Presentation on theme: "Climate Plus Sdn Bhd ( K)"— Presentation transcript:
1 Climate Plus Sdn Bhd (805925-K) H-40-1A, Jalan Prima Saujana 2D,Prima Saujana, Kajang, Selangor.climateplusmy.weebly.comUNIVERSITI PUTRA MALAYSIA EMS Internal Audit Workshop 3 April am – 5.00pmFacilitator : Hafriazhar Mohd. MokhtarMobile :
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.
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
12 EMS Principles ISO 14001 promotes these values: Think prevention before cure or correctionEnvironmental performance is everyone’s responsibilityImproving awareness and understanding helps to improve performanceTop Management must lead by exampleEnvironmental management is risk managementContinual improvements never endsIn 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 organizationThat makes environmental care a natural part of everyone's jobIn time, it develops an environmental culture just like the safety cultureEveryone 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 PrinciplesSimilarities between ISO 9001 and ISO 14001:ISO 9001ISO 14001Quality PolicyOrganizationManagement RepresentativeTrainingDocument and Data ControlQuality System Procedures, Contract Review, Design Control, Purchasing, Process Control, Handling, Storage, Packaging, Preservation and Delivery, ServicingInspection and Testing, Control of Inspection, Measuring and Test EquipmentCorrective and Preventive ActionControl of Quality RecordsInternal Quality AuditsManagement ReviewEnvironmental PolicyResources, Roles, Responsibility and AuthorityCompetence, Training and AwarenessDocument ControlOperational ControlMonitoring and MeasurementNon-Conformance and Corrective and Preventive ActionRecordsEnvironmental Management System AuditsManagement Review
16 EMS Principles The ISO 14001 EMS Model 4.2 Define Policy 4.5.1 Monitoring & Measurement4.5.2 Preventive & Corrective Action4.5.3 Records4.5.4 EMS Audit4.4.1 Resources, Roles,responsibility and authority4.4.2 Competence, Training &Awareness4.4.3 Communication4.4.4 Documentation4.4.5 Document Control4.4.6 Operational Control4.4.7 Emergency Preparedness4.2 Define Policy4.3.1 Identify Aspects4.3.2 Legal Requirements4.3.3 Identify ObjectivesTargets and Programs4.4 Implementationand Operation4.5 Checking4.6 Management Review3.2 Continual Improvement3.18 Prevention of PollutionProducts,Services, andActivities
17 EMS Principles – The Standards Requirements 4.1 General Requirements4.2 Environmental Policy4.3 PlanningEnvironmental aspectsLegal and other requirementsObjectives, Targets and Programs4.4. Implementation and OperationResources, Roles, Responsibilities and AuthorityCompetence, Training and AwarenessCommunicationDocumentationControls of documentsOperational controlEmergency Preparedness and Response4.5 CheckingMonitoring and MeasurementEvaluation of complianceNonconformity, Corrective action and Preventive actionControl of recordsInternal audit4.6. Management Review
18 General Requirements EMS Principles Establish, document, implement, maintain and continually improve (EDIMC) EMSIn accordance with ISO 14001:2004Determine how the EDIMC fulfill ISO :2004 requirementsDefine and document the scope of EMS
19 “Teaching and Learning” EMS PrinciplesOur Scopes?“Teaching and Learning”
20 Environmental Policy EMS Principles ManagementReviewImplementationand OperationCheckingPlanningThe 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. PolicyManagementReviewImplementationand OperationCheckingPlanningEnvironmental Aspects.Legal and Other Requirements.Objectives, Targets and Program(s).S.M.A.R.T.
23 Environmental Aspects EMS PrinciplesPlanningDetermineSignificantEnvironmentalAspectsIdentifyEnvironmental AspectsTeaching&LearningActivities,ProductsServicesDevelopEstablishEnvironmentalObjectivesManagementandProgramsTargetsDetermine Legal and OtherRequirements
24 Activities, Products and Services EMS PrinciplesActivities, Products and ServicesWhat 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 PrinciplesAspects and ImpactsActivitys vs Aspects vs Impacts
27 Aspects and Impacts EMS Principles Content Requirements of Environmental Aspectsunderstand how organization interacts with the environmentcontrol versus influencearrive at a list of significant environmental aspects based upon impactsdevelop a procedure to support this three step decision making process
28 Either adversely or beneficially! EMS PrinciplesEveryone & Everything Impacts The EnvironmentEither adversely or beneficially!
29 Environmental receptors: EMS PrinciplesEnvironmental receptors:People (public)Public nuisanceNatural ResourcesConsumption of non-renewable resourcesLand/SoilSoil excavation, erosion, solid contaminationWaterRiver water contamination, wastewater dischargeAirEmissions of heat, particulates, GHG, GST?!
30 Determine Significant Aspects EMS PrinciplesDetermine Significant AspectsThe 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 occurrencedirect or indirect control;regulated or non-regulated;resource utilization;community interest;etc.Consider normal, unique, and emergency conditionsWhere do opportunities exist for improvement?
31 Legal and Other Requirements EMS PrinciplesLegal and Other RequirementsIdentify legal requirements that apply to a facility’s activities – use audit guides or protocolsIdentify other requirements that apply including corporate policies, Executive Orders (public organizations), facility initiatives or voluntary practicesISO 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 PrinciplesObjectives and TargetsConsider “legal and other requirements”Consider significant aspectsReflect corporate policiesReflect financial and technical limitationsReflect “interested parties”Reflect policy commitment and commitment to pollution preventionConsider how you will measure progress
33 Objectives and Targets EMS PrinciplesObjectives and TargetsObjectives are the “Goals” that support the “Vision” contained in theEnvironmental Policy Statement.
34 ISO 14001 Specifications for Objectives/Targets EMS PrinciplesISO Specifications for Objectives/TargetsThe 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 officialsLocal community representativesPublic 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 PrinciplesThe 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 PrinciplesEnvironmental Management ProgramsAn EMP is an action plan specifying:How objectives and targets will be accomplishedWho is responsible for achieving themWho will manage and supervise the activitiesWho will carry out the workWhat they will doWhat resources are needed (e.g., people, skills, equipment, time, money)When the tasks will be completed (i.e., a schedule)
38 Implementation and Operation EMS PrinciplesImplementation and OperationThis phase includes 7 elements:Resources, Roles, Responsibilities and AuthorityCompetence, Training and AwarenessCommunicationDocumentationControls of documentsOperational controlEmergency Preparedness and ResponsePolicyManagementReviewImplementationand OperationChecking andCorrective ActionPlanning
39 Implementation and Operation EMS PrinciplesImplementation and OperationCapabilities &Organization &ControlsAccountabilityCommunicationsEMS DocumentationCompetence,Training &AwarenessDocument ControlResources,Roles,Responsibility &AuthorityOperational ControlCommunicationEmergency preparedness and response
40 Resources, Roles, Responsibility & Authority EMS PrinciplesResources, Roles, Responsibility & AuthorityRoles and responsibilities are defined, documented, communicatedManagement will provide resources for implementation of the systemIdentifies Management Representative (s)In chargeReport to top management
41 Competence, Training and Awareness EMS PrinciplesCompetence, Training and AwarenessEnsure competence training toregulatory requirementsstandard operating proceduresEnsure training and awareness relevant toEMS - including policyrelationship 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 documentedProvide process for responding to external communication
43 Documentation and Document Control EMS PrinciplesDocumentation and Document ControlProcedures for controlling documentscan be located - are legible, dated and maintainedreviewed and revised as necessary and approvedcurrent versions are available to practitionerobsolete documents are removed from use
44 EMS Principles Documentation Under ISO 14001, documentation refers to all written material concerning the EMSDocuments include policies, procedures, manuals, plans, diagrams, flowcharts, correspondence, memoranda related to the EMSRecords are documents, but under ISO are distinguished from documentation:Documentation concerns what should happenRecords contain information on what has happened
45 EMS Principles Shall Document 4.2 ENVIRONMENTAL POLICY Environmental aspectsEnvironmental objectives and targetsRoles, responsibilities, and authorityCommunications from external interested parties4.4.4 EMS core elements4.4.6 Procedures essential for operational control4.5.1 Monitoring and measurement of key operations that have potential significant impactsCompliance with laws and regulationsRecordsMANAGEMENT REVIEW
46 EMS Principles Must Document 4.3.2 Significant environmental aspects Registry of legislation and regulationsEnvironmental management programs - action plans to achieveobjectives and targetsTraining needs results, and training plansEmergency response planCorrective and preventive actionsEMS audit results
47 What are Operational Controls? EMS PrinciplesWhat 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 practicesOperating procedures
48 Methods of Operational Control EMS PrinciplesMethods of Operational ControlProcess controls:ElectronicMechanicalMonitoringobservationOperating procedures:Verbaldocumented
49 EMS Principles What is a Procedure? An activity carried out according to specified instructionsCombination of responsibilities, authority, resources, instructions needed to consistently perform an activityA 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 PrinciplesResponsibilities of Contractors and SuppliersThe organization is responsible for informing contractors and suppliers about operating procedures relating to their goods and servicesContractors must comply with all EMS requirements when on siteSuppliers may be required to meet specified environmental standards in their own facilities
52 Emergency Preparedness and Response EMS PrinciplesEmergency Preparedness and ResponseProcedures to address accidents and emergenciesprevent and mitigate environmental impactsreview and revise after emergency or accidenttest where appropriate
53 Checking EMS Principles 5 elements: Monitoring and Measurement. Evaluation of ComplianceNonconformity, Corrective Action and Preventive Action.Control of RecordsInternal Audit.PolicyManagementReviewImplementationand OperationCheckingPlanning
54 Periodic Evaluations of compliance EMS PrinciplesCheckingPeriodic Evaluations of complianceOngoingRecordsNonconformity,Monitoring andCorrective action andMeasuringPreventive ActionPeriodic Internal EMS Audits
55 Monitoring and Measuring EMS PrinciplesMonitoring and MeasuringProcedures to monitor and measure activities related to significant aspectsRoot cause analysisAuditsTrack performance, operational control and objectives and targetsMaintain and calibrate monitoring equipment
56 Evaluation of Compliance EMS PrinciplesEvaluation of CompliancePeriodically evaluate compliance with applicable legal requirementsAlso evaluate compliance with other requirements the company subscribesKeep records of such evaluations
57 Nonconformity, Corrective Action and Preventive Action EMS PrinciplesNonconformity, Corrective Action and Preventive ActionIdentify cause of nonconformityDevelop corrective action and implement itModify procedures if necessary to prevent recurrenceDefine responsibility and authority to address non-conformance
58 Control of Records EMS Principles Procedures for identification, maintenance and disposition of environmental recordsLegible and traceable to the activity, product or service involved
59 EMS Principles Internal Audits Periodically audit to determine if the EMSis being properly implemented and maintained, andconforms to the standardProvide audit information to management
60 Management Review EMS Principles Review inputs: Opportunities for improvementNeed for changes to EMSEnvironmental policyEnvironmental Objectives and Targets.Based on inputs (a - h)Review outputs:Decision and actionConsistent to continual improvementPolicyManagementReviewImplementationand OperationChecking andCorrective ActionPlanning
61 Management Review Process EMS PrinciplesTo Assess thesuitability,adequacy, andeffectiveness of the EMSNeed to consider:audit findingsprogress records on objectiveschanges to facilitieschanges in activities, products or serviceschanges in technologyconcerns of interested partiesother relevant informationIn order to determine the need for change and improvement to:the environmental policythe objectives and targetsother elements of the EMS
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 evidenceEvaluation of processes NOT peopleNot compliance audits
64 EMS Internal Auditing Why EMS Internal Auditing? As a checking mechanism of the EMS plan and implementationVerify existence and implementation of EMS procedures and other arrangementsIs EMS achieving its intended objectives?Preparation for certification/third party auditsProvides information on the results of audits to management
65 Can do sampling for internal audits? EMS Internal AuditingCan 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 organizationsYES: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 RequirementsAuditing Techniques and ProceduresSystem Thinking and AnalysisThe System Being AuditedEnvironmental Exposures and PreventionOrganizational, 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 performancesnecessities that the system has to realizestrong points of the systemweak 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 auditsResults given to management for EMS reviewPerformed by independent (internal or external) auditorsBased on satisfying pre-established objective criteria
70 EMS Internal Auditing Audit disclosures: EMS auditors are not looking for non compliancesEMS auditors are generally not sufficiently versed to designate non-compliancesThe 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 conditionsInformation from interviews should be verified through observations, independent sources, records and existing measurementsAudit findings should be reviewed with auditee to establish their factual basis
72 EMS Internal Auditing EMS Audit Indicators: Adequacy of documents, procedures, programs, recordsImplementation/integration/consistencyProgress towards objectives and targets for:complianceoperational controlsreductionsefficienciesfinancial returnsCommitment by management to:environmental policyEMSAwareness and competency of employeesContinual improvement of EMS
73 EMS Internal Auditing EMS Internal Audit Levels: Buy-in on the Concept of EMSDefinition (creation) of the EMSDeployment and Use of the EMS:Is it being used?Are the elements current?Are the elements effective?Is EMS used strategically?