[Apr-2026] ISO-14001-Lead-Auditor Exam Questions and Valid ISO-14001-Lead-Auditor Dumps PDF
ISO-14001-Lead-Auditor Brain Dump: A Study Guide with Tips & Tricks for passing Exam
PECB ISO-14001-Lead-Auditor Exam Syllabus Topics:
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NEW QUESTION # 16
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. Add the education on generic environmental issues to the list of environmental aspects of the school's EMS
- B. Ask the National Environmental Agency for reading materials to give to students before the lecture by the expert
- C. Revise the school's environmental policy to include environmental concerns
- D. Hire an environment expert next week to deliver a lecture on the environment to all students
- E. Establish environmental objectives for the school
- F. Review the procedure for waste management in the school
- G. Thoroughly review the syllabus for next year to include environmental issues whenever appropriate
- H. Hire an environmentalist next month to deliver a couple of lectures on the environment to all employees of the school, except students
Answer: A,D,G
NEW QUESTION # 17
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. Monitoring performance
- C. Nonconformities
- D. Management review
- E. Environmental policy
- F. Control of the processes
Answer: B,C
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 # 18
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. Embark on a training programme for internal auditors on the setting and evaluation of environmental objectives.
- B. Schedule additional internal audits in the internal audit programme for the next year, specifically to cover the completion of all environmental objectives.
- C. 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.
- D. Revise the incomplete environmental objectives to make them more achievable within 12 months.
Answer: B
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. Suggest that the EMS Manager cancels the audit contract and reapplies for the new situation.
- B. Determine whether the EMS Management System covers the new site and, if so, proceed with the audit.
- C. Inform the auditee that the Stage 2 will be changed to include the new site.
- D. Advise the EMS Manager that an extension of the scope is possible but will have to go through established procedures.
- E. Advise the EMS Manager that the audit scope has been set and the audit will need to proceed as planned.
- F. Advise the EMS Manager that, within the existing scope, the new site can be included without any problem.
Answer: B,D
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 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 satisfies its customers' environmental requirements.
- C. The organisation has a good reputation for recycling its waste.
- D. The organisation's processes deliver the intended improvement to the environment.
- E. The organisation has a commitment to environmental protection.
- F. The organisation is committed to continual environmental improvement.
- G. The organisation clearly meets all statutory requirements.
- H. The organisation makes available its environmental policy to interested parties.
Answer: B,F,H
NEW QUESTION # 21
Which one of the following options describes the main purpose of a Stage 1 audit?
- A. To get to know the organisation
- B. To determine readiness for Stage 2
- C. To compile the audit plan
- D. To check for legal compliance by the organisation
Answer: B
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
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 # 23
Which one of the following options best describes the main purpose of a Stage 2 third-party audit?
- A. To identify nonconformances against a standard.
- B. To get to know the organisation's management system.
- C. To determine readiness for certification.
- D. To check for legal compliance by the organisation.
Answer: A
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 # 24
An organisation has ISO 14001 EMS certification from a third-party certification body. Which one of the following represents an advantage of having accredited certification?
- A. An increase in the number of clients.
- B. Recognition of the credibility of the certification process.
- C. An increase in the marketing price of the organisation's products.
- D. Clarity of the audit report.
Answer: B
Explanation:
Accredited certification under ISO 14001 refers to certification that has been issued by a certification body that is itself accredited by a national accreditation body. This provides formal recognition that the certification body is competent to perform audits and issue certifications in accordance with ISO/IEC 17021 standards.
According to guidance in ISO 14001 Lead Auditor training materials and ISO/IEC 17021, one of the key benefits of accredited certification is:
"Recognition of the credibility, impartiality, and technical competence of the certification process and the certification body issuing the certificate." This recognition:
Increases stakeholder confidence (e.g., regulators, clients, the public), Supports market access and tender qualifications, Confirms that audits are performed in accordance with international best practices.
Option D correctly reflects the most strategic and system-level benefit of accredited certification.
The other options (A, B, and C) may result indirectly or are not directly linked to the purpose of accreditation.
Reference:
ISO/IEC 17021:2015 - Requirements for bodies providing audit and certification of management systems ISO 14001 Lead Auditor Course Guide - Module on Certification and Accreditation ISO 14001:2015 - Clause 3.1.1 & 3.1.2 (definition of EMS and system credibility)
NEW QUESTION # 25
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. VitalSpark will retrieve environmental data on a monthly basis from the on-site supplier.
- B. VitalSpark will update its documented information on aspects/impacts to include those related to the oxygen supplier.
- C. VitalSpark will suggest that the oxygen supplier should undertake training in environmental awareness.
- D. VitalSpark will expand its audit programme to include audits of the oxygen supplier's organisation.
- E. The oxygen supplier will be requested to undertake a full environmental survey of its processes.
- F. The oxygen supplier will be requested to implement an ISO 14001 management system within the next
3 months.
Answer: A,B
NEW QUESTION # 26
You work for a certification body. In two months, you will have to lead an audit of a pharmaceutical organisation, ABC, that manufactures vaccines to combat a pandemic. When planning the audit team, you select one of the certification body auditors who is professionally qualified in Biochemistry and Pharmacy.
However, she is not fully aware of all legal applicable requirements. You recommend the certification body hire a compliance expert to assist the audit team. In which two clauses of ISO 14001:2015 would you consider that auditors may need the help of the expert?
- A. 9.2 Internal audits
- B. 5.2 Environmental Policy
- C. 7.1 Resources
- D. 4.2 Understanding needs and expectations of interested parties
- E. 9.1.2 Compliance obligations
- F. 5.1 Leadership
Answer: D,E
Explanation:
According to ISO 14001:2015:
Clause 4.2:
The organization must understand the needs and expectations of interested parties, which includes regulatory bodies and applicable legal requirements. Legal expertise may be necessary to fully assess this.
Clause 9.1.2:
The organization must evaluate compliance obligations, which requires understanding applicable legal requirements.
Legal compliance evaluation often requires specialized legal or regulatory knowledge, especially in highly regulated sectors like pharmaceuticals.
Reference: ISO 14001:2015 Clauses 4.2 and 9.1.2.
NEW QUESTION # 27
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. Gaps in the EMS against the requirements of ISO 14001 are reported as 'areas of concern'.
- C. Except for a pandemic or other natural disaster, this audit must be performed onsite at the auditee's location.
- D. The purpose of this audit is to determine if the EMS is effectively implemented and maintained.
- E. To conduct an analysis of the organisation's environmental system processes to determine compliance obligations.
- F. Reviewing some of the auditee's documentation.
Answer: B,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 # 28
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 are maintenance staff made aware of regulatory requirements?
- B. What environmental aspects have been identified as being associated with regulations?
- C. Are operators trained in the identification of legal requirements?
- D. How is the cost of unused or excess materials calculated?
- E. Is a regulatory expert employed on the internal audit programme?
- F. What are the qualifications of the EMS and Maintenance Managers?
- G. How is the handling of waste materials monitored?
- H. How is the material content of scrap items verified?
Answer: A,B,G
NEW QUESTION # 29
Which one of the following outcomes of an audit does not require the auditee to respond?
- A. A conformity.
- B. A diverging opinion concerning the audit evidence.
- C. A non-conformity.
- D. An opportunity for improvement.
Answer: A
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 # 30
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. When is its completion date?
- B. Was it approved by the Director?
- C. How will you evaluate the cost savings?
- D. Were actions integrated into the organisation's business processes?
- E. How did you measure it?
- F. Did you define any method for monitoring progress?
- G. Is it consistent with the environmental policy?
- H. How was progress of the plan being monitored?
- I. Who was responsible for the completion of the plan?
- J. Did you estimate what resources would you need?
Answer: D,F,G,H,I,J
NEW QUESTION # 31
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. Build up some additional protection to the water treatment plant
- C. Send the contaminated land for processing
- D. Offer loans to the persons affected to build new houses far from the plant
- E. Relocate the water treatment plant to lower ground
- F. Clean up the houses of the persons affected
- G. Revise the existing emergency plan
- H. Clean up the affected land
Answer: C,F,H
NEW QUESTION # 32
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