CleanHavenServices is a national dry cleaning and laundry organisation with 50 shops. You are conducting an EMS surveillance audit of the Head Office and are sampling environmental performance measurements. You find that all failures to meet compliance criteria originate from five shops in the same region. Most of these failures relate to the release of volatile organic compounds (VOCs), which exceed regulatory limits. The Environmental Manager tells you that these are the oldest shops in the organisation. He states that the cleaning equipment needs replacing, but the organisation cannot afford it now. He was instructed six months ago by Head Office to stop monitoring the air quality in the five shops.
On raising the matter with senior management, you are told that there are environmental objectives to replace the equipment in these shops over the next five years, which will eventually solve the problem.
After further auditing, you raised four nonconformities against ISO 14001.
Based on the scenario, select the four options which best describe the evidence for raising such nonconformities.

• A. The release of Volatile Organic Compounds exceeding regulatory limits did not align with the organisation ' s environmental policy to protect the environment.
• B. The organisation does not measure Volatile Organic Compound emission levels to determine whether environmental regulatory limits were being met.
• C. The senior management was unaware that future regulations will likely ban the use of Volatile Organic Compounds in dry cleaning processes.
• D. No action was taken when the earlier sampling of air quality showed regulatory limits being exceeded.
• E. The organisation failed to improve its environmental performance when monitoring of air quality in five shops was terminated.
• F. The organisation failed to adequately control the laundry operations in five shops and produced greenhouse gases exceeding regulatory limits.
• G. The management failed in planning to replace obsolete equipment which damages the environment.
• H. Shop managers were told to ventilate the laundry area and ignore the pungent odour of the Volatile Organic Compounds.

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

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. What environmental aspects have been identified as being associated with regulations?
• B. How is the cost of unused or excess materials calculated?
• C. What are the qualifications of the EMS and Maintenance Managers?
• D. How are maintenance staff made aware of regulatory requirements?
• E. How is the material content of scrap items verified?
• F. Are operators trained in the identification of legal requirements?
• G. How is the handling of waste materials monitored?
• H. Is a regulatory expert employed on the internal audit programme?

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.
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 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 of. 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 did not have 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. Replacements of supervisors of each shop when they are absent, for any reason
• B. Reports of audits from the certification body
• C. Reports of the management reviews
• D. Results of the inspection of fire extinguishers
• E. Records of the specific fire combat training of workers
• F. Shops that have tested the plan in the last 10 years
• G. General competence records of all 10 supervisors
• H. Signage related to health and safety in each shop