InternalEMSAuditing

1. Internal EMS Auditing
at Naval Installations

2. 2 Title/Group/Section,etc.
Navy EMS Overview
 All “appropriate facilities” must implement an EMS that conforms with
ISO 14001 by 30 SEP 09
 Conformance is verified by 2nd party audit (initial and then every three years)
 Internal EMS Audit required annually
 Appropriate facilities may be a single installation or a group of
installations
 There are 94 navy “appropriate facilities”
 74 in United States
 20 Overseas
 Examples of facility types:
 Naval Air Station
 Naval Amphibious Base
 Naval Support Activity
 Naval Submarine Base
 Naval Shipyard
 Naval Weapons Stations

3. 3 Title/Group/Section,etc.
Typical Navy Practices
 Navy Installations are very similar to a small town
 Range from 80 to 80,000 personnel
 Typical Practices
 Waste Disposal
 Waste water treatment
 Fuel Combustion (boilers, generators)
 Oil Transfers
 Recycling
 Construction activities
 Painting
 Blasting
 Vehicle Maintenance
 Ordnance Training

4. 4 Title/Group/Section,etc.
EMS Audit Criteria
 Requirements
 Evaluate conformance with ISO 14001
 Evaluate conformance with OPNAV 5090.1C – Chapter 3
 Intent
 Evaluate implementation of defined system
 Effectiveness
 Evaluate effectiveness of EMS to fulfill environmental policy

5. 5 Title/Group/Section,etc.
Picking the Right Team
 Auditors need appropriate training
 Navy policy requires lead auditor to have completed ANSI-RAB
Lead Auditor course or Navy Conducting EMS Review Course
 Auditor attributes:
 Impartial to area auditing
 Ethical
 Open-minded
 Diplomatic / Tactful
 Observant
 Decisive
 Self-Reliant
 Background in Compliance
Note: Try to pick auditors with background in regulations that
apply to the significant aspect they’re auditing!

6. 6 Title/Group/Section,etc.
Document Review is Critical
 Before the audit begins, review:
 Environmental policy
 EMS procedures
 Results of previous audits
 Results of internal and external compliance evaluations
 Status of Objectives and Targets
 Operational Control procedures
 Checklists?
 EMS Auditing is more than following a checklist, it’s about evaluating
the effectiveness of a system
 Checklists may be helpful, though, to ensure that all areas are covered
(i.e. evaluating conformance with complex operational control
procedures)

7. 7 Title/Group/Section,etc.
Conducting the Audit
 Interview personnel with roles and responsibilities in procedures:
 Are they familiar with their role
 Does what they do match what the procedure says they do
 Do they have documentation to demonstrate conformance (if needed)
 Interviewing shop personnel / evaluating operational control:
Standard questions:
 Tell me about what you do here?
 What are the biggest environmental issues here (i.e. SEAs)?
 Are there any regulations that you have to follow?
 Do you have a procedure that tells you how to do that?
 Have you had training? Documentation of training?
 What can you tell me about the installation’s environmental policy?
 Do you know of any environmental goals associated with ____?
 What would you do if something went wrong (i.e. spill)?

8. 8 Title/Group/Section,etc.
Reporting Audit Results &
Corrective Action
 Conduct daily out brief with environmental staff at minimum
 Conduct formal out brief with Installation Commanding Officer,
Public Works Officer, and Environmental Manager, describing:
 Scope of audit
 Evaluation criteria
 Noteworthy practices (what are they doing well?)
 Audit findings
 Findings associated with regulatory compliance should be tied back to a
weakness in one or more ISO 14001 element
 EMS non-conformances must be corrected:
 in accordance with the installations corrective action procedure
 for corrective actions requiring long-term action, a plan of action &
milestone must be developed and progress tracked periodically

9. 9 Title/Group/Section,etc.
Getting Top Management Involved
 Distill the EMS concept down to terms they can relate to:
 “Say what you do and do what you say”
 The Plan-Do-Check-Act Model
 Continual Improvement
 How is EMS going to help their organization?
 Cost savings – give examples
 Improved relations with regulators – give examples
 Documentation of processes – reduced impact of personnel turnover
 Acknowledge personnel for achievements
 Report EMS successes within and outside of the organization