PECB ISO-14001-Lead-Auditor Certification Exam Dumps with 42 Practice Test Questions
New ISO-14001-Lead-Auditor Exam Dumps with High Passing Rate
PECB ISO-14001-Lead-Auditor Exam Syllabus Topics:
| Topic | Details |
|---|---|
| Topic 1 |
|
| Topic 2 |
|
| Topic 3 |
|
| Topic 4 |
|
| Topic 5 |
|
NEW QUESTION # 18
Which one of the following options best describes the main purpose of a Stage 2 third-party audit?
- A. To get to know the organisation's management system.
- B. To determine readiness for certification.
- C. To identify nonconformances against a standard.
- D. To check for legal compliance by the organisation.
Answer: C
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 # 19
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 # 20
Which one of the following conclusions in the audit report is not required by the certification body when deciding to grant certification?
- A. The plans to address corrective actions related to minor nonconformities have been accepted.
- B. The organisation fully complies with all legal and other requirements applicable to the Environmental Management System.
- C. The scope of certification has been fulfilled.
- D. The corrections taken by the organisation related to major nonconformities have been accepted.
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 # 21
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 # 22
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 # 23
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 # 24
During a Stage 1 audit, the EMS Manager asks that the audit includes coverage of a new storage site on the other side of town that they have taken over since the application was made.
Which two of the following actions should the auditor take?
- A. Advise the EMS Manager that an extension of the scope is possible but will have to go through established procedures.
- B. Advise the EMS Manager that, within the existing scope, the new site can be included without any problem.
- C. Inform the auditee that the Stage 2 will be changed to include the new site.
- D. Suggest that the EMS Manager cancels the audit contract and reapplies for the new situation.
- E. Determine whether the EMS Management System covers the new site and, if so, proceed with the audit.
- F. Advise the EMS Manager that the audit scope has been set and the audit will need to proceed as planned.
Answer: A,E
Explanation:
According to ISO/IEC 17021-1:2015 Clause 9.2.2 and 9.3.1:
Scope changes may be accommodated during the certification process, but proper evaluation is required.
The auditor should:
Confirm whether the EMS has been extended to cover the new site (C).
Inform that scope expansion needs to follow formal procedures through the certification body (F).
Simply including the new site without evaluation (A) is incorrect.
The audit plan can be adjusted, but full reassessment (D) is unnecessary unless significant issues arise.
Reference: ISO/IEC 17021-1:2015 Clause 9.2.2, 9.3.1; ISO 14001 Lead Auditor Course Guide.
NEW QUESTION # 25
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 # 26
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 # 27
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 # 28
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 new EMS Manager. The audit plan during a surveillance audit includes the improvement actions and the auditor asks to see the most recent management review meeting minutes.
Which six statements would represent output audit evidence for the management review?
- A. Staff feedback of environmental risks
- B. Changes in the EMS documentation
- C. Report of performance of EMS objectives in the last year
- D. Procurement of new spill kits for operators
- E. Updated environmental signs in the production facility
- F. Changes to the significant environmental aspects
- G. Plan to prioritise environmental improvement as a business strategy
- H. Allocation of a bigger budget for the EMS department
- I. Decisions related to continual improvement opportunities
- J. Minutes of previous management reviews
Answer: B,C,F,G,H,I
NEW QUESTION # 29
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 # 30
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 # 31
An organisation has the following environmental policy document displayed in the reception area:
"This organisation is committed to providing electric cables to customers' requirements, in accordance with environmental regulations for their manufacture, use and disposal. The organisation will strive to increase the environmental awareness of its personnel, suppliers, subcontractors and interested parties. Continual environmental improvement is a permanent objective of the organisation. This policy shall be communicated to all employees with the opportunity for them to seek clarification where required. Where required the policy shall be communicated to all interested parties." Referring to the above policy statement, select three options for which the organisation is meeting ISO 14001 requirements.
- A. The organisation is committed to continual environmental improvement.
- B. The organisation clearly meets all statutory requirements.
- C. The organisation has a commitment to environmental protection.
- D. The organisation has a good reputation for recycling its waste.
- E. The organisation uses suppliers committed to environmental sustainability.
- F. The organisation satisfies its customers' environmental requirements.
- G. The organisation's processes deliver the intended improvement to the environment.
- H. The organisation makes available its environmental policy to interested parties.
Answer: A,F,H
NEW QUESTION # 32
A group of 22 Italian restaurants in downtown San Francisco (US) established an EMS following the requirements of ISO 14001. You are performing an internal audit before the fourth certification cycle. The audit plan included an audit of the General Manager (GM) as the last interview before the closing meeting.
During the interview with the GM, you audit clause 10.3 (Continual improvement). The dialogue is as follows.
You: Could you please tell me how did you improve the EMS to enhance environmental performance (Clause
10.3)?
GM: One way to improve the EMS is to improve one or several of its processes. We decided to improve the water-consuming processes in all our branches. We use water in many of our processes (e.g. to wash our kitchens, our cutlery, plates, and glasses, to keep our floors clean). The idea was to review these processes in detail to reduce the amount of water used per customer. Each of the 22 branches sent us their results, we analysed the data and found out that the average water consumption per customer was reduced by 13%; therefore, we improved our environmental performance. We are happy about that.
You: What about the results in each branch?
GM: Have a look at this table:
Analysing this table, what would be your decision related to raising nonconformities to clause 10.3? Select two.
- A. I would raise a nonconformity for branches in B
- B. I would raise a nonconformity for branches in C and D
- C. I would raise a nonconformity for the whole group
- D. I would not raise any nonconformity
- E. I would raise an opportunity for improvement for branches in B, C, and D
- F. I would raise a nonconformity for branches in D
Answer: E,F
NEW QUESTION # 33
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 # 34
......
Get ISO-14001-Lead-Auditor Braindumps & ISO-14001-Lead-Auditor Real Exam Questions: https://www.exam4pdf.com/ISO-14001-Lead-Auditor-dumps-torrent.html
PECB ISO-14001-Lead-Auditor Actual Questions and Braindumps: https://drive.google.com/open?id=1YB3iDYjbnMuNn26Chly1NlAt6O2wSLfG
