Which one of the following options describes the main purpose of a Stage 1 audit?

• A. To determine readiness for Stage 2
• B. To compile the audit plan
• C. To get to know the organisation
• D. To check for legal compliance by the organisation

Just before the closing meeting of a third-party audit, the audit team leader is invited to a meeting with the EMS Manager.
He tells the audit team leader that a member of the audit team was seen taking videos on the factory floor using his mobile phone and wants him suspended from the closing meeting with any nonconformities raised by him rescinded.
When asked about this, the auditor said that he had obtained permission from the Production Manager who was escorting him around.
Select three options of how the audit team leader might respond to the EMS Manager.

• A. Advise the EMS Manager that the auditor was given permission by the Production Manager and that he will delete the videos immediately after the closing meeting.
• B. Inform the EMS Manager that auditors take videos for their report to help management understanding at the closing meeting and that they will be deleted after the audit.
• C. State that he will find out from the team member if the taking of videos was a routine method for him to gather evidence.
• D. State that the auditor will take no further part in the audit and all his videos will be deleted immediately.
• E. Insist that the nonconformities must stand since there is clear evidence from other sources apart from the videos.

You are leading a recertification audit of XM, a manufacturer of cosmetic 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-story building; it was almost empty, and we decided to demolish it and 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 also had 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 the 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 supervision of DEMO when doing the work
• C. DEMO ' s environmental policy
• D. Business information on DEMO
• E. XM ' s contract with DEMO to conduct the work
• F. Audit DEMO ' s head office personnel
• 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 (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 authorities and responsibilities of all roles?
• B. reviewed the needs and expectations of interested parties?
• C. reviewed the scope of the EMS?
• D. reviewed the environmental policy?
• E. developed any formal documented plan to change the EMS?
• F. revised the internal audit programme?
• G. reviewed the documented operational procedures?
• H. reviewed the environmental objectives?
• I. evaluated the extra amount of waste that will be generated?
• J. reviewed the emergency response plans?
• K. considered COVID-19 as an external issue?
• L. reviewed the infrastructure maintenance plan?

A multi-level shopping centre is open every day to the public from 09:00-21:00. 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 board has not yet approved the estimated budget for this.
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 to 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 on each floor of the centre. We take readings every hour, and we plot the consumption graph for every staff shift.
Select three options that would provide evidence of conformance with clause 9.1.1 of ISO 14001.

• A. Certification showing that the meters are calibrated to known standards.
• B. An increase in the visitors using the centre.
• C. Training records for centre staff.
• D. An environmental objective to achieve lower energy consumption.
• E. Ambient temperature measurements of management offices.
• F. Installing motion sensor lighting in rooms to switch lights off automatically when empty.
• G. A procedure that provides instructions in taking meter readings and using them to plot a graph.
• H. Periodic analysis of the results of meter readings.