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PECB ISO-14001-Lead-Auditor Exam Syllabus Topics:
Topic
Details
Topic 1
- 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.
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
- 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 4
- 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 5
- 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.
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PECB Certified EMS ISO 14001 Lead Auditor Exam Sample Questions (Q40-Q45):
NEW QUESTION # 40
Which two of the following phrases would apply to "audit criteria"?
- A. Management policy
- B. Nonconformity report
- C. ISO 14001 requirements
- D. Auditor competence
- E. Audit conclusions
- F. Financial objectives
Answer: A,C
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.
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NEW QUESTION # 41
A multi-level shopping centre is open every day to the public from 09:00-21:00 hours. 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 estimated budget for this has not yet been approved by the board.
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 and 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 in each floor of the centre. We take readings every hour and we plot the consumption graph for every staff shift.
You continue the interview and find that energy consumption has increased steadily over the past five years.
Select the two statements that are true.
- A. The vending machines are switched on permanently.
- B. The organisation's energy supplier sources renewable energy.
- C. The centre staff are responsible for energy consumption in the staff areas.
- D. The escalators are switched on permanently.
- E. The organisation should take action to address its energy consumption.
- F. The Centre Manager is trained in energy awareness.
Answer: A,E
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NEW QUESTION # 42
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. 10.2.a - Management failed to take corrective action to deal with the audit nonconformity
- B. 7.4.3 - Management should communicate the impacts of the takeover on the EMS to the bidders
- C. 9.3 - A management review should be undertaken to determine the implications of the takeover on the EMS
- D. 6.2.2 - Actions were not taken to fully implement the environmental objectives set by management
- E. 7.1 - The top management failed to provide the resources needed to meet the objectives
- F. 9.2.2 - Report IA202 contained a nonconformity (NC3) lacking in necessary detail
- G. 6.2.1 - New environmental objectives associated with the takeover should be set
- H. 7.4.2 - Staff were not made aware that environmental projects were being scaled back
Answer: A,D,E
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NEW QUESTION # 43
An organisation (ABC) plans to carry out a second-party audit of the environmental management system of a supplier (XYZ). Both, ABC and XYZ, have a certified Environmental Management System (EMS) to ISO
14001 by the same certification body.
Which one of these statements is correct?
- A. ABC should invite, as an observer, an auditor of the certification body when it carries out the audit to XYZ.
- B. ABC should not ask permission from the certification body to carry out the audit to XYZ.
- C. ABC should inform the certification body that it is planning to audit XYZ.
- D. ABC should request to see a copy of the last certification body audit report from XYZ.
Answer: B
Explanation:
According to ISO 19011:2018 Clause 3.5 (Second-party audit):
Second-party audits are conducted directly by customers on their suppliers for contractual or commercial purposes.
There is no obligation to inform or involve the certification body in such audits unless contractually required.
Certification body audit reports are confidential to the certified organization and the certification body.
Reference: ISO 19011:2018 Clause 3.5; ISO 14001 Lead Auditor Course Guide.
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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 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. We have used all our allocated time in preparation for this audit so how can we extend the audit scope?
- B. Do you realise that this involves an extension to the scope of the audit and will require an application process?
- C. Would you write to my audit programme manager with this request?
- D. Can you arrange to bring the installation team here so that we can include this in the audit?
Answer: B
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.
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NEW QUESTION # 45
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