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Best Quality PECB ISO-14001-Lead-Auditor Exam Questions
NEW QUESTION # 12
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 told that they have won their biggest 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.
Select which one of the options is the correct response by the auditor.
- A. Would you write to my audit programme manager with this request?
- B. We have used all our allocated time in preparation for this audit so how can we extend the audit scope?
- C. Can you arrange to bring the installation team here so that we can include this in the audit?
- D. Do you realise that this involves an extension to the scope of the audit and will require an application process?
Answer: D
Explanation:
According to ISO/IEC 17021-1:2015 Clause 9.3.1 and ISO 19011:2018 Clause 5.4.1:
Any change in scope requires formal review and approval through certification body's application process.
The auditor cannot unilaterally extend the scope during the audit.
The correct course of action is to inform the auditee that scope changes require an application process.
Reference: ISO/IEC 17021-1:2015 Clause 9.3.1; ISO 19011:2018 Clause 5.4.1.
NEW QUESTION # 13
A key audit process is the way auditors gather information and determine the findings' characteristics. Put the actions in the correct order to complete this process.
Answer:
Explanation:
Explanation:
A screenshot of a computer AI-generated content may be incorrect.
This sequence is derived from ISO 19011:2018 - Guidelines for Auditing Management Systems, which is used in conjunction with ISO 14001:2015 by auditors. Specifically, the audit process steps during the
"conducting the audit" phase include:
Determining the source of information (Clause 6.4.5): Includes documents, interviews, records, and observations.
Collecting data by sampling (Clause 6.4.6): Sampling helps in managing resources and gathering relevant evidence effectively.
Gathering audit evidence (Clause 3.8): Audit evidence is the data collected and verified to support findings.
Evaluating against audit criteria (Clause 3.9): Evidence must be evaluated against standards such as ISO
14001 requirements, internal policies, etc.
Developing audit findings (Clause 6.4.9): Conclusions regarding conformance, nonconformance, and opportunities for improvement.
Review of findings (Clause 6.4.10): Cross-verification and validation before finalizing results.
Audit conclusions (Clause 6.4.11): Final statements summarizing the audit based on findings.
This structured process ensures audits are performed impartially, with verifiable, evidence-based outcomes that contribute to continual improvement.
Reference:
ISO 19011:2018, Clauses 6.4.5 to 6.4.11
ISO 14001:2015, Clause 9.2 - Internal audit requirements
NEW QUESTION # 14
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?
- A. Determine audit feasibility
- B. Assign work to the audit team
- C. Verify corrective action effectiveness
- D. Determine audit conclusion
- E. Distribute the audit report
- F. Hold the opening meeting
Answer: D,F
Explanation:
According to ISO 19011:2018 Clause 6.4.3 (Conducting audit activities):
Conducting audit activities includes:
Holding opening meetings (A).
Collecting and verifying information.
Generating audit findings.
Determining audit conclusions (F).
Assigning work (B) and determining feasibility (E) occur during audit planning.
Report distribution (C) and corrective action verification (D) occur after audit completion.
Reference: ISO 19011:2018 Clause 6.4.3.
NEW QUESTION # 15
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. 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.
- C. Schedule additional internal audits in the internal audit programme for the next year, specifically to cover the completion of all environmental objectives.
- D. Revise the incomplete environmental objectives to make them more achievable within 12 months.
Answer: C
NEW QUESTION # 16
Which two of the following phrases would apply to "audit criteria"?
- A. Nonconformity report
- B. ISO 14001 requirements
- C. Financial objectives
- D. Management policy
- E. Audit conclusions
- F. Auditor competence
Answer: B,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 # 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. 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 # 18
Which two of the following options are an advantage of using a sampling plan for the audit?
- A. Reduces the audit duration
- B. Gives confidence in the audit results
- C. Use of the plan for consecutive audits
- D. Overrules the auditor's instincts
- E. Implements the audit plan efficiently
- F. Prevents conflict within the audit team
Answer: A,B
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 # 19
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.
- A. Establish environmental objectives for the school
- B. Revise the school's environmental policy to include environmental concerns
- C. Hire an environment expert next week to deliver a lecture on the environment to all students
- D. Add the education on generic environmental issues to the list of environmental aspects of the school's EMS
- E. Ask the National Environmental Agency for reading materials to give to students before the lecture by the expert
- F. Review the procedure for waste management in the school
- G. Hire an environmentalist next month to deliver a couple of lectures on the environment to all employees of the school, except students
- H. Thoroughly review the syllabus for next year to include environmental issues whenever appropriate
Answer: C,D,H
NEW QUESTION # 20
Which one of the following outcomes of an audit does not require the auditee to respond?
- A. A non-conformity.
- B. A conformity.
- C. An opportunity for improvement.
- D. A diverging opinion concerning the audit evidence.
Answer: B
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 # 21
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. Revise the existing emergency plan
- C. Send the contaminated land for processing
- D. Reinforce the riverbanks with cement
- E. Build up some additional protection to the water treatment plant
- F. Relocate the water treatment plant to lower ground
- G. Clean up the houses of the persons affected
- H. Clean up the affected land
Answer: C,G,H
NEW QUESTION # 22
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 commitment to environmental protection.
- B. The organisation's processes deliver the intended improvement to the environment.
- C. The organisation clearly meets all statutory requirements.
- D. The organisation satisfies its customers' environmental requirements.
- E. The organisation makes available its environmental policy to interested parties.
- F. The organisation has a good reputation for recycling its waste.
- G. The organisation is committed to continual environmental improvement.
- H. The organisation uses suppliers committed to environmental sustainability.
Answer: D,E,G
NEW QUESTION # 23
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.
After gathering more evidence, you note down findings against several clauses of ISO 14001. Determine which three of the findings stated are non-conformities.
- A. The organisation has failed to include in the EMS scope the activities, products and services associated with suppliers and contractors performing their activities in its own site. (Clause 4.3)
- B. The internal audit programme does not include processes for control of subcontractor transport movements. The audit programme does not cover the full environmental management system. (Clause
9.2.2) - C. The contractor's environmental policy is not consistent with the organisation's policy (Clause 5.2)
- D. The Environmental Manager did not visit the oxygen supplier. (Clause 7.4.3)
- E. Documentation of environmental impacts was missing for the supplier of oxygen. (Clause 6.1.2)
- F. Evidence was found to indicate that the needs of some interested parties had not been considered by the organisation. A neighbour's interests had not been identified. (Clause 4.2.b)
- G. The aspects related to the use of heavy goods trucks was not identified. (Clause 6.1.2)
- H. The EMS Manager had some problems communicating with the supplier by mobile phone as an interested party. No other methods of communication were employed. (Clause 7.4.3)
Answer: A,B,E
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. XM's supervision of DEMO when doing the work
- C. Business information on DEMO
- D. DEMO's quality policy
- E. DEMO's environmental policy
- F. XM's contract with DEMO to conduct the work
- G. Audit DEMO's head office personnel
- H. Environmental impacts related to the demolition
Answer: A,B,F,H
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
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. 9.2 Internal audits
- B. 4.2 Understanding needs and expectations of interested parties
- C. 7.1 Resources
- D. 5.2 Environmental Policy
- E. 9.1.2 Compliance obligations
- F. 5.1 Leadership
Answer: B,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 # 26
Which one of the following conclusions in the audit report is not required by the certification body when deciding to grant certification?
- A. The corrections taken by the organisation related to major nonconformities have been accepted.
- B. The plans to address corrective actions related to minor nonconformities have been accepted.
- C. The scope of certification has been fulfilled.
- D. The organisation fully complies with all legal and other requirements applicable to the Environmental Management System.
Answer: D
Explanation:
According to ISO/IEC 17021-1:2015 Clause 9.4.5 and 9.5.1:
Certification decisions are based on:
The audit conclusions,
Acceptance of corrective action plans for minor nonconformities (A),
Acceptance of corrections for major nonconformities (C),
Confirmation that the scope is fulfilled (B).
Full legal compliance (D) is not a requirement for certification decisions rather, it is the effectiveness of the management system to meet compliance obligations that is assessed.
Reference: ISO/IEC 17021-1:2015 Clause 9.4.5 and 9.5.1; ISO 14001:2015 Clause 9.1.2.
NEW QUESTION # 27
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