EMS In Depth: Aspects/Impacts, Objectives/Targets ... · Leadership Planning ... Don’t worry...
Transcript of EMS In Depth: Aspects/Impacts, Objectives/Targets ... · Leadership Planning ... Don’t worry...
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EMS In Depth: Aspects/Impacts, Objectives/Targets, & Internal Audits
Workshop
Iowa Department of Natural Resources Johnston, Iowa August 1, 2018
Presented by: Cory Sander PSARA Technologies, Inc.
Visit us at www.psara.com
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Welcome
Facilitator Introduction
Fundamentals
Workshop Content and Materials
Introductions of Attendees
What is your name?
Where do you work?
What is your title and job responsibilities?
What experience do you have with EMS?
What do you hope to gain from this workshop?
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EMS Refresher
What IS an EMS?
Environmental Management System
Similar to any other management system
Method for carefully and deliberately controlling
performance (i.e., processes, procedures, and programs)
Integrated within an organization
Used to ensure an organization can fulfill tasks and achieve
goals
Continual improvement
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EMS Refresher
What IS NOT an EMS?
Disorganized approach to managing performance
Informal and undocumented
Detached environmental responsibilities
Entirely focused on compliance
Flawless
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EMS Refresher
What are Some Benefits of an EMS?
Reduced influences on the environment
Improved environmental compliance
Enhanced public image
Cost savings
Reduced risks
Improved employee satisfaction
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EMS Refresher
What are the Key Elements of an EMS?
Context of the organization
Leadership
Planning
Environmental aspects (and impacts)
Environmental objectives (and targets) and
planning
Support
Operation
Performance evaluation
Internal audit
Improvement
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Environmental Aspects
(and Impacts)
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Environmental Aspects and Impacts
What are Environmental Aspects and Impacts?
ISO 14001:2015 definitions
An aspect is an “element of an organization’s activities
or products or services that interacts or can interact
with the environment”
An impact is “any change to the environment, whether
adverse or beneficial, wholly or partially resulting from
an organization’s environmental aspects”
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Environmental Aspects and Impacts
What are Environmental Aspects and Impacts?
ISO 14001:2015 definitions
An aspect is an “
pduhwhh
”
An impact is “yhh,whh
db,whypyu
p”
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Environmental Aspects and Impacts
What are Environmental Aspects and Impacts?
Layman’s terms
An aspect is a cause (reason)
An impact is an effect (result) on the environment
“Because of ____X______, ____Y______ happened”
(Aspect) (Impact)
“Because of the oil spill, the soil has become
contaminated”
“Because of the air emissions, the atmosphere has
become polluted”
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Environmental Aspects and Impacts
What aspects (causes) and impacts (effects) do you see here?
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Environmental Aspects and Impacts
What aspects (causes) and impacts (effects) do you see here?
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Environmental Aspects and Impacts
What are the Requirements for Aspects and Impacts?
1. Identify
2. Prioritize (significant aspects and impacts)
3. Include
4. Communicate
5. Maintain
Continual Improvement
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
An organization’s aspects (causes) originate from its
activities, products, and services
“Grouping” methodology
“Surveying” methodology
“Mass balancing” methodology
“Back-calculating” methodology
“Potpourri” methodology
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
“Grouping” methodology
Focuses on one category at a time
Starts with activities, moves to products, and finishes
with services
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
“Grouping” methodology
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
“Surveying” methodology
Typically focuses on areas
Starts at one end of the facility / site (property) and
finishes at the other end
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
“Surveying” methodology
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
“Surveying” methodology
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
“Mass balancing” methodology
Typically macroscopic
Starts with inputs and finishes with outputs
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Environmental Aspects and Impacts
People
Equipment
Chemicals
Water
Electricity
Solid Waste
Fumes
Widgets
Wastewater
Heat
Radiation
Methods for Identifying Aspects and Impacts
“Mass balancing” methodology
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
“Mass balancing” methodology
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
“Back-calculate” methodology
Focuses on impacts
Evaluates each
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
“Back-calculate” methodology
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
“Potpourri” methodology
Typically combines two methods
“Grouping” and “Surveying” combo is popular
Starts at one end of the facility / site (property)
Focuses on one area at a time
Lists out all activities, products, and services
Moves to the next area and repeats
Finishes at the other end of the facility / site
(property)
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
“Potpourri” methodology
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
The plain truth
No “magic bullet”
Best method depends on organization
Pros and Cons for each method
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
Helpful hints
Use consistent terminology and lists / selections
Environment
Impacts
Aspects
Use Excel (or some other software)
Copy and Paste
“Pick From Drop-down List”
Data Validation
Filters
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
Helpful hints
Use what is already available / common within your
organization
Maps / diagrams
Flowcharts
Quality / safety / ergonomic analyses
Budgets
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
Helpful hints
Brainstorm with a group
Variety of people / experiences
Don’t get too many “cooks in the kitchen”
Avoid ISO definitions
Don’t overthink / over-analyze
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
Helpful hints
Reference other organizations similar in size / scope
Don’t discriminate
Environmental policy
Abnormal and emergency situations
Maintenance, contractors, suppliers, visitors
Planned / new APS
Adverse / beneficial impacts
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Environmental Aspects and Impacts
Methods for Identifying Aspects and Impacts
Helpful hints
Maintain on an annual basis
Keep it simple!!!
Focus on what your organization can control /
influence
Generalize
Do a draft then finalize
Don’t forget the life cycle perspective
Continual improvement
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Significant Aspects and Impacts
Air
Emissions
Paper
Recycling
Hazardous
Waste
Disposal
Gasoline
Usage
Electricity
Usage
Chemical
Spills
Oil Spills
Water
Usage
Electronic
Waste
Disposal
Organization
As with any organization, everything is not managed equally. Some things are more important than others
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Significant Aspects and Impacts
Air
Emissions
Paper
Recycling
Hazardous
Waste
Disposal
Gasoline
Usage
Electricity
Usage Chemical
Spills
Oil Spills
Water
Usage
Electronic
Waste
Disposal
Environmental
Management System
Organization
Those things that are more important are addressed as a priority by the EMS
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Significant Aspects and Impacts
Identify
2. Prioritize
Activities / Products / Services
Environmental Aspects (Causes)
Environmental Impacts (Effects)
Oil Management Oil Spills Degradation of Water Quality
General Office Support Electricity Usage Depletion of Natural Resources
Equipment Operation Air Emissions Degradation of Air Quality
Equipment Operation Gasoline Usage Depletion of Natural Resources
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Significant Aspects and Impacts
Out of all the houses available in your area, how do you decide which ones to go see?
The process of buying a home is a good example of prioritizing
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Significant Aspects and Impacts
Different Ways of Determining Significance
Align with environmental policy. Include criteria and provide
consistent results
“All-in” methodology
“Comparative” methodology
“Scoring” methodology
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Significant Aspects and Impacts
Different Ways of Determining Significance
“All-in” methodology
All aspects and impacts are significant
Criteria -> everything
Definitely provides consistent results
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Significant Aspects and Impacts
Different Ways of Determining Significance
“Comparative” methodology
Compares each aspect and impact relative to something
Criteria -> another organization, industry, geographic
location, etc.
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Significant Aspects and Impacts
Different Ways of Determining Significance
“Comparative” methodology
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Significant Aspects and Impacts
Different Ways of Determining Significance
“Scoring” methodology
Focuses on a few characteristics
Values each characteristic
Calculates total value based on a formula
Very common method
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Significant Aspects and Impacts
Different Ways of Determining Significance
“Scoring” methodology
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Significant Aspects and Impacts
Different Ways of Determining Significance
The plain truth
No “magic bullet”
Best method depends on organization
Pros and Cons for each method
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Significant Aspects and Impacts
Different Ways of Determining Significance
Helpful hints
Be consistent
Use Excel (or some other software)
Use what is already available / common within your
organization
Don’t worry about collecting data
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Significant Aspects and Impacts
Different Ways of Determining Significance
Helpful hints
Brainstorm with a group
Variety of people / experiences
Don’t get too many “cooks in the kitchen”
Avoid ISO / technical definitions
Don’t overthink / over-analyze
Document “rules” for consistency
Reference other organizations similar in size / scope
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Significant Aspects and Impacts
Different Ways of Determining Significance
Helpful hints
Avoid criteria with overlap
Include a “trump card”, if necessary
Maintain on an annual basis
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Significant Aspects and Impacts
Different Ways of Determining Significance
Helpful hints
Keep it simple!!!
Use easy “rules”
Do a draft then finalize
Conduct a reality check
Communicate
Continual improvement
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Environmental Aspects and Impacts
Examples &
Discussion
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Environmental Objectives
(and Targets)
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Environmental Objectives & Targets
What are Environmental Objectives & Targets?
ISO 14001:2015 definitions
An objective is a “result to be achieved set by the
organization consistent with its environmental policy”
A target is…
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Environmental Objectives & Targets
What are Environmental Objectives & Targets?
Layman’s terms
An objective is the overall environmental change your
organization wants to achieve
A target is the measurable outcome of the change
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Environmental Objectives & Targets
What are Environmental Objectives & Targets?
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Environmental Objectives & Targets
What are Environmental Objectives & Targets?
Objective
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Environmental Objectives & Targets
What are Environmental Objectives & Targets?
Monday
Thursday
Target
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Environmental Objectives & Targets
What are Environmental Objectives & Targets?
Objective -> “The Big Picture” -> “30,000 Foot View”
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Environmental Objectives & Targets
What are Environmental Objectives & Targets?
Target -> Zoomed-In View -> Site/Facility Level
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Environmental Objectives & Targets
Developing, Implementing, and Maintaining
Requirements
Consistent with the environmental policy
Measurable (if practical)
Monitored
Communicated
Updated as appropriate
Determine how they will be done, what resources are
needed, who will be responsible, when will they be
completed…
At relevant functions and levels
Take into account significant aspects and obligations
Consider risks and opportunities
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Environmental Objectives & Targets
Developing, Implementing, and Maintaining
Typical Practices
Developing
Initiated by “core” EMS team / senior management
Use significant aspects & impacts list
Identify ways to reduce / increase environmental
impacts with focus on continual improvement
Outside conversations and data gathering
Draft, review, modify, and finalize
Iterative and lengthy process
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Environmental Objectives & Targets
Developing, Implementing, and Maintaining
Typical Practices
Implementing
Approval
Managed by the “core” EMS team
Responsibilities assigned
Departments / groups / outside organizations
Team building
Communicated within the organization and to
appropriate stakeholders
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Environmental Objectives & Targets
Developing, Implementing, and Maintaining
Typical Practices
Maintaining
Coordinated by the “core” EMS team
Routine reviews of progress
Communication
Adjustments, as needed
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Environmental Objectives & Targets
Examples of Strong & Weak Os & Ts
Characteristics of Strong Os & Ts
Objectives
Directly linked to significant aspects & impacts
“Big picture”
Focused on desired environmental change
Brief, clear, concise
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Environmental Objectives & Targets
Examples of Strong & Weak Os & Ts
Characteristics of Strong Os & Ts
Targets
Directly linked to objectives
Measurable
Include baselines
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Environmental Objectives & Targets
Examples of Strong & Weak Os & Ts
Characteristics of Weak Os & Ts
Objectives
Not linked to significant aspects & impacts
Detailed / wordy
Task-related
No direct environmental connection
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Environmental Objectives & Targets
Examples of Strong & Weak Os & Ts
Characteristics of Weak Os & Ts
Targets
Not linked to objectives
Task-related
Not measurable
No baselines
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Environmental Objectives & Targets
Examples of Strong & Weak Os & Ts
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Environmental Objectives & Targets
Examples of Strong & Weak Os & Ts
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Environmental Objectives & Targets
Examples of Strong & Weak Os & Ts
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Environmental Objectives & Targets
Examples of Strong & Weak Os & Ts
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Environmental Objectives & Targets
Helpful Hints
Relearn / Rethink
Coincide with other planning processes (e.g., budgeting)
Correlate to Environmental Policy and Significant Aspects &
Impacts
Start with existing / planned organizational goals
Talk with other groups / departments within your
organization
Talk with pollution prevention services
Talk with other companies
Search the web
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Environmental Objectives & Targets
Helpful Hints
Brainstorm with a group
Variety of people / experiences
Don’t get too many “cooks in the kitchen”
Don’t overthink / over-analyze
Identify multiple potential Os & Ts for Significant Aspects &
Impacts
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Environmental Objectives & Targets
Helpful Hints
Be practical
Don’t overcomplicate them
Do drafts then finalize
Get approval
Review and update on a monthly basis
Communicate
Adjust, as needed, for good reasons and document why
Continual improvement
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Environmental Objectives (and Targets)
Examples &
Discussion
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Internal Audits
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EMS Internal Audits
What is an Internal Audit?
ISO 14001:2015 definition
An audit is a “systematic, independent and documented
process for obtaining audit evidence and evaluating it
objectively to determine the extent to which the audit
criteria are fulfilled”
An internal audit is conducted by the organization
itself, or by an external party on its behalf
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What is an Internal Audit?
Layman’s terms
An internal audit is a checkup of your organization’s
EMS on routine, planned intervals according to an
established process
EMS Internal Audits
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What is an Internal Audit?
EMS Internal Audits
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What is an Internal Audit?
What are we checking?
Conformity to the organization’s own requirements and
the requirements of the ISO standard
Implementation and maintenance
EMS Internal Audits
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What is an Internal Audit?
What are the core components of an internal audit?
Preparation
Scope, frequency, and schedule
Internal auditors
Plan and checklists
Execution
Opening meeting
Interviews, document / record reviews & field
observations
Closing meeting
Audit report and follow-up
EMS Internal Audits
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EMS Internal Audits
Preparation
Scope, frequency, and schedule
Scope
What’s fair game?
What’s in and what’s out?
Variations?
Why?
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EMS Internal Audits
Preparation
Scope, frequency, and schedule
Frequency
How often?
Why?
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EMS Internal Audits
Preparation
Scope, frequency, and schedule
Schedule
What day(s)?
Time(s)?
Shift(s)?
Requirement(s)?
Who?
Where?
Why?
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EMS Internal Audits
Preparation
Internal auditors
Finding internal auditors
Difficult
New staff
Consultants
Partnerships
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EMS Internal Audits
Preparation
Internal auditors
Desired characteristics of internal auditors
Neutral and fair
Inquisitive
Unafraid
Tactful
Conversationalist
Some environmental knowledge or interest
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EMS Internal Audits
Preparation
Plan and checklists
Plan
Tool to coordinate the process
Documents the scope and schedule
Concept / elements are fairly standard between
organizations
Layout varies much more
Typically developed and communicated at least 1
month prior to start of audit
Can include areas and special instructions
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EMS Internal Audits
Preparation
Plan and checklists
Checklists
Tool to assist auditors
Includes “canned” questions for each requirement
Concept / elements are fairly standard between
organizations
Layout varies much more
Typically allows for documenting notes and
preliminary results
Can include special instructions
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EMS Internal Audits
Examples of Good & Weak Preparation
Good preparation
Inclusive
Timely
Detailed, clear, concise
Documented
Communicated
Creative
Mentally rehearsed
Questioned
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EMS Internal Audits
Examples of Good & Weak Preparation
Weak preparation
Exclusive
Last minute
Vague
Verbal
Private
Unimaginative
Unrehearsed
Uncontested
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EMS Internal Audits
Examples of Good & Weak Preparation
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EMS Internal Audits
Examples of Good & Weak Preparation
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EMS Internal Audits
Examples of Good & Weak Preparation
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EMS Internal Audits
Helpful Hints
Consider the organization
Consider other schedules / commitments
Consider previous audit(s)!!
Start with previous preparations
Rethink
Talk with others
Brainstorm with a group
Variety of people / experiences
Don’t get too many “cooks in the kitchen”
Don’t overthink / over-analyze
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EMS Internal Audits
Helpful Hints
Do drafts then finalize
Get approval
Communicate
Adjust for good reasons, as needed, and document why
Continual improvement
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Environmental Internal Audits - Preparation
Examples &
Discussion
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Execution
Opening meetings
Introductions
Review of plan and needed changes
Logistics and fundamentals
Discuss process and expected results
Open discussion
EMS Internal Audits
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Execution
Interviews, document / record reviews & field observations
Document objective evidence
Observations
Conversations
Review of documents and records
Follow audit plan
Communicate
EMS Internal Audits
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Execution
Closing meetings
Disclose preliminary findings
Discuss next steps
Open discussion
EMS Internal Audits
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Execution
Audit reports and follow-up
Document final results of audit
What about undetermined findings?
Findings are investigated
Actions for findings are assigned
Actions are implemented
Findings & actions are checked
Findings & actions are closed
EMS Internal Audits
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Examples of Good & Weak Execution
Good execution
Punctual
Professional
Focused
Understanding
Creative
Confident
Honest
Open-minded
Non-judgmental
EMS Internal Audits
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Examples of Good & Weak Execution
Weak execution
Late
Disorderly
Private
Pushover
Obsessive
Undocumented
Know-it-all
Critical
EMS Internal Audits
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Execution
EMS Internal Audits
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Execution
EMS Internal Audits
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Execution
EMS Internal Audits
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Examples of Good & Weak Execution
EMS Internal Audits
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Examples of Good & Weak Execution
EMS Internal Audits
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Helpful Hints
Opening meetings
Be friendly and patient
Introduce everyone
Document why changes to plan are needed, if any
Get names and contact information of key people
Talk safety
Include disclaimers
Discuss how possible findings will be managed during
onsite visit
Use a sign-in sheet
EMS Internal Audits
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Helpful Hints
Interviews, document / record reviews & field observations
Be friendly and patient
Use checklists if necessary or needed
Explain “what’s going on” to interviewees
Consider using simple terminology / layman’s terms
Ask hypotheticals
Stay away from “Yes / No” questions
Follow “audit trails”
Rethink
Listen
Communicate
EMS Internal Audits
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Helpful Hints
Closing meetings
Be friendly and patient
Give compliments
Discuss changes to plan
Agree to disagree, if necessary. Explain auditor
obligations
Include disclaimers
Get names and contact information of key people
Use a sign-in sheet
EMS Internal Audits
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Helpful Hints
Audit reports and follow-up
Complete ASAP
Include actual and potential nonconformities
Be practical
Don’t overcomplicate
Use organizational-standards for level of detail
Use tabular format
Draft, submit for comments, finalize
Organizations are best equipped to determine root
cause(s) and corrective actions and preventive actions
Corrective actions ≠ preventive actions
Involve auditors in closures
EMS Internal Audits
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Helpful Hints
EMS Internal Audits
Continual Improvement
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Environmental Internal Audits - Execution
Examples &
Discussion
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Open Discussion / Facilitator Q&A / Additional Networking
Questions??
ISO 14001 Revision
Evaluations
Thank you for attending
Contact PSARA anytime
Cory Sander @ 614-917-3074
Stay around for additional questions or comments and
networking
Hope to see you or talk to you again soon