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PECB ISO-14001-Lead-Auditor Exam Syllabus Topics:
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PECB Certified EMS ISO 14001 Lead Auditor Exam Sample Questions (Q40-Q45):
NEW QUESTION # 40
You are leading a recertification audit of XM, a manufacturer of cosmetics 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-stories high building; it was almost empty, and we decided to demolish it and to 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 had also 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 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. DEMO's quality policy
- B. DEMO's environmental policy
- C. XM's supervision of DEMO when doing the work
- D. Regulatory approval for DEMO's activities
- E. XM's contract with DEMO to conduct the work
- F. Audit DEMO's head office personnel
- G. Business information on DEMO
- H. Environmental impacts related to the demolition
Answer: C,D,E,H
Explanation:
According to ISO 14001:2015:
Clause 6.1.2 & 6.1.4 (Environmental aspects and planning actions): demolition impacts must be identified and controlled (C).
Clause 8.1 (Operational planning and control): control of outsourced processes (supervision and contract requirements) (B, E).
Clause 9.1.2 (Compliance obligations): regulatory approvals for demolition (H).
The subcontractor's internal policies (A, D, F, G) are generally not part of XM's EMS obligations.
Reference: ISO 14001:2015 Clauses 6.1.2, 6.1.4, 8.1, 9.1.2.
NEW QUESTION # 41
A multi-level shopping centre is open every day to the public from 09:00-21:00 hours. During an external audit of the centre to ISO 14001, you establish that there are 40 vending machines that are permanently switched on. Thirty of them do not sell perishable foodstuffs. You also note that there are eight escalators in the complex that run constantly during public access. When asked about environmental performance improvement objectives, the Centre Manager says that there are plans to increase the natural daylight by installing more skylights thus saving on lighting costs, but the estimated budget for this has not yet been approved by the board.
You: I note that energy consumption is a significant environmental aspect in the centre. How do you mitigate the impacts of this?
EMS Manager: We try to reduce our energy costs by negotiating a better deal from the energy company. We are considering changing to one that only supplies electricity from renewable sources.
You: What steps have you taken to reduce overall consumption?
EMS Manager: We conducted awareness training for staff. For example, turning off lights in staff areas not being used.
You: I see that the escalators account for the highest usage of energy. Are there any objectives to try and reduce this?
EMS Manager: No, it would be too costly to change them.
You: How do you measure electricity consumption?
EMS Manager: We have meters installed in each floor of the centre. We take readings every hour and we plot the consumption graph for every staff shift.
You continue the interview and find that energy consumption has increased steadily over the past five years.
Select the two statements that are true.
- A. The Centre Manager is trained in energy awareness.
- B. The vending machines are switched on permanently.
- C. The organisation should take action to address its energy consumption.
- D. The centre staff are responsible for energy consumption in the staff areas.
- E. The organisation's energy supplier sources renewable energy.
- F. The escalators are switched on permanently.
Answer: B,C
NEW QUESTION # 42
A management system meeting ISO 14001:2015 requirements is based on the Plan-Do-Check-Act (PDCA) cycle.
Which two elements of the management system are part of the 'Check' stage of the PDCA cycle?
- A. Control of the processes
- B. Improvement
- C. Monitoring performance
- D. Environmental policy
- E. Management review
- F. Nonconformities
Answer: C,F
Explanation:
As per ISO 14001:2015 Clause 10 (Improvement) and Clause 9 (Performance Evaluation):
The 'Check' phase includes activities that evaluate performance, such as:
Clause 9.1:
"The organization shall monitor, measure, analyze and evaluate its environmental performance." Clause 10.2:
"When a nonconformity occurs, the organization shall react to the nonconformity, evaluate the need for corrective action." Management review is part of the 'Act' phase (Clause 9.3), and Environmental Policy (Clause 5.2) belongs to
'Plan'.
Reference: ISO 14001:2015 Clauses 9.1, 10.2, 9.3, 5.2.
NEW QUESTION # 43
You are conducting a Stage 2 certification audit of VitalSpark, a pharmaceutical organisation manufacturing vitamins and other healthcare medicines.
In a separate area in the centre of their large site, a supplier produces oxygen supplies piped directly into the manufacturing processes of VitalSpark. 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 to VitalSpark of this arrangement and are told that they are not significant since the supplier has its own services for water, sewage, waste and energy.
The EMS Manager tried unsuccessfully to communicate with the supplier who is located inside the VitalSpark site and outside the scope of the EMS.
After gathering more evidence, you note down findings against several clauses of ISO 14001. Determine which three of the findings stated are non-conformities.
- A. 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)
- B. The Environmental Manager did not visit the oxygen supplier. (Clause 7.4.3)
- C. Documentation of environmental impacts was missing for the supplier of oxygen. (Clause 6.1.2)
- D. The organisation has failed to include in the EMS scope the activities, products and services associated with suppliers and contractors performing their activities in its own site. (Clause 4.3)
- E. The aspects related to the use of heavy goods trucks was not identified. (Clause 6.1.2)
- F. 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)
- G. The internal audit programme does not include processes for control of subcontractor transport movements. The audit programme does not cover the full environmental management system. (Clause
9.2.2) - H. The contractor's environmental policy is not consistent with the organisation's policy (Clause 5.2)
Answer: C,D,G
NEW QUESTION # 44
Which one of the following options describes the main purpose of a Stage 1 audit?
- A. To get to know the organisation
- B. To compile the audit plan
- C. To determine readiness for Stage 2
- D. To check for legal compliance by the organisation
Answer: C
Explanation:
According to ISO/IEC 17021-1:2015 Clause 9.3.2.1:
The main purpose of Stage 1 is:
"To evaluate the client's management system documentation and preparedness for Stage 2 audit." This includes reviewing:
The status of implementation.
The client's understanding of requirements.
Readiness for the Stage 2 audit.
While the auditor will learn about the organization (B) and may draft plans (C), these are supporting activities. Legal compliance checks (D) occur in Stage 2.
Reference: ISO/IEC 17021-1:2015 Clause 9.3.2.1.
NEW QUESTION # 45
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