The ISO 14000 EMS Audit Handbook

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 Internat EMS Auditor -- Auditor Characteristics. -- Types of Auditors -- EMS Audit Objectives -- Key Differences-QMSIEMS Auditors -- QMSIEMS-Sharing a Common Basis -- lnsights for EMS Auditor Qualifications -- Key Considerations for EMS Audit Teams. -- 2 THE ISO 14000 SERIES AUDIT STANDARDS -- ISO 14010 Guidelines for Environmental Auditing: -- Principles. -- 4-Requirements for an Environmental Audit -- 5-General Principles. -- 5.1-0bjectives and Scope -- 5.2-0bjectivity, 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 Environmentaling: -- Procedures-Auditing of Environmental -- 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 -- 5.3.1-0pening Meeting. -- 5.3.2-Collecting Evidence -- 5.3.3-Audit Findings -- 5.3.4-C1osing Meeting -- 5.4-Audit Reports and Records -- 6-Audit Completion. -- ISO 14012 Guidelines for Environmental -- Qualification Criteria for Environmental Auditors -- Annex B (informative)--Environmental Auditor -- Body. -- 3 INITIAL ENVIRONMENTAL REVIEW (IER) -- GAP ANALYSIS. -- lntroduction -- Inside ISO 14004 EMS--General Guidelines on -- 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 -- 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 Po1icy. -- Common System Nonconformances (CSN). -- EMS Auditor Checklist/Questionnaire. -- ISO 14001-4.3 P1anning. -- 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--0bjectives and Targets -- Annex A.3.3--0bjectives and Targets. -- Initial Design and Development -- Midstream -- After Campletion of Achieving Targets. -- Common System Nonconformances (CSN). -- EMS Auditor Checklist/Questionnaire. -- ISO 14001, 4.3.4-Environmental -- Prograinllle(s) -- Annex A.3.4-Environmental Management Programme(s) -- Common System Nonconformances (CSN). -- EMS Auditor Checldist/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 Checldist/Questionnaire. -- ISO 14001, 4.4.2-Training, Awareness, and Competence. -- Annex A.4.2-Training, Awareness, and Competence. -- Common System Nonconformances (CSN) -- EMS Auditor Checldist/Questionnaire. -- ISO 14001, 4.4.3--Communication -- Annex A.4.3--Communication -- Common System Nonconformances (CSN) -- EMS Auditor Checldist/Questionnaire. -- ISO 14001, 4.4.4-Environmental Management -- Documentation -- Annex A.4.4-Environmental Documentation. -- Common System Nonconformances (CSN) -- EMS Auditor Checldist/Questionnaire. -- ISO 14001, 4.4.5-Document Control. -- Annex A.4.5-Document Control -- Flowchart Assessment Checklist -- Common System Nonconformances (CSN) -- EMS Auditor Checldist/Questionnaire. -- ISO 14001, 4.4.6-0perational Control. -- Annex A.4.6-0perational control. -- Common System Nonconformances (CSN) -- EMS Auditors Checldist/Questionnaire. -- ISO 14001, 4.4.7-Emergency Preparedness and Response -- Annex A.4.7-Emergency Preparedness and Response -- Common System Nonconformances (CSN) -- EMS Auditors Checldist/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 Checldist/Questionnaire. -- ISO 14001, 4.5.2-Nonconformance Corrective -- Preventive Action. -- Annex A.5.2-Nonconformance Corrective -- Preventive Action. -- Common System Nonconformances (CSN) -- EMS Auditors Checklist/Questionnaire. -- ISO01, 4.5.3-Records -- Annex A.5.3-Records. -- Common System Nonconformances (CSN) -- EMS Auditors Checklist/Questionnaire. -- ISO 14001, 4.5.4-Environmental Management -- 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 -- Deve1opment 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. -- lotemal 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 ss-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 '"firne-Wasters". -- Operational Verification and Assessments -- 11 TUE 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 -- 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 ENVIRONMENT AL -- ASSESSMENTS. -- Reasons for Conducting Environmental Audits -- Assessments. -- Role of Attomey. -- Regulatory Compliance Audits -- Environmental Legislation -- Clean Air Act. -- Clean Water Act and Safe Drinking Water Act -- Comprehensive Environrnental -- Compensation, and Liability Act. -- Superfund Amendments and Reauthorization Act -- Pollution Prevention Act -- Resource Conservation and Recovery Act. -- Toxic Substances Control Act -- Other Federal Environmental or Environmentally -- Legislation. -- Occupational Health and Safety Act -- Technology lmprovement Act. -- lncentives for Self-Policing, Discovery, -- 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, -- AND TRAINING -- EARA and the RAB -- Application Structure and Content -- Qualification Training. -- INDEX.