FREE GUIDE: HOW TO CONDUCT AN ENVIRONMENTAL …i. environmental management systems audit A...

FREE GUIDE: HOW TO CONDUCT AN ENVIRONMENTAL MANAGEMENT SYSTEM AUDIT

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Risk ZA has developed this practical guide for conducting an Environmental Management Systems (EMS) audit to assist organisations with the audit process. In so doing, we wish to highlight the valuable role of the audit process for continual improvement of an organisation’s environmental performance and the success of the Environmental Management System itself.

This Guide provides an overview of the following:• Audit Preparation.• Conducting an Audit.• Audit Reporting and Follow-up.• Audit Best Practice.

© Risk ZA Corporate Sustainability (PTY) Ltd.

HOW TO CONDUCT AN ENVIRONMENTAL MANAGEMENT SYSTEM AUDIT



DEFINITIONSA. AUDIT CHECKLISTThe document the outlines the requirements of the EMS and evidence to be collected.

B. AUDIT FREQUENCYEstablishes and defines the overall audit schedule (at least one audit each year).

C. AUDIT PLANDescribes the audit schedule and site locations, timing as well as interviews and documents and / or records that are needed to support verification that the EMS is in place and working as planned.

D. AUDIT REPORTDocuments the audit process, evidence collected, and findings from the EMS audit.

E. AUDIT SCOPEDefines which elements of the EMS and the areas of operation that the audit will cover.

F. CORRECTIVE ACTIONSteps taken to correct process or activities to prevent recurrence within the EMS as observed in routine checks through internal audits.

G. ENVIRONMENTAL MANAGEMENT SYSTEMA systematic process for proactively managing environmental impacts and continually improving environmental performance.

H. ENVIRONMENTAL MANAGEMENT OFFICER / REPRESENTATIVEThe person responsible for the day-to-day facilitation of the EMS.

I. ENVIRONMENTAL MANAGEMENT SYSTEMS AUDITA systematic and documented verification process of objectively obtaining and evaluating audit evidence to determine whether an organisation’s EMS conforms to the EMS audit criteria.

J. EMS MANAGEMENT TEAMThe people responsible for making sure that the EMS is designed to fit the organisation.

K. FINDINGSResults of the EMS internal audit verification that confirm if the EMS elements have been implemented as designed and are providing benefits to the organisation.

L. ROOT CAUSE ANALYSISProcess conducted by the EMR or facility manager that seeks to identify the true cause of a finding from an audit.



To begin preparing for an audit, the EMR and lead auditor will work together to determine the EMS audit scope and frequency. In general the 10 elements of the EMS need to be assessed at least once per calendar year.

ELEMENTS OF THE EMS THAT NEED TO BE ASSESSED...

The auditor needs to develop an audit plan that will serve as a tool to facilitate the audit process. The plan documents a detailed itinerary that includes:

• The location of the facilities and people to be interviewed.• Timing, sequence and duration of work items• Criteria to be used, records and documents that are needed during the audit.• A time and location for the opening and closing meetings.

BEFORE THE AUDIT The EMR / EMS core team should review EMS related documents and records to facilitate the audit process. They should look at findings from prior audits, risks and opportunities, and follow-up to ensure corrective action has been taken on previous EMS weaknesses. In addition, staff should be notified of the upcoming audit.

1. AUDIT PREPARATION



A. OVERVIEW OF EMS DOCUMENTATIONEMS procedures are the written instructions on how the EMS has been developed and how it will continue to be implemented. EMS documents are also records of compliance and other requirements.

AUDIT PROCESSREAD EVIDENCE

• Environmental Policy Statement• Impacts List• Compliance Obligations• Objects & Targets with Action Plans• Communication, Training & Awareness

Procedures• Monitoring and Measurement Procedures• Audit Procedure• Reevaluation an Modification Procedure• Records of Objectives & Targets• Waste Manifests• Training Records• Log Information Requests from Public• Records of Metrics• Memorandum of Re-evaluation • Results with Proposed Modification

• Do documents comply?• Have documents required by environmental

regulations been developed?• Have documents been approved by

management?• Is staff working from the latest procedure?• Is document procedure in place and

working effectively?• Have the documents been reviewed and

updated?• Does the organisation have a records

retention process in place? Are records being properly retained?

• Are the records easily identifiable and accessible?

INTERVIEW• EMR/EMS Core Team • Senior management• Staff• Field Employees

B. ENVIRONMENTAL POLICY STATEMENTThe policy statement is management’s commitment to the environment. The policy should be documented and approved by management.


• The Policy Statement • Does the Policy Statement set objectives and targets?

• Has the policy been approved by management?

• Has the policy been updated?• Ask the Core Team about the origins,

content and how the policy is communicated to staff?


2. CONDUCTING AN AUDIT OF AN EMS



C. ENVIRONMENTAL ASPECTS & IMPACTSAn environmental aspect is the interaction of an activity with the environment. An environmental impact is any change positive or negative to the environment. All significant aspects and impacts must be addressed in the EMS.


• Environmental Aspects / Impacts Criteria Procedure.

• Environmental Aspects / Impacts Ranking Table

• Significant Impact Table

• Is there a procedure and has it been followed?

• Review Aspects / Impacts List• Is senior management in agreement with

the significant aspects and impact?• Ask staff if they are aware of how their job

responsibilities may affect the environment.


EMS ESSENTIALS“The organisation identifies and evaluates the actual or potential aspects and impacts to the environment, whether adverse or beneficial, from its activities, services and facilities.”

D. COMPLIANCE OBLIGATIONSThe EMS auditor should focus on the process used to develop and update compliance requirements and whether the organisation actively manages its obligations.


• Compliance obligation requirement procedure

• Legal and other requirements

• Does the procedure identify how compliance. obligations are identified and track it through time?

• Ask if the organisation has received any violation notices and how it would address them.

• Review current version of compliance requirements.

• Check the OSHA requirements.• Speak to the compliance manager of the

facility and find out how they manage records.

• Ask if staff are aware of environmental and safety requirements.

INTERVIEW• EMR/EMS Core Team• Field Staff



E. OBJECTIVES AND TARGETSAn objective is an environmental goal set to help each overall environmental change that the organisation wishes to achieve. A target is a detailed, measurable performance requirement that is set to achieve specific outcomes of the objective.


• Objective and Target Procedure• Objectives and Targets List• Objectives and Targets Progress Table

• Ask the EMR how objectives and targets were developed and how they are reviewed and kept current.

• Review the current Objectives and Targets List.

• Check the objectives for significant aspects and impacts.

• Make sure set targets are quantifiable and include due dates.

• Is the organisation reducing their impacts? If not, why?

INTERVIEW• EMR/EMS Core Team• Staff assigned to objectives and targets• Senior management

EMS ESSENTIALS“The organisation establishes objectives relevant to its policy, environmental issues and impacts. Targets necessary for achieving the stated objectives are established.”

F. ACTION PLANAction plans serve as road maps for achieving the objectives and targets set by the organisation. They list specific tasks or activities with assigned responsibilities and associated due dates and create a process for reporting and tracking. Key resources should be identified in the action plan.


• Action plan for associated Objectives and Targets

• Objectives and Targets Progress Report

• Review the current Action Plans for each objective and target and determine if each objective and target has a well laid out plan for implementation.

• Are the action plans still achievable?• Have any changes been made to the action

plans?• Is there a process to actively manage and

track the action plans?• If changes have been made, is the

organisation still on track to meet the objectives? Do the changes to the action plans accurately reflect the expected outcomes?

• Are the action plan due dates still being met? If not, why?

• Are assigned staff aware and keeping track of progress on the action plans?

INTERVIEW• EMR/EMS Core Team• Staff assigned to action plan task



G. IDENTIFYING ROLES AND RESPONSIBILITIESAn organisation must identify individuals who are responsible for developing, managing and implementing the EMS. EMS roles and responsibilities must be documented and communicated.


• Roles and Responsibilities Procedure• Roles and Responsibilities Matrix

• Review the current documentation and ask the EMR about its development.

• Have any EMS roles and responsibilities been added or deleted? If so, does the document accurately reflect this?

• Are staff aware of their EMS roles and responsibilities as identified in the document?

INTERVIEW• EMR/EMS Core Team• Staff that have EMS responsibilities

H. COMMUNICATION/TRAINING/AWARENESSCommunication is the key to success with an EMS, as it helps garner support to build an effective management system. It creates employee buy-in and makes staff aware that environmental considerations are part of everyone’s job, and develops stakeholder awareness that is crucial to many objectives and targets.EMS employee training and awareness are vital to achieving continual improvement.Training may focus on several different areas: general awareness training, compliance, minimising environmental impacts, responsibilities for objectives, targets, and associated action plans, and environmental stewardship.


• Communication and Training Procedures• Review External Communication

Documentation• Review EMS Training Matrix/Table• Review supporting documentation for

training attended such as sign-in sheets

• Review current EMS Communication and Training Procedure. Does it outline the program for both internal and external communication as well as training?

• What types of communication methods does the organisation have in place?

• Review External Communication Records.• Is the training matrix up to date?• Have employees received the required

training? If not, why?

INTERVIEW• EMR/EMS Core Team• Senior management• Staff• Field employees

EMS ESSENTIALS“Establish processes for internal and external communication. Procedures for receiving and responding to communications from external interested parties must also be in place.”



I. MONITORING AND MEASUREMENTMonitoring and measuring metrics from action plans with associated objectives and targets are important in demonstrating the success and weaknesses of the EMS.Organisations should have Monitoring and Measurements procedure, and performance indicators available for review.


• Action Plans for associated Objectives and Targets

• Monitoring and Measurement Procedure• Metrics

• Review the Procedure and ask the EMR about how the metrics were identified and how they are tracked.

• Review the current action plan for each objective along with the monitoring and measurement data.

• Verify that monitoring and measurement data is available for each planned component area and that progress is being made constantly.

• Are metrics being tracked, and recorded for objectives, targets, and action plans?

• Are there any gaps in the metrics? What are the causes of these gaps?

• Do metrics accurately reflect environmental performance?

• Is monitoring equipment functioning properly?

• Are staff aware of monitoring and measuring requirements from objectives, targets, action plans, and legal and other requirements?

INTERVIEW• EMR/EMS Core Team• Staff responsible for monitoring and measurement.

EMS ESSENTIALS“A documented process for monitoring key activities and measuring performance related to the specific environmental objective and target, at minimum.”

J. ASSESSMENT AUDITThe EMS assessment process identifies weaknesses in the EMS and the associated root cause. There are two types of assessment audits: compliance audits and EMS audits. A compliance audit determines compliance with local and national regulations. EMS audits are conducted to determine conformance with the EMS. Findings are evaluated for their root cause and corrective action is then taken.


• Audit Procedure• Audit Checklist• Audit Reports

• Review the EMS Assessment / Audit Procedure and verify the steps being followed in the Audit.

• Does the EMS Audit Checklist accurately reflect operations related to the EMS?

• Does the EMS audit process appear to be in place and functioning?

• Have all audit reports been reviewed and finalised by the EMR/EMS Core Team?



INTERVIEW• EMR/EMS Core Team

K. REEVALUATION AND MODIFICATIONThe re-evaluation and modification of the EMS is conducted to identify which elements of the EMS meet, partially meet, fail to meet, or exceed expectations. For elements that failed to meet expectations, they are deemed as findings or non-conformances and root cause must be identified and corrective action taken to prevent them from being repeated.

The second part of this process is management review. Management review is conducted with senior management in order to drive the organisation’s continual improvement process. This review process helps to keep management informed on the progress and direction of the EMS. It also gives staff and management time to discuss environmental improvements and additional resource needs. Records from the identified findings, root cause, and corrective action should be available for review. Additional records for management review should be available for review as well.

3. AUDIT REPORT AND FOLLOW-UPOn completing the audit, the auditor will hold a closing meeting to disclose the preliminary findings of the audit. After the closing meeting the auditor will develop a draft an audit report documenting the audit process, evidence collected and the findings of the EMS audit.The EMR will follow up on corrective action with assigned due dates. The process will be documented in a written procedure by the EMR/EMS Core Team.


• Previous Audit Reports• Findings and the associated Root Cause

Analysis, Corrective Action, and Follow-up• Management Review Meetings

• Have all findings been addressed and completed through a root cause analysis?

• Is corrective action in place and effective? If not, why? The root cause may need to be re-evaluated.

• Are there any ‘openings’ from the previous audits? Ask the EMR to review and explain the status.

• Ask the EMR about management review. When was the last management review conducted. Has a management review meeting report or meeting minutes been prepared? If not, why?

INTERVIEW• EMR/EMS Core Team• Senior management

EMS ESSENTIALS“The re-evaluation and modification process is an activity that allows an organisation to improve and strengthen the EMS on an ongoing basis.”



Listed below are some examples of best practices that can be used to achieve a successful and thorough audit that will drive continual improvement with the organisation’s EMS audit process.

• The EMS Auditor should work with the EMR to determine the schedule and necessary interviews.

• Remember to schedule senior management interviews in advance.• Allow flexibility in the schedule - you never know where the audit will take you.• The flow of the audit should be decided by the Lead Auditor and the EMR but most

audits are conducted as follows:• Opening meeting• Interview with the EMR and conduct document review.• Site visit to conform EMR interview.• Review meeting with EMR to discuss any findings.• Closing meeting.

• Use your EMS Checklist and modify it as your EMS improves.• Follow ‘audit trails’.• Look for objective evidence and record results.• Be friendly and patient.• Explain in general terms the audit process to staff in advance of questions.• Communicate with the EMR during the audit.

Considers areas where the EMS has met, exceeded, or failed to meet expectations, corrects non-conformities in order to improve

environmental performance.

4. AUDIT BEST PRACTICE



HOW CAN RISK ZA ASSIST?Risk ZA provides a wide-range of ISO related services, including training, consulting and pre-certification audits. To begin your journey of systems auditing, we would recommend that you attend the following courses:

INTERNAL AND SUPPLIER ENVIRONMENTAL MANAGEMENT SYSTEMS AUDITOR TRAINING, BASED ON ISO 14001:2015 AND ISO 19011:2011 (2 DAYS)Theoretical and practical knowledge of environmental auditing required to determine the conformance of the management system arrangements and its performance; based on outcomes.

Delegates complete practical exercises and other assessments which relate to the requirements of ISO 14001:2015, environmental aspects and other significant factors which influence the organisations environmental performance.

Prerequisites: Introduction to ISO 14001:2015 and EMS Concepts & Principles (3 Days)

ISO 14001:2015 LEAD AUDITOR (5 DAYS)Theoretical knowledge of EMS auditing required to determine the conformance of the management system arrangements and its performance; based on outcomes. Delegates complete practical exercises and other assessments which relate to the requirements of ISO 14001:2015 and other significant factors which influence the organisation’s OHS performance.

Persons attending this course will be able to facilitate EMS audits based on the ISO 14001:2015, ISO 19011 and ISO 17021-1 Standards for management system auditing. Plan and facilitate audits, set and recommend corrective actions, follow up and close out audit findings.

Prerequisites: Introduction to ISO 14001:2015 and EMS Concepts & Principles (3 Days)

If you haven’t already transitioned to the new version of the ISO 14001 standard, we would recommend you attend our 2-day ISO 14001:2015 Auditor Transition Workshop.

Contact us to discuss which of our ISO 14001:2015 training courses would best suit you and your organisation: +27 (0) 31 569 5900 or [email protected]

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