ems audit train

7/29/2019 Ems Audit Train

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Environmental Management

System Auditing


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Training Objectives:

Understand the goals of an Environmental

Management System (EMS) audit

Understand the ISO14001 requirements forinternal auditing

Provide information on each clause of the

standard


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ISO14001 Structure

4.2 Policy

4.3 Planning

4.3.1 Environmental Aspects 4.3.2 Legal and Other Requirements

4.3.3 Objectives and Targets

4.3.4 Environmental management Programs


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ISO14001 Structure

4.4 Implementation and Operation

4.4.1 Structure and Responsibility

4.4.2 Training, Awareness and Competence

4.4.3 Communication

4.4.4 EMS Documentation

4.4.5 Document Control

4.4.6 Operational Control 4.4.7 Emergency Preparedness and Response


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ISO14001 Structure

4.5 Checking and Corrective Action

4.5.1 Monitoring and Measurement

4.5.2 Non-conformance and corrective and

Preventive Actions

4.5.3 Records

4.5.4 EMS Audit

4.6 Management Review


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Purpose of Audits

An EMS audit has two goals:

Determine if the EMS conforms to the

requirements of the ISO14001 clauses and

other environmental requirements that may be

unique to the organization. This is typically

audited through a review of documentation.


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Purpose of Audits

Determine if the EMS program is understood

and being properly implemented. This involves

verifying that what is stated on paper is

practiced. This is typically audited through acombination of interviews, sampling and direct

observations to ensure that procedures are being

followed.


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ISO14001 Auditing

Requirements

ISO14001 requires that we have programs

and procedures in place for auditing the

Environmental Management System(EMS).

The audits should be conducted on a

periodic basis and results presented to

management as part of evaluating the

overall environmental performance of the

facility.


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4.5.4 EMS Audit

Requirements:

Clause 4.5.4 requires that the organization

establish and maintains programs andprocedures to conduct audits to determine if

the EMS:

conforms with planned arrangements (thiswould include at a minimum the specific

requirements of IOS14001

is properly implemented and maintained


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4.5.4 EMS Audit (Requirements)

The results of the audits must be provided

to top management.

The EMS audit procedures should establishthe following:

the scope of the audit

how often the audits will be conducted the methodologies to be used

who is responsible for conducting the audits

and reporting audit results


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4.5.4 EMS Audit (Requirements)

The EMS audit program should reflect the

results of any previous audits and the

severity of the environmental impactsinvolved.


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4.2 Policy

Policy must be documented

Policy statement is meant to be a guide, it is

not a law or rule that can never be broken Clause 4.2 specifically requires that top

management be responsible for developing

and defining the environmental policy Top management may consist of an

individual or group of individuals with

executive responsibilities


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Requirements:

the organization must have an

environmental policy

the policy must be defined by topmanagement

the policy must meet the following

requirements:be appropriate to the nature and scale of the

environmental impacts of its activities, products

or services;


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Requirements:

contain commitments to continual

improvement, prevention of pollution and

compliance with relevant environmental

legislation and regulations, and with otherrequirements to which the organization

subscribes;

provide a framework for setting and reviewing

environmental objectives and targets;

documented, implemented and maintained

communicated to all employees

available to the public


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4.3.1 Environmental aspects

The intent of clause 4.3.1 is for the

organization to develop a more complete

understanding of how its actions mayaffect the environment.

One of the most important clauses of the

standard, as it will define many of the EMS

programs and processes the organization

develops.


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4.3.1 Environmental aspects

The Policy must reflect the identified

aspects

Objectives and targets must be developedwith consideration to the significant aspects

Management programs and monitoring and

measurement programs will be shaped bythe aspects.


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Requirements:

Clause 4.3.1 sets out three requirements

governing environmental aspects;

The organization must establish a procedureto:

Identify the environmental aspects associated

with its operations and

Evaluate which aspects have a significant

impact on the environment

o


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Requirements:

The aspects related to significant impacts

must be considered in setting environmental

objectives The organization must have a system for

keeping the identified environmental

aspects up to date. That is the aspects must

be reviewed periodically and re-evaluated in

the light of the current circumstances of the

organization


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4.3.2 Legal and Other

Requirements

Clause 4.3.2 is to ensure that the

organization is fully aware of all its legal

and other obligations. This awareness is achieved through

obtaining copies of relevant material,

analyzing how it applies and understanding

the requirements.


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Requirements:

4.3.2 requires the organization to have

procedures to identify and have access to

two types of requirements: Environmental legal requirements (e.g.

governmental regulations)

Other requirements that the corporation or site

has adopted and that apply to facility operations


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4.3.3 Objectives and Targets & 4.3.4

Environmental Management Programs

In order to monitor and improve its

environmental performance an organization

must have a systematic process to establish and

maintain objectives and targets.

Goals are useless unless there is an underlying

program to achieve them.

4.3.3 requires documented objectives andtargets and 4.3.4 requires that there are

programs in place specifying actions to take to

achieve the objectives and targets.


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4.3.3 Objectives and Targets & 4.3.4

Environmental Management Programs

The intent of 4.3.3 is for the organization to

establish specific and measurable

documented objectives and targets thataddress its most significant environmental

issues.


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Requirements:

Clause 4.3.3 requires that documented

objectives and targets are established and

maintained by the organization. The objectives and targets should be:

established at the various functions and levels

within the organization (line operations through

management)


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Requirements:

developed with consideration being given to:

the organizations legal and other requirements

significant environmental aspects

technological options

financial, operational and business requirements

the views of interested parties such as stockholders,

community groups, regulatory agencies and

environmental groups

consistent with the environmental policy, with

specific consideration given to prevention of

pollution


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Requirements:

Clause 4.3.4 takes 4.3.3 one step further by

requiring the organization to establish and

maintain programs to achieve the goals

Clause 4.3.4 contains specific requirements

for these programs:

identify who within the organization will be

responsible and accountable for achieving thestated objectives and targets

establish how and when the objectives and

targets are to be achieved


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4.4.1 Structure and

Responsibility

Clause 4.4.1s function is to ensure that:personnel involved in environmental activities,

including management, have a clear understanding

of their roles and responsibilities within the EMS.

top management is kept informed of the

performance of the EMS so they can improve th

system if necessary.

The goal of 4.4.1 is for the organization todevelop the capabilities and support

mechanisms necessary to achieve its policy

and established objectives and targets.


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Requirements:

Roles, responsibilities and authorities of

those involved in the EMS must be defined,

documented and communicated

Management must provide the necessary

resources to ensure the proper functioning

of the EMS

Top management must assign a

management representative with specific

duties with respect to the EMS


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4.4.2 Training, Awareness and

Competence

The intent of 4.4.2 is to ensure that all

employees at all levels understand the goals

and principles of the EMS and how their

jobs may impact the environment and

achieving the goals of the EMS


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Requirements:

identify the knowledge and skills necessary

to achieve environmental objectives

(training needs analysis)

- implement training to provide the

appropriate knowledge and skills

ensure that employees doing work that mayhave significant impact on the environment

are competent


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Requirements:

The clause explicitly requires that the

training result in employee awareness of:

the importance of conforming with the EMS significant environmental aspects associated

with work activities within the organization

specific roles and responsibilities involved in

the EMS

potential consequences of not following

established EMS procedures


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Requirements:

Although not specifically stated, clause

4.4.2 also addresses regulatory required

training.


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4.4.3 Communication

Clause 4.4.3 focuses on the communication

of the organizations EMS and significant

aspects.

The function of the clause is to support the

achievement of the policy and objectives

and targets and the functioning of the EMS

in general.


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Requirements:

Development of procedures governing

internal and external communication of

environmental issues.

Procedures to facilitate internal

communication between employees at all

levels and functions


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Requirements:

With respect to external communications

the clause requires two specific actions:

Establish a procedure to handle communicationreceived from external interested parties

Decide whether and how to communicate

significant aspects to interested parties. This

decision must be documented.


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4.4.4 EMS Documentation

The intent of the EMS documentation

requirement is that the organization be able

to demonstrate the existence of the EMS

and explain how it functions.


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Requirements:

The organization possesses information that

describes the core elements of its EMS and

how they interact.

This information should be cited in related

documentation and can be in paper or

electronic form


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4.4.5 Document Control

Clause 4.4.5 requires that document control

procedures be established and maintained

The goal of such procedures is to ensurethat all critical documents are available to

all personnel who rely on them and that

obsolete documents are removed and not

used in error


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Requirements:

The organization must have procedures governing

the control of documents specifically required by

the ISO14001 standard.

The document control process must ensure thatonly correct and current documents are used and

available.

The process of creating, modifying and updatingthese documents must be formalized and

controlled.


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Requirements:

There are also specific requirements relating to the

presentation and format of the documents to be

controlled.

Documents must be:

legible

dated (with revision dates)

readily identifiable

maintained in an orderly manner and retained for a

specified period


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4.4.6 Operational Control

Clause 4.4.6 requires the organization to identify

specific operations associated with its significant

aspects and ensure these operations are managed

in accordance with the policy and thatenvironmental objectives and targets are met.

The planning must involve developing and

documenting procedures that stipulate operating

criteria.


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Requirements

Clause 4.4.6 contains 2 major requirements

Identify operations and activities associated

with their significant aspects and

Plan these operations and activities to ensure

that:

Documented procedures are developed for

operations and activities where the absence of suchprocedures could lead to environmental impacts that

are not in accordance with the policy or the

objectives and targets


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Requirements

The procedures developed include operating criteria

that specify the desired outcome of the procedure

(that is how the success of the procedure will be

measured)

Procedures (not necessarily documented) are

developed to address significant aspects related to

goods and services supplied by contractors


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4.4.7 Emergency Preparedness

and Response

Clause 4.4.7 requires the organization to

have procedures for identifying and

managing emergency situations.

These procedures must be periodically

tested and revised where appropriate, after

the occurrence of accidents or emergency

situations


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Requirements

Clause 4.4.7 requires organizations toestablish and maintain procedures toaddress the following issues:

Identifying potential accidents and emergencysituations

Preventing and mitigating the environmentalimpacts that might result from such events

Responding o accidents and emergencysituations when they do occur


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Requirements

The organization is also required to review

and revise their emergency preparedness

and response procedures, as appropriate,

based on actual incidents, and that the

procedures be periodically tested


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4.5.1 Monitoring and

Measurement

Clause 4.5.1 requires that the organization have

documented procedures for monitoring and

measuring its operations and activities that can

have significant environmental impacts. The intent is to track performance, assess

implementation and effectiveness of operational

controls and evaluate achievement of objectives

and targets and compliance with regulations.


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Requirements

The clause states that monitoring and

measuring should include recording of

information to track the following:

performance ( of the EMS in controlling

environmental impacts)

conformance with operational controls

progress towards achieving objectives and

targets


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Requirements

The clause also requires that any monitoringequipment be calibrated and records withrespect to this maintained.

The standard does not require documentedprocedures for such calibration andmaintenance.

The clause also requires a documentedprocedure to evaluate compliance toenvironmental regulations


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4.5.2 Non-Conformance and

Corrective and Preventive Actions

Clause 4.5.2 requires the organization to have a

process, which includes defined roles,

responsibilities and authorities to investigate and

address non-conformances within the EMS Correctives and preventive actions should be

appropriate to the magnitude of the problem and

take into consideration the environmental impacts

caused


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Requirements

Clause 4.5.2 requires a systematic action plan to

fix problems identified during monitoring and

measurement and the EMS audit.

This action plan is the follow up for the regulatoryand audit findings.

The primary requirement is that the organization

establish procedures that define roles andresponsibilities for the following activities:


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Requirements

The primary requirement is that the

organization establish procedures that

define roles and responsibilities for the

following activities:

Investigate non-conformances

Mitigate any impacts caused

Implementing and completing corrective and

preventive actions


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4.5.3 Records

Clause 4.5.3 requires that records

management procedures be established and

maintained to ensure that records that

support the EMS are retained, accessible

and maintained


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Requirements

Clause 4.5.3 requires the organization to

have procedures governing the

identification, maintenance and disposition

of environmental records necessary to

demonstrate conformance to ISO14001

In addition to the procedures, the clause

contains specific requirements about how

records should be presented and maintained


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Requirements

The records must be:

Legible

Identifiable

Traceable to the activity, product or serviceinvolved

Easily retrievable

Protected from damage or loss Held for specified and documented retention

times


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4.6 Management Review

Clause 4.6 requires the organizations top

management conduct periodic documented

reviews of the EMS to ensure that the EMS

is effectively addressing the organizations

environmental issues.


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Requirements

The general requirement of clause 4.6 is that top

management periodically review the EMS to

ensure that it is adequate and effective in allowing

the organization to meet its stated environmentalgoals and fulfill its environmental policy.

This general requirement is supported by an

additional requirement that the organization

collect the necessary information to ensure that the

reviews are meaningful and useful.


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Requirements

The reviews should include:

consideration of the need to change EMS elementsbased on EMS audit results, changes in circumstances,and the commitment to continual improvement.

the possible need for changes in the organizationsenvironmental policy and environmental objectives.

The clause also requires that management reviewsbe documented. This means that there must be

written records of the management reviewprocess.