EMSE IEM Course Notes 13

Gheorghe Asachi Technical University of Iasi Faculty of Chemical Engineering and Environmental Protection
”Integrated Environmental Management”

- Course Notes -
Master Study Programme: Environmental Management and Sustainable Energy
Year of Study: 1
First Name and Family Name: Carmen Teodosiu

Email: cteo@tuiasi.ro
C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

”Integrated Environmental Management ” – Course Notes
Course 13 : ENVIRONMENTAL AUDIT

ENVIRONMENTAL AUDIT
• Environmental management tool

• General objective: identification of environmental issues associated with the
manufacturing processes or services before they turn into liabilities (penalties, fees,
etc.)
• Specific objectives:
• To ensure the compliance with environmental legislation and standards;
• To satisfy the investors, bankers and insurance companies;
• To diminish the resistance of the public sector to the Organization’s activity ;
• To confirm the EMS maintenance and its functioning on an adequate level.

Structure of ISO 19001:2011. Guidelines for auditing management systems
• 1. Scope
• 2. Normative references
• 3. Terms and definitions
• 4. Principles of auditing
• 5. Managing an audit programme
• 6. Performing an audit
• 7. Competence and evaluation of auditors
• Annex A
• Annex B

EMS AUDIT - definitions
• Reference Document : SR EN ISO 19011:2011 Guidelines for auditing management systems

• "Audit: systematic, independent and documented process, in order to obtain audit evidences
and to determine the extent to which the audit criteria are fulfilled, based on a independent
and objective assessment process“
• Audit evidence: records, statements about facts or other relevant information that are relevant
and verifiable in relation to the audit criteria
• Audit criteria: ensemble of policies, procedures or requirements which represent a reference
for comparing the audit evidences

AUDIT CLASSIFICATION
• Internal Audit – made by the Organization on its structures and activities

• External Audit (second or third party): when is developed by an external body
• Combined Audit: two or management systems of different disciplines (quality,
environment, occupational health and security ) are evaluated together
• Joint Audit: two or more auditing organizations cooperate to evaluate a single
auditee organization

AUDIT CLASSIFICATION
ENVIRONMENTAL AUDIT
LIABILITIES MANAGEMENT ACTIVITIES
 Compliance with legislation  Organization  Site

 Operational risk  Environmental systems  Waste
 Acquisition  Policies-Strategies  Products
 Health  Point problems  Transport
 Occupational security

ROLES OF INTERNAL AUDIT
• observation
• diagnosis (required changes….)
• consultancy (create value-added..)
• assurance (belief in the necessity of change…..)
• stimulation (continuous improvement…)

Audit principles (6 basic principles):
 For the audit process:

• Independence – the basis of impartiality and objectivity for the audit findings
• Evidence-based approach – involves use of rational methods which leads to reliable and
reproductible conclusions.
 For auditors:
• Ethical Behavior – trust, integrity, confidentiality and discretion
• Fair presentation of conclusions – sincerity and accuracy
• Professional Responsibility
• Confidentiality

EMS Audit Objectives
• According to ISO 14001, organization plans internal audits to ensure that:

• EMS is according to the standard’s provisions
• EMS has been properly implemented and maintained
• Provides informations related to the EMS effectiveness to the organization’s
management

METHODS FOR AUDIT APPLICATION

• Self evaluation
• Evaluation with external auditors
• Peer-review
• Qualified teams from outside of organization
RESPONSABILITIES 1
Leader/manager of the auditee entity
1. Presents the main consultants and responsible persons .
2. Informs about the specific activities that take place during the auditing period.
3. Proposes objectives, activities and operations that have priority for auditing.
4. States the date for “Session opening”.

RESPONSABILITIES 2
Audit team leader
5. Presents the structure of audit team.
6. Presents the general objectives of the audit process.
7. Informs about the activities that have to take place for collecting and processing of information.
8. Asks the leader/manager of the auditee entity, as well as people present to mention about the
objectives to be audited with priority
9. Evaluates together with the leader/manager of the auditee entity if the date for the “Session opening”
proposed in the “Notification” can be respected; otherwise, another date will be established.
10. Mentions the documents required to inform the auditors.
11. Established the working places for the auditors.
Audit team
12. Participates at the presentation meeting.

EMS audit
• Objectives: according to ISO14001, the organization plans the internal audits in order
to:
• Verify if the EMS is according to the standard’s provisions;
• Verify if the EMS was implemented and correctly maintained;
• Give the management of the Organization information regarding the efficiency of
the EMS.

EMS Audit - Requirements
• Audit programmes should be planned, established, implemented and maintained

• The audit procedure refers to :
• Responsibilities and requirements for planning and realizing audits and audit
records keeping
• Determination of the criteria, domain, scope, frequency and audit methods
• Selection of auditors and audit realization must ensure the impartiality principle

EMS Audit - Planning

The Audit program setting
- Objectives, scale and domain
-Responsibilities
-Resources
-Procedures
- Methods
Audit program
Auditors competence
implementation and evaluation
The audit program -Scheduling Audits
improvement -Auditors evaluation
-Audit team selection Audit activities
-Audits realization
-Records maintaining
Monitoring and analysis of

the audit program
- Monitoring and analysis
- Identification of needs for
preventive and corrective actions
-Identification of opportunities for
improvement

Pre-audit activities/ Planning

The EMS Audit – Conducting the audit activities

The EMS audit realization involves several steps according to ISO 19011 :
1. Initiating the audit (6.2)
• The appointment of audit team leader
• The definition of objectives, domain and audit criteria
• The determination of audit feasibility
• Audit team selection
2. Performing documents analysis (6.3)

• Analysis of relevant documents of the EMS, including records and their suitability determination to the audit
criteria
3. Preparing on-site of audit activities (6.4)

• Audit plan drafting
• Distribution of audit activities within the audit team
• The preparation of working documents (audit program, questionnaires, check lists, non-compliance reports, etc.)

The EMS Audit – Audits accomplishment

4. On-site audit (6.5)
• Opening meeting
• Communication during the audit
• Roles and responsibilities of guides and observers
• The Collection and the verification of information (audit evidences):
• Working Methods: Questionnaires, checklists, registration forms of audit evidence, activities observation , documents analysis
• The production of audit findings
• Preparing audit conclusions
• Closing meeting
5. The Preparation, the approval and the distribution of the audit report (6.6)
• The Preparation of audit report
• The approval and the distribution of audit report
6. Audit closing (6.7)
7. Realization of and tracking audit (6.8)

Audit activities

The EMS Audit - Results
Records of audit program :

• Audit Plans
• Audit Reports
• Noncompliance Reports
• Corrective / preventive actions reports
• Reports for tracking activities
• Results of audit analysis

INDICATORS OF AUDIT PERFORMANCE

• The degree of achievement of the annual audit plan
• The average duration of the audit process
• The share of the audit time in the total available time
• The share of the time allocated to professional training
• Average number of audit reports
• Degree of recommendations acceptance
• Degree of recommendations implementation
• Degree of completion of audit files
• Prevented damage
• The share of certain damage in the total of previsioned damage
• The degree of implementation of recommendations during the audit session
• The degree of damage recovery during the the audit session
• The relative eficiency of the internal audit (economic return)

Management Analysis
• Management (leadership) should periodically review the EMS to ensure that it is adequate,
appropriate and effective
• Management analysis must include:

• Evaluation of EMS improvement opportunities
• The necessity for EMS changes, including the environmental policy, objectives and
environmental targets
• Management analysis is an documented activity records must be kept

Performed Management analysis

• Entry data:
• The results of internal audits
• The evaluation of compliance with the legal requirements
• Communication with stakeholders (external)
• Organization's environmental performance
• The extent to which objectives and targets have been met
• The stage of preventive and corrective actions
• Tracking actions from previous management analyzes
• Circumstances change relating to:
• Products, activities and services changes
• Assessment results of environmental aspects
• Changes in legal requirements
• Stakeholders views
• Development of new technologies
• Improvement Recommendations

The Results of management analysis
Output = Decisions concerning:

• EMS modification
• EMS effectiveness
• Changes of resources allocation (human, financial, technical)
• Actions relating to changes in :
• Environmental policy
• Objectives and targets
• Other EMS elements

Post-audit activities

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Gheorghe Asachi Technical University of Iasi Faculty of Chemical Engineering and Environmental Protection

”Integrated Environmental Management”

First Name and Family Name: Carmen Teodosiu

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

Course 13 : ENVIRONMENTAL AUDIT

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

• Environmental management tool

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

Structure of ISO 19001:2011. Guidelines for auditing management systems

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

EMS AUDIT - definitions

• Reference Document : SR EN ISO 19011:2011 Guidelines for auditing management systems

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

• Internal Audit – made by the Organization on its structures and activities

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

LIABILITIES MANAGEMENT ACTIVITIES

 Compliance with legislation  Organization  Site

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

ROLES OF INTERNAL AUDIT

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

Audit principles (6 basic principles):

 For the audit process:

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

EMS Audit Objectives

• According to ISO 14001, organization plans internal audits to ensure that:

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

METHODS FOR AUDIT APPLICATION

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

EMS Audit - Requirements

• Audit programmes should be planned, established, implemented and maintained

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

EMS Audit - Planning

Monitoring and analysis of

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

Pre-audit activities/ Planning

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

The EMS Audit – Conducting the audit activities

2. Performing documents analysis (6.3)

3. Preparing on-site of audit activities (6.4)

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

The EMS Audit – Audits accomplishment

6. Audit closing (6.7)

7. Realization of and tracking audit (6.8)

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

The EMS Audit - Results

Records of audit program :

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INDICATORS OF AUDIT PERFORMANCE

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

• Management analysis must include:

• Management analysis is an documented activity records must be kept

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

Performed Management analysis

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

The Results of management analysis

Output = Decisions concerning:

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

C Carmen Teodosiu_tuiasi www.study.tuiasi.ro www.learning.tuiasi.ro

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