The ISO 14000 EMS Audit Handbook  book cover
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1st Edition

The ISO 14000 EMS Audit Handbook




ISBN 9781574440690
Published June 19, 1997 by CRC Press
334 Pages

 
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Book Description

The ISO 14000 EMS Audit Handbook is an innovative and cost-effective approach for the Environmental Management System (EMS) audit to ISO 14001. The Handbook presents comprehensive strategies for conducting all phases of the EMS audit, including effective assessment processes for determining improved environmental performance.

Table of Contents

PREFACE -- 1 INTRODUCTION TO EMS AUDITS -- What Is an Environmental Management System? -- The EMS Movement -- Development of the International EMS Standard. -- Introduction to EMS Audits -- Quality Systems Auditors (QSA) -- Environmental Compliance Auditors (ECA) -- Management -- Key Definitions -- Key Acronyms. -- Training the Internat EMS Auditor -- Auditor Characteristics. -- Types of Auditors -- EMS Audit Objectives -- Key Differences-QMSIEMS Auditors -- QMSIEMS-Sharing a Common Basis -- lnsights for EMS Auditor Qualifications -- Key Considerations for EMS Audit Teams. -- 2 THE ISO 14000 SERIES AUDIT STANDARDS -- ISO 14010 Guidelines for Environmental Auditing: -- Principles. -- 4-Requirements for an Environmental Audit -- 5-General Principles. -- 5.1-0bjectives and Scope -- 5.2-0bjectivity, lndependence, and Competence -- 5.3-Due Professional Care -- 5.4-Systematic Procedures -- 5.5-Audit Criteria, Evidence, and Findings -- 5.6-Reliability of Audit Findings and Conclusions -- ISO 14011 Guidelines for Environmentaling: -- Procedures-Auditing of Environmental -- Systems -- 4-EMS Audit Objectives, Roles, and Responsibilities. -- 4.1-Audit Objectives -- 4.2-Roles, Responsibilities, and Activities. -- 4.2.1-Lead Auditor. -- 4.2.4-Client -- 4.2.5-Auditee -- 5-Auditing -- 5.3-Executing the Audit -- 5.3.1-0pening Meeting. -- 5.3.2-Collecting Evidence -- 5.3.3-Audit Findings -- 5.3.4-C1osing Meeting -- 5.4-Audit Reports and Records -- 6-Audit Completion. -- ISO 14012 Guidelines for Environmental -- Qualification Criteria for Environmental Auditors -- Annex B (informative)--Environmental Auditor -- Body. -- 3 INITIAL ENVIRONMENTAL REVIEW (IER) -- GAP ANALYSIS. -- lntroduction -- Inside ISO 14004 EMS--General Guidelines on -- Systems, and Supporting Techniques -- Key Principles for Management -- Benefits of an EMS -- EMS Principles and Elements. -- Initial Environmental Review (IER) -- 4.1.3-Initial Environmental Review -- Practical Help-Initial Environmental Review -- Practical Help-Environmental Policy -- 4 EMS AUDIT PROGRAMME DESIGN. -- Introduction -- Activities and Areas to Be Considered in Audits -- The Frequency of Audits. -- Responsibilities Associated with Managing and -- Audits -- ISO 14001 4.5.4, EMS Audit -- Communications of Audit Findings -- Auditor Competence -- How Audits Will Be Conducted -- 5 ISO 14001 INTERPRETATION FOR AUDIT -- ISO Through Use. -- Interpretation. -- Annex A-Guidance on the Use of the Specification. -- Common System Nonconformances (CSN). -- Links Between ISO 9001 and ISO 14001 Standards. -- EMS Auditor Checklist/Questionnaire. -- Understanding the Universal Audit Checklist (UAC). -- Universal Audit Checklist. -- ISO 14001 Interpretation for Audit -- Annex A.2-Environmental Policy for Guidance on Use -- ISO 14001, 4.2-Environmental Po1icy. -- Common System Nonconformances (CSN). -- EMS Auditor Checklist/Questionnaire. -- ISO 14001-4.3 P1anning. -- Annex A.3.1-Environmental Aspects. -- Determination of Significant Impacts -- Common System Nonconformances (CSN). -- EMS Auditor Checklist/Questionnaire. -- ISO 14001, 4.3.2-Legal and Other Requirements. -- Annex A.3.2-Legal and Other Requirements -- Common System Nonconformances (CSN). -- EMS Auditor Checklist/Questionnaire. -- ISO 14001, 4.3.3--0bjectives and Targets -- Annex A.3.3--0bjectives and Targets. -- Initial Design and Development -- Midstream -- After Campletion of Achieving Targets. -- Common System Nonconformances (CSN). -- EMS Auditor Checklist/Questionnaire. -- ISO 14001, 4.3.4-Environmental -- Prograinllle(s) -- Annex A.3.4-Environmental Management Programme(s) -- Common System Nonconformances (CSN). -- EMS Auditor Checldist/Questionnaire. -- ISO 14001, 4.4-Implementation and Operation -- 4.4.1-Structure and Responsibility. -- Annex A.4.1-Structure and Responsibility -- Common System Nonconformances (CSN). -- EMS Auditor Checldist/Questionnaire. -- ISO 14001, 4.4.2-Training, Awareness, and Competence. -- Annex A.4.2-Training, Awareness, and Competence. -- Common System Nonconformances (CSN) -- EMS Auditor Checldist/Questionnaire. -- ISO 14001, 4.4.3--Communication -- Annex A.4.3--Communication -- Common System Nonconformances (CSN) -- EMS Auditor Checldist/Questionnaire. -- ISO 14001, 4.4.4-Environmental Management -- Documentation -- Annex A.4.4-Environmental Documentation. -- Common System Nonconformances (CSN) -- EMS Auditor Checldist/Questionnaire. -- ISO 14001, 4.4.5-Document Control. -- Annex A.4.5-Document Control -- Flowchart Assessment Checklist -- Common System Nonconformances (CSN) -- EMS Auditor Checldist/Questionnaire. -- ISO 14001, 4.4.6-0perational Control. -- Annex A.4.6-0perational control. -- Common System Nonconformances (CSN) -- EMS Auditors Checldist/Questionnaire. -- ISO 14001, 4.4.7-Emergency Preparedness and Response -- Annex A.4.7-Emergency Preparedness and Response -- Common System Nonconformances (CSN) -- EMS Auditors Checldist/Questionnaire. -- ISO 14001, 4.5--Checking and Corrective Action -- ISO 14001, 4.5.1-Monitoring and Measurement -- Annex A.5.1-Monitoring and Measurement. -- Common System Nonconformances (CSN) -- EMS Auditor Checldist/Questionnaire. -- ISO 14001, 4.5.2-Nonconformance Corrective -- Preventive Action. -- Annex A.5.2-Nonconformance Corrective -- Preventive Action. -- Common System Nonconformances (CSN) -- EMS Auditors Checklist/Questionnaire. -- ISO01, 4.5.3-Records -- Annex A.5.3-Records. -- Common System Nonconformances (CSN) -- EMS Auditors Checklist/Questionnaire. -- ISO 14001, 4.5.4-Environmental Management -- Audit -- Annex A.5.4-Environmental Management System Audit -- Common System Nonconformances (CSN) -- EMS Auditor Checklist/Questionnaire. -- ISO 14001, 4.6-Management Review -- Annex A.6-Management Review. -- Common System Nonconformances (CSN) -- EMS Auditors Checklist/Questionnaire. -- 6 THE AUDITED ORGANIZATION -- Introduction -- Establishing Primary Contact. -- Company Personalities -- The Escort -- 7 EMS AUDIT PLANNING -- Introduction -- EMS Audit Questionnaire. -- EMS Audit Questionnaire for ISO 14001. -- Review -- Deve1opment of the EMS Audit Plan -- EMS Audit Plan. -- Audit Team Coordination -- Two-Person EMS Audit Team -- Three-Person EMS Audit Team -- Roles of the Lead Auditor-Planning -- Allocation of Resources, Personnel, and Time. -- Transportation/ Accommodations -- 8 SCHEDULING THE AUDIT -- Auditee Notification -- Externat Audit Notification. -- lotemal Audit Notification -- EMS Audit Schedule(s). -- Selection Criteria -- Priorities -- Availability -- Travel and Lodging -- Assignments -- Discussion. -- Priorities -- Protocols -- Surprise Audits -- Daily Agendas/Activities -- Personal Time. -- Transportation and Accommodations -- Auditee Representation. -- Multiple Shift Operations Coordination. -- Change Control -- 9 THE PRE-AUDIT CONFERENCE -- The Arrival. -- Introductions -- Guide for the Pre-Audit Conference -- Facility Tour Coordinations -- Escorts -- Availability of Key Personnel. -- Documents Change Control -- Agenda Change Control -- Auditee Statements -- Daily Debriefings. -- Management Recognitions -- Team Chairperson Coordination -- 10 THE EMS AUDIT -- Philosophy and Techniques. -- Phase I-Audit Venues. -- Phase ß-Steps -- Communications -- Sampling -- Team Chairperson's Responsibilities -- Lead the Team. -- Lead the Arrival Conference -- Represent the Team -- Make Final Decision. -- Stay Advised -- Supervise and Coordinate. -- Leader and Team Player. -- Take Charge. -- Decision Maker -- Firm but Fair -- Extraordinary Knowledge -- Express Self. -- Review and Determine. -- Write Effectively -- Associate EMS Auditors. -- Words to Challenge -- Questioning Techniques -- Documents Review-Availability -- Data Collection and Review. -- Categorizing Deficiencies. -- Flowchart Assessment and Auditor Checklist. -- Standard Assessment Questions -- Auditor/ Auditee Interfacing -- Data to Record. -- The Classic '"firne-Wasters". -- Operational Verification and Assessments -- 11 TUE POST-AUDIT CONFERENCE -- Chairperson Guide for Conducting Exit Interview -- Attendance Lists. -- Auditee Comments/Reaction-Disclaimers Clause -- Confidentialities. -- Communication Skills. -- Presentation Methods -- The Conference Room -- Report Distribution -- Follow-up -- Corrective Action Direction -- 12 EMS AUDIT REPORTING. -- Data to Record. -- EMS Audit Report Form. -- Reporting Examples -- Summary Report -- Third-Party Summary Report. -- Report Response -- Environrnental Communications Memo. -- Confidentialities. -- Corrective/Preventive Action Reply -- Types of Reports -- Words to Avoid. -- Challengeable/Nonchallengeable -- Recommendations -- Distribution -- 13 FOLLOW-UP AUDIT AND CLOSE-OUT -- Audit Report Collection -- Document/Procedure Assessment -- Change Control Verification. -- Obsolete Document Controls -- Corrective Action. -- Preventive Action. -- Verification/Validation of Change -- Follow-up Audits. -- Reporting -- Close-out -- Follow-on Assessments. -- Training/Qualification for Change -- 14 SUPPORTIVE ENVIRONMENT AL -- ASSESSMENTS. -- Reasons for Conducting Environmental Audits -- Assessments. -- Role of Attomey. -- Regulatory Compliance Audits -- Environmental Legislation -- Clean Air Act. -- Clean Water Act and Safe Drinking Water Act -- Comprehensive Environrnental -- Compensation, and Liability Act. -- Superfund Amendments and Reauthorization Act -- Pollution Prevention Act -- Resource Conservation and Recovery Act. -- Toxic Substances Control Act -- Other Federal Environmental or Environmentally -- Legislation. -- Occupational Health and Safety Act -- Technology lmprovement Act. -- lncentives for Self-Policing, Discovery, -- Correction, and Prevention of Violations. -- Conformity Assessment -- Management Reviews. -- Initial Reviews. -- Life-Cycle Assessment (LCA) -- Environmental Performance Evaluations (EPE) -- Environmental Site Assessments (ESA). -- Risk Assessment. -- 15 EMS AUDITOR QUALIFICATION, -- AND TRAINING -- EARA and the RAB -- Application Structure and Content -- Qualification Training. -- INDEX.

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Author(s)

Biography

Gregory P. Johnson,