Auditor Calibration November 2023

Auditors may consider it sufficient to evaluate conformity by checking following items. Choose most correct answer.

• a. There is documented information (e.g. a list) indicating which are the approved external providers and that this documented information is kept up to date

• b. Orders have been placed to external providers satisfying the defined criteria

• c. There is effective performance monitoring of outsourced processes providers

• d. The activities necessary for ensuring that the specified requirements have been met are carried out

• e. All of item is true

1.       Practical suggestions of ways in which to confirm that the auditing the procurement process have been considered are. Choose most correct answer

• a. Confirm that the specification quoted in a purchase order is the same as the specification contained in the design (or the specification received from the customer)

• b. Identify whether or not there were discussions between the organization and potential suppliers regarding the design specification of critical components during the design process or prior to an order being placed

• c. There is some form of “approval” of the specification before the final specification/order was confirmed to the external provider

• d. The purchase order contains or refer to any statutory or regulatory requirements

• e. All are true

Where an organisation has determined that that certain aspects warrant supply chain management, auditors should examine the extent to which the requirements of Clause 8.1 have been fulfilled, that may include:

• a. The measures taken in the design and development process (which may have implications for external providers) to ensure that environmental aspects are taken into account

• b. Its requirements for addressing environmental issues in the procurement of products and services (i.e. the need to control or influence associated environmental aspects).

• c. Specific requirements for products or services been determined

• d. The processes used to communicate its requirements in relation to environmental

• e. All are correct

Auditor should also determine if other processes within the EMS are applied effectively to external providers, including

• a.       all compliance obligations related to external providers been identified

• b. responsibility and authority been clearly established for managing the selection, appointment and performance of external providers in relation to environmental aspects

• c. objectives been set for the performance of external providers

• d. performance of external providers not necessary to monitor and audited

• e. d is incorrect

True or False: In the situation where the certification applicant or certified client provides their product(s) or service(s) at temporary sites, such sites shall be incorporated into the audit programmes

• a. True

• b. False

Referring to IAF MD5 Issues 4 Version3 14 June 2023 select all statements that are correct in regard to auditing temporary sites. Choose all correct answer:

• a. For QMS the sample of sites selected should represent the range of the client’s scope of certification, competency needs, and service variations having given consideration to sizes and types of activities, and the various stages of projects in progress and associated environmental aspect and impacts

• b. For OH&SMS the sites included in sampling should represent the client’s scope of certification, sizes and types of activities and processes, type of hazards involved and associated OH&S risks, and stages of projects in progress

• c. For EMS the sample of sites selected should represent the range of the client’s scope of certification, competency needs and service variations having given consideration to sizes and types of activities, and the various stages of projects in progress and associated environmental aspect and impacts

• d. For OH&SMS the sample of sites selected should represent the range of the client’s scope of certification, competency needs and service variations having given consideration to sizes and types of activities, and the various stages of projects in progress and associated environmental aspect and impacts

True or False: No mandatory requirements for organization that implemented 14001 to conduct life cycle assessment (14040) however the various stages need to be considered including acquisition of raw materials – design – production – transportation/delivery – use – end-of-life treatment – final disposal. It depends on the nature of the organization; some stages may not be applicable: for a simple trading companies acquisition of raw material or design/engineering are not applicable.

• a. True

• b. False

Simple diagram from the ISO14001:2015 APG Auditing Life cycle perspective is quite helpful to understand the various stages, extent of control and influence.

Core activities could be raw material extraction & distribution – design production – distribution, usage – end of life treatment. Where design production and distribution as activities under direct control and the other are under influence.

Secondary activities could be HR, Logistics, IT, Warranty and Maintenance

The auditor needs to take a look both core and secondary activities to review which are under control and where it can influence.

• a. True

• b. False

Which are the symbol of hazardous waste to be applied if the waste do not have the characteristic as explosive, flammable, reactive, toxic, infectious or corrosive:

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True or False: The hazardous waste container only needs to be complete with hazardous waste symbol

• a. True

• b. False