The Implementation Workbook. **** Integrating the. ISO and OHSAS Management Systems

Transcription

1 The Implementation Workbook **** Integrating the ISO and OHSAS Management Systems Rev. 0 Copyright 2010 Lorne Duquette Distributed by 1

2 The Implementation Workbook Integrating the ISO and OHSAS management systems Contents Workbook cover page Workbook contentspage Section 1 The Preparation Phase Section 2 The Development Phase Section 3 The Implementation and Registration Phase Notes: This implementation workbook is suitable for use with the ISO 14001:2004 Environmental and the OHSAS 18001:2007 Occupational Health and Safety standards for management systems. The workbook is best utilized with implementation training tools as provided in a series of ppt presentations covering the three sections. Visit for the presentation package that matches the workbook sections. Rev. 0 Copyright 2010 Lorne Duquette Distributed by 2

3 The Implementation Workbook Integrating the ISO and OHSAS management systems Comments and Instructions: Congratulations on the management decision to implement the integrated ISO 14001:2004 environmental and OHSAS 18001:2007 occupational health and safety management systems. This commitment and your participation say alot about you and show that you are interested in learning, in growing, and in improving your business. This ISO and OHSAS workbook becomes an implementation tool and is intended to make your project as organized as possible when executing aset of tasks in the sequence that they are normally required on the journey to multiple certifications. An important first activity or prerequisite as the integrated Environmental and Health and Safety programis launched, is for the EMS-OHS Management Representative to become as familiar as possible with the workbook format and content. The Workbook: The workbook is presented in three sections where the Tasks and Exercises are introduced, initiated and completed. You will find that your workbook can be used and marked up to develop and detail the information required for each task and exercise. The Workbook Forms: However, since more than one person will be involved in the project, the workbook forms that represent the tasks and the exercises are provided in word format for distribution to the staff that will be participating and providing inputs. The Workbook Presentations: The workbook is best utilized with the implementation training tools as provided in a series of ppt presentations that match the workbook sections. The presentations become very effective tools that the EMS-OHS Management Representative, as the project manager, can use to keep the momentum moving toward a target registration date. Good Luck with this important initiative. Rev. 0 Copyright 2010 Lorne Duquette Distributed by 3

4 Task 12.c Perform the Initial OH&S Review PlantWorkplace The current position with regard to health and safety as related to the plantmanufacturing workplace is established bymeans of an initial review and recorded from the review areas / questions tabled below. Refer to the flow diagrams (ref Task 11) showing your plant operations to assist with the location and identification of areas that need attention. The examples outlined below do not list all the possible items for assessing manufacturing facilities. Abetter checklist is one that covers your specific needs. Reviewed by: Date: Comments / Observations OK = Under Control X= Needs Attention TRAINING Is training provided for each person newly assigned to a job? Does initial training include a thorough review of hazards and accidents associated with the job? Is adequate instruction in the use of personal protective equipment provided? Is training for the use of emergency equipment provided? Are workers knowledgeable in the "Right to Refuse" procedures? ENVIRONMENT Are resources available to deal with very hot or very cold conditions (drinking water, lined gloves, insulated boots)? Is the rain gear that is provided comfortable, and light enough so as not to constitute ahazard? Are work surfaces and grip surfaces safe when wet? Do workers know the symptoms of heat cramps, heatstroke? WORK PROCESS Rev. 0 Copyright 2010 Lorne Duquette Distributed by 35

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8 ISO 14001:2004 ENVIRONMENTAL MANAGEMENT SYSTEM ***** OHSAS 18001:2007 OCCUPATIONAL HEALTH AND SAFETY MANAGEMENT SYSTEM ***** EMS-OHS-001 MANUAL Type Your Company Name, Address, City,State, Zip Here

9 This generic manual is to be used as atemplate in developing your Manual for the integrated ISO Environmental management system and the OHSAS 18001:2007 Occupational health and safety management system. Review the text and replace / revise it to match your Environmental and Health and Safety management system requirements. Insert any other available information that would further enhance the company introduction, (preferably electronically). At a minimum, the blue text should be replaced /revised with your information. Your Company indicates that you should use your company name in that spot. Use replace function enter Your Company in find space, enter your company name in replace space system should make changes throughout the entire document. In the header, replace the name and logos with your company name and logo. In thefooter, the inclusion of both the Green-Recycle and the Red-Safety Icons indicates that the document is relevant to both ISO and the OHSAS standards. For example, in this manual, both the Green-Recycle and the Red-Safety Icons are included. In thefooter for procedures, instructions,forms and attachments requiredfor the integrated Environmental and OH&S management system, asingle Green Icon indicates adocument that is specific to ISO and a single Red Icon indicates adocument that is specific to OHSAS Note that in addition to the above icon designations, the procedures and instructions are distinguished asfollows: The letters EH preceding a document number indicates that it is relevant to both ISO and OHSAS The number 14 preceding adocument number indicates that it is specific to ISO The number 18 preceding adocument number indicates that it is specific to OHSAS

10 EM-HS-001 EMS and OH&S Manual 1.1 Scope of the EMS Section 1: Scope General The first section of the integrated manual outlines the policies, procedures and requirements of the Environmental ManagementSystem. The system is structured to comply with the conditions set forth in the International Standard ISO 14001:2004. Application Your Company defines and documents the scopeof its Environmental Management System and includes what activities, operations, services and products are included in the EMS. Describe the scope of your EMS: For example: The scope of the Environmental Management System includes the major product and service categories associated with the primary functions of designing and manufacturing toys at the Main Street location and preparing the product for the public at large. 1.2 Scope of the OH&S system General The next section of the integrated manual that follows the EMS section outlines the policies, procedures and requirements of the Occupational Health and Safety Management System. The system is structured to comply with the conditions set forth in the International Standard OHSAS 18001:2007. Application Your Company defines and documents the scopeof its OH&S Management System and includes what activities, operations, services and products are included in the OH&S system. Describe the scope of your OH&S management system: For example: The scope of the Occupational Health and SafetyManagement System includes the major product and service categories associated with the primary functions of designing and manufacturing toys at the Main Street location and preparing the product for the public at large. EM-HS-001 EMS and OH&S Manual -Rev-1 Page 6 of 38 Date printed 10/19/10 2:08 PM

11 EM-HS-001 EMS and OH&S Manual 3.2 Occupational Health and Safety Management System Definitions This section is for the definitions unique to Your Company.20 Review section 3of the OHSAS standard and add, delete and revise definitions as appropriate to your OH&S system. The following definitions apply: Acceptable risk: Risk that has been reduced to alevel that can be tolerated by the organization having regard to its legal obligations and its own OH&S policy. Audit: Systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the Occupational Health and Safety management system audit criteria set by the organization are fulfilled Ill health: Identifiable, adverse physical or mental condition arising from and/or made worse by awork activity and/or work-related situation OH&S objective: OH&S goal, in terms of OH&S performance that an organization sets itself to achieve. Risk: Combination of the likelihood of an occurrence of ahazardous event or exposure(s) and the severity of injury or ill health that can be caused by the event or exposure(s). Etc, as required by Your Company EM-HS-001 EMS and OH&S Manual -Rev-1 Page 9 of 38 Date printed 10/19/10 2:08 PM

12 EM-HS-001 EMS and OH&S Manual This section of the Integrated Environmental and OH&S Manual Covers the OHSAS 18001:2007 Occupational Health and Safety Management System EM-HS-001 EMS and OH&S Manual -Rev-1 Page 25 of 38 Date printed 10/19/10 2:08 PM

13 EM-HS-001 EMS and OH&S Manual Section 4.3 Planning Hazard Identification, Risk Assessment and Determining Controls Your Company establishes, implements, documents and maintains asystem to identify health and safety hazards, assess risks associated with them and determine the necessary controls. A consistent risk analysis process is used to identify hazards, assess risks, determine controls, implement controls, monitor &review and manage changes. As introduced in this OH&S section 4.3.1, the OHS procedure 18AP-431 is used to assist the company identify how its activities, products, and services affect health and safety by identifying the hazards, setting the priorities for them, using the OH&S system to manage, control, improve upon the performance and continually improve the system. It follows that high priority hazards identified become candidatesfor OH&S programs(4.3.3 below) and these are candidates for operational controls (4.4.6 below) Legal and Other Requirements Your Company establishes, implements, documents and maintains asystem for identifying and accessing the legal and other requirements that are applicable and to explain how the information regarding its legal and other requirements is obtained. As introduced in the EMS section 4.3.2, the EMS-OHS procedure EHAP-432 is used to identify the legal and other non legal requirements to which the company subscribes, and describes how the information is made known to relevant functions within the company and incorporated into the integrated EMS and OH&S management system Objectives and Programs Your Company establishes, implements, documents and maintains a system to ensure that the objectives and targets are incorporated into the integrated EMS and OH&S system. The objectives and targets are consistent with the management system policies, which includes the commitments to compliance with legal and other requirements, continual improvement, and prevention of pollution, and prevention of injuries and ill health. As introduced in the EMS section 4.3.3, the EMS-OHS procedure EHAP-433 is used to describe the process of setting the objectives and targets to achieve Your Company s environmental and health and safety commitments and objectives. As introduced in this section of the OH&S manual, the OHS procedure 18MP-434 providesfor the development of the OH&S programs required to achieve the objectives and targets, and provides for the process of developing action plans for those identified OH&S programs. Programs that resultfocus on the fundamental health and safety needs to control OH&S risks and improve OH&S performance. The implementation of OH&S programs is effected with the use of typical action plans and instructions where the responsible personnel, benchmarks, milestones and dates, and measurements of success are identified for: 18WI prevention of injury, 18WI prevention of ill health and 18WI reduction of hazards. EM-HS-001 EMS and OH&S Manual -Rev-1 Page 30 of 38 Date printed 10/19/10 2:08 PM

14 ISO 14001:2004 Environmental Management System -The Gap Analysis Checklist GUIDELINES FOR USE OF THE GAP ANALYSIS CHECKLIST This gap analysis checklist is prepared for use in evaluating your Environmental Management Systemagainst the requirements of ISO Each requirement is expressed as aquestion that the auditor can use to evaluate your EMS capabilities. Along with the checklist, you will need to have acopy of the ISO 14001:2004 standard so that you can see exactly what the requirements are and can refer to the guidance section in Annex A. After you have prepared an audit schedule, and assigned responsibility to the auditors for different areas to audit, copy each section of the checklist for the auditors working with that section. As the auditors work through the checklist, they need to take notes on what is in place, and what needs to be developed. Reference the procedures or other documents that are reviewed and that will provide information for the new EMS. Take notes on the status of the documents, will they need tobe revised for the new system, or can they be used as is? Also note where processes are in place, but documentation is needed. Focus on what is in place, and what needs to be developed.while you do want to know if procedures and processes are being complied with, compliance is not your main focus for this audit. Remember that the final outcome of this audit should be alist of things that your organization needs to do to comply with ISO 14001:2004. Copyright Store.com Page 1

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16 Environmental Management System Manual ISO 14001:2004 Type Your Company Name, Address, City, State, Zip Here

17 *This manual is to be used as atemplate in developing your ISO Environmental Manual. Review the text; replace text to match your Environmental system requirements. At aminimum, the blue text should be replaced with your information. Your Company indicates that you should use your company name in that spot. Replace the ISO Store name and logo with your company name and logo. NOTES: DELETE AFTER EACH TASK IS COMPLETED. USE REPLACE FUNCTION ENTER YOUR COMPANY IN FIND SPACE, ENTER YOUR COMPANY NAME IN REPLACE SPACE SYSTEM SHOULD MAKE CHANGES THROUGHOUT THE ENTIRE DOCUMENT. (IF ANY OTHER INFORMATION IS AVAILABLE, THATWOULD FURTHER ENHANCE THE COMPANY INTRODUCTION, PREFERABLY ELECTRONICALLY, THIS IS THE AREA IN THE MANUAL TO INSERT THAT INFORMATION)

18 Environmental Manual Introduction Your Company developed and implemented an Environmental Management System in order to document the company s best environmental business practices, better satisfy the requirements and expectations of its stakeholdersand improve the overall management of the company. The Environmental Management System of Your Company meets the requirements of the international standard ISO 14001:2004 and addresses the environmental issues associated with YOUR COMPANY s activities, operations, services and products. The manual is divided into ten sections that correlate to the Environmental Management System sections of ISO 14001:2004. Sections begin with a statement expressing Your Company s obligation to implement the basic requirements of the referenced Environmental Management System section. Each statement isfollowed by specific information pertaining to the procedures that describe the methods used to implement the necessary requirements. This manual describes the Environmental Management System, delineates authorities, inter relationships and responsibilities of the personnel responsible for performing within the system. The manual also provides procedures or references for all activities comprising the Environmental Management System to ensure compliance to the necessary requirements of the standard. The manual is used internally to guide the company s employees through the various requirements of the ISO standard that must be met and maintained in order to ensure environmental stewardship, customer satisfaction, continual improvement and provide the necessary instructions that create an empoweredwork force. This manual is used externally to introduce our Environmental Management System to our customers and other external organizations or individuals. The manual is used to familiarize them with the controls that have been implemented and to assure them that the integrity of the Environmental Management System is maintained andfocused on environmental stewardship, customer satisfaction and continuous improvement. President: Date: EMS-001 Rev A Date printed 5/20/10 2:07 PM Page 3 of 25 Copyright 2010 the Store

19 Environmental Manual Operational Control YOUR COMPANY establishes, implements, documents and maintains asystem for the identification of the criticalfunctions related to the policy, significant aspects, the legal and other requirements, and objectives and targets. Operational controls describe operations and activities where it is deemed that their absence could lead to deviations from the environmental policy and the objectives and targets. The procedure MP-446 is used to establish, implement and maintain a system of operational control to ensure that the processes that affect the environment are carried out under controlled conditions. The required instructions provide sufficient details so that the company can conform to the policy, objectives and targets, the legal and other requirements, address any impacts from significant aspects and ensure that deviationsfrom planned arrangements do not occur. The applicable system requirements are communicated to employees and to persons that are required to perform tasks on behalf of the company or are requiredfor temporary shortterm activities. Depending on the nature of your business, operational controls may include work instructions and systems for activities such as Design and development, Outsourcing and purchasing, Maintenance of infrastructure, Gage control /Equipment calibration, Incoming inspection, etc as required. Design and development. If you are adeveloper, adesigner or an inventor of products or services, the design and development instruction WI outlines the controls for the design and development process. The instruction applies to the design control activities where environment-friendly materials and products are used and industry standard requirements incorporated. Outsourcing and purchasing. If you purchase goods and sub-contracted services, the outsourcing and purchasing instruction WI outlines the controls for the purchasing process. Providers / Contractors /Persons that are required to perform tasks on behalf of the company that have the potential to cause asignificant environmental impact are qualified on the basis of education, training, or experience. Selected candidates are engaged through abusiness agreement and added to the list of acceptable sources after the satisfactory completion and return the environmental survey checklist. Infrastructure. If your facilities include physical infrastructure, theinstruction WI outlines the system where environmental controls are enhanced with properly maintained resources. Facilities resources incorporate the overall physical infrastructure aspects such as buildings, offices, laboratories, work areas, transport systems, equipment, telecommunications systems, storage, communication services, and other facilities. Control of measuring and monitoring equipment. If you make use of measuring and monitoring equipment, whether employee owned, customer owned or company supplied, the instruction WI outlines the system where the control and calibration of such equipment enhance environmental controls through credible monitoring and measurement (4.5.1) results. EMS-001 Rev A Date printed 5/20/10 2:07 PM Page 18 of 25 Copyright 2010 the Store

20 4 Environmental Management System 4.1 GeneralRequirements Observation/Comments Results Has the organization established and maintained an environmental management system as required by clause 4of ISO 14001:2004? Has the organization defined and documented the scope of the EMS? Are the boundaries to which the EMS applies clearly defined? Are all activities, products and services within the scope addressed by the EMS? Additional questions To prove that the organization Does what it says it does, what records are completed for this section? 4.2 Environmental Policy Has the environmental policy been formulated by the top management? Is the environmental policy aligned with the defined scope of the EMS? Does the policy express commitment to compliance to legal and other requirements which relate to the environmental aspects? Has the environmental policy been communicated to all persons working on behalf of the organization? Additional questions To prove that the organization Does what it says it does, what records are completed for this section? 4.3 Planning Environmental Aspects Observation/Comments Results Has the organization established and maintained aprocedure to identify the environmental aspects for its activities, products or services? Can the organization control and have an influence on those activities, products or services? Has the organization determined which of those environmental aspects have significant impacts on the environment? Do the environmental aspects take into account the planning of existing conditions or new developments that are within the scope of the EMS? Audit Conducted by: Date: 2 Copyright 2008 Lorne Duquette Distributed by the9000store.com

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27 The Do-It-Yourself ISO Workbook Rev. 2 Copyright 2010 Lorne Duquette Distributed by 1

28 Environmental Management System Workbook Workbook cover page Workbook contents page Section 1: The Preparation Phase Section 2: The Development Phase Section 3: The Implementation and Registration Phase Note: 1. This Environmental Management System Workbook is suitable for use with the ISO 14001:2004 standards for environmental management systems. 2. This Environmental Management System Workbook is best utilized with ISO implementation training tools as provided in a series of PPT presentations. Visit for the presentation package that matches the workbook sections. Rev. 2 Copyright 2010 Lorne Duquette Distributed by 2

29 Environmental Management System Workbook Comments and Instructions: Congratulations on the management decision to implement the ISO 14001:2004 Environmental management system. This commitment and your participation say alot about you and show that you are interested in learning, in growing, and in improving your business. This ISO 14001Workbook becomes an implementation tool and is intended to make your ISO project as organized as possible when executing aset of tasks in the sequence that they are normally required on the journey to ISO 14001certification. An important first activity or prerequisite, as the Environmental programis launched, is for the ISO Management Representative to become as familiar as possible with the ISO Workbook format and content. The Workbook: The workbook is presented in four sections where the ISO tasks and Exercises are introduced, initiated and completed. You will find that your workbook can be used and marked up to develop and detail the information required for each task and exercise. The Workbook Forms: However, since more than one person will be involved in the ISO project, the workbook forms that represent the tasks and the exercises are provided in word format for distribution to the staff that will be participating and providing inputs. The Workbook Presentations: The ISO workbook is best utilized withiso implementation training tools as provided in a series of PPT presentations that match the workbook sections. The presentations become very effective tools that the ISO Management Representative, as the project manager, can use to keep the momentum moving toward a target registration date. Good Luck with this important initiative. Rev. 2 Copyright 2010 Lorne Duquette Distributed by 3

30 Building your ISO Environmental Management System Section 1: The Preparation Phase Rev. 2 Copyright 2010 Lorne Duquette Distributed by 4

31 Section 1: The Preparation Phase Responsibility: Management ISO Steering Team Environmental Safety Team 1) Management must identify the ISO steering team for the environmental project. It should be made up of managers from the different areas of the organization. The purpose of this team will be to assign resources and responsibilities for the project as well as providing leadership for the project. Include top management on the team. 2) Once the steering teamhas been identified, the teamcan work together to complete the assigned tasks for the workbook section 1. This section helps you prepare for the project and put together the project plan and timeline. Task 1: Management Describe your company Task 2: Management Choose your ISO Management System Task 3: Management Obtain the latest ISO standard Task 4: Management Select the Management Representative and the ISO 14001Steering Team Task 5: ISO Steering Team Prepare an Organizational Chart Task 6: ISO Steering Team Establish the Environmental Safety Team Task 7: Environmental Safety Team Conduct First TeamMeeting Task 8: ISO Steering Team Formulate the Environmental Policy Task 9: ISO Steering Team State the scope of the EMS Task10: ISO Steering Team Provide Communication Tools Task11: Environmental Safety Team Prepare the process flow diagrams Task 12: ISO Steering Team Performinitial environmental review Task 13: ISO Steering Team Assign Improvement Actions for EMS Rev. 2 Copyright 2010 Lorne Duquette Distributed by 5

32 Task 12 Perform the INITIAL ENVIRONMENTAL REVIEW The current position with regard to the environment is established by means of an initial review and recorded from the review areas / questions tabled below. Review Areas Organization Structure (Department personnel and structure chart) 1. General Information Comments OK Needs Attention Current activities /processes /products No. of employees (List activities or provide process flow) Environmental coordinator Type of facilities (Office /lab /workshop / warehouse /others) Type of plant(s) / machinery (List of plant / machinery utilised) Types of goods provided by major suppliers (List of major suppliers and their product type) Types of services provided by major contractors Any future activities /services (List of major contractors and their product type) Rev. 2 Copyright 2010 Lorne Duquette Distributed by 18

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34 Assign IMPROVEMENT ACTIONS needed to increase your Environmental Capabilities -Ref Task 13 Assessments and reviews, Tasks 12, 15, 16 &18 highlight areas that need attention and provide focus on high significance environmental impacts and legal requirements. The areas that require follow up and actionby the ISO steering team are identified as: Short Term, where improvements can be implemented within 1month. MediumTerm, where improvements can be implemented within 2 to 6months. Long Term, where improvements can be implemented within 7 to 12 months. SHORT TERM IMPROVEMENT ACTIONS To be implemented within 1month # Improvement Action Assigned to Promise Date Actual Date Comments MEDIUM TERM IMPROVEMENT ACTIONS To be implemented within 2to 6months # Improvement Action Assigned to Promise Date Actual Date Comments LONG TERM IMPROVEMENT ACTIONS -To be implemented within 6to 12 months # Improvement Action Assigned to Promise Date Actual Date Comments Comments: Rev. 2 Copyright 2010 Lorne Duquette Distributed by 51

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36 Trainer s Guide Copyright 2009 Lorne Duquette for the Store

37 Overview These course materials are meant to train people to conduct internal environmental audits within your organization, which are necessary to meet the internal audit requirements of the ISO 14001:2004 standard. The course is divided into two sections: 1. The first section will familiarize the students with the requirements ISO environmental management system. Allow 4hours for this section. 2. The second section is devoted to the auditing process. The students will go through all the steps required for an audit, with hands on involvement in performing each step by conducting amock audit of afictitious company. Allow 8hours for this section. This guide contains everything the instructor needs to lead the class. We recommend that you print this guide as you ll need the PowerPoint speaker notes to lead the class. Notes: It is assumed that the instructor has certified Lead Auditor credentials or equivalent experience. This is not meant as aself study course. It is recommended that the first audit the student is involved with be under the leadership of alead auditor who has audit experience. Copyright 2009 Lorne Duquette for the Store

38 The supplies you will need are: Course Materials PowerPoint: ISO Guide to Internal Audits (included). PowerPoint: Requirements of ISO (included). A complete version with Speaker Notes is in this Trainer s Guide PowerPoint: Steps of Internal Audit (included). A complete version with Speaker Notes is in this Trainer s Guide Student Manual (included). Print one copy for each student You may wish to have extra copies of the CPAR form It includes reduced versions of all the PowerPoints The ISO 14001:2004 Standard (NOT Included*) One copy for every 2-3 students. Standards are available electronically from *The ISO 14001:2004 Standard is acopyrighted document and we are unable to include it. Eco Toy Company (ETC) Documents and Records (included). Print one copy for each team of two or three students. See contents table (next page) The purpose of the internal audit is to demonstrate that ETC is doing what the company says it does. Documents and records are required to prove that systems are in place. These copies are provided in the Eco Toy Company (ETC) Documents and Records file. Pages 3 through 14 in ETC Documents and Records contain the documentation that makes up the introductory section of the ETC Environmental Management System. The remaining pages contain the ETC Documentation and Records required for the Internal Audit training. Copyright Store

39 Eco Toy Company Documents and Records Qty. Documents and Records #of Pages 1 Environmental Management System EMS Manual. 12 Includes Organization Chart and Master Document List 1 Internal Audit Master Schedule MSP-431 Environmental aspects procedure 2 1 Form #431-1 Initial environmental review 2 1 Form #431-1 Environmental assessment worksheet. 2 1 WI-EP-1,WI-EP-2,WI-EP-3 Environmental programs MSP-442 Competence, training and awareness procedure Form #442-2 Job interview evaluation worksheet 1 2 Form #442-3 Personnel training /evaluation record Certificate of completion Form #442-4 employee capability competence matrix. 1 1 MSP-453 Nonconformity, corrective and preventive action 3 1 R-451 Nonconformity register. 1 1 Form #443-1 Public response report. 1 2 Form #447-1 Spill investigation report Form #453-1 Environmental non-conformance report. 2 1 Form #453-2 Corrective action report operations 1 1 MSP-460 Management review procedure Form #460-1 Meeting agenda -management review Minutes of management review 2 Copyright 2009 Lorne Duquette for the Store

40 Agenda I. The Standard Introduction to auditing 0:15 Presentation: Internal Auditing Guide 0:15 Review Document: ISO 14001:2004 0:30 Exercise Is it a requirement? 2:00 Presentation: Requirements of ISO 14001:2004 0:45 Exercise -Find the requirement 0:15 Questions II. The Audit 0:30 Scheduling the audit 0:30 Planning the audit 0:45 Opening meeting 0:45 Audit 4.2 Environmental policy 0:45 Audit Environmental aspects 0:45 Audit Competence, training and awareness 0:45 Audit Nonconformity, corrective action and preventive action 0:45 Audit 4.6 Management review 0:30 Auditors Document the Findings 0:30 Final Audit Report 0:30 Closing Meeting 0:30 Creating the Audit File Copyright 2009 Lorne Duquette for the Store

41 The Standard Introduction to Auditing This section will familiarize the students with the requirements ISO 14001:2004 environmental management system(ems). 1. Review the ISO Internal Auditing Guide Power Point Presentation with the group. 2. Review and discuss the organization of the ISO 14001:2004 document so the students can familiarize themselves with how the standard is structured. 3. Complete the exercise Is it arequirement? Exercise: Is it arequirement? Have the students open to Is it arequirement in the student manual. Working in groups of 2or 3, have themdetermine whether or not: The statement is true or false Write down the clause of the standard where they found it. Notes: This is not a test, but an exercise to get themfamiliar with the standard, so the trainer can go around and help the teams, particularly the slower teams. This can be done individually ahead of time to reduce class time After one or two teams finish, or after amaximumof about 45 minutes, you can go through the statements and discuss the answers. An answer key is on the next page. Remind the students that there are some things that are mentioned in more that one place in the standard, so there could be more than one correct answer in some cases. Copyright 2009 Lorne Duquette for the Store

42 Is it a Requirement? (Answer Key) The standard requires that: If the requirement is true, circle True and list the clause. If it is false, circle False and list the clause used. 1. The ISO Environmental management system (EMS) must be established, documented, implemented and maintained to continually improve the system 2. The environmental policy as defined by top management is required to be communicated to all persons working for or on behalf of the company. 3. Top management must appointarepresentative to ensure that the EMS is established, implemented and maintained. 4. The management representative is not required to report on the performance of the EMS to top management. 5. Internal and external communication regarding environmental matters must be maintained. 6. Management must review the environmental management systemevery quarter. 7. Awritten procedure is needed to identify the environmental aspect(s) of the company activities and to determine the aspect(s) that have significant impact(s) on the environment. 8. Persons performing tasks for the company or on behalf of the company that may have potential environmental impacts must be competent. 9. Employee training must include the awareness of the consequences of departure fromspecified procedures. 10. The scope of the environmental management systemis required to be defined and documented. 11. Adocumented procedure is required to deal with actual and potential nonconformities and taking corrective and preventive actions. 12. Adocumented procedure is required to handle emergency preparedness and response. 13. The results of corrective and preventive actions taken do not need to be recorded. 14. An operational procedure may be required to ensure that monitoring and measuring equipment is calibrated. True T Clause:4.1 T Clause:4.2.f T Clause:4.4.1.a T Clause: T Clause:4.4.3 T Clause: T Clause:4.3.1 T Clause:4.4.2 T Clause:4.4.2.d T Clause: b T Clause:4.5.3 T Clause:4.4.7 T Clause: T Clause:4.5.1 False F Clause: F Clause: F Clause: F Clause: b F Clause: F Clause:4.6 F Clause: F Clause: F Clause: F Clause: F Clause: F Clause: F Clause:4.5.3.d F Clause: Copyright 2009 Lorne Duquette for the Store

43 ISO 14001:2004 Requirements Now that the students are familiar with the organization of the standard, this section will outline the requirements of each section what it is really asking them to do? Requirements of ISO 14001:2004 Power Point presentation First, there is abrief 6-page introduction to serve as areview: What is ISO 14001? The Process Model/Process Approach Second, the rest of this presentation outlines the requirements of ISO If you use the speaker s notes this review could take about 2hours Students can take notes in their manual. We ve included the presentation in this Trainer s Guide so you can review the notes while presenting. 1. Review Requirements of ISO 14001:2004 Power Point presentation 2. Complete the exercise Find the Requirement (following presentation speaker notes.) 3. Answer questions about ISO 14001:2004 to ensure they understand the material. Exercise: Find the Requirement. 1. Introduce the 2nd exercise Find the Requirement in the student manual. 2. Have them find the clause in the standard that applies. 3. Have them work in groups as in the previous exercise. 4. Discuss the answers together. To conclude this first section of the course, open it up to questions and answers on the standard. Copyright 2009 Lorne Duquette for the Store

44 4.1 General Requirements Introduces the requirements for the overall Environmental Management System The standard requires that your organizationhas an Environmental Management Systemin place that meets the requirements outlined in the standard. The scope of the EMS needs to be defined. +More details.. Copyright 2008 Lorne Duquette forthe Store ENVIRONMENTAL MANAGEMENT SYSTEM YOUR COMPANY executive management is responsible to establish, implement and maintain the ENVIRONMENTAL MANAGEMENT SYSTEM and to define and document the policy and objectives for and commitment to the environment as described in this EMS Manual. YOUR COMPANY defines and documents the scope of its Environmental Management Systemand includes what activities, operations, services and products are included in the EMS. For example: The scope of the Environmental Management Systemincludes the major product and service categories associated with the primary functions of manufacturing toys and preparing the product for the public at large. While it is every one s job to protect the environment, the overall leadership for the EMS is provided by the top ranking official, such as the President. The prime responsibility for the EMS procedures and instructions is delegated and assigned and shared with the managers and supervisors of the relevant functions. 8

45 Management reviews are needed to ensure that the EMS continues to be adequate, suitable and effective. At planned intervals reviews are required to review, For example: the Environmental Policy the performance data for EMS processes the opportunities for improvement &need for changes +More details.. Copyright 2008 Lorne Duquette forthe Store +More details.. MANAGEMENT REVIEW A procedure is required to provide for a system of assigning responsibilities for scheduling, conducting and recording management review of the Environmental Management System at YOUR COMPANY. Management reviews of the EMS is intended to improve the quality of the environmental activities that lead to improved performance by the company for interested parties. The executive management reviews the EMS at planned intervals. The President has the prime responsibility for management reviews. 33

46 Find the Requirement Clause: 19. Current versions of documents must be available at the relevant points of use. 20. Have asystem to monitor on aregular basis the key characteristic that can have asignificant impact and ensure that monitoring and measuring equipment is verified, calibrated and maintained. 21. Responsibility and authority of personnel are defined, documented and communicated. 22. Operational procedures for situation where their absence could lead to deviation fromplanned arrangements. 23 Review the environmental systemat planned intervals and take into consideration aset of inputs with resulting outputs. 24. Resources need to be available to establish, implement, maintain and improve the EMS. 25. Environmental programs with objectives and targets at the relevant functions and levels within the organization. 26. Document aprocedure to deal with actual and potential nonconformity and taking corrective action and preventive action. 27. Document aprocedure to deal with potential emergencies and potential accidents and how to respond to them. 28. Periodic evaluation of compliance to the applicable legal requirements and other requirements to which the company subscribes. 29. Internal audits take into consideration the environmental importance of the operations and the results of previous audits. 30. The Environmental Management System documentation includes documents for the environmental policy, objectives, targets, scope, and other procedures and records necessary to ensure that it is effective c.d a a to e Copyright 2009 Lorne Duquette for the Store

47 The Audit The second section is devoted to the auditing process. Normally the class size will vary from4 to 12, and it is recommended that you divide the class into teams of 2-3. It works best to have an even number of teams for holding opening and closing meetings. Allow 8hours for this section. The students will go through all the steps required for an audit, with hands on involvement in performing each step by conducting an audit of afictitious company, the Eco Toy Company (or ETC) including: Scheduling the Audit Planning the Audit Opening Meeting Audit sections of the ETC Company s EMS: 4.2 Environmental Policy Environmental Aspects Competence, training and awareness Nonconformity, corrective action and preventive action 4.6 Management review. Auditors Document Findings Final Audit Report Closing Meeting Creating the Audit File Note: The trainer plays the part of Joe Sample, the ETC Quality Manager /EMS Management Representative and the students act as ETC personnel as required. Each teamshould have: 1. Acopy of the ISO 14001:2004 Standard. 2. Acopy of the Eco Toy Company (ETC) Documents &Records. 3. The Student Manual which allows them to: Follow the presentation and take notes View sample forms (which are presented in the PowerPoint) Use blank forms (CPAR, etc.) to conduct their audit. You will lead this section using the Steps of ISO 14001:2004 Internal Audit Power Point presentation the entire time, using the materials in this package. The Speaker Notes in the PowerPoint will guide you along as an outline. Copyright 2009 Lorne Duquette for the Store

48 Audit of the Eco Toy Company Copyright 2009 Lorne Duquette for the Store 1

49 Schedule the Audit Memo To: Expert Audit Assistance From:J. Sample Date: Jan 5, 2009 Subject: Request for Internal Audit As we discussed onthe phone, our company will be having a registrationaudit in September We have developed and are implementing our environmental management system and are ready for our first of agroup of planned internal audits and would likeyour group of expert auditors to perform the audits for usbefore our registrationaudit. During the first audit we would likethe auditors to auditaminimum of one section for each of the five clauses (4.2, 4.3.1, 4.4.2, 4.5.3, 4.6) of the standard.the remaining clauses of the ISO 14001:2004 standard will be audited during subsequent internal audits. Iwould like you to come inonjanuary 8 th toreview our audit files and prepare your audit plan. We will schedule the audit for the morning of January15 th. Best regards Joe QA Manager / EMS Management representative Review the MEMO fromjoe Sample, the Eco ToyCompany s QualityManager / EMS Representative to Expert Audit Assistance. The class is Expert Audit Assistance. It is now September 12th, and the class is going to performan internalaudit of Eco ToyCompany s management s area. 6

50 The environmental policy has not been communicated to all persons working on behalf of the organization The environmental policy was not formulated by the top management The environmental policy is not aligned with the defined scope of the EMS The policy does not express commitment to compliance to legal and other requirements to which the organization subscribes to. Nonconformances: 4.2 Environmental policy The environmentalpolicywas not formulated bythe top management The environmentalpolicyis not aligned withthe defined scope ofthe EMS The policydoes not express commitment to compliance to legaland other requirements to whichthe organizationsubscribes to. The environmentalpolicyhas not beencommunicatedto allpersons working onbehalfofthe organization 27

51 Conclusion After the students have completed their presentations, you can: 1. Show them the final slides in the Steps of ISO 14001:2004 Internal Audit Power Point presentation outlining the non conformances for each section. Remember, there is often more than one way to look at asituation, especially in a fictitious setting like ETC. Therefore, encourage open discussion on why they consider items anon conformance. You may want to add their suggestions to the course material for next time. 2. If you feel that the student has satisfactorily understood the material, you may issue them a certificate (this is a separate MS Word file in your package). Use your judgment to issue this based upon: Participation Ideas Leadership Approach Etc. 3. Schedule an audit of your facility to reinforce the material. Copyright 2009 Lorne Duquette for the Store

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