nonconformity has been reviewed with the Environmental Supervisor. I will include it in the report, making reference to his concern about it.
• D. OK. Please, let me review the note. I will try to see if I can change the text of the nonconformity if necessary. Let ' s take a 10-minute break, as I would like to discuss this issue with the audit team.

ABC is a large lubricant oils manufacturer located in country A. Due to tax exemption and other economic issues, they decided to move the whole plant to a neighbouring country B. They moved every single piece of the plant (equipment, systems); the new plant has the same layout, the same dimensions, the same suppliers of raw materials and the same customers. Even more, most personnel accepted to move to country B.
They operate a third-party certified EMS; the certificate was transferred to the new plant after a half-day audit from the certification body. You are auditing ABC ' s EMS in the new location, representing ABC ' s largest customer. When interviewing the Environmental Manager (EM), you ask:
You: Can I see the plan you developed to keep under control the impact of the EMS due to the change of site?
EM: We listed all elements and processes of the EMS that might need to be changed and selected those that we considered needed a careful review and probably a revision.
Below you will find that list; select six that you consider will need to be revised.

• A. Maintenance of infrastructure
• B. Environmental conditions
• C. Significant environmental aspects
• D. Roles and their responsibilities
• E. External issues related to the context of the organisation
• F. Process for assessing risks
• G. Personnel competence
• H. Requirements ABC chooses to comply with
• I. Legal requirements
• J. Emergencies from external conditions
• K. ABC ' s Environmental policy

You have been nominated as audit team leader for the second recertification to ISO 14001 of ABC, a public transport organisation in a big city. The audit is planned to take place in two months.
The audit program manager asks you to review the answer provided by ABC to a nonconformity raised by another auditor during the last surveillance audit carried out eight months ago.
The nonconformity reads as follows:
*"ABC does not always communicate its relevant environmental requirements to external providers.
Evidence: A two-month contract signed with a new external provider of the maintenance for ABC's buses did not contain any relevant environmental requirements."* Which two would you consider to be the best corrective actions from ABC?

• A. We will discuss the issue during the next management review.
• B. We revised the procurement process.
• C. We asked the EMS to include this issue in the next internal audit.
• D. We identified environmental aspects related to the external provider's activities.
• E. We retrained procurement personnel on the ISO 14001 requirements.
• F. We revised the contract to add the relevant environmental requirements.