The ISO 14000 EMS audit handbook

335 Pages·2020·18.99 MB·English

by  Gregory Paul Johnson

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EMS Audit
Handbook
Gregory P. Johnson

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CRC Press
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lable o f C ontents

PREFA CE . ........................................................................................... x vii

1 INTRODUCTION TO EMS AUDITS ........................................... 1

What Is an Environmental Management System? ............................. 1

The EMS Movement .......................................................................... 2

Development of the International EMS Standard .............................. 3

Introduction to EMS Audits ............................................................... 3

Quality Systems Auditors (QSA) ....................................................... 5

Environmental Compliance Auditors (ECA) ..................................... 6

Management ....................................................................................... 6

Key Definitions .................................................................................. 8

Key Acronyms ................................................................................. 14

Training the Internal EMS Auditor .................................................. 17

Auditor Characteristics .................................................................... 18

Types of Auditors ............................................................................. 24

EMS Audit Objectives ..................................................................... 26

Key Differences-QMSIEMS Auditors ........................................... 27

QMSIEMS-Sharing a Common Basis ........................................... 29

Insights for EMS Auditor Qualifications ......................................... 30

Key Considerations for EMS Audit Teams ...................................... 30

2 THE ISO 14000 SERIES AUDIT STANDARDS ........................ 33

ISO 14010 Guidelines for Environmental Auditing: General

Principles ................................................................................... 33

4-Requirements for an Environmental Audit ................................... 33

5-General Principles ......................................................................... 34

5.1-0bjectives and Scope ................................................................. 34

5.2-0bjectivity, Independence, and Competence ............................. 35

5.3-Due Professional Care ............................................................... 35

5.4-Systematic Procedures ............................................................... 35

vii
viii THE 150 14000 EM5 AUDIT H ANDBOOK
5.5-Audit Criteria, Evidence, and Findings ..................................... 35

5.6-Reliability of Audit Findings and Conclusions .......................... 36

ISO 14011 Guidelines for Environmental Auditing: Audit

Procedures-Auditing of Environmental Management

Systems ...................................................................................... 36

4-EMS Audit Objectives, Roles, and Responsibilities ..................... 37

4. I-Audit Objectives ........................................................................ 37

4.2-Roles, Responsibilities, and Activities ...................................... 37

4.2. I-Lead Auditor ........................................................................... 37

4.2.4-Client ...................................................................................... 37

4.2.5-Auditee .................................................................................... 39

5-Auditing ........................................................................................ 39

5.3-Executing the Audit ................................................................... 40

5.3.1-Opening Meeting .................................................................... 40

5.3.2-Collecting Evidence ................................................................ 40

5.3.3-Audit Findings ........................................................................ 40

5.3.4-Closing Meeting ..................................................................... 40

5.4-Audit Reports and Records ........................................................ 40

6-Audit Completion ......................................................................... 40

ISO 14012 Guidelines for Environmental Auditing-

Qualification Criteria for Environmental Auditors .................... 41

Annex B (informative)-Environmental Auditor Registration

Body .......................................................................................... 41

3 INITIAL ENVIRONMENTAL REVIEW (IER) AND

GAP A NALYSIS . ..................................................................... 4 3

Introduction ...................................................................................... 43

Inside ISO 14004 EMS-General Guidelines on Principles,

Systems, and Supporting Techniques ............................................... 46

Key Principles for Management ...................................................... 46

Benefits of an EMS .......................................................................... 47

EMS Principles and Elements .......................................................... 48

Initial Environmental Review (IER) ................................................ 49

4.1.3-Initial Environmental Review ................................................. 49

Practical Help-Initial Environmental Review ............................... 50

Practical Help-Environmental Policy ............................................ 52

4 EMS AUDIT PROGRAMME DESIGN ...................................... 55

Introduction ...................................................................................... 55

Activities and Areas to Be Considered in Audits ............................. 56

The Frequency of Audits .................................................................. 56
Table of C ontents ix
Responsibilities Associated with Managing and Conducting

Audits ........................................................................................ 57

ISO 140014.5.4, EMS Audit ........................................................... 57

Communications ofAudit Findings ................................................. 58

Auditor Competence ........................................................................ 59

How Audits Will Be Conducted ....................................................... 59

5 ISO 14001 INTERPRETATION FOR AUDIT •.•.•.•••••••••••.•.•••••••• 61

ISO Through Use ............................................................................. 61

Interpretation ............................................................................. 62

Annex A-Guidance on the Use of the Specification ............... 63

Common System Nonconformances (CSN) .............................. 63

Links Between ISO 9001 and ISO 14001 Standards ................. 64

EMS Auditor ChecklistiQuestionnaire ...................................... 64

Understanding the Universal Audit Checklist (UAC) ............... 65

Universal Audit Checklist .......................................................... 66

ISO 1400 1 Interpretation for Audit .................................................. 68

Annex A.2-Environmental Policy for Guidance on Use ......... 69

ISO 14001, 4.2-Environmental Policy .................................... 69

Common System Nonconformances (CSN) .............................. 72

EMS Auditor ChecklistiQuestionnaire ...................................... 72

ISO 14001-4.3 Planning ................................................................ 73

Annex A.3.I-Environmental Aspects ...................................... 73

Determination of Significant Impacts ....................................... 77

Common System Nonconformances (CSN) .............................. 78

EMS Auditor ChecklistiQuestionnaire ...................................... 79

ISO 14001, 4.3.2-Legal and Other Requirements ......................... 79

Annex A.3.2-Legal and Other Requirements .......................... 82

Common System Nonconformances (CSN) .............................. 82

EMS Auditor ChecklistiQuestionnaire ...................................... 82

ISO 14001, 4.3.3-Objectives and Targets ...................................... 82

Annex A.3.3-Objectives and Targets ...................................... 82

Initial Design and Development ................................................ 84

Midstream .................................................................................. 85

After Completion of Achieving Targets .................................... 85

Common System Nonconformances (CSN) .............................. 86

EMS Auditor ChecklistiQuestionnaire ...................................... 87

ISO 14001, 4.3.4-Environmental Management

PrograIIlllle(s) ............................................................................ 8 7

Annex A.3.4-Environmental Management Programme(s) ..... 88
x THE ISO 14000 EM5 AUDIT H ANDBOOK
Common System Nonconformances (CSN) .............................. 90

EMS Auditor Checklist/Questionnaire ...................................... 90

ISO 14001, 4.4-Implementation and Operation ............................ 91

4.4.1-Structure and Responsibility .......................................... 91

Annex A.4.1-Structure and Responsibility ............................. 91

Common System Nonconformances (CSN) .............................. 96

EMS Auditor Checklist/Questionnaire ...................................... 96

ISO 1400 1, 4.4.2-Training, Awareness, and Competence ............. 97

Annex A.4.2-Training, Awareness, and Competence ............. 98

Common System Nonconformances (CSN) ............................ 100

EMS Auditor Checklist/Questionnaire .................................... 101

ISO 14001, 4.4.3-Communication .............................................. 101

Annex A.4.3-Communication ............................................... 102

Common System Nonconformances (CSN) ............................ 105

EMS Auditor Checklist/Questionnaire .................................... 106

ISO 14001, 4.4.4-Environmental Management System

Documentation ........................................................................ 106

Annex A.4.4-Environmental Documentation ....................... 106

Common System Nonconformances (CSN) ............................ 109

EMS Auditor Checklist/Questionnaire .................................... 109

ISO 1400 1, 4.4.5-Document Control .......................................... 109

Annex A.4.5-Document Control ........................................... 110

Flowchart Assessment Checklist ............................................. 113

Common System Nonconformances (CSN) ............................ 115

EMS Auditor Checklist/Questionnaire .................................... 116

ISO 1400 1, 4.4.6-Operational Control ........................................ 117

Annex A.4.6-Operational control .......................................... 117

Common System Nonconformances (CSN) ............................ 121

EMS Auditors Checklist/Questionnaire .................................. 121

ISO 14001, 4.4.7-Emergency Preparedness and Response ......... 122

Annex A.4.7-Emergency Preparedness and Response ......... 122

Common System Nonconformances (CSN) ............................ 126

EMS Auditors Checklist/Questionnaire .................................. 126

ISO 1400 1, 4.5-Checking and Corrective Action ........................ 127

ISO 14001, 4.5.1-Monitoring and Measurement ........................ 127

Annex A.5.l-Monitoring and Measurement ......................... 127

Common System Nonconformances (CSN) ............................ 131

EMS Auditor Checklist/Questionnaire .................................... 132
Table of C ontents xi
ISO 14001, 4.5.2-Nonconfonnance and Corrective and

Preventive Action .................................................................... 133

Annex A.5.2-Nonconfonnance and Corrective and

Preventive Action .............................................................. 133

Cornmon System Nonconfonnances (CSN) ............................ 138

EMS Auditors ChecklistlQuestionnaire .................................. 139

ISO 14001, 4.5.3-Records ........................................................... 140

Annex A.5.3-Records ............................................................ 140

Cornmon System Nonconfonnances (CSN) ............................ 143

EMS Auditors ChecklistlQuestionnaire .................................. 143

ISO 14001, 4.5.4-Environmental Management System

Audit ........................................................................................ 144

Annex A.5.4-Environmental Management System Audit .... 144

Cornmon System Nonconfonnances (CSN) ............................ 148

EMS Auditor ChecklistlQuestionnaire .................................... 149

ISO 14001, 4.6-Management Review ......................................... 149

Annex A.6-Management Review .......................................... 150

Cornmon System Nonconformances (CSN) ............................ 151

EMS Auditors ChecklistlQuestionnaire .................................. 152

6 THE A UDITED ORGANIZATION . .......................................... 155

Introduction .................................................................................... 155

Establishing Primary Contact ........................................................ 155

Company Personalities ................................................................... 157

The Escort ...................................................................................... 162

7 EMS AUDIT PLANNIN G . .......................................................... 165

Introduction .................................................................................... 165

EMS Audit Questionnaire .............................................................. 166

EMS Audit Questionnaire for ISO 1400 1 ...................................... 167

Review 170

Development of the EMS Audit Plan ............................................. 172

EMS Audit Plan ............................................................................. 172

Audit TeaIIl Coordination ............................................................... 175

Two-Person EMS Audit TeaIIl ....................................................... 176

Three-Person EMS Audit TeaIIl ..................................................... 177

Roles of the Lead Auditor-Planning ............................................ 178

Allocation of Resources, PersonneI, and Time .............................. 178

TransportationlA ccornmodations ................................................... 179