You are leading a recertification audit of XM, a manufacturer of cosmetics products. After the initial certification, XM moved to another site.
After the opening meeting, you are visiting the new site with the production manager (PM). The dialogue is as follows:
You: It seems that you are doing some work in the right-hand corner of the site.
PM: Yes, when we moved to this site, there was a very old, three-stories high building; it was almost empty, and we decided to demolish it and to build a new office for the administrative personnel. DEMO services are doing the job, which is almost over.
You: Do you know what the old building was used for?
PM: I was told that it was a warehouse for chemical storage, including a laboratory and toilets for the personnel. It had also a chimney, I do not know what for.
You: Did you consider it necessary to refer to some parts of the EMS for this work?
PM: No, we were busy moving all equipment and materials to the new site, we did not have time to care about something that was going to disappear.
Which four audit trail issues would you follow?

• A. Environmental impacts related to the demolition
• B. XM ' s contract with DEMO to conduct the work
• C. Audit DEMO ' s head office personnel
• D. XM ' s supervision of DEMO when doing the work
• E. DEMO ' s environmental policy
• F. Business information on DEMO
• G. Regulatory approval for DEMO ' s activities
• H. DEMO ' s quality policy

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, from 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...

• A. reviewed the needs and expectations of interested parties?
• B. developed any formal documented plan to change the EMS?
• C. evaluated the extra amount of waste that will be generated?
• D. reviewed the environmental objectives?
• E. reviewed the emergency response plans?
• F. revised the internal audit programme?
• G. reviewed the authorities and responsibilities of all roles?
• H. reviewed the documented operational procedures?
• I. reviewed the infrastructure maintenance plan?

As an audit team member, you are auditing XM, an organisation that processes animal leather products. This is a second-party audit from a potential XM customer.
At the Environmental Manager ' s (EM) office, the dialogue is as follows:
You: Could you please tell me what action XM has implemented to address the requirement of improving environmental performance?
EM: Yes, we had two significant impacts: odour (affecting the population nearby) and pollutants (contaminating the river). In the last management review, we decided to tackle these issues. We introduced cold storage techniques to prevent odour emission and lower the pollutant load in our wastewater stream. We were quite successful in reducing the impact; we are particularly happy to see the level of contaminants in the water discharge quite low now. Before, we were very close to the maximum value accepted by the law. We improved our environmental performance considerably. Do you want to see the data?
You: No thanks, it ' s OK. I noticed that you had an increase in energy consumption. This is a deterioration of XM ' s environmental performance.
EM: Yes, that ' s correct; this is due to the cold storage facilities we had to install, an unintended consequence that we are monitoring on a regular basis to ensure that it does not exceed planned levels.
How would you respond? Select one.

• A. I consider this a nonconformity to ISO 14001 (Clause 10.3 Continual Improvement).
• B. I will not raise a finding because I accept that energy consumption has increased due to the new equipment you have installed.
• C. You must commit to implementing an improvement action related to energy consumption.
• D. I will analyse this nonconformity with the team leader.

An internal auditor of a manufacturer of aluminium products for the car industry raised a nonconformity against section 6.2.2 of ISO 14001 in Report IA202. The nonconformity (NC3) stated:
" Top management has not analysed why none of the environmental objectives set for the last year have been met. " A third-party auditor reviewing the internal audit process came across the nonconformity and found that no corrective action was documented. The EMS Manager confirmed no action had been taken, but added he expected a number of objectives to be achieved in the next three months, so there was no need for further action. He explained in confidence that the organisation was fighting a takeover bid and resources for environmental projects had been cut.
From the information, select three nonconformities that the auditor could raise to ISO 14001.

• A. 7.1 - The top management failed to provide the resources needed to meet the objectives.
• B. 6.2.2 - Actions were not planned to achieve environmental objectives set by management.
• C. 9.3 - A management review should be undertaken to determine the implications of the takeover on the EMS.
• D. 7.4.3 - Management should communicate the impacts of the takeover on the EMS to the bidders.
• E. 7.4.2 - Staff were not made aware that environmental projects were being scaled back.
• F. 6.2.1 - New environmental objectives associated with the takeover should be set.
• G. 9.2.2 - Report IA202 contained a nonconformity (NC3) lacking in necessary detail.
• H. 10.2.a - Management failed to take corrective action to deal with the audit nonconformity.