The ISO 14000 EMS audit handbook

Description

Cover Title Page Copyright Page Dedication Table of Contents Preface 1 Introduction to EMS Audits What Is an Environmental Management System? The EMS Movement Development of the International EMS Standard Introduction to EMS Audits Quality Systems Auditors (QSA) Environmental Compliance Auditors (ECA) Management Key Definitions Key Acronyms Training the Internal EMS Auditor Auditor Characteristics Types of Auditors EMS Audit Objectives Key Differences—QMS/EMS Auditors QMS/EMS—Sharing a Common Basis Insights for EMS Auditor Qualifications Key Considerations for EMS Audit Teams 2 The ISO 14000 Series Audit Standards ISO 14010 Guidelines for Environmental Auditing: General Principles 4-Requirements for an Environmental Audit 5-General Principles 5.1-Objectives and Scope 5.2-Objectivity, lndependence, and Competence 5.3-Due Professional Care 5.4-Systematic Procedures 5.5-Audit Criteria, Evidence, and Findings 5.6-Reliability of Audit Findings and Conclusions ISO 14011 Guidelines for Environmental Auditing: Audit Procedures—Auditing of Environmental Management Systems 4-EMS Audit Objectives, Roles, and Responsibilities 4.1-Audit Objectives 4.2-Roles, Responsibilities, and Activities 4.2.1-Lead Auditor 4.2.4-Client 4.2.5-Auditee 5-Auditing 5.3-Executing the Audit 5.3.1-Opening Meeting 5.3.2-Collecting Evidence 5.3.3-Audit Findings 5.3.4-Closing Meeting 5.4-Audit Reports and Records 6-Audit Completion ISO 14012 Guidelines for Environmental Auditing—Qualification Criteria for Environmental Auditors Annex B (informative)—Environmental Auditor Registration Body 3 Initial Environmental Review (IER) and Gap Analysis lntroduction Inside ISO 14004 EMS—General Guidelines on Principles, Systems, and Supporting Techniques Key Principles for Management Benefits of an EMS EMS Principles and Elements Initial Environmental Review (IER) 4.1.3-Initial Environmental Review Practical Help—Initial Environmental Review Practical Help—Environmental Policy 4 EMS Audit Programme Design Introduction Activities and Areas to Be Considered in Audits The Frequency of Audits Responsibilities Associated with Managing and Conducting Audits ISO 14001 4.5.4, EMS Audit Communications of Audit Findings Auditor Competence How Audits Will Be Conducted 5 ISO 14001 Interpretation for Audit ISO Through Use Interpretation Annex A—Guidance on the Use of the Specification Common System Nonconformances (CSN) Links Between ISO 9001 and ISO 14001 Standards EMS Auditor Checklist/Questionnaire Understanding the Universal Audit Checklist (UAC) Universal Audit Checklist ISO 14001 Interpretation for Audit Annex A.2—Environmental Policy for Guidance on Use ISO 14001, 4.2—Environmental Policy Common System Nonconformances (CSN) EMS Auditor Checklist/Questionnaire ISO 14001—4.3 Planning Annex A.3.1—Environmental Aspects Determination of Significant Impacts Common System Nonconformances (CSN) EMS Auditor Checklist/Questionnaire ISO 14001, 4.3.2—Legal and Other Requirements Annex A.3.2—Legal and Other Requirements Common System Nonconformances (CSN) EMS Auditor Checklist/Questionnaire ISO 14001, 4.3.3—Objectives and Targets Annex A.3.3—Objectives and Targets Initial Design and Development Midstream After Completion of Achieving Targets Common System Nonconformances (CSN) EMS Auditor Checklist/Questionnaire ISO 14001, 4.3.4—Environmental Management Programme(s) Annex A.3.4—Environmental Management Programme(s) Common System Nonconformances (CSN) EMS Auditor Checklist/Questionnaire ISO 14001, 4.4—Implementation and Operation 4.4.1—Structure and Responsibility Annex A.4.1—Structure and Responsibility Common System Nonconformances (CSN) EMS Auditor Checklist/Questionnaire ISO 14001, 4.4.2—Training, Awareness, and Competence Annex A.4.2—Training, Awareness, and Competence Common System Nonconformances (CSN) EMS Auditor Checklist/Questionnaire ISO 14001, 4.4.3—Communication Annex A.4.3—Communication Common System Nonconformances (CSN) EMS Auditor Checklist/Questionnaire ISO 14001, 4.4.4—Environmental Management System Documentation Annex A.4.4—Environmental Documentation Common System Nonconformances (CSN) EMS Auditor Checklist/Questionnaire ISO 14001, 4.4.5—Document Control Annex A.4.5—Document Control Flowchart Assessment Checklist Common System Nonconformances (CSN) EMS Auditor Checklist/Questionnaire ISO 14001, 4.4.6—Operational Control Annex A.4.6—Operational control Common System Nonconformances (CSN) EMS Auditors Checklist/Questionnaire ISO 14001, 4.4.7—Emergency Preparedness and Response Annex A.4.7—Emergency Preparedness and Response Common System Nonconformances (CSN) EMS Auditors Checklist/Questionnaire ISO 14001, 4.5—Checking and Corrective Action ISO 14001, 4.5.1—Monitoring and Measurement Annex A.5.1—Monitoring and Measurement Common System Nonconformances (CSN) EMS Auditor Checklist/Questionnaire ISO 14001, 4.5.2—Nonconformance and Corrective and Preventive Action Annex A.5.2—Nonconformance and Corrective and Preventive Action Common System Nonconformances (CSN) EMS Auditors Checklist/Questionnaire ISO 14001, 4.5.3—Records Annex A.5.3—Records Common System Nonconformances (CSN) EMS Auditors Checklist/Questionnaire ISO 14001, 4.5.4—Environmental Management System Audit Annex A.5.4—Environmental Management System Audit Common System Nonconformances (CSN) EMS Auditor Checklist/Questionnaire ISO 14001, 4.6—Management Review Annex A.6—Management Review Common System Nonconformances (CSN) EMS Auditors Checklist/Questionnaire 6 The Audited Organization Introduction Establishing Primary Contact Company Personalities The Escort 7 EMS Audit Planning Introduction EMS Audit Questionnaire EMS Audit Questionnaire for ISO 14001 Review Development of the EMS Audit Plan EMS Audit Plan Audit Team Coordination Two-Person EMS Audit Team Three-Person EMS Audit Team Roles of the Lead Auditor—Planning Allocation of Resources, Personnel, and Time Transportation/Accommodations 8 Scheduling the Audit Auditee Notification Externat Audit Notification Internal Audit Notification EMS Audit Schedule(s) Selection Criteria Priorities Availability Travel and Lodging Assignments Discussion Priorities Protocols Surprise Audits Daily Agendas/Activities Personal Time Transportation and Accommodations Auditee Representation Multiple Shift Operations Coordination Change Control 9 The Pre-Audit Conference The Arrival Introductions Guide for the Pre-Audit Conference Facility Tour Coordinations Escorts Availability of Key Personnel Documents Change Control Agenda Change Control Auditee Statements Daily Debriefings Management Recognitions Team Chairperson Coordination 10 The EMS Audit Philosophy and Techniques Phase I—Audit Venues Phase II—Steps Communications Sampling Team Chairperson's Responsibilities Lead the Team Lead the Arrival Conference Represent the Team Make Final Decision Stay Advised Supervise and Coordinate Leader and Team Player Take Charge Decision Maker Firm but Fair Extraordinary Knowledge Express Self Review and Determine Write Effectively Associate EMS Auditors Words to Challenge Questioning Techniques Documents Review—Availability Data Collection and Review Categorizing Deficiencies Flowchart Assessment and Auditor Checklist Standard Assessment Questions Auditor/Auditee Interfacing Data to Record The Classic "Time-Wasters" Operational Verification and Assessments 11 The Post-Audit Conference Chairperson Guide for Conducting Exit Interview Attendance Lists Auditee Comments/Reaction—Disclaimers Clause Confidentialities Communication Skills Presentation Methods The Conference Room Report Distribution Follow-up Corrective Action Direction 12 EMS Audit Reporting Data to Record EMS Audit Report Form Reporting Examples Summary Report Third-Party Summary Report Report Response Environrnental Communications Memo Confidentialities Corrective/Preventive Action Reply Types of Reports Words to Avoid Challengeable/Nonchallengeable Reports—Recommendations Distribution 13 Follow-Up Audit and Close-Out Audit Report Collection Document/Procedure Assessment Change Control Verification Obsolete Document Controls Corrective Action Preventive Action Verification/Validation of Change Follow-up Audits Reporting Close-out Follow-on Assessments Training/Qualification for Change 14 Supportive Environmental Audits and Assessments Reasons for Conducting Environmental Audits and Assessments Role of Attorney Regulatory Compliance Audits Environmental Legislation Clean Air Act Clean Water Act and Safe Drinking Water Act Comprehensive Environmental Response, Compensation, and Liability Act Pollution Prevention Act Resource Conservation and Recovery Act Toxic Substances Control Act Other Federal Environmental or Environmentally Related Legislation Occupational Health and Safety Act Technology lmprovement Act lncentives for Self-Policing, Discovery, Disclosure, Correction, and Prevention of Violations Conformity Assessment Management Reviews Initial Reviews Life-Cycle Assessment (LCA) Environmental Performance Evaluations (EPE) Environmental Site Assessments (ESA) Risk Assessment 15 EMS Auditor Qualification, Certification, and Training EARA and the RAB Application Structure and Content Qualification Training Index