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 non-conformities options that the auditor could raise to ISO 14001.

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

Which two of the following options are an advantage of using a sampling plan for the audit?

• A. Gives confidence in the audit results
• B. Reduces the audit duration
• C. Use of the plan for consecutive audits
• D. Prevents conflict within the audit team
• E. Implements the audit plan efficiently
• F. Overrules the auditor ' s instincts

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

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

• A. During a multi-day stage 2 initial certification audit, auditors must be permitted to take copies of the client ' s documentation off-site for review
• B. Audit evidence collected by interviewing top management does not require verification by other methods
• C. During a virtual audit, evidence can only be collected using methods that involve human interaction
• D. The sampling methods that were used to obtain audit evidence should be recorded by the auditor in their audit report
• E. Auditors involved in remote audits should have skills in conducting meetings virtually and experience in using virtual technology platforms

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 informed that they have secured their largest 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.
During the audit, a team member found that several complaints had been made to the organisation regarding their installation operators being seen to dispose of excess paint into the site drains, which breached legal requirements. The EMS Manager blames the contractors they had to take on because of the big contract. The auditor raises a nonconformance against clause 8.1 of ISO 14001.
Which one of the following statements would support this finding?

• A. The organisation failed to check the competence of the operators to perform work in an environmentally friendly way.
• B. The organisation did not provide the correct resources to prevent the environmental incidents from taking place.
• C. There was no record that the operators were aware of the environmental risks associated with their work.
• D. There was no statement in the installation contract of the need for the subcontractor to comply with the EMS policy.