Try PECB : ISO-14001-Lead-Auditor valid & accurate questions and answers

Which two of the following documents are not required for documentation review by an auditor conducting a Stage 1 certification audit to ISO 14001?

• A. An organisation ' s financial statement
• B. A list of planned emergency responses
• C. List of environmental aspects
• D. Documented information on the environmental objectives
• E. An internal audit schedule
• F. A management review record

Which two of the following actions are the exclusive responsibility of an audit team leader during all stages of an initial certification audit?

• A. Communicating with the auditee regarding the logistics for the audit
• B. Planning the audit
• C. Defining the duration of the audit
• D. Sending the report to the accreditation body
• E. Evaluating the process established by the auditee to identify significant environmental aspects
• F. Granting certification to the organisation being audited

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

An auditor from the headquarters of a large international chemical organisation is auditing a branch located along the bank of a river. During the opening meeting, the General Manager explained that 10 minutes before, the local environmental authority had sent an email informing that the organisation had been fined due to very high values of BOD and COD measured downstream. The General Manager said they are quite confident in solving the problem, as explained by their external compliance consultant. The auditor visited the laboratory and did not find any potential deviation. A competitor just built a plant across the river.
Match the following issues with the relevant ISO 14001 clause.

In the case of ISO 14001 EMS audits that follow the recommendations of ISO 19011, which two of the following statements are true?

• A. An audit on an external provider may also be referred to as a third-party audit.
• B. The frequency of internal audits is determined based on the environmental importance of the processes concerned.
• C. EMS auditors do not need to evaluate the organisation ' s capability to respond to and recover from disruptive incidents.
• D. Internal auditors can audit their own work.
• E. Second-party audits are conducted by certification body auditors with experience in evaluating legal compliance.
• F. The audit plan should consider the effect of the audit activities on the auditee ' s processes.