The ISO 14000 EMS Audit Handbook

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ISBN: 9781574440690 | 1574440691
Cover: Hardcover
Copyright: 6/19/1997

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An innovative, cost-effective approach for the Environmental Management System (EMS) audit to ISO 14001, this book presents comprehensive strategies for conducting all phases of the EMS audit. Includes and EMS auditors checklist and questionnaire for ISO 14001.

PREFACE

xvii

1 INTRODUCTION TO EMS AUDITS

(32)

What Is an Environmental Management System?

(1)

The EMS Movement

(1)

Development of the International EMS Standard

(1)

Introduction to EMS Audits

(2)

Quality Systems Auditors (QSA)

(1)

Environmental Compliance Auditors (ECA)

(1)

Management

(2)

Key Definitions

(6)

Key Acronyms

(3)

Training the Internal EMS Auditor

(1)

Auditor Characteristics

(6)

Types of Auditors

(2)

EMS Audit Objectives

(1)

Key Differences--QMS/EMS Auditors

(2)

QMS/EMS--Sharing a Common Basis

(1)

Insights for EMS Auditor Qualifications

(1)

Key Considerations for EMS Audit Teams

(3)

2 THE ISO 14000 SERIES AUDIT STANDARDS

(10)

ISO 14010 Guidelines for Environmental Auditing: General Principles

(1)

4-Requirements for an Environmental Audit

(1)

5-General Principles

(1)

5.1-Objectives and Scope

(1)

5.2-Objectivity, Independence, and Competence

(1)

5.3-Due Professional Care

(1)

5.4-Systematic Procedures

(1)

5.5-Audit Criteria, Evidence, and Findings

(1)

5.6-Reliability of Audit Findings and Conclusions

(1)

ISO 14011 Guidelines for Environmental Auditing: Audit Procedures--Auditing of Environmental Management Systems

(1)

4-EMS Audit Objectives, Roles, and Responsibilities

(1)

4.1-Audit Objectives

(1)

4.2-Roles, Responsibilities, and Activities

(1)

4.2.1-Lead Auditor

(1)

4.2.4-Client

(2)

4.2.5-Auditee

(1)

5-Auditing

(1)

5.3-Executing the Audit

(1)

5.3.1-Opening Meeting

(1)

5.3.2-Collecting Evidence

(1)

5.3.3-Audit Findings

(1)

5.3.4-Closing Meeting

(1)

5.4-Audit Reports and Records

(1)

6-Audit Completion

(1)

ISO 14012 Guidelines for Environmental Auditing--Qualification Criteria for Environmental Auditors

(1)

Annex B (informative)--Environmental Auditor Registration Body

(2)

3 INITIAL ENVIRONMENTAL REVIEW (IER) AND GAP ANALYSIS

(12)

Introduction

(3)

Inside ISO 14004 EMS--General Guidelines on Principles, Systems, and Supporting Techniques

(1)

Key Principles for Management

(1)

Benefits of an EMS

(1)

EMS Principles and Elements

(1)

Initial Environmental Review (IER)

(1)

4.1.3-Initial Environmental Review

(1)

Practical Help--Initial Environmental Review

(2)

Practical Help--Environmental Policy

(3)

4 EMS AUDIT PROGRAMME DESIGN

(6)

Introduction

(1)

Activities and Areas to Be Considered in Audits

(1)

The Frequency of Audits

(1)

Responsibilities Associated with Managing and Conducting Audits

(1)

ISO 14001 4.5.4, EMS Audit

(1)

Communications of Audit Findings

(1)

Auditor Competence

(1)

How Audits Will Be Conducted

(2)

5 ISO 14001 INTERPRETATION FOR AUDIT

(94)

ISO Through Use

(7)

Interpretation

(1)

Annex A--Guidance on the Use of the Specification

(1)

Common System Nonconformances (CSN)

(1)

Links Between ISO 9001 and ISO 14001 Standards

(1)

EMS Auditor Checklist/Questionnaire

(1)

Understanding the Universal Audit Checklist (UAC)

(1)

Universal Audit Checklist

(2)

ISO 14001 Interpretation for Audit

(5)

Annex A.2--Environmental Policy for Guidance on Use

(1)

ISO 14001, 4.2--Environmental Policy

(3)

Common System Nonconformances (CSN)

(1)

EMS Auditor Checklist/Questionnaire

(1)

ISO 14001--4.3 Planning

(6)

Annex A.3.1--Environmental Aspects

(4)

Determination of Significant Impacts

(1)

Common System Nonconformances (CSN)

(1)

EMS Auditor Checklist/Questionnaire

(1)

ISO 14001, 4.3.2--Legal and Other Requirements

(3)

Annex A.3.2--Legal and Other Requirements

(1)

Common System Nonconformances (CSN)

(1)

EMS Auditor Checklist/Questionnaire

(1)

ISO 14001, 4.3.3--Objectives and Targets

(5)

Annex A.3.3--Objectives and Targets

(2)

Initial Design and Development

(1)

Midstream

(1)

After Completion of Achieving Targets

(1)

Common System Nonconformances (CSN)

(1)

EMS Auditor Checklist/Questionnaire

(1)

ISO 14001, 4.3.4--Environmental Management Programme(s)

(4)

Annex A.3.4--Environmental Management Programme(s)

(2)

Common System Nonconformances (CSN)

(1)

EMS Auditor Checklist/Questionnaire

(1)

ISO 14001, 4.4--Implementation and Operation

(6)

4.4.1--Structure and Responsibility

(1)

Annex A.4.1--Structure and Responsibility

(5)

Common System Nonconformances (CSN)

(1)

EMS Auditor Checklist/Questionnaire

(1)

ISO 14001, 4.4.2--Training, Awareness, and Competence

(4)

Annex A.4.2--Training, Awareness, and Competence

(2)

Common System Nonconformances (CSN)

100

(1)

EMS Auditor Checklist/Questionnaire

101

(1)

ISO 14001, 4.4.3--Communication

101

(5)

Annex A.4.3--Communication

102

(3)

Common System Nonconformances (CSN)

105

(1)

EMS Auditor Checklist/Questionnaire

106

(1)

ISO 14001, 4.4.4--Environmental Management System Documentation

106

(3)

Annex A.4.4--Environmental Documentation

106

(3)

Common System Nonconformances (CSN)

109

(1)

EMS Auditor Checklist/Questionnaire

109

(1)

ISO 14001, 4.4.5--Document Control

109

(8)

Annex A.4.5--Document Control

110

(3)

Flowchart Assessment Checklist

113

(2)

Common System Nonconformances (CSN)

115

(1)

EMS Auditor Checklist/Questionnaire

116

(1)

ISO 14001, 4.4.6--Operational Control

117

(5)

Annex A.4.6--Operational control

117

(4)

Common System Nonconformances (CSN)

121

(1)

EMS Auditors Checklist/Questionnaire

121

(1)

ISO 14001, 4.4.7--Emergency Preparedness and Response

122

(5)

Annex A.4.7--Emergency Preparedness and Response

122

(4)

Common System Nonconformances (CSN)

126

(1)

EMS Auditors Checklist/Questionnaire

126

(1)

ISO 14001, 4.5--Checking and Corrective Action

127

(1)

ISO 14001, 4.5.1--Monitoring and Measurement

127

(6)

Annex A.5.1--Monitoring and Measurement

127

(4)

Common System Nonconformances (CSN)

131

(1)

EMS Auditor Checklist/Questionnaire

132

(1)

ISO 14001, 4.5.2--Nonconformance and Corrective and Preventive Action

133

(7)

Annex A.5.2--Nonconformance and Corrective and Preventive Action

133

(5)

Common System Nonconformances (CSN)

138

(1)

EMS Auditors Checklist/Questionnaire

139

(1)

ISO 14001, 4.5.3--Records

140

(4)

Annex A.5.3--Records

140

(3)

Common System Nonconformances (CSN)

143

(1)

EMS Auditors Checklist/Questionnaire

143

(1)

ISO 14001, 4.5.4--Environmental Management System Audit

144

(5)

Annex A.5.4--Environmental Management System Audit

144

(4)

Common System Nonconformances (CSN)

148

(1)

EMS Auditor Checklist/Questionnaire

149

(1)

ISO 14001, 4.6--Management Review

149

(6)

Annex A.6--Management Review

150

(1)

Common System Nonconformances (CSN)

151

(1)

EMS Auditors Checklist/Questionnaire

152

(3)

6 THE AUDITED ORGANIZATION

155

(10)

Introduction

155

(1)

Establishing Primary Contact

155

(2)

Company Personalities

157

(5)

The Escort

162

(3)

7 EMS AUDIT PLANNING

165

(16)

Introduction

165

(1)

EMS Audit Questionnaire

166

(1)

EMS Audit Questionnaire for ISO 14001

167

(3)

Review

170

(2)

Development of the EMS Audit Plan

172

(1)

EMS Audit Plan

172

(3)

Audit Team Coordination

175

(1)

Two-Person EMS Audit Team

176

(1)

Three-Person EMS Audit Team

177

(1)

Roles of the Lead Auditor--Planning

178

(1)

Allocation of Resources, Personnel, and Time

178

(1)

Transportation/Accommodations

179

(2)

8 SCHEDULING THE AUDIT

181

(16)

Auditee Notification

181

(1)

External Audit Notification

181

(3)

Internal Audit Notification

184

(1)

EMS Audit Schedule(s)

185

(5)

Selection Criteria

185

(1)

Priorities

186

(1)

Availability

187

(1)

Travel and Lodging

187

(1)

Assignments

187

(1)

Discussion

188

(1)

Priorities

189

(1)

Protocols

189

(1)

Surprise Audits

190

(1)

Daily Agendas/Activities

190

(3)

Personal Time

193

(1)

Transportation and Accommodations

194

(1)

Auditee Representation

195

(1)

Multiple Shift Operations Coordination

195

(1)

Change Control

196

(1)

9 THE PRE-AUDIT CONFERENCE

197

(12)

The Arrival

197

(1)

Introductions

197

(1)

Guide for the Pre-Audit Conference

198

(5)

Facility Tour Coordinations

203

(1)

Escorts

203

(1)

Availability of Key Personnel

204

(1)

Documents Change Control

204

(1)

Agenda Change Control

205

(1)

Auditee Statements

205

(1)

Daily Debriefings

206

(1)

Management Recognitions

207

(1)

Team Chairperson Coordination

207

(2)

10 THE EMS AUDIT

209

(30)

Philosophy and Techniques

209

(3)

Phase I--Audit Venues

212

(3)

Phase II--Steps

215

(2)

Communications

217

(1)

Sampling

218

(1)

Team Chairperson's Responsibilities

219

(5)

Lead the Team

221

(1)

Lead the Arrival Conference

221

(1)

Represent the Team

221

(1)

Make Final Decision

221

(1)

Stay Advised

222

(1)

Supervise and Coordinate

222

(1)

Leader and Team Player

222

(1)

Take Charge

222

(1)

Decision Maker

222

(1)

Firm but Fair

223

(1)

Extraordinary Knowledge

223

(1)

Express Self

223

(1)

Review and Determine

223

(1)

Write Effectively

223

(1)

Associate EMS Auditors

224

(1)

Words to Challenge

224

(3)

Questioning Techniques

227

(2)

Documents Review--Availability

229

(1)

Data Collection and Review

230

(1)

Categorizing Deficiencies

231

(1)

Flowchart Assessment and Auditor Checklist

231

(1)

Standard Assessment Questions

232

(1)

Auditor/Auditee Interfacing

233

(1)

Data to Record

233

(3)

The Classic "Time-Wasters"

236

(1)

Operational Verification and Assessments

237

(2)

11 THE POST-AUDIT CONFERENCE

239

(6)

Chairperson Guide for Conducting Exit Interview

239

(3)

Attendance Lists

242

(1)

Auditee Comments/Reaction--Disclaimers Clause

242

(1)

Confidentialities

242

(1)

Communication Skills

242

(1)

Presentation Methods

243

(1)

The Conference Room

243

(1)

Report Distribution

244

(1)

Follow-up

244

(1)

Corrective Action Direction

244

(1)

12 EMS AUDIT REPORTING

245

(18)

Data to Record

245

(1)

EMS Audit Report Form

246

(4)

Reporting Examples

250

(1)

Summary Report

250

(2)

Third-Party Summary Report

252

(1)

Report Response

253

(1)

Environmental Communications Memo

254

(1)

Confidentialities

254

(3)

Corrective/Preventive Action Reply

257

(1)

Types of Reports

258

(1)

Words to Avoid

258

(1)

Challengeable/Nonchallengeable Reports--Recommendations

259

(2)

Distribution

261

(2)

13 FOLLOW-UP AUDIT AND CLOSE-OUT

263

(6)

Audit Report Collection

263

(1)

Document/Procedure Assessment

264

(1)

Change Control Verification

264

(1)

Obsolete Document Controls

265

(1)

Corrective Action

265

(1)

Preventive Action

265

(1)

Verification/Validation of Change

266

(1)

Follow-up Audits

266

(1)

Reporting

266

(1)

Close-out

266

(1)

Follow-on Assessments

267

(1)

Training/Qualification for Change

267

(2)

14 SUPPORTIVE ENVIRONMENTAL AUDITS AND ASSESSMENTS

269

(26)

Reasons for Conducting Environmental Audits and Assessments

269

(2)

Role of Attorney

271

(1)

Regulatory Compliance Audits

271

(6)

Environmental Legislation

271

(1)

Clean Air Act

272

(1)

Clean Water Act and Safe Drinking Water Act

273

(1)

Comprehensive Environmental Response, Compensation, and Liability Act

274

(1)

Superfund Amendments and Reauthorization Act

274

(1)

Pollution Prevention Act

275

(1)

Resource Conservation and Recovery Act

275

(1)

Toxic Substances Control Act

276

(1)

Other Federal Environmental or Environmentally Related Legislation

277

(1)

Occupational Health and Safety Act

277

(1)

Technology Improvement Act

278

(1)

Incentives for Self-Policing, Discovery, Disclosure, Correction, and Prevention of Violations

278

(2)

Conformity Assessment

280

(3)

Management Reviews

283

(1)

Initial Reviews

284

(2)

Life-Cycle Assessment (LCA)

286

(4)

Environmental Performance Evaluations (EPE)

290

(1)

Environmental Site Assessments (ESA)

291

(1)

Risk Assessment

292

(3)

15 EMS AUDITOR QUALIFICATION, CERTIFICATION, AND TRAINING

295

(6)

EARA and the RAB

295

(2)

Application Structure and Content

297

(1)

Qualification Training

298

(3)

INDEX

301

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The ISO 14000 EMS Audit Handbook

Summary

Table of Contents

Supplemental Materials

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