Free PECB ISO-14001-Lead-Auditor Practice Exam with Questions & Answers | Set: 2

The correct answers are A, B, D, E, F and H .

This question relates to ISO 14001:2015 Clause 6.2 — Environmental objectives and planning to achieve them , especially Clause 6.2.1 and Clause 6.2.2 .

For environmental objectives, the organisation must ensure that objectives are consistent with the environmental policy, measurable where practicable, monitored, communicated, and updated as appropriate. When planning how to achieve environmental objectives, the organisation must determine what will be done, what resources will be required, who will be responsible, when it will be completed, how the results will be evaluated, including indicators for monitoring progress, and how actions to achieve objectives can be integrated into business processes.

A. Who was responsible for the completion of the plan? — Correct

The action plan should identify who is responsible for achieving the objective.

B. Is it consistent with the environmental policy? — Correct

The objective and related action plan should support the environmental policy, such as pollution prevention, environmental protection, compliance obligations, and improvement of environmental performance.

D. How did you measure it? — Correct

The objective should be measurable where practicable. For waste separation, measurement could include quantities of paper, plastic, metal, and food waste separated, contamination rates, or disposal/recycling records.

E. Were actions integrated into the organisation’s business processes? — Correct

ISO 14001 expects the organisation to consider how actions to achieve environmental objectives can be integrated into business processes. For a library, this may include cleaning routines, waste collection contracts, staff instructions, signage, and user-facing waste segregation points.

F. Did you define any method for monitoring progress? — Correct

The organisation should determine how progress toward the environmental objective will be monitored, such as periodic waste checks, contractor reports, internal inspections, or monthly waste data review.

H. Did you estimate what resources would you need? — Correct

The action plan should identify required resources. This could include separate bins, labels, staff time, communication materials, waste contractor arrangements, or training.

The two options not selected are:

C. How was progress of the plan being monitored? — Not selected

This is very similar to option F , but option F is the stronger wording because it asks whether a method for monitoring progress was defined as part of the planning process.

G. Was it approved by the Director? — Not required

ISO 14001 requires roles, responsibilities, resources, monitoring, evaluation, and integration into processes, but it does not specifically require every environmental objective action plan to be approved by the Director.

According to ISO/IEC 17021-1:2015 Clause 9.3.2.1 and ISO 14001:2015:

Stage 1 focuses on evaluating management system documentation (e.g., environmental aspects, objectives, emergency preparedness, audit schedule).

Financial statements (C) are not relevant to EMS certification.

Management review records (D) may not yet be available at Stage 1 if the EMS is not fully implemented.

The correct answers are B and D .

B is correct because, during remote or virtual auditing, the auditor must respect confidentiality, information security, privacy, and auditee permissions. Recording people, taking screenshots, or capturing documents should only be done with permission from the auditee. This aligns with audit principles such as confidentiality, professional care, and information security .

D is correct because auditors should use a combination of audit methods to obtain reliable audit evidence. Audit methods may include interviews, observation of activities, review of documents and records, sampling, remote communication tools, site tours, and review of environmental performance data. Using more than one method helps verify evidence and improves audit confidence.

The other options are incorrect:

A is incorrect because virtual audit evidence is not limited to human interaction. Evidence may also be collected through document review, records, photographs, video, data systems, monitoring reports, permits, procedures, and other non-interactive sources.

C is incorrect because audit sampling methods are determined by the auditor or audit team based on audit objectives, scope, criteria, risk, and available evidence. They do not need to be agreed by the auditee, although the auditee may need to provide access to relevant information.

E is incorrect because auditors are not automatically entitled to take copies of procedures or records off-site. Taking copies depends on confidentiality rules, certification body procedures, legal restrictions, and auditee permission.

F is incorrect because audit evidence from top management interviews still requires verification where possible. Interview evidence should normally be corroborated using records, observed practices, objectives, environmental performance data, compliance obligations, or other audit evidence. Top management status does not remove the need for verification.

Therefore, the two true statements are B and D .

According to ISO 14001:2015 Clause 9.1.2 (Compliance Obligations) and Clause 7.4 (Communication):

The organization must retain evidence of compliance obligations and communications with regulatory bodies.

Verbal confirmation from the authority is insufficient; written confirmation ensures objective evidence for audit purposes.

The correct answers are C, D and F .

This question relates to ISO 14001:2015 Clause 9.1.1 — Monitoring, measurement, analysis and evaluation .

Clause 9.1.1 requires the organisation to monitor, measure, analyse and evaluate its environmental performance. The organisation must determine what needs to be monitored and measured, the methods for monitoring, measurement, analysis and evaluation, when monitoring and measurement will be performed, and when results will be analysed and evaluated. It must also ensure monitoring and measuring equipment is calibrated or verified, where appropriate.

C. Periodic analysis of the results of meter readings — Correct

The shopping centre is measuring electricity consumption using meters. Analysing meter readings periodically provides evidence that the organisation is evaluating environmental performance, not just collecting data.

D. Certification showing that the meters are calibrated to known standards — Correct

Because the centre relies on electricity meters to measure energy consumption, calibration or verification evidence supports the validity of the measurement results.

F. A procedure that provides instructions in taking meter readings and using them to plot a graph — Correct

This provides evidence that the organisation has defined a method for monitoring and measuring energy consumption and for presenting the data for analysis.

The other options are not the best answers for Clause 9.1.1:

A relates more to competence or awareness, not monitoring and measurement.

B relates to environmental objectives under Clause 6.2, not directly to Clause 9.1.1.

E is not relevant unless office temperature has been identified as something requiring monitoring.

G is an operational improvement action, not evidence of monitoring and measurement.

H may affect energy use, but increased visitor numbers alone do not demonstrate monitoring, measurement, analysis or evaluation.

Therefore, the three items that best demonstrate conformance with ISO 14001:2015 Clause 9.1.1 are C, D and F .

According to ISO/IEC 17021-1:2015 Clause 9.3.2.1:

The main purpose of Stage 1 is:

“To evaluate the client ' s management system documentation and preparedness for Stage 2 audit.”

This includes reviewing:

The status of implementation.

The client’s understanding of requirements.

Readiness for the Stage 2 audit.

While the auditor will learn about the organization (B) and may draft plans (C), these are supporting activities. Legal compliance checks (D) occur in Stage 2.

As per ISO 14001:2015 Clause 10 (Improvement) and Clause 9 (Performance Evaluation):

The ' Check ' phase includes activities that evaluate performance, such as:

Clause 9.1:

“The organization shall monitor, measure, analyze and evaluate its environmental performance.”

Clause 10.2:

“When a nonconformity occurs, the organization shall react to the nonconformity, evaluate the need for corrective action.”

Management review is part of the ' Act ' phase (Clause 9.3), and Environmental Policy (Clause 5.2) belongs to ' Plan ' .