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PECB ISO-14001-Lead-Auditor Exam Syllabus Topics:
Topic
Details
Topic 1
- Environmental management system requirement:This section evaluates the ability of audit consultants to interpret and apply the specific requirements of ISO 14001. It focuses on understanding the structure of the standard, including context of the organization, leadership, planning, support, operations, and performance evaluation.
Topic 2
- Fundamental audit concepts and principles: This section of the exam assesses the grasp EMS auditors have on core audit principles such as integrity, fair presentation, due professional care, and evidence-based evaluation. It ensures auditors can apply these principles consistently in the audit process.
Topic 3
- Managing an ISO 14001 audit program: This section of the exam evaluates the ability of EMS auditors to manage a complete audit program. It includes planning, implementing, monitoring, and continually improving the audit program to align with organizational and compliance goals.
PECB Certified EMS ISO 14001 Lead Auditor Exam Sample Questions (Q12-Q17):
NEW QUESTION # 12
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. Embark on a training programme for internal auditors on the setting and evaluation of environmental objectives.
- C. Revise the incomplete environmental objectives to make them more achievable within 12 months.
- 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 # 13
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. Changes in the EMS documentation
- B. Procurement of new spill kits for operators
- C. Allocation of a bigger budget for the EMS department
- D. Plan to prioritise environmental improvement as a business strategy
- E. Changes to the significant environmental aspects
- F. Staff feedback of environmental risks
- G. Report of performance of EMS objectives in the last year
- H. Minutes of previous management reviews
- I. Updated environmental signs in the production facility
- J. Decisions related to continual improvement opportunities
Answer: A,C,D,E,G,J
NEW QUESTION # 14
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. DEMO's quality policy
- B. XM's contract with DEMO to conduct the work
- C. Audit DEMO's head office personnel
- D. Environmental impacts related to the demolition
- E. Business information on DEMO
- F. Regulatory approval for DEMO's activities
- G. DEMO's environmental policy
- H. XM's supervision of DEMO when doing the work
Answer: B,D,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 # 15
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. Implements the audit plan efficiently
- C. Overrules the auditor's instincts
- D. Reduces the audit duration
- E. Prevents conflict within the audit team
- 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 # 16
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. An increase in the marketing price of the organisation's products.
- C. Recognition of the credibility of the certification process.
- D. Clarity of the audit report.
Answer: C
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 # 17
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