Environmental Management Systems

ISO 14001
Charlie Parrish charles_parrish@ncsu.edu (919) 515-4266 www.ies.ncsu.edu

EMS - Internal Auditor Training
- Half Day Overview -

Training Objectives
Obj #1 = Understand Auditing Terminology Obj #2 = Learn about the steps in the audit process & associated responsibilities Obj #3 = Understand how to change your audit approach for different facility areas Obj #4 = Start to develop audit interviewing skills Obj #5 = Learn the essentials of audit write-ups (non-conformances)

2

Which 3 ISO 14001 elements - identify the environmental issues to be managed?
Element # ISO 14001 Element Title

3

Which ISO 14001 elements specify actions to manage significant aspects?
Element # ISO 14001 Element Title

4

What ISO 14001 Elements call for Management of Legal Issues
Element ISO 14001 Element # Title 4.2 4.3.2 4.3.2 4.3.2 4.3.3 4.5.2 4.6
5

How are Legal Issues Managed

6 . and communicating the results to management.The Official Definition of an EMS Audit A systematic and documented verification process of objectively obtaining and evaluating evidence to determine whether an organization’s EMS conforms to the EMS audit criteria.

Determine conformance against criteria: • "Planned Arrangements" (EMS Programs and Procedures) • "This international standard" (ISO 14001) 2. Provide Feed back on EMS to Management 7 .5.5) 1. Determine if EMS has been “Properly implemented and maintained” 3.What is an EMS Internal Audit (ISO 14001:4.

What is Conformance ? • Meeting Criteria (Requirements) • For Example Requirement Work Time Arrival Oil Change Frequency Take Vitamin Every Day Evidence of Conformance Time Card Receipts from Jiffy-Lube Observation of Person Taking Vitamin 8 .

What is Evidence ? • Something that proves or demonstrates a truth • Is verifiable (the same evidence can be collected by independent auditors) • You can hold in your hand (record) • AUDITORs COLLECT EVIDENCE & EVALUATE IT FOR CONFORMANCE 9 .

3 Communication 4. Training and Awareness Measure of Implementation 4.4. Objectives and Programs 4.3 Targets.7 Emergency Preparedness & Response (use form in “Exercises” tab) 10 .3.2 Legal and Other Requirements 4.6 Operational Control 4.4.3.2 Competency.Exercise – What would be evidence of implementation of an ISO 14001 EMS ? Element 4.2 Environmental Policy 4.4.4.

Who is an Auditor The person with the competence to conduct an Audit.7. Person with the personal attributes listed in 19011 . Person with the ability to apply the skills and knowledge gained through education. training. 2.2 AND. Competence = 2 things: 1. work experience and audit experience 11 .

just the top 3) (use form in “Exercises” tab) 12 .2 & 3.2 of ISO 19011) • Pick the 3 personal attributes that you feel are the most important in being a good EMS auditor • (don’t need to tank them 1.Personal Attributes Exercise – (7.

What does an Auditor Need to know 1. Knowledge of the process being audited (can't audit what you don't understand) 13 . Knowledge of the EMS being audited 3. Knowledge of the standard 2.

3. policies.e.3.3 Auditee 19011. Plant Manager Organization or person requesting audit .Person with competence to conduct an audit (see item #4) Person or group of people who directs and controls an organization at the highest level .departments where the audit will be conducted ( extent and boundaries of an audit) .3.EXAMPLE: President. CEO.13 19011.Organization being audited . procedures or requirements) .3.Terminology .Audit ISO 19011 .Systematic..2.3.EXAMPLE: Assembly Area 14 .1 ISO 14001.7 Auditor 19011.3.6.2.6 Criteria 19011.EXAMPLE: Corporate Headquarters Location .6 Scope 19011. statement of fact or other info which are relevant to audit criteria and verifiable -( Evidence is something you can hold in your hand ) .3. .6.8 Top Management 9000 .Verifiable information .3.records.3. independent and documented process for obtaining audit evidence.2 Audit Evidence 19011 .2 THE REQUIREMENTS (i.2 19011.2.7 Audit Client 19011. AND evaluating objectively to determine the extent to which the audit criteria are fulfilled.

Terminology 2 Audit Objective 19011 .Outcome of an audit provided by the audit team after consideration of the audit objectives and all audit findings.5.5.2. .3.4 Audit Conclusion 19011.EXAMPLE: 6 Non Conformances and 5 Observations indicate the EMS has been implemented.3.1 14001 . but not properly maintained 15 .5 Answer this question: Why are we conducting this audit ? .EXAMPLE: To verify conformance with ISO 14001 and the EMS Results of the evaluation of the collected evidence against audit criteria .4 Audit Findings 19011.4.

Terminology Exercise # Type of Audit Audit Criteria Audit Scope Audit Objective Audit Client Auditee Audit Findings Audit Evidence Audit Conclusion 1 IRS audit of taxpayer 2 Haz Waste Compliance Audit 3 Vehicle Inspection Station Audit 4 Financial Audit of Large Corporation Sanitary Conditions 5 Audit of Restaurant Energy Audit for 6 Compressor Leaks Audit of a Bank Security System Audit of why a policeman used a gun 7 8 Building Construction 9 Specifications Audit (use form in “Exercises” tab) 16 .

1st vs. GAP Analysis vs. EXTERNAL ) 2.Types of Audits 1. 2nd & 3rd party (INTERNAL vs. EMS Audits (Compliance vs. Conformance ) 17 . Audit 3. Compliance vs.

5) Which one are you being trained for today? 18 .Compliance vs Conformance Meeting Legal Requirements Determined by Compliance Evaluation (4.5.2) Meeting ISO Requirements Determined by Internal EMS Audit (4.5.

etc) (use form in “Exercises” tab) 19 .What is the Difference …. EMS Audit Regulatory Audit Audit Criteria Audit Scope Audit Frequency Auditor Skills Sensitivity of Audit Report (confidentiality.

Change Gears – A look at Communications. Questions & Audits 20 .

2.A Step wise Approach 1. if uncomfortable go back to #1 4.Communication – The Listening Model . Auditor gages reaction (uncomfortable OR comfortable). Auditor speaks. Auditee achieves understanding & responds 5. Auditee Listens and reacts 3. Auditor achieves understanding & Full Communication achieved 21 .

Communication Components - • Visual • Tones • Words What percentage of full communication is made up of visual. Each person emphasizes one of the bolded words (I did not tell your manager the report was finished) 22 .Try This: Go around the room and read the following sentence. tones. words ? .

Non verbal communication Type body posture hand/arm movements gestures distance eye contact facial expressions dress or attire Positive Communications Negative Communications 23 .

We learn what they are when we aren't achieving them Auditor – (Repeat the answer using slightly different words) 24 . Auditee .Environmental Targets are set by upper management.Communication – Feedback as a Tool Try This: Read the following Auditor/Auditee script using feedback to demonstrate Auditor understanding of Auditee’s answer Auditor – Explain to me about Environmental Targets.

Audit Teams and Team Dynamics • Individually Take 5 minutes (ONLY) to read and answer questions about the Albatross • Count Up the number of answers that are . False OR Needmore-info 25 .True.

Lessons Learned from the Albatross? _____________ _____________ _____________ _____________ _____________ _____________ _____________ _____________ _____________ _____________ 26 .

Emergency.Change Gears – The Audit Interview • Auditor introductions • Discuss purpose of audit • Discuss procedure • Notes taken • Reports will be issued • Corrective actions may be implemented •Opening questions •Tell me about your Job? • Policy. Training Questions •Leading questions (if needed) •Thank auditee 27 .

How does it effect the environment? • Are you aware of your company’s Environmental Management System? • Do you do your job any differently because of the EMS? • What is your Environmental Policy. • What does the Policy mean to you? • Who do you talk to about environmental issues •Why is it important to follow the EMS? 28 .Good Opening Questions (1 of 2) • Tell me about your job.

Good Opening Questions (2of 2) • What kind of environmental training have you had? • If there’s a _____ (spill. other emergency). what do you do? • What are the company’s most important environmental issues? • What are your significant aspects? • What EMS requirements apply to you? •How do you know if something you do affects the environment 29 . fire. tornado.

• Walk me through how you do this • How do you …. such as • Describe to Me .. Do you have any environmental work instructions? 30 . Open Ended Questions. follow up the questions by asking for proof (evidence) • Use Broad.e. • Show me … • Keep the Burden of Proof on the auditee (don’t give them the answer) •You may have to lead them if they don’t cover the material • i.Auditing Questions – Do’s and Don’ts • Try Not to ask Yes or No Questions? • If you do..

Two Basic Types of EMS Audits 1. Auditing Production Floor & Non-EHS Personnel (Area Audits) NOTE: If your company does audits by ISO 14001 Element #. even on the plant floor – see audit checklist for plant floor (production) personnel (see “Audit Checklists”) 31 . Auditing the Env. Management Representative (EMR Audits) • NOTE: This is what takes place in a “Document Review” & a “Pre-Assessment” 2.

20 records or implied records) (see “Guidance”) . what.Allows the auditor to determine who.EMR Audits (1 of 3) The initial audit should start with the EMR . 61 shalls.Determine if all the ISO 14001 “elements” have been met (18 elements. when & where to audit other EMS components This starts with auditing the Level 1 and Level 2 procedures and identifies other work instructions to audit later 32 .Allows auditor to become familiar with the EMS documentation system . 12 procedures.

If procedure is confusing to you …its confusing to others … 33 .EMR Audits (2 of 3) Level 1 Document Audit Level 1 Must Provide Direction to related Docs All the promises should be measureable (make them live up to their language) Level 2 Documents should be usable Not too much fluff (don’t need to repeat the standard. or Level 1 info) They should ID who does what.

EMR Audits (3 of 3) This is where most major NC's are found (not addressing an ISO 14001 “shall statement”) Questions can come from a prepared ISO 14001 checklist (like what’s in your notebook & on next slide) However. the auditor needs to collect evidence of conformance – not just answers to questions 34 .

tra cke d a nd monitore d? (Are obje ctive s a nd ta rge ts ma inta ine d a nd re vie we d? ) 4. .3.3-9 Doe s the progra m include a de s igna tion of re s pons ibility for a chie ving obje ctive s a nd ta rge ts a t e a ch re le va nt function a nd le ve l of the orga niza tion? .3 -.3.Example of EMR Audit Checklist S e c tio n 4. ope ra tiona l a nd bus ine s s re quire me nts .3. .3-2 4.3-3 Are the obje ctive s a nd ta rge ts e s ta blis he d a t e a ch re le va nt function a nd le ve l within the orga niza tion? Are ta rge ts a re qua ntifie d whe re pra ctica ble a nd do ta rge ts provide de ta ile d pe rforma nce re quire me nts tha t ne e d to be s e t a nd me t in orde r to a chie ve the obje ctive s Is progre s s tha t is ma de obje ctive s a nd ta rge ts .cons ide r: .3-5 Did the proce dure / proce s s us e d by the orga niza tion to e s ta blis h a nd ma inta in its obje ctive s . .S ignifica nt e nvironme nta l a s pe cts .3.3.Vie ws of inte re s te d pa rtie s ? Are the obje ctive s a nd ta rge ts cons is te nt with the e nvironme nta l policy -.3.3-6 4.3.Te chnologica l options .Fina ncia l.3-7 EXERCISE:nd ta rge ts cons isthe EMR forpolicy -.3-8 4.3.3. .including Audit te nt with the e nvironme nta l one Element !! Are the obje ctive s a (use form in “Checklist” tab) 35 4.including the commitme nt to pre ve ntion of pollution? the commitme nt to complia nce with le ga l a nd othe r re quire me nts & continua l improve me nt ? Ha s the orga niza tion e s ta blis he d progra m(s ) for a chie ving its obje ctive s a nd ta rge ts ? 4.Obje c tive s and Targ e ts 4.3.Le ga l a nd othe r re quire me nts .3-1 Doe s the orga niza tion ha ve docume nte d obje ctive s a nd ta rge ts ? 4.3-4 4.

Area Audits – Identifying the Requirements An Auditor Needs to be Familiar with the Area he/she will be auditing • Find out what happens in that area • Significant aspects? • Targets/objectives? • Training was done? • Operational controls? • Contractors in the area? • Tracking key characteristics? • Emergency response responsibilities 36 .

Coming Up to Speed the Requirements Audits – Identifying EMS Requirements Targets / Objectives Required Environmental Training Operational Controls (Work Instructions) Environmental Contractors or Suppliers Work in this area Key Responsibilities in Emergency Response Monitoring Environmental Performance (Key Characteristics) # Area of Plant Significant / Point of Environmental Contact Aspect(s) (use form in “Audit Forms” tab) 37 .EF-13B AreaArea Audits .

Area Audits – Create a Requirements Checklist (use form in “Audit Forms” tab) 38 .

etc) .Area Audits – The Audit Interview • Start w/ Introductions. etc • Use “Opening Questions” to start Area Audit • Make sure you cover the EMS “requirements” • Remember to Sample for “Evidence” (show me that report.This is where you get the verifiable evidence such as looking at records !! 39 . Purpose. can I see that container.

1 = Update resume 40 . Why.Review Form Auditor Introduction The Auditor introduced self to Auditee Rating Notes and Comments The Auditor informed the auditee that Notes would be taken during the audit The Auditor explained the purpose of the audit Question Techniques Questions were short and to the point The Auditor used open ended questions (Who. 3 = OK. where. etc) The Auditor complemented the auditee on good things Rating Scale: 5 = Great. 2 = Needs Improvement. When.Exercise Mock Area Audit Audit the Work Instruction from Previous Exercise Use Your Area Audit Forms: • EMS Requirements • Checklist Each Student plays these roles: Student #1 = Auditor Student #2 – Auditee Student #3 = Reviewer (change roles so that everyone gets to play) Auditing Exercise . how) The Auditor asked probing questions beyond the prepared checklist The Auditor maintained control over the interview Other (use form in “Audit Forms” tab) The Auditor displayed a positive attitude •Remember – Need to ask for evidence (records. 4 = Good. What .

Change Gears – A look at Audit Procedures & Programs 41 .

etc) .Managing Programs.Guidance Only .Due Professional Care .. EMS.The Audit Program .Covers 1) Internal & Registration Audits. ISO 9000) . but primarily is used for registration type auditors (especially competence of auditors) ISO 19011.ISO 19011 A guidance Standard for conducting Quality and EMS Audits ISO 19011 Applicability . quality. summarized in Figure in ISO 19011 .Fair presentation .org 42 . summarized in Figure 1 in ISO 19011 .Section 7 .Auditor Competence Can be purchased at www.Covers all audits (compliance.ethical conduct 4 .Section .Good section on definitions (augments 14001.Independence .asq.Section 5 .Section 6 Audit Activities .Auditor Principles .Evidence based Approach NOTE : Auditors can be removed from an audit team if any of the above principles are compromised (ISO 19011 excerpt) Other 19011 Clauses .

aspects.Steps in Auditing Step 1: Notification & Document Request (Levels 1-3) Step 2: Level 1 & Level 2 Document Review Step 3: Develop Daily Schedule / Responsibilities Step 4: Auditor Homework – Develop Area Checklist and Familiarity with the processes. etc Step 5: Conduct Opening meeting Step 6: EMR Audit Audits Step 7: Area Write-ups Step 8: Audit 43 .

Area Audit (On-Site Contractor .EMR Audit . Confirm Audit Interview Schedule 7.Area Audits (Waste Handling or Treatment Area) . etc) 2. Go over H & S requirements EXERCISE – Conduct an Opening Meeting (use above agenda): . Explain Standard 5. Promote auditee participation 9. Explain Objective (this is not a compliance audit) 6.Waste Disposal Vendor) 44 . Discuss Confidentiality Issues 8. Explain Scope 4.Meetings Example Opening Meeting Agenda 1. Introductions (credentials. Sign in at Roster 3.

What makes up .your Audit Program ? • Calendar Schedule • Which Elements are audited • Which Departments or Areas are Audited What is your audit Procedure ? • What is the process • Opening Meetings ? • Who has lead Auditor responsibilities • Other Responsibilities • Which Forms are Used • Reports Issued ? Distribution of Reports ? • What about Corrective Actions? • READ THE COMPANY AUDIT PROCEDURE 45 .

Evidence of shoddy training .6 Departments .in order to determine if “policy has been communicated”: .When to Sample .Company Size is 100 .Evidence of Both Conformance/Non Conf.2 Shifts .What factors affect Sample Size .Sampling . Random Sample) -When to collect More Samples -EXAMPLE: How many employees do you ask about the policy . 46 .Type of Sample (Targeted Sample vs.

Findings Write-ups: What you need. Criteria Finding Evaluation THE FINDING TRIANGLE Evidence 47 .

Minor Non-Conformance = deviation from procedure / small hole in boat / minor impact to environment .Major Nonconformance = missing element / system breakdown / sinking boat / high impact on environment .Observation = No responses required / opportunity for improvement .Lack of Evidence .Missing ISO 14001 Element .What's a Non-Conformance Types of Non Conformances .Not Following EMS Procedure Reasons for Non Conformances Exercise – Major or Minor Non Conformance (pg 16) Exercise .Write Up Audit Findings (pg 15) Exercise – Non Conformance Report (pg 17-19) (use forms in “Exercises” tab) 48 .

Effective Root Cause Analysis (FMEAs. Corrective Action.6) = Action to eliminate a detected nonconformity (simple human error) .Preventive Action:(9000-3.4) = Action to eliminate the cause of a potential nonconformity Continual Improvement .Correction:(9000-3.Escalating CA review cycle Exercise – Correction. 8D method.6.Corrective and Preventive Actions . etc. or Preventive Action (pg 20) (use form in “Exercises” tab) 49 .5) = Action to eliminate the cause of a detected nonconformity . 5 why.6.6.recurring activity to increase the ability to fulfill requirements Components of an Effective CA System .) .Corrective Action:(9000-3.

org/ GRADES OF AUDITORS .A .Competency Based (Accredited) SCOPE OF AUDITORS Environmental Management Environmental Management System Site Contamination Assessment Environmental Report Verification Compliance Audit QUALIFICATION BASED AUDITORS Knowledge Competencies (Training) Audit Experience Work Experience Verification of Personal Attributes For registrars.AA .Qualifications Based (Non-Accredited) .anab.EMS Business Improvement .shtml Qualification Categories for Certified Auditors Contact Info for Registrars and Certified Auditors 50 .EMS Lead .Certified Auditors (Not Internal Auditors) Types of Auditor Certification Scope and Grades of Auditors . certification bodies: ANSI-ASQ National Accreditation Board http://www.LA .com/per_enviro.EMS Associate .BI COMPETENCY BASED AUDITORS Knowledge Competencies Skill Competencies (Witnessed Audit) Work Experience Personal Attributes (Exam) For auditors & training bodies RAB QSA International http://www.PR .EMS Auditor .EMS Principal .rabqsa.

Pitfalls to Avoid • Avoiding Internal Auditing altogether “We’re not ready” syndrome • Not Auditing Top Management (“put-em to the test”) • Auditing using checklist questions that the auditor doesn’t understand (Understand ISO 14001 and Your Own EMS documentation) • Auditing to the standard only and not including company documents (they may be more specific than the standard) 51 .

30 Min .Time for the Test ????? Easy Test: .Grade your own paper 52 .Review answers after .

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