Free Access PECB.ISO-14001-Lead-Auditor.v2026-11-16.q40 Practice Test (Page 9)

Question 36

Which two of the following do not participate in a second-party audit to ISO 14001?

A.An auditor employed by an external consultancy organisation

B.An auditor certified by an auditor certification body

C.An auditor from a customer

D.A certification body auditor

E.An auditor trained in the CQI and IRCA scheme

F.An auditor from an accreditation body

Question 37

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 .

Question 38

You are responsible for the second surveillance audit of ABC, a medium-sized metal mechanical manufacturing organisation. The significant environmental aspects are loud noise, solid waste, energy consumption, and liquid waste.
During the opening meeting, you are informed that when COVID-19 started, sales increased considerably, so they had to open a third shift (10 pm to 6 am). You interview the Production Manager.
You: How did you carry out this change, and how did you evaluate the impact on ABC ' s EMS?
PM: It was very simple; we just did it.
You: Did you introduce any change in the EMS?
PM: No. It is the same processes, the same products, the same materials, therefore the same environmental aspects.
You: What about the people?
PM: We distributed the most experienced workers among the three shifts. They trained the newly hired personnel.
Which of the six key questions from the following list would you ask? Have you . . .

Question 39

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 organisation's energy supplier sources renewable energy.

D.The centre staff are responsible for energy consumption in the staff areas.

E.The escalators are switched on permanently.

F.The vending machines are switched on permanently.

Question 40

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.Schedule additional internal audits in the internal audit programme for the next year, specifically to cover the completion of all environmental objectives.

B.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.

C.Embark on a training programme for internal auditors on the setting and evaluation of environmental objectives.

D.Revise the incomplete environmental objectives to make them more achievable within 12 months.

Question 36

Question 37

Question 38

Question 39

Question 40

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