HES4811 Assignment 3 (COMPLETE ANSWERS) 2026 - DUE 5 October 2026

HES4811 Assignment 3 (COMPLETE ANSWERS) 2026 - DUE 5 October 2026; 100% TRUSTED Complete, trusted solutions and explanations. For assistance, Whats-App 0.6.7-1.7.1-1.7.3.9. Ensure your success with us.. The Mooirivier Mall, an ISO 14001:2026 certified organisation, appoints you to conduct an audit on the organisation’s existing ISO 14001 environmental policy. Read the policy presented to you below and write two (2) detailed nonconformances [findings on shortcomings] of the policy to specific clauses and sub-clauses of ISO 14001:2026. Note: each nonconformance must fulfil all 8 five (5) elements of a finding required by ISO 19011:2018. Importantly, your surname and student number must be next to each answer for you to qualify for any mark. (10) Moorivier Mall ENVIRONMENTAL POLICY The Moorivier Mall recognises the universal right of present and future generations to an environment that is not harmful to human well-being. We therefore conduct our operations to minimise any potential adverse effects of our processes and products. Lockdown (Pty) believes the best way to ensure this right is maintained is by adopting practices consistent with the goals of sustainable development. In order to execute these goals, all Moorivier Mall business units will conduct their activities within the following strategy framework: • Moorivier Mall management will provide the necessary resources to execute this strategy. • Moorivier Mall Ltd will comply with legislation. • Strive towards the optimal utilisation of resources through the reduction of waste and use of fossil fuels and the prevention of pollution through the use of renewable, recycled and environmentally friendly resources. • Develop an emergency preparedness programme identifying potential environmental risks to Moorivier Mall operational activities and products with the subsequent implementation and maintenance of risk mitigation measures. • Provide appropriate environmental training for all employees and contractors with a view to achieving the objectives of this policy. • Actively and openly participate in environmentally related dialogue with all interested and affected parties, including employees, the government, non-governmental organisations and representatives from community organisations and will preferentially support and assist environmentally responsible suppliers of goods and services. • The Moorivier Mall Environmental Policy is viewed as a dynamic document that will be reviewed on a regular basis to take cognisance of improved environmental understanding and practice. This policy is available to Moorivier Mall employees on request. Our organisation needs to achieve continual improvement as an intended outcome of the ISO 14001:2026-based EMS. As part of leadership and commitment, top management shall demonstrate leadership and commitment with respect to the environmental management system by promoting continuous improvement. When our organisation determines the need for changes that affect or can affect the environmental management system, the changes are carried out in a planned manner. Our organisation uses established criteria to determine aspects that have, or can have, a significant environmental impact (i.e., significant environmental aspects). Our organisation may consider understanding its conformance status with compliance obligations. According to ISO 19011:2018, audit activities are conducted in a defined sequence of seven (7) activities, as shown in Figure 1’s process flow. However, DEAT (2004) provides a “Process involved in undertaking an Environmental Audit” and lists nine (9) activities in its “Outline of a simplified model for planning an audit”. Critically compare and show the key differences in the audit activity process flow diagrams and then produce your own illustrative flow diagram to cover ALL the activities of both sources According to ISO 19011:2018 [and the ISO 19011:2026, Edition 4], auditing is characterised by reliance on seven (7) principles. Identify the third principle [1 Mark] and define ‘professionalism’ by citing a published academic journal on the topic [1 Mark]. Then explain, by citing ISO 19011:2018 and using your own words, an important factor in carrying out auditors' work during a Mooirivier Mall audit critically discuss, by using examples, which principles the “Independent auditors” (see pages 8 to 9) did not adhere to. Provide the definitions [2 Marks] and definition numbers [1 Mark] of an ‘audit programme’ and an ‘audit plan’ as provided in ISO 19011:2018 and critically explain by citing yourself and using the Attacq Ltd. case scenario and an academic source, what the key difference is between these concepts if Attacq Ltd. wants to obtain and/or retain ISO 14001 certification 1.1 In auditing an organisation's ISO 14001:2015 EMS, how should auditors approach the evaluation of risks and opportunities as per Clause 6.1? (2) A) Focus solely on environmental risks identified in the previous audit cycle. B) Ignore opportunities and only audit for potential negative impacts. C) Limit the audit to financial risks associated with environmental non-compliance. D) Assess whether the organisation has considered risks and opportunities in a way that integrates with its context and interested parties. 1.2 When auditing operational controls under Clause 8.1, what is the primary expectation regarding the life cycle perspective in ISO 14001:2015? (2) A) Auditors verify that controls consider environmental aspects across the value chain, from raw materials to end-of-life. B) The organisation must conduct a full life cycle assessment (LCA) for all products. C) It applies only to manufacturing processes and not to service-based organisations. D) The perspective is optional and not subject to non-conformity if omitted. E) The cradle-to-grave principle must be adhered to for all products. 1.3 According to the Department of Environmental Affairs and Tourism (South Africa, DEAT, 2004), there are “different types of environmental audits”. Identify the types that are not listed by DEAT. (2) A) Supplier Audits. B) Remote Audits. C) Environmental Management Audits. D) Waste Audits. E) ISO 9001 systems audit. F) A and B above. G) A and D above. H) B and E above. I) C and E above. 3 1.4 In the context of Clauses 4.2 and 6.1.3, how should an auditor evaluate an organisation's identification of compliance obligations during an ISO 14001 audit? (2) A) Check if legal requirements are listed, but voluntary commitments can be overlooked. B) Focus only on international treaties, ignoring local regulations. C) Ensure all applicable legal, regulatory, and other requirements are determined, including how they apply to environmental aspects. D) Verify compliance through self-declaration without evidence review. 1.5 In auditing Clause 6.1.2, what is a critical aspect auditors must verify regarding the identification of environmental aspects? (2) A) Aspects are identified only for normal operating conditions. B) Significance evaluation is optional if aspects are listed. C) The organisation identifies aspects under normal, abnormal, and emergency conditions, evaluating their significance using defined criteria. D) Aspects from historical data are ignored in favour of future projections. 1.6 Continual improvement implies improvement in…? (2) A) Monitoring. B) Auditing. C) EMS system. D) Environmental management performance. E) A, B and C above F) A, B and D above G) All the above. 1.7 When may a non-conformance be issued during an ISO 14001 audit? (2) A) The emergency management plan is only available to relevant interested parties. B) Only relevant communication[s] from interested parties are considered during the management review. C) The scope of the EMS is only available to relevant interested parties. D) The environmental policy is communicated within the organisation but only available to interested parties through the company’s website. E) All the above. 1.8 According to Clause 9.2.2, what key element must an internal audit program for ISO 14001:2026 include to demonstrate effectiveness? (2) A) Audits conducted annually by objective and impartial external consultants. B) Audits are limited to top management interviews without site visits. C) Audit results are reported to relevant government authorities. D) A planned program that considers environmental importance, changes, and previous audit results, with objective and impartial auditors. 4 E) A planned program that ensures documentation of audits but no requirement for follow-up actions. 1.9 Which standard(s) in the ISO 14000 family is/are specification code(s) against which third-party certification may be obtained? (2) A) ISO 14001 B) ISO 14004 C) ISO 14010 D) ISO 14011 E) A and B above F) All the above. 1.10 When auditing Clause 9.3, what inputs must be considered in the management review process for an ISO 14001:2015 EMS? (2) A) Financial performance related to environmental investments. B) Employee satisfaction surveys. C) Changes in context, compliance status, audit results, risks/opportunities, and performance against objectives. D) Legal requirements in legal registers. E) Review outputs but not the need for continual improvement. 1.11 When auditing Clause 10.2 of ISO 14001:2026 on non-conformity and corrective action, what should an auditor confirm regarding the organisation's response to a detected non-conformity? (2) A) Immediate correction is sufficient without root cause analysis. B) The organisation must analyse the non-conformity, determine causes, implement actions to prevent recurrence, and review action effectiveness. C) Non-conformities are only reportable if they result in legal penalties. D) Corrective actions can be deferred indefinitely if resources are limited. 1.12 When an organisation integrates its ISO 14001 EMS with other management systems (e.g., ISO 45001), what should auditors focus on during the audit? (2) A) Verify alignment of common elements like leadership, planning, and performance evaluation, ensuring no conflicts in processes. B) Separate audits for each system without considering synergies. C) Require complete merger of documentation into one manual. D) Ignore integration as it is not mandated by the standard. 1.13 During the planning phase of an ISO 14001 certification audit, how should the audit scope be determined? (2) A) Based solely on the organisation's self-defined EMS boundaries. B) Limited to office-based documentation reviews. 5 C) Excluding suppliers and outsourced processes. D) Considering the organisation's context, interested parties, and the full scope of activities, products, and services covered by the EMS. 1.14 For auditors conducting ISO 14001:2015 audits, what competency requirements are implied in the standard and related guidance (e.g., ISO 19011)? (2) A) Auditors need only general management knowledge without environmental expertise. B) Competence in environmental science, auditing techniques, and the standard's requirements, demonstrated through education, training, and experience. C) Certification from ISO is mandatory for all auditors. D) Competencies are self-assessed without need for records. 1.15 An audit programme manager is deciding whether to proceed with a proposed audit and wants to apply the risk-based approach as described in ISO 19011. Which of the following actions is most consistent with the guidance of ISO 19011? A) Proceed with every audit request regardless of feasibility, since ISO 19011 treats audit feasibility as an optional consideration B) Apply audit sampling exclusively, since risk-based auditing and sampling are treated as identical concepts in ISO 19011:2018 C) Assess and document the feasibility of the audit (e.g. availability of information, auditee cooperation, adequate time and resources) and prioritise resource allocation according to risk, rather than treating this judgement as implicit D) Assign the audit only to the most junior available auditor, since risk-based auditing shifts responsibility for feasibility decisions away from the audit team leader