welcome to seminar !! 01501 - 3fold education centre€¦ · 1 © 2019 3fold education centre . all...

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© 2019 3FOLD Education Centre . All rights reserved . [email protected] . www.3foldtraining.com . 800 3FOLD

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HOW TO CONDUCT

EMS AUDITS EFFECTIVELY

as per ISO 14001:2015 & ISO 19011:2018

PMI, PMP, PMBOK and the PMI Registered Education Provider logo are registered marks of the Project Management Institute, Inc.

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ISO

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5 INTRODUCTION

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Objectives• Introduction to Audit of ISO 14001:2015

• Purpose & Benefits

• Key Terms & Definitions related to EMS

• Overview of ISO 14001:2015

• Key Terms & Definitions related to audit


• Types & Stages of Audit

• Documented Information

Audit Programme, Audit Plan

Audit Checklist, Audit Methods

Opening Meeting, NCR, Audit Report

Closing Meeting, Audit closure and Audit Follow-Up

• Auditor Competence Development

• Clarifications / Questions


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AIM of an Environmental Management system, EMS:

The purpose of EMS is to provide organizations with a framework to protect the environment and to respond to changing environmental conditions in balance with socio-economic needs

It specifies requirements that enable an organization to achieve the intended outcomes it sets for its environmental management system.

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Objectives & Benefits of ISO 14001:2015


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Direct Benefits

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• Improving the ability to respond to regulatory compliance issues

• Reducing the overall costs arising out of Environmental Aspects• Reducing downtime and the costs of disruption to operations• Improving the needs of and expectations of Interested parties• Recognition for having achieved an international benchmark

(which may in turn influence other interested parties, such as customers who are concerned about their environmental/social responsibilities)

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EMS: Regulatory requirements in UAE


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EMS: Regulatory requirements in UAE

Environmental Authorities in UAE Websites

Environment Protection and Dev Authority - Rak AE http://epda.rak.ae/ar/Pages/default.aspx

Environment Agency - Abu Dhabi https://www.ead.ae/arabic/SitePages/Home.aspx

Sharjah Environment and Nature Reserves Authority http://www.epaashj.ae

Fujairah Municipality http://www.fujmun.gov.ae

Dubai Municipality http://login.dm.gov.ae/wps/portal/home_ar

Ajman Municipality and planning department http://www.am.gov.ae/ar

UAQ Municipality http://md.uaq.ae/ar/home.html

Sharjah Municipality https://portal.shjmun.gov.ae/en/pages/home13.aspx

Department of Municipal Affairs - Abu Dhabi https://www.abudhabi.ae/portal/public/ar/departments/adm

Abu Dhabi Municipality http://www.adm.gov.ae/ar/home/index.aspx

http://epda.rak.ae/ar/Pages/default.aspx

https://www.ead.ae/arabic/SitePages/Home.aspx

http://www.epaashj.ae/

http://www.fujmun.gov.ae/

http://login.dm.gov.ae/wps/portal/home_ar

http://www.am.gov.ae/ar

http://md.uaq.ae/ar/home.html

https://portal.shjmun.gov.ae/en/pages/home13.aspx

https://www.abudhabi.ae/portal/public/ar/departments/adm

http://www.adm.gov.ae/ar/home/index.aspx

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Key Terms & Definitions related to ISO 14001:2015:

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• Environmental management system : Part of the management system used to manage environmental aspects, fulfil compliance Obligations and address risks and opportunities

• Environmental policy: Intentions and direction of an organization related to environmental performance , as formally expressed by its top management

• Interested party: Person or organization that can affect, be affected by, or perceive itself to be affected by a decision or activity (EXAMPLE: Customers, communities, suppliers, regulators, non-governmental organizations, investors and employees)

• Environment: surroundings in which an organization operates, including air, water, land, natural resources, flora, fauna, humans and their interrelationships


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Key Terms & Definitions related to ISO 14001:2015:

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• Environmental Aspect: Element of an organization’s activities or products or services that interacts or can interact with the environment

• Note 1: An environmental aspect can cause (an) environmental impact(s). A significant environmental aspect is one that has or can have one or more significant environmental impact(s)

• Note 2: Significant environmental aspects are determined by the organization applying one or more criteria

• Environmental condition: State or characteristic of the environment as determined at a certain point in time

• Environmental Impact: Change to the environment, whether adverse or beneficial, wholly or partially resulting from an organization’s environmental aspects

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V 1.0

Annx SL: Advantages

Uniformity in documentation, implementation and audit efforts Enables accelerated focus Less conflicts Avoid duplication of Implementation efforts Prevent confusion/disorder Optimized efforts, time, resources Ease of management of multiple Management systems Enables seamless ONE-IMS

Annex SL, developed by ISO, is an underlying framework designed to provide a standardized and consistent approach to implementation, ongoing maintenance, and continual improvement of a management system.

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AUDITABLE


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Requirements of ISO 14001:2015 in brief

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Continued…..

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Continued…..


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1. Scope

2. Normative References

3. Terms and Definitions

4. Context of the Organization4.1 Understanding the organization and its context

4.2 Understanding the needs and expectations of interested parties

4.3 Determining the scope of the environmental management system

4.4 Environmental management system

Continued…..

External issues which

can be relevant to the context of the organization include:

• Environmental conditions related to climate, air quality, water quality, land use, existing contamination, natural resource availability and biodiversity, that can either affect the organization’s purpose, or be affected by its environmental aspects;

• The external cultural, social, political, legal, regulatory, financial, technological, economic, natural and competitive circumstances, whether international, national, regional or local

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5. Leadership

5.1 Leadership and commitment

5.2 Environmental Policy

5.3 Organizational roles, responsibilities and authorities

6 Planning

6.1 Actions to address risks and opportunities

6.1.1 General

6.1.2 Environmental Aspects

6.1.3 Compliance obligations

6.1.4 Planning action

6.2 Environmental objectives and planning to achieve them

6.2.1 Environmental objectives

6.2.2 Planning actions to achieve environmental objectives Continued…..

Continued…..

Changing Oil

Operation of

Equipment

Land filling

Storm Water

Management

Excavation

Generation of

Solid Waste

Processing of

composting

ACTIVITY ASPECTS IMPACTS

Changing Oil

Air Emissions

Use of Oil,

Absorbents

Recycling of Oil

Spills

Operation of

Equipment

Dust Generations

Air Emissions

Use of Raw

materials

Land filling Disposal

Storm Water

ManagementWater Flow

Excavation Soil disturbance

Generation of

Solid WasteLand Usage

Processing of

compostingWater quality

Changing Oil

Air Emissions

Use of Oil,

Absorbents

Recycling of Oil

Spills

Degrade Air Quality

Consumption of Natural Resources

Increase Landfill Space

Degrade Water Quality

Operation of

Equipment

Dust Generations

Air Emissions

Use of Raw

materials

Degradation of Air quality

Degradation of Noise quality

Use of Natural resources

Land filling Disposal Contamination of land

Storm Water

ManagementWater Flow Erosion

Excavation Soil disturbance Erosion

Generation of

Solid WasteLand Usage Aesthetics and Community environment

Processing of

compostingWater quality Water degradation


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7. Support7.1 Resources7.2 Competence7.3 Awareness7.4 Communication

7.4.1 General7.4.2 Internal Communication7.4.3 External Communication

7.5 Documented Information7.5.1 General7.5.2 Creating and updating7.5.3 Control of documented information

8. Operation8.1 Operational Planning and control

8.1.1 General8.1.2 Eliminating hazards and reducing risks8.1.3 Management of Change 8.1.4 Procurement

8.2 Emergency Preparedness and Response

Continued…..

Continued…..

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9. Performance Evaluation

9.1. Monitoring, measurement , analysis and performance evaluation

9.1.1 General

9.1.2 Evaluation of Compliance

9.2 Internal audit

9.2.1 General

9.2.2 Internal audit programme

9.3 Management Review

10. Improvement

10.1 General

10.2 Incident, nonconformity and corrective action

10.3 Continual Improvement

Annex A: Informative – Guide to use ISO 14001:2015

Continued…..


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ISO 14001:2015- EMS Family of/related standards

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Environmental management – ISO 14000 family of/related International Standards

• ISO 14004 provides guidance on the establishment, implementation, maintenance and improvement of an environmental management system and its coordination with other management systems• ISO 14006 is intended to be used by those organizations that have implemented an environmental management system in accordance with ISO 14001, but can help integrate eco-design into other management systems• ISO 14031, Environmental management-Environmental performance evaluation – Guidelines• ISO 14044, Environmental management - Life cycle assessment - Requirements and guidelines • ISO 14064-1 specifies principles and requirements at the organizational level for the quantification and reporting of greenhouse gas (GHG) emissions and removal• ISO 31000, Risk management — Principles and guidelines • ISO 31010, Risk management – Risk assessment techniques

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V 1.0

Approach to Audit Management(based on ISO 19011:2018)

Risk based thinking Competency of auditors Audit Programme Audit Plan Audit Checklist Opening Meeting Conducting audits NCRs, Closing Meeting Audit Report, Follow Up Closure

1-day Workshop in Auditing IMS 23


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Key Terms & Definitions related to audit :

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• Audit: Systematic, independent and documented process for obtaining objective evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled

• Audit Scope: Extent and boundaries of an audit

• Audit Criteria: Set of requirements used as a reference against which objective evidence is compared

• Audit programme: Arrangements for a set of one or more audits planned for a specific time frame and directed towards a specific purpose

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Key Terms & Definitions related to audit:

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• Audit Plan: Description of the activities and arrangements for an audit

• Objective evidence: Data supporting the existence or verity of something

• Risk: Effect of uncertainty

• Conformity: Fulfillment of a requirement

• Nonconformity: Non-fulfillment of a requirement

• Competence: Ability to apply knowledge and skills to achieve intended results


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ISO 19011:2018

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ISO 19011:2018- Guidelines for auditing management systems

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1. Scope2. Normative References3. Terms and Definitions

4. Principles of auditing

5. Managing an audit programme5.1 General5.2 Establishing the audit programme objectives5.3 Determining and evaluating audit programme risks

and opportunities5.4 Establishing the audit programme5.5 Implementing the audit programme5.6 Monitoring audit programme5.7 Reviewing and improving the audit programme

6. Conducting an audit6.1 General6.2 Initiating the audit6.3 Preparing audit activities6.4 Conducting the audit activities6.5 Preparing and distributing the audit report6.6 Completing the audit6.7 Conducting the audit follow-up

7.Competence and evaluation of auditors

7.1 General

7.2 Determining auditor competence

7.3 Establishing auditor evaluation criteria

7.4 Selecting the appropriate auditor evaluation method

7.5 Conducting auditor evaluation

7.6 Maintaining and improving auditor competence


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AUDITOR SKILLS & ATTRIBUTES

Attributes• Ethical

• Open-minded

• Diplomatic

• Punctual

• Professional

• Versatile

• Tenacious

• Un-biased

SKILLS• Planning

• Listening

• Observing

• Interview

• Analyzing

• Reporting

• Reviewing

• Judgment

KNOWLEDGE • Process / Function

• Compliance Requirements

• Compliance Requirements

• Criteria

http://extwprlegs1.fao.org/docs/pdf/uae67811E.pdf

http://extwprlegs1.fao.org/docs/pdf/uae67811E.pdf

https://www.ead.ae/Pages/Resources/Publications.aspx

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Determining auditor competence to fulfil the needs of the audit programme

Auditor is required to have appropriate knowledge and skills in

— the size, nature and complexity of the organization to be audited— the management system disciplines to be audited— the objectives and extent of the audit programme— other requirements, such as those imposed by external bodies— the complexity of the management system to be audited— the uncertainty in achieving audit objectives

Ref: ISO 19011:2018 > Clause 7.2.1


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Personal behaviour of auditor

Ref: ISO 19011:2018 > Clause 7.2.2

Auditors should exhibit professional behaviour during the performance of audit activities, including being

— ethical, i.e. fair, truthful, sincere, honest and discreet— open-minded, i.e. willing to consider alternative ideas or points of view— diplomatic, i.e. tactful in dealing with people— observant, i.e. actively observing physical surroundings and activities— perceptive, i.e. aware of and able to understand situations— versatile, i.e. able to readily adapt to different situations— tenacious, i.e. persistent and focused on achieving objectives— decisive, i.e. able to reach timely conclusions based on logical reasoning and analysis— acting with fortitude, i.e. able to act responsibly and ethically— decisive, self-reliant, open to improvement, culturally sensitive, collaborative

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Documented Information

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Audit Check-List

• What is a Checklist

• Contents

• Advantages

Audit Programme

• What is an Audit Programme

• Contents

• Advantages

Audit Plan

• What is an Audit Plan

• Contents

• Advantages

Nonconformity Report

• What is Nonconformity Report

• Contents

• Advantages & Closure

Audit Report


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Audit Plan – STAGE – 1 auditAdequacy Audit

Documentation Audit

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AUDIT PLAN– Stage 1 audit...continued

Ref: ISO 19011:2018 > Clause 6.3.2 Audit planning


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Sampling: Specimen Standards

ISO 2859-5:2005 (confirmed in 2014): The sampling schemes defined are applicable, but not limited, to the inspection of end items, components and raw materials, operations, materials in process, supplies in storage, maintenance operations, data or records, and administrative procedures

ISO 2859-3:2005 : The skip-lot sampling procedures specified are applicable to, but not limited to, inspection of end items, such as complete products or sub-assemblies, components and raw materials, and materials in process.

ISO 1920-1:2004 specifies procedures for the sampling of fresh concrete. The samples are used for the testing of properties of fresh concrete, or for making test specimens to determine the properties of hardened concrete.

ISO 3165:1976 (confirmed in 2018): Gives general recommendations applicable to all operations whatever the nature of the material being sampled is. Relates to safe access to and from the place where the sample is taken from and a safe working place with adequate safety regulations. Contains specific recommendations for hazardous products. The physical and chemical properties may be such that they can have a direct physiological effect or that fire or explosion risks are present during handling

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Preparing documented information for audit(ISO 19011:2018 > Clause 6.3.4)

Ref: ISO 19011:2018 > Clause 6.3.2 Audit planning

a) physical or digital checklistsb) audit sampling detailsc) audio visual information


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Audit Checklist (Sample -1)

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Audit Checklist (Sample-2)


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Opening Meeting

The purpose of the Opening Meeting is to:

1. Confirm the agreement of all participants (e.g. auditee, audit team) to the Audit Plan

2. Introduce the audit team and their roles

3. Ensure that all planned audit activities can be performed

Ref: ISO 19011:2018 > Clause 6.4.3 Conducting opening meeting

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Opening Meeting

AGENDA

• Introductions

• Record attendees

• Confirm Audit Scope & Audit Objectives

• Confirm the Audit Plan

• Explain the method of conduct of audit

• Sampling methods• Confirm any resources requested• Role of Guides, Observers, Tech Experts• Confirmation of audit timing• Termination and Appeals• Health and Safety, Access Issues

(Audit Team Leader chairs the Opening Meeting)

• Confirm auditee cooperation

• Establish lines of communications

• Promote auditee's participation in audit

• Confirm current revision of documentation

• Confirm Lunch arrangements• End of day briefings if required• Private Room for Team Discussions• Reporting Procedure and Closing• Any questions


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Ref: ISO 19011:2018 > Annx B > Table B.1

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Nonconformity ReportNONCONFORMITY REPORT FORM

Auditee MEC Date

Location Industrial Area, UAE Ref. No.

NCR No.

Auditor Name: NCR CategoryMajor

Auditee Name: Clause No.6.1.2

Auditee Dept:EMS

Description of Nonconformity: Criteria to determine the

Environmental aspect of spilling of detergent chemical into

potable water area are not available. No related

documentation retained for Aspect-Impact Assessment

Objective Evidence:

Detergent drum leaking and flowing into Production Line 4

near Manager’s office

Clause # of ISO 14001:2015 : 6.1.2 Environmental Aspects:

The organization shall maintain documented information of its:

— environmental aspects and associated environmental impacts

Auditor Sign: Auditee Sign:

Date:

Correction:

Root cause:

Completion Date: ______________

Auditee Sign: Date:

Corrective action taken by auditee:

Satisfactory : Not Satisfactory : (State Reasons)

Verified Date:

Sign


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Minor

An unintentional failure or a single observed lapse in non-fullfillment of a Requirement which does not have major impact on EMS


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6.5 Preparing and distributing audit report

The Audit Report should provide a complete, accurate, concise and clear record of the audit, and should include or refer to the following:a) Audit Objectivesb) Audit Scopec) identification of the audit clientd) identification of audit team and auditee’s participants in the audite) dates and locations where the audit activities were conductedf) Audit Criteriag) audit findings and related evidenceh) audit conclusionsi) a statement on the degree to which the audit criteria have been fulfilledj) any unresolved diverging opinions between the audit team and the auditeek) audits by nature are a sampling exercise; as such there is a risk that the audit evidence examined is not representative

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Follow Up

Agreed Corrective Action Plans are planned

and followed up by the Certification Body

usually in a scheduled visit/audit

In some cases, the Follow Up action for

verification/review of CAP may take place

during next Surveillance visit

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Surveillance/Re –Certification Audits

The 3rd party certifications are valid for 3 years

Surveillance Audits are required every year to

monitor the certification

Re-certification Audits are held before the

expiry of current certification


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Critical Success Factors : Audit Team

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• Competence development (Cross functional)

• Audit beyond checklist

• Communication, Coordination & Follow up shall be effective

• Focus value addition than Conformity

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Objectives Achieved?• Introduction to Audit of ISO 14001:2015

• Purpose & Benefits

• Key Terms & Definitions related to EMS


• Key Terms & Definitions related to Audit


• Types & Stages of Audit

• Documented Information

Audit Programme, Audit Plan

Audit Checklist, Audit Methods

Opening Meeting, NCR, Closing Meeting

Audit Report, Audit closure and Audit Follow-Up

• Auditor Competence Development

• Clarifications / Questions


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Clarification… If any?

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END OF THE SESSIONPlease return the feedback form at the reception!

welcome to seminar !! 01501 - 3fold education centre€¦ · 1 © 2019 3fold education centre . all...

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