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PECB ISO-14001-Lead-Auditor Exam Syllabus Topics:
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NEW QUESTION # 14
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. General competence records of all 10 supervisors
- B. Records of the specific fire combat training of workers
- C. Signage related to health and safety in each shop
- D. Results of the inspection of fire extinguishers
- E. Replacements of supervisors of each shop when they are absent (for any reason)
- F. Reports of the last two fire drills you performed
- G. Reports of the management reviews
- H. More details on whether the risk assessment process was applied to emergencies
- I. Reports of audits from the certification body
- J. Minutes of the meeting with supervisors where a fire was determined as the only emergency situation
- K. Shops that have tested the plan in the last 10 years
Answer: B,D,F,G,H,K
NEW QUESTION # 15
Which one of the following outcomes of an audit does not require the auditee to respond?
- A. An opportunity for improvement.
- B. A diverging opinion concerning the audit evidence.
- C. A non-conformity.
- D. A conformity.
Answer: D
Explanation:
According to ISO 19011:2018 Clause 3.11 (Audit findings) and Clause 6.4.10:
Audit findings can be conformity, nonconformity, or opportunity for improvement.
A conformity simply confirms that the requirements have been met no further action is required from the auditee.
Nonconformities require corrective actions.
Opportunities for improvement may trigger voluntary action but not mandatory response.
Diverging opinions are handled during the audit but don't require post-audit response unless linked to nonconformity.
Reference: ISO 19011:2018 Clause 3.11, 6.4.10; ISO 14001 Lead Auditor Guide - Audit Findings.
NEW QUESTION # 16
A small services organisation has been contracted to handle the disposal of waste for a local hospital. You are an auditor conducting a Stage 2 audit of the care home to ISO 14001. You are reviewing the contract with the Service Manager (SM). An addendum to the contract only requires that biological waste is disposed of in the most environmentally friendly way, without reference to any regulatory requirements.
You: How was the waste disposal plan for the contract developed?
SM: We have a basic template that covers the materials, labour requirements and methods to be employed.
Some of that is specified by the contractor.
You: How does the plan deal with specific items like biological waste, which are included in the contract and can pose biological hazards to the environment?
SM: The basic plan covers general waste, but we have an addendum that covers biological waste.
You: Are you aware of the regulatory requirements for waste disposal standards in hospitals?
SM: Yes but we depend on the contractor to look after that side of things.
You raise a nonconformity against section 8.1.d of ISO 14001.
At the Stage 2 closing meeting of the audit, the EMS Manager objects to the nonconformity raised and asks for it to be withdrawn. He insists that they meet all the regulations.
Choose one of the options that the audit team leader should take in response to the request.
- A. Consult with the auditor who raised the nonconformity and ask whether he will agree to withdraw it.
- B. Confirm that it is a valid nonconformity supported by a lack of evidence for meeting the requirement.
- C. Advise that the nonconformity will be reconsidered after the meeting.
- D. Offer to downgrade the nonconformity to an opportunity for improvement if the organisation can prove its compliance with regulations.
Answer: B
NEW QUESTION # 17
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 be 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?
- A. Have you planned any final disposal of the tanks to be removed?
- B. Can I see the contract XM signed with the inspector?
- C. Can I see the plan for the installation of the new tanks?
- D. Did you ask the local authority to send a written confirmation of their decision?
Answer: D
Explanation:
According to ISO 14001:2015 Clause 9.1.2 (Compliance Obligations) and Clause 7.4 (Communication):
The organization must retain evidence of compliance obligations and communications with regulatory bodies.
Verbal confirmation from the authority is insufficient; written confirmation ensures objective evidence for audit purposes.
Reference: ISO 14001:2015 Clause 9.1.2, 7.4.
NEW QUESTION # 18
Which one of the following options best describes the main purpose of a Stage 2 third-party audit?
- A. To check for legal compliance by the organisation.
- B. To determine readiness for certification.
- C. To get to know the organisation's management system.
- D. To identify nonconformances against a standard.
Answer: D
Explanation:
According to ISO/IEC 17021-1:2015 (used alongside ISO 14001 for certification audits), the certification process includes Stage 1 and Stage 2 audits:
The purpose of the Stage 1 audit is to review the management system documentation and assess the organization's preparedness for Stage 2.
The Stage 2 audit's main objective is to evaluate the implementation, including the effectiveness, of the organization's management system. This includes assessing conformity with all the requirements of ISO
14001:2015.
As per ISO/IEC 17021-1:2015 Clause 9.3.2.2.2:
"The stage 2 audit shall take place at the site(s) of the organization. It shall include at least the following:
information and evidence about conformity to all requirements of the applicable management system standard." Thus, the Stage 2 audit is where auditors identify nonconformities and gather evidence to support certification decisions.
Reference: ISO/IEC 17021-1:2015 Clause 9.3.2.2.2; ISO 14001 Lead Auditor Course Guide - Certification Process Module.
NEW QUESTION # 19
You work for a certification body. In two months, you will have to lead an audit of a pharmaceutical organisation, ABC, that manufactures vaccines to combat a pandemic. When planning the audit team, you select one of the certification body auditors who is professionally qualified in Biochemistry and Pharmacy.
However, she is not fully aware of all legal applicable requirements. You recommend the certification body hire a compliance expert to assist the audit team. In which two clauses of ISO 14001:2015 would you consider that auditors may need the help of the expert?
- A. 9.1.2 Compliance obligations
- B. 7.1 Resources
- C. 4.2 Understanding needs and expectations of interested parties
- D. 5.1 Leadership
- E. 5.2 Environmental Policy
- F. 9.2 Internal audits
Answer: A,C
Explanation:
According to ISO 14001:2015:
Clause 4.2:
The organization must understand the needs and expectations of interested parties, which includes regulatory bodies and applicable legal requirements. Legal expertise may be necessary to fully assess this.
Clause 9.1.2:
The organization must evaluate compliance obligations, which requires understanding applicable legal requirements.
Legal compliance evaluation often requires specialized legal or regulatory knowledge, especially in highly regulated sectors like pharmaceuticals.
Reference: ISO 14001:2015 Clauses 4.2 and 9.1.2.
NEW QUESTION # 20
A group of 22 Italian restaurants in downtown San Francisco (US) established an EMS following the requirements of ISO 14001. You are performing an internal audit before the fourth certification cycle. The audit plan included an audit of the General Manager (GM) as the last interview before the closing meeting.
During the interview with the GM, you audit clause 10.3 (Continual improvement). The dialogue is as follows.
You: Could you please tell me how did you improve the EMS to enhance environmental performance (Clause
10.3)?
GM: One way to improve the EMS is to improve one or several of its processes. We decided to improve the water-consuming processes in all our branches. We use water in many of our processes (e.g. to wash our kitchens, our cutlery, plates, and glasses, to keep our floors clean). The idea was to review these processes in detail to reduce the amount of water used per customer. Each of the 22 branches sent us their results, we analysed the data and found out that the average water consumption per customer was reduced by 13%; therefore, we improved our environmental performance. We are happy about that.
You: What about the results in each branch?
GM: Have a look at this table:
Analysing this table, what would be your decision related to raising nonconformities to clause 10.3? Select two.
- A. I would raise a nonconformity for branches in D
- B. I would raise a nonconformity for branches in C and D
- C. I would raise a nonconformity for the whole group
- D. I would not raise any nonconformity
- E. I would raise a nonconformity for branches in B
- F. I would raise an opportunity for improvement for branches in B, C, and D
Answer: A,F
NEW QUESTION # 21
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?
- A. Monitoring performance
- B. Nonconformities
- C. Control of the processes
- D. Environmental policy
- E. Improvement
- F. Management review
Answer: A,B
Explanation:
As per ISO 14001:2015 Clause 10 (Improvement) and Clause 9 (Performance Evaluation):
The 'Check' phase includes activities that evaluate performance, such as:
Clause 9.1:
"The organization shall monitor, measure, analyze and evaluate its environmental performance." Clause 10.2:
"When a nonconformity occurs, the organization shall react to the nonconformity, evaluate the need for corrective action." Management review is part of the 'Act' phase (Clause 9.3), and Environmental Policy (Clause 5.2) belongs to
'Plan'.
Reference: ISO 14001:2015 Clauses 9.1, 10.2, 9.3, 5.2.
NEW QUESTION # 22
An oil organisation has a natural gas treatment plant on land crossed by several small rivers. On one particular day, after heavy rainfall for 48 hours, some of those rivers burst their banks and flooded the water treatment facilities of the plant. The oil-contaminated water reached some scarcely populated areas nearby.
Soon after, an internal audit was carried out to particularly analyse this event that was considered a nonconformity. There were no records of such heavy rainfall in the past 200 years.
Which three of the following actions are 'corrections'?
- A. Offer loans to the persons affected to build new houses far from the plant
- B. Clean up the affected land
- C. Relocate the water treatment plant to lower ground
- D. Reinforce the riverbanks with cement
- E. Clean up the houses of the persons affected
- F. Send the contaminated land for processing
- G. Revise the existing emergency plan
- H. Build up some additional protection to the water treatment plant
Answer: B,E,F
NEW QUESTION # 23
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. A list of planned emergency responses
- B. Documented information on the environmental objectives
- C. An internal audit schedule
- D. A management review record
- E. An organisation's financial statement
- F. List of environmental aspects
Answer: D,E
Explanation:
According to ISO/IEC 17021-1:2015 Clause 9.3.2.1 and ISO 14001:2015:
Stage 1 focuses on evaluating management system documentation (e.g., environmental aspects, objectives, emergency preparedness, audit schedule).
Financial statements (C) are not relevant to EMS certification.
Management review records (D) may not yet be available at Stage 1 if the EMS is not fully implemented.
Reference: ISO/IEC 17021-1:2015 Clause 9.3.2.1; ISO 14001:2015 Clauses 6.1.2, 6.2.1, 8.2.
NEW QUESTION # 24
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?
- A. Regulatory approval for DEMO's activities
- B. Business information on DEMO
- C. XM's contract with DEMO to conduct the work
- D. Environmental impacts related to the demolition
- E. XM's supervision of DEMO when doing the work
- F. Audit DEMO's head office personnel
- G. DEMO's quality policy
- H. DEMO's environmental policy
Answer: A,C,D,E
Explanation:
According to ISO 14001:2015:
Clause 6.1.2 & 6.1.4 (Environmental aspects and planning actions): demolition impacts must be identified and controlled (C).
Clause 8.1 (Operational planning and control): control of outsourced processes (supervision and contract requirements) (B, E).
Clause 9.1.2 (Compliance obligations): regulatory approvals for demolition (H).
The subcontractor's internal policies (A, D, F, G) are generally not part of XM's EMS obligations.
Reference: ISO 14001:2015 Clauses 6.1.2, 6.1.4, 8.1, 9.1.2.
NEW QUESTION # 25
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?
- A. The auditor should ask the Maintenance Manager to clean up the "dump".
- B. The auditor should advise the organisation to get rid of all the "dumps".
- C. The auditor should raise a nonconformity against ISO 14001.
- D. The auditor should check the information given by the Maintenance Manager with the EMS Manager.
- E. The auditor should congratulate the Maintenance Manager on having a neat and tidy spares store.
- F. The auditor should consider surveying more areas of the site for other "dumps".
- G. The auditor should check whether the organisation has permission to operate a landfill site.
- H. The auditor should refer the organisation to the relevant authorities.
Answer: D,F,G
NEW QUESTION # 26
An internal auditor of a manufacturer of aluminium products for the car industry asked to see the most recent management review minutes and found no reference to the completion of some of the current environmental objectives. He raised a nonconformity against section 9.3.c of ISO 14001 in Report IA202. The nonconformity (NC3) stated:
"Top management has not analysed why some of the environmental objectives have been met since the last management review." When discussing the finding with the Environmental Manager, the auditor was informed that planned actions taken to complete the current environmental objectives were specifically covered in the internal audit programme and did not need any further work done.
Select one of the options which would constitute an effective response by the Environmental Manager to the nonconformity.
- A. Embark on a training programme for internal auditors on the setting and evaluation of environmental objectives.
- B. Schedule additional internal audits in the internal audit programme for the next year, specifically to cover the completion of all environmental objectives.
- C. Revise the incomplete environmental objectives to make them more achievable within 12 months.
- D. Reject the non-conformity. Objectives do not have to be met within a year. Plans on how to achieve objectives are established and reviewed when conducting the internal audit programme.
Answer: B
NEW QUESTION # 27
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.
You raise a non-conformance against clause 6.1.2 of ISO 14001:
"VitalSpark does not maintain documented information on aspects/impacts related to activities, products and services of the oxygen supplier." Which combination of two of the following actions proposed by VitalSpark would permit you to close out the nonconformity?
- A. The oxygen supplier will be requested to implement an ISO 14001 management system within the next
3 months. - B. VitalSpark will expand its audit programme to include audits of the oxygen supplier's organisation.
- C. The oxygen supplier will be requested to undertake a full environmental survey of its processes.
- D. VitalSpark will suggest that the oxygen supplier should undertake training in environmental awareness.
- E. VitalSpark will retrieve environmental data on a monthly basis from the on-site supplier.
- F. VitalSpark will update its documented information on aspects/impacts to include those related to the oxygen supplier.
Answer: E,F
NEW QUESTION # 28
An organisation (ABC) plans to carry out a second-party audit of the environmental management system of a supplier (XYZ). Both, ABC and XYZ, have a certified Environmental Management System (EMS) to ISO
14001 by the same certification body.
Which one of these statements is correct?
- A. ABC should not ask permission from the certification body to carry out the audit to XYZ.
- B. ABC should inform the certification body that it is planning to audit XYZ.
- C. ABC should invite, as an observer, an auditor of the certification body when it carries out the audit to XYZ.
- D. ABC should request to see a copy of the last certification body audit report from XYZ.
Answer: A
Explanation:
According to ISO 19011:2018 Clause 3.5 (Second-party audit):
Second-party audits are conducted directly by customers on their suppliers for contractual or commercial purposes.
There is no obligation to inform or involve the certification body in such audits unless contractually required.
Certification body audit reports are confidential to the certified organization and the certification body.
Reference: ISO 19011:2018 Clause 3.5; ISO 14001 Lead Auditor Course Guide.
NEW QUESTION # 29
Which two of the following phrases would apply to "audit criteria"?
- A. ISO 14001 requirements
- B. Nonconformity report
- C. Audit conclusions
- D. Auditor competence
- E. Financial objectives
- F. Management policy
Answer: A,F
Explanation:
According to ISO 19011:2018 Clause 3.3 (Terms and definitions):
Audit criteria are defined as:
"Set of policies, procedures or requirements used as a reference against which objective evidence is compared." ISO 14001 requirements (F) and the organization's own management policy (A) are valid audit criteria.
Nonconformity report (C) and audit conclusions (D) are audit outputs, not criteria.
Financial objectives (B) and auditor competence (E) are not used as audit criteria.
Reference: ISO 19011:2018 Clause 3.3; ISO 14001:2015 Clause 5.2.
NEW QUESTION # 30
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