The Ultimate PECB ISO-14001-Lead-Auditor Dumps PDF Review
Achieve The Utmost Performance In ISO-14001-Lead-Auditor Exam Pass Guaranteed
NEW QUESTION # 12
Which one of the following options best describes the main purpose of a Stage 2 third-party audit?
- A. To determine readiness for certification.
- B. To check for legal compliance by the organisation.
- 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 # 13
Which two audit characteristics are features of a Stage 1 initial certification audit?
- A. The audit team's recommendation regarding certification is the key outcome of this stage.
- B. The purpose of this audit is to determine if the EMS is effectively implemented and maintained.
- C. To conduct an analysis of the organisation's environmental system processes to determine compliance obligations.
- D. Except for a pandemic or other natural disaster, this audit must be performed onsite at the auditee's location.
- E. Gaps in the EMS against the requirements of ISO 14001 are reported as 'areas of concern'.
- F. Reviewing some of the auditee's documentation.
Answer: E,F
Explanation:
According to ISO/IEC 17021-1:2015 Clause 9.3.2.1:
Stage 1 includes:
Reviewing management system documentation (E).
Identifying areas of concern that could become nonconformities at Stage 2 (C).
Evaluating readiness for Stage 2, but not making certification decisions (D).
Stage 1 focuses on preparedness; Stage 2 evaluates full implementation (F).
Onsite requirement (B) is generally true but flexibility is permitted per IAF MD rules.
Reference: ISO/IEC 17021-1:2015 Clause 9.3.2.1; ISO 14001 Lead Auditor Course Guide.
NEW QUESTION # 14
You are auditing the ISO 14001 management system of a primary school (School 21st Century) located in downtown Lima, Peru. There are 400 students, attending classes from 9 am until 5.30 pm.
You have presented a nonconformity at the closing meeting:
Non-conformity - No environmental aspect has been identified related to the impact of the education provided by the school on students' awareness (as future adults) related to generic environmental issues.
Select the three best acceptable corrections that the school may take.
- A. Establish environmental objectives for the school
- B. Revise the school's environmental policy to include environmental concerns
- C. Thoroughly review the syllabus for next year to include environmental issues whenever appropriate
- D. Review the procedure for waste management in the school
- E. Ask the National Environmental Agency for reading materials to give to students before the lecture by the expert
- F. Add the education on generic environmental issues to the list of environmental aspects of the school's EMS
- G. Hire an environmentalist next month to deliver a couple of lectures on the environment to all employees of the school, except students
- H. Hire an environment expert next week to deliver a lecture on the environment to all students
Answer: C,F,H
NEW QUESTION # 15
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. Confirm that it is a valid nonconformity supported by a lack of evidence for meeting the requirement.
- B. Consult with the auditor who raised the nonconformity and ask whether he will agree to withdraw it.
- C. Offer to downgrade the nonconformity to an opportunity for improvement if the organisation can prove its compliance with regulations.
- D. Advise that the nonconformity will be reconsidered after the meeting.
Answer: A
NEW QUESTION # 16
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.
Which three statements represent good audit practice?
- A. The auditor should advise the organisation to get rid of all the "dumps".
- B. The auditor should consider surveying more areas of the site for other "dumps".
- C. The auditor should congratulate the Maintenance Manager on having a neat and tidy spares store.
- D. The auditor should check the information given by the Maintenance Manager with the EMS Manager.
- E. The auditor should ask the Maintenance Manager to clean up the "dump".
- F. The auditor should check whether the organisation has permission to operate a landfill site.
- G. The auditor should raise a nonconformity against ISO 14001.
- H. The auditor should refer the organisation to the relevant authorities.
Answer: B,D,F
NEW QUESTION # 17
Which two of the following phrases would apply to "audit criteria"?
- A. Management policy
- B. Audit conclusions
- C. ISO 14001 requirements
- D. Financial objectives
- E. Nonconformity report
- F. Auditor competence
Answer: A,C
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 # 18
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. Reinforce the riverbanks with cement
- B. Send the contaminated land for processing
- C. Build up some additional protection to the water treatment plant
- D. Offer loans to the persons affected to build new houses far from the plant
- E. Revise the existing emergency plan
- F. Clean up the houses of the persons affected
- G. Clean up the affected land
- H. Relocate the water treatment plant to lower ground
Answer: B,F,G
NEW QUESTION # 19
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. Determine whether the EMS Management System covers the new site and, if so, proceed with the audit.
- C. Advise the EMS Manager that the audit scope has been set and the audit will need to proceed as planned.
- D. Advise the EMS Manager that, within the existing scope, the new site can be included without any problem.
- E. Inform the auditee that the Stage 2 will be changed to include the new site.
- F. Suggest that the EMS Manager cancels the audit contract and reapplies for the new situation.
Answer: A,B
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 # 20
An organisation (ABC) plans to carry out a second-party audit of the environmental management system of a supplier (XYZ). Both, ABC and XYZ, have a certified Environmental Management System (EMS) to ISO
14001 by the same certification body.
Which one of these statements is correct?
- A. ABC should invite, as an observer, an auditor of the certification body when it carries out the audit to XYZ.
- B. ABC should inform the certification body that it is planning to audit XYZ.
- C. ABC should not ask permission from the certification body to carry out the audit to XYZ.
- D. ABC should request to see a copy of the last certification body audit report from XYZ.
Answer: C
Explanation:
According to ISO 19011:2018 Clause 3.5 (Second-party audit):
Second-party audits are conducted directly by customers on their suppliers for contractual or commercial purposes.
There is no obligation to inform or involve the certification body in such audits unless contractually required.
Certification body audit reports are confidential to the certified organization and the certification body.
Reference: ISO 19011:2018 Clause 3.5; ISO 14001 Lead Auditor Course Guide.
NEW QUESTION # 21
Whistlekleen is a national dry cleaning and laundry organisation with 50 shops. You are conducting an EMS surveillance audit of Head Office and are sampling environmental performance measurement. You find that
80 per cent of failures to meet performance criteria originate from five shops in the same region. Most of these failures relate to the release of volatile organic compounds (VOCs) that exceeded regulations. The Environmental Manager tells you that these are the oldest shops in the organisation. The cleaning equipment needs replacing but the organisation cannot afford it at the moment.
On raising the matter with senior management, you are told that there are plans to replace the equipment in these shops over the next five years.
When reviewing the nonconformity report files, you find that the organisation is facing a legal dispute with the environmental authority over multiple breaches of environmental legislation.
Select the three best options for how this dispute should be handled by the organisation through its EMS.
- A. Ask to settle the court case by negotiation with the authority.
- B. Monitor VOC emissions to ensure compliance with legal requirements.
- C. Investigate changing the cleaning process to use chemicals with lower VOC content.
- D. Give an explanation to the authority of what went wrong.
- E. Advise the authority that the faulty equipment will be maintained more often.
- F. Advise the authority that timely corrective action will be taken.
- G. Offer to compensate employees for possible health implications.
- H. Conduct an internal enquiry to establish who is to blame.
Answer: B,C,F
NEW QUESTION # 22
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 uses suppliers committed to environmental sustainability.
- B. The organisation has a commitment to environmental protection.
- C. The organisation clearly meets all statutory requirements.
- D. The organisation has a good reputation for recycling its waste.
- E. The organisation's processes deliver the intended improvement to the environment.
- F. The organisation satisfies its customers' environmental requirements.
- G. The organisation is committed to continual environmental improvement.
- H. The organisation makes available its environmental policy to interested parties.
Answer: F,G,H
NEW QUESTION # 23
Whistlekleen is a national dry cleaning and laundry organisation with 50 shops. You are conducting an EMS surveillance audit of Head Office and are sampling environmental performance measurement. You find that
80 per cent of failures to meet performance criteria originate from five shops in the same region. Most of these failures relate to the release of volatile organic compounds (VOCs) that exceeds regulations. The Environmental Manager tells you that these are the oldest shops in the organisation. The cleaning equipment needs replacing but the organisation cannot afford it at the moment.
On raising the matter with senior management, you are told that there are plans to replace the equipment in these shops over the next five years.
Select two options that apply to how you should respond to the information given.
- A. Recommend that staff in the five shops should have medical check-ups due to air pollution
- B. Evaluate whether the process for measuring environmental performance is effective
- C. Extend the audit plan to include the five shops
- D. Determine if the local authority has been informed that the organisation is exceeding VOC emissions
- E. Criticise the equipment replacement period as being too environmentally damaging for too long
- F. Raise an opportunity for improvement (OI) to reduce damaging emissions
Answer: B,D
NEW QUESTION # 24
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 C and D
- B. I would not raise any nonconformity
- C. I would raise a nonconformity for the whole group
- D. I would raise an opportunity for improvement for branches in B, C, and D
- E. I would raise a nonconformity for branches in D
- F. I would raise a nonconformity for branches in B
Answer: D,E
NEW QUESTION # 25
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. Determine if the local authority has been informed that the organisation is exceeding VOC emissions.
- B. Raise an opportunity for improvement (OI) to reduce damaging emissions.
- C. Extend the audit plan to include the five shops.
- 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. The organisation failed to update its legislation register following the planned frequency of review.
Answer: B,F
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. More details on whether the risk assessment process was applied to emergencies
- B. Records of the specific fire combat training of workers
- C. Results of the inspection of fire extinguishers
- D. Shops that have tested the plan in the last 10 years
- E. Signage related to health and safety in each shop
- F. General competence records of all 10 supervisors
- G. Reports of audits from the certification body
- H. Reports of the management reviews
- I. Reports of the last two fire drills you performed
- J. Replacements of supervisors of each shop when they are absent (for any reason)
- K. Minutes of the meeting with supervisors where a fire was determined as the only emergency situation
Answer: A,B,C,D,H,I
NEW QUESTION # 27
Which one of the following outcomes of an audit does not require the auditee to respond?
- A. A non-conformity.
- B. An opportunity for improvement.
- C. A conformity.
- D. A diverging opinion concerning the audit evidence.
Answer: C
Explanation:
According to ISO 19011:2018 Clause 3.11 (Audit findings) and Clause 6.4.10:
Audit findings can be conformity, nonconformity, or opportunity for improvement.
A conformity simply confirms that the requirements have been met no further action is required from the auditee.
Nonconformities require corrective actions.
Opportunities for improvement may trigger voluntary action but not mandatory response.
Diverging opinions are handled during the audit but don't require post-audit response unless linked to nonconformity.
Reference: ISO 19011:2018 Clause 3.11, 6.4.10; ISO 14001 Lead Auditor Guide - Audit Findings.
NEW QUESTION # 28
......
PECB ISO-14001-Lead-Auditor Exam Syllabus Topics:
| Topic | Details |
|---|---|
| Topic 1 |
|
| Topic 2 |
|
| Topic 3 |
|
| Topic 4 |
|
| Topic 5 |
|
| Topic 6 |
|
Achive your Success with Latest PECB ISO-14001-Lead-Auditor Exam: https://preptorrent.actual4exams.com/ISO-14001-Lead-Auditor-real-braindumps.html