A chain of 10 paint shops in a city has established an EMS following the requirements of ISO 14001, which was third-party certified 10 years ago. You are performing a second-party audit. The audit plan included an interview with the General Manager (GM). The dialogue was as follows:
You: Hi, good evening. I have seen well-developed environmental risk assessment processes. However, I did not find the identification of emergency situations included in the results of this process. The Environmental Manager (EM) could not provide me with an acceptable answer to this question.
GM: The EM joined us two months ago, and he may not know some decisions we made some time ago, when we first certified our EMS. During those days, I met with all 10 supervisors and asked them what the emergencies were that they feared most. They unanimously said: fire. That was it. This is the only emergency we care about. As far as I remember, we do not test the plan very often because the supervisors of all our 10 shops know it very well. The auditors of our certification body accepted this. We have not had a fire in the last 10 years.
What evidence would you need to review to determine conformity with ISO 14001 in this scenario? Select six
.

• A. Number of persons working in each shop.
• B. General competence records of all 10 supervisors.
• C. More details on whether the risk assessment process was applied to emergencies.
• D. Reports of the management reviews.
• E. Results of the inspection of fire extinguishers.
• F. Reports of the last two fire drills performed.
• G. Replacements of supervisors of each shop when they are absent (for any reason).
• H. Shops that have tested the plan in the last 10 years.
• I. Minutes of the meeting with supervisors where a fire was determined as the only emergency situation.
• J. Records of the specific fire combat training of workers.
• K. Reports of audits from the certification body.
• L. Signage related to health and safety in each shop.

As a third-party auditor, you are leading a surveillance audit of ABC, an organisation that designs and manufactures a wide range of electric home appliances.
The first interview of the audit is with the Design Manager (DM). This was not your original plan, but the DM had to leave ABC as soon as the interview was over, and you agreed to see her first.
You: Reviewing the list of significant environmental aspects, I did not see any related to the use of the products by customers or their final disposition.
DM: We identified those aspects, but when determining their significance, none of those aspects was significant. You can see here the related documented information.
Considering that you have just started the audit and would need to interview other ABC personnel, which six of the following issues would provide you with further information on the answer given by the Design Manager?

• A. Evaluation of compliance.
• B. Minutes of the Safety Committee.
• C. Scope of the EMS.
• D. Internal audits.
• E. End-of-life disposal by customers.
• F. Applicable legal requirements.
• G. Previous audit reports from the certification body.
• H. Roles and responsibilities.
• I. Criteria to assign significance to impacts.
• J. Management review.
• K. Identification of requirements of interested parties.
• L. Provision of information to customers.

A large public library established an EMS in accordance with ISO 14001 requirements, 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 (plastic and paper were disposed of together). The deadline is in six months. We developed an Action Plan to achieve this objective.
Which six of the questions would you ask related to this objective?

• A. Was the Environmental Manager responsible for its establishment?
• B. Is it consistent with the environmental policy?
• C. What happens if the completion date is not achieved?
• D. How is it being monitored?
• E. Did you communicate it to relevant personnel?
• F. What resources did you need?
• G. Was it approved by the Director?
• H. Is it measurable?
• I. How and when will you update it, as appropriate?
• J. Did you keep any documented information?

Which two audit characteristics are features of a Stage 1 initial certification audit?

• A. The purpose of this audit is to determine if the EMS is effectively implemented and maintained.
• B. Except for a pandemic or other natural disaster, this audit must be performed onsite at the auditee ' s location.
• C. Gaps in the EMS against the requirements of ISO 14001 are reported as ' areas of concern ' .
• D. The audit team ' s recommendation regarding certification is the key outcome of this stage.
• E. To conduct an analysis of the organisation ' s environmental system processes to determine compliance obligations.
• F. Reviewing some of the auditee ' s documentation.