Pass PECB ISO-14001-Lead-Auditor Exam Info and Free Practice Test
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NEW QUESTION # 20
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 organisation's energy supplier sources renewable energy.
- B. The Centre Manager is trained in energy awareness.
- C. The organisation should take action to address its energy consumption.
- D. The escalators are switched on permanently.
- E. The vending machines are switched on permanently.
- F. The centre staff are responsible for energy consumption in the staff areas.
Answer: C,E
NEW QUESTION # 21
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 # 22
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. 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.
- B. Revise the incomplete environmental objectives to make them more achievable within 12 months.
- C. Embark on a training programme for internal auditors on the setting and evaluation of environmental objectives.
- D. Schedule additional internal audits in the internal audit programme for the next year, specifically to cover the completion of all environmental objectives.
Answer: D
NEW QUESTION # 23
An organisation has ISO 14001 EMS certification from a third-party certification body. Which one of the following represents an advantage of having accredited certification?
- A. An increase in the number of clients.
- B. Recognition of the credibility of the certification process.
- C. Clarity of the audit report.
- D. An increase in the marketing price of the organisation's products.
Answer: B
Explanation:
Accredited certification under ISO 14001 refers to certification that has been issued by a certification body that is itself accredited by a national accreditation body. This provides formal recognition that the certification body is competent to perform audits and issue certifications in accordance with ISO/IEC 17021 standards.
According to guidance in ISO 14001 Lead Auditor training materials and ISO/IEC 17021, one of the key benefits of accredited certification is:
"Recognition of the credibility, impartiality, and technical competence of the certification process and the certification body issuing the certificate." This recognition:
Increases stakeholder confidence (e.g., regulators, clients, the public), Supports market access and tender qualifications, Confirms that audits are performed in accordance with international best practices.
Option D correctly reflects the most strategic and system-level benefit of accredited certification.
The other options (A, B, and C) may result indirectly or are not directly linked to the purpose of accreditation.
Reference:
ISO/IEC 17021:2015 - Requirements for bodies providing audit and certification of management systems ISO 14001 Lead Auditor Course Guide - Module on Certification and Accreditation ISO 14001:2015 - Clause 3.1.1 & 3.1.2 (definition of EMS and system credibility)
NEW QUESTION # 24
During a Stage 1 audit, the EMS Manager asks 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 auditor take?
- A. Inform the auditee that the Stage 2 will be changed to include the new site.
- B. Determine whether the EMS Management System covers the new site and, if so, proceed with the audit.
- C. Advise the EMS Manager that an extension of the scope is possible but will have to go through established procedures.
- D. Advise the EMS Manager that the audit scope has been set and the audit will need to proceed as planned.
- E. Advise the EMS Manager that, within the existing scope, the new site can be included without any problem.
- F. Suggest that the EMS Manager cancels the audit contract and reapplies for the new situation.
Answer: B,C
Explanation:
According to ISO/IEC 17021-1:2015 Clause 9.2.2 and 9.3.1:
Scope changes may be accommodated during the certification process, but proper evaluation is required.
The auditor should:
Confirm whether the EMS has been extended to cover the new site (C).
Inform that scope expansion needs to follow formal procedures through the certification body (F).
Simply including the new site without evaluation (A) is incorrect.
The audit plan can be adjusted, but full reassessment (D) is unnecessary unless significant issues arise.
Reference: ISO/IEC 17021-1:2015 Clause 9.2.2, 9.3.1; ISO 14001 Lead Auditor Course Guide.
NEW QUESTION # 25
An organisation has the following environmental policy document displayed in the reception area:
"This organisation is committed to providing electric cables to customers' requirements, in accordance with environmental regulations for their manufacture, use and disposal. The organisation will strive to increase the environmental awareness of its personnel, suppliers, subcontractors and interested parties. Continual environmental improvement is a permanent objective of the organisation. This policy shall be communicated to all employees with the opportunity for them to seek clarification where required. Where required the policy shall be communicated to all interested parties." Referring to the above policy statement, select three options for which the organisation is meeting ISO 14001 requirements.
- A. The organisation has a good reputation for recycling its waste.
- B. The organisation is committed to continual environmental improvement.
- C. The organisation's processes deliver the intended improvement to the environment.
- D. The organisation makes available its environmental policy to interested parties.
- E. The organisation has a commitment to environmental protection.
- F. The organisation satisfies its customers' environmental requirements.
- G. The organisation uses suppliers committed to environmental sustainability.
- H. The organisation clearly meets all statutory requirements.
Answer: B,D,F
NEW QUESTION # 26
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 organisation's financial statement
- D. A management review record
- E. List of environmental aspects
- F. An internal audit schedule
Answer: C,D
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 # 27
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.
Answer:
Explanation:
Explanation:
Determine environmental aspects
Determine environmental impacts
Establish criteria to determine the significance of impacts
Determine which impacts are significant
Determine which aspects are significant
Plan actions to be taken
Determine how to evaluate the effectiveness of the actions taken
According to ISO 14001:2015 clause 6.1.2 (Environmental Aspects), an organization must determine the environmental aspects of its activities, products, and services that it can control and influence, and their associated environmental impacts.
Once identified, the organization shall:
Determine the aspects that can have significant impact on the environment using established criteria for evaluating significance. (Reference: ISO 14001:2015, clause 6.1.2) Then, as per clause 6.1.4 (Planning action), the organization needs to:
Plan actions to address significant environmental aspects, legal requirements, and risks/opportunities.
Determine how to evaluate the effectiveness of these actions to ensure continual improvement.
This logical sequence ensures a structured and risk-based approach to identifying and managing environmental impacts.
Reference: ISO 14001:2015 - Clause 6.1.2 and 6.1.4
NEW QUESTION # 28
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 to 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 objectives. As you can see from our Annual Plan, one of them was to separate our waste in four categories: paper, plastics, metals, food - before, we had only three (plastic and paper were disposed together). We developed an Action Plan to achieve this objective.
Which six of the questions would you ask related to the Action Plan?
- A. Was it approved by the Director?
- B. When is its completion date?
- C. How did you measure it?
- D. Were actions integrated into the organisation's business processes?
- E. How was progress of the plan being monitored?
- F. Did you define any method for monitoring progress?
- G. Who was responsible for the completion of the plan?
- H. Did you estimate what resources would you need?
- I. Is it consistent with the environmental policy?
- J. How will you evaluate the cost savings?
Answer: D,E,F,G,H,I
NEW QUESTION # 29
Which one of the following options describes the main purpose of a Stage 1 audit?
- A. To get to know the organisation
- B. To compile the audit plan
- C. To check for legal compliance by the organisation
- D. To determine readiness for Stage 2
Answer: D
Explanation:
According to ISO/IEC 17021-1:2015 Clause 9.3.2.1:
The main purpose of Stage 1 is:
"To evaluate the client's management system documentation and preparedness for Stage 2 audit." This includes reviewing:
The status of implementation.
The client's understanding of requirements.
Readiness for the Stage 2 audit.
While the auditor will learn about the organization (B) and may draft plans (C), these are supporting activities. Legal compliance checks (D) occur in Stage 2.
Reference: ISO/IEC 17021-1:2015 Clause 9.3.2.1.
NEW QUESTION # 30
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 congratulate the Maintenance Manager on having a neat and tidy spares store.
- B. The auditor should consider surveying more areas of the site for other "dumps".
- C. The auditor should advise the organisation to get rid of all the "dumps".
- D. The auditor should ask the Maintenance Manager to clean up the "dump".
- E. The auditor should refer the organisation to the relevant authorities.
- F. The auditor should raise a nonconformity against ISO 14001.
- G. The auditor should check the information given by the Maintenance Manager with the EMS Manager.
- H. The auditor should check whether the organisation has permission to operate a landfill site.
Answer: B,G,H
NEW QUESTION # 31
Which two of the following phrases would apply to "audit criteria"?
- A. Management policy
- B. Nonconformity report
- C. Financial objectives
- D. ISO 14001 requirements
- E. Auditor competence
- F. Audit conclusions
Answer: A,D
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 # 32
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 exceeded 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.
When reviewing the nonconformity report files, you find that the organisation is facing a legal dispute with the environmental authority over multiple breaches of environmental legislation.
Select the three best options for how this dispute should be handled by the organisation through its EMS.
- A. Monitor VOC emissions to ensure compliance with legal requirements.
- B. Advise the authority that the faulty equipment will be maintained more often.
- C. Give an explanation to the authority of what went wrong.
- D. Offer to compensate employees for possible health implications.
- E. Investigate changing the cleaning process to use chemicals with lower VOC content.
- F. Ask to settle the court case by negotiation with the authority.
- G. Conduct an internal enquiry to establish who is to blame.
- H. Advise the authority that timely corrective action will be taken.
Answer: A,E,H
NEW QUESTION # 33
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. 7.1 Resources
- B. 5.1 Leadership
- C. 9.1.2 Compliance obligations
- D. 9.2 Internal audits
- E. 4.2 Understanding needs and expectations of interested parties
- F. 5.2 Environmental Policy
Answer: C,E
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 # 34
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. Can I see the plan for the installation of the new tanks?
- B. Have you planned any final disposal of the tanks to be removed?
- C. Can I see the contract XM signed with the inspector?
- 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 # 35
Which two of the following options are an advantage of using a sampling plan for the audit?
- A. Use of the plan for consecutive audits
- B. Overrules the auditor's instincts
- C. Prevents conflict within the audit team
- D. Reduces the audit duration
- E. Implements the audit plan efficiently
- F. Gives confidence in the audit results
Answer: D,F
Explanation:
According to ISO 19011:2018 Clause 5.3.2 and Annex B (Audit Sampling):
Sampling allows auditors to:
Reduce audit time while still covering sufficient evidence (A),
Provide statistically valid assurance and confidence in the results (C).
Sampling does not replace auditor judgment (D), nor is it intended to prevent conflict (F) or be reused blindly for future audits (E).
Reference: ISO 19011:2018 Clause 5.3.2, Annex B.
NEW QUESTION # 36
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