PECB : ISO-14001-Lead-Auditor Questions & Answers

A large chemical organisation, CrackerPRO, has a plant located in a rural area surrounded by livestock farms.
When cleaning several vessels 4-5 times per day, it releases water vapor with a strong acidic smell lasting for
10 minutes each time.
You are conducting a second-stage initial certification audit at the plant. When auditing the processes of assessing impacts and identifying environmental aspects with the Environmental Supervisor, you find that the emission of that acidic vapor has not been evaluated as a significant aspect. During further auditing, you learn that neighbouring farmers have made repeated complaints in the last 6 months about the acid smells and reported an increase in animals becoming sick as a result.
The Environmental Supervisor states that the farmers are looking for financial compensation from the company which their lawyers are resisting. She insists that no legal requirements have been broken and that all complaints have been rejected.
You raise a nonconformity against ISO 14001. Based on the scenario, select one of the options which would constitute an acceptable nonconformity.

• A. 7.4.3 - CrackerPRO failed to communicate to neighbouring farmers concerning the release of acidic vapours resulting from its chemical cleaning operations.
• B. 4.2.c - The needs and expectations of neighbouring farmers were not incorporated into the Environmental Management System as compliance obligations.
• C. 6.1.2 - The organisation failed to review its decision on not considering the significant aspect of acidic vapour emissions when interested parties reported serious impacts resulting from these emissions.
• D. 6.1.3 - CrackerPRO failed to meet its compliance obligations concerning its environmental impacts on neighbouring farms.

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. 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)
• B. The Environmental Manager did not visit the oxygen supplier. (Clause 7.4.3)
• C. The contractor's environmental policy is not consistent with the organisation's policy (Clause 5.2)
• D. 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)
• E. The aspects related to the use of heavy goods trucks was not identified. (Clause 6.1.2)
• F. Documentation of environmental impacts was missing for the supplier of oxygen. (Clause 6.1.2)
• 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 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)

When an organisation needs to determine the resources required for the internal audit programme, which one of the following issues does not impact on the achievement of its intended results?

• A. Access by the audit program manager to the competence records of the Environmental Management System (EMS) Manager.
• B. Availability of the necessary documented information.
• C. Availability of competent auditors and technical experts.
• D. Impact of different time zones.

A small services organisation has been contracted to handle the disposal of waste for a local hospital. You are an auditor conducting a Stage 2 audit of the hospital to ISO 14001. You are reviewing the contract with the Service Manager (SM) of the small organisation. An addendum to the contract only requires that biological waste be disposed of in the most environmentally friendly way, without reference to any regulatory requirements.
You: How was the waste disposal plan for the contract developed?
SM: We have a basic template that covers the materials, labour requirements, and methods to be employed.
Some of that is specified by the hospital.
You: How does the plan deal with specific items like biological waste, which are included in the contract and can pose biological hazards to the environment?
SM: The basic plan covers general waste, but we have an addendum that covers biological waste.
You: Are you aware of the regulatory requirements for environmentally responsible waste disposal standards in hospitals?
SM: Yes, in general, but we depend on the hospital to look after that side of things. They are the experts.
You raise a nonconformity against section 8.1.c of ISO 14001.
At the Stage 2 closing meeting of the audit, the hospital ' s EMS Manager objects to the nonconformity raised and asks for it to be withdrawn. He insists that they meet all the regulations.
Which option the audit team leader should take in response to the request?

• A. Offer to downgrade the nonconformity to an opportunity for improvement if the hospital can prove its compliance with regulations.
• B. Confirm that it is a valid nonconformity supported by a lack of evidence for meeting the requirement.
• C. Advise that the nonconformity will be reconsidered after the meeting.
• D. Consult with the auditor who raised the nonconformity and ask whether he will agree to withdraw it.

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