PECB Certified EMS ISO 14001 Lead Auditor - ISO-14001-Lead-Auditor

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

Which one of the following does not indicate the outcome of a finding in an audit?

• A. a minor conformity
• B. a recommendation
• C. a major non-conformity
• D. a conformity

A chain of 10 paint shops in a city has established an EMS following the requirements of ISO 14001, which was third-party certified 10 years ago. You are performing a second-party audit. The audit plan included an interview with the General Manager (GM). The dialogue was as follows:
You: Hi, good evening. I have seen well-developed environmental risk assessment processes. However, I did not find the identification of emergency situations included in the results of this process. The Environmental Manager (EM) could not provide me with an acceptable answer to this question.
GM: The EM joined us two months ago, and he may not know some decisions we made some time ago, when we first certified our EMS. During those days, I met with all 10 supervisors and asked them what the emergencies were that they feared most. They unanimously said: fire. That was it. This is the only emergency we care about. As far as I remember, we do not test the plan very often because the supervisors of all our 10 shops know it very well. The auditors of our certification body accepted this. We have not had a fire in the last 10 years.
What evidence would you need to review to determine conformity with ISO 14001 in this scenario? Select six
.

• A. Reports of the management reviews.
• B. Reports of audits from the certification body.
• C. Number of persons working in each shop.
• D. Replacements of supervisors of each shop when they are absent (for any reason).
• E. More details on whether the risk assessment process was applied to emergencies.
• F. Records of the specific fire combat training of workers.
• G. Results of the inspection of fire extinguishers.
• H. Shops that have tested the plan in the last 10 years.
• I. Reports of the last two fire drills performed.
• J. Minutes of the meeting with supervisors where a fire was determined as the only emergency situation.
• K. Signage related to health and safety in each shop.
• L. General competence records of all 10 supervisors.

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

Which two of the following phrases would apply to " audit criteria " ?

• A. Nonconformity report
• B. Management policy
• C. Financial objectives
• D. Audit conclusions
• E. ISO 14001 requirements
• F. Auditor competence