Learn with PECB : ISO-14001-Lead-Auditor training material for 100% pass

The audit lifecycle describes the ISO 19011 process for conducting an individual audit.
Which two of the following are part of conducting the audit activities?

• A. Determine audit feasibility
• B. Distribute the audit report
• C. Hold the opening meeting
• D. Verify corrective action effectiveness
• E. Assign work to the audit team
• F. Determine audit conclusion

You are leading a recertification audit of XM, a manufacturer of cosmetic products. After the initial certification, XM moved to another site.
After the opening meeting, you are visiting the new site with the production manager (PM). The dialogue is as follows:
You: It seems that you are doing some work in the right-hand corner of the site.
PM: Yes, when we moved to this site, there was a very old, three-story building; it was almost empty, and we decided to demolish it and build a new office for the administrative personnel. DEMO services are doing the job, which is almost over.
You: Do you know what the old building was used for?
PM: I was told that it was a warehouse for chemical storage, including a laboratory and toilets for the personnel. It also had a chimney. I do not know what for.
You: Did you consider it necessary to refer to some parts of the EMS for this work?
PM: No, we were busy moving all the equipment and materials to the new site. We did not have time to care about something that was going to disappear.
Which four audit trail issues would you follow?

• A. Audit DEMO ' s head office personnel
• B. XM ' s supervision of DEMO when doing the work
• C. XM ' s contract with DEMO to conduct the work
• D. Business information on DEMO
• E. DEMO ' s quality policy
• F. Regulatory approval for DEMO ' s activities
• G. Environmental impacts related to the demolition
• H. DEMO ' s environmental policy

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

An internal auditor of a manufacturer of aluminium products for the car industry raised a nonconformity against section 6.2.2 of ISO 14001 in Report IA202. The nonconformity (NC3) stated:
" Top management has not analysed why none of the environmental objectives set for the last year have been met. " A third-party auditor reviewing the internal audit process came across the nonconformity and found that no corrective action was documented. The EMS Manager confirmed no action had been taken, but added he expected a number of objectives to be achieved in the next three months, so there was no need for further action. He explained in confidence that the organisation was fighting a takeover bid and resources for environmental projects had been cut.
From the information, select three nonconformities that the auditor could raise to ISO 14001.

• A. 7.4.3 - Management should communicate the impacts of the takeover on the EMS to the bidders.
• B. 9.2.2 - Report IA202 contained a nonconformity (NC3) lacking in necessary detail.
• C. 7.4.2 - Staff were not made aware that environmental projects were being scaled back.
• D. 6.2.1 - New environmental objectives associated with the takeover should be set.
• E. 10.2.a - Management failed to take corrective action to deal with the audit nonconformity.
• F. 9.3 - A management review should be undertaken to determine the implications of the takeover on the EMS.
• G. 6.2.2 - Actions were not planned to achieve environmental objectives set by management.
• H. 7.1 - The top management failed to provide the resources needed to meet the objectives.

An organisation has the following environmental policy document displayed in the reception area.
" This organisation is committed to providing electric cables to customers ' requirements, in accordance with environmental regulations for their manufacture, use and disposal. The organisation will strive to increase the environmental awareness of its personnel, suppliers, subcontractors and interested parties. Continual environmental EMS improvement is a permanent objective of the organisation. This policy shall be communicated to all employees with the opportunity for them to seek clarification where required. Where required, the policy shall be communicated to all interested parties. " Referring to the above policy statement, select three options for which the organisation is meeting ISO 14001 requirements.

• A. The organisation uses suppliers committed to environmental sustainability.
• B. The organisation has a commitment to environmental protection.
• C. The organisation makes available its environmental policy to interested parties.
• D. The organisation has a good reputation for recycling its waste.
• E. The organisation clearly meets all compliance obligations.
• F. The organisation is committed to continual improvement.
• G. The organisation satisfies its customers ' environmental requirements.
• H. The organisation ' s processes deliver the intended improvement to the environment.