AUDITING ISO 14001

Siarhei Darozhka Belarusan National Technical University, Minsk

Lead Environmental Auditor

Borki-Molo, BUP EM Course Teachers Conference, 29.06.2006

ISO 14001 – Standard of the Environmental Management

Based on Deming's management cycle Origin: British standard BS 7750 The international applied standard ISO 14001 – only standard is audited ISO 14001 development – versions1996/2004 Connected with other ISO 14000 group

standards

Which issues must be audited?

All standard requirements (17 clauses)

Scope of audit (site location and full/separate processes)

All types of organizations can be audited

Discussed issue: Integration with ISO 9001 and ISO 18001

Schedule of Auditing

Certification audit process: - the period of certificate validity - 3 years - surveillance audit must be done every year - corrective actions request - reporting (incl. non-conformances,

opportunities for improvement, observation, repeat findings)

Certification can be done by accredited body and must be registered (e.g. DAR, UKAS…)

Internal Audit

Required by ISO 14001:2004 standard (4.5.5) Done by internal qualificated group or

contractual organisation Evaluation of compliance with legislation and

standard requirements Corrective actions requests Reporting to top-management

Points to Pay Attention

Compliance with legislation (confirmation of legal status of activity – e.g. having positive conclusion of environmental expertise)

Confirmation of wide implementation of Pollution Prevention principle

Having real positive results from EMS – Continual Improvement

How to indicate improvement?

Environmental Performance Indicators (water, energy consumption, emissions to the air, discharged water conditions, etc.)

IMPORTANT: Organisation must establish its own list of indicators and quantitive levels for them for demonstration compliance with improvement

Example: The Coca-Cola Environmental

Key Performance Indicators (KPI’s)

Materials (sugar, metal, paper, cardboard, wood, ton/unit)

Energy – direct and indirect (electricity, fuel, natural gas, MJ/unit)

Water (used, recycled, liters/unit) Emissions, effluents and waste Compliance (incident and fines, cases) Transport (fuel consumption, l/unit)

Example: The Coca- Cola KPI’s

RUB-EN-R-321.1 F 1

PLANT ENVIRONMENTAL REPORT

ЗАВОД:

ЭКОЛОГИЧЕСКИЕ ПОКАЗАТЕЛИ октябрь ноябрь декабрь 4 кварталВСЕГОЦелевой

показатель

1 0,0000 0,0000 0,0000 0,0000 47,0 45

2 122,6122 83,5163 105,2151 102,2469 65,4 65

3 1,244 0,916 0,486 0,708 0,65 0,8

4 4,6364 2,4143 1,4587 2,1730 3,14 3

5 38,5934 23,1573 9,4815 17,2825 14,93 15

6 2,6664 2,3442 0,5706 1,3338 1,72 1,5

7 0,0000 0,0000 0,0000 0,0000 0,0000 0

8 7% 10% 6% 8% 12% 10%

9 1 606,99 637,64 111,14 478,48 600 600

КОЛИЧЕСТВО ВТОРИЧНО ПЕРЕРАБАТЫВАЕМЫХ ОТХОДОВ Г/ Л НАПИТКА

% УТИЛИЗОВАННЫХ И ВТОРИЧНО ИСПОЛЬЗУЕМЫХ ОТХОДОВ ОТ ОБЩЕГО КОЛ-ВА

КОЛИЧЕСТВО ОРГАНИКИ В СТОЧНЫХ ВОДАХ МГ/ ЛИТР НАПИТКА

ПОТРЕБЛЕНИЕ ВОДЫ Л/ ЛИТР НАПИТКА

ОТХОДЫ, ИХ УТИЛИЗАЦИЯ И ВТОРИЧНОЕ ИСПОЛЬЗОВАНИЕОБЩЕЕ КОЛИЧЕСТВО ТВЕРДЫХ ОТХОДОВ Г/ ЛИТР НАПИТКА

КОЛИЧЕСТВО УТИЛИЗОВАННЫХ ТВЕРДЫХ ОТХОДОВ Г/ Л НАПИТКА

ПОТРЕБЛЕНИЕПОТРЕБЛЕНИЕ ОБОРОТНОЙ УПАКОВКИ Г/ ЛИТР НАПИТКА

ПОТРЕБЛЕНИЕ НЕОБОРОТНОЙ УПАКОВКИ Г/ ЛИТР НАПИТКА

ПОТРЕБЛЕНИЕ ЭНЕРГИИ МДЖ/ ЛИТР НАПИТКА

The Main Issues During Auditing Process

Environmental Policy Compliance with legislation (Laws) and evaluation of

compliance (incl. own requirements) Correct recognizing of environmental aspects and its

significance Establishing objectives, targets and environmental

programmes based on significant aspects EMS documentation, work documentation, operational

procedures Emergency situations preparedness Internal audit, preventive and corrective actions Management review

Some auditing methods

Plant tour Observation and evaluation of existing environmental

performance Interviewing (studying of practice and mindset) Documentation revision (clarifying of common

understanding of procedures) Job records Questionnaires, matrix

Example: Coca-Cola Bottlers audit

questionnaire

REQUIREMENTS OK NOK COMMENTS 3.2.1 Environmental Policy Top management has issued an Environmental Policy, mission statement or other written expression of management commitment to preserve and protect the environment.

When establishing the Policy Statement, top management has ensured it: a) Is appropriate to the nature, scale and environmental impacts of its activities, products or

services; b) Includes a commitment to continual improvement, effectively utilizing resources and preventing

pollution; c) Includes a commitment to comply with relevant legislation and regulations, and with other

requirements to which the organization subscribes; d) Provides a framework for establishing and reviewing key environmental objectives and targets; e) Is documented, implemented, maintained, communicated and understood within the organization; f) Is available to persons working on behalf of the organization, the public and other interested

parties..

3.2.2 Environmental Management Programs Top management has established, implements and maintains programs for achieving its objectives and targets.

Those programs include: a) Designation of responsibility for achieving objectives and targets at each relevant function and

level of the organization; b) The means and timeframe by which they are to be achieved. If a project relates to new

developments and new or modified activities, products or services, program(s) are amended where relevant to ensure that environmental management applies to such projects;

c) Periodic reviews of the program performance; d) Mechanisms to encourage and support opportunities for associate participation in the

development, implementation and improvement of the environmental programs.

Employees understand and incorporate applicable programs into daily work practices.

3.2 Management Responsibility

TCCQS Ev 3 - The Environmental Management System Requirements – Global Audit Program

Some requirements for Auditors

Audits must be done by qualificated group of auditors (in the field of audit)

Professionally (knowledge and skills in the branch)

Correctly (auditor – auditee relations) Ability to achieve the aims of audit

Remember: Our students are going to get both position – as auditor or as auditee

Thank you for attention!