The ISO 14000 EMS audit handbook

Cover
Title Page
Copyright Page
Dedication
Table of Contents
Preface
1 Introduction to EMS Audits
	What Is an Environmental Management System?
	The EMS Movement
	Development of the International EMS Standard
	Introduction to EMS Audits
	Quality Systems Auditors (QSA)
	Environmental Compliance Auditors (ECA)
	Management
	Key Definitions
	Key Acronyms
	Training the Internal EMS Auditor
	Auditor Characteristics
	Types of Auditors
	EMS Audit Objectives
	Key Differences—QMS/EMS Auditors
	QMS/EMS—Sharing a Common Basis
	Insights for EMS Auditor Qualifications
	Key Considerations for EMS Audit Teams
2 The ISO 14000 Series Audit Standards
	ISO 14010 Guidelines for Environmental Auditing: General Principles
	4-Requirements for an Environmental Audit
	5-General Principles
	5.1-Objectives and Scope
	5.2-Objectivity, lndependence, and Competence
	5.3-Due Professional Care
	5.4-Systematic Procedures
	5.5-Audit Criteria, Evidence, and Findings
	5.6-Reliability of Audit Findings and Conclusions
	ISO 14011 Guidelines for Environmental Auditing: Audit Procedures—Auditing of Environmental Management Systems
	4-EMS Audit Objectives, Roles, and Responsibilities
	4.1-Audit Objectives
	4.2-Roles, Responsibilities, and Activities
	4.2.1-Lead Auditor
	4.2.4-Client
	4.2.5-Auditee
	5-Auditing
	5.3-Executing the Audit
	5.3.1-Opening Meeting
	5.3.2-Collecting Evidence
	5.3.3-Audit Findings
	5.3.4-Closing Meeting
	5.4-Audit Reports and Records
	6-Audit Completion
	ISO 14012 Guidelines for Environmental Auditing—Qualification Criteria for Environmental Auditors
	Annex B (informative)—Environmental Auditor Registration Body
3 Initial Environmental Review (IER) and Gap Analysis
	lntroduction
	Inside ISO 14004 EMS—General Guidelines on Principles, Systems, and Supporting Techniques
	Key Principles for Management
	Benefits of an EMS
	EMS Principles and Elements
	Initial Environmental Review (IER)
	4.1.3-Initial Environmental Review
	Practical Help—Initial Environmental Review
	Practical Help—Environmental Policy
4 EMS Audit Programme Design
	Introduction
	Activities and Areas to Be Considered in Audits
	The Frequency of Audits
	Responsibilities Associated with Managing and Conducting Audits
	ISO 14001 4.5.4, EMS Audit
	Communications of Audit Findings
	Auditor Competence
	How Audits Will Be Conducted
5 ISO 14001 Interpretation for Audit
	ISO Through Use
		Interpretation
		Annex A—Guidance on the Use of the Specification
		Common System Nonconformances (CSN)
		Links Between ISO 9001 and ISO 14001 Standards
		EMS Auditor Checklist/Questionnaire
		Understanding the Universal Audit Checklist (UAC)
		Universal Audit Checklist
	ISO 14001 Interpretation for Audit
		Annex A.2—Environmental Policy for Guidance on Use
		ISO 14001, 4.2—Environmental Policy
		Common System Nonconformances (CSN)
		EMS Auditor Checklist/Questionnaire
	ISO 14001—4.3 Planning
		Annex A.3.1—Environmental Aspects
		Determination of Significant Impacts
		Common System Nonconformances (CSN)
		EMS Auditor Checklist/Questionnaire
	ISO 14001, 4.3.2—Legal and Other Requirements
		Annex A.3.2—Legal and Other Requirements
		Common System Nonconformances (CSN)
		EMS Auditor Checklist/Questionnaire
	ISO 14001, 4.3.3—Objectives and Targets
		Annex A.3.3—Objectives and Targets
		Initial Design and Development
		Midstream
		After Completion of Achieving Targets
		Common System Nonconformances (CSN)
		EMS Auditor Checklist/Questionnaire
	ISO 14001, 4.3.4—Environmental Management Programme(s)
		Annex A.3.4—Environmental Management Programme(s)
		Common System Nonconformances (CSN)
		EMS Auditor Checklist/Questionnaire
	ISO 14001, 4.4—Implementation and Operation
		4.4.1—Structure and Responsibility
		Annex A.4.1—Structure and Responsibility
		Common System Nonconformances (CSN)
		EMS Auditor Checklist/Questionnaire
	ISO 14001, 4.4.2—Training, Awareness, and Competence
		Annex A.4.2—Training, Awareness, and Competence
		Common System Nonconformances (CSN)
		EMS Auditor Checklist/Questionnaire
	ISO 14001, 4.4.3—Communication
		Annex A.4.3—Communication
		Common System Nonconformances (CSN)
		EMS Auditor Checklist/Questionnaire
	ISO 14001, 4.4.4—Environmental Management System Documentation
		Annex A.4.4—Environmental Documentation
		Common System Nonconformances (CSN)
		EMS Auditor Checklist/Questionnaire
	ISO 14001, 4.4.5—Document Control
		Annex A.4.5—Document Control
		Flowchart Assessment Checklist
		Common System Nonconformances (CSN)
		EMS Auditor Checklist/Questionnaire
	ISO 14001, 4.4.6—Operational Control
		Annex A.4.6—Operational control
		Common System Nonconformances (CSN)
		EMS Auditors Checklist/Questionnaire
	ISO 14001, 4.4.7—Emergency Preparedness and Response
		Annex A.4.7—Emergency Preparedness and Response
		Common System Nonconformances (CSN)
		EMS Auditors Checklist/Questionnaire
	ISO 14001, 4.5—Checking and Corrective Action
	ISO 14001, 4.5.1—Monitoring and Measurement
		Annex A.5.1—Monitoring and Measurement
		Common System Nonconformances (CSN)
		EMS Auditor Checklist/Questionnaire
	ISO 14001, 4.5.2—Nonconformance and Corrective and Preventive Action
		Annex A.5.2—Nonconformance and Corrective and Preventive Action
		Common System Nonconformances (CSN)
		EMS Auditors Checklist/Questionnaire
	ISO 14001, 4.5.3—Records
		Annex A.5.3—Records
		Common System Nonconformances (CSN)
		EMS Auditors Checklist/Questionnaire
	ISO 14001, 4.5.4—Environmental Management System Audit
		Annex A.5.4—Environmental Management System Audit
		Common System Nonconformances (CSN)
		EMS Auditor Checklist/Questionnaire
	ISO 14001, 4.6—Management Review
		Annex A.6—Management Review
		Common System Nonconformances (CSN)
		EMS Auditors Checklist/Questionnaire
6 The Audited Organization
	Introduction
	Establishing Primary Contact
	Company Personalities
	The Escort
7 EMS Audit Planning
	Introduction
	EMS Audit Questionnaire
	EMS Audit Questionnaire for ISO 14001
	Review
	Development of the EMS Audit Plan
	EMS Audit Plan
	Audit Team Coordination
	Two-Person EMS Audit Team
	Three-Person EMS Audit Team
	Roles of the Lead Auditor—Planning
	Allocation of Resources, Personnel, and Time
	Transportation/Accommodations
8 Scheduling the Audit
	Auditee Notification
	Externat Audit Notification
	Internal Audit Notification
	EMS Audit Schedule(s)
		Selection Criteria
		Priorities
		Availability
		Travel and Lodging
		Assignments
		Discussion
		Priorities
		Protocols
		Surprise Audits
	Daily Agendas/Activities
	Personal Time
	Transportation and Accommodations
	Auditee Representation
	Multiple Shift Operations Coordination
	Change Control
9 The Pre-Audit Conference
	The Arrival
	Introductions
	Guide for the Pre-Audit Conference
	Facility Tour Coordinations
	Escorts
	Availability of Key Personnel
	Documents Change Control
	Agenda Change Control
	Auditee Statements
	Daily Debriefings
	Management Recognitions
	Team Chairperson Coordination
10 The EMS Audit
	Philosophy and Techniques
	Phase I—Audit Venues
	Phase II—Steps
	Communications
	Sampling
	Team Chairperson's Responsibilities
		Lead the Team
		Lead the Arrival Conference
		Represent the Team
		Make Final Decision
		Stay Advised
		Supervise and Coordinate
		Leader and Team Player
		Take Charge
		Decision Maker
		Firm but Fair
		Extraordinary Knowledge
		Express Self
		Review and Determine
		Write Effectively
	Associate EMS Auditors
	Words to Challenge
	Questioning Techniques
	Documents Review—Availability
	Data Collection and Review
	Categorizing Deficiencies
	Flowchart Assessment and Auditor Checklist
	Standard Assessment Questions
	Auditor/Auditee Interfacing
	Data to Record
	The Classic "Time-Wasters"
	Operational Verification and Assessments
11 The Post-Audit Conference
	Chairperson Guide for Conducting Exit Interview
	Attendance Lists
	Auditee Comments/Reaction—Disclaimers Clause
	Confidentialities
	Communication Skills
	Presentation Methods
	The Conference Room
	Report Distribution
	Follow-up
	Corrective Action Direction
12 EMS Audit Reporting
	Data to Record
	EMS Audit Report Form
	Reporting Examples
	Summary Report
	Third-Party Summary Report
	Report Response
	Environrnental Communications Memo
	Confidentialities
	Corrective/Preventive Action Reply
	Types of Reports
	Words to Avoid
	Challengeable/Nonchallengeable Reports—Recommendations
	Distribution
13 Follow-Up Audit and Close-Out
	Audit Report Collection
	Document/Procedure Assessment
	Change Control Verification
	Obsolete Document Controls
	Corrective Action
	Preventive Action
	Verification/Validation of Change
	Follow-up Audits
	Reporting
	Close-out
	Follow-on Assessments
	Training/Qualification for Change
14 Supportive Environmental Audits and Assessments
	Reasons for Conducting Environmental Audits and Assessments
	Role of Attorney
	Regulatory Compliance Audits
		Environmental Legislation
		Clean Air Act
		Clean Water Act and Safe Drinking Water Act
		Comprehensive Environmental Response, Compensation, and Liability Act
		Pollution Prevention Act
		Resource Conservation and Recovery Act
		Toxic Substances Control Act
	Other Federal Environmental or Environmentally Related Legislation
	Occupational Health and Safety Act
	Technology lmprovement Act
	lncentives for Self-Policing, Discovery, Disclosure, Correction, and Prevention of Violations
	Conformity Assessment
	Management Reviews
	Initial Reviews
	Life-Cycle Assessment (LCA)
	Environmental Performance Evaluations (EPE)
	Environmental Site Assessments (ESA)
	Risk Assessment
15 EMS Auditor Qualification, Certification, and Training
	EARA and the RAB
	Application Structure and Content
	Qualification Training
Index