Dalkia Energy and Technical Services

A one day course in support of

Environmental Management Systems
Internal Auditing
Dr Chris Bamber

OLC (Europe) Ltd

Environmental Management Systems

Internal Auditing
The Aim
To deliver the key principles and techniques of EMS
auditing through the use of an interactive workshop
To use class room exercises, examples from other
companies and practice on your own EMS
documentation system

OLC (Europe) Ltd

Environmental Management Systems

Internal Auditing
The Learning Objectives
To provide delegates with:
1.
2.
3.
4.
5.
6.

A practical approach to understanding the concepts of ISO 14001

Practical and pragmatic advise on effective procedure and
documentation audit techniques
The chance to practice internal auditing skills and techniques
Methods for preparation and planning of EMS audits
Examples of ISO 14001 EMS internal audit reports
Report writing skills and practice

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Internal Auditing for ISO 14001

Session 1
9:30-10:30 then Break
Overview
Session 2
10:30-12:00
EMS systems

Session 3
12:00-12:30 then lunch break.
13:00-14:30
EMS audit techniques
Session 4
14:30-16:30
EMS auditing

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Introductions
Who are you?
What is your main area of work?
Why are you here?
Do you have auditing experience?
Are you knowledgeable in
environmental issues?

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Environmental Management Systems

Internal Auditing
SESSION ONE
OVERVIEW

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What is an Environmental Management

System?
That part of the overall
management system that
includes organisational
structure, planning activities,
responsibilities, practices,
procedures, processes and
resources for developing,
implementing, achieving,
reviewing and maintaining the
environmental policy

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What is an ISO 14001: 1996 environmental

management system?

ISO 14001: 1996 is a certifiable

management system
Certified and assessed by a third
party e.g BSI or SGS
Is a specification with guidance for
use
Has 6 main clauses you are assessed
against (4.1 4.6)
Has a sister standard ISO 14004:
1996 General guidelines on
principles, systems and
supporting techniques
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What are the key components of ISO 14001: 1996

and what are the associated standards?

Environmental Policy

Aspects
Legal requirements
Objectives and targets
Environmental management
programme

Implementation and operation

Checking and corrective action

Monitoring and measurement
Nonconformance and
corrective/preventive actions
Records
Environmental management
system audit

Planning

Management review

Structure and responsibility

Training, awareness and competence
EMS documents and control
Operational control
Emergency preparedness and response

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The fundamental principal of all good

management systems

P
A

D
C

D
C

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The fundamental principal of all good

management systems applied to an EMS
Continual Improvement

Management review

Environmental
policy

The environmental
management system
model for ISO
14001: 1996

Planning

Checking and
corrective action

Implementation and
operation

OLC (Europe) Ltd

The fundamental principal of all good

management systems applied to an EMS
Continual Improvement

Management review

Environmental
policy

Where should
environmental
management system
audits be placed in
this model?

Planning

Checking and
corrective action

AUDITS

Implementation and
operation

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The definition of an environmental

management system audit
systematic

Conforms to
audit criteria?

objective
verify
evaluate

Communicate to
management

A systematic and documented verification process of

objectively obtaining and evaluating evidence to determine
whether an organisations environmental management system
conforms to the environmental management system audit
criteria set by the organisation, and for communication of
the results of this process to management
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What are the criteria that an EMS

attempts to conform to?
systematic

Conforms to
audit criteria?

objective
verify
evaluate

Communicate to
management

Warm-up Exercise
In your group list the possible EMS audit criteria
that an environmental auditor may be able to
verify and evaluate
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Conforms
to audit
criteria?

systematic
objective
verify
evaluate

Communicate to
management

Warm-up Exercise (Audit criteria definition)

Policies, practices, procedures,or requirements such as
those covered by ISO 14001: 1996 and if, applicable,
any additional EMS requirements against which the
auditor compares collected audit evidence about the
organisations environmental management system

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Environmental Management Systems

Internal Auditing
SESSION TWO
EMS SYSTEMS

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What are environmental aspects and

impacts?
Aspect
Element of an organisations
activities, products or services
that can interact with the
environment

Impact
Any change to the environment,
whether adverse or beneficial,
wholly or partially resulting
from an organisations activities
or services

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Understanding Environmental
Aspects and Impacts
Activity, product or
service

Aspect

Impact

ACTIVITY
Handling of hazardous material

Potential for accident or

spillage

Contamination of soil or water

PRODUCT
Product refinement

Reformulation of its
product to reduce its
volume

Conservation of natural resources

SERVICE
Vehicle maintenance

Exhaust emissions

Reduction of air emissions

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What is a significant aspect?

Example Record of Significant Aspects
ASPECT

IMPACT

ACTIVITY

SIGNIFICANCE

Solid waste
arising

Depletion of resources.
Landfill leachate and
contamination. Land and
planning use

Waste from all

operations

Major environmental concern, not

environmentally sustainable practice.
Subject to legislation High (increasing)
costs. Saving available from poor site
practices

We assess the significance of an aspect by assessing the significance of the

impacts associated with that aspect.

e.g. Scale of environmental impact

1. Minor, short term 5. Major,
widespread, persistent impact
Likely-hood of impact occuring
1. Very unlikely 5. Extremely likely

Other considerations may be

Severity

Duration

Legal & regulatory

Cost of change

Effect of change

Concerns of others

Public image
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Understanding Environmental
Aspects and Impacts
Impact on the environment may be via:
1.
2.
3.
4.
5.
6.
7.

Emissions to air
Releases to water
Waste management
Contamination of land
Use of natural resources
Use of raw materials
Local environmental issues and
community needs
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Understanding Environmental
Aspects and Impacts
Exercise One
a. In your group list ten aspects of
your organisation that have an
impact on the environment
b. Identify what the impacts are
for your ten aspects
c. Place the ASPECTS in order of
significance
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Critical documents in an EMS

Policy
Aspects and impacts register
Environmental programme
Objectives and targets

Operating procedures
Emergency plans
Process information

Environmental audits
Management review minutes
An organisation chart
Environmental responsibility and
authority

Training records
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Critical Records in an EMS

1.
2.

Environmental laws and regulations

Goals and mission, objectives and
targets
3. Evidence of communication of
policy and procedures
4. Compliance and training records
5. Process and product information
6. Inspection, maintenance and
calibration evidence
7. Incident reports
8. Aspects, impacts, management
reviews and audit results
9. Emergency preparedness and
response
10. Site specific assessment results

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Critical Dalkia EMS Audit

Documents and Records
1. Policy (in your 4 in 1)
2. Aspects and impacts
register
3. Environmental
audit checklist
4. Environmental
review

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Environmental Management Systems

Internal Auditing
SESSION THREE
EMS AUDIT TECHNIQUES

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EMS Audit Techniques

systematic
Conforms to
audit criteria?

objective
verify
Communicate to
management

evaluate

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EMS Audit Techniques

Exercise
Complete the first page of your
audit checklist
Priority category
1 = immediate action
2 = urgent
3 = requires attention
0 = no action required

Status rating
3 = good
2 = adequate
1 = poor
0 = unsatisfactory

Possible
Actual
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Types of internal environmental audit and review

you may consider:

Implementation audit
Environmental strategy audit
Environmental compliance audits
Environmental risk assessments
Environmental reviews
Documentation audits
Operational audits
Performance reviews
Communication audits
ISO 14001: 1996 requirements audit

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EMS Audit Techniques

Exercise
In your group review your
environmental policy and verify
whether it is adequate for the
requirements of ISO 14001:
1994 clause 4.2 and then
evaluate which of your
organisations operations
support that policy
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EMS Audit Techniques

Exercise (Some considerations for your
group):
a. Is the policy relevant to your activities,
products and services?
b. Does the policy reflect the
organisations values and guiding
principles?
c. Is it approved by top management?
d. Does the policy guide the setting of
targets and objectives?
e. Does it commit to continual improvement
of the EMS?
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EMS Audit Techniques

Techniques
for
planning
environmental audits

and

preparing

Audits should be conducted:

Periodically
By auditors independent of the area audited
Using competent auditors
Within the documented audit procedures
To establish whether the EMS is effectively implemented
Considering objectives, policies and procedures

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EMS Audit Techniques

Techniques for planning and preparing
environmental audits

Audit programmes and procedures

should cover:
The activities and areas to be considered
The frequency of audits
The responsibilities associated with
managing and conducting the audits
The communication of audit results
Auditor competence
How audits will be conducted
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EMS Audit Techniques

Exercise
Complete the second page of
your audit checklist

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EMS Audit Techniques

Exercise Three
Write on a flipchart paper the possible
benefits of environmental

auditing. Consider in your answer:

a.
b.
c.
d.

Stakeholder views
Business benefits
Environmental benefits
Personal benefits
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Environmental Management Systems

Internal Auditing
SESSION FOUR
EMS INTERNAL AUDITING

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EMS Internal Auditing

Conducting an environmental management
systems audit
There are three international standards available:
ISO 14010: 1996 Guidelines for environmental
auditing general principles
ISO 14011: 1996 Guidelines for environmental
auditing Auditing of environmental management
systems
ISO 14012: 1996 Guidelines for environmental
auditing Qualification criteria for environmental
auditors
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EMS Internal Auditing

Common Mistakes to be aware of:

Question:

What problems do you think

could be encountered when
conducting predetermined
checklist audits?
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EMS Internal Auditing

Common Mistakes to be aware of:

Insufficient planning
Not answering all the audit questions expected
No clear aim for the audit
Results not fully or appropriately communicated
Problems identified not completely remedied
Report is ambiguous and incomplete
Report is not specific or not detailed enough for
focused action to be identified
Not all beneficiaries/stakeholders are informed

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EMS Internal Audit Techniques

Performing the internal environmental audit
Prepare a checklist of questions/observations required
Go to the area to be the focus of the audit
Ask questions about the procedures/processes adopted
Observe what is happening
Check for compliance to procedures and manual
Ask to see records relevant to the procedures
Record observations on checklist
Assess findings for compliance/non-conformance
Thank all parties for their help
Send report to audit head office
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EMS Internal Audit Techniques

Performing the internal environmental audit
assessing compliance
A failure (NON-COMPLIANCE) can be classified as:
Where a procedure is correctly written but is not being
adhered to or is not implemented effectively
Where the procedure is wrongly described in the manual
and does not accurately describe the procedure being used
Where results or records show that activities/processes
are not meeting documented expectations
Where a previous audit corrective action has not been
implemented
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EMS Internal Audit Techniques

Performing the internal environmental audit
making observations
An observation can be made to highlight:
Areas/concerns/processes that could or should be
improved
Where procedures are disliked or difficult to follow
or understand
Where training, education or environmental awareness
may improve performance
Where best practice or excellent work is being
adopted
OBSERVATION SHOULD BE AIMED AT PROMOTING AND
ENCOURAGING IMPROVEMENT

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EMS Internal Auditing Reporting

Audit completion
The audit is completed
once all the activities
defined in the audit plan
have been conducted
This includes a follow
up audit and formal
close-out

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Environmental Management Systems

Internal Auditing
SUMMARY AND NEXT STEPS
?????????
Dr Chris Bamber and Mr James Boyes

OLC (Europe) Ltd