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Free PDF 2026 PECB ISO-14001-Lead-Auditor: PECB Certified EMS ISO 14001 Lead Aud
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PECB ISO-14001-Lead-Auditor Exam Syllabus Topics:| Topic | Details | | Topic 1 | - Closing an ISO 14001 audit: This domain focuses on the responsibilities of audit consultants during the audit closure process. It includes evaluating findings, preparing audit conclusions, holding closing meetings, and ensuring proper reporting and communication of results.
| | Topic 2 | - Fundamental principles and concepts of an environmental management system: This section of the exam measures the foundational knowledge of EMS auditors and covers key principles such as environmental sustainability, continual improvement, and the process approach. It assesses understanding of how environmental management systems contribute to overall business performance and regulatory compliance.
| | Topic 3 | - 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 4 | - Preparing an ISO 14001 audit: This domain measures the competence of audit consultants in planning and preparing for an ISO 14001 audit. It covers audit objectives, scope, criteria, and developing the audit plan, ensuring readiness for an efficient and objective audit.
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PECB Certified EMS ISO 14001 Lead Auditor Exam Sample Questions (Q13-Q18):NEW QUESTION # 13
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.
You raise a non-conformance against clause 6.1.2 of ISO 14001:
"VitalSpark does not maintain documented information on aspects/impacts related to activities, products and services of the oxygen supplier." Which combination of two of the following actions proposed by VitalSpark would permit you to close out the nonconformity?
- A. The oxygen supplier will be requested to undertake a full environmental survey of its processes.
- B. VitalSpark will retrieve environmental data on a monthly basis from the on-site supplier.
- C. VitalSpark will suggest that the oxygen supplier should undertake training in environmental awareness.
- D. VitalSpark will update its documented information on aspects/impacts to include those related to the oxygen supplier.
- E. VitalSpark will expand its audit programme to include audits of the oxygen supplier's organisation.
- F. The oxygen supplier will be requested to implement an ISO 14001 management system within the next
3 months.
Answer: B,D
NEW QUESTION # 14
Which two of the following options are an advantage of using a sampling plan for the audit?
- A. Reduces the audit duration
- B. Overrules the auditor's instincts
- C. Prevents conflict within the audit team
- D. Implements the audit plan efficiently
- E. Gives confidence in the audit results
- F. Use of the plan for consecutive audits
Answer: A,E
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 # 15
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. Do you realise that this involves an extension to the scope of the audit and will require an application process?
- B. Would you write to my audit programme manager with this request?
- C. Can you arrange to bring the installation team here so that we can include this in the audit?
- D. We have used all our allocated time in preparation for this audit so how can we extend the audit scope?
Answer: A
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 # 16
Which one of the following options best describes the main purpose of a Stage 2 third-party audit?
- A. To determine readiness for certification.
- B. To identify nonconformances against a standard.
- C. To get to know the organisation's management system.
- D. To check for legal compliance by the organisation.
Answer: B
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 # 17
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 an extension of the scope is possible but will have to go through established procedures.
- D. Advise the EMS Manager that, within the existing scope, the new site can be included without any problem.
- E. Determine whether the EMS Management System covers the new site and, if so, proceed with the audit.
- F. Advise the EMS Manager that the audit scope has been set and the audit will need to proceed as planned.
Answer: C,E
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 # 18
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