Presentation on theme: "UNIVERSITI PUTRA MALAYSIA EMS I NTERNAL A UDIT W ORKSHOP 3 A PRIL 2015 9.00 AM – 5.00 PM Facilitator: Hafriazhar Mohd. Mokhtar"— Presentation transcript:
UNIVERSITI PUTRA MALAYSIA EMS I NTERNAL A UDIT W ORKSHOP 3 A PRIL 2015 9.00 AM – 5.00 PM Facilitator: Hafriazhar Mohd. Mokhtar Email: email@example.com Mobile: +6019 258 5819 Climate Plus Sdn Bhd (805925-K) H-40-1A, Jalan Prima Saujana 2D, Prima Saujana, 43000 Kajang, Selangor. climateplusmy.weebly.com
D ELEGATIONS : Q UALIFIED I NTERNAL A UDITOR I N ISO 14001:2004 EMS (R EF.: UPM/ISO-EMS/P004; S EMAKAN 00; I SU 01; 15/7/2013) OBJECTIVES: TO PROVIDE INTERNAL AUDITORS WITH IMPROVED KNOWLEDGE AND TOOLS TO BE ABLE TO AUDIT AN IS0-14001 ENVIRONMENTAL MANAGEMENT SYSTEM (EMS) SUFFICIENTLY.
A GENDA O VERVIEW : Auditing IS0 14001 Framework EMS Principles EMS Internal Auditing
WHAT IS 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.
A UDITING WHO DO THE AUDIT? Auditor definition: “Person with the competence to conduct an audit” (ISO 9000:2000. 3.9.9) 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.
A UDITING TYPES OF AUDIT 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.
A UDITING 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
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)
EMS P RINCIPLES 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
EMS P RINCIPLES 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 14001 project”
EMS P RINCIPLES 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 ISO 9001 ISO 14001 Similarities between ISO 9001 and ISO 14001:
EMS P RINCIPLES The ISO 14001 EMS Model 4.5.1 Monitoring & Measurement 4.5.2 Preventive & Corrective Action 4.5.3 Records 4.5.4 EMS Audit 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 4.3.3 Identify Objectives Targets and Programs 4.4 Implementation and Operation 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
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 EMS P RINCIPLES – T HE S TANDARDS R EQUIREMENTS
G ENERAL R EQUIREMENTS Establish, document, implement, maintain and continually improve (EDIMC) EMS In accordance with ISO 14001:2004 Determine how the EDIMC fulfill ISO 14001:2004 requirements Define and document the scope of EMS EMS P RINCIPLES
O UR S COPES ? “Teaching and Learning” EMS P RINCIPLES
E NVIRONMENTAL P OLICY 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 Policy Management Review Implementation and Operation Checking Planning EMS P RINCIPLES
P OLICY R EQUIREMENTS To meet ISO 14001 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. EMS P RINCIPLES
P LANNING Environmental Aspects. Legal and Other Requirements. Objectives, Targets and Program(s). Policy Management Review Implementation and Operation Checking Planning EMS P RINCIPLES S.M.A.R.T.
P LANNING Teaching & Learning Activities, Products & Services Identify Environmental Aspects Determine Significant Environmental Aspects Determine Legal and Other Requirements Establish Objectives and Targets Develop Environmental Management Programs EMS P RINCIPLES
A CTIVITIES, P RODUCTS AND S ERVICES 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 EMS P RINCIPLES
A SPECTS AND I MPACTS 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 EMS P RINCIPLES
A SPECTS AND I MPACTS Activitys vs Aspects vs Impacts EMS P RINCIPLES
A SPECTS AND I MPACTS 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 EMS P RINCIPLES
Everyone & Everything Impacts The Environment Either adversely or beneficially!
EMS P RINCIPLES 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?!
D ETERMINE S IGNIFICANT A SPECTS The process of arriving at a list of Significant Environmental Aspects must be a reasonable and understandable procedure be based upon the following criteria: 1. perceived risk(human health vs. ecosystem); 2. impact analysis (internal, local, regional, global); 3. probability of occurrence 4. direct or indirect control; 5. regulated or non-regulated; 6. resource utilization; 7. community interest; 8. etc. Consider normal, unique, and emergency conditions Where do opportunities exist for improvement? EMS P RINCIPLES
L EGAL AND O THER R EQUIREMENTS 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 14001 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. EMS P RINCIPLES
O BJECTIVES AND T ARGETS 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 EMS P RINCIPLES
O BJECTIVES AND T ARGETS Objectives are the “Goals” that support the “Vision” contained in the Environmental Policy Statement. EMS P RINCIPLES
ISO 14001 S PECIFICATIONS FOR O BJECTIVES /T ARGETS The ISO 14001 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). EMS P RINCIPLES
ISO 14001 E NVIRONMENTAL M ANAGEMENT P ROGRAMS : 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 EMS P RINCIPLES
E NVIRONMENTAL M ANAGEMENT P ROGRAMS 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) EMS P RINCIPLES
I MPLEMENTATION AND O PERATION 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 EMS P RINCIPLES
I MPLEMENTATION AND O PERATION Resources, Roles, Responsibility & Authority Competence, Training & Awareness Document Control EMS Documentation Emergency preparedness and response Communication Operational Control Organization & Accountability Capabilities & Communications Controls EMS P RINCIPLES
R ESOURCES, R OLES, R ESPONSIBILITY & A UTHORITY 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 EMS P RINCIPLES
C OMPETENCE, T RAINING AND A WARENESS 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 EMS P RINCIPLES
C OMMUNICATION Ensure internal communication External communication of significant environmental impacts is optional, however this decision shall be documented Provide process for responding to external communication EMS P RINCIPLES
D OCUMENTATION AND D OCUMENT C ONTROL 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 EMS P RINCIPLES
D OCUMENTATION 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 14001 are distinguished from documentation: Documentation concerns what should happen Records contain information on what has happened EMS P RINCIPLES
S HALL D OCUMENT 4.2ENVIRONMENTAL POLICY 4.3.1 Environmental aspects 4.3.3 Environmental objectives and targets 4.4.1 Roles, responsibilities, and authority 4.4.3 Communications from external interested parties 4.4.4EMS core elements 4.4.6Procedures essential for operational control 4.5.1Monitoring and measurement of key operations that have potential significant impacts 4.5.2 Compliance with laws and regulations 4.5.3 Records 4.6 MANAGEMENT REVIEW EMS P RINCIPLES
M UST D OCUMENT 4.3.2 Significant environmental aspects 4.3.3 Registry of legislation and regulations 4.3.4 Environmental management programs - action plans to achieve objectives and targets 4.4.2 Training needs results, and training plans 4.4.7 Emergency response plan 4.5.2 Corrective and preventive actions 4.5.5 EMS audit results EMS P RINCIPLES
W HAT ARE O PERATIONAL C ONTROLS ? 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 EMS P RINCIPLES
M ETHODS OF O PERATIONAL C ONTROL Process controls: Electronic Mechanical Monitoring observation Operating procedures: Verbal documented EMS P RINCIPLES
W HAT IS A P ROCEDURE ? 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 EMS P RINCIPLES
O NE M ORE T HING 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 EMS P RINCIPLES
R ESPONSIBILITIES OF C ONTRACTORS AND S UPPLIERS 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 EMS P RINCIPLES
E MERGENCY P REPAREDNESS AND R ESPONSE Procedures to address accidents and emergencies prevent and mitigate environmental impacts review and revise after emergency or accident test where appropriate EMS P RINCIPLES
C HECKING 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 EMS P RINCIPLES
C HECKING Records Ongoing Monitoring and Measuring Periodic Internal EMS Audits Nonconformity, Corrective action and Preventive Action Periodic Evaluations of compliance EMS P RINCIPLES
M ONITORING AND M EASURING 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 EMS P RINCIPLES
E VALUATION OF C OMPLIANCE Periodically evaluate compliance with applicable legal requirements Also evaluate compliance with other requirements the company subscribes Keep records of such evaluations EMS P RINCIPLES
N ONCONFORMITY, C ORRECTIVE A CTION AND P REVENTIVE A CTION 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 EMS P RINCIPLES
C ONTROL OF R ECORDS Procedures for identification, maintenance and disposition of environmental records Legible and traceable to the activity, product or service involved EMS P RINCIPLES
I NTERNAL A UDITS Periodically audit to determine if the EMS is being properly implemented and maintained, and conforms to the standard Provide audit information to management EMS P RINCIPLES
M ANAGEMENT R EVIEW 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 EMS P RINCIPLES
M ANAGEMENT R EVIEW P ROCESS 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 To Assess the suitability, adequacy, and effectiveness of the EMS In order to determine the need for change and improvement to: the environmental policy the objectives and targets other elements of the EMS EMS P RINCIPLES
What is EMS Internal Auditing? The assessment of processes to verify that they are operating within planned arrangements: o are procedures followed? o are procedures effective for their purpose? o do they meet the requirements of ISO 14001? Factual statements of observations backed by evidence Evaluation of processes NOT people Not compliance audits
EMS I NTERNAL A UDITING 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
EMS I NTERNAL A UDITING Can do sampling for internal audits?
EMS I NTERNAL A UDITING NO: The need to conduct the audit for all area/function/department implemented with the systems to ensure consistent implementations throughout the organizations Can do sampling for internal audits? 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
EMS I NTERNAL A UDITING What The EMS Auditor Needs To Know? ISO 14001 Requirements Auditing Techniques and Procedures System Thinking and Analysis The System Being Audited Environmental Exposures and Prevention Organizational, societal & governmental expectations
EMS I NTERNAL A UDITING 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.
EMS I NTERNAL A UDITING 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
EMS I NTERNAL A UDITING 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
EMS I NTERNAL A UDITING 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
EMS I NTERNAL A UDITING 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
EMS I NTERNAL A UDITING 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?
EMS I NTERNAL A UDITING Tools needed: Standard reference guidanceguidance Internal audit procedures (Ref.: UPM/ISO- EMS/P004; Semakan 00; Isu 01; 15/7/2013) Audit checklistschecklists Audit notesnotes
EMS I NTERNAL A UDITING Presentation of findings - categories: Major non-conformity Minor non-conformity Observations/opportunity for improvements Verbal
EMS I NTERNAL A UDITING Reporting of audit findings: Audit report Resolution of non-conformity Determination of root cause Immediate corrections Corrective actions Records