PECB ISO-14001-Lead-Auditor Valid Test : PECB Certified EMS ISO 14001 Lead Auditor Exam

You are auditing a regional distribution depot of Park and Spend, a major retail chain. In a corner, you notice a steel drum sitting in a pool of liquid, which is slightly leaking across a passageway which has a barrier to prevent access. You ask the Depot Manager what is in the drum and are told it is hydraulic oil for the forklift trucks. When you ask why it is kept there, you are told that it is not normally kept there, but one of the forklift trucks reversed into it during the previous shift when it was waiting to be moved to a maintenance area. He says that he will get the floor cleaned up right away.
Select the two options that would give you cause for concern in relation to conformance to ISO 14001.

• A. The oil from the leaking drum may cause ground contamination.
• B. Forklift trucks could be out of service due to a lack of hydraulic fluid at the time of maintenance.
• C. The oil drum was found in the wrong location, where it was exposed to collision with a forklift truck.
• D. The oil spilled may be a fire risk if it comes into contact with a hot surface.
• E. The forklift drivers might benefit from additional driver training.
• F. The wheels of the forklift trucks could create a slip risk by spreading the oil throughout the depot.

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 staff are responsible for energy consumption in the staff areas.
• B. The organisation ' s energy supplier sources renewable energy.
• C. The Centre Manager is trained in energy awareness.
• D. The organisation should take action to address its energy consumption.
• E. The vending machines are switched on permanently.
• F. The escalators are switched on permanently.

Which two of the following must be included in the audit scope of an ISO 14001 audit?

• A. Number of auditees to be interviewed
• B. External training providers
• C. The life-cycle stages of the products, processes and services
• D. Logistics of the audit
• E. Externally provided products, processes and services
• F. Quality system processes

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.
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 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 of. 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 did not have 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. Signage related to health and safety in each shop
• B. Shops that have tested the plan in the last 10 years
• C. Reports of the management reviews
• D. Replacements of supervisors of each shop when they are absent, for any reason
• E. Records of the specific fire combat training of workers
• F. Reports of audits from the certification body
• G. Results of the inspection of fire extinguishers
• H. General competence records of all 10 supervisors

You are responsible for the second surveillance audit of ABC, a medium-sized metal mechanical manufacturing organisation. The significant environmental aspects are loud noise, solid waste, energy consumption and liquid waste.
During the opening meeting, you are informed that when COVID-19 started, sales increased considerably, so they had to open a third shift, from 10 pm to 6 am. You interview the Production Manager.
You: How did you carry out this change and how did you evaluate the impact on ABC's EMS?
PM: It was very simple, we just did it.
You: Did you introduce any change in the EMS?
PM: No. It is the same processes, the same products, the same materials, therefore the same environmental aspects.
You: What about the people?
PM: We distributed the most experienced workers among the three shifts. They trained the newly hired personnel.
Which of the six key questions from the following list would you ask? Have you...

• A. reviewed the authorities and responsibilities of all roles?
• B. reviewed the infrastructure maintenance plan?
• C. reviewed the environmental objectives?
• D. developed any formal documented plan to change the EMS?
• E. reviewed the documented operational procedures?
• F. reviewed the emergency response plans?
• G. revised the internal audit programme?
• H. evaluated the extra amount of waste that will be generated?
• I. reviewed the needs and expectations of interested parties?