week 9, 10, guest lecture

Question 1

what are management system certificates

Answer 1

3rd party conformation that org is confroming to ISO standards. external audit voluntary to ISO 14001

Question 2

what is ISO 190011

Answer 2

created for management systems, version 2002, 2011, 2018

Question 3

what is an Audit

Answer 3

systematic, independent was to collect audit evidence and evaluate objectively to see to what extent audit criteria fulfilled

Question 4

what is the assurance body

Answer 4

an organization accredited to provide assurance services including auditing

Question 5

what is the audit client

Answer 5

the body requesting audit , pays for the audit

Question 6

what is the auditee

Answer 6

the body getting audited

Question 7

what is the auditor, audit team and lead auditor

Answer 7

person who does the audit, the people doing the audit, Person managing the audit

Question 8

what does ISO 14001: 2015 say about internal audit program

Answer 8

The organization shall establish, implement and maintain an internal audit program

Question 9

what are NOT audits

Answer 9

waste audit, energy audit, life cycle assessment phase 1

Question 10

internal audit party

Answer 10

first party audits, are conducted by, or on behalf of, the organization itself.

Question 11

external audit party pt 1

Answer 11

Second party audits are conducted by parties having an interest in the
organization

Question 12

external audit party pt 2

Answer 12

Third party audits are conducted by independent auditing organizations,
such as those providing certification

Question 13

auditor challenges

Answer 13

Auditors (generally) do not give recommendations, Auditor must remain objective

Question 14

Basic steps (ISO 19011:2018)

Answer 14

planning – conduct – report

Question 15

step 1 planning

Answer 15

Be professional, organized
Establish client and auditee
Clarify audit criteria
Review available documents before site visit
Assess audit risks
Prepare checklists, plans, etc
Define site visit agenda

Question 16

Step 2: Conduct = Site-visit

Answer 16

Opening meeting
Evidence
Evaluate evidence against audit criteria – with audit team
Closing meeting with auditee
Documentation – sampling of evidence Thousands of records&raquo_space; Document sampling
Interviews

Question 17

what must auditor do in an interview

Answer 17

Question a diversity of people, places, roles
Don’t talk excessively
Seek OPEN-ENDED answers
Don’t have ‘selective hearing’

Question 18

when Team develops findings when conducting the audit

Answer 18

Findings based on evidence
Enough evidence to evaluate the auditee’s claim
Determine result while on-site

Question 19

when Communicate to auditee*at closing meeting on-site

Answer 19

No surprises
Process for auditee to follow-up

Question 20

when report goes to client and auditee if permitted

Answer 20

Prepare audit report
Clear and concise
Executive summary
Audit company does quality control

Question 21

how are audits are backwards-looking

Answer 21

Evidence is typically over last year of operation

Question 22

Not hunting for non-conformances

Answer 22

true, not an inspection

Question 23

The EMS auditor should ask

Answer 23

Is the problem systemic or is it isolated?
Are management processes failing, affecting the whole system?

Question 24

Personal characteristics to be an auditor

Answer 24

Confidentiality
Objectivity
Independence
Integrity
Competence
Industrial experience

Question 25

ISO 14001 is

Answer 25

optional to certify

Question 26

ISO 14001:2005 page vii, states organisation can “demonstrate conformity” by:

Answer 26

self-determination and self-declaration confirmation by parties having an interest in the organization confirmation of its self-declaration by a party external to the organization, certification/registration by an external organization.

Question 27

EMS helps the firm

Answer 27

positive impact on performance

Question 28

Benefits of ISO 14001 according to ISO

Answer 28

International, expert consensus, Common language, Worldwide

Question 29

internal benefits of ISO 9001 and ISO 14001

Answer 29

Increase efficiency and effectiveness. Model for continual improvement. Build quality Retain systems for management over time Assure internal controls and due diligence

Question 30

external internal benefits of ISO 9001 and ISO 14001

Answer 30

Model for satisfying customers Qualify suppliers in global supply chains Address environmental concerns of customers and public Comply with gvt regulations. good citizenship

Question 31

ISO 14001 may not be good because

Answer 31

needs deep commitment by org to be useful, done by firms that are good anyway, weakens PDCA

Question 32

ISO 14001:2015 is good than previous versions because

Answer 32

Environmental improvement Life-cycle approach

Question 33

Criticisms of ISO 14001

Answer 33

Costly to implement and maintain Applies only to large organizations Has a Western management bias Promises more than it delivers Heavy on documentation, weak on effectiveness

Question 34

is ISO the only type of EMS

Answer 34

no

Question 35

pillars of EMAS

Answer 35

continual improvement of environmental performance government oversight of compliance with environmental legislation public reporting employee involvement

Question 36

Eco-Management and Audit Scheme (EMAS)

Answer 36

EU voluntary “regulation” program for organizations, evaluate, manage and improve environmental performance

Question 37

EMAS is bigger and broader than ISO 14001

Answer 37

TRUE

Question 38

EMAS properties

Answer 38

Management system conformance & standardization, Not an environmental performance standard, Manage the organization’s aspects, Voluntary, EMAS reports data

Question 39

what are the multiple applications and approaches to risk management

Answer 39

Financial risk Operational risk Health and safety risk Environmental risk Disaster risk

Question 40

what does risk management help with

Answer 40

Risk management as a sound basis for decision-making: risk acceptability + how to deal with risk

Question 41

what is Risk

Answer 41

Effect of uncertainty on objectives - Often expressed as potential events and consequences

Question 42

what is Effect

Answer 42

Deviation from the expected – positive and/or negative

Question 43

what is Uncertainty

Answer 43

State of deficiency of information related to understanding an event, its consequences or likelihood

Question 44

Within the EMS

Answer 44

Determine potential emergency situations Document risks and opportunities Document processes needed

Question 45

what are Environmental aspects

Answer 45

Significant environmental aspects can result in risks and opportunities associated with either adverse environmental impacts (threats) or beneficial environmental impacts (opportunities).

Question 46

risk management process

Answer 46

communication establish context risk identification risk analysis risk evaluation risk treatment

Question 47

what is HAZARD

Answer 47

Potential occurrence of an event within a prescribed time and space

Question 48

what is EXPOSURe

Answer 48

Assets of interest and at risk

Question 49

what is vulnerability

Answer 49

Susceptibility of those assets to be impacted by a hazard

Question 50

what is the RISK MANAGEMENT PROCESS

Answer 50

1. Know the risk: identify, analyze, and evaluate in terms of likelihood and acceptability 2. Design risk treatment strategies 3. Prioritize: prevent, mitigate, respond, recover