14001-ems-internal-auditor-training

7/29/2019 14001-EMS-Internal-Auditor-Training

http://slidepdf.com/reader/full/14001-ems-internal-auditor-training 1/52

ISO 14001

EMS - Internal AuditorTraining

- Half Day Overview -

Environmental Management Systems

Charlie [email protected]

(919) 515-4266

www.ies.ncsu.edu



2

Training Objectives

Obj #1 = Understand Auditing Terminology

Obj #2 = Learn about the steps in the auditprocess & associated responsibilities

Obj #3 = Understand how to change your auditapproach for different facility areas

Obj #4 = Start to develop audit interviewing skills

Obj #5 = Learn the essentials of audit write-ups(non-conformances)



3

Which 3 ISO 14001 elements - identifythe environmental issues to be

managed?

Element # ISO 14001 Element Title



Which ISO 14001 elements specifyactions to manage significant aspects?

Element # ISO 14001 Element Title



What ISO 14001 Elements call forManagement of Legal Issues

Element#

ISO 14001 ElementTitle

How are Legal IssuesManaged

4.2

4.3.2

4.3.2

4.5.2

4.3.2

4.3.3

4.6



The Official Definition of an EMS Audit

A systematic and documented verification

process of objectively obtaining andevaluating evidence to determinewhether an organization’s EMS conforms

to the EMS audit criteria, andcommunicating the results tomanagement.



What is an EMS Internal Audit (ISO14001:4.5.5)

1. Determine conformance against criteria:

• "Planned Arrangements" (EMS Programs

and Procedures)• "This international standard" (ISO 14001)

2. Determine if EMS has been “Properlyimplemented and maintained”

3. Provide Feed back on EMS to Management



What is Conformance ?

• Meeting Criteria (Requirements)

• For Example

Requirement Evidence of Conformance

Work Time

Arrival

Time Card

Oil ChangeFrequency

Receipts from Jiffy-Lube

Take VitaminEvery Day

Observation of Person TakingVitamin



9

What is Evidence ?

• Something that provesor demonstrates a truth

• Is verifiable (the same

evidence can becollected byindependent auditors)

• You can hold in yourhand (record)

• AUDITORs COLLECTEVIDENCE &EVALUATE IT FORCONFORMANCE



10

Exercise – What would be evidence ofimplementation of an ISO 14001 EMS ?

Element Measure of Implementation

4.2

Environmental

Policy

4.3.2Legal and Other

Requirements4.3.3

Targets,

Objectives and

Programs4.4.2

Competency,

Training and

Awareness

4.4.3Communication

4.4.6

Operational

Control4.4.7

Emergency

Preparedness &

Response(use form in “Exercises” tab)



11

Who is an Auditor

The person with the competence to conduct anAudit. Competence = 2 things:

1. Person with the personal attributes listed in19011 - 7.2 AND,

2. Person with the ability to apply the skills and

knowledge gained through education,training, work experience and auditexperience



12

Personal Attributes Exercise – (7.2of ISO 19011)

• Pick the 3 personal attributes that you feel

are the most important in being a goodEMS auditor

• (don’t need to tank them 1,2 & 3; just thetop 3)

(use form in “Exercises” tab)



13

What does an Auditor Need to know

1. Knowledge of the standard

2. Knowledge of the EMS being audited3. Knowledge of the process being

audited (can't audit what you don'tunderstand)



14

Terminology- Audit

ISO 19011 - 3.1

ISO 14001- 3.6

Criteria

19011- 3.2

19011- 6.2.2

Audit Evidence

19011 - 3.3

Auditee19011- 3.7

Auditor

19011- 3.8

Top Management9000 - 3.2.7

Audit Client

19011- 3.6

Scope19011- 3.13

19011- 6.2.2

Organization or person requesting audit

- EXAMPLE: Corporate Headquarters

- Verifiable information

- records, statement of fact or other info which are relevant to audit criteria and verifiable

-( Evidence is something you can hold in your hand )

Person or group of people who directs and controls an organization at the highest level- EXAMPLE: President, CEO, Plant Manager

- Systematic, independent and documented process for obtaining audit evidence, AND

evaluating objectively to determine the extent to which the audit criteria are fulfilled.

THE REQUIREMENTS (i.e., policies, procedures or requirements)

- Organization being audited

- Person with competence to conduct an audit (see item #4)

Location - departments where the audit will be conducted ( extent and boundaries of anaudit)

- EXAMPLE: Assembl Area



15

Terminology 2

Audit Objective

19011 - 5.2.1

14001 - 4.5.4

Audit Findings19011- 3.4

Audit Conclusion

19011- 3.5

Answer this question: Why are we conducting this audit ?

- EXAMPLE: To verify conformance with ISO 14001 and the EMS

- Outcome of an audit provided by the audit team after consideration of the audit

objectives and all audit findings.

- EXAMPLE: 6 Non Conformances and 5 Observations indicate the EMS has been

implemented, but not properly maintained

Results of the evaluation of the collected evidence against audit criteria



16

Terminology Exercise

# Type of Audit Audit Criteria Audit Scope Audit Objective Audit Client Auditee Audit Findings

Audit

Evidence

Audit

Conclusion

1 IRS audit of taxpayer

2

Haz Waste

Compliance Audit

3

Vehicle Inspection

Station Audit

4

Financial Audit of

Large Corporation

5

Sanitary Conditions

Audit of Restaurant

6

Energy Audit for

Compressor Leaks

7 Audit of a BankSecurity System

8

Audit of why a

policeman used a

gun

9

Building Construction

Specifications Audit




17

Types of Audits

1. 1st vs. 2nd & 3rd party (INTERNAL vs.

EXTERNAL )2. GAP Analysis vs. Audit

3. Compliance vs. EMS Audits (Compliancevs. Conformance )



18

Compliance vs Conformance

Meeting LegalRequirements

Meeting ISORequirements

Determined by

ComplianceEvaluation (4.5.2)

Determined by

Internal EMS Audit(4.5.5)

Which one are you being trained for today?

What is the Difference



19

What is the Difference ….EMS Audit Regulatory Audit

Audit Criteria

Audit Scope

Audit Frequency

Auditor Skills

Sensitivity of Audit

Report

(confidentiality,

etc)(use form in “Exercises” tab)

Ch G A l k t



20

Change Gears – A look atCommunications, Questions & Audits

C i ti Th Li t i M d l



21

Communication – The Listening Model

- A Step wise Approach -

1. Auditor speaks,

2. Auditee Listens and reacts

3. Auditor gages reaction (uncomfortable OR

comfortable), if uncomfortable go back to #14. Auditee achieves understanding & responds

5. Auditor achieves understanding & FullCommunication achieved

C i ti C t



22

Communication Components -

• Visual• Tones

• Words

- Try This: Go around the room and read thefollowing sentence. Each personemphasizes one of the bolded words

- (I did not tell your manager the report wasfinished)

What percentage of fullcommunication is made up

of visual, tones, words ?

N b l i ti



23

Non verbal communication

Type PositiveCommunications

NegativeCommunications

body posture

eye contact

facial

expressions

hand/armmovements

gestures

distance

dress or attire

Communication Feedback as a Tool



24

Communication – Feedback as a Tool

Try This: Read the following Auditor/Auditeescript using feedback to demonstrate Auditorunderstanding of Auditee’s answer

Auditor – Explain to me about Environmental

Targets.

Auditee - Environmental Targets are set by

upper management. We learn what they arewhen we aren't achieving them

Auditor – (Repeat the answer using slightlydifferent words)

Audit Teams and Team Dynamics



25

Audit Teams and Team Dynamics

• Individually -Take 5 minutes

(ONLY) to readand answer

questions about theAlbatross

• Count Up thenumber of answersthat are - True,

False OR Need-more-info

Lessons Learned from the Albatross?



26

Lessons Learned from the Albatross?

_____________ _____________

_____________ _____________

_____________ _____________

_____________ _____________ _____________ _____________

Change Gears The Audit Interview



27

Change Gears – The Audit Interview

• Auditor introductions• Discuss purpose of audit

• Discuss procedure

• Notes taken

• Reports will be issued

• Corrective actions may be implemented•Opening questions

•Tell me about your Job?• Policy, Emergency, Training Questions

•Leading questions (if needed)•Thank auditee

Good Opening Questions (1 of 2)



28

Good Opening Questions (1 of 2)

• Tell me about your job. How does it effect theenvironment?

• Are you aware of your company’s

Environmental Management System?

• Do you do your job any differently because of

the EMS?• What is your Environmental Policy.

• What does the Policy mean to you?

• Who do you talk to about environmentalissues

•Why is it important to follow the EMS?

Good Opening Questions (2of 2)



29

Good Opening Questions (2of 2)

• What kind of environmental training have youhad?

• If there’s a _____ (spill, fire, tornado, other

emergency), what do you do?

• What are the company’s most important

environmental issues?• What are your significant aspects?

• What EMS requirements apply to you?

•How do you know if something you do affectsthe environment

Auditing Questions – Do’s and Don’ts



30

Auditing Questions – Do s and Don ts

• Try Not to ask Yes or No Questions?• If you do, follow up the questions by

asking for proof (evidence)

• Use Broad, Open Ended Questions, such as• Describe to Me ..• Walk me through how you do this

• How do you ….• Show me …

• Keep the Burden of Proof on the auditee (don’t

give them the answer)•You may have to lead them if they don’t coverthe material

• i.e., Do you have any environmental workinstructions?

Two Basic Types of EMS Audits



31

Two Basic Types of EMS Audits

1. Auditing the Env. Management Representative(EMR Audits)

• NOTE: This is what takes place in a “DocumentReview” & a “Pre-Assessment”

2. Auditing Production Floor & Non-EHS

Personnel (Area Audits)

NOTE: If your company does audits by ISO14001 Element #, even on the plant floor – seeaudit checklist for plant floor (production)

personnel (see “Audit Checklists”)

EMR Audits (1 of 3)



32

EMR Audits (1 of 3)

The initial audit should start with the EMR- Determine if all the ISO 14001 “elements” have

been met (18 elements, 61 shalls, 12 procedures, 20

records or implied records)

- Allows auditor to become familiar with the EMSdocumentation system

- Allows the auditor to determine who, what, when &where to audit other EMS components

This starts with auditing the Level 1 and Level2 procedures and identifies other workinstructions to audit later

(see “Guidance”)

EMR Audits (2 of 3)



33

EMR Audits (2 of 3)

Level 1 Document Audit Level 1 Must Provide Direction to relatedDocs

All the promises should be measureable(make them live up to their language)

Level 2 Documents should be usable

Not too much fluff (don’t need to repeat

the standard, or Level 1 info)They should ID who does what.

If procedure is confusing to you …itsconfusing to others …

EMR Audits (3 of 3)



34

EMR Audits (3 of 3)

This is where most major NC's are found (notaddressing an ISO 14001 “shall statement”)

Questions can come from a prepared ISO14001 checklist (like what’s in your notebook &

on next slide)

However, the auditor needs to collectevidence of conformance – not just answers toquestions

Example of EMR Audit Checklist



35

Example of EMR Audit ChecklistSection 4.3.3 -- Objective s and Targets

4.3.3-1 Does the organization have documented objectives and targets?

4.3.3-2 Are the objectives a nd targe ts e s tablished a t each relevant function and level within

the organization?

4.3.3-3 Are targets a re quantified where practicable and do targets provide detailed

performance requireme nts tha t need to be s et and me t in order to achieve the

objectives

4.3.3-4 Is progres s that is ma de objectives and targets - tracked and monitored? (Are

objectives and targets ma inta ined and reviewed? )

4.3.3-5 Did the procedure / proces s use d by the organization to es tablish a nd maintain its

objectives - cons ide r:- S ignificant environme ntal as pects;

- Legal and other requirements;

- Technological options ;

- Financial, operational and business requirements;

- Views of interested parties?

4.3.3-6 Are the objec tives and targets cons is tent with the environmental policy -- including

the commitment to prevention of pollution?

4.3.3-7 Are the objec tives and targets cons is tent with the environmental policy -- including

the commitment to compliance with lega l and other requirements & continua l

improvement ?

4.3.3-8 Has the organization es tablished program(s) for achieving its objectives a nd

targets?

4.3.3-9 Does the program include a des igna tion of res pons ibility for achieving objec tives

and targe ts a t ea ch re levant function a nd level of the organization?

EXERCISE: Audit the EMR for one Element !!

(use form in “Checklist” tab)

Area Audits – Identifying the Requirements



36

ea ud ts de t y g t e equ e e ts

An Auditor Needs to be Familiar with the Areahe/she will be auditing

• Find out what happens in that area• Significant aspects?

• Targets/objectives?

• Training was done?

• Operational controls?

• Contractors in the area?

• Tracking key characteristics?

• Emergency response responsibilities

Area Audits – Identifying the Requirements

EF-13B Area Audits - Coming Up to Speed



37

SignificantEnvironmental

Aspect(s)Targets /

Objectives

Required

Environmental

Training

Operational

Controls (Work

Instructions)

Environmental

Contractors or

Suppliers Work

in this area

Key

Responsibilities

in Emergency

Response

Monitoring

Environmental

Performance

(Key

Characteristics)

Area of Plant/ Point of

Contact#

EMS Requirements

(use form in “Audit Forms” tab)

Area Audits – Create a Requirements Checklist



38

q


Area Audits – The Audit Interview



39

• Start w/ Introductions, Purpose, etc• Use “Opening Questions” to start Area Audit

• Make sure you cover the EMS “requirements”• Remember to Sample for “Evidence” (show methat report, can I see that container, etc)

- This is where you get the verifiable evidencesuch as looking at records !!

Exercise -

Auditing Exercise - Review Form



40

Mock Area

Audit

Rating Notes and Comments

The Auditor introduced self to Auditee

The Auditor informed the auditee that Notes

would be taken during the audit

The Auditor explained the purpose of the audit

Questions were short and to the point

The Auditor used open ended questions

(Who, What , Why, When, where, how)

The Auditor asked probing questions beyond

the prepared checklist

The Auditor maintained control over theinterview

The Auditor displayed a positive attitude

The Auditor complemented the auditee ongood things

Rating Scale: 5 = Great, 4 = Good, 3 = OK, 2 = Needs Improvement, 1 = Update resume

Auditor Introduction

Question Techniques

Other

Audit the Work Instructionfrom Previous Exercise

Use Your Area Audit Forms:• EMS Requirements• Checklist

Each Student plays theseroles:Student #1 = AuditorStudent #2 – AuditeeStudent #3 = Reviewer

(change roles so thateveryone gets to play)

•Remember – Need to askfor evidence (records, etc)


Change Gears – A look at Audit



41

Procedures & Programs

- The Audit Program - ISO 19011



42

ISO 19011 -

Applicability

ISO 19011- Section

4 - Auditor Principles

Other 19011

Clauses

- Guidance Only

- Covers all audits (compliance, quality, EMS, etc)

- Good section on definitions (augments 14001, ISO 9000)

- Covers 1) Internal & Registration Audits, but primarily is used for registration type

auditors (especially competence of auditors)

- Section 5 - Managing Programs, summarized in Figure 1 in ISO 19011

- Section 6 Audit Activities , summarized in Figure in ISO 19011

- Section 7 - Auditor Competence

- ethical conduct

- Fair presentation- Due Professional Care

- Independence

- Evidence based Approach

NOTE : Auditors can be removed from an audit team if any of the above principles are

compromised (ISO 19011 excerpt)

A guidance Standard for conducting Qualityand EMS Audits

Can be purchased at www.asq.org

Steps in Auditing



43

Step 1: Notification & Document Request (Levels1-3)

Step 2: Level 1 & Level 2 Document Review

Step 3: Develop Daily Schedule / Responsibilities

Step 4: Auditor Homework – Develop Area

Checklist and Familiarity with theprocesses, aspects, etc

Step 5: Conduct Opening meetingStep 6: EMR Audit

Step 7: Area Audits

Step 8: Audit Write-ups

Meetings



44

1. Introductions(credentials, etc)

2. Sign in at Roster3. Explain Scope

4. Explain Standard

5. Explain Objective (thisis not a compliance audit)

6. Confirm Audit InterviewSchedule

7. Discuss ConfidentialityIssues

8. Promote auditee

participation9. Go over H & Srequirements

Example Opening Meeting Agenda

EXERCISE – Conduct an Opening Meeting (useabove agenda):- EMR Audit

- Area Audits (Waste Handling or Treatment Area)- Area Audit (On-Site Contractor - Waste Disposal Vendor)

What makes up - your Audit Program ?



45

What is your audit Procedure ?

• Calendar Schedule• Which Elements are audited• Which Departments or Areas are Audited

• What is the process

• Opening Meetings ?• Who has lead Auditor responsibilities• Other Responsibilities

• Which Forms are Used• Reports Issued ? Distribution of Reports ?• What about Corrective Actions?

• READ THE COMPANY AUDIT PROCEDURE

Sampling



46

- When to Sample- What factors affect Sample Size- Type of Sample (Targeted Sample vs.

Random Sample)-When to collect More Samples

-EXAMPLE: How many employees do youask about the policy - in order to determine if“policy has been communicated”:- Company Size is 100- 2 Shifts- 6 Departments- Evidence of shoddy training

- Evidence of Both Conformance/Non Conf.

Findings Write-ups: What you need.



47

Finding

Criteria

EvidenceEvaluation

THE FINDING TRIANGLE

What's a Non-Conformance



48

Types of Non

Conformances

Reasons for NonConformances

- Major Nonconformance = missing element / system breakdown / sinking boat / high

impact on environment- Minor Non-Conformance = deviation from procedure / small hole in boat / minor impact

to environment

- Observation = No responses required / opportunity for improvement

- Lack of Evidence- Missing ISO 14001 Element

- Not Following EMS Procedure

Exercise – Major or Minor Non Conformance (pg 16)

Exercise - Write Up Audit Findings (pg 15)

Exercise – Non Conformance Report (pg 17-19)

(use forms in “Exercises” tab)

Corrective and Preventive Actions



49

- Correction:(9000-3.6.6) = Action to eliminate a detected nonconformity (simple human

error)

- Corrective Action:(9000-3.6.5) = Action to eliminate the cause of a detected

nonconformity- Preventive Action:(9000-3.6.4) = Action to eliminate the cause of a potential

nonconformity

Continual Improvement - recurring activity to increase the ability to fulfill requirements

Components of an Effective CA System-

- Effective Root Cause Analysis (FMEAs, 8D method, 5 why, etc.)

- Escalating CA review cycle

Exercise – Correction, Corrective Action, orPreventive Action (pg 20)


Certified Auditors (Not Internal Auditors)



50

Types of AuditorCertification

Scope and Grades

of Auditors

Qualification

Categories forCertified Auditors

Contact Info forRegistrars and

Certified Auditors

For auditors & training bodiesRAB QSA International

http://www.rabqsa.com/per_enviro.shtml

- Qualifications Based (Non-Accredited)- Competency Based (Accredited)

QUALIFICATION BASED AUDITORS

Knowledge Competencies (Training)Audit Experience

Work Experience

Verification of Personal Attributes

COMPETENCY BASED AUDITORS

Knowledge CompetenciesSkill Competencies (Witnessed Audit)

Work Experience

Personal Attributes (Exam)

GRADES OF AUDITORS

- EMS Associate - AA

- EMS Auditor - A- EMS Principal - PR

- EMS Lead - LA

- EMS Business Improvement - BI

For registrars, certification bodies:ANSI-ASQ National Accreditation Board

http://www.anab.org/

SCOPE OF AUDITORS

Environmental Management

Environmental Management SystemSite Contamination Assessment

Environmental Report Verification

Compliance Audit

Pitfalls to Avoid



51

• Avoiding Internal Auditing altogether

“We’re not ready” syndrome

• Not Auditing Top Management (“put-em tothe test”)

• Auditing using checklist questions that theauditor doesn’t understand

(Understand ISO 14001 and Your Own EMS

documentation)

• Auditing to the standard only and not

including company documents (they may bemore specific than the standard)

Time for the Test ?????



52

Easy Test:

- 30 Min- Review answers after- Grade your own paper