WELCOME TO SEMINAR!! HOW TO CONDUCT EMS AUDITS EFFECTIVELY. as per ISO 14001:2015 & ISO 19011:2018

Transcription

1 WELCOME TO SEMINAR!! HOW TO CONDUCT EMS AUDITS EFFECTIVELY as per & ISO 19011:2018 PMI, PMP, PMBOK and the PMI Registered Education Provider logo are registered marks of the Project Management Institute, Inc. At the end of the Seminar, please fill the Feedback Form! (Yellow sheet in your notebook) Return the feedback form at the reception! 1

2 INTRODUCTION 2

3 Objectives Introduction to Audit of Purpose & Benefits Key Terms & Definitions related to EMS Overview of Key Terms & Definitions related to audit Overview of ISO 19011:2018 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 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. 3

4 Objectives & Benefits of Direct Benefits 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) 9 4

5 EMS: Regulatory requirements in UAE EMS: Regulatory requirements in UAE Environmental Authorities in UAE Environment Protection and Dev Authority - Rak AE Environment Agency - Abu Dhabi Sharjah Environment and Nature Reserves Authority Fujairah Municipality Dubai Municipality Ajman Municipality and planning department UAQ Municipality Sharjah Municipality Department of Municipal Affairs - Abu Dhabi Abu Dhabi Municipality Websites

6 Key Terms & Definitions related to : 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 13 Key Terms & Definitions related to : 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 14 6

7 14001:2015 Annx SL: Advantages V 1.0ISO 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. 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 AUDITABLE 15 Requirements of in brief Continued

8 Requirements of in brief Continued.. 17 Requirements of in brief 1. Scope 2. Normative References 3. Terms and Definitions 4. Context of the Organization 4.1 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 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 Continued

9 Continued.. Requirements of in brief 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 General Environmental Aspects Compliance obligations Planning action 6.2 Environmental objectives and planning to achieve them Environmental objectives ACTIVITY ASPECTS IMPACTS Changing Oil Air Emissions Degrade Air Quality Operation of Use of Oil, Equipment Consumption of Natural Resources Changing Oil Absorbents Increase Landfill Space Land filling Recycling of Oil Degrade Water Quality Spills Storm Water Management Excavation Dust Generations Degradation of Air quality Generation Operation of of Air Emissions Solid Waste Degradation of Noise quality Equipment Use of Raw Use of Natural resources materials Processing of composting Land filling Disposal Contamination of land Storm Water Water Flow Erosion Management Excavation Soil disturbance Excavation Soil disturbance Erosion Generation of Land Usage Solid Generation Waste of Land Usage Aesthetics and Community environment Solid Waste Processing of Water quality composting Processing of Water quality Water degradation composting Planning actions to achieve environmental objectives Continued.. 19 Continued.. Requirements of in brief 7. Support 7.1 Resources 7.2 Competence 7.3 Awareness 7.4 Communication General Internal Communication External Communication 7.5 Documented Information General Creating and updating Control of documented information 8. Operation 8.1 Operational Planning and control General Eliminating hazards and reducing risks Management of Change Procurement 8.2 Emergency Preparedness and Response Continued

10 Continued.. Requirements of in brief 9. Performance Evaluation 9.1. Monitoring, measurement, analysis and performance evaluation General Evaluation of Compliance 9.2 Internal audit General 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 21 - EMS Family of/related standards Environmental management ISO family of/related International Standards ISO provides guidance on the establishment, implementation, maintenance and improvement of an environmental management system and its coordination with other management systems ISO is intended to be used by those organizations that have implemented an environmental management system in accordance with ISO 14001, but can help integrate ecodesign into other management systems ISO 14031, Environmental management-environmental performance evaluation Guidelines ISO 14044, Environmental management - Life cycle assessment - Requirements and guidelines ISO 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 22 10

11 14001:2015 Approach to Audit Management (based on ISO 19011:2018) V 1.0ISO 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 Key Terms & Definitions related to audit : 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 24 11

12 Key Terms & Definitions related to audit: 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 25 ISO 19011:

13 ISO 19011:2018- Guidelines for auditing management systems 1. Scope 2. Normative References 3. Terms and Definitions 4. Principles of auditing 5. Managing an audit programme 5.1 General 5.2 Establishing the audit programme objectives 5.3 Determining and evaluating audit programme risks and opportunities 5.4 Establishing the audit programme 5.5 Implementing the audit programme 5.6 Monitoring audit programme 5.7 Reviewing and improving the audit programme 6. Conducting an audit 6.1 General 6.2 Initiating the audit 6.3 Preparing audit activities 6.4 Conducting the audit activities 6.5 Preparing and distributing the audit report 6.6 Completing the audit 6.7 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 27 AUDITOR SKILLS & ATTRIBUTES KNOWLEDGE Process / Function Compliance Requirements Compliance Requirements Criteria SKILLS Planning Listening Observing Interview Analyzing Reporting Reviewing Judgment Attributes Ethical Open-minded Diplomatic Punctual Professional Versatile Tenacious Un-biased 13

14 AUDITOR SKILLS & ATTRIBUTES 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 AUDITOR SKILLS & ATTRIBUTES Personal behaviour of auditor 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 Ref: ISO 19011:2018 > Clause

15 Audit Programme What is an Audit Programme Contents Advantages Nonconformity Report What is Nonconformity Report Contents Advantages & Closure Documented Information Audit Plan What is an Audit Plan Contents Advantages Audit Check-List What is a Checklist Contents Advantages Audit Report 31 Audit Plan STAGE 1 audit Adequacy Audit Documentation Audit 15

16 AUDIT PLAN Stage 1 audit...continued Ref: ISO 19011:2018 > Clause Audit planning Sampling: Specimen Standards ISO :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 :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 :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 16

17 Preparing documented information for audit (ISO 19011:2018 > Clause 6.3.4) a) physical or digital checklists b) audit sampling details c) audio visual information Ref: ISO 19011:2018 > Clause Audit planning Audit Checklist (Sample -1) 17

18 Audit Checklist (Sample-2) 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 Conducting opening meeting 18

19 Opening Meeting (Audit Team Leader chairs the Opening Meeting) AGENDA Introductions Record attendees Confirm Audit Scope & Audit Objectives Confirm the Audit Plan Explain the method of conduct of audit Confirm auditee cooperation Establish lines of communications Promote auditee's participation in audit Confirm current revision of documentation Sampling methods Confirm any resources requested Role of Guides, Observers, Tech Experts Confirmation of audit timing Termination and Appeals Health and Safety, Access Issues Confirm Lunch arrangements End of day briefings if required Private Room for Team Discussions Reporting Procedure and Closing Any questions Ref: ISO 19011:2018 > Annx B > Table B.1 19

20 SITE VISIT 20

21 Audit Checklist (Sample-1) Audit Checklist (Sample-2) 21

22 Nonconformity Report NONCONFORMITY REPORT FORM Auditee MEC Location Industrial Area, UAE Auditor Name: Date Ref. No. NCR No. NCR Category Major Auditee Name: Clause No 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 : Environmental Aspects: The organization shall maintain documented information of its: environmental aspects and associated environmental impacts Auditor Sign: Date: Correction: Root cause: Auditee Sign: Completion Date: Auditee Sign: Date: Corrective action taken by auditee: Satisfactory : Not Satisfactory : (State Reasons) Verified Sign Date: Nonconformity Report 22

23 Nonconformity Report Minor An unintentional failure or a single observed lapse in non-fullfillment of a Requirement which does not have major impact on EMS 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 Objectives b) Audit Scope c) identification of the audit client d) identification of audit team and auditee s participants in the audit e) dates and locations where the audit activities were conducted f) Audit Criteria g) audit findings and related evidence h) audit conclusions i) a statement on the degree to which the audit criteria have been fulfilled j) any unresolved diverging opinions between the audit team and the auditee k) audits by nature are a sampling exercise; as such there is a risk that the audit evidence examined is not representative 23

24 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 24

25 Surveillance/Re Certification Audits The 3 rd 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 Critical Success Factors : Audit Team Competence development (Cross functional) Audit beyond checklist Communication, Coordination & Follow up shall be effective Focus value addition than Conformity 53 25

26 Objectives Achieved? Introduction to Audit of Purpose & Benefits Key Terms & Definitions related to EMS Overview of Key Terms & Definitions related to Audit Overview of ISO 19011:2018 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 Clarification If any? 55 26

27 Please return the feedback form at the reception! END OF THE SESSION 27