ISO 14001:2015 LAC

Mock Exam questions

Considering the requirements of clauses 6.1.2 and
6.1.4 of ISO 14001:2015, put the actions in the
.correct order to complete a process/task

1. Determine environmental aspects

2. Establish criteria to determine the significance of impacts
3. Determine which impacts are significant
4. Determine which aspects are significant
Which one of the following options is the
definition of an interested party in an
?EMS

1. A group or organization that can interfere in or perceive itself to be

interfered by a management decision.
2. A person or organization that can affect, be affected by, or perceive
itself to be affected by a decision or activity.
3. A third party that can make representation to an organization when
it perceives itself to be affected by a decision or activity.
4. An individual or organization that can influence, be influenced by, or
perceive itself to be influenced by a decision or activity.
In the case of ISO 14001 EMS audits that
follow the recommendations of ISO
19011, which two of the following
?statements are true
An audit on an external provider may also be referred to as a third-part,' audit.
EMS auditors do not need to evaluate the organization’s capability to respond
to and recover from disruptive incidents.
Internal auditors can audit their own work.
Second-party audits are conducted by certification body auditors with
experience in evaluating legal compliance.
The audit plan should consider the effect of the audit activities on the
auditee's
The frequency of internal audits is determined based on the results'
environmental importance of the processes concerned.
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
Control of the processes
Environmental policy
Improvement
Management review
Monitoring performance
Nonconformities
Auditors need to communicate effectively with auditees,
Therefore, their personal behavior is a key characteristic
needed to ensure a successful audit.
Below there is a list of these characteristics and a brief
related description. Match the characteristics to the
.descriptions

Descriptions Auditor's characteristics

Fair, truthful, sincere, honest, discreet
Willing to learn from situations
Tactful in dealing with individuals
Aware of and able to understand situations
Which two of the following options is not the
responsibility of a first-party EMS audit team
?leader

1. To communicate with the auditee's management

2. To introduce the audit team
3. To offer certification to the management
4. To propose corrective actions
5. To report the audit results to the management
6. To represent the audit team
that the audit includes coverage of a new
storage site on the other side of town that
they have taken over since the application
was made.
Which two of the following actions should the
•?Advise
auditor take
the EMS Manager that an extension of the scope is possible but will
have to go through established procedures.
• Advise the EMS Manager that the audit scope has been set and the audit will
need to proceed as planned.
• Advise the EMS Manager that, within the existing scope, the new site can be
included without any problem.
• Determine whether the EMS Management System covers the new site and, if
so, proceed with the audit.
• Inform the auditee that the Stage 2 will be changed to include the new site.
• Suggest that the EMS Manager cancels the audit contract and reapplies for the
new situation.
During an opening meeting of a Stag 2 audit, the
Managing Director of the client organization invites
the audit team to view a new organization
environmental video lasting 45 minutes.
Which two of the following responses should the
?audit team leader not make
• Suggest that the video can be viewed during the lunch break.
• Advise the Managing Director that the audit team has to maintain the audit
schedule of the audit plan.
• Ask if the video is available on the organization’s website,
• Invite the Managing Director to the auditors' hotel for a viewing that
evening.
• State that the audit team leader will stay behind after the opening meeting
to view the video on behalf of the team.
• Suggest that the first five minutes of the video could be viewed to provide a
flavor of its content,
You have to prepare an audit plan. for a third-party ISO 14001
audit to an organization, ABC, that extracts oil and gas in the
Middle East. ABC's head office is in Houston, Texas, and it
outsources all in the oil field (planning, production,
maintenance, procurement, human resources) to local There are
no ABC personnel working in the oil fields.
?What would be your best decision
• Advise the EMS Manager that an extension of the scope is possible but will
have to go through established procedures.
• Advise the EMS Manager that the audit scope has been set and the audit will
need to proceed as planned.
• Advise the EMS Manager that, within the existing scope, the new site can be
included without any problem.
• Determine whether the EMS Management System covers the new site and, if
so, proceed with the audit.
• Inform the auditee that the Stage 2 will be changed to include the new site.
• Suggest that the EMS Manager cancels the audit contract and reapplies for the
new situation.
Which two of the following documents are not required for
documentation review by an auditor conducting a Stage I
?certification audit to ISO 14001

• A list of planned emergency responses

• A management review record
• An internal audit schedule
• An organization’s financial statement
• Documented information on the environmental objectives
• List of environmental aspects
Which two of the following items are required in an audit plan
?for an EMS certification audit

• Audit checklist
• A sample plan
• A statement of confidentiality
• A timeline of audit activities
• Audit scope
• Auditee signature
An audit team leader arrives at a steel fabrication organization that
manufactures fire stairs to carry out a Stage 2 certification audit. At a
meeting with EMS Manager, she is told that they have won their biggest
contract from a construction organization 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.
During the audit, a team member found that several complaints were
made to the organization that their installation operators were seen
disposing of excess paint into the site drains, which breached legal
requirements. The EMS Manager blames the contractors they had to take
on because of the big contract. The auditor raises a nonconformance
against clause 8.1 of ISO 14001.
?1.
Which one of the
The organization didfollowing statements
not provide the would
correct resources support
to prevent this Finding
the environmental incidents
from taking place.
2. The organization failed to check the competency of the operators to perform work in an
environmentally friendly way.
3. There was no record that the operators were aware of the environmental risks associated with
their work.
4. There was no statement in the installation contract of the need for the subcontractor to
comply with the EMS policy.
XM, a chain of 25 petrol stations, established an EMS following the requirements of
ISO 14001, which was third-party certified 10 years ago. You are performing an
internal audit before the fourth certification cycle.
During the audit to the EMS Manager (EM), the following dialogue takes place:
You: Could you please give me some details on the inspection of underground tanks
in each station?
EM: It's very simple. There is a regulation that requires an annual leak inspection.
You: Who performs these inspections?
EM: I personally contract the inspectors and submit the results to the local authority.
These are the certificates submitted last year.
You: I see only 22 certificates. There are three missing.
EM: The tanks of those three stations will removed next year and replaced by new
ones. I phoned the local authority and they told me that I do not need to send any
.report of the tanks that will be changed
?Which one of the following would be your next question

1. Can I see the contract XM signed with the inspector?

2. Can I see the plan for the installation of the new tanks?
3. Did you ask the local authority to send a written confirmation of their decision?
4. Have you planned any final disposal of the tanks to be removed?
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

Audit DEMO's head office personnel

Business information on DEMO
DEMO's environmental policy
DEMO's quality policy
Environmental impacts related to the demolition
Regulatory approval for DEMO's activities
XM's contract with DEMO to conduct the work
XM's supervision of DEMO when doing the work
You are the audit team third-party initial certification audit to ISO 14001
for two days of the audit. This is the first time you lead an audit, and a
second member of the team is a qualified audit team leader who will
evaluate your performance as the audit team leader.
During lunch on the second day, you are informed that the second
member of the audit team will have to leave the audit due to personal
problems but could return the following day.
.What would you do? Select the best two options

1. Ask the auditee if they are happy to continue without the second member.
2. Ask the auditee if they could accept to extend the audit till the following day.
3. Cancel the audit and ask the certification body to reschedule it.
4. Continue with the audit under your leadership and revise the audit plan for the rest of day
two.
5. Urgently contact the certification body and explain the situation.
6. Urgently contact the certification to see if there is a lead auditor available to lead the
remaining part of the audit.
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 Neighbour
Country B. They moved every single piece of the plant (equipment, systems); the
new plant has the same lay out, the same dimensions, the same suppliers of raw
materials and the same customers. Even more, most 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. 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

1. ABC's Environmental policy

2. Emergencies from external conditions
3. Environmental conditions
4. External issues related to the context of the organization
5. Legal Requirements
6. Maintenance of infrastructure
7. Personnel competence
8. Process for assessing risks
9. Requirements ABC chooses to comply with
10. Roles and their responsibilities
11. Significant environmental aspects
A huge public library established an EMS following the requirements of ISO 14001, which was third-
party certified 10 years ago. You are performing the second surveillance audit of the third
certification cycle. The audit plan included an audit of the Director as the last interview before the
closing meeting.
During the interview with the Director, you audit clause 6.2 (Objectives and planning to achieve
them). The dialogue is as follows:
You: Could you please tell me which were the environmental objectives defined for last year and
show evidence of their achievement?
Director: Yes. We had defined three As you can see from our Annual Plan, one of them was to
separate our waste into four categories: paper, plastics, metals, and food — before, we had only
three (plastic and were disposed of together). The deadline is in six months' time. We developed an
Action Plan to achieve this objective.
Which six of the following questions would you ask related to
?this objective

1. What happens if the completion date is not achieved?

2. Did you communicate it to relevant personnel?
3. Did you keep any documented information?
4. How and when will you update it, as appropriate?
5. How is it being monitored?
6. Is it consistent with the environmental policy?
7. Is it measurable?
8. Was it approved by the Director?
9. Was the Environmental Manager responsible for its establishment?
10. What resources did you need?
A multi-level shopping center is open every day to the public During an external audit of the center to ISO 14001,
you establish that they are 40 vending machines that are permanently switched on. Thirty of them do not sell
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 center. 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?
Select three options that would provide evidence of
.conformance with clause 9.1.1 of ISO 14001

1. A procedure that provides instructions in taking meter readings and using them to plot
a graph.
2. Ambient temperature measurements of management offices.
3. An increase in the visitors using the center.
4. Certification showing that the meters are calibrated to known standards.
5. Installing motion sensor lighting in to switch lights off automatically when empty.
6. Periodic analysis of the results of meter readings.
7. Training records for center staff.
8. An environmental objective to achieve lower energy consumption.
Sparkle is an organization that provides r cleaning services at
customers' premises. It has been certified to ISO 14001 for
some time and has a pointed a new EMS Manager. The audit
plan during a surveillance audit includes the improvement
actions and the auditor asks to see the most recent
management review meeting minutes,
Which six statements would represent input audit evidence for
the management review?
1. Allocation of a bigger budget for the EMS department
2. Changes in the EMS documentation
3. Changes to the significant environmental aspects
4. Minutes of previous management reviews
5. Plan to prioritized environmental improvement as a business strategy
6. Procurement of new spill kits for operators
7. Proposals related to continual improvement
8. Report of performance of EMS objectives in the last year
9. Report showing the changes in environmental risks
10. Staff feedback of environmental risks
You are conducting a Stage 2 certification audit of VitalSpark, a pharmaceutical organization manufacturing vitamins and other
healthcare in a separate area in the center 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 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 scog2 of the EMS,
You raise a nonconformance against clause 6.1.2 of ISO 14001.
At the closing meeting, the audit team leader presents the findings of the audit and comes to the above nonconformity. The
EMS Manager presents the auditors with a print-out from the subcontractor's website stating that the organisation is certified
to ISO 14001. He asks that the nonconformity be withdrawn.
Which two would you consider to be the best corrective actions
?from ABC

1. We asked the EMS to include this issue in the next internal audit
2. We identified environmental aspects related to the external provider's activities
3. We retrained procurement personnel on the ISO 14001 requirements
4. We revised the contract to add the relevant environmental requirements
5. We revised the procurement process
6. We will discuss the issue during the next management review