Lesson 7: EMS Auditing and Certification PDF

Lesson 7 EMS Auditing and Certification Learning Objectives Understand the auditing process. Prepare for internal and external audits. Explore the certification process. Terms: -Internal Audit: A systematic, objective evaluation of the effectiveness of an organization's EMS conducted by in...

Lesson 7 EMS Auditing and Certification Learning Objectives Understand the auditing process. Prepare for internal and external audits. Explore the certification process. Terms: -Internal Audit: A systematic, objective evaluation of the effectiveness of an organization's EMS conducted by internal personnel. - External Audit: An independent assessment of an organization's EMS by an external certification body to determine compliance with established standards. Examples: Internal Audit: Conducting a review of environmental objectives and targets within the organization. External Audit: An external auditor evaluating the implementation of ISO 14001 standards in the organization. Bureau Veritas Certification Philippines NSF International Philippines Certification, Inc.  Internal Audits 1.Establish the Audit Program: Define the scope, objectives, and criteria for the internal audit. If the EMS covers areas like water usage and pollution control, the audit program would outline these aspects for evaluation. 2.Select and Train Auditors: Choose competent auditors and provide training on EMS, auditing techniques, and organizational processes. Auditors may receive training on assessing compliance with environmental regulations and the organization's procedures related to water quality management. 3.Plan the Audit: Develop a detailed audit plan, including checklists and schedules. If the audit focuses on air emissions, the plan might specify areas like emissions monitoring, compliance with emission limits, and record-keeping practices. 4.Conduct the Opening Meeting: Introduce the audit team, explain objectives, and address initial concerns. In an opening meeting, auditors may communicate that the goal is to ensure that air emissions are within permissible limits and that monitoring practices are effective. 5.Gather Evidence: Collect evidence through interviews, document reviews, and observations. Assessing compliance with waste management procedures may involve reviewing waste disposal records, interviewing responsible personnel, and observing waste handling practices. 6.Evaluate Findings: Assess the significance of findings in terms of their impact on the EMS and environmental performance. If a finding reveals insufficient training on environmental procedures, its significance would be high due to the potential for errors in environmental management. 7.Conduct the Closing Meeting: Summarize findings, discuss non-conformities, and obtain commitments for corrective actions. If a non-conformity is identified in energy consumption reporting, the closing meeting may involve discussing the corrective actions needed to improve reporting accuracy. 8.Prepare the Audit Report: Document findings, non-conformities, and opportunities for improvement in the audit report. The report may highlight areas of good practice and recommend improvements, such as enhanced training programs or revised procedures for better environmental performance. 9.Follow-Up: Monitor the implementation and effectiveness of corrective actions. If corrective action involves updating a procedure, follow-up ensures the revised procedure is in place and being followed. 10. Close the Audit: Officially conclude the internal audit, archive records, and provide feedback for continual improvement. Lessons learned from the audit may inform updates to training programs and improvements to the EMS documentation.  External Audits 1.Initiation and Planning: The external audit begins with planning, including defining the scope and objectives. A certification body may plan an audit to assess an organization's compliance with a specific environmental standard, such as ISO 14001. 2.Document Review: Examine relevant documents, procedures, and records to assess compliance. The external auditor may review an organization's environmental policy, procedures for waste management, and records of environmental aspects and impacts. 3.On-Site Assessment: Conduct on-site visits to verify practices align with documented procedures. The auditor may observe the organization's waste handling practices, interview personnel, and review equipment and monitoring systems. 4.Identification of Non-Conformities: Identify instances where the organization deviates from the standard's requirements. If the organization fails to conduct required environmental impact assessments, the auditor may identify this as a non-conformity. 5.Communication of Findings: Share audit findings with the organization's management. The certification body communicates non-conformities, areas of compliance, and opportunities for improvement to the organization's management. 6.Corrective Actions: The organization addresses identified non-conformities and implements corrective actions. If a non-conformity relates to inadequate training on environmental procedures, the organization may implement a corrective action plan to enhance training programs 7.Follow-Up Audits (if necessary): In some cases, the certification body may conduct follow-up audits to verify the implementation of corrective actions. The certification body may return for a follow-up audit to ensure that the organization has successfully addressed and corrected identified non-conformities. 8.Certification Decision: Based on the audit findings and corrective actions, the certification body makes a decision regarding certification. If the organization has successfully addressed all non-conformities and demonstrated compliance with the environmental standard, they may be granted or retain certification. 9.Surveillance Audits: Periodic audits may be conducted to ensure ongoing compliance. The certification body may perform surveillance audits annually to verify that the organization is maintaining its EMS and continuing to meet the requirements of the environmental standard. 10.Renewal Audits: Renewal audits are conducted at scheduled intervals to maintain certification. Organizations typically undergo a renewal audit every few years to ensure that they continue to meet the criteria for certification  Preparing for an Audit - Audit Preparation is the process of getting an organization ready for an audit, ensuring that all necessary documentation and processes are in place. Examples: - Documenting environmental policies and procedures. - Conducting internal training sessions on audit procedures. 1. Establish the Audit Team: Form a dedicated audit team with members familiar with the organization's EMS and environmental regulations. 2. Review Environmental Policies and Procedures: Ensure that environmental policies and procedures are up-to-date and align with current regulations and standards. 3. Identify Regulatory Requirements: Review and update a comprehensive list of applicable environmental laws and regulations relevant to the organization's operations. 4. Conduct Internal Audits: Perform internal audits to identify potential non- conformities and areas for improvement. 5. Develop an Audit Plan: Outline the scope, objectives, and criteria for the audit. Define the audit schedule, including dates, locations, and responsible parties. 6. Provide Audit Training: Train employees on the audit process, including their roles and responsibilities during the audit. 7. Document Control Procedures: Ensure that document control procedures are in place, and all relevant documents are accessible to the audit team. 8. Review Emergency Response Plans Confirm that emergency response plans are current, and employees are familiar with their roles in case of environmental incidents. 9. Prepare Evidence Documentation: Gather evidence of compliance with environmental policies, procedures, and regulations. This may include records, reports, and monitoring data. 10. Communicate with Stakeholders: Inform relevant stakeholders about the upcoming audit, including employees, suppliers, and regulatory bodies. 11. Mock Audit (Optional): Conduct a mock audit to simulate the actual audit process, identify potential issues, and ensure readiness. 12. Continuous Improvement Plan: Establish a continuous improvement plan based on audit findings to address non-conformities and enhance the effectiveness of the EMS.  EMS Certification Process EMS Certification is a formal recognition by an external certification body that an organization's EMS complies with specific standards, such as ISO 14001. Examples: - ISO 14001 Certification: Recognizing an organization for implementing an effective environmental management system. Steps in EMS Certification: 1.Initial Contact with a Certification Body: The organization initiates the certification process by reaching out to a certification body, an independent entity accredited to assess and certify EMS compliance. An organization decides to pursue ISO 14001 certification and contacts a recognized certification body to express its interest. 2.Documentation Review and Assessment: The certification body reviews the organization's EMS documentation to ensure it aligns with the requirements of the chosen standard (e.g., ISO 14001). The certification body examines the organization's environmental policy, procedures, and records to assess the design and implementation of the EMS. 3.On-site Audit by External Auditors: External auditors from the certification body conduct an on- site assessment to verify the practical implementation of the EMS. Auditors visit the organization's facilities, observe environmental management practices, interview personnel, and assess compliance with the standard's requirements. 5.Corrective Actions, If Required: If non-conformities or areas for improvement are identified during the audit, the organization must address these through corrective actions. The certification body may identify a non-conformity related to incomplete documentation of environmental aspects. The organization responds by updating its documentation to address this issue. 5.Certification Issuance: Once the certification body is satisfied that the organization's EMS meets the standard's requirements, it issues the EMS certification. The certification body grants ISO 14001 certification to the organization, acknowledging its effective implementation of an environmental management system.