ISO-14001-Lead-Auditor PECB Certified EMS ISO 14001 Lead Auditor Exam exact Exam Questions

PECB Certified EMS ISO 14001 Lead Auditor Exam

Last Update 16 hours ago Total Questions : 66

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Question # 1

You are auditing the ISO 14001 management system of a primary school (School 21st Century) located in downtown Lima, Peru. There are 400 students, attending classes from 9 am until 5.30 pm.

You have presented a nonconformity at the closing meeting:

Non-conformity - No environmental aspect has been identified related to the impact of the education provided by the school on students ' awareness (as future adults) related to generic environmental issues.

Select the three best acceptable corrections that the school may take.

Revise the school ' s environmental policy to include environmental concerns

Ask the National Environmental Agency for reading materials to give to students before the lecture by the expert

Add the education on generic environmental issues to the list of environmental aspects of the school ' s EMS

Establish environmental objectives for the school

Hire an environmentalist next month to deliver a couple of lectures on the environment to all employees of the school, except students

Thoroughly review the syllabus for next year to include environmental issues whenever appropriate

Review the procedure for waste management in the school

Question # 2

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

Nonconformities

Management review

Monitoring performance

Question # 3

An audit team leader arrives at a steel fabrication organisation that manufactures fire escape stairs to carry out a Stage 2 certification audit. At a meeting with the EMS Manager, she is informed that they have secured their largest contract from a construction organisation 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 had been made to the organisation regarding their installation operators being seen to dispose 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.

Which one of the following statements would support this finding?

There was no statement in the installation contract of the need for the subcontractor to comply with the EMS policy.

There was no record that the operators were aware of the environmental risks associated with their work.

The organisation did not provide the correct resources to prevent the environmental incidents from taking place.

The organisation failed to check the competence of the operators to perform work in an environmentally friendly way.

Question # 4

The audit lifecycle describes the ISO 19011 process for conducting an individual audit.

Which two of the following are part of conducting the audit activities?

Hold the opening meeting

Assign work to the audit team

Distribute the audit report

Verify corrective action effectiveness

Determine audit feasibility

Determine audit conclusion

Question # 5

Whistlekleen is a national dry cleaning and laundry organisation with 50 shops. You are conducting an EMS surveillance audit of Head Office and are sampling environmental performance measurement. You find that 80 per cent of failures to meet performance criteria originate from five shops in the same region. Most of these failures relate to the release of volatile organic compounds (VOCs) that exceeds regulations. The Environmental Manager tells you that these are the oldest shops in the organisation. The cleaning equipment needs replacing but the organisation cannot afford it at the moment.

On raising the matter with senior management, you are told that there are plans to replace the equipment in these shops over the next five years.

Select two options that apply to how you should respond to the information given.

Criticise the equipment replacement period as being too environmentally damaging for too long

Raise an opportunity for improvement (OI) to reduce damaging emissions

Evaluate whether the process for measuring environmental performance is effective

Extend the audit plan to include the five shops

Recommend that staff in the five shops should have medical check-ups due to air pollution

Determine if the local authority has been informed that the organisation is exceeding VOC emissions

Question # 6

Which two of the following actions are the exclusive responsibility of an audit team leader during all stages of an initial certification audit?

Granting certification to the organisation being audited

Evaluating the process established by the auditee to identify significant environmental aspects

Communicating with the auditee regarding the logistics for the audit

Planning the audit

Defining the duration of the audit

Sending the report to the accreditation body

Answer:

C, D

Explanation:

The correct answers are C and D .

The audit team leader is responsible for leading and managing the audit process. This includes planning the audit and communicating with the auditee about audit arrangements and logistics , such as timing, site access, availability of personnel, audit schedule, and practical arrangements.

C. Communicating with the auditee regarding the logistics for the audit — Correct

The audit team leader normally acts as the main communication link between the audit team and the auditee during audit planning and execution. This includes confirming arrangements, audit timetable, opening and closing meetings, guides, access requirements, and other practical matters.

D. Planning the audit — Correct

The audit team leader is responsible for preparing the audit plan, coordinating audit team activities, assigning audit tasks, and ensuring the audit objectives, scope, and criteria are addressed.

The other options are incorrect:

A. Granting certification to the organisation being audited — Incorrect

Certification is granted by the certification body , not by the audit team leader. The audit team provides audit findings and conclusions, but it does not make the independent certification decision.

B. Evaluating the process established by the auditee to identify significant environmental aspects — Incorrect

This is an audit activity performed by the audit team as part of assessing ISO 14001 EMS conformity. It is not exclusive to the audit team leader.

E. Defining the duration of the audit — Incorrect

Audit duration is determined by the certification body or audit programme management using applicable certification rules, complexity, size, scope, risks, and environmental aspects. The audit team leader may work within the assigned duration but does not exclusively define it.

F. Sending the report to the accreditation body — Incorrect

The audit report is normally submitted to the certification body/client according to certification procedures. Accreditation bodies oversee certification bodies; they are not the routine recipient of every audit report from the audit team leader.

Therefore, the two exclusive audit team leader responsibilities are C and D .

Question # 7

You are starting the opening meeting of an unannounced audit of MX, a spare parts supplier of ABC; you are an external consultant who regularly performs second-party audits for ABC.

MX’s Production Manager seems to be quite surprised. He says:

PM: I do not understand what you are doing here. I am fully aware that our contract with ABC includes unannounced audits, but under the condition that ABC keeps placing orders to MX. In the last 12 months, after ABC’s last audit, we did not get any orders. So, what are you planning to see?

You: ABC gave me a list of external providers to audit 10 months ago. I am just following the plan. I think that I can audit the production processes of whatever product you are manufacturing.

PM: Sorry, Sir. You should audit our processes when we are manufacturing products for ABC. So, therefore, I propose to close the meeting right now.

What would you say?

Let’s prepare and sign a brief minute of this meeting where we both state our position.

Can I speak with the General Manager?

Can we have a break? I will contact ABC’s Purchasing Manager to clarify the contract.

I insist on carrying out the audit.

Question # 8

A large chemical organisation, CrackerPRO, has a plant located in a rural area surrounded by livestock farms. When cleaning several vessels 4–5 times per day, it releases water vapor with a strong acidic smell lasting for 10 minutes each time.

You are conducting a second-stage initial certification audit at the plant. When auditing the processes of assessing impacts and identifying environmental aspects with the Environmental Supervisor, you find that the emission of that acidic vapor has not been evaluated as a significant aspect. During further auditing, you learn that neighbouring farmers have made repeated complaints in the last 6 months about the acid smells and reported an increase in animals becoming sick as a result.

The Environmental Supervisor states that the farmers are looking for financial compensation from the company which their lawyers are resisting. She insists that no legal requirements have been broken and that all complaints have been rejected.

You raise a nonconformity against ISO 14001. Based on the scenario, select one of the options which would constitute an acceptable nonconformity.

7.4.3 — CrackerPRO failed to communicate to neighbouring farmers concerning the release of acidic vapours resulting from its chemical cleaning operations.

6.1.2 — The organisation failed to review its decision on not considering the significant aspect of acidic vapour emissions when interested parties reported serious impacts resulting from these emissions.

4.2.c — The needs and expectations of neighbouring farmers were not incorporated into the Environmental Management System as compliance obligations.

6.1.3 — CrackerPRO failed to meet its compliance obligations concerning its environmental impacts on neighbouring farms.

Answer:

Explanation:

The correct answer is B .

This scenario relates most directly to ISO 14001:2015 Clause 6.1.2 — Environmental aspects . The organisation must determine the environmental aspects of its activities, products and services that it can control or influence, and identify those that have or can have significant environmental impacts.

The acidic vapour release occurs 4–5 times per day , creates a strong acidic smell, and has led to repeated complaints from neighbouring farmers who allege impacts on livestock. This is strong audit evidence that the organisation should have reviewed whether the emission is a significant environmental aspect. Simply rejecting the complaints or saying no legal requirement has been broken does not remove the need to evaluate the environmental aspect and its potential impact.

Why B is correct:

CrackerPRO failed to adequately review the significance of acidic vapour emissions when new evidence became available through complaints and reported impacts from interested parties. This supports a nonconformity against Clause 6.1.2 .

Why the other options are not the best answer:

A. Clause 7.4.3 — External communication is not the strongest finding because the key failure is not simply communication with farmers; it is the failure to evaluate the environmental aspect properly.

C. Clause 4.2.c — Interested parties and compliance obligations is not correct because farmers’ needs and expectations do not automatically become compliance obligations. The organisation must determine which needs and expectations become compliance obligations.

D. Clause 6.1.3 — Compliance obligations is not supported because the scenario says no legal requirements have been broken, and there is no clear evidence of a specific compliance obligation that was not met.

Therefore, the acceptable nonconformity is B — Clause 6.1.2 .

Question # 9

Which two of the following options are an advantage of using a sampling plan for the audit?

Reduces the audit duration

Implements the audit plan efficiently

Gives confidence in the audit results

Overrules the auditor ' s instincts

Use of the plan for consecutive audits

Prevents conflict within the audit team

Question # 10

A large 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 environmental objectives were defined for last year and show evidence of their achievement?

Director: Yes. We had defined three objectives. 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, because plastic and paper were disposed of together. We developed an Action Plan to achieve this objective.

Which six of the questions would you ask related to the Action Plan?

Who was responsible for the completion of the plan?

Is it consistent with the environmental policy?

How was progress of the plan being monitored?

How did you measure it?

Were actions integrated into the organisation’s business processes?

Did you define any method for monitoring progress?

Was it approved by the Director?

Answer:

A, B, D, E, F, H

Explanation:

The correct answers are A, B, D, E, F and H .

This question relates to ISO 14001:2015 Clause 6.2 — Environmental objectives and planning to achieve them , especially Clause 6.2.1 and Clause 6.2.2 .

For environmental objectives, the organisation must ensure that objectives are consistent with the environmental policy, measurable where practicable, monitored, communicated, and updated as appropriate. When planning how to achieve environmental objectives, the organisation must determine what will be done, what resources will be required, who will be responsible, when it will be completed, how the results will be evaluated, including indicators for monitoring progress, and how actions to achieve objectives can be integrated into business processes.

A. Who was responsible for the completion of the plan? — Correct

The action plan should identify who is responsible for achieving the objective.

B. Is it consistent with the environmental policy? — Correct

The objective and related action plan should support the environmental policy, such as pollution prevention, environmental protection, compliance obligations, and improvement of environmental performance.

D. How did you measure it? — Correct

The objective should be measurable where practicable. For waste separation, measurement could include quantities of paper, plastic, metal, and food waste separated, contamination rates, or disposal/recycling records.

E. Were actions integrated into the organisation’s business processes? — Correct

ISO 14001 expects the organisation to consider how actions to achieve environmental objectives can be integrated into business processes. For a library, this may include cleaning routines, waste collection contracts, staff instructions, signage, and user-facing waste segregation points.

F. Did you define any method for monitoring progress? — Correct

The organisation should determine how progress toward the environmental objective will be monitored, such as periodic waste checks, contractor reports, internal inspections, or monthly waste data review.

H. Did you estimate what resources would you need? — Correct

The action plan should identify required resources. This could include separate bins, labels, staff time, communication materials, waste contractor arrangements, or training.

The two options not selected are:

C. How was progress of the plan being monitored? — Not selected

This is very similar to option F , but option F is the stronger wording because it asks whether a method for monitoring progress was defined as part of the planning process.

G. Was it approved by the Director? — Not required

ISO 14001 requires roles, responsibilities, resources, monitoring, evaluation, and integration into processes, but it does not specifically require every environmental objective action plan to be approved by the Director.

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