Auditing the EMS
An internal EMS audit is a management tool that your organization will use periodically to identify any flaws and/or weaknesses in the EMS. This information can help you assess how well your EMS is functioning. It is a systematic, objective and documented evaluation of whether your organization is doing what it said it would do to manage its environmental issues (its planned arrangements in ISO 14001 terms) and whether these arrangements are implemented effectively. The extent and frequency of internal audits depends on the environmental importance of the activities concerned and on the results of previous EMS audits.
The internal EMS audit is a snapshot in time. It evaluates the adequacy of documents, procedures, programs, and records and reviews the implementation, integration, and consistency of procedures and programs at that moment. It looks at the organization’s planned activities for meeting its objectives and targets, its control of significant aspects, and pollution prevention accomplishments. It looks for evidence of management’s commitment to the environmental policy and the EMS, and awareness and competency among employees. Finally the internal audit has a look at how the organization is fulfilling its commitment to continual improvement. Results of internal audits are part of, not a substitute for the management review process.
Audit activities include discussions with site personnel, observation and inspection of operating conditions and equipment, and review of records and relevant documentation. The audit process emphasizes objective evidence and discourages simple “yes” or “no” responses. The audit process is intended to be constructive and helpful to the organization managers and employees. An auditor can explain what is wrong regarding unacceptable items and why, but should not criticize the staff. The system is being audited, not the employees. Finally the EMS audit team is actively on the lookout for conformance to EMS requirements. It is as important to identify areas where arrangements are working well as it is to identify areas where improvements are required.
An internal EMS audit is a systematic and documented verification process of:
- Objectively obtaining and evaluating audit evidence;
- Determining whether an organization’s EMS conforms to the EMS audit criteria;
- Communicating the results of this process to Top Management;
- Collecting sufficient evidence through interviews, examination of documents and observation of activities and conditions;
- Verifying information from interviews through observations, independent sources, records and existing measurements; and
- Reviewing audit findings with auditee to establish their factual basis.
An internal EMS audit is not:
- A compliance audit, so it does not determine whether the organization is in compliance with applicable laws and regulations;
- A management review, which is a distinct and separate requirement of the EMS;
- By itself, a performance check;
- Pass/fail.
Documented Procedure
A documented internal EMS audit procedure needs to be developed to guide your audit activities. The procedure should cover the audit scope (what areas will you audit and against what EMS requirements), frequency, and methodology that will be used, as well as the responsibilities and requirements for conducting audits and reporting results. Audit programs must be endorsed by management, explained to and have the support of staff. Essentially, your audit procedure will address: who, what, when and how
Internal EMS Auditors
Independent auditors (internal or external staff) who have no direct responsibility in the areas being audited but who may work in conjunction with the applicable personnel usually perform internal EMS audits. EMS auditors need training to understand, practice, and carry out their responsibilities.
Auditor Credentials
- Relevant background (environmental science and technology, etc)
- Independent
- Understanding of relevant requirements of laws and regulations
- Trained in EMS and related standards
- Trained in auditing procedures, processes and techniques
- Good communication skills
- Can plan and conduct an audit and follow through with post audit activities
Three Stages of Audit Activity
There are three stages of audit activity
- Preparting for the audit
- Conducting the audit
- Follow-up activities
1. Preparing for the Audit
- Allocate resources
- Obtain senior management support
- Determine audit objectives
- Communicate reasons for audit and senior management support to all employees
- Identify audit team leader
- Identify the audit scope
- Appoint and train an independent audit team
- Prepare audit materials: checklists/protocols, reporting sheets, questionnaires
- Prepare an audit plan and timetable for the audit
- Communicate plan to team members and relevant managers and employees
- Conduct a preliminary document review
2. Conducting the Audit
- Conduct the introductory/opening meeting
- Tour the site
- Examine documentation and records
- Interview staff
- Observe activities and conditions
- Verify information from interviews through observations, independent, sources, records and existing measurements
- Clarify ambiguities with the persons involved
- Report conditions requiring immediate corrective action
- Document findings consistently using objective evidence
- Conduct the closing meeting
- Write a meeting summary and draft audit report
- Agree on tentative milestone dates for correction of specific nonconformances
3. Follow-up Activities
- Prepare the audit report
- Submit the report to management
- Develop a corrective and preventive action plan
- Follow up the CAR
Keys to Success
- Audit frequently and early in the EMS development process to gain on-the job experience. Don’t wait for the entire system to be developed and implemented before beginning the audit function. Audit teams gain confidence and skills quickly with plenty of on-the-job experience and the audit findings are good lessons learned in developing subsequent portions of the management system.
- Sufficient resources (e.g., time and training) must be provided by Top Management for the audit function to be conducted.
- Pull together a pool of auditors. The responsibility of auditing should not fall to one or two individuals. Having a pool of auditors can minimize the impact of employee turnover and minimize problems with scheduling.
Checklist
Has:
- Top Management committed sufficient resources?
- An audit team been selected and appropriately training?
- The audit plan been developed and communicated to the areas involved in the audit?
- An audit report been prepared and distributed to management?
- A timeframe been established to correct the audit findings?