week 9, 10, guest lecture Flashcards
what are management system certificates
3rd party conformation that org is confroming to ISO standards. external audit voluntary to ISO 14001
what is ISO 190011
created for management systems, version 2002, 2011, 2018
what is an Audit
systematic, independent was to collect audit evidence and evaluate objectively to see to what extent audit criteria fulfilled
what is the assurance body
an organization accredited to provide assurance services including auditing
what is the audit client
the body requesting audit , pays for the audit
what is the auditee
the body getting audited
what is the auditor, audit team and lead auditor
person who does the audit, the people doing the audit, Person managing the audit
what does ISO 14001: 2015 say about internal audit program
The organization shall establish, implement and maintain an internal audit program
what are NOT audits
waste audit, energy audit, life cycle assessment phase 1
internal audit party
first party audits, are conducted by, or on behalf of, the organization itself.
external audit party pt 1
Second party audits are conducted by parties having an interest in the
organization
external audit party pt 2
Third party audits are conducted by independent auditing organizations,
such as those providing certification
auditor challenges
Auditors (generally) do not give recommendations, Auditor must remain objective
Basic steps (ISO 19011:2018)
planning – conduct – report
step 1 planning
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
Step 2: Conduct = Site-visit
Opening meeting
Evidence
Evaluate evidence against audit criteria – with audit team
Closing meeting with auditee
Documentation – sampling of evidence Thousands of records»_space; Document sampling
Interviews
what must auditor do in an interview
Question a diversity of people, places, roles
Don’t talk excessively
Seek OPEN-ENDED answers
Don’t have ‘selective hearing’
when Team develops findings when conducting the audit
Findings based on evidence
Enough evidence to evaluate the auditee’s claim
Determine result while on-site
when Communicate to auditee*at closing meeting on-site
No surprises
Process for auditee to follow-up
when report goes to client and auditee if permitted
Prepare audit report
Clear and concise
Executive summary
Audit company does quality control
how are audits are backwards-looking
Evidence is typically over last year of operation
Not hunting for non-conformances
true, not an inspection
The EMS auditor should ask
Is the problem systemic or is it isolated?
Are management processes failing, affecting the whole system?
Personal characteristics to be an auditor
Confidentiality
Objectivity
Independence
Integrity
Competence
Industrial experience
ISO 14001 is
optional to certify
ISO 14001:2005 page vii, states organisation can “demonstrate conformity” by:
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.
EMS helps the firm
positive impact on performance
Benefits of ISO 14001 according to ISO
International, expert consensus, Common language, Worldwide
internal benefits of ISO 9001 and ISO 14001
Increase efficiency and effectiveness.
Model for continual improvement.
Build quality
Retain systems for management over time
Assure internal controls and due diligence
external internal benefits of ISO 9001 and ISO 14001
Model for satisfying customers
Qualify suppliers in global supply chains
Address environmental concerns of customers and public
Comply with gvt regulations.
good citizenship
ISO 14001 may not be good because
needs deep commitment by org to be useful, done by firms that are good anyway, weakens PDCA
ISO 14001:2015 is good than previous versions because
Environmental improvement
Life-cycle approach
Criticisms of ISO 14001
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
is ISO the only type of EMS
no
pillars of EMAS
continual improvement of environmental performance
government oversight of compliance with environmental legislation
public reporting
employee involvement
Eco-Management and Audit Scheme (EMAS)
EU voluntary “regulation” program for organizations, evaluate, manage
and improve environmental performance
EMAS is bigger and broader than ISO 14001
TRUE
EMAS properties
Management system conformance & standardization, Not an environmental performance standard, Manage the organization’s aspects, Voluntary, EMAS reports data
what are the multiple applications and approaches to risk management
Financial risk
Operational risk
Health and safety risk
Environmental risk
Disaster risk
what does risk management help with
Risk management as a sound basis for decision-making: risk acceptability + how to deal with risk
what is Risk
Effect of uncertainty on objectives - Often expressed as potential events and consequences
what is Effect
Deviation from the expected – positive and/or negative
what is Uncertainty
State of deficiency of information related to understanding an
event, its consequences or likelihood
Within the EMS
Determine potential emergency situations
Document risks and opportunities
Document processes needed
what are Environmental aspects
Significant environmental aspects can result in risks and opportunities associated with either adverse environmental impacts (threats) or beneficial environmental impacts (opportunities).
risk management process
communication
establish context
risk identification
risk analysis
risk evaluation
risk treatment
what is HAZARD
Potential occurrence of an event within a prescribed time and space
what is EXPOSURe
Assets of interest and at risk
what is vulnerability
Susceptibility of those assets to be impacted by a hazard
what is the RISK MANAGEMENT PROCESS
- Know the risk: identify, analyze, and evaluate in terms of likelihood and
acceptability - Design risk treatment strategies
- Prioritize: prevent, mitigate, respond, recover
