1. Climate Plus Sdn Bhd (805925-K)
H-40-1A, Jalan Prima Saujana 2D,
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UNIVERSITI PUTRA MALAYSIA EMS Internal Audit Workshop 3 April am – 5.00pm
Facilitator : Hafriazhar Mohd. Mokhtar
Mobile :

2. Delegations: Qualified Internal Auditor In ISO 14001:2004 EMS (Ref
Delegations: Qualified Internal Auditor In ISO 14001:2004 EMS (Ref.: UPM/ISO-EMS/P004; Semakan 00; Isu 01; 15/7/2013)
OBJECTIVES:
TO PROVIDE INTERNAL AUDITORS WITH IMPROVED KNOWLEDGE AND TOOLS TO BE ABLE TO AUDIT AN IS ENVIRONMENTAL MANAGEMENT SYSTEM (EMS) SUFFICIENTLY.

3. Agenda Overview: Auditing IS0 14001 Framework EMS Principles
EMS Internal Auditing

4. Auditing

5. What is auditing? Auditing Audit definition UNI EN ISO 19011 Ed. 2003:
“Systematic, independent and documented process for obtaining audit evidence and evaluate objectively, in order to determine the extent to which audit criteria are fulfilled”.
Objectives of an Audit:
To achieve confidential knowledge of the conformity of the applied system by the organization that is object of evaluation, respecting the environment and conformity legislation.

6. Who do the audit? Auditing Auditor definition:
“Person with the competence to conduct an audit”
(ISO 9000: )
Audit team:
Also called a verification group, composed of an Audit Team Leader (Lead Auditor) as person in charge and assigned with a role of guidance of team member and reporting to auditee.
In addition to this role, the team may also be composed of other figures identified as: audit team member (auditor), technical expert and observer.

7. Types of Audit Auditing
Internal audits (or first party) carried out with the aim of verification of the accomplishment and effectiveness of the systems or some important aspects, like: particular operations, products and services, departments or functions of an organization.
External audit (second party) audits carried out by an organization on its supplier/contractor (Client-Supplier relationship) using, in this case too, either internal personnel, usually an inter-functional team, or external society is entrusted with doing it.
Certification audit (third party) independent of an organization, that has an aim release of the certificate of conformity with the requirements taken as a reference, that may be management systems.

8. Auditing Scope of an audit:
Audits carried out in an organisation, (they can be of the 1st, 2nd or 3rd party), have as a main scope judgement, through sample method, of the conformity of the implemented management system with the established requirements

9. ISO Framework

10. ISO Framework
HERE WE ARE!

11. EMS Principles

12. EMS Principles ISO 14001 promotes these values:
Think prevention before cure or correction
Environmental performance is everyone’s responsibility
Improving awareness and understanding helps to improve performance
Top Management must lead by example
Environmental management is risk management
Continual improvements never ends
In a system, everything depends on everything else (so does everyone)

13. EMS Principles So what is ISO 14001 about?
It is a management framework to raise awareness and institute actions throughout the organization
That makes environmental care a natural part of everyone's job
In time, it develops an environmental culture just like the safety culture
Everyone can do it naturally because it makes sense, and is a benefit to each individual as well as to the organization

14. EMS Principles But what is the different between ISO 14001 and 9001?
Boss to staff:
“We’d like to develop your leadership skills so we are putting you in charge of the ISO project”

15. Similarities between ISO 9001 and ISO 14001:
EMS Principles
Similarities between ISO 9001 and ISO 14001:
ISO 9001
ISO 14001
Quality Policy
Organization
Management Representative
Training
Document and Data Control
Quality System Procedures, Contract Review, Design Control, Purchasing, Process Control, Handling, Storage, Packaging, Preservation and Delivery, Servicing
Inspection and Testing, Control of Inspection, Measuring and Test Equipment
Corrective and Preventive Action
Control of Quality Records
Internal Quality Audits
Management Review
Environmental Policy
Resources, Roles, Responsibility and Authority
Competence, Training and Awareness
Document Control
Operational Control
Monitoring and Measurement
Non-Conformance and Corrective and Preventive Action
Records
Environmental Management System Audits
Management Review

16. EMS Principles The ISO 14001 EMS Model 4.2 Define Policy
4.5.1 Monitoring & Measurement
4.5.2 Preventive & Corrective Action
4.5.3 Records
4.5.4 EMS Audit
4.4.1 Resources, Roles,
responsibility and authority
4.4.2 Competence, Training &
Awareness
4.4.3 Communication
4.4.4 Documentation
4.4.5 Document Control
4.4.6 Operational Control
4.4.7 Emergency Preparedness
4.2 Define Policy
4.3.1 Identify Aspects
4.3.2 Legal Requirements
4.3.3 Identify Objectives
Targets and Programs
4.4 Implementation
and Operation
4.5 Checking
4.6 Management Review
3.2 Continual Improvement
3.18 Prevention of Pollution
Products,
Services, and
Activities

17. EMS Principles – The Standards Requirements
4.1 General Requirements
4.2 Environmental Policy
4.3 Planning
Environmental aspects
Legal and other requirements
Objectives, Targets and Programs
4.4. Implementation and Operation
Resources, Roles, Responsibilities and Authority
Competence, Training and Awareness
Communication
Documentation
Controls of documents
Operational control
Emergency Preparedness and Response
4.5 Checking
Monitoring and Measurement
Evaluation of compliance
Nonconformity, Corrective action and Preventive action
Control of records
Internal audit
4.6. Management Review

18. General Requirements EMS Principles
Establish, document, implement, maintain and continually improve (EDIMC) EMS
In accordance with ISO 14001:2004
Determine how the EDIMC fulfill ISO :2004 requirements
Define and document the scope of EMS

19. “Teaching and Learning”
EMS Principles
Our Scopes?
“Teaching and Learning”

20. Environmental Policy EMS Principles
Management
Review
Implementation
and Operation
Checking
Planning
The environmental policy describes the organization’s overall approach and intentions.
Is the Keystone upon which the entire EMS is constructed.
NOT A PUBLIC RELATIONS DOCUMENT

21. Policy Requirements EMS Principles
To meet ISO requirements, the policy must:
Be appropriate to the nature, scale, and environmental impacts of the organization activities and goods produced.
Include a commitment to continual improvement and prevention of pollution.
Include a commitment to comply with applicable legal requirements and other requirements to which organization subscribes.
Provides the framework for setting and reviewing environmental objectives and targets.
Be documented, implemented and maintained, and communicated to all employees (also persons working on behalf)
Be available to the public.

22. Planning EMS Principles S.M.A.R.T. Environmental Aspects.
Policy
Management
Review
Implementation
and Operation
Checking
Planning
Environmental Aspects.
Legal and Other Requirements.
Objectives, Targets and Program(s).
S.M.A.R.T.

23. Environmental Aspects
EMS Principles
Planning
Determine
Significant
Environmental
Aspects
Identify
Environmental Aspects
Teaching
&
Learning
Activities,
Products
Services
Develop
Establish
Environmental
Objectives
Management
and
Programs
Targets
Determine Legal and Other
Requirements

24. Activities, Products and Services
EMS Principles
Activities, Products and Services
What to consider within described & defined scope of the EMS?
Consider mission – what ‘facility’ is designed to do e.g. lecture halls, labs, and… etc.?
Consider activities that support the mission e.g. lectures, lab experiments and… etc.?
Consider actions that are both regulated (controlled) and not regulated (not controlled) e.g. commuting to work/lectures

25. Aspects and Impacts EMS Principles
Identify environmental aspects of activities products and services within defined scope of EMS that can be controlled and over which can be influenced taking into account planned or new developments, or new or modified activities, products and services”
Aspects: Element of an organization's activities, products or services that can interact with the environment.
Impacts: Any change to the environment, whether adverse or beneficial, wholly or partially resulting from an organization's activities, products or services

26. EMS Principles
Aspects and Impacts
Activitys vs Aspects vs Impacts

27. Aspects and Impacts EMS Principles
Content Requirements of Environmental Aspects
understand how organization interacts with the environment
control versus influence
arrive at a list of significant environmental aspects based upon impacts
develop a procedure to support this three step decision making process

28. Either adversely or beneficially!
EMS Principles
Everyone & Everything Impacts The Environment
Either adversely or beneficially!

29. Environmental receptors:
EMS Principles
Environmental receptors:
People (public)
Public nuisance
Natural Resources
Consumption of non-renewable resources
Land/Soil
Soil excavation, erosion, solid contamination
Water
River water contamination, wastewater discharge
Air
Emissions of heat, particulates, GHG
, GST?!

30. Determine Significant Aspects
EMS Principles
Determine Significant Aspects
The process of arriving at a list of Significant Environmental Aspects must be a reasonable and understandable procedure be based upon the following criteria:
perceived risk(human health vs. ecosystem);
impact analysis (internal, local, regional, global);
probability of occurrence
direct or indirect control;
regulated or non-regulated;
resource utilization;
community interest;
etc.
Consider normal, unique, and emergency conditions
Where do opportunities exist for improvement?

31. Legal and Other Requirements
EMS Principles
Legal and Other Requirements
Identify legal requirements that apply to a facility’s activities – use audit guides or protocols
Identify other requirements that apply including corporate policies, Executive Orders (public organizations), facility initiatives or voluntary practices
ISO does not require documentation for the Legal and Other Requirements section (4.3.2). However, the only practical way to demonstrate conformance is to assemble in one place a list and copies of each applicable environmental law, regulation and voluntary subscription along with the supporting permits and/or contracts as evidence.

32. Objectives and Targets
EMS Principles
Objectives and Targets
Consider “legal and other requirements”
Consider significant aspects
Reflect corporate policies
Reflect financial and technical limitations
Reflect “interested parties”
Reflect policy commitment and commitment to pollution prevention
Consider how you will measure progress

33. Objectives and Targets
EMS Principles
Objectives and Targets
Objectives are the “Goals” that support the “Vision” contained in the
Environmental Policy Statement.

34. ISO 14001 Specifications for Objectives/Targets
EMS Principles
ISO Specifications for Objectives/Targets
The ISO Standard stipulates several criteria that must be considered when establishing environmental objectives. Specifically:
Environmental policy commitments to continual improvement, prevention of pollution, and compliance with legal and other requirements.
Concentration on controlling significant environmental aspects – the activities, products, and services with the highest environmental impacts – since reducing their significance (i.e., the risks associated with them) automatically lowers their impacts.
Taking consideration of technological options and financial, operational, and business requirements means that environmental objectives and targets must be practical in terms of being technologically achievable, within the limits of available budget constraints, and consistent with operational and business strategies.
In other words, objectives and targets must be realistic and attainable, not mere dreams or wish lists.
The views of interested parties. Any individual, group, agency, or community that may be affected by or have a stake in the operations of the facility implementing the EMS. This can be a long list, including:
National, regional/provincial, local government officials
Local community representatives
Public interest groups and other stakeholders (The views of interested parties are also helpful when an organization makes a decision regarding communication of its environmental aspects).

35. ISO 14001 Environmental Management Programs:
EMS Principles
The organization shall establish and maintain programs for achieving its objectives and targets, including:
(a) designation of responsibility for achieving objectives and targets at each level and function of the organization
(b) the means and time-frame by which they are to be achieved

36. Environmental Management Programs
EMS Principles
Environmental Management Programs
An EMP is an action plan specifying:
How objectives and targets will be accomplished
Who is responsible for achieving them
Who will manage and supervise the activities
Who will carry out the work
What they will do
What resources are needed (e.g., people, skills, equipment, time, money)
When the tasks will be completed (i.e., a schedule)

37. EMS Principles
ISO Planning Sequence

38. Implementation and Operation
EMS Principles
Implementation and Operation
This phase includes 7 elements:
Resources, Roles, Responsibilities and Authority
Competence, Training and Awareness
Communication
Documentation
Controls of documents
Operational control
Emergency Preparedness and Response
Policy
Management
Review
Implementation
and Operation
Checking and
Corrective Action
Planning

39. Implementation and Operation
EMS Principles
Implementation and Operation
Capabilities &
Organization &
Controls
Accountability
Communications
EMS Documentation
Competence,
Training &
Awareness
Document Control
Resources,
Roles,
Responsibility &
Authority
Operational Control
Communication
Emergency preparedness and response

40. Resources, Roles, Responsibility & Authority
EMS Principles
Resources, Roles, Responsibility & Authority
Roles and responsibilities are defined, documented, communicated
Management will provide resources for implementation of the system
Identifies Management Representative (s)
In charge
Report to top management

41. Competence, Training and Awareness
EMS Principles
Competence, Training and Awareness
Ensure competence training to
regulatory requirements
standard operating procedures
Ensure training and awareness relevant to
EMS - including policy
relationship between employees’ activities and environmental impacts

42. EMS Principles Communication Ensure internal communication
External communication of significant environmental impacts is optional, however this decision shall be documented
Provide process for responding to external communication

43. Documentation and Document Control
EMS Principles
Documentation and Document Control
Procedures for controlling documents
can be located - are legible, dated and maintained
reviewed and revised as necessary and approved
current versions are available to practitioner
obsolete documents are removed from use

44. EMS Principles Documentation
Under ISO 14001, documentation refers to all written material concerning the EMS
Documents include policies, procedures, manuals, plans, diagrams, flowcharts, correspondence, memoranda related to the EMS
Records are documents, but under ISO are distinguished from documentation:
Documentation concerns what should happen
Records contain information on what has happened

45. EMS Principles Shall Document 4.2 ENVIRONMENTAL POLICY
Environmental aspects
Environmental objectives and targets
Roles, responsibilities, and authority
Communications from external interested parties
4.4.4 EMS core elements
4.4.6 Procedures essential for operational control
4.5.1 Monitoring and measurement of key operations that have potential significant impacts
Compliance with laws and regulations
Records
MANAGEMENT REVIEW

46. EMS Principles Must Document 4.3.2 Significant environmental aspects
Registry of legislation and regulations
Environmental management programs - action plans to achieve
objectives and targets
Training needs results, and training plans
Emergency response plan
Corrective and preventive actions
EMS audit results

47. What are Operational Controls?
EMS Principles
What are Operational Controls?
Means by which an organization prevents pollution from operations, e.g.:
Pollution control equipment such as scrubbers, filters, precipitators, clarifiers, biological and chemical treatment, etc.
Alarms for gas, pH, conductance, tank level, etc.
Preventive maintenance practices
Operating procedures

48. Methods of Operational Control
EMS Principles
Methods of Operational Control
Process controls:
Electronic
Mechanical
Monitoring
observation
Operating procedures:
Verbal
documented

49. EMS Principles What is a Procedure?
An activity carried out according to specified instructions
Combination of responsibilities, authority, resources, instructions needed to consistently perform an activity
A procedure may be documented (i.e., written), but a document is NOT necessarily a procedure

50. EMS Principles One More Thing from ISO 14001 4.4.6
The organization shall establish and maintain procedures related to the identifiable significant environmental aspects of goods and services used by the organization and communicate relevant procedures and requirements to suppliers and contractors

51. Responsibilities of Contractors and Suppliers
EMS Principles
Responsibilities of Contractors and Suppliers
The organization is responsible for informing contractors and suppliers about operating procedures relating to their goods and services
Contractors must comply with all EMS requirements when on site
Suppliers may be required to meet specified environmental standards in their own facilities

52. Emergency Preparedness and Response
EMS Principles
Emergency Preparedness and Response
Procedures to address accidents and emergencies
prevent and mitigate environmental impacts
review and revise after emergency or accident
test where appropriate

53. Checking EMS Principles 5 elements: Monitoring and Measurement.
Evaluation of Compliance
Nonconformity, Corrective Action and Preventive Action.
Control of Records
Internal Audit.
Policy
Management
Review
Implementation
and Operation
Checking
Planning

54. Periodic Evaluations of compliance
EMS Principles
Checking
Periodic Evaluations of compliance
Ongoing
Records
Nonconformity,
Monitoring and
Corrective action and
Measuring
Preventive Action
Periodic Internal EMS Audits

55. Monitoring and Measuring
EMS Principles
Monitoring and Measuring
Procedures to monitor and measure activities related to significant aspects
Root cause analysis
Audits
Track performance, operational control and objectives and targets
Maintain and calibrate monitoring equipment

56. Evaluation of Compliance
EMS Principles
Evaluation of Compliance
Periodically evaluate compliance with applicable legal requirements
Also evaluate compliance with other requirements the company subscribes
Keep records of such evaluations

57. Nonconformity, Corrective Action and Preventive Action
EMS Principles
Nonconformity, Corrective Action and Preventive Action
Identify cause of nonconformity
Develop corrective action and implement it
Modify procedures if necessary to prevent recurrence
Define responsibility and authority to address non-conformance

58. Control of Records EMS Principles
Procedures for identification, maintenance and disposition of environmental records
Legible and traceable to the activity, product or service involved

59. EMS Principles Internal Audits
Periodically audit to determine if the EMS
is being properly implemented and maintained, and
conforms to the standard
Provide audit information to management

60. Management Review EMS Principles Review inputs:
Opportunities for improvement
Need for changes to EMS
Environmental policy
Environmental Objectives and Targets.
Based on inputs (a - h)
Review outputs:
Decision and action
Consistent to continual improvement
Policy
Management
Review
Implementation
and Operation
Checking and
Corrective Action
Planning

61. Management Review Process
EMS Principles
To Assess the
suitability,
adequacy, and
effectiveness of the EMS
Need to consider:
audit findings
progress records on objectives
changes to facilities
changes in activities, products or services
changes in technology
concerns of interested parties
other relevant information
In order to determine the need for change and improvement to:
the environmental policy
the objectives and targets
other elements of the EMS

62. EMS Internal Auditing

63. EMS Internal Auditing What is EMS Internal Auditing?
The assessment of processes to verify that they are operating within planned arrangements:
are procedures followed?
are procedures effective for their purpose?
do they meet the requirements of ISO 14001?
Factual statements of observations backed by evidence
Evaluation of processes NOT people
Not compliance audits

64. EMS Internal Auditing Why EMS Internal Auditing?
As a checking mechanism of the EMS plan and implementation
Verify existence and implementation of EMS procedures and other arrangements
Is EMS achieving its intended objectives?
Preparation for certification/third party audits
Provides information on the results of audits to management

65. Can do sampling for internal audits?
EMS Internal Auditing
Can do sampling for internal audits?

66. EMS Internal Auditing Can do sampling for internal audits? NO:
The need to conduct the audit for all area/function/department implemented with the systems to ensure consistent implementations throughout the organizations
YES:
When assessing/evaluating sets of data with regards to records of an operations or monitoring over a certain period of time using acceptable uncertainty sampling methods

67. EMS Internal Auditing What The EMS Auditor Needs To Know?
ISO Requirements
Auditing Techniques and Procedures
System Thinking and Analysis
The System Being Audited
Environmental Exposures and Prevention
Organizational, societal & governmental expectations

68. EMS Internal Auditing Why?
Audit has to be based on objective evidence. They have to be seen as a testimonial with the aim of evaluating at least the following aspects of Environmental Management Systems:
system performances
necessities that the system has to realize
strong points of the system
weak points of the system.

69. EMS Internal Auditing Things need to be established:
Programs and procedures for periodic EMS audits ("snapshots")
Extent and frequency based on results of previous audits
Results given to management for EMS review
Performed by independent (internal or external) auditors
Based on satisfying pre-established objective criteria

70. EMS Internal Auditing Audit disclosures:
EMS auditors are not looking for non­ compliances
EMS auditors are generally not sufficiently versed to designate non-compliances
The EMS audit reports deal with non­ conformances to the organization's own EMS

71. EMS Internal Auditing Collecting objective evidence:
Collect sufficient evidence through interviews, examination of documents and observation of activities and conditions
Information from interviews should be verified through observations, independent sources, records and existing measurements
Audit findings should be reviewed with auditee to establish their factual basis

72. EMS Internal Auditing EMS Audit Indicators:
Adequacy of documents, procedures, programs, records
Implementation/integration/consistency
Progress towards objectives and targets for:
compliance
operational controls
reductions
efficiencies
financial returns
Commitment by management to:
environmental policy
EMS
Awareness and competency of employees
Continual improvement of EMS

73. EMS Internal Auditing EMS Internal Audit Levels:
Buy-in on the Concept of EMS
Definition (creation) of the EMS
Deployment and Use of the EMS:
Is it being used?
Are the elements current?
Are the elements effective?
Is EMS used strategically?

74. EMS Internal Auditing Tools needed: Standard reference guidance
Internal audit procedures (Ref.: UPM/ISO-EMS/P004; Semakan 00; Isu 01; 15/7/2013)
Audit checklists
Audit notes

75. EMS Internal Auditing Presentation of findings - categories:
Major non-conformity
Minor non-conformity
Observations/opportunity for improvements
Verbal

76. EMS Internal Auditing Reporting of audit findings: Audit report
Resolution of non-conformity
Determination of root cause
Immediate corrections
Corrective actions
Records

77. Hafriazhar Mohd. Mokhtar