[2026年09月]更新のPECB ISO-14001-Lead-Auditor公式認定ガイドPDF
試験ISO-14001-Lead-Auditor PECB Certified EMS ISO 14001 Lead Auditor Exam
質問 # 25
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 vending machines are switched on permanently.
- B. The Centre Manager is trained in energy awareness.
- C. The organisation ' s energy supplier sources renewable energy.
- D. The organisation should take action to address its energy consumption.
- E. The centre staff are responsible for energy consumption in the staff areas.
- F. The escalators are switched on permanently.
正解：A、D
質問 # 26
Which one of the following conclusions in the audit report is not required by the certification body when deciding to grant certification?
- A. The organisation fully complies with all legal and other requirements applicable to the Environmental Management System.
- B. The scope of certification has been fulfilled.
- C. The corrections taken by the organisation related to major nonconformities have been accepted.
- D. The plans to address corrective actions related to minor nonconformities have been accepted.
正解：A
解説：
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.
質問 # 27
You are a third-party auditor of XM, a logistics organisation located in a European country, that distributes a wide range of products to local customers but also to customers in several neighbouring countries. Close to the distribution warehouse, you see many trucks loading and unloading goods. Almost 50 per cent of the trucks are owned by XM, the remainder are subcontracted from other organisations.
You have the following dialogue with the Warehouse Manager:
You: I see that not all trucks belong to XM.
WM: Sometimes we need additional trucks from other organisations nearby. Obviously, we cannot control their energy consumption since they come with the trucks half full of their own goods.
You: How did you inform them of the EMS?
WM: You know, they are not used to the complicated words in our policy. I have just told them: "Save energy".
You: What about your trucks?
WM: We measure the fuel they used on each trip, the distance they drove and the weight of goods they distributed. They know the roads and we ask them to choose the shortest route - we rely on them.
You: Did you fix any indicators and objectives related to energy consumption?
WM: No, we know they are careful people, they do their best. We would not be able to improve consumption.
This dialogue is related to several clauses of ISO 14001. Identify which three clauses below are related to this dialogue.
- A. 10.3
- B. 6.1.1
- C. 8.1
- D. 6.1.3
- E. 5.2
- F. 9.2
- G. 7.4.2
- H. 9.3
正解：A、C、E
解説：
The three clauses most directly related to this dialogue are 5.2, 8.1 and 10.3 .
B). Clause 5.2 - Environmental policy
The Warehouse Manager refers to the environmental policy as "complicated words" and says subcontracted truck operators were only told to "Save energy." Clause 5.2 requires the environmental policy to be communicated within the organisation and to be available to interested parties. The policy also provides the framework for environmental objectives and includes the organisation's commitment to environmental protection and continual improvement.
F). Clause 8.1 - Operational planning and control
The use of subcontracted trucks is directly relevant to operational control. ISO 14001 requires the organisation to control or influence outsourced processes and to communicate relevant environmental requirements to external providers. XM cannot simply state that it has no control over subcontracted transport; it must determine the type and extent of control or influence it can apply, considering a life-cycle perspective.
H). Clause 10.3 - Continual improvement
The Warehouse Manager says, "We would not be able to improve consumption." This conflicts with the ISO
14001 requirement for continual improvement of the EMS to enhance environmental performance. Since XM already measures fuel used, distance travelled and weight distributed, there is a basis for analysing performance and identifying improvement opportunities.
The other clauses are less directly applicable:
6.1.1 concerns planning actions to address risks and opportunities, but the dialogue is more specifically about policy, outsourced operational control and improvement.
6.1.3 concerns compliance obligations, which are not the focus of the dialogue.
7.4.2 concerns internal communication, while the key issue here involves subcontracted/external transport providers, which is better addressed under 8.1 .
9.2 concerns internal audits, and 9.3 concerns management review; neither is directly raised in the dialogue.
質問 # 28
A key audit process is the way auditors gather information and determine the findings ' characteristics. Put the actions in the correct order to complete this process.
正解：
解説：
Explanation:
A screenshot of a computer AI-generated content may be incorrect.
This sequence is derived from ISO 19011:2018 - Guidelines for Auditing Management Systems, which is used in conjunction with ISO 14001:2015 by auditors. Specifically, the audit process steps during the " conducting the audit " phase include:
Determining the source of information (Clause 6.4.5): Includes documents, interviews, records, and observations.
Collecting data by sampling (Clause 6.4.6): Sampling helps in managing resources and gathering relevant evidence effectively.
Gathering audit evidence (Clause 3.8): Audit evidence is the data collected and verified to support findings.
Evaluating against audit criteria (Clause 3.9): Evidence must be evaluated against standards such as ISO
14001 requirements, internal policies, etc.
Developing audit findings (Clause 6.4.9): Conclusions regarding conformance, nonconformance, and opportunities for improvement.
Review of findings (Clause 6.4.10): Cross-verification and validation before finalizing results.
Audit conclusions (Clause 6.4.11): Final statements summarizing the audit based on findings.
This structured process ensures audits are performed impartially, with verifiable, evidence-based outcomes that contribute to continual improvement.
Reference:
ISO 19011:2018, Clauses 6.4.5 to 6.4.11
ISO 14001:2015, Clause 9.2 - Internal audit requirements
質問 # 29
A large 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 of 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 environmental objectives were 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 into four categories: paper, plastics, metals, and food. Before, we had only three, because plastic and paper were disposed of together. We developed an Action Plan to achieve this objective.
Which six of the questions would you ask related to the Action Plan?
- A. How did you measure it?
- B. Who was responsible for the completion of the plan?
- C. How was progress of the plan being monitored?
- D. Did you estimate what resources would you need?
- E. Is it consistent with the environmental policy?
- F. Did you define any method for monitoring progress?
- G. Were actions integrated into the organisation's business processes?
- H. Was it approved by the Director?
正解：A、B、D、E、F、G
解説：
The correct answers are A, B, D, E, F and H .
This question relates to ISO 14001:2015 Clause 6.2 - Environmental objectives and planning to achieve them , especially Clause 6.2.1 and Clause 6.2.2 .
For environmental objectives, the organisation must ensure that objectives are consistent with the environmental policy, measurable where practicable, monitored, communicated, and updated as appropriate.
When planning how to achieve environmental objectives, the organisation must determine what will be done, what resources will be required, who will be responsible, when it will be completed, how the results will be evaluated, including indicators for monitoring progress, and how actions to achieve objectives can be integrated into business processes.
A). Who was responsible for the completion of the plan? - Correct
The action plan should identify who is responsible for achieving the objective.
B). Is it consistent with the environmental policy? - Correct
The objective and related action plan should support the environmental policy, such as pollution prevention, environmental protection, compliance obligations, and improvement of environmental performance.
D). How did you measure it? - Correct
The objective should be measurable where practicable. For waste separation, measurement could include quantities of paper, plastic, metal, and food waste separated, contamination rates, or disposal/recycling records.
E). Were actions integrated into the organisation's business processes? - Correct ISO 14001 expects the organisation to consider how actions to achieve environmental objectives can be integrated into business processes. For a library, this may include cleaning routines, waste collection contracts, staff instructions, signage, and user-facing waste segregation points.
F). Did you define any method for monitoring progress? - Correct
The organisation should determine how progress toward the environmental objective will be monitored, such as periodic waste checks, contractor reports, internal inspections, or monthly waste data review.
H). Did you estimate what resources would you need? - Correct
The action plan should identify required resources. This could include separate bins, labels, staff time, communication materials, waste contractor arrangements, or training.
The two options not selected are:
C). How was progress of the plan being monitored? - Not selected
This is very similar to option F , but option F is the stronger wording because it asks whether a method for monitoring progress was defined as part of the planning process.
G). Was it approved by the Director? - Not required
ISO 14001 requires roles, responsibilities, resources, monitoring, evaluation, and integration into processes, but it does not specifically require every environmental objective action plan to be approved by the Director.
質問 # 30
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. The purpose of this audit is to determine if the EMS is effectively implemented and maintained.
- D. Except for a pandemic or other natural disaster, this audit must be performed onsite at the auditee's location.
- E. To conduct an analysis of the organisation's environmental system processes to determine compliance obligations.
- F. Reviewing some of the auditee's documentation.
正解：B、F
解説：
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.
質問 # 31
Which two of the following do not participate in a second-party audit to ISO 14001?
- A. An auditor trained in the CQI and IRCA scheme
- B. An auditor certified by an auditor certification body
- C. An auditor from a customer
- D. A certification body auditor
- E. An auditor employed by an external consultancy organisation
- F. An auditor from an accreditation body
正解：D、F
解説：
The correct answers are D and F .
A second-party audit is an external audit carried out by an organization that has an interest in the auditee, such as a customer auditing a supplier , or by another party acting on that customer's behalf.
Therefore:
C). An auditor from a customer - participates
This is the clearest example of a second-party audit.
A). An auditor employed by an external consultancy organisation - may participate A consultancy auditor may conduct the audit on behalf of the customer or interested party, so this can still be a second-party audit.
B). An auditor certified by an auditor certification body - may participate Auditor certification is a competence credential. It does not determine whether the audit is first-party, second- party, or third-party.
E). An auditor trained in the CQI and IRCA scheme - may participate
Training or qualification does not define the audit type. Such an auditor may participate in a second-party audit if acting for the customer or interested party.
D). A certification body auditor - does not participate in a second-party audit A certification body auditor performs third-party audits , such as ISO 14001 certification audits.
F). An auditor from an accreditation body - does not participate in a second-party audit An accreditation body auditor assesses certification bodies, not suppliers or organizations as part of a customer-related second-party audit.
So, the two roles that do not participate in a second-party ISO 14001 audit are D. Certification body auditor and F. Auditor from an accreditation body .
質問 # 32
Auditors need to communicate effectively with auditees. Therefore, their personal behaviour is a key characteristic in ensuring a successful audit.
Below is a list of these characteristics and a brief related description. Match the characteristics to the descriptions.
正解：
解説：
Explanation:
1-C, 2-B, 3-A, 4-D
The correct matching is:
1. Fair, truthful, sincere, honest, discreet # C. Ethical
An auditor must act with integrity and honesty. Being fair, truthful, sincere, honest, and discreet reflects ethical behaviour, which is essential because auditors handle sensitive information and must maintain trust.
2. Willing to learn from situations # B. Open to improvement
An auditor should be willing to improve their own audit approach, learn from experience, and adjust based on new situations. This supports continual improvement in audit competence.
3. Tactful in dealing with individuals # A. Diplomatic
Being diplomatic means handling people respectfully and tactfully, especially when discussing sensitive issues, audit findings, or possible nonconformities.
4. Aware of and able to understand situations # D. Perceptive
A perceptive auditor notices and understands situations, behaviours, risks, and evidence during the audit. This helps the auditor identify relevant issues and evaluate audit evidence effectively.
So, the final matched answer is:
Fair, truthful, sincere, honest, discreet - Ethical
Willing to learn from situations - Open to improvement
Tactful in dealing with individuals - Diplomatic
Aware of and able to understand situations - Perceptive
質問 # 33
What are the primary purposes of implementing an EMS based on ISO 14001:2015? Select two.
- A. It provides a framework for protecting the environment.
- B. It enables the organisation to tender for government-funded contracts.
- C. It ensures that organisations operate fully online management systems.
- D. It is used to demonstrate to external parties that the organisation has met all its legal requirements.
- E. It improves the organisation's financial results.
- F. It provides a means by which environmental impacts are addressed at relevant stages of the life cycle.
正解：A、F
解説：
According to ISO 14001:2015 Clause 1 (Scope) and Clause 6.1.2:
Clause 1:
"The purpose of this International Standard is to provide organizations with a framework to protect the environment and respond to changing environmental conditions in balance with socio-economic needs." Clause 6.1.2:
"The organization shall determine the environmental aspects of its activities, products and services that it can control and influence, considering a life cycle perspective." Demonstrating legal compliance (B) is part of the intended outcomes but not the primary purpose.
Tender eligibility (C), financial results (E), and system format (F) are not stated objectives of ISO 14001:2015.
Reference: ISO 14001:2015 Clauses 1, 6.1.2.
質問 # 34
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. Nonconformities
- B. Improvement
- C. Environmental policy
- D. Control of the processes
- E. Monitoring performance
- F. Management review
正解：A、E
質問 # 35
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 and has set environmental objectives for the subcontractor in line with the EMS policy below:
"It is the policy of the organisation to protect the environment by acting with responsibility at all times, to comply with relevant legislation and to set objectives that will enhance our environmental performance." The auditor seeks evidence of awareness of the environmental objectives set by management for installation subcontractor personnel.
From the following options, select two objectives that align with the policy.
- A. Reducing environmental impacts
- B. Promoting environmental awareness
- C. Planning for site environmental resources
- D. Involvement of stakeholders
- E. Complying with the EMS scope
- F. Continual improvement of production performance
正解：A、B
解説：
The correct answers are B and C .
This question relates mainly to ISO 14001:2015 Clause 5.2 - Environmental policy , Clause 6.2 - Environmental objectives and planning to achieve them , and Clause 7.3 - Awareness .
B). Reducing environmental impacts - Correct
The policy states that the organisation is committed to protecting the environment and enhancing environmental performance. Reducing environmental impacts is directly aligned with this commitment, especially for installation activities where risks may include paint waste, spills, emissions, waste generation, and contamination of site drains.
C). Promoting environmental awareness - Correct
The policy says personnel should act responsibly and comply with relevant legislation. Subcontractor personnel need appropriate awareness so they understand how their work affects environmental performance and legal compliance.
The other options are not the best answers:
A). Planning for site environmental resources - Incorrect
Resources may be needed to achieve objectives, but this is more related to planning and support, not an environmental objective that directly aligns with the policy.
D). Complying with the EMS scope - Incorrect
The EMS scope defines boundaries and applicability. It is not normally an environmental objective.
E). Continual improvement of production performance - Incorrect
ISO 14001 focuses on continual improvement of the EMS and environmental performance, not general production performance.
F). Involvement of stakeholders - Incorrect
Stakeholder involvement may be relevant to context and communication, but it is not directly stated as an objective in the policy.
Therefore, the two objectives that best align with the policy are B. Reducing environmental impacts and C.
Promoting environmental awareness .
質問 # 36
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. Documented information on the environmental objectives
- B. A list of planned emergency responses
- C. An internal audit schedule
- D. A management review record
- E. An organisation's financial statement
- F. List of environmental aspects
正解：D、E
解説：
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.
質問 # 37
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. How did you measure it?
- B. Who was responsible for the completion of the plan?
- C. When is its completion date?
- D. How will you evaluate the cost savings?
- E. Did you estimate what resources would you need?
- F. Is it consistent with the environmental policy?
- G. Did you define any method for monitoring progress?
- H. How was progress of the plan being monitored?
- I. Were actions integrated into the organisation's business processes?
- J. Was it approved by the Director?
正解：B、E、F、G、H、I
質問 # 38
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 vending machines are switched on permanently.
- B. The Centre Manager is trained in energy awareness.
- C. The organisation should take action to address its energy consumption.
- 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.
正解：A、C
質問 # 39
A key audit process is the way auditors gather information and determine the findings' characteristics. Put the actions in the correct order to complete this process.
正解：
解説：
Explanation:
A screenshot of a computer AI-generated content may be incorrect.
This sequence is derived from ISO 19011:2018 - Guidelines for Auditing Management Systems, which is used in conjunction with ISO 14001:2015 by auditors. Specifically, the audit process steps during the
"conducting the audit" phase include:
Determining the source of information (Clause 6.4.5): Includes documents, interviews, records, and observations.
Collecting data by sampling (Clause 6.4.6): Sampling helps in managing resources and gathering relevant evidence effectively.
Gathering audit evidence (Clause 3.8): Audit evidence is the data collected and verified to support findings.
Evaluating against audit criteria (Clause 3.9): Evidence must be evaluated against standards such as ISO
14001 requirements, internal policies, etc.
Developing audit findings (Clause 6.4.9): Conclusions regarding conformance, nonconformance, and opportunities for improvement.
Review of findings (Clause 6.4.10): Cross-verification and validation before finalizing results.
Audit conclusions (Clause 6.4.11): Final statements summarizing the audit based on findings.
This structured process ensures audits are performed impartially, with verifiable, evidence-based outcomes that contribute to continual improvement.
Reference:
ISO 19011:2018, Clauses 6.4.5 to 6.4.11
ISO 14001:2015, Clause 9.2 - Internal audit requirements
質問 # 40
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. What are the qualifications of the EMS and Maintenance Managers?
- D. How is the cost of unused or excess materials calculated?
- E. How is the handling of waste materials monitored?
- F. Are operators trained in the identification of legal requirements?
- G. Is a regulatory expert employed on the internal audit programme?
- H. How is the material content of scrap items verified?
正解：A、B、E
質問 # 41
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