iso 14001 environmental management system (ems) auditing overview for the department of interior...
TRANSCRIPT
![Page 1: ISO 14001 Environmental Management System (EMS) Auditing Overview for the Department of Interior Linda Baetz, EMS-LA and Jim Wood, P.E., EMS-LA U.S. Army](https://reader030.vdocument.in/reader030/viewer/2022032523/56649d8d5503460f94a751fc/html5/thumbnails/1.jpg)
ISO 14001Environmental Management System (EMS)
Auditing Overview for the Department of Interior
Linda Baetz, EMS-LA and Jim Wood, P.E., EMS-LAU.S. Army Center for Health Promotion and Preventive Medicine
![Page 2: ISO 14001 Environmental Management System (EMS) Auditing Overview for the Department of Interior Linda Baetz, EMS-LA and Jim Wood, P.E., EMS-LA U.S. Army](https://reader030.vdocument.in/reader030/viewer/2022032523/56649d8d5503460f94a751fc/html5/thumbnails/2.jpg)
Discussion Topics
• EMS Requirement – Background
• Preparing for External EMS Audits
• Joint Compliance/EMS Audits
• Evolution of Army EMS Auditing
• Army EMS Audits – Lessons Learned
• Army EMS Auditor Training (External & Internal Auditors)
![Page 3: ISO 14001 Environmental Management System (EMS) Auditing Overview for the Department of Interior Linda Baetz, EMS-LA and Jim Wood, P.E., EMS-LA U.S. Army](https://reader030.vdocument.in/reader030/viewer/2022032523/56649d8d5503460f94a751fc/html5/thumbnails/3.jpg)
EMS Requirement - Background
• EO 13148 – Required Federal Agencies to implement EMS
• EO 13423 – Reinforced EMS implementation at “all appropriate levels” and EMS use as “primary management approach”
• OFEE EO 13423 Instructions – Requires external audits [initial & follow-up (3-yr cycle)]
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Preparing for External EMS Audits(Phase I - Document Review Phase)
• Understand ISO 14001 Standard• Review EMS “Gap Analysis”
Results (and determine if “gaps” resolved)
• Understand your DOI-Agency specific EMS Manual/procedures
• Review of DOI-Agency specific EMS Manual/procedures (ISO 14001 conformance)
![Page 5: ISO 14001 Environmental Management System (EMS) Auditing Overview for the Department of Interior Linda Baetz, EMS-LA and Jim Wood, P.E., EMS-LA U.S. Army](https://reader030.vdocument.in/reader030/viewer/2022032523/56649d8d5503460f94a751fc/html5/thumbnails/5.jpg)
Preparing for External EMS Audits(Phase II – Internal Audit Phase)
• Conduct an internal EMS audit (using trained auditors)
• Implement corrective/preventive action(s) based on internal audit
• Understand the different types of nonconformance (i.e., major vs. minor) and the level of resources & commitment for resolution
![Page 6: ISO 14001 Environmental Management System (EMS) Auditing Overview for the Department of Interior Linda Baetz, EMS-LA and Jim Wood, P.E., EMS-LA U.S. Army](https://reader030.vdocument.in/reader030/viewer/2022032523/56649d8d5503460f94a751fc/html5/thumbnails/6.jpg)
Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.1 (General Requirements)
• Has the “scope” of the EMS been documented?
![Page 7: ISO 14001 Environmental Management System (EMS) Auditing Overview for the Department of Interior Linda Baetz, EMS-LA and Jim Wood, P.E., EMS-LA U.S. Army](https://reader030.vdocument.in/reader030/viewer/2022032523/56649d8d5503460f94a751fc/html5/thumbnails/7.jpg)
Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.2 (Environmental Policy)
• Does the policy address all of the mandatory “commitments”?
• Has the policy been communicated to “all persons working on behalf of the organization” (i.e., contractors & subcontractors)?
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Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.3.1 (Environmental Aspects)
• Are the aspects “documented” and kept up-to-date?
• Are the “significant” aspects taken into account in the EMS?
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Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.3.2 (Legal and Other Requirements)
• Do the “legal and other requirements” apply to the “environmental aspects”?
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Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.3.3 (Objectives, Targets, and Programs)
• Have “significant environmental aspects” been considered when establishing objectives/targets?
• Do the programs designate “responsibilities”, “means”, and “time-frames” to achieve objectives & targets?
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Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.4.1 (Resources, Roles, Responsibility and Authority)
• Has EMS Management Rep. been appointed?
• Have roles, responsibilities, and authorities been “documented” and “communicated”?
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Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.4.2 (Competence, Training, and Awareness)
• Has “competence” been determined for persons with potential to cause significant environ. impacts?
• Are “training needs” identified?
• Has “awareness” been provided to persons working on “behalf of the organization”?
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Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.4.3 (Communication)
• Do external communication “procedures” match actual “business practices”?
• Has the “record of decision” (regarding external communication of significant environmental aspects) been “documented”?
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Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.4.4 (Documentation)
• Does the EMS documentation include all of the mandatory requirements?
![Page 15: ISO 14001 Environmental Management System (EMS) Auditing Overview for the Department of Interior Linda Baetz, EMS-LA and Jim Wood, P.E., EMS-LA U.S. Army](https://reader030.vdocument.in/reader030/viewer/2022032523/56649d8d5503460f94a751fc/html5/thumbnails/15.jpg)
Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.4.5 (Control of Documents)
• Do “procedures” (e.g., approval, review, update/re-approval, revision, removal of obsolete documents, etc.) match actual “business practices”?
• Are “documents of external origin” addressed?
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Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.4.6 (Operational Control)
• Have operational controls been developed for those activities & operations with significant environmental aspects?
• Are those operational controls being “implemented” at the “user level”?
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Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.4.7 (Emergency Preparedness and Response)
• Are emergency preparedness & response procedures periodically tested (where practicable)?
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Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.5.1 (Monitoring and Measurement)
• Are “key characteristics” of operations (that can have significant environmental impact) being monitored and measured?
• Are there calibration records for any associated monitoring and measurement equipment?
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Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.5.2 (Evaluation of Compliance)
• Is there a process for the periodic evaluation of compliance with legal and other requirements?
• Are records available of those periodic compliance evaluations?
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Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.5.3 (Nonconformity, Corrective Action & Preventive Action)
• Do procedures also address “preventive” actions?
• Do procedures address corrective & prev. action “effectiveness”?
• Do the “procedures” match the actual “business practices”?
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Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.5.4 (Control of Records)
• Do procedures address the “retention times” & “disposal” of records?
• Are records legible, identifiable, and retrievable?
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Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.5.5 (Internal Audit)
• Has an Internal Audit Program been implemented (e.g., schedule established; auditors identified & trained; audits conducted)?
• Does the selection of auditors & the conduct of the audits ensure objectivity & impartiality of the audit process?
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Preparing for External EMS Audits(“Common” Nonconformance Issues)
• ISO 14001, 4.6 (Management Review)
• Has the management review process been implemented?
• Does the management review process incorporate all of the required inputs?
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Joint Compliance/EMS Audits(Different Approaches)
• Army Environmental Performance Assessment System (EPAS) External Audits – Active Component Installations
• Concurrent Compliance/EMS Audit• Dedicated EMS Audit Team • Separate Compliance & EMS Audit
Reports
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Joint Compliance/EMS Audits[Different Approaches (Cont.)]
• Army EPAS External Audits – Reserve Component Installations
• Installation Compliance Audit is Conducted First
• Follow-up EMS Audit (conducted months after the compliance audit)
• Root Cause Analysis (from compliance audit) is used to Formulate EMS Audit Plan
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Joint Compliance/EMS Audits[Different Approaches (Cont.)]
• Defense Logistics Agency (DLA) Compliance and EMS Audit Programs
• Separate Compliance & EMS Audit Schedules (no integration between compliance & EMS audits)
• DLA EMS Focus – “Multi-site Organizational EMS” vs. “Facility-specific EMS”
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Joint Compliance/EMS Audits (Key Points)
• Compliance auditing and conformance auditing are VERY different skills sets
• If joint compliance/EMS audits are conducted, the audit team needs to include “dedicated” EMS auditor(s) (with no compliance audit responsibilities)
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Joint Compliance/EMS Audits [Key Points (Cont.)]
• EMS Lead Auditor needs to have full responsibility for conduct of the EMS portion of the audit (e.g., preparing EMS audit, briefing results, preparing report, etc.)
• Compliance auditors may provide site-specific “feedback” (e.g., training records, current plans/procedures, operational controls, etc.)
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Joint Compliance/EMS Audits [ [Key Points (Cont.)]
• If contractor EMS auditors are used, consider specifying that the auditors be RABQSA-certified (ensures level of competence)
• If contractor EMS auditors are used, consider “Nondisclosure Agreements” (prevents contractor from using DOI EMS practices in support of other clients)
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Joint Compliance/EMS Audits [Key Points (Cont.)]
• If EMS support contractors have assisted with the “implementation” of the EMS, do NOT use those same contractors to “audit” the EMS (avoids conflicts of interest)
• EMS support contractors can still be used to address audit findings (if needed), but they need to be “independent” of the audit
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Evolution of Army EMS Auditing
• FY 85 – 91: Army Environmental Audit Program (multiple protocols, compliance medias only)
• FY 92 – 00: Army Environmental Compliance Assessment System (ECAS) Program [standard protocol (TEAM Guide); Army Supplement to TEAM Guide (included Env. Program Mgt.)]
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Evolution of Army EMS Auditing(Cont.)
• ECAS Env. Program Mgt. evaluations included several components of an EMS audit
• FY 01 – Present: Army EPAS Program [Army Supplement to TEAM Guide revised to include “EMS” section (ISO 14001)]
• Env. Program Mgt. assessors trained as EMS auditors
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Army EMS Audits – Lessons Learned
• Many contractor-prepared EMS manuals/procedures do not reflect installation business practices
• Some Army Commanders equate EMS “nonconformance” to regulatory “noncompliance”
• Some Army installations tend to regard EMS as a “Program” vs. a “management system”
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Army EMS Audits – Lessons Learned(Cont.)
• Command emphasis on EMS can vary with changes in installation leadership (integration of EMS with “sustainability” has worked well at some installations)
• Incorporation of “tenants” into host installation EMS can prove challenging.
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Army EMS Auditor Training(Training External Auditors)
• Army Environmental Command (AEC) hosts ISO 14001 Lead Auditor Course (open to potential auditors & funds attendance)
• EMS auditor trainees are assigned to participate in EMS audits (AEC funds travel) with experienced (e.g., USCCHPPM) EMS auditors until capable of serving as auditor
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Army EMS Auditor Training(Training External Auditors)
• Core Group of Experienced EMS Auditors Still Conduct the Majority of Army EMS Audits
• Expanding the “Army Pool” of Experienced Auditors is a Major Challenge (multi-year effort)
• EMS Auditor Pool MUST be Expanded (“Core Group” cannot support all Army EMS audits)
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Army EMS Auditor Training(Training Internal Auditors)
• General EMS internal auditor training (interview techniques, reviewing objective evidence, preparing findings, and practical exercise using “generic manual”)
• Installation-specific EMS internal auditor training (above basics of internal EMS audits & practical exercise using installation manual)
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Questions
Linda L. Baetz, EMS-LA
(410) 436-5234
James D. Wood, P.E., EMS-LA
(410) 569-3325