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ISO 14001

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									1. What is the purpose of environmental policy?
   Environmental policy is a driver for an EMS of an organization. Policy provides a frame
   work to set the objectives & targets in order to continually improve the environmental
   performance and to demonstrate the commitment of the organization towards
   prevention of pollution.

2. What objective evidence could an auditor expect to be available in order to verify
   conformance with the requirements of clause 4.4.6 of ISO 14001? (Give examples)
   Answer: 4.4.6 (operational control)

     E.g.-1 Are documented operational control procedures available for the identified
    significant aspects at work place?
    2- Whether organization considered applicable legal & other requirements while
    determining the operational control procedures or not?
    3 - Does organization communicated operational control procedures at all functional

3. Give four issues you would discuss with “Top Management” during a certification
   audit of an EMS, in order to verify their commitment to the organization’s policy and

    1. Objectives & targets set by the organization to prevent the environmental pollution
    2. Resources provided by the organization for continual improvement of the EMS
    3. Access to legal requirements applicable to the nature and scale of the organizations
    4. Roles, responsibilities authorities set by the organization to drive the EMS efficiently
       at various functional levels.

4. During an audit of a warehouse an auditor noted that members of staff were washing
     a chemical storage area and sweeping the water into the rainwater drain. There was
     no environmental assessment carried out for this activity and non-conformance report
     was raised. Give three examples of evidence that would allow the auditor to close out
     this non-conformance?
i)       Aspect impact assessment for chemical area washing activity on which the non
         conformance was raised.(4.3.1 – environmental aspects)
ii)      Operational control procedure for chemical area wash (4.4.4 - operational control)
iii)      Communication evidence of the aspect impact assessment control procedures to
         the responsible. (4.4.3-communication)
iv)      Evidence to determine the implementations of the controls measures taken to avoid
         the water pollution.
   5. Give four benefits of carrying out a document review (stage one audit)
      i)      To confirm the environmental management system is established
      ii)     To know the environmental management system complied with applicable legal
      iii)    Any deviations from the standard requirements
      iv)     To understand the level of the organization’s preparation for the ISO 14001

       SECTION – 2           20 MARKS

       2.01 You are planning to undertake the stage 2 audit of a third party audit of an
       organization wishing to gain ISO 14001 certification. As the audit team leader what
       factors would you consider when selecting your audit team?
       a) Qualifications & competencies
       b) Scope of the audit (organization activities, products or services)
       c) Required language skills and expertise of the auditors
       d) Potential conflict of interest between the auditee and auditor
       e) Audit scope, objectives and criteria
       f) Statutory, regulatory or contractual/certification requirements

2.02 You are the lead auditor of team of 2 other auditors on a third party audit. It is a multi-
site audit and each of you have audited at different site. The auditors from the other two sites
will soon arrive for the closing out meeting. How would you prepare for this meeting?

              Prepare for the discussion room / meeting hall arrangements keeping in mind
               for the privacy of the audit members.
              Prepare to verify the auditor assessment was effectively carried out to the task
              Check for the resources stationary and printing mediums are ready.
              Well Inform to the auditee about the internal discussion timing.
       2.03 during a third party audit, the auditor is informed by the environmental
       representative, that a meeting, originally planned for an hour duration, will only last
       20 minutes as she has been called to a meeting with senior management to discuss
       some serious matters. How should the auditor proceed?
            Remind him politely the environmental representative about the audit schedule
              decided and convince him to proceed along with the schedule.
               If unavoidable by consider the consequences ask for replacement of a
                responsible person.
               Ask her to Request the top management to allot for one hour for the audit
               Depending upon the situation, ask her to join back soon after the meeting over
                with the top management.
               Based on the decision taken, inform audit members about the changes made.
               Rearrange the schedule accordingly so that audit time can be utilized effectively.

       2.04 give three purposes and three benefits of a preliminary visit by the audit team
       leader to an organization to be audited prior to the document review or actual audit


    1. Helpful to understand the business and nature and scale of the activities

    2. Helpful to determine the expertise required other skills required

    3. Helps to identify the physical location whereabouts


   1. Helps to avoid the incursion while preceding to the audit place
   2. Helps to set the audit program for effective time utilization
   3. Helps to know the rules, regulations and requirements to access the audit place
       SECTION – 3                                              30 MARKS
       3.01 develop a series of checklist questions you would use during an audit of an
       organization’s process for identification of environmental aspects and determination
       of their significance (10 M)
       i)       Verify design and development of workplace and manufacturing processes have
                taken in to consideration
       ii)      Are all Inputs and outputs of the current and past activities, products and
                services have been taken in to consideration or not?
       iii)     Did assessor consider normal and abnormal operating conditions or not?
       iv)      Has assessor considered the shut down and start up conditions of the aspects.
       v)       Has assessor taken considerations of the emissions to air, releases to water, and
                releases to land?
       vi)      Check whether use of raw materials and natural resources has taken in to
       vii)     Check whether the energy utilization and its emissions has been taken in to
       viii)    Verify the Waste and by-products has been taken to consideration or not?
       ix)      Verify Packing and transportation of finished products has been taken in to
                consideration or not?
       x)       Verify environmental performance and practices of contractors and suppliers
                taken in to consideration
       xi)      Verify whether assessor considered the Wildlife biodiversity factors

       3.02 What mechanisms could an engineering company have in place in order to keep
            up-to-date with relevant environmental legal requirements and what would be
            typical indicators to demonstrate this process was in control?

Engineering company could have, hired any legal advisory agency or legal advisor. Access to web
sites belongs to environmental agencies, subscription of newsletters related to environmental
legal issues, press releases by the environmental authorities, contacts with local authorities,
Government gazette releases in environmental point of view and news papers can be the
resources in order to get the up to date information about the and applicable legal laws and
legal changes. (4.3.2 – legal and other requirements)

    Internal communication records (4.4.3 - communication)
    Release and circulation of updated documentation of the aspect impact register with
     respect to legal change (4.3.1 Environmental aspects)
    Operational NOC’s obtained from the regulatory authorities in line with their
    Periodic submittals (compliance correspondence) of the compliance reports of
     scheduled and unscheduled inspections by the local regulatory authorities.
 Updated operational control procedural changes with respects to the legal change (4.4.6
  – Operational control)
 Decisions made in the management review meetings over legal changes
   (4.6 – Management review)
 Trainings conducted to employees as enforced by the authorities.
  (4.4.2 – Training, competence & awareness)
Section – 4: 30 Marks
The following audit scenario occurred during an audit of a chemical company that has
an established environmental management system based on ISO 14001:2004. Read
the scenario and answer all the questions.

Audit scenario
An auditor reviews the correspondence an organization has had with the environment
agency and notes that have been several breaches of legislation within the last 6
months. The breaches refer to discharges into the local river and authorized disposal of
special waste.
The auditor asks the management representative what actions the organization took
following these breaches. The management representative explained that they were not
aware that the legislation had changed and we were discharged above legal limits and
everything os ok now, so no further action was considered necessary

He went to explain “the incorrect disposal of the solid special waste was the fault of the
contractors we comply to clean the old parts of the site we no longer use for production.
They do not seem to be very familiar with our type of industry but, we do not think we
have any more special waste so it will not happen again”. Asked if the contractors are
still on the site the manager replied that they were and would be another 12 months. He
also added that they have told the contractors to dispose of the waste in accordance
with legal requirements. No other actions were taken.

4.01 Identify 3 potential non-conformities implied in the scenario and quote the most
relevant clauses of ISO 14001 (9marks)
4.02 Is there sufficient evidence to raise non- conformity at this stage for each of the 3
     potential non-conformities noted in question 4.01 (6 marks)

If YES, explain why you would raise non-conformity at this stage.
If NO, explain under what circumstances you would raise a non conformance

Answer: - YES,
4.03 Given that, this organization appears to have some problems with adhering to
legal requirements, describe the typical objective evidence you may expect to find to
demonstrate that an organization conforms to clause 4.5.2 if ISO14001:2004? What
activities should the organization do to determine its degree of compliance? (8 marks)

Objective evidence to conform the clause 4.5.2 (Evaluation of compliance)

4.04 What objective evidence could be available in order to verify conformance with
the requirement for continual improvement required by ISO14001? Give at least 5
examples, and quote clauses of ISO14001 where appropriate. (7 Marks)

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