The document provides guidance on performing environmental management system audits by outlining steps for gathering objective evidence such as reviewing documents, observing practices, and interviewing employees, as well as describing different audit approaches including aspect-based, process-based, and system-based. It also discusses preparing checklists, evaluating key areas of the EMS, following up on audit trails, and generating a final audit report.

1. 1
Performing Audit
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EMS
Chapter on:
Performing an Audit
(gathering objective
evidence)
By George Ogoti-MMCAFRICA

2. 2
Performing Audit
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• Reviewing documents
• Looking at records
• Interviewing people at all
levels
• Observing practices and
physical environment
How do auditor find evidence ?
NOTE: Can/should the auditor cover all people,
documents and records during the audit?

3. 3
Performing Audit
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Checklist Format
 Leave space for notes
 Allow space for time control
and recording
 Reference the requirements of
audit criteria
 Reference the control
documents
 Reference verifying
documents (records)
Inquiries Evidence and
Results
Facilities Area (4.3.3, 4.4.6)
Interview HVAC technician
about energy reduction
program. Plan, results.
Observe equipment and
settings
Employee interviews (4.2,
4.3.2, 4.4.7)
Are you aware of the
environmental policy?
How does the policy relate
to what you do?
What type of training have
you hade on EM?
What do you do if there is
an emergency?

4. 4
Performing Audit
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Checklists should:
 Be specific for a given EMS.
 Be prepared using EMS
documentation.
 Be clear about evaluation
criteria.
 Note documents to review.
 Identify records to sample (and
sample size).
 Identify key people to interview.
 Include some key questions for
interviews.
 Note physical evidence you
expect to see.
Checklists should NOT:
• Narrow the vision or limit
evaluation.
• Obstruct communication.
• Be too strict or constraining.
• Be a script of exact questions.
• Restrict auditor’s inquiry.
• Be yes/no lists.
• Be completely generic.

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What documents should be reviewed for
Document review?
 Environmental
manual
 Procedures
 Work instructions
 Other documents
 Records
Should all documents be reviewed ?

6. 6
Performing Audit
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Observations
 Keep observing the physical evidence:
• aspects
• equipment, instruments
• conditions, operational control
 Posted Procedures
 Actual Operations
 Emissions Points
 Operating Logs
 Instruments with Process
Measurements
 Alarms
 Cleanliness & Organization
 Communications Postings
 Awareness Reminders
 Calibration Tags
 Warning Signs
Observation – What to Look for

7. 7
Performing Audit
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 production line, or wherever
environmental aspects are
generated;
 waste management;
 wastewater system, including
treatment and discharge;
 air pollution: check the controls,
not necessarily climbing
smokestacks;
 fences and borders - can you hear
the organizations noise there?;
Observation. Auditor Proverb: “Seeing is believing”
Visit the field! See the 'real world'!!!
 talk to people on the field - if you
can hear them!;
 wear proper clothes and safety
equipments - be prepared to get
dirty sometimes!
 Look for environmental aspects,
operational controls, potential
emergencies, spills, monitoring
equipments…
 Ask what the dials and meters
are indicating about operational
control and measures.

8. 8
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Spell out 3 types of approach for Auditing
 Aspect based approach
 Process based approach
 System based approach
What will be the different steps for each of these
approach ?

9. 9
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Auditing via an Aspect Based Approach
Pick an Aspect and Follow it through the EMS
 Identify inputs
 Identify intended output
 Identify controlled emissions and wastes
 Identify uncontrolled emissions and wastes
 What are the controls?
 How is it monitored?

10. 10
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Auditing via a Process Based Approach
 Follow the process through
 Select pertinent records
 Were all activities performed?
 Were all significant aspects
controlled?
 Was monitoring carried out?
 Were the controls effective?

11. 11
Performing Audit
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Auditing via a Process Based Approach
Understand process interactions
Process
A
Process
D
Process
B
Process
C
Input
Output
Controls

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Performing Audit
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Auditing via a System Based Approach
Map the system to identify:
• Operations
• Inputs & outputs
• Aspects & Impacts
• Controls
• Sequence
• Interactions
Prepare plan

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Performing Audit
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Some key audit points to evaluate:
Do assigned personnel have sufficient resources
and authority to establish, maintain and improve the
EMS?
Where and how are the roles, responsibilities and
authorities documented? (check EMS Description
and associated procedures)
Have all the necessary roles been assigned?
Do people understand their roles, responsibilities
and authorities?
How has the management representative fulfilled
the three defined roles?
Resources, Roles,
Responsibility and Authority

14. 14
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Evaluating Competence:
• Whose work or tasks can
cause a significant
environmental impact?
• Employees, suppliers,
contractors, temporary
workers?
• How does the organization
ensure competence both
initially and ongoing?
• Can people explain how they
manage the actual or potential
significant impacts?
Evaluating Training:
• How are training needs
determined?
• Which training is required by
legal requirements or related to
impacts?
• Has training been conducted?
• What records exist?
• Do people understand their
training?
Auditing Competence,Training

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Evaluating Awareness:
• What procedure is in place to
make people aware?
• Does the procedure address all
“persons working for the
organization or on behalf of it”?
• Are all the content requirements
related to awareness covered?
• Are persons aware of policy,
procedures, A/I related to their
work, responsibilities, env.
benefits and consequences?
Where to look:
 Sample people from each
department
 Sample each type of “person”
(employee, contractor, etc)
 Check training needs-analysis
 Check awareness procedure
Auditing 4.4.2
Competence,Training

16. 16
Performing Audit
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EMS Auditing External
Communication
Typical considerations:
 What procedure is used to receive, document and respond to
external communications?
 What external communications have been received? How
were they handled? Let’s review the records.
 How are communications with regulators handled?
 What decision was taken on external communication of
significant aspects?
 Where is the decision recorded?
 How is top management made aware of communications from
interested parties?
 What communications have been made to external parties?

17. 17
Performing Audit
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EMS Auditing Documentation
Key Points to consider for EMS Documentation:
 Are all documents REQUIRED by ISO14001 documented?
 (e.g. policy, EMS scope, objectives & targets, description of
elements)
 Does the description of the main elements of the EMS tell HOW
each clause of ISO14001 (numbered sections) is satisfied?
 Does the description address the interaction of EMS elements?
 Does the description reference related documentation?
 What additional documentation has the organization
determined necessary?
Note 1: Repeating the requirements of the standard as the
description is NOT acceptable.
Note 2: High level EMS Documentation is a common place to
start any audit.

18. 18
Performing Audit
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EMS Auditing Document Control
Key Test: Are current documents in the work place
when and where they are needed?
(Right document at right place at right time)
 How does the document control system work?
 What documents do you use?
 Where are the documents kept?
 Can you show me the documents you use?
 How do you know you are using the current version?
 Are EMS Documents and work instructions controlled the
same way?
 How are externally generated documents managed?

19. 19
Performing Audit
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EMS Auditing Records
Some considerations:
 What records are kept to verify
conformance?
 What procedure is used to manage records?
 How are records purged when they pass
their retention period?
 How are legal requirements incorporated?
 Who is responsible for various types of
records? How are records managed?
 How are retention times set?
 Where are the training records?
Note: Sample several records in
several places.

20. 20
Performing Audit
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EMS Auditing Operational Control
Typical areas with operational
controls:
• Storage
• Material movement
• Production
• Treatment
• Distribution
• Waste control
• Emissions points
Typical Questions:
 Let’s visit some activities
(processes) that are related
to significant aspects (and
regulations).
 How is start up and
shutdown controlled?
 What maintenance activities
are conducted related to
significant aspects?
 What operational controls are
related to products or
services?
 What permits or licenses
specify operational criteria?

21. 21
Performing Audit
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More typical questions:
How are these activities controlled?
What are the control limits?
Which instruments are used to monitor
the process?
What do you do if the process goes off
the control point?
What do you do if the process goes out
of control?

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Auditing Ocs Cont’d
Suppliers and Contractors
What effects can suppliers and
contractors have on your significant
environmental aspects?
How do you communicate your
expectations to suppliers and
contractors?
How do you manage suppliers’
effects?
How do you manage contractors’
effects?
What contractors are on-site? What
are they doing? Let’s visit them.

23. 23
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Auditing
Emergency Preparedness and
Response
Have all likely emergencies situations
been identified and evaluated?
Are plans updated and in place to deal
with emergencies? Legal req’d plans?
Is there an emergency team? How are
they trained and maintain competency?
What emergency supplies are needed?
Where located? Alarm system?
What do employees need to know?
When was the last drill? Results?
Improvements? External responders?

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Follow Audit Trails
As you audit you will find
interesting opportunities for
follow-up (audit trails).
Pick promising audit trails:
Follow it through
Interact with team

25. 25
Performing Audit
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EMS Interview Top Management
Obtain evidence of leadership and commitment
 Observe attendance and interest in opening, closing and
feedback meetings
 Review documents:
Environmental policy
Objectives
Management reviews records
 Interview members of top management:
Do they know “their” system?
Do they monitor, analyse data, draw conclusions, define actions?
 Interview personnel at other levels:
Do they understand what top management is trying to communicate?

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What are the Typical Contents of Final Audit
Report?
 Audit scope & objectives
 Audit plan, identification of auditors & auditees
 Audit criteria
 Audit team judgement of EMS compliance with audit criteria
 Nonconformances
 System ability to achieve defined objectives
 Distribution list
 Attachments: Completed Notes & Checklists,
Nonconformance Reports, Matrix Analysis
Note: See ISO19011:2000 section
6.6

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Always take notes
 Explain the need to take notes
to auditee
 Make your notes:
• Comprehensive
• Accurate
• Precise
• Legible

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Time management
 Time is always short
 Plan well
 Do not allow your audit to get
side-tracked
 Do not dig too much (beware
false audit trails)
 Do not focus on trivia
 Remember an audit is a
sampling