QUESTION NO: 1
The following four statements relate to planning to respond to emergencies. Each statement is divided into two parts. Match the first part to the corresponding second part of each statement:
The following four statements relate to planning to respond to emergencies. Each statement is divided into two parts. Match the first part to the corresponding second part of each statement:
Correct Answer:
Explanation:
Post-emergency evaluations - A
Actions required - B
Periodic testing - C
Training - D
This question relates to ISO 14001:2015 Clause 8.2 - Emergency preparedness and response , which requires an organization to establish, implement, and maintain processes needed to prepare for and respond to potential emergency situations.
The correct matching is:
Post-emergency evaluations # to implement corrective actions
After an emergency or emergency drill, the organization should review what happened, evaluate the effectiveness of the response, and take corrective action where weaknesses or failures are identified.
Actions required # to mitigate impacts
Emergency planning must define actions needed to prevent or reduce adverse environmental impacts, such as spill containment, isolation of hazardous materials, shutdown procedures, or notification of relevant parties.
Periodic testing # of emergency plans
Emergency response arrangements should be tested periodically where practicable, for example through drills, simulations, or spill-response exercises.
Training # of emergency response personnel
Personnel involved in emergency response must be trained so they understand their roles, responsibilities, communication routes, and response procedures.
The two unused options - communication processes and including contact details - may be relevant to emergency planning generally, but they do not best complete the four statements shown in this question.
QUESTION NO: 2
Which one of the following options best describes the main purpose of a Stage 2 third-party audit?
Which one of the following options best describes the main purpose of a Stage 2 third-party audit?
Correct Answer: C
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QUESTION NO: 3
Auditors need to communicate effectively with auditees. Therefore, their personal behaviour is a key characteristic in ensuring a successful audit.
Below is a list of these characteristics and a brief related description. Match the characteristics to the descriptions.
Auditors need to communicate effectively with auditees. Therefore, their personal behaviour is a key characteristic in ensuring a successful audit.
Below is a list of these characteristics and a brief related description. Match the characteristics to the descriptions.
Correct Answer:
Explanation:
1-C, 2-B, 3-A, 4-D
The correct matching is:
1. Fair, truthful, sincere, honest, discreet # C. Ethical
An auditor must act with integrity and honesty. Being fair, truthful, sincere, honest, and discreet reflects ethical behaviour, which is essential because auditors handle sensitive information and must maintain trust.
2. Willing to learn from situations # B. Open to improvement
An auditor should be willing to improve their own audit approach, learn from experience, and adjust based on new situations. This supports continual improvement in audit competence.
3. Tactful in dealing with individuals # A. Diplomatic
Being diplomatic means handling people respectfully and tactfully, especially when discussing sensitive issues, audit findings, or possible nonconformities.
4. Aware of and able to understand situations # D. Perceptive
A perceptive auditor notices and understands situations, behaviours, risks, and evidence during the audit. This helps the auditor identify relevant issues and evaluate audit evidence effectively.
So, the final matched answer is:
Fair, truthful, sincere, honest, discreet - Ethical
Willing to learn from situations - Open to improvement
Tactful in dealing with individuals - Diplomatic
Aware of and able to understand situations - Perceptive
QUESTION NO: 4
An auditor of a catering services organisation reviews the environmental objectives set by top management.
One objective, set over one year before, requires waste materials to be separated for recycling. After further auditing, the auditor finds evidence that waste materials were not being separated for recycling as required and raises a nonconformity. The Catering Manager comments that staff members themselves are to blame for not taking proper care with the bins.
Which three of the following actions would be described as part of the ' correction ' by the organisation in dealing with the nonconformity?
An auditor of a catering services organisation reviews the environmental objectives set by top management.
One objective, set over one year before, requires waste materials to be separated for recycling. After further auditing, the auditor finds evidence that waste materials were not being separated for recycling as required and raises a nonconformity. The Catering Manager comments that staff members themselves are to blame for not taking proper care with the bins.
Which three of the following actions would be described as part of the ' correction ' by the organisation in dealing with the nonconformity?
Correct Answer: A,D,H
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QUESTION NO: 5
Showitoff is an organisation specialising in the design and production of wall decorating materials for the domestic market. During an ISO 14001 certification audit of the site, the auditor comes across an open, walled area just outside the maintenance department. It contains various scraps of wood and metal as well as several rusty components. They are lying on an oily floor. When asked about it, the EMS Manager states that he presumes that the materials come from maintenance work.
The auditor interviews the Maintenance Manager in his department. He notes that shelves containing various spares are well labelled and neatly stacked. He asked about the " dump " outside and is told that it contains some excess materials that the Manager likes to keep in case they come in handy at some stage. The auditor points out that the " dump " might be classed under regulations as a landfill site, which requires an operating licence. The Maintenance Manager is not aware of such a licence.
Which three statements represent good audit practice?
Showitoff is an organisation specialising in the design and production of wall decorating materials for the domestic market. During an ISO 14001 certification audit of the site, the auditor comes across an open, walled area just outside the maintenance department. It contains various scraps of wood and metal as well as several rusty components. They are lying on an oily floor. When asked about it, the EMS Manager states that he presumes that the materials come from maintenance work.
The auditor interviews the Maintenance Manager in his department. He notes that shelves containing various spares are well labelled and neatly stacked. He asked about the " dump " outside and is told that it contains some excess materials that the Manager likes to keep in case they come in handy at some stage. The auditor points out that the " dump " might be classed under regulations as a landfill site, which requires an operating licence. The Maintenance Manager is not aware of such a licence.
Which three statements represent good audit practice?
Correct Answer: A,C,H
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QUESTION NO: 6
You are the audit team leader of a third-party initial certification audit to ISO 14001 for two days of 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.
You are the audit team leader of a third-party initial certification audit to ISO 14001 for two days of 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.
Correct Answer: C,D
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QUESTION NO: 7
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 a well-developed environmental risk assessment process. 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 2 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 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 a well-developed environmental risk assessment process. 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 2 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.
Correct Answer: E,F,H,I,J,K
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QUESTION NO: 8
As a third-party auditor, you are leading a surveillance audit of ABC, an organisation that designs and manufactures a wide range of electric home appliances.
The first interview of the audit is with the Design Manager (DM). This was not your original plan, but the DM had to leave ABC as soon as the interview was over, and you agreed to see her first.
You: Reviewing the list of significant environmental aspects, I did not see any related to the use of the products by customers or their final disposition.
DM: We identified those aspects, but when determining their significance, none of those aspects was significant. You can see here the related documented information.
Considering that you have just started the audit and would need to interview other ABC personnel, which six of the following issues would provide you with further information on the answer given by the Design Manager?
As a third-party auditor, you are leading a surveillance audit of ABC, an organisation that designs and manufactures a wide range of electric home appliances.
The first interview of the audit is with the Design Manager (DM). This was not your original plan, but the DM had to leave ABC as soon as the interview was over, and you agreed to see her first.
You: Reviewing the list of significant environmental aspects, I did not see any related to the use of the products by customers or their final disposition.
DM: We identified those aspects, but when determining their significance, none of those aspects was significant. You can see here the related documented information.
Considering that you have just started the audit and would need to interview other ABC personnel, which six of the following issues would provide you with further information on the answer given by the Design Manager?
Correct Answer: B,C,D,E,G,J
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QUESTION NO: 9
Which two of the following documents are not required for documentation review by an auditor conducting a Stage 1 certification audit to ISO 14001?
Which two of the following documents are not required for documentation review by an auditor conducting a Stage 1 certification audit to ISO 14001?
Correct Answer: A,B
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QUESTION NO: 10
You are conducting a Stage 2 certification audit of Fitalot, a pharmaceutical organisation manufacturing vitamins and other healthcare medicines. In a separate area at the centre of their large site, a supplier produces oxygen that is piped directly into the manufacturing processes of Fitalot. 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 of this arrangement for Fitalot and are told that they are not significant, since the supplier provides its own services for water, sewage, waste, and energy.
The EMS Manager tried unsuccessfully to communicate with the supplier, who is located inside the Fitalot site. He said they were outside the scope of the EMS and therefore never audited.
After gathering more evidence, you note down findings against several clauses of ISO 14001. Determine which three of the findings stated are major nonconformities.
You are conducting a Stage 2 certification audit of Fitalot, a pharmaceutical organisation manufacturing vitamins and other healthcare medicines. In a separate area at the centre of their large site, a supplier produces oxygen that is piped directly into the manufacturing processes of Fitalot. 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 of this arrangement for Fitalot and are told that they are not significant, since the supplier provides its own services for water, sewage, waste, and energy.
The EMS Manager tried unsuccessfully to communicate with the supplier, who is located inside the Fitalot site. He said they were outside the scope of the EMS and therefore never audited.
After gathering more evidence, you note down findings against several clauses of ISO 14001. Determine which three of the findings stated are major nonconformities.
Correct Answer: B,C,G
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