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PECB ISO-14001-Lead-Auditor Exam Syllabus Topics:
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NEW QUESTION # 18
A management system meeting ISO 14001:2015 requirements is based on the Plan-Do-Check-Act (PDCA) cycle.
Which two elements of the management system are part of the 'Check' stage of the PDCA cycle?
- A. Improvement
- B. Control of the processes
- C. Nonconformities
- D. Monitoring performance
- E. Management review
- F. Environmental policy
Answer: C,D
Explanation:
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'.
Reference: ISO 14001:2015 Clauses 9.1, 10.2, 9.3, 5.2.
NEW QUESTION # 19
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. How is the handling of waste materials monitored?
- B. What environmental aspects have been identified as being associated with regulations?
- C. Is a regulatory expert employed on the internal audit programme?
- D. How is the material content of scrap items verified?
- E. Are operators trained in the identification of legal requirements?
- F. How is the cost of unused or excess materials calculated?
- G. How are maintenance staff made aware of regulatory requirements?
- H. What are the qualifications of the EMS and Maintenance Managers?
Answer: A,B,G
NEW QUESTION # 20
In the case of ISO 14001 EMS audits that follow the recommendations of ISO 19011, which two of the following statements are true?
- A. The audit plan should consider the effect of the audit activities on the auditee's processes.
- B. An audit on an external provider may also be referred to as a third-party audit.
- C. The frequency of internal audits is determined based on the environmental importance of the processes concerned.
- D. Second-party audits are conducted by certification body auditors with experience in evaluating legal compliance.
- E. Internal auditors can audit their own work.
- F. EMS auditors do not need to evaluate the organisation's capability to respond to and recover from disruptive incidents.
Answer: A,C
Explanation:
From ISO 19011:2018:
Clause 5.4.3:
"The audit plan should consider the potential impact on the auditee's processes during audit activities to minimize disruption." Clause 5.2 and 5.3:
"The audit programme frequency should be based on the significance of the environmental aspects, past audit results, changes, and risks." Internal auditors auditing their own work violates auditor impartiality (Clause 4.4.2 - Auditor Independence).
Second-party audits are customer-supplier audits, not certification body audits (Clause 3.7 - Audit Types).
EMS auditors must consider the organization's preparedness for emergencies (ISO 14001:2015 Clause 8.2).
Reference: ISO 19011:2018 Clauses 4.4.2, 5.2, 5.3, 5.4.3; ISO 14001:2015 Clause 8.2.
NEW QUESTION # 21
What are the primary purposes of implementing an EMS based on ISO 14001:2015? Select two.
- A. It enables the organisation to tender for government-funded contracts.
- B. It improves the organisation's financial results.
- C. It is used to demonstrate to external parties that the organisation has met all its legal requirements.
- D. It provides a means by which environmental impacts are addressed at relevant stages of the life cycle.
- E. It ensures that organisations operate fully online management systems.
- F. It provides a framework for protecting the environment.
Answer: D,F
Explanation:
According to ISO 14001:2015 Clause 1 (Scope) and Clause 6.1.2:
Clause 1:
"The purpose of this International Standard is to provide organizations with a framework to protect the environment and respond to changing environmental conditions in balance with socio-economic needs." Clause 6.1.2:
"The organization shall determine the environmental aspects of its activities, products and services that it can control and influence, considering a life cycle perspective." Demonstrating legal compliance (B) is part of the intended outcomes but not the primary purpose.
Tender eligibility (C), financial results (E), and system format (F) are not stated objectives of ISO 14001:2015.
Reference: ISO 14001:2015 Clauses 1, 6.1.2.
NEW QUESTION # 22
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's energy supplier sources renewable energy.
- B. The Centre Manager is trained in energy awareness.
- C. The centre staff are responsible for energy consumption in the staff areas.
- D. The vending machines are switched on permanently.
- E. The organisation should take action to address its energy consumption.
- F. The escalators are switched on permanently.
Answer: D,E
NEW QUESTION # 23
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. Who was responsible for the completion of the plan?
- C. Was it approved by the Director?
- D. Were actions integrated into the organisation's business processes?
- E. How was progress of the plan being monitored?
- F. Did you estimate what resources would you need?
- G. When is its completion date?
- H. How will you evaluate the cost savings?
- I. Did you define any method for monitoring progress?
- J. How did you measure it?
Answer: A,B,D,E,F,I
NEW QUESTION # 24
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. Build up some additional protection to the water treatment plant
- C. Reinforce the riverbanks with cement
- D. Revise the existing emergency plan
- E. Clean up the houses of the persons affected
- F. Send the contaminated land for processing
- G. Relocate the water treatment plant to lower ground
- H. Clean up the affected land
Answer: E,F,H
NEW QUESTION # 25
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. Distribute the audit report
- B. Determine audit conclusion
- C. Determine audit feasibility
- D. Hold the opening meeting
- E. Verify corrective action effectiveness
- F. Assign work to the audit team
Answer: B,D
Explanation:
According to ISO 19011:2018 Clause 6.4.3 (Conducting audit activities):
Conducting audit activities includes:
Holding opening meetings (A).
Collecting and verifying information.
Generating audit findings.
Determining audit conclusions (F).
Assigning work (B) and determining feasibility (E) occur during audit planning.
Report distribution (C) and corrective action verification (D) occur after audit completion.
Reference: ISO 19011:2018 Clause 6.4.3.
NEW QUESTION # 26
Which two of the following phrases would apply to "audit criteria"?
- A. ISO 14001 requirements
- B. Financial objectives
- C. Auditor competence
- D. Management policy
- E. Nonconformity report
- F. Audit conclusions
Answer: A,D
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 # 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. Emergencies from external conditions
- B. Legal requirements
- C. Roles and their responsibilities
- D. ABC's Environmental policy
- E. Environmental conditions
- F. Significant environmental aspects
- G. Process for assessing risks
- H. External issues related to the context of the organisation
- I. Personnel competence
- J. Maintenance of infrastructure
- K. Requirements ABC chooses to comply with
Answer: A,B,E,F,H,I
NEW QUESTION # 28
An internal auditor of a manufacturer of aluminium products for the car industry asked to see the most recent management review minutes and found no reference to the completion of some of the current environmental objectives. He raised a nonconformity against section 9.3.c of ISO 14001 in Report IA202. The nonconformity (NC3) stated:
"Top management has not analysed why some of the environmental objectives have been met since the last management review." When discussing the finding with the Environmental Manager, the auditor was informed that planned actions taken to complete the current environmental objectives were specifically covered in the internal audit programme and did not need any further work done.
Select one of the options which would constitute an effective response by the Environmental Manager to the nonconformity.
- A. Reject the non-conformity. Objectives do not have to be met within a year. Plans on how to achieve objectives are established and reviewed when conducting the internal audit programme.
- B. Schedule additional internal audits in the internal audit programme for the next year, specifically to cover the completion of all environmental objectives.
- C. Revise the incomplete environmental objectives to make them more achievable within 12 months.
- D. Embark on a training programme for internal auditors on the setting and evaluation of environmental objectives.
Answer: B
NEW QUESTION # 29
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.
You raise a non-conformance against clause 6.1.2 of ISO 14001:
"VitalSpark does not maintain documented information on aspects/impacts related to activities, products and services of the oxygen supplier." Which combination of two of the following actions proposed by VitalSpark would permit you to close out the nonconformity?
- A. The oxygen supplier will be requested to implement an ISO 14001 management system within the next
3 months. - B. VitalSpark will expand its audit programme to include audits of the oxygen supplier's organisation.
- C. VitalSpark will update its documented information on aspects/impacts to include those related to the oxygen supplier.
- D. VitalSpark will suggest that the oxygen supplier should undertake training in environmental awareness.
- E. The oxygen supplier will be requested to undertake a full environmental survey of its processes.
- F. VitalSpark will retrieve environmental data on a monthly basis from the on-site supplier.
Answer: C,F
NEW QUESTION # 30
Which one of the following options best describes the main purpose of a Stage 2 third-party audit?
- A. To check for legal compliance by the organisation.
- B. To determine readiness for certification.
- C. To get to know the organisation's management system.
- D. To identify nonconformances against a standard.
Answer: D
Explanation:
According to ISO/IEC 17021-1:2015 (used alongside ISO 14001 for certification audits), the certification process includes Stage 1 and Stage 2 audits:
The purpose of the Stage 1 audit is to review the management system documentation and assess the organization's preparedness for Stage 2.
The Stage 2 audit's main objective is to evaluate the implementation, including the effectiveness, of the organization's management system. This includes assessing conformity with all the requirements of ISO
14001:2015.
As per ISO/IEC 17021-1:2015 Clause 9.3.2.2.2:
"The stage 2 audit shall take place at the site(s) of the organization. It shall include at least the following:
information and evidence about conformity to all requirements of the applicable management system standard." Thus, the Stage 2 audit is where auditors identify nonconformities and gather evidence to support certification decisions.
Reference: ISO/IEC 17021-1:2015 Clause 9.3.2.2.2; ISO 14001 Lead Auditor Course Guide - Certification Process Module.
NEW QUESTION # 31
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. A management review record
- B. An organisation's financial statement
- C. Documented information on the environmental objectives
- D. A list of planned emergency responses
- E. An internal audit schedule
- F. List of environmental aspects
Answer: A,B
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 # 32
Which one of the following conclusions in the audit report is not required by the certification body when deciding to grant certification?
- A. The corrections taken by the organisation related to major nonconformities have been accepted.
- B. The organisation fully complies with all legal and other requirements applicable to the Environmental Management System.
- C. The plans to address corrective actions related to minor nonconformities have been accepted.
- D. The scope of certification has been fulfilled.
Answer: B
Explanation:
According to ISO/IEC 17021-1:2015 Clause 9.4.5 and 9.5.1:
Certification decisions are based on:
The audit conclusions,
Acceptance of corrective action plans for minor nonconformities (A),
Acceptance of corrections for major nonconformities (C),
Confirmation that the scope is fulfilled (B).
Full legal compliance (D) is not a requirement for certification decisions rather, it is the effectiveness of the management system to meet compliance obligations that is assessed.
Reference: ISO/IEC 17021-1:2015 Clause 9.4.5 and 9.5.1; ISO 14001:2015 Clause 9.1.2.
NEW QUESTION # 33
You are leading a recertification audit of XM, a manufacturer of cosmetics products. After the initial certification, XM moved to another site.
After the opening meeting, you are visiting the new site with the production manager (PM). The dialogue is as follows:
You: It seems that you are doing some work in the right-hand corner of the site.
PM: Yes, when we moved to this site, there was a very old, three-stories high building; it was almost empty, and we decided to demolish it and to build a new office for the administrative personnel. DEMO services are doing the job, which is almost over.
You: Do you know what the old building was used for?
PM: I was told that it was a warehouse for chemical storage, including a laboratory and toilets for the personnel. It had also a chimney, I do not know what for.
You: Did you consider it necessary to refer to some parts of the EMS for this work?
PM: No, we were busy moving all equipment and materials to the new site, we did not have time to care about something that was going to disappear.
Which four audit trail issues would you follow?
- A. XM's contract with DEMO to conduct the work
- B. Regulatory approval for DEMO's activities
- C. Audit DEMO's head office personnel
- D. DEMO's environmental policy
- E. DEMO's quality policy
- F. XM's supervision of DEMO when doing the work
- G. Environmental impacts related to the demolition
- H. Business information on DEMO
Answer: A,B,F,G
Explanation:
According to ISO 14001:2015:
Clause 6.1.2 & 6.1.4 (Environmental aspects and planning actions): demolition impacts must be identified and controlled (C).
Clause 8.1 (Operational planning and control): control of outsourced processes (supervision and contract requirements) (B, E).
Clause 9.1.2 (Compliance obligations): regulatory approvals for demolition (H).
The subcontractor's internal policies (A, D, F, G) are generally not part of XM's EMS obligations.
Reference: ISO 14001:2015 Clauses 6.1.2, 6.1.4, 8.1, 9.1.2.
NEW QUESTION # 34
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