PECB Certified EMS ISO 14001 Lead Auditor - ISO-14001-Lead-Auditor Exam Practice Test
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 awareness of the environmental objectives set by management for installation subcontractor personnel.
From the following options, select two objectives that align with the policy.
"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 awareness of the environmental objectives set by management for installation subcontractor personnel.
From the following options, select two objectives that align with the policy.
Correct Answer: C,D
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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.
Correct Answer:
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
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.
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.
Correct Answer: C
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ABC is a large lubricant oils manufacturer located in country A. Due to tax exemption and other economic issues, they decided to move the whole plant to a neighbouring country B. They moved every single piece of the plant (equipment, systems); the new plant has the same layout, the same dimensions, the same suppliers of raw materials and the same customers. Even more, most personnel accepted to move to country B.
They operate a third-party certified EMS; the certificate was transferred to the new plant after a half-day audit from the certification body. You are auditing ABC ' s EMS in the new location, representing ABC ' s largest customer. When interviewing the Environmental Manager (EM), you ask:
You: Can I see the plan you developed to keep under control the impact of the EMS due to the change of site?
EM: We listed all elements and processes of the EMS that might need to be changed and selected those that we considered needed a careful review and probably a revision.
Below you will find that list; select six that you consider will need to be revised.
They operate a third-party certified EMS; the certificate was transferred to the new plant after a half-day audit from the certification body. You are auditing ABC ' s EMS in the new location, representing ABC ' s largest customer. When interviewing the Environmental Manager (EM), you ask:
You: Can I see the plan you developed to keep under control the impact of the EMS due to the change of site?
EM: We listed all elements and processes of the EMS that might need to be changed and selected those that we considered needed a careful review and probably a revision.
Below you will find that list; select six that you consider will need to be revised.
Correct Answer: D,E,F,G,I,J
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You are the audit team leader of a third-party initial certification audit to ISO 14001 for two days of audit.
This is the first time you lead an audit, and a second member of the team is a qualified audit team leader who will evaluate your performance as the audit team leader.
During lunch on the second day, you are informed that the second member of the audit team will have to leave the audit due to personal problems but could return the following day.
What would you do? Select the best two options.
This is the first time you lead an audit, and a second member of the team is a qualified audit team leader who will evaluate your performance as the audit team leader.
During lunch on the second day, you are informed that the second member of the audit team will have to leave the audit due to personal problems but could return the following day.
What would you do? Select the best two options.
Correct Answer: D,E
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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.
The auditor decides to review the process for evaluation of compliance with environmental regulations in more depth.
Select three options that provide a meaningful audit trail for this process.
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.
The auditor decides to review the process for evaluation of compliance with environmental regulations in more depth.
Select three options that provide a meaningful audit trail for this process.
Correct Answer: D,F,G
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Which one of the following options is the definition of an interested party in an EMS?
Correct Answer: B
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