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ENVS202 > week 9, 10, guest lecture > Flashcards

week 9, 10, guest lecture Flashcards

1
Q

what are management system certificates

A

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

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2
Q

what is ISO 190011

A

created for management systems, version 2002, 2011, 2018

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3
Q

what is an Audit

A

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

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4
Q

what is the assurance body

A

an organization accredited to provide assurance services including auditing

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5
Q

what is the audit client

A

the body requesting audit , pays for the audit

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6
Q

what is the auditee

A

the body getting audited

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7
Q

what is the auditor, audit team and lead auditor

A

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

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8
Q

what does ISO 14001: 2015 say about internal audit program

A

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

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9
Q

what are NOT audits

A

waste audit, energy audit, life cycle assessment phase 1

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10
Q

internal audit party

A

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

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11
Q

external audit party pt 1

A

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

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12
Q

external audit party pt 2

A

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

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13
Q

auditor challenges

A

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

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14
Q

Basic steps (ISO 19011:2018)

A

planning – conduct – report

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15
Q

step 1 planning

A

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

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16
Q

Step 2: Conduct = Site-visit

A

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

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17
Q

what must auditor do in an interview

A

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

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18
Q

when Team develops findings when conducting the audit

A

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

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19
Q

when Communicate to auditee*at closing meeting on-site

A

No surprises
Process for auditee to follow-up

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20
Q

when report goes to client and auditee if permitted

A

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

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21
Q

how are audits are backwards-looking

A

Evidence is typically over last year of operation

22
Q

Not hunting for non-conformances

A

true, not an inspection

23
Q

The EMS auditor should ask

A

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

24
Q

Personal characteristics to be an auditor

A

Confidentiality
Objectivity
Independence
Integrity
Competence
Industrial experience

25
Q

ISO 14001 is

A

optional to certify

26
Q

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

A

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.

27
Q

EMS helps the firm

A

positive impact on performance

28
Q

Benefits of ISO 14001 according to ISO

A

International, expert consensus, Common language, Worldwide

29
Q

internal benefits of ISO 9001 and ISO 14001

A

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

30
Q

external internal benefits of ISO 9001 and ISO 14001

A

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

31
Q

ISO 14001 may not be good because

A

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

32
Q

ISO 14001:2015 is good than previous versions because

A

Environmental improvement
Life-cycle approach

33
Q

Criticisms of ISO 14001

A

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

34
Q

is ISO the only type of EMS

A

no

35
Q

pillars of EMAS

A

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

36
Q

Eco-Management and Audit Scheme (EMAS)

A

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

37
Q

EMAS is bigger and broader than ISO 14001

A

TRUE

38
Q

EMAS properties

A

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

39
Q

what are the multiple applications and approaches to risk management

A

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

40
Q

what does risk management help with

A

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

41
Q

what is Risk

A

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

42
Q

what is Effect

A

Deviation from the expected – positive and/or negative

43
Q

what is Uncertainty

A

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

44
Q

Within the EMS

A

Determine potential emergency situations
Document risks and opportunities
Document processes needed

45
Q

what are Environmental aspects

A

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

46
Q

risk management process

A

communication
establish context
risk identification
risk analysis
risk evaluation
risk treatment

47
Q

what is HAZARD

A

Potential occurrence of an event within a prescribed time and space

48
Q

what is EXPOSURe

A

Assets of interest and at risk

49
Q

what is vulnerability

A

Susceptibility of those assets to be impacted by a hazard

50
Q

what is the RISK MANAGEMENT PROCESS

A
  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

ENVS202 (5 decks)

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