PECB Certified EMS ISO 14001 Lead Auditor Exam (ISO-14001-Lead-Auditor) Free Practice Test

Question 1

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

A. Overrules the auditor ' s instincts

B. Implements the audit plan efficiently

C. Use of the plan for consecutive audits

D. Prevents conflict within the audit team

E. Gives confidence in the audit results

F. Reduces the audit duration

Correct Answer: E,F

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Question 2

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At the Stage 2 closing meeting of the audit, the EMS Manager objects to the nonconformity raised and asks for it to be withdrawn.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. Offer to downgrade the nonconformity to an opportunity for improvement if the organisation can prove its compliance with regulations.

B. Confirm that it is a valid nonconformity supported by a lack of evidence for meeting the requirement.

C. Consult with the auditor who raised the nonconformity and ask whether he will agree to withdraw it.

D. Advise that the nonconformity will be reconsidered after the meeting.

Correct Answer: B

Question 3

In the case of ISO 14001 EMS audits that follow the recommendations of ISO 19011, which two of the following statements are true?

A. The audit plan should consider the effect of the audit activities on the auditee ' s processes.

B. Second-party audits are conducted by certification body auditors with experience in evaluating legal compliance.

C. The frequency of internal audits is determined based on the environmental importance of the processes concerned.

D. Internal auditors can audit their own work.

E. An audit on an external provider may also be referred to as a third-party audit.

F. EMS auditors do not need to evaluate the organisation ' s capability to respond to and recover from disruptive incidents.

Correct Answer: A,C

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Question 4

Which two audit characteristics are features of a Stage 1 initial certification audit?

A. Except for a pandemic or other natural disaster, this audit must be performed onsite at the auditee ' s location.

B. The purpose of this audit is to determine if the EMS is effectively implemented and maintained.

C. The audit team ' s recommendation regarding certification is the key outcome of this stage.

D. Gaps in the EMS against the requirements of ISO 14001 are reported as ' areas of concern ' .

E. Reviewing some of the auditee ' s documentation.

F. To conduct an analysis of the organisation ' s environmental system processes to determine compliance obligations.

Correct Answer: D,E

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Question 5

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 satisfies its customers ' environmental requirements.

B. The organisation uses suppliers committed to environmental sustainability.

C. The organisation has a good reputation for recycling its waste.

D. The organisation makes available its environmental policy to interested parties.

E. The organisation has a commitment to environmental protection.

F. The organisation clearly meets all statutory requirements.

G. The organisation ' s processes deliver the intended improvement to the environment.

H. The organisation is committed to continual environmental improvement.

Correct Answer: A,D,H

Question 6

During discussions with the individual(s) managing the audit programme of a certification body, the EMS Manager of the client organisation asks that only one auditor is used for the audit duration to save on travel expenses.
Which combination of the following responses should the individual(s) managing the audit programme make?
Select two.

A. Advise the EMS Manager that his request can be considered for future audits.

B. Suggest that the EMS Manager choose another Certification Body.

C. Advise that a remote audit could be conducted instead of an on-site audit.

D. Advise that the contract has already been signed and cannot be revised.

E. Suggest asking the Certification Body management to consider the request.

F. Advise that the audit team make-up is a decision for the Certification Body.

Correct Answer: E,F

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Question 7

Just before the closing meeting of a third-party audit, the audit team leader is invited to a meeting with the EMS Manager.
He tells the audit team leader that a member of the audit team was seen taking videos on the factory floor using his mobile phone and wants him suspended from the closing meeting with any nonconformities raised by him rescinded.
When asked about this, the auditor said that he had obtained permission from the Production Manager who was escorting him around.
Select three options of how the audit team leader might respond to the EMS Manager.

A. State that he will find out from the team member if the taking of videos was a routine method for him to gather evidence.

B. Insist that the nonconformities must stand since there is clear evidence from other sources apart from the videos.

C. State that the auditor will take no further part in the audit and all his videos will be deleted immediately.

D. Inform the EMS Manager that auditors take videos for their report to help management understanding at the closing meeting and that they will be deleted after the audit.

E. Advise the EMS Manager that the auditor was given permission by the Production Manager and that he will delete the videos immediately after the closing meeting.

Correct Answer: A,B,E

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Question 8

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.

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

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

C. Extend the audit plan to include the five shops

D. Evaluate whether the process for measuring environmental performance is effective

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

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

Correct Answer: D,E

Question 9

An auditor from the headquarters of a large international chemical organisation is auditing a branch located along the bank of a river. During the opening meeting, the General Manager explained that 10 minutes before, the local environmental authority had sent an email informing that the organisation had been fined due to very high values of BOD and COD measured downstream. The General Manager said they are quite confident in solving the problem, as explained by their external compliance consultant. The auditor visited the laboratory and did not find any potential deviation. A competitor just built a plant across the river.
Match the following issues with the relevant ISO 14001 clause.

Correct Answer:

Explanation:
* Laboratory data analysis: 9.1.1
* External compliance consultant: 7.2
* Waste discharge as an environmental aspect: 6.1.2
* Use of the applicable regulation: 6.1.3
* A new plant across the river: 4.1
* Water treatment plant operational control: 8.1
* Communication with the new plant: 7.4
* Compliance with regulations: 9.1.2
In accordance with ISO 14001:2015, audit trails must be evaluated against their corresponding standard requirements.
Evaluating external factors such as the competitor's new plant across the river relates directly to understanding the organization and its context (Clause 4.1). Identifying waste discharge into the river aligns with identifying environmental aspects and associated impacts (Clause 6.1.2), while determining relevant legal standards for discharge represents determining compliance obligations (Clause 6.1.3). Evaluating the competence of external advisors, such as the compliance consultant, falls under competence requirements (Clause 7.2). External interactions or dialogue regarding shared environmental conditions fall under communication processes (Clause 7.4).
Operationally, managing water treatment operations to ensure effluent compliance represents operational planning and control (Clause 8.1). Monitoring and analyzing laboratory sampling data corresponds to monitoring, measurement, analysis, and evaluation (Clause 9.1.1). Finally, evaluating actual compliance status relative to environmental fine notifications and legal limits requires evaluating compliance (Clause
9.1.2).
References: ISO 14001:2015 Clauses 4.1, 6.1.2, 6.1.3, 7.2, 7.4, 8.1, 9.1.1, 9.1.2, and CQI-IRCA ISO 14001 Lead Auditor Curriculum (EMS Requirements and Audit Trail Mapping).

Question 10

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

A. Planning the audit

B. Sending the report to the accreditation body

C. Granting certification to the organisation being audited

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

E. Communicating with the auditee regarding the logistics for the audit

F. Defining the duration of the audit

Correct Answer: A,E

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PECB Certified EMS ISO 14001 Lead Auditor (ISO-14001-Lead-Auditor) Free Practice Test