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PECB ISO-14001-Lead-Auditor Exam Syllabus Topics:
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NEW QUESTION # 33
You are a third-party auditor of XM, a logistics organisation located in a European country, that distributes a wide range of products to local customers but also to customers in several neighbouring countries. Close to the distribution warehouse, you see many trucks loading and unloading goods. Almost 50 per cent of the trucks are owned by XM, the remainder are subcontracted from other organisations.
You have the following dialogue with the Warehouse Manager:
You: I see that not all trucks belong to XM.
WM: Sometimes we need additional trucks from other organisations nearby. Obviously, we cannot control their energy consumption since they come with the trucks half full of their own goods.
You: How did you inform them of the EMS?
WM: You know, they are not used to the complicated words in our policy. I have just told them: "Save energy".
You: What about your trucks?
WM: We measure the fuel they used on each trip, the distance they drove and the weight of goods they distributed. They know the roads and we ask them to choose the shortest route - we rely on them.
You: Did you fix any indicators and objectives related to energy consumption?
WM: No, we know they are careful people, they do their best. We would not be able to improve consumption.
This dialogue is related to several clauses of ISO 14001. Identify which three clauses below are related to this dialogue.
- A. 10.3
- B. 9.2
- C. 9.3
- D. 7.4.2
- E. 6.1.3
- F. 8.1
- G. 6.1.1
- H. 5.2
Answer: A,F,H
Explanation:
The three clauses most directly related to this dialogue are 5.2, 8.1 and 10.3 .
B). Clause 5.2 - Environmental policy
The Warehouse Manager refers to the environmental policy as "complicated words" and says subcontracted truck operators were only told to "Save energy." Clause 5.2 requires the environmental policy to be communicated within the organisation and to be available to interested parties. The policy also provides the framework for environmental objectives and includes the organisation's commitment to environmental protection and continual improvement.
F). Clause 8.1 - Operational planning and control
The use of subcontracted trucks is directly relevant to operational control. ISO 14001 requires the organisation to control or influence outsourced processes and to communicate relevant environmental requirements to external providers. XM cannot simply state that it has no control over subcontracted transport; it must determine the type and extent of control or influence it can apply, considering a life-cycle perspective.
H). Clause 10.3 - Continual improvement
The Warehouse Manager says, "We would not be able to improve consumption." This conflicts with the ISO
14001 requirement for continual improvement of the EMS to enhance environmental performance. Since XM already measures fuel used, distance travelled and weight distributed, there is a basis for analysing performance and identifying improvement opportunities.
The other clauses are less directly applicable:
6.1.1 concerns planning actions to address risks and opportunities, but the dialogue is more specifically about policy, outsourced operational control and improvement.
6.1.3 concerns compliance obligations, which are not the focus of the dialogue.
7.4.2 concerns internal communication, while the key issue here involves subcontracted/external transport providers, which is better addressed under 8.1 .
9.2 concerns internal audits, and 9.3 concerns management review; neither is directly raised in the dialogue.
NEW QUESTION # 34
What are the primary purposes of implementing an EMS based on ISO 14001:2015? Select two.
- A. It provides a framework for protecting the environment.
- B. It enables the organisation to tender for government-funded contracts.
- C. It is used to demonstrate to external parties that the organisation has met all its legal requirements.
- D. It improves the organisation's financial results.
- E. It ensures that organisations operate fully online management systems.
- F. It provides a means by which environmental impacts are addressed at relevant stages of the life cycle.
Answer: A,F
Explanation:
According to ISO 14001:2015 Clause 1 (Scope) and Clause 6.1.2:
Clause 1:
"The purpose of this International Standard is to provide organizations with a framework to protect the environment and respond to changing environmental conditions in balance with socio-economic needs." Clause 6.1.2:
"The organization shall determine the environmental aspects of its activities, products and services that it can control and influence, considering a life cycle perspective." Demonstrating legal compliance (B) is part of the intended outcomes but not the primary purpose.
Tender eligibility (C), financial results (E), and system format (F) are not stated objectives of ISO 14001:2015.
Reference: ISO 14001:2015 Clauses 1, 6.1.2.
NEW QUESTION # 35
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 frequency of internal audits is determined based on the environmental importance of the processes concerned.
- B. The audit plan should consider the effect of the audit activities on the auditee's processes.
- C. Internal auditors can audit their own work.
- D. Second-party audits are conducted by certification body auditors with experience in evaluating legal compliance.
- 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.
Answer: A,B
Explanation:
From ISO 19011:2018:
Clause 5.4.3:
"The audit plan should consider the potential impact on the auditee's processes during audit activities to minimize disruption." Clause 5.2 and 5.3:
"The audit programme frequency should be based on the significance of the environmental aspects, past audit results, changes, and risks." Internal auditors auditing their own work violates auditor impartiality (Clause 4.4.2 - Auditor Independence).
Second-party audits are customer-supplier audits, not certification body audits (Clause 3.7 - Audit Types).
EMS auditors must consider the organization's preparedness for emergencies (ISO 14001:2015 Clause 8.2).
Reference: ISO 19011:2018 Clauses 4.4.2, 5.2, 5.3, 5.4.3; ISO 14001:2015 Clause 8.2.
NEW QUESTION # 36
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. Investigate changing the cleaning process to use chemicals with lower VOC content.
- B. Ask to settle the court case by negotiation with the authority.
- C. Give an explanation to the authority of what went wrong.
- D. Offer to compensate employees for possible health implications.
- E. Conduct an internal enquiry to establish who is to blame.
- F. Advise the authority that the faulty equipment will be maintained more often.
- G. Advise the authority that timely corrective action will be taken.
- H. Monitor VOC emissions to ensure compliance with legal requirements.
Answer: A,G,H
NEW QUESTION # 37
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. Environmental impacts related to the demolition
- B. DEMO's environmental policy
- C. DEMO's quality policy
- D. Audit DEMO's head office personnel
- E. XM's supervision of DEMO when doing the work
- F. Regulatory approval for DEMO's activities
- G. XM's contract with DEMO to conduct the work
- H. Business information on DEMO
Answer: A,E,F,G
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 # 38
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. Improvement
- B. Control of the processes
- C. Management review
- D. Monitoring performance
- E. Nonconformities
- F. Environmental policy
Answer: D,E
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 # 39
An internal auditor of a manufacturer of aluminium products for the car industry raised a nonconformity against section 6.2.2 of ISO 14001 in Report IA202. The nonconformity (NC3) stated:
"Top management has not analysed why none of the environmental objectives set for the last year have been met." A third-party auditor reviewing the internal audit process came across the nonconformity and found that no corrective action was documented. The EMS Manager confirmed no action had been taken, but added he expected a number of objectives to be achieved in the next three months so there was no need for further action. He explained in confidence that the organisation was fighting a takeover bid and resources for environmental projects had been cut.
From the information, select three non-conformities options that the auditor could raise to ISO 14001.
- A. 6.2.1 - New environmental objectives associated with the takeover should be set
- B. 7.1 - The top management failed to provide the resources needed to meet the objectives
- C. 10.2.a - Management failed to take corrective action to deal with the audit nonconformity
- D. 7.4.2 - Staff were not made aware that environmental projects were being scaled back
- E. 9.3 - A management review should be undertaken to determine the implications of the takeover on the EMS
- F. 6.2.2 - Actions were not taken to fully implement the environmental objectives set by management
- G. 7.4.3 - Management should communicate the impacts of the takeover on the EMS to the bidders
- H. 9.2.2 - Report IA202 contained a nonconformity (NC3) lacking in necessary detail
Answer: B,C,F
NEW QUESTION # 40
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. Suggest that the EMS Manager cancels the audit contract and reapplies for the new situation.
- B. Inform the auditee that the Stage 2 will be changed to include the new site.
- C. Advise the EMS Manager that the audit scope has been set and the audit will need to proceed as planned.
- D. Determine whether the EMS Management System covers the new site and, if so, proceed with the audit.
- E. Advise the EMS Manager that, within the existing scope, the new site can be included without any problem.
- F. Advise the EMS Manager that an extension of the scope is possible but will have to go through established procedures.
Answer: D,F
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 # 41
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 raise a nonconformity against ISO 14001.
- B. The auditor should advise the organisation to get rid of all the "dumps".
- C. The auditor should congratulate the Maintenance Manager on having a neat and tidy spares store.
- D. The auditor should refer the organisation to the relevant authorities.
- E. The auditor should check the information given by the Maintenance Manager with the EMS Manager.
- F. The auditor should check whether the organisation has permission to operate a landfill site.
- G. The auditor should ask the Maintenance Manager to clean up the "dump".
- H. The auditor should consider surveying more areas of the site for other "dumps".
Answer: E,F,H
NEW QUESTION # 42
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. Insist that the nonconformities must stand since there is clear evidence from other sources apart from the videos.
- B. State that the auditor will take no further part in the audit and all his videos will be deleted immediately.
- C. 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.
- 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. State that he will find out from the team member if the taking of videos was a routine method for him to gather evidence.
Answer: A,C,E
Explanation:
The correct responses are A, B and C .
This situation relates to audit confidentiality, professional conduct, audit evidence control, and closing meeting management . The audit team leader should respond calmly, investigate the concern, and avoid automatically withdrawing valid findings simply because the auditee objects to the method used to collect some evidence.
A is correct because nonconformities should not be rescinded if they are supported by valid audit evidence from other sources. Audit findings must be based on objective evidence. If the same nonconformities are supported by interviews, records, observations, or other evidence apart from the videos, they can still be presented at the closing meeting.
B is correct because the audit team leader should investigate the situation with the auditor. The team leader needs to understand why videos were taken, whether this was an agreed or acceptable audit method, what permission was obtained, and whether confidentiality or site rules were breached.
C is correct because the auditor states that permission was obtained from the Production Manager who was escorting him. The team leader can explain this to the EMS Manager and offer a practical control by deleting the videos after they are no longer needed for the closing meeting, provided this aligns with certification body procedure and client confidentiality requirements.
D is incorrect because auditors do not have a general automatic right to take videos for reports. Recording or photographing during an audit should be controlled, agreed, and subject to confidentiality and information security requirements.
E is incorrect because immediately removing the auditor and deleting all videos is excessive unless an investigation confirms serious misconduct. The audit team leader should first establish the facts and determine whether the audit evidence remains valid.
Therefore, the three best responses are A, B and C .
NEW QUESTION # 43
Which one of the following is not part of the required knowledge of a technical expert appointed to an audit team?
Technical experts should know:
- A. How to raise a nonconformity report.
- B. The overall certification processes.
- C. The certification audit processes.
- D. When to provide advice to the audit team.
Answer: A
Explanation:
Comprehensive and Detailed Explanation From Exact Extract ISO 14001 Compliance Auditor:
The correct answer is D. How to raise a nonconformity report .
A technical expert provides specialist knowledge to support the audit team, but does not act as an auditor.
ISO 19011 defines a technical expert as a person who provides specific knowledge or expertise to the audit team and states that a technical expert does not act as an auditor. ( cdn.standards.iteh.ai ) Because the technical expert is not acting as an auditor, raising a formal nonconformity report is not their responsibility. Nonconformities are audit findings made from evaluating audit evidence against audit criteria; this is the responsibility of auditors in the audit team. ISO 19011 defines audit findings as the result of evaluating collected audit evidence against audit criteria. ( cdn.standards.iteh.ai ) Options A, B, and C are relevant because a technical expert should understand the certification and audit context well enough to support the audit properly and know when to provide advice . However, they should not independently raise nonconformities.
Therefore, the option that is not part of the required knowledge of a technical expert is D .
NEW QUESTION # 44
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?
- A. There was no statement in the installation contract of the need for the subcontractor to comply with the EMS policy.
- B. The organisation did not provide the correct resources to prevent the environmental incidents from taking place.
- C. There was no record that the operators were aware of the environmental risks associated with their work.
- D. The organisation failed to check the competence of the operators to perform work in an environmentally friendly way.
Answer: A
Explanation:
The correct answer is A .
This finding relates to ISO 14001:2015 Clause 8.1 - Operational planning and control . Clause 8.1 requires the organisation to control or influence outsourced processes and to communicate relevant environmental requirements to external providers, including contractors.
In this case, the installation work was subcontracted, but the environmental impact still occurred as part of the organisation's activities and contracted work. The disposal of excess paint into site drains created a legal breach and showed that the organisation had not effectively controlled or influenced the outsourced installation activity.
A is correct because a contract is a key way to communicate operational controls and environmental requirements to a subcontractor. If the installation contract did not require the subcontractor to comply with the organisation's EMS policy or environmental requirements, this supports a nonconformity against Clause
8.1 .
The other options are linked to different ISO 14001 clauses:
B relates more closely to Clause 7.3 - Awareness .
C relates more closely to Clause 7.1 - Resources .
D relates more closely to Clause 7.2 - Competence .
Therefore, the statement that best supports a nonconformity against ISO 14001 Clause 8.1 is A .
NEW QUESTION # 45
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.
- A. 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.
- B. 4.2.c - The needs and expectations of neighbouring farmers were not incorporated into the Environmental Management System as compliance obligations.
- C. 7.4.3 - CrackerPRO failed to communicate to neighbouring farmers concerning the release of acidic vapours resulting from its chemical cleaning operations.
- D. 6.1.3 - CrackerPRO failed to meet its compliance obligations concerning its environmental impacts on neighbouring farms.
Answer: A
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 .
NEW QUESTION # 46
A multi-level shopping centre is open every day to the public from 09:00-21:00. 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 board has not yet approved the estimated budget for this.
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 to 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 on each floor of the centre. We take readings every hour, and we plot the consumption graph for every staff shift.
Select three options that would provide evidence of conformance with clause 9.1.1 of ISO 14001.
- A. Periodic analysis of the results of meter readings.
- B. An increase in the visitors using the centre.
- C. An environmental objective to achieve lower energy consumption.
- D. Training records for centre staff.
- E. Installing motion sensor lighting in rooms to switch lights off automatically when empty.
- F. Ambient temperature measurements of management offices.
- G. A procedure that provides instructions in taking meter readings and using them to plot a graph.
- H. Certification showing that the meters are calibrated to known standards.
Answer: A,G,H
Explanation:
The correct answers are C, D and F .
This question relates to ISO 14001:2015 Clause 9.1.1 - Monitoring, measurement, analysis and evaluation .
Clause 9.1.1 requires the organisation to monitor, measure, analyse and evaluate its environmental performance. The organisation must determine what needs to be monitored and measured, the methods for monitoring, measurement, analysis and evaluation, when monitoring and measurement will be performed, and when results will be analysed and evaluated. It must also ensure monitoring and measuring equipment is calibrated or verified, where appropriate.
C). Periodic analysis of the results of meter readings - Correct
The shopping centre is measuring electricity consumption using meters. Analysing meter readings periodically provides evidence that the organisation is evaluating environmental performance, not just collecting data.
D). Certification showing that the meters are calibrated to known standards - Correct Because the centre relies on electricity meters to measure energy consumption, calibration or verification evidence supports the validity of the measurement results.
F). A procedure that provides instructions in taking meter readings and using them to plot a graph - Correct This provides evidence that the organisation has defined a method for monitoring and measuring energy consumption and for presenting the data for analysis.
The other options are not the best answers for Clause 9.1.1:
A relates more to competence or awareness, not monitoring and measurement.
B relates to environmental objectives under Clause 6.2, not directly to Clause 9.1.1.
E is not relevant unless office temperature has been identified as something requiring monitoring.
G is an operational improvement action, not evidence of monitoring and measurement.
H may affect energy use, but increased visitor numbers alone do not demonstrate monitoring, measurement, analysis or evaluation.
Therefore, the three items that best demonstrate conformance with ISO 14001:2015 Clause 9.1.1 are C, D and F .
NEW QUESTION # 47
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. Documented information on the environmental objectives
- B. A management review record
- C. A list of planned emergency responses
- D. An internal audit schedule
- E. An organisation's financial statement
- F. List of environmental aspects
Answer: B,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 # 48
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 # 49
Which two of the following options are an advantage of using a sampling plan for the audit?
- A. Implements the audit plan efficiently
- B. Gives confidence in the audit results
- C. Reduces the audit duration
- D. Overrules the auditor's instincts
- E. Use of the plan for consecutive audits
- F. Prevents conflict within the audit team
Answer: B,C
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 # 50
Sparkle is an organisation that provides mobile car cleaning services at customers' premises. It has been certified to ISO 14001 for some time and has appointed a new EMS Manager. The audit plan during a surveillance audit includes the improvement actions and the auditor asks to see the most recent management review meeting minutes.
Which six statements would represent output audit evidence for the management review?
- A. Procurement of new spill kits for operators
- B. Minutes of previous management reviews
- C. Staff feedback of environmental risks
- D. Decisions related to continual improvement opportunities
- E. Plan to prioritise environmental improvement as a business strategy
- F. Changes in the EMS documentation
- G. Report of performance of EMS objectives in the last year
- H. Allocation of a bigger budget for the EMS department
- I. Updated environmental signs in the production facility
- J. Changes to the significant environmental aspects
Answer: D,E,F,G,H,J
NEW QUESTION # 51
Which two of the following phrases would apply to "audit criteria"?
- A. Nonconformity report
- B. Auditor competence
- C. Financial objectives
- D. Audit conclusions
- E. Management policy
- F. ISO 14001 requirements
Answer: E,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 # 52
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 and has set environmental objectives for the subcontractor in line with the EMS policy below:
"It is the policy of the organisation to protect the environment by acting with responsibility at all times, to comply with relevant legislation and to set objectives that will enhance our environmental performance." The auditor seeks evidence of the awareness of subcontractor personnel of the environmental policy set by management.
From the following options, select two issues that all subcontractor personnel should be aware of relating to the organisation's environmental policy.
- A. Commitment to environmental protection
- B. Complying with legal requirements
- C. Addressing customer complaints
- D. Conducting environmental risk assessments
- E. Communicating with trade unions
- F. Continual improvement of the EMS
Answer: A,B
Explanation:
The correct answers are A and D .
This question relates mainly to ISO 14001:2015 Clause 7.3 - Awareness and Clause 5.2 - Environmental policy .
Persons doing work under the organisation's control, including subcontractor personnel where relevant, need to be aware of the organisation's environmental policy. In this scenario, the environmental policy specifically includes two clear commitments:
A). Complying with legal requirements - Correct
The policy states that the organisation will "comply with relevant legislation." Therefore, subcontractor personnel must be aware that their work must comply with applicable legal and environmental requirements.
This is especially important because installation work may involve paint, waste, emissions, spill risks, drainage controls, and site environmental rules.
D). Commitment to environmental protection - Correct
The policy states that the organisation will "protect the environment by acting with responsibility at all times." Therefore, subcontractor personnel should understand their responsibility to protect the environment while carrying out installation activities.
The other options are not the best answers:
B). Continual improvement of the EMS - Incorrect in this context
Continual improvement is an ISO 14001 policy requirement generally, but the policy text given in the question focuses on protecting the environment, complying with legislation, and setting objectives to enhance environmental performance. It is not one of the two clearest issues directly stated in the provided policy wording.
C). Addressing customer complaints - Incorrect
Customer complaints may be relevant to performance evaluation or corrective action, but they are not a stated commitment in the environmental policy.
E). Communicating with trade unions - Incorrect
This is not an environmental policy awareness requirement in the scenario.
F). Conducting environmental risk assessments - Incorrect
Risk assessment may be part of EMS planning, but the question asks what subcontractor personnel should be aware of in relation to the environmental policy, not what technical EMS activities they must conduct.
Therefore, the two correct issues are A. Complying with legal requirements and D. Commitment to environmental protection .
NEW QUESTION # 53
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. Hire an environmentalist next month to deliver a couple of lectures on the environment to all employees of the school, except students
- B. Review the procedure for waste management in the school
- C. Hire an environment expert next week to deliver a lecture on the environment to all students
- D. Ask the National Environmental Agency for reading materials to give to students before the lecture by the expert
- E. Thoroughly review the syllabus for next year to include environmental issues whenever appropriate
- F. Add the education on generic environmental issues to the list of environmental aspects of the school's EMS
- G. Establish environmental objectives for the school
- H. Revise the school's environmental policy to include environmental concerns
Answer: C,E,F
NEW QUESTION # 54
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 get to know the organisation's management system.
- C. To determine readiness for certification.
- 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 # 55
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