2internalauditng of an iso14001 ems.pps

OLC (Europe) Ltd

Dalkia Energy and Technical Services

A one day course in support of Environmental Management Systems

Internal Auditing

Dr Chris Bamber

OLC (Europe) Ltd

Environmental Management SystemsInternal Auditing

The Aim

To deliver the key principles and techniques of EMS auditing through the use of an interactive workshop

To use class room exercises, examples from other companies and practice on your own EMS documentation system

OLC (Europe) Ltd


The Learning Objectives

To provide delegates with:

1. A practical approach to understanding the concepts of ISO 140012. Practical and pragmatic advise on effective procedure and

documentation audit techniques3. The chance to practice internal auditing skills and techniques4. Methods for preparation and planning of EMS audits5. Examples of ISO 14001 EMS internal audit reports 6. Report writing skills and practice

OLC (Europe) Ltd

Internal Auditing for ISO 14001

Session 1 9:30-10:30 then BreakOverview

Session 210:30-12:00EMS systems

Session 312:00-12:30 then lunch break. 13:00-14:30EMS audit techniquesSession 414:30-16:30EMS auditing

OLC (Europe) Ltd

Introductions

• Who are you?

• What is your main area of work?

• Why are you here?

• Do you have auditing experience?• Are you knowledgeable in

environmental issues?

OLC (Europe) Ltd


SESSION ONE

OVERVIEW

OLC (Europe) Ltd

What is an Environmental Management System?

• That part of the overall management system that includes organisational structure, planning activities, responsibilities, practices, procedures, processes and resources for developing, implementing, achieving, reviewing and maintaining the environmental policy

OLC (Europe) Ltd

What is an ISO 14001: 1996 environmental management system?

• ISO 14001: 1996 is a certifiable management system

• Certified and assessed by a third party e.g BSI or SGS

• Is a specification with guidance for use

• Has 6 main clauses you are assessed against (4.1 – 4.6)

• Has a sister standard ISO 14004: 1996 – General guidelines on principles, systems and supporting techniques

OLC (Europe) Ltd

What are the key components of ISO 14001: 1996 and what are the associated standards?

• Environmental Policy

• Planning– Aspects– Legal requirements– Objectives and targets– Environmental management

programme

• Implementation and operation– Structure and responsibility– Training, awareness and competence– EMS documents and control– Operational control– Emergency preparedness and response

• Checking and corrective action– Monitoring and measurement– Nonconformance and

corrective/preventive actions

– Records

– Environmental management system audit

• Management review

OLC (Europe) Ltd

The fundamental principal of all good management systems

P

D

C

A

P

D

C

A

OLC (Europe) Ltd

The fundamental principal of all good management systems applied to an EMS

Continual Improvement

Environmental policy

Planning

Implementation and operation

Checking and corrective action

Management review

The environmental management system

model for ISO 14001: 1996

OLC (Europe) Ltd

The fundamental principal of all good management systems applied to an EMS

Continual Improvement

Environmental policy

Planning

Implementation and operation

Checking and corrective action

Management review

Where should environmental

management system audits be placed in

this model?

AUDITS

OLC (Europe) Ltd

The definition of an environmental management system audit

A systematic and documented verification process of objectively obtaining and evaluating evidence to determine whether an organisation’s environmental management system conforms to the environmental management system audit criteria set by the organisation, and for communication of the results of this process to management

systematic

objective

Conforms to audit criteria?

Communicate to management

verify

evaluate

OLC (Europe) Ltd

What are the criteria that an EMS attempts to conform to?

Warm-up Exercise

In your group list the possible EMS audit criteria that an environmental auditor may be able to verify and evaluate

systematic

objective



verify

evaluate

OLC (Europe) Ltd

Warm-up Exercise (Audit criteria definition)

Policies, practices, procedures,or requirements such as those covered by ISO 14001: 1996 and if, applicable, any additional EMS requirements against which the auditor compares collected audit evidence about the organisations environmental management system

systematic

objective



verify

evaluate

OLC (Europe) Ltd


SESSION TWO

EMS SYSTEMS

OLC (Europe) Ltd

What are environmental aspects and impacts?

• Aspect– Element of an organisation’s

activities, products or services that can interact with the environment

• Impact – Any change to the environment,

whether adverse or beneficial, wholly or partially resulting from an organisation’s activities or services

OLC (Europe) Ltd

Understanding Environmental Aspects and Impacts

Activity, product or service

Aspect Impact

ACTIVITYHandling of hazardous material

Potential for accident or spillage

Contamination of soil or water

PRODUCTProduct refinement

Reformulation of its product to reduce its volume

Conservation of natural resources

SERVICEVehicle maintenance

Exhaust emissions Reduction of air emissions

OLC (Europe) Ltd

What is a significant aspect?

ASPECT IMPACT ACTIVITY SIGNIFICANCE

Solid waste arising

Depletion of resources. Landfill leachate and contamination. Land and planning use

Waste from all operations

Major environmental concern, not environmentally sustainable practice. Subject to legislation High (increasing) costs. Saving available from poor site practices

Example Record of Significant Aspects

We assess the significance of an aspect by assessing the significance of the impacts associated with that aspect.

Scale of environmental impact1. Minor, short term – 5. Major,

widespread, persistent impact

Likely-hood of impact occuring1. Very unlikely – 5. Extremely likely

e.g. Other considerations may be• Severity• Duration• Legal & regulatory• Cost of change• Effect of change• Concerns of others• Public image

OLC (Europe) Ltd


Impact on the environment may be via:

1. Emissions to air2. Releases to water3. Waste management4. Contamination of land5. Use of natural resources6. Use of raw materials7. Local environmental issues and

community needs

OLC (Europe) Ltd


Exercise One

a. In your group list ten aspects of your organisation that have an impact on the environment

b. Identify what the impacts are for your ten aspects

c. Place the ASPECTS in order of significance

OLC (Europe) Ltd

Critical documents in an EMS

• Policy• Aspects and impacts register• Environmental programme

– Objectives and targets

• Operating procedures– Emergency plans– Process information

• Environmental audits• Management review minutes• An organisation chart

– Environmental responsibility and authority

• Training records

OLC (Europe) Ltd

Critical Records in an EMS

1. Environmental laws and regulations2. Goals and mission, objectives and

targets3. Evidence of communication of

policy and procedures4. Compliance and training records5. Process and product information6. Inspection, maintenance and

calibration evidence7. Incident reports8. Aspects, impacts, management

reviews and audit results9. Emergency preparedness and

response10. Site specific assessment results

OLC (Europe) Ltd

Critical Dalkia EMS Audit Documents and Records

1. Policy (in your 4 in 1)

2. Aspects and impacts register

3. Environmental audit checklist

4. Environmental review

OLC (Europe) Ltd


SESSION THREE

EMS AUDIT TECHNIQUES

OLC (Europe) Ltd

EMS Audit Techniques

systematic

objective



verify

evaluate

OLC (Europe) Ltd


Exercise

Complete the first page of your audit checklist

Priority category1 = immediate action2 = urgent3 = requires attention0 = no action required

Status rating3 = good2 = adequate1 = poor0 = unsatisfactory

Possible

Actual

OLC (Europe) Ltd

Types of internal environmental audit and review you may consider:

• Implementation audit• Environmental strategy audit• Environmental compliance audits• Environmental risk assessments• Environmental reviews• Documentation audits• Operational audits• Performance reviews• Communication audits• ISO 14001: 1996 requirements audit

OLC (Europe) Ltd


Exercise

In your group review your environmental policy and verify whether it is adequate for the requirements of ISO 14001: 1994 clause 4.2 and then evaluate which of your organisation’s operations support that policy

OLC (Europe) Ltd


Exercise (Some considerations for your group):

a. Is the policy relevant to your activities, products and services?

b. Does the policy reflect the organisation’s values and guiding principles?

c. Is it approved by top management?d. Does the policy guide the setting of

targets and objectives?e. Does it commit to continual improvement

of the EMS?

OLC (Europe) Ltd


Techniques for planning and preparing environmental audits

• Audits should be conducted:• Periodically• By auditors independent of the area audited• Using competent auditors• Within the documented audit procedures• To establish whether the EMS is effectively implemented

• Considering objectives, policies and procedures

OLC (Europe) Ltd


Techniques for planning and preparing environmental audits

• Audit programmes and procedures should cover:• The activities and areas to be considered• The frequency of audits• The responsibilities associated with

managing and conducting the audits• The communication of audit results• Auditor competence• How audits will be conducted

OLC (Europe) Ltd


Exercise

Complete the second page of your audit checklist

OLC (Europe) Ltd


Exercise Three

Write on a flipchart paper the possible benefits of environmental auditing. Consider in your answer:

a. Stakeholder viewsb. Business benefitsc. Environmental benefitsd. Personal benefits

OLC (Europe) Ltd


SESSION FOUR

EMS INTERNAL AUDITING

OLC (Europe) Ltd

EMS Internal AuditingConducting an environmental management systems audit

• There are three international standards available:

ISO 14010: 1996 Guidelines for environmental auditing – general principles

ISO 14011: 1996 Guidelines for environmental auditing – Auditing of environmental management systems

ISO 14012: 1996 Guidelines for environmental auditing – Qualification criteria for environmental auditors

OLC (Europe) Ltd

EMS Internal AuditingCommon Mistakes to be aware of:

Question:

What problems do you think could be encountered when conducting predetermined checklist audits?

OLC (Europe) Ltd

EMS Internal AuditingCommon Mistakes to be aware of:

• Insufficient planning• Not answering all the audit questions expected• No clear aim for the audit• Results not fully or appropriately communicated• Problems identified not completely remedied• Report is ambiguous and incomplete• Report is not specific or not detailed enough for

focused action to be identified• Not all beneficiaries/stakeholders are informed

OLC (Europe) Ltd

EMS Internal Audit Techniques

Performing the internal environmental audit

•Prepare a checklist of questions/observations required•Go to the area to be the focus of the audit•Ask questions about the procedures/processes adopted•Observe what is happening•Check for compliance to procedures and manual•Ask to see records relevant to the procedures•Record observations on checklist•Assess findings for compliance/non-conformance•Thank all parties for their help•Send report to audit head office

OLC (Europe) Ltd


Performing the internal environmental audit – assessing compliance

A failure (NON-COMPLIANCE) can be classified as:

•Where a procedure is correctly written but is not being adhered to or is not implemented effectively•Where the procedure is wrongly described in the manual and does not accurately describe the procedure being used•Where results or records show that activities/processes are not meeting documented expectations•Where a previous audit corrective action has not been implemented

OLC (Europe) Ltd


Performing the internal environmental audit – making observations

An observation can be made to highlight:

•Areas/concerns/processes that could or should be improved•Where procedures are disliked or difficult to follow or understand•Where training, education or environmental awareness may improve performance•Where best practice or excellent work is being adopted

OBSERVATION SHOULD BE AIMED AT PROMOTING AND ENCOURAGING IMPROVEMENT

OLC (Europe) Ltd

EMS Internal Auditing Reporting

Audit completion

• The audit is completed once all the activities defined in the audit plan have been conducted

• This includes a follow up audit and formal close-out

OLC (Europe) Ltd


SUMMARY AND NEXT STEPS?????????

Dr Chris Bamber and Mr James Boyes