Free Access PECB.ISO-14001-Lead-Auditor.v2026-09-01.q39 Practice Test (Page 6)

Question 21

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At the Stage 2 closing meeting of the audit, the EMS Manager objects to the nonconformity raised and asks for it to be withdrawn.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.Offer to downgrade the nonconformity to an opportunity for improvement if the organisation can prove its compliance with regulations.

C.Confirm that it is a valid nonconformity supported by a lack of evidence for meeting the requirement.

D.Advise that the nonconformity will be reconsidered after the meeting.

Question 22

Which two audit characteristics are features of a Stage 1 initial certification audit?

A.To conduct an analysis of the organisation's environmental system processes to determine compliance obligations.

B.Except for a pandemic or other natural disaster, this audit must be performed onsite at the auditee's location.

C.Gaps in the EMS against the requirements of ISO 14001 are reported as 'areas of concern'.

D.The audit team's recommendation regarding certification is the key outcome of this stage.

E.Reviewing some of the auditee's documentation.

F.The purpose of this audit is to determine if the EMS is effectively implemented and maintained.

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.Clean up the affected land

B.Reinforce the riverbanks with cement

C.Revise the existing emergency plan

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.Build up some additional protection to the water treatment plant

G.Clean up the houses of the persons affected

H.Send the contaminated land for processing

Question 24

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.

Question 25

The following statements are related to audit methods. Review each one and select the two that are true:

A.During a virtual audit, evidence can only be collected using methods that involve human interaction.

B.During a virtual third-party surveillance audit, the auditor should seek permission from the auditee prior to recording an individual or if taking screenshots of documents.

C.The sampling methods that are used to obtain audit evidence should be agreed by the auditee.

D.Auditors are expected to use a combination of different audit methods to collect information during an audit.

E.During a multi-day stage 2 initial certification audit, auditors must be permitted to take copies of procedures and records off-site for review.

F.As Top Management represents the most senior members of the organisation, audit evidence collected by interview from this group does not require verification by other methods.

Correct Answer: B,D

The correct answers are B and D .
B is correct because, during remote or virtual auditing, the auditor must respect confidentiality, information security, privacy, and auditee permissions. Recording people, taking screenshots, or capturing documents should only be done with permission from the auditee. This aligns with audit principles such as confidentiality, professional care, and information security .
D is correct because auditors should use a combination of audit methods to obtain reliable audit evidence.
Audit methods may include interviews, observation of activities, review of documents and records, sampling, remote communication tools, site tours, and review of environmental performance data. Using more than one method helps verify evidence and improves audit confidence.
The other options are incorrect:
A is incorrect because virtual audit evidence is not limited to human interaction. Evidence may also be collected through document review, records, photographs, video, data systems, monitoring reports, permits, procedures, and other non-interactive sources.
C is incorrect because audit sampling methods are determined by the auditor or audit team based on audit objectives, scope, criteria, risk, and available evidence. They do not need to be agreed by the auditee, although the auditee may need to provide access to relevant information.
E is incorrect because auditors are not automatically entitled to take copies of procedures or records off-site.
Taking copies depends on confidentiality rules, certification body procedures, legal restrictions, and auditee permission.
F is incorrect because audit evidence from top management interviews still requires verification where possible. Interview evidence should normally be corroborated using records, observed practices, objectives, environmental performance data, compliance obligations, or other audit evidence. Top management status does not remove the need for verification.
Therefore, the two true statements are B and D .

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