PECB Certified EMS ISO 14001 Lead Auditor Exam ISO-14001-Lead-Auditor Exam Questions with Experts Answers Updated Recently

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

This scenario mainly relates to ISO 14001:2015 Clause 8.2 — Emergency preparedness and response , supported by Clause 7.2 — Competence , Clause 7.3 — Awareness , and Clause 9.3 — Management review .

A. Shops that have tested the plan in the last 10 years — Correct

ISO 14001 expects planned emergency response actions to be tested periodically where practicable. Since the General Manager says the plan is not tested very often, the auditor should check which shops have tested the emergency plan and when.

B. Replacements of supervisors of each shop when they are absent — Correct

The General Manager relies heavily on the 10 supervisors knowing the fire emergency plan. The auditor should verify what happens if a supervisor is absent. Emergency response must remain effective regardless of absence, leave, sickness, or shift changes.

D. General competence records of all 10 supervisors — Correct

If supervisors are relied upon to control emergency response, their competence is relevant evidence. The auditor should verify that they are competent to perform the emergency-related responsibilities assigned to them.

F. Reports of the management reviews — Correct

Management review records may show whether emergency preparedness, incidents, changes, resources, test results, improvement needs, and EMS effectiveness have been reviewed. This is important because the emergency decision appears to have been made 10 years ago and may not have been adequately reviewed since.

G. Records of the specific fire combat training of workers — Correct

Workers must have suitable awareness and training related to emergency preparedness and response. For paint shops, fire is a credible emergency situation, so specific fire response training records are relevant evidence.

H. Results of the inspection of fire extinguishers — Correct

Fire extinguishers are part of the emergency response arrangements. Inspection results help confirm that emergency equipment is available, maintained, and suitable for use.

The two options not selected are:

C. Reports of audits from the certification body — Not selected

Previous certification audit reports may provide background, but they do not replace the auditor’s own audit evidence. The current audit must determine present conformity.

E. Signage related to health and safety in each shop — Not selected

Health and safety signage may be useful, but the question is about ISO 14001 EMS conformity and environmental emergency preparedness. It is not one of the strongest pieces of evidence for this EMS issue unless directly linked to environmental emergency response.

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 C and D .

C. The audit team leader is responsible for creating the audit plan — Correct

For a Stage 2 certification audit, the audit team leader prepares or is responsible for ensuring the audit plan is developed. The plan identifies how the audit will be conducted, including areas, processes, timings, responsibilities, locations, and audit activities.

D. The audit plan is shared with the auditee in advance of the audit — Correct

The audit plan must be communicated to the auditee before the audit so that arrangements can be confirmed. This allows the auditee to ensure relevant personnel, processes, records, and site areas are available.

The other options are incorrect:

A. Previous audit findings are detailed in the audit plan — Incorrect

Previous findings may be considered when planning the audit, especially for surveillance or recertification audits, but they are not normally “detailed” in the audit plan.

B. The questions to be asked during the audit are detailed in the audit plan — Incorrect

Audit plans do not list every audit question. They define the structure and arrangements of the audit, not the exact interview questions.

E. A significant portion of the audit must be allocated to evaluating legal compliance processes — Incorrect

Legal compliance is important in ISO 14001 and must be evaluated, but the audit plan is not required to allocate a “significant portion” specifically to legal compliance. Audit time is allocated according to scope, risks, processes, environmental aspects, compliance obligations, and audit objectives.

F. All site processes to be audited must be addressed in the audit programme — Incorrect for this question

This statement refers to the audit programme , not specifically the Stage 2 audit plan . The audit programme covers the broader cycle of audits, while the audit plan covers one specific audit.

Therefore, the two statements that apply to a Stage 2 certification audit plan are C and D .