Online Access Free ISO-14001-Lead-Auditor Exam Questions

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 full-time Environmental Management System Manager. The audit plan during a surveillance audit includes continual improvement and the auditor asks to see the most recent management review meeting minutes.
The minutes indicate that the Environmental Management System Manager reported that the last review of the organisation's environmental legislation register was made three years ago instead of annually as planned in the Environmental Management System. At that time, he asked for finances to employ a legislation expert to update the register but was denied the request by top management on the basis that it was unlikely that many changes to legislation had occurred. No related improvement actions were documented in the minutes.
Based on the scenario, select the two options which best describe the evidence for raising such a non- conformity.

• A.Recommend that staff in the five shops should have medical check-ups due to air pollution.
• B.The organisation failed to update its legislation register following the planned frequency of review.
• C.Extend the audit plan to include the five shops.
• D.Evaluate whether the process for measuring environmental performance is effective.
• E.Determine if the local authority has been informed that the organisation is exceeding VOC emissions.
• F.Raise an opportunity for improvement (OI) to reduce damaging emissions.

The audit lifecycle describes the ISO 19011 process for conducting an individual audit.
Which two of the following are part of conducting the audit activities?

• A.Determine audit feasibility
• B.Assign work to the audit team
• C.Hold the opening meeting
• D.Distribute the audit report
• E.Determine audit conclusion
• F.Verify corrective action effectiveness

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.Reduces the audit duration
• C.Gives confidence in the audit results
• D.Overrules the auditor's instincts
• E.Implements the audit plan efficiently
• F.Prevents conflict within the audit team

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.We have used all our allocated time in preparation for this audit so how can we extend the audit scope?
• C.Can you arrange to bring the installation team here so that we can include this in the audit?
• D.Would you write to my audit programme manager with this request?

A key audit process is the way auditors gather information and determine the findings' characteristics. Put the actions in the correct order to complete this process.

Correct Answer:

Explanation:
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This sequence is derived from ISO 19011:2018 - Guidelines for Auditing Management Systems, which is used in conjunction with ISO 14001:2015 by auditors. Specifically, the audit process steps during the
"conducting the audit" phase include:
Determining the source of information (Clause 6.4.5): Includes documents, interviews, records, and observations.
Collecting data by sampling (Clause 6.4.6): Sampling helps in managing resources and gathering relevant evidence effectively.
Gathering audit evidence (Clause 3.8): Audit evidence is the data collected and verified to support findings.
Evaluating against audit criteria (Clause 3.9): Evidence must be evaluated against standards such as ISO
14001 requirements, internal policies, etc.
Developing audit findings (Clause 6.4.9): Conclusions regarding conformance, nonconformance, and opportunities for improvement.
Review of findings (Clause 6.4.10): Cross-verification and validation before finalizing results.
Audit conclusions (Clause 6.4.11): Final statements summarizing the audit based on findings.
This structured process ensures audits are performed impartially, with verifiable, evidence-based outcomes that contribute to continual improvement.
Reference:
ISO 19011:2018, Clauses 6.4.5 to 6.4.11
ISO 14001:2015, Clause 9.2 - Internal audit requirements