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    Assignment-5 03 Questions 10 Marks Each: 4.1 Audit Situation One

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    rahmanshanto623
    The document describes 3 audit situations involving potential nonconformities with an organization's environmental management system. In the first situation, a production process exceeded its discharge limits but the organization claimed it was still compliant. In the second situation, an organization relied solely on an external consultant to monitor compliance with regulations. In the third situation, a pharmaceutical company's waste skip contained unsorted waste streams.

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    Assignment-5 03 Questions 10 Marks Each: 4.1 Audit Situation One

    Uploaded by

    rahmanshanto623
    185 views15 pages
    The document describes 3 audit situations involving potential nonconformities with an organization's environmental management system. In the first situation, a production process exceeded its discharge limits but the organization claimed it was still compliant. In the second situation, an organization relied solely on an external consultant to monitor compliance with regulations. In the third situation, a pharmaceutical company's waste skip contained unsorted waste streams.

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    The document describes 3 audit situations involving potential nonconformities with an organization's environmental management system. In the first situation, a production process exceeded its discharge limits but the organization claimed it was still compliant. In the second situation, an organization relied solely on an external consultant to monitor compliance with regulations. In the third situation, a pharmaceutical company's waste skip contained unsorted waste streams.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    185 views15 pages

    Assignment-5 03 Questions 10 Marks Each: 4.1 Audit Situation One

    Uploaded by

    rahmanshanto623
    The document describes 3 audit situations involving potential nonconformities with an organization's environmental management system. In the first situation, a production process exceeded its discharge limits but the organization claimed it was still compliant. In the second situation, an organization relied solely on an external consultant to monitor compliance with regulations. In the third situation, a pharmaceutical company's waste skip contained unsorted waste streams.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    of 15

    Assignment-5

    03 questions 10 marks each

    4.1 Audit situation one:

    A company takes in used paper and, by a series of chemical processes, breaks this
    input material down into its original wood pulp fibres before recycling it into large
    reels of newsprint.

    The production process uses a large volume of water extracted from a local river.
    This water becomes heavily contaminated by the process and needs to be treated
    before being discharged back into the river. This is licensed by the local Regulatory
    Authority and one of the controlled features within the permit issued is a limit on the
    amount of suspended solids that is contained in the discharged water.

    The Regulatory Authority takes a sample every six months for analysis by an
    accredited test laboratory and so far the results have always been within the
    permitted limit although close to the maximum value. The license conditions require
    the company to monitor the parameters every week and issue an “annual statement
    of compliance” to the Regulatory Authority.
    An auditor is reviewing this process and notes that in the previous three-month period
    the limit was exceeded by between 35% and 55% on four consecutive weeks before
    returning to the range of values normally seen at the weekly sampling.

    The Plant Manager informed the auditor that the situation was caused by a failure in
    the filtration process but the plant could not be shut down to repair the fault because
    it was a high demand period when an urgent export order needed to be completed.

    Later the auditor read a note which was recorded in the management review meeting
    minutes held two weeks earlier that the company remained in legal compliance during
    the previous year and a statement to this effect had been issued to the Regulatory
    Authority.

    If you think there is sufficient evidence to report your findings as a nonconformity:

     Complete the nonconformity report on the following page.

    Or

     Complete the audit investigation template.

    Page 1 of 15
    EMS AUDIT - NONCONFORMITY REPORT 1

    For correctly identifying the scenario as a nonconformity (2 marks)


    Description of the nonconformity (Max 3 marks):

    Relevant evidence (Max 3 Marks):

    Page 2 of 15
    ISO 14001:2015 clause and requirement:

    Note: 1 mark for clause and requirement plus 1 mark for clarity of answer

    OR

    Complete your answer on the following page.

    Page 3 of 15
    EMS AUDIT - AUDIT INVESTIGATION 1

    Reason why there is not yet sufficient evidence for reporting nonconformity
    (Max 2 marks):

    Four audit trails you would follow, including, evidence sought and purpose.
    (Max 2 marks for each audit trail):

    Page 4 of 15
    Page 5 of 15
    4.2 Audit situation two:

    An EMS auditor is reviewing the arrangements of an international distributer of


    electronic products for establishing the regulatory requirements relevant to the
    organisation and for keeping this up to date.

    The Head of Security explains that as she is not an environmental expert she has a
    contract with an external consultant who notifies her by email when any new
    legislation or regulation is published.

    There is a dedicated file on the server and it can be seen that developments in key
    pieces of environmental legislation have indeed been issued promptly over the
    previous three years covering the topics expected. The individual notes from the
    consultant state the title, date and unique reference for the regulation/legislation
    concerned along with a summary of what each contains. The Head of Security adds
    each new item to a rolling two column list entitled “Environmental Legislation” which
    is issue controlled.

    The auditor asks the Head of Security how on-going compliance is monitored. She
    replies that the consultant visits the organisation once per year and checks that the
    list entitled “Environmental Legislation” does in fact include all the items he has
    notified to them over the previous year and signs a hard copy of the register after
    the last entry. On this basis the Head of Security prepares a signed statement for
    inclusion in the minutes of the annual management review to state, “Following
    periodic review, the organisation remains in compliance with all relevant
    environmental legislation”.

    If you think there is sufficient evidence to report your findings as a nonconformity:

     Complete the nonconformity report on the following page.

    Or

     Complete the audit investigation template.

    Page 6 of 15
    EMS AUDIT - NONCONFORMITY REPORT 2

    For correctly identifying the scenario as a nonconformity (2 marks)


    Description of the nonconformity (Max 3 marks):

    Relevant evidence (Max 3 Marks):

    Page 7 of 15
    ISO 14001:2015 clause and requirement:

    Note: 1 mark for clause and requirement plus 1 mark for clarity of answer

    OR

    Complete your answer on the following page.

    Page 8 of 15
    EMS AUDIT - AUDIT INVESTIGATION 2

    Reason why there is not yet sufficient evidence for reporting nonconformity
    (Max 2 marks):

    Four audit trails you would follow, including, evidence sought and purpose.
    (Max 2 marks for each audit trail):

    Page 9 of 15
    Page 10 of 15
    4.3 Audit situation three:

    You are auditing the waste management activity at an organisation in the


    pharmaceutical industry who manufactures a range of prescription medicines in pill
    form.

    Outside of the building you notice just one large waste skip (container). On examining
    the contents, you see a mixture of items including cardboard packaging, plastic
    bottles, waste paper, empty tin cans and food waste.

    The skip is covered as required by local regulations that prohibit liquids from going
    to landfill. The environmental manager tells you that the only other waste stream is
    within the plant and involves recycling of scrap pills and ingredients, none of which
    is wasted.

    If you think there is sufficient evidence to report your findings as a nonconformity:

     Complete the nonconformity report on the following page.

    Or

     Complete the audit investigation template.

    Page 11 of 15
    EMS AUDIT - NONCONFORMITY REPORT 3

    For correctly identifying the scenario as a nonconformity (2 marks)


    Description of the nonconformity (Max 3 marks):

    Relevant evidence (Max 3 Marks):

    Page 12 of 15
    ISO 14001:2015 clause and requirement:

    Note: 1 mark for clause and requirement plus 1 mark for clarity of answer

    OR

    Complete your answer on the following page.

    Page 13 of 15
    EMS AUDIT - AUDIT INVESTIGATION 3

    Reason why there is not yet sufficient evidence for reporting nonconformity
    (Max 2 marks):

    Four audit trails you would follow, including, evidence sought and purpose.
    (Max 2 marks for each audit trail):

    Page 14 of 15
    Page 15 of 15

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