Quickly and Easily Pass PECB Exam with ISO-14001-Lead-Auditor real Dumps Updated on Sep-2025
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NEW QUESTION # 18
Which two of the following phrases would apply to "audit criteria"?
- A. ISO 14001 requirements
- B. Management policy
- C. Audit conclusions
- D. Auditor competence
- E. Nonconformity report
- F. Financial objectives
Answer: A,B
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.
NEW QUESTION # 19
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 organisation should take action to address its energy consumption.
- B. The Centre Manager is trained in energy awareness.
- C. The vending machines are switched on permanently.
- D. The organisation's energy supplier sources renewable energy.
- E. The centre staff are responsible for energy consumption in the staff areas.
- F. The escalators are switched on permanently.
Answer: A,C
NEW QUESTION # 20
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. Would you write to my audit programme manager with this request?
- B. Do you realise that this involves an extension to the scope of the audit and will require an application process?
- C. We have used all our allocated time in preparation for this audit so how can we extend the audit scope?
- 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.
NEW QUESTION # 21
Considering the requirements of clauses 6.1.2 and 6.1.4 of ISO 14001:2015, put the actions in the correct order to complete a process/task.
Answer:
Explanation:
Explanation:
Determine environmental aspects
Determine environmental impacts
Establish criteria to determine the significance of impacts
Determine which impacts are significant
Determine which aspects are significant
Plan actions to be taken
Determine how to evaluate the effectiveness of the actions taken
According to ISO 14001:2015 clause 6.1.2 (Environmental Aspects), an organization must determine the environmental aspects of its activities, products, and services that it can control and influence, and their associated environmental impacts.
Once identified, the organization shall:
Determine the aspects that can have significant impact on the environment using established criteria for evaluating significance. (Reference: ISO 14001:2015, clause 6.1.2) Then, as per clause 6.1.4 (Planning action), the organization needs to:
Plan actions to address significant environmental aspects, legal requirements, and risks/opportunities.
Determine how to evaluate the effectiveness of these actions to ensure continual improvement.
This logical sequence ensures a structured and risk-based approach to identifying and managing environmental impacts.
Reference: ISO 14001:2015 - Clause 6.1.2 and 6.1.4
NEW QUESTION # 22
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. The organisation failed to update its legislation register following the planned frequency of review.
- B. Determine if the local authority has been informed that the organisation is exceeding VOC emissions.
- C. Raise an opportunity for improvement (OI) to reduce damaging emissions.
- D. Recommend that staff in the five shops should have medical check-ups due to air pollution.
- E. Evaluate whether the process for measuring environmental performance is effective.
- F. Extend the audit plan to include the five shops.
Answer: A,C
NEW QUESTION # 23
An oil organisation has a natural gas treatment plant on land crossed by several small rivers. On one particular day, after heavy rainfall for 48 hours, some of those rivers burst their banks and flooded the water treatment facilities of the plant. The oil-contaminated water reached some scarcely populated areas nearby.
Soon after, an internal audit was carried out to particularly analyse this event that was considered a nonconformity. There were no records of such heavy rainfall in the past 200 years.
Which three of the following actions are 'corrections'?
- A. Offer loans to the persons affected to build new houses far from the plant
- B. Reinforce the riverbanks with cement
- C. Send the contaminated land for processing
- D. Revise the existing emergency plan
- E. Clean up the houses of the persons affected
- F. Relocate the water treatment plant to lower ground
- G. Build up some additional protection to the water treatment plant
- H. Clean up the affected land
Answer: C,E,H
NEW QUESTION # 24
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. 7.1 - The top management failed to provide the resources needed to meet the objectives
- B. 6.2.1 - New environmental objectives associated with the takeover should be set
- C. 9.3 - A management review should be undertaken to determine the implications of the takeover on the EMS
- D. 7.4.3 - Management should communicate the impacts of the takeover on the EMS to the bidders
- E. 9.2.2 - Report IA202 contained a nonconformity (NC3) lacking in necessary detail
- F. 7.4.2 - Staff were not made aware that environmental projects were being scaled back
- G. 10.2.a - Management failed to take corrective action to deal with the audit nonconformity
- H. 6.2.2 - Actions were not taken to fully implement the environmental objectives set by management
Answer: A,G,H
NEW QUESTION # 25
Showitoff is an organisation specialising in the design and production of wall decorating materials for the domestic market. During an ISO 14001 certification audit of the site, the auditor comes across an open, walled area just outside the maintenance department. It contains various scraps of wood and metal as well as several rusty components. They are lying on an oily floor. When asked about it, the EMS Manager states that he presumes that the materials come from maintenance work.
The auditor interviews the Maintenance Manager in his department. He notes that shelves containing various spares are well labelled and neatly stacked. He asked about the "dump" outside and is told that it contains some excess materials that the Manager likes to keep in case they come in handy at some stage. The auditor points out that the "dump" might be classed under regulations as a landfill site, which requires an operating licence. The Maintenance Manager is not aware of such a licence.
The auditor decides to review the process for evaluation of compliance with environmental regulations in more depth.
Select three options that provide a meaningful audit trail for this process.
- A. Is a regulatory expert employed on the internal audit programme?
- B. How is the material content of scrap items verified?
- C. What are the qualifications of the EMS and Maintenance Managers?
- D. Are operators trained in the identification of legal requirements?
- E. How are maintenance staff made aware of regulatory requirements?
- F. How is the handling of waste materials monitored?
- G. What environmental aspects have been identified as being associated with regulations?
- H. How is the cost of unused or excess materials calculated?
Answer: E,F,G
NEW QUESTION # 26
A chain of 10 paint shops in a city has established an EMS following the requirements of ISO 14001, which was third-party certified 10 years ago. You are performing a second-party audit. The audit plan included an interview with the General Manager (GM). The dialogue was as follows:
You: Hi, good evening, I have seen a well-developed environmental risk assessment process. However, I did not find the identification of emergency situations included in the results of this process. The Environmental Manager (EM) could not provide me with an acceptable answer to this question.
GM: The EM joined us 2 months ago, and he may not know some decisions we made some time ago, when we first certified our EMS. During those days, I met with all 10 supervisors and asked them what the emergencies were that they feared most. They unanimously said: fire. That was it. This is the only emergency we care of. As far as I remember we do not test the plan very often because the supervisors of all our 10 shops know it very well. The auditors of our certification body accepted this. We did not have a fire in the last 10 years.
What evidence would you need to review to determine conformity with ISO 14001 in this scenario? Select six.
- A. Reports of audits from the certification body
- B. Records of the specific fire combat training of workers
- C. Signage related to health and safety in each shop
- D. Minutes of the meeting with supervisors where a fire was determined as the only emergency situation
- E. More details on whether the risk assessment process was applied to emergencies
- F. General competence records of all 10 supervisors
- G. Reports of the last two fire drills you performed
- H. Replacements of supervisors of each shop when they are absent (for any reason)
- I. Results of the inspection of fire extinguishers
- J. Reports of the management reviews
- K. Shops that have tested the plan in the last 10 years
Answer: B,E,G,I,J,K
NEW QUESTION # 27
ABC is a large lubricant oils manufacturer located in country A. Due to tax exemption and other economic issues, they decided to move the whole plant to a neighbouring country B. They moved every single piece of the plant (equipment, systems); the new plant has the same layout, the same dimensions, the same suppliers of raw materials and the same customers. Even more, most personnel accepted to move to country B.
They operate a third-party certified EMS; the certificate was transferred to the new plant after a half-day audit from the certification body. You are auditing ABC's EMS in the new location, representing ABC's largest customer. When interviewing the Environmental Manager (EM), you ask:
You: Can I see the plan you developed to keep under control the impact of the EMS due to the change of site?
EM: We listed all elements and processes of the EMS that might need to be changed and selected those that we considered needed a careful review and probably a revision.
Below you will find that list; select six that you consider will need to be revised.
- A. Legal requirements
- B. Process for assessing risks
- C. ABC's Environmental policy
- D. Personnel competence
- E. Roles and their responsibilities
- F. Environmental conditions
- G. Requirements ABC chooses to comply with
- H. External issues related to the context of the organisation
- I. Emergencies from external conditions
- J. Maintenance of infrastructure
- K. Significant environmental aspects
Answer: A,D,F,H,I,K
NEW QUESTION # 28
A small services organisation has been contracted to handle the disposal of waste for a local hospital. You are an auditor conducting a Stage 2 audit of the care home to ISO 14001. You are reviewing the contract with the Service Manager (SM). An addendum to the contract only requires that biological waste is disposed of in the most environmentally friendly way, without reference to any regulatory requirements.
You: How was the waste disposal plan for the contract developed?
SM: We have a basic template that covers the materials, labour requirements and methods to be employed.
Some of that is specified by the contractor.
You: How does the plan deal with specific items like biological waste, which are included in the contract and can pose biological hazards to the environment?
SM: The basic plan covers general waste, but we have an addendum that covers biological waste.
You: Are you aware of the regulatory requirements for waste disposal standards in hospitals?
SM: Yes but we depend on the contractor to look after that side of things.
You raise a nonconformity against section 8.1.d of ISO 14001.
At the Stage 2 closing meeting of the audit, the EMS Manager objects to the nonconformity raised and asks for it to be withdrawn. He insists that they meet all the regulations.
Choose one of the options that the audit team leader should take in response to the request.
- A. Consult with the auditor who raised the nonconformity and ask whether he will agree to withdraw it.
- B. Advise that the nonconformity will be reconsidered after the meeting.
- C. Confirm that it is a valid nonconformity supported by a lack of evidence for meeting the requirement.
- D. Offer to downgrade the nonconformity to an opportunity for improvement if the organisation can prove its compliance with regulations.
Answer: C
NEW QUESTION # 29
XM, a chain of 25 petrol stations, established an EMS following the requirements of ISO 14001, which was third-party certified 10 years ago. You are performing an internal audit before the fourth certification cycle.
During the audit to the EMS Manager (EM), the following dialogue takes place:
You: Could you please give me some details on the inspection of underground tanks in each station?
EM: It's very simple. There is a regulation that requires an annual leak inspection.
You: Who performs these inspections?
EM: I personally contract the inspectors and submit the results to the local authority. These are the certificates submitted last year.
You: I see only 22 certificates. There are three missing.
EM: The tanks of those three stations will be removed next year and replaced by new ones. I phoned the local authority and they told me that I do not need to send any report of the tanks that will be changed.
Which one of the following would be your next question?
- A. Did you ask the local authority to send a written confirmation of their decision?
- B. Can I see the plan for the installation of the new tanks?
- C. Have you planned any final disposal of the tanks to be removed?
- D. Can I see the contract XM signed with the inspector?
Answer: A
Explanation:
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.
Reference: ISO 14001:2015 Clause 9.1.2, 7.4.
NEW QUESTION # 30
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.
After gathering more evidence, you note down findings against several clauses of ISO 14001. Determine which three of the findings stated are non-conformities.
- A. Evidence was found to indicate that the needs of some interested parties had not been considered by the organisation. A neighbour's interests had not been identified. (Clause 4.2.b)
- B. The contractor's environmental policy is not consistent with the organisation's policy (Clause 5.2)
- C. The aspects related to the use of heavy goods trucks was not identified. (Clause 6.1.2)
- D. Documentation of environmental impacts was missing for the supplier of oxygen. (Clause 6.1.2)
- E. The organisation has failed to include in the EMS scope the activities, products and services associated with suppliers and contractors performing their activities in its own site. (Clause 4.3)
- F. The EMS Manager had some problems communicating with the supplier by mobile phone as an interested party. No other methods of communication were employed. (Clause 7.4.3)
- G. The Environmental Manager did not visit the oxygen supplier. (Clause 7.4.3)
- H. The internal audit programme does not include processes for control of subcontractor transport movements. The audit programme does not cover the full environmental management system. (Clause
9.2.2)
Answer: D,E,H
NEW QUESTION # 31
A huge public library established an EMS following the requirements of ISO 14001, which was third-party certified 10 years ago. You are performing the second surveillance audit of the third certification cycle. The audit plan included an audit to the Director as the last interview before the closing meeting.
During the interview with the Director, you audit clause 6.2 (Objectives and planning to achieve them). The dialogue is as follows:
You: Could you please tell me which were the environmental objectives defined for last year and show evidence of their achievement?
Director: Yes. We had defined three objectives. As you can see from our Annual Plan, one of them was to separate our waste in four categories: paper, plastics, metals, food - before, we had only three (plastic and paper were disposed together). We developed an Action Plan to achieve this objective.
Which six of the questions would you ask related to the Action Plan?
- A. Is it consistent with the environmental policy?
- B. Did you define any method for monitoring progress?
- C. Were actions integrated into the organisation's business processes?
- D. Who was responsible for the completion of the plan?
- E. How will you evaluate the cost savings?
- F. How was progress of the plan being monitored?
- G. Was it approved by the Director?
- H. Did you estimate what resources would you need?
- I. When is its completion date?
- J. How did you measure it?
Answer: A,B,C,D,F,H
NEW QUESTION # 32
Which two of the following documents are not required for documentation review by an auditor conducting a Stage 1 certification audit to ISO 14001?
- A. An organisation's financial statement
- B. A list of planned emergency responses
- C. Documented information on the environmental objectives
- D. An internal audit schedule
- E. List of environmental aspects
- F. A management review record
Answer: A,F
Explanation:
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.
Reference: ISO/IEC 17021-1:2015 Clause 9.3.2.1; ISO 14001:2015 Clauses 6.1.2, 6.2.1, 8.2.
NEW QUESTION # 33
Which one of the following options describes the main purpose of a Stage 1 audit?
- A. To check for legal compliance by the organisation
- B. To get to know the organisation
- C. To determine readiness for Stage 2
- D. To compile the audit plan
Answer: C
Explanation:
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.
Reference: ISO/IEC 17021-1:2015 Clause 9.3.2.1.
NEW QUESTION # 34
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