LEAD AUDITOR TRAINING

ENVIRONMENTAL MANAGEMENT SYSTEM

(ISO 14001:2015)

IRCA REGISTERED COURSE (A17970)

DELEGATE MANUAL

TVE Certification Services Pvt. Ltd

21/26B, Kamarajar Street, K.K. Nagar, Trichy – 620 021.
Contact No: 0431 – 4051364
Email: [email protected]
(www.tvecert.org)
ISO 14001:2015 Auditor / Lead Auditor Training Course

This manual, any documentation related thereto (with the exception of any national or
international standards referred to herein) and the information disclosed therein, is
confidential and proprietary to TVE CERT. This information may not be used by or
disclosed to others for any purpose except as specifically authorized in writing by TVE
CERT. The recipient, by accepting this document agrees that neither the document, the
information disclosed therein nor any part thereof shall be reproduced or transferred to
other documents nor used or disclosed to others for any other purpose except as
specifically authorized in writing by TVE CERT.

(Copyright) 2015 an unpublished work by TVE CERT – All rights reserved.

ISO 14001:2015 Auditor / Lead Auditor Training Course

Delegate Manual
(A17970)

TVE CERT Issue Date: AUG 2015

 ISO 14001:2015 Auditor / Lead Auditor Training Course

Delegate Manual Contents – IRCA / 14153

Session (Chapter /
Session Type
Exercise)
Course Intro & Delegate Intro

Chapter 01 Purpose, Benefits of EMS & PDCA Cycle

Chapter 02 Introduction to Auditing

Exercise 01 Environmental Issues / Problems

Chapter 03 Certification & Accreditation

Chapter 04 Context of the Organisation

Chapter 05 Environmental Policy

Exercise 02 Environmental Policy Review

Chapter 06 Risk Assessment

Exercise 03 Risk Assessment

Chapter 07 Environmental Objectives

Exercise 04 Environmental Objectives

Chapter 08 Compliance Obligations and Evaluation

Exercise 05 Compliance Obligations

Chapter 09 Operational Planning & Control and Emergency Preparedness

Chapter 10 Pollution Management

Exercise 06 Noise Pollution

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

Delegate Manual Contents – IRCA / 14153

Session (Chapter /
Session Type
Exercise)
Exercise 07 Air Pollution

Exercise 08 Solid Waste Management

Exercise 09 Water Pollution Management

Exercise 10 Hazard Material Management

Chapter 11 Performance Evaluation

Exercise 11 Management Review

Chapter 12 Communication

Chapter 13 Documented Information

Leadership Commitment, Roles, Responsibilities and Authorities &

Chapter 14
Resources, Competence, Awareness

Exercise 12 EMS Team Chart

Exercise 13 EMS Photos

Exercise 14 EMS Quiz 1

Chapter 15 Improvement

Exercise 15 EMS Quiz 2

Chapter 16 Management of Audit Program

Chapter 17 Performing an Audit-Pre Audit Activities – Planning the Audit PART-I

Exercise 16 Audit Plan

Performing an Audit-Pre Audit Activities – Planning the Audit PART-

Chapter 18
II

Exercise 17 Audit Checklist Preparation

Chapter 19 On-Site Audit Activities – Conducting the Audit PART-I

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

Delegate Manual Contents – IRCA / 14153

Session (Chapter /
Session Type
Exercise)

Exercise 18 Document Review Report

Exercise 19 Mock Audit - Opening Meeting

Chapter 20 On-Site Audit Activities – Conducting the Audit PART-II

Exercise 20 On Site Audit - Audit Findings

Chapter 21 Audit Findings

Exercise 21 Evaluation of Findings - Major/Minor/OFI

Chapter 22 Audit Conclusions and Closing Meeting

Chapter 23 Post Audit Activities - Reporting and Follow up the Audit

Exercise 22 Mock Audit- Closing Meeting

Exercise 23 Audit Report Writing

Chapter 24 Auditor Responsibilities

Exercise 24 Roles & Responsibilities of Auditors, Lead Auditors & Auditee

Chapter 25 Competence & Evaluation of Auditors

Exam

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

Time Table
Day One
Session
(Chapter / Session Type Duration Start Time End Time
Exercise)

Course Intro & Delegate Intro 30 mins 09.00 09.30

Purpose, Benefits of EMS &

Chapter 01 30 mins 09.30 10.00
PDCA Cycle

Chapter 02 Introduction to Auditing 30 mins 10.00 10.30

Tea Break 15 mins 10.30 10.45

Exercise 01 Environmental Issues / Problems 30 mins 10.45 11.15

Chapter 03 Certification & Accreditation 30 mins 11.15 11.45

Chapter 04 Context of the Organisation 30 mins 11.45 12.15

Chapter 05 Environmental Policy 30 mins 12.15 12.45

Exercise 02 Environmental Policy Review 30 mins 12.45 13.15

Lunch 45 mins 13.15 14.00

Chapter 06 Risk Assessment 45 mins 14.00 14.45

Exercise 03 Risk Assessment 90 mins 14.45 16.15

Tea Break 15 mins 16.15 16.30

Chapter 07 Environmental Objectives 30 mins 16.30 17.00

Exercise 04 Environmental Objectives 45 mins 17.00 17.45

Specimen Question Paper to be given to the delegates by the end of Day 1 as

a part of Home Exercise

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

Time Table
Day Two
Session
(Chapter / Session Type Duration Start Time End Time
Exercise)
Recap of Day One 30 mins 09.00 09.30

Compliance Obligations and

Chapter 08 30 mins 09.30 10.00
Evaluation

Exercise 05 Compliance Obligations 30 mins 10.00 10.30

Operational Planning & Control

Chapter 09 30 mins 10.30 11.00
and Emergency Preparedness

Tea Break 15 mins 11.00 11.15

Chapter 10 Pollution Management 75 mins 11.15 12.30

Exercise 06 Noise Pollution 30 mins 12.30 13.00

Lunch 45 mins 13.00 13.45

Exercise 07 Air Pollution 30 mins 13.45 14.15

Exercise 08 Solid Waste Management 30 mins 14.15 14.45

Exercise 09 Water Pollution Management 30 mins 14.45 15.15

Exercise 10 Hazard Material Management 30 mins 15.15 15.45

Tea Break 15 mins 15.45 16.00

Chapter 11 Performance Evaluation 30 mins 16.00 16.30

Exercise 11 Management Review 30 mins 16.30 17.00

Chapter 12 Communication 20 mins 17.00 17.20

Chapter 13 Documented Information 20 mins 17.20 17.40

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

Time Table
Day Three
Session
(Chapter / Session Type Duration Start Time End Time
Exercise)
Recap of Day Two 30 mins 09.00 09.30

Leadership Commitment, Roles,

Responsibilities and Authorities &
Chapter 14 45 mins 09.30 10.15
Resources, Competence,
Awareness

Exercise 12 EMS Team Chart 15 mins 10.15 10.30

Exercise 13 EMS Photos 30 mins 10.30 11.00

Tea Break 15 mins 11.00 11.15

Exercise 14 EMS Quiz 1 30 mins 11.15 11.45

Chapter 15 Improvement 30 mins 11.45 12.15

Exercise 15 EMS Quiz 2 30 mins 12.15 12.45

Lunch 45 mins 12.45 13.30

Chapter 16 Management of Audit Program 60 mins 13.30 14.30

Performing an Audit-Pre Audit

Chapter 17 Activities – Planning the Audit 30 mins 14.30 15.00
PART-I

Exercise 16 Audit Plan 30 mins 15.00 15.30

Tea Break 15 mins 15.30 15.45

Performing an Audit-Pre Audit

Chapter 18 Activities – Planning the Audit 45 mins 15.45 16.30
PART-II

Exercise 17 Audit Checklist Preparation 45 mins 16.30 17.15

On-Site Audit Activities –

Chapter 19 20 mins 17.15 17.35
Conducting the Audit PART-I

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

Time Table
Day Four
Session
(Chapter / Session Type Duration Start Time End Time
Exercise)

Recap of Day Three 30 mins 09.00 09.30

Exercise
Document Review Report 60 mins 09.30 10.30
18
Exercise
Mock Audit - Opening Meeting 60 mins 10.30 11.30
19

Tea Break 15 mins 11.30 11.45

On-Site Audit Activities – Conducting

Chapter 20 60 mins 11.45 12.45
the Audit PART-II

Lunch Break 45 mins 12.45 13.30

Exercise
On Site Audit - Audit Findings 120 mins 13.30 15.30
20

Chapter 21 Audit Findings 40 mins 15.30 16.10

Tea Break 15 mins 16.10 16.25

Exercise Evaluation of Findings -

60 mins 16.25 17.25
21 Major/Minor/OFI

Audit Conclusions and Closing

Chapter 22 30 mins 17.25 17.55
Meeting

Post Audit Activities - Reporting and

Chapter 23 30 mins 17.55 18.25
Follow up the Audit

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

Time Table
Day Five
Session
(Chapter / Session Type Duration Start Time End Time
Exercise)

Recap of Day Four 30 mins 09.00 09.30

Exercise 22 Mock Audit- Closing Meeting 60 mins 09.30 10.30

Exercise 23 Audit Report Writing 60 mins 10.30 11.30

Tea Break 15 mins 11.30 11.45

Chapter 24 Auditor Responsibilities 30 mins 11.45 12.15

Roles & Responsibilities of

Exercise 24 Auditors, Lead Auditors & 45 mins 12.15 13.00
Auditee

Competence & Evaluation of

Chapter 25 30 mins 13.00 13.30
Auditors

Lunch 45 mins 13.30 14.15

Review of Specimen Question

60 mins 14.15 15.15
Paper

Tea Break 15 mins 15.15 15.30

Exam 120 mins 15.30 17.30

Training Feedbacks 30 mins 17.30 18.00

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

COURSE INTRODUCTION

We TVE CERT is very glad to introduce this 5 days Lead Auditor Training
course. TVE CERT is one of the leading & fast growing Certification &
Training bodies in India. TVE CERT operates as a Certification and Training
body, organized according to international standard ISO/IEC 17021:2011 in
India and across the globe.

All our course presenters are highly qualified and experienced in

Environmental Design and implementation, and have good experiences of
Environment Certification Assessment and Trainings. All sessions are made
interesting and interactive by encouraging the delegate participation. Delivery
will include Presentations by lectures, Practical workshops, Role plays, Mock
Audits etc., leaded by highly experienced and Qualified Tutors.

The course containing each day is divided into four sessions with a lunch
break. The morning session is again divided into two sessions with one tea
break. Then following the lunch break the afternoon session is again divided
into two sessions with one tea break.

The course material is divided into number of Chapters and Exercises. Each
chapter will provide enough information based on the learning objectives of
that chapter. Also there are practical exercises pertaining to the chapters
(wherever relevant). The outputs of the exercises are a part of the formal
continuous assessment and will therefore be marked. Although the exercises
are group exercises individual score to the delegate will be based on their
overall participation, involvement in the relevant chapter presentation and in
the exercise.

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

A mock audit – Role play will be conducted on Days 4 & 5 of the Training for
the delegates to demonstrate the skills learned and understood during the
course. All sessions are interactive and delegate participation is encouraged.

Attendance for the full duration of the course is mandatory and poor time
keeping must be avoided. Delegates are not encouraged for taking leave or
permissions during the 5 days of the training Course.

Expected Prior Knowledge Requirements

a) Management systems
 The Plan, Do, Check, Act (PDCA) cycle
 The core elements of a management system and the interrelationship
between top management responsibility, policy, objectives, planning,
implementation, measurement, review, and continual improvement.

b) Environmental management
The intended outcomes of an environmental management system:
 Enhancement of environmental performance
 Fulfilment of compliance obligations
 Achievement of environmental objectives

c) ISO 14001
 Knowledge of the requirements of ISO 14001 and the commonly used
environmental management terms and definitions, as given in ISO
14001, which may be gained by completing an IRCA Certified EMS
Foundation Training course or the equivalent.

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

Learning Objectives

On completion, successful students will

have the knowledge and skills to:
Knowledge
 Explain the purpose of an environmental management system, of
environmental management systems standards, of a management
system audit and third-party certification, and the business and societal
benefits of improving environmental performance (see 3.1).
 Explain the role and responsibilities of an auditor to plan, conduct,
report and follow-up an environmental management system audit in
accordance with ISO 19011 and ISO/IEC 17021, as applicable (see
3.2).

Course Assessment

The outputs of the exercises are a part of the formal continuous assessment
and will therefore be marked. In order to pass the course a delegate must
pass the continual assessment and the written examination as well.

Continual Assessment

Delegates will be assessed throughout the course. The outputs of the

exercises are a part of the formal continual assessment and will therefore be
marked. Although the exercises are group exercises individual score to the
delegate will be based on their overall participation, involvement in the
relevant chapter presentation and in the exercise.

Delegates who are late at unavoidable circumstances may at the tutor's

decision receive additional one to one instruction. However this should be
considered during the breaks and aft this time. Poor timekeeping, irrespective
of cause, will be reflected in the appropriate the full days session & care

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

should be taken that this may not disturb the routine class timings. Still
repetitive poor timekeeping will result in failure.

The overall pass mark for the continual assessment is 60% and should score
minimum 50% in individual exercises also. Delegates who fail in the individual
exercises are required to resubmit the exercises.

Final Examination

Delegates will have to write the written examination on Day 5 of the course. A
total of 2 hours will be available for the Examination.

There are 4 sections to the exam:

Section 1 (10 marks)

Section 2 (20 marks)
Section 3 (30 marks)
Section 4 (40 marks)

The pass mark is 70% and delegates are expected to achieve at least 50% in
each section.
Delegates who fail the written exam (but have otherwise successfully
completed the course) shall be allowed to retake (an exam) within 12 months
of the initial exam.
The delegates will be provided with ―Certificate of Successful Completion‖ on
successful completion of the course which will be valid for 3 years for
registration in IRCA from the end of the course.

The delegates will be provided with ―Certificate of Attendance‖ if not been

successful in the exam or the continual assessment but have satisfied the
course attendance requirements. These certificates shall not be accepted by
IRCA for Auditor registration.

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

Auditor Registration as per IRCA Scheme

IRCA provides Environmental Management System Auditor Certification

Scheme (the EMS Scheme) to provide confidence to accredited certification
bodies and to business and industry that auditors certified to this scheme are
competent.

The scheme is intended for:

 EMS auditors, e.g. those employed by third party certification bodies /

registrars, or by purchasing organizations
 Environment Consultants, Environment Managers and other
Environmental Personnel
 Employees conducting Environment Management Systems audits
within their own organization i.e. Internal Standards

The ISO 14001:2015 Scheme has six grades of certification:

 ISO 14001:2015 Provisional Internal Auditor

 ISO 14001:2015 Internal Auditor
 ISO 14001:2015 Provisional Auditor
 ISO 14001:2015 Auditor
 ISO 14001:2015 Lead Auditor
 ISO 14001:2015 Principal Auditor

The certification is based on considering the following criteria

A. Education
B. Work experience
C. Auditor Training
D. Auditing Experience

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

For information concerning the process for certification with IRCA as a Lead
Auditor, visit the IRCA Website at http://www.irca.org.

Complaints and Appeals

All delegates have the right to make a complaint or an

appeal. The delegates will be provided with the process
for the same upon request.

EMS Standards

The delegates will be provided with the copies of ISO

14001:2015 for reference during the course.

Delegates Introduction

The course introduction is next followed by Delegate

introduction .The delegates are expected to introduce
themselves about their Academic Background, Technical
Knowledge / Career experiences.

Note: This will help the tutor on identifying right teams in forming
Groups/Teams for Practical Exercises.

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Welcome...
IRCA is the leading professional body for management system auditors
and offers a globally recognised business qualification. IRCA represents
over 10,000 registered auditors in 150 countries and every year, around
60,000 delegates attend an IRCA certified training course.
IRCA certified courses are recognised as an industry leader and IRCA endorsement means that you can be confident
that the course you are attending:

• covers the key knowledge and skills you need to start your journey as a management systems auditor
• will be taught by tutors who are experienced auditors and trainers who have fulfilled IRCA’s tutour
competency requirements
• will be taught using a variety of proven practical student-focused learning techniques to help you
learn and enjoy the course
• has a limited class size to maximise participation and optimise your learning
• has been regularly assessed by an IRCA approved technical assessor.

Completion of this course is the first step to becoming IRCA registered, to find out more please visit
www.irca.org/join

We hope you enjoy the course and if you have any feedback, you can contact us in any of the following ways:

Twitter: www.twitter.com/irca_inform
Postal: IRCA, 2nd Floor North, Chancery Exchange,10 Furnival Street, London EC4A 1AB
Tel: +44 (0)20 7245 6833
Fax: +44 (0)20 7245 6755
Email: [email protected]

REF: IRCA/190/1

15

www.irca.org/join
 ISO 14001:2015 Auditor / Lead Auditor Training Course

PURPOSE, BENEFITS OF EMS & PDCA CYCLE

1. Purpose of an environmental management system

The purpose of this International Standard is to

provide organizations with a framework to protect the
environment and respond to changing environmental
conditions in balance with socio-economic needs. It
specifies requirements that enable an organization to
achieve the intended outcomes it sets for its
environmental management system.

A systematic approach to environmental management can provide top

management with information to build success over the long term and create
options for contributing to sustainable development by

 protecting the environment by preventing or mitigating adverse

environmental impacts
 mitigating the potential adverse effect of environmental conditions on the
organization
 assisting the organization in the fulfilment of compliance obligations
 enhancing environmental performance
 controlling or influencing the way the organization‘s products and
services are designed, manufactured, distributed, consumed and
disposed by using a life cycle perspective that can prevent
environmental impacts from being unintentionally shifted elsewhere
within the life cycle
 achieving financial and operational benefits that can result from
implementing environmentally sound alternatives that strengthen the
organization‘s market position
 communicating environmental information to relevant interested parties

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This environmental Standard, like other International Standards, is not

intended to increase or change an organization‘s legal requirements.

2. Benefits of environmental management system

It is becoming more and more important to

demonstrate that organisations are thinking
about their environmental impact and putting in
place systems that will not only benefit the
environment but will also reduce costs and
improve efficiency within the organization.

The benefits of showing conformance to the ISO 14001 standard are

numerous:
 Cost savings in waste, recycling and consumption
 Advantage over competitors when tendering for business
 Management of environmental risks
 Compliance with individual countries environmental regulations
 Demonstrates your commitment to improving the environment
 Shows you are a responsible future focused organisation
 Can reduce insurance cover costs
 Can increase employee engagement in the knowledge that they are
working in an environmentally friendly organization

Having a well-defined Energy Management System (EMS) framework will

provide your organisation with a systematic approach to compliance. In some
cases regulatory bodies are more flexible with companies with performance
and public accountability records.

The series consist of the following documents:-

ISO 14001:2015 – Environmental management systems - Requirements with
guidance for use ISO 14004

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

Environmental Management System

1. General

When establishing and improving an environmental management system an

organization should focus on areas of obvious benefit, for example those that
provide immediate environmental or cost benefit. The environmental
management system approach detailed in this international standard is
founded on the "Plan-Do-Check-Act" (PDCA) management model.

The environmental management system model and the ongoing process of

continual improvement are illustrated in Figure 1. For more information on the
PDCA model, see the practical help box below.

Figure 1 — Environmental management system model for this International Standard

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

The environmental management system model - Guidance

PDCA is an ongoing, iterative process that

enables an organization to establish, implement
and maintain its environmental policy and continual
improve its environmental performance. The steps of this ongoing process are
as follows:

a) Plan:

1) understand the organization and its context (4.1) and the needs and
expectations of interested parties (4.2)
2) determine the scope of (4.3) and implement the environmental
management system (4.4)
3) ensure leadership and commitment from top management (5.1)
4) establish an environmental policy (5.2)
5) assign responsibilities and authorities for relevant roles (5.3)
6) identify environmental aspects and associated environmental impacts
(6.1.2)
7) identify and have access to applicable compliance obligations (6.1.3)
8) determine those aspects which are significant and the organizational
risks associated with threats and opportunities related to these
significant aspects that need to be addressed (6.1.4)
9) plan to take actions to address risks associated with threats and
opportunities determined above, and evaluate effectiveness of these
actions (6.1.5)
10) establish environmental objectives (6.2.1) and define indicators and a
programme to achieve them (6.2.2)

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b) Do:

1) implement the processes including the resources required to achieve

this (7.1)
2) determine the necessary competence of person(s) and ensure these
persons are competent
3) (7.2) and aware (7.3)
4) determine the needs for communication and communicate internally
and externally (7.4)
5) ensure an appropriate method for creating and updating (7.5.2)
and controlling (7.5.3)
6) documented information
7) plan, implement and control operational control processes needed to
meet the environmental management system requirements (8.1)
8) determine potential emergency situations and accidents and how it
responds to them (8.3)

c) Check:

1) monitor and measure processes

2) evaluate the effectiveness of the environmental management system
through monitoring and using key performance indicators (9.1.1)
3) evaluate conformity with compliance obligations (9.1.2)
4) conduct periodic internal audits (9.2)
5) review the organization's environmental management system to ensure
continuing suitability, adequacy and effectiveness (9.3)

d) Act:

1) take action to deal with nonconformities (10.1)

2) take action to continually improve the performance of the
environmental management system (10.2)

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Plan-Do-Check-Act model

The basis for the approach underlying an

environmental management system is founded on
the concept of Plan-Do-Check-Act (PDCA). The
PDCA model provides an iterative process used
by organizations to achieve continual
improvement. It can be applied to an
environmental management system and to each
of its individual elements. It can be briefly
described as follows.

 Plan: establish environmental objectives and processes necessary to

deliver results in accordance with the organization‘s environmental
policy.
 Do: implement the processes as planned.
 Check: monitor and measure processes against the environmental
policy, including its commitments, environmental objectives and
operating criteria, and report the results.
 Act: take actions to continually improve.

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Figure 1 shows how the framework introduced in this International Standard

could be integrated into a PDCA model, which can help new and existing
users to understand the importance of a systems approach

e. Continual Improvement

If improvement is defined as making a change

that results in a better outcome, then continual
improvement is simply always identifying and
making changes that result in better outcomes.
Continual improvement is a concept that is
central to management theories and programs.

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 ISO 14001:2015 Auditor / Lead Auditor Training Course

INTRODUCTION TO AUDITING

1. What is Audit?

Systematic, Independent and documented process for obtaining ―audit

evidence‖ and evaluating it objectively to determine the extent to which
―audit criteria‖ are fulfilled.

Note: Independent does not necessarily mean

external to the organization in many cases
particularly in smaller organizations.
Independence can be demonstrated by the
freedom from responsibility for the activity being
audited.

Also Audit can be defined as an official inspection of an organization's

Management system, Management processes, and product or in terms of
financial aspects and evaluating it to find to what extent the objectives are
met.

The audit criteria used may be set of policies, procedures or requirement of

any ISO standards.

Type of Audits

2. Internal or First Party Audit

First party audits, or internal audits, are used by companies to evaluate the
effectiveness of their own Environmental Management System performance
that is to identify deficiencies and inaccuracies within the system.

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3. External or Second Party Audit

The second party audit is generally known as the vendor Environmental

Management System assurance audit. The purpose of such an audit is to
determine whether a vendor conforms to some specified contractual
procedures imposed by a customer.

The objectives are:

1. Qualification and assessment of vendors
2. Customer‗s requirement that the organization shall audit their vendors
3. Ensure that vendors continue to maintain and improve their
Environmental Management System
4. Resolve Environmental problems / issues.

4. External Third Party Audit

Third party audits are conducted by an independent body (certification body)

and can either be voluntary, as in the case of a certification audit, or
compulsory, as required by laws and regulations. Unlike an internal audit, the
third party audit focuses on conformance with the standard and
implementation.

5. Stage 1 Audit

The purpose of the stage 1 audit is to evaluate the environmental system is in

compliance with a standard.
a. Document review to be completed in off-site, but in most cases they
are combined with an Initial Visit.

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6. Stage 2 Audit

The purpose of the stage 2 audit is to evaluate the implementation, including

effectiveness, of the client's management system. The stage 2 audit shall take
place at the site(s) of the client.

7. Follow-up Audit

Any Major Non conformities require a follow up audit to verify the

effectiveness of the corrective action taken.

8. Re-Certification Audit

The Re-Certification audit includes an onsite audit that requires the following
 Verify the Full management system
 Demonstrated commitment to maintain the effectiveness and
improvement of the management system
 Enhance overall performance
 Verify the achievement of the organization‘s policy and objectives

9. Additional Audits

The client shall be informed if an additional full audit, an additional limited

audit, or documented evidence (to be confirmed during future surveillance
audits) will be needed to verify effective correction and corrective actions.

10. Surveillance Audit

Surveillance audits are on-site audits, but are not necessarily full system
audits, and shall be planned together with the other surveillance activities so
that the certification body can maintain confidence that the certified

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management system continues to fulfill requirements between recertification

audits. The surveillance audit programme shall include, at least

11. Extensions to Scope

The certification body shall, in response to an application for extension to the

scope of a certification already granted, undertake a review of the application
and determine any audit activities necessary to decide whether or not the
extension may be granted. This may be conducted in conjunction with a
surveillance audit.

12. Short-notice Audits

It may be necessary for the certification body to conduct audits of certified

clients at short notice to investigate complaints, or in response to changes, or
as follow up on suspended clients. In such cases

a. the certification body shall describe and make known in advance to the
certified clients the conditions under which these short notice visits are
to be conducted, and

b. the certification body shall exercise additional care in the assignment of

the audit team because of the lack of opportunity for the client to object
to audit team members.

13. Multi-site Audit

Where multi-site sampling is utilized for the audit of a client's management

system covering the same activity in various locations, the certification body
shall develop a sampling programme to ensure proper audit of the
management system. The rationale for the sampling plan shall be
documented for each client.

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14. Types of Environmental Audits

a. Environmental Management Audits:

These are audits which are specifically designed to check and evaluate the
effectiveness of environmental management systems. Sound environmental
management at a site or in an operation depends upon procedures, work
instructions, guidelines, specification, training programmes and monitoring
systems being implemented by the employees of the organisation operating
on the site. If these employees are not given the right instructions, training
and procedures within the system, they cannot be expected to carry out their
work effectively. Thus, the first stage in auditing an operation is to check the
presence, absence and functioning of the environmental management system
(which could be formal or informal). This then creates a baseline against
which one can check the environmental functioning of an organisation more
effectively and objectively.

b. Environmental Compliance Audits:

Environmental compliance (or performance) audits are specifically designed

to test compliance (which covers both legal compliance and corporate
compliance) to environmental policies, objectives, laws, by-laws, ordinances,
regulations and standards. These types of audits will often also include more
numerical testing and specific checks on, for example, compliance with
requirements in water and air permits and licences.

c. Environmental Assessment Audit:

An environmental assessment audit is an instrument used to check that an

Environmental Impact Assessment complies with the minimum legal
requirements and also checks to ensure that due legal process has been
followed.

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d. Waste Audits:

Waste audits are environmental audits which specifically look at the waste
management component of an operation or site. In such audits, the various
aspects of waste management would be reviewed and the methods,
procedures and systems checked and verified. In cases where site
management are reluctant to undertake full site environmental audits, it is
often easier to motivate for a specialised waste audit because the results of
this will often more readily generate data and actions which can save money.

e. Environmental Due Diligence Audits

Environmental due diligence audits are described in different ways but are
essentially audits which look at
 the actual and
 potential environmental liabilities of a site or operation.

They are most commonly carried out as a precursor to the purchase of

property which has been or is likely to be used for industrial or commercial
purposes. Often, they form a part of a wider financial due diligence audit
which looks at the various business risks associated with the purchase of
property. The kind of issues that can emerge from environmental due
diligence audits include past dumping or burying of hazardous waste which
may result in pollutants contaminating the groundwater. In such
circumstances, the owner of the land where the waste was buried could be
held liable for the clean up costs. It is important, when purchasing property, to
ensure that the new owner is not taking over someone else‘s hidden
environmental liabilities.

f. Supplier Audits

A supplier audit is an audit carried out by a client to test the environmental

compliance of a contractor or supplier. It should be an audit using the
environmental conditions included in the contract document. In the absence of

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any specific conditions, it could be an audit of the supplier‘s environmental

management system with special reference to the client‘s business. It is often
said that in any organisation, one‘s contractors are the weakest link in the
chain of operation. This is not necessarily a reflection on the quality of the
contractor‘s service but acknowledgement of the fact that the contractor will
not necessarily have the same goals and objectives as the client organisation.

The contractor and client will have a contractual relationship which is often
based upon the supply of a specific product or service. If the client wishes a
contractor to have exactly the same approach to environmental policy and
systems as his own, then this needs to be included in the contract.
Furthermore, the compliance with such policies and systems need to be
regularly audited. Thus a supplier or contractor audit is one where the
contractor is audited against the environmental requirements of the contract.

Benefits of Environmental Audits

Benefits vary depending on the objectives and scope of the

audit. Environmental auditing benefits include:

 Organisations understand how to meet their legal requirements

 Meeting specific statutory reporting requirements
 Organisations can demonstrate they are environmentally responsible
 Organisations can demonstrate their environmental policy is
implemented
 Understanding environmental interactions of products, services &
activities
 Knowing their environmental risks are managed appropriately
 Understanding how to develop and implement an ISO 14001 EMS; and
 Improving environmental performance and saving money

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15. Audit Terms and Definitions

3. Terms and definitions

For the purposes of this document, the following terms and definitions apply.

3.1 Terms related to organization and leadership

3.1.1 management system
set of interrelated or interacting elements of an organization (3.1.4) to
establish policies and objectives (3.2.5) and processes (3.3.5) to achieve
those objectives

3.1.2 environmental management system

part of the management system (3.1.1) used to manage
environmental aspects (3.2.2), fulfil compliance obligations
(3.2.9), and address risks and opportunities (3.2.11)

3.1.3 environmental policy

intentions and direction of an organization (3.1.4) related to
environmental performance (3.4.11), as formally expressed
by its top management (3.1.5)

3.1.4 organization
person or group of people that has its own functions
with responsibilities, authorities and relationships to
achieve its objectives (3.2.5)

3.1.5 top management

person or group of people who directs and controls an
organization (3.1.4) at the highest level

3.1.6 interested party

person or organization (3.1.4) that can affect, be affected by, or perceive itself
to be affected by a decision or activity

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3.2 Terms related to planning

3.2.1 environment
surroundings in which an organization (3.1.4) operates, including air, water,
land, natural resources, f lora, fauna, humans and their interrelationships

3.2.2 environmental aspect

element of an organization‘s (3.1.4) activities or
products or services that interacts or can
interact with the environment (3.2.1)

Note 1 to entry: An environmental aspect can cause (an) environmental impact(s) (3.2.4). A
significant environmental aspect is one that has or can have one or more significant
environmental impact(s).

Note 2 to entry: Significant environmental aspects are determined by the organization

applying one or more criteria.

3.2.3 environmental condition

state or characteristic of the environment (3.2.1) as
determined at a certain point in time

3.2.4 environmental impact

change to the environment (3.2.1), whether adverse or beneficial, wholly or
partially resulting from an organization‘s (3.1.4) environmental aspects (3.2.2)

3.2.5 objective
result to be achieved

3.2.6 environmental objective

objective (3.2.5) set by the organization (3.1.4) consistent
with its environmental policy (3.1.3)

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3.2.7 prevention of pollution

use of processes (3.3.5), practices, techniques, materials,
products, services or energy to avoid, reduce or control
(separately or in combination) the creation, emission or
discharge of any type of pollutant or waste, in order to
reduce adverse environmental impacts (3.2.4)

3.2.8 requirement
need or expectation that is stated, generally implied
or obligatory

3.2.9 compliance obligations (preferred term)

legal requirements and other requirements (admitted
term)
legal requirements (3.2.8) that an organization (3.1.4)
has to comply with and other requirements that an
organization has to or chooses to comply with

3.2.10 risk
effect of uncertainty

3.2.11 risks and opportunities

potential adverse effects (threats) and potential
beneficial effects (opportunities)

3.3 Terms related to support and operation

3.3.1 competence
ability to apply knowledge and skills to achieve intended
results

3.3.2 documented information

information required to be controlled and maintained by an organization
(3.1.4) and the medium on which it is contained

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3.3.3 life cycle

consecutive and interlinked stages of a
product (or service) system, from raw material
acquisition or generation from natural
resources to final disposal

Note 1 to entry: The life cycle stages include acquisition of raw materials,
design, production, transportation/ delivery, use, end-of-life treatment and final
disposal.

3.3.4 outsource (verb)

make an arrangement where an external organization
(3.1.4) performs part of an organization‘s function or
process (3.3.5)

3.3.5 process
set of interrelated or interacting activities which
transforms inputs into outputs

3.4 Terms related to performance evaluation and improvement

3.4.1 audit
systematic, independent and documented process (3.3.5) for
obtaining audit evidence and evaluating it objectively to
determine the extent to which the audit criteria are fulfilled

3.4.2 conformity
fulfilment of a requirement (3.2.8)

3.4.3 nonconformity ( * There is no change – used from old terms and

definition )
non-fulfilment of a requirement (3.2.8)

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3.4.4 corrective action

action to eliminate the cause of a nonconformity (3.4.3) and to prevent
recurrence

3.4.5 continual improvement

recurring activity to enhance performance (3.4.10)

3.4.6 effectiveness (Annex SL)

extent to which planned activities are realized and
planned results achieved

3.4.7 indicator
measurable representation of the condition or status of
operations, management or conditions

3.4.8 monitoring
determining the status of a system, a process (3.3.5) or
an activity

3.4.9 measurement
process (3.3.5) to determine a value

3.4.10 performance
measurable result

3.4.11 environmental performance

performance (3.4.10) related to the management of
environmental aspects (3.2.2)

Note 1 to entry: For an environmental management system (3.1.2), results can be measured
against the organization‘s (3.1.4) environmental policy (3.1.3), environmental objectives
(3.2.6) or other criteria, using indicators (3.4.7).

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Life Cycle Assessment ( LCA )

As environmental awareness increases,

industries and businesses are assessing how
their activities affect the environment. Society
has become concerned about the issues of
natural resource depletion and environmental
degradation. Many businesses have responded
to this awareness by providing ―greener‖ products and using ―greener‖
processes. The environmental performance of products and processes has
become a key issue, which is why some companies are investigating ways to
minimize their effects on the environment. Many companies have found it
advantageous to explore ways of moving beyond compliance using pollution
prevention strategies and environmental management systems to improve
their environmental performance. One such tool is LCA. This concept
considers the entire life cycle of a product (Curran 1996).

Life cycle assessment is a ―cradle-to-grave‖ approach for assessing industrial

systems. ―Cradle-to-grave‖ begins with the gathering of raw materials from
the earth to create the product and ends at the point when all materials are
returned to the earth. LCA evaluates all stages of a product‘s life from the
perspective that they are interdependent, meaning that one operation leads to
the next.

LCA enables the estimation of the cumulative environmental impacts

resulting from all stages in the product life cycle, often including impacts not
considered in more traditional analyses (e.g., raw material extraction, material
transportation, ultimate product disposal, etc.). By including the impacts
throughout the product life cycle, LCA provides a comprehensive view of the
environmental aspects of the product or process and a more accurate picture
of the true environmental trade-offs in product and process selection.

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The term ―life cycle‖ refers to the major activities in the course of the
product‘s life-span from its manufacture, use, and maintenance, to its final
disposal, including the raw material acquisition required to manufacture the
product. F i g u r e 1 illustrates the possible life cycle stages that can be
considered in an LCA and the typical inputs/outputs measured.

Specifically, LCA is a technique to assess the environmental aspects and

potential impacts associated with a product, process, or service, by:

• Compiling an inventory of relevant energy and material inputs and

environmental releases
• Evaluating the potential environmental impacts associated with identified
inputs and releases
• Interpreting the results to help decision-makers make a more informed
decision.

The LCA process is a systematic, phased approach and consists of four

components: goal definition and scoping, inventory analysis, impact
assessment, and interpretation as illustrated in Exhibit 1-2:

1. Goal Definition and Scoping - Define and describe the product,

process or activity. Establish the context in which the assessment is to
be made and identify the boundaries and environmental effects to be
reviewed for the assessment.

2. Inventory Analysis - Identify and quantify energy, water and materials

usage and environmental releases (e.g., air emissions, solid waste
disposal, waste water discharges).

3. Impact Assessment - Assess the potential human and ecological

effects of energy, water, and material usage and the environmental
releases identified in the inventory analysis.

4. Interpretation - Evaluate the results of the inventory analysis and impact

assessment to select the preferred product, process or service with a

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clear understanding of the uncertainty and the assumptions used to

generate the results.

Inputs Outputs

Atmospheri
Raw Materials Acquisition c Emissions

Raw Waterborn
e Wastes
Materials Manufacturing

Solid
Energy
Wastes
Use/Reuse/Maintenance
Co
products

Recycle/Waste Management
Other
Releases

System
Boundary

Life Cycle Stages

Life cycle assessment is unique because it encompasses all processes and

environmental releases beginning with the extraction of raw materials and the
production of energy used to create the product through the use and final
disposition of the product. When deciding between two or more alternatives,
LCA can help decision-makers compare all major environmental impacts
caused by products, processes, or services.

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Benefits of Conducting an LCA

An LCA can help decision-makers select the product or process that results in
the least impact to the environment. This information can be used with other
factors, such as cost and performance data to select a product or process.
LCA data identifies the transfer of environmental impacts from one media to
another (e.g., eliminating air emissions by creating a wastewater effluent
instead) and/or from one life cycle stage to another (e.g., from use and reuse of
the product to the raw material acquisition phase). If an LCA were not
performed, the transfer might not be recognized and properly included in the
analysis because it is outside of the typical scope or focus of product selection
processes.

This ability to track and document shifts in environmental impacts can help
decision makers and managers fully characterize the environmental trade-offs
associated with product or process alternatives. By performing an LCA,
analysts can:

• Develop a systematic evaluation of the environmental consequences

associated with a given product.

• Analyze the environmental trade-offs associated with one or more

specific products/processes to help gain stakeholder (state, community,
etc.) acceptance for a planned action.

• Quantify environmental releases to air, water, and land in relation to each

life cycle stage and/or major contributing process.

• Assist in identifying significant shifts in environmental impacts between

life cycle stages and environmental media.

• Assess the human and ecological effects of material consumption and

environmental releases to the local community, region, and world.

• Compare the health and ecological impacts between two or more rival
products/processes or identify the impacts of a specific product or
process.

• Identify impacts to one or more specific environmental areas of concern.

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Limitations of Conducting an LCA

Performing an LCA can be resource and time intensive. Depending upon

how thorough an LCA the user wishes to conduct, gathering the data can be
problematic, and the availability of data can greatly impact the accuracy of the
final results. Therefore, it is important to weigh the availability of data, the
time necessary to conduct the study, and the financial resources required
against the projected benefits of the LCA.

LCA will not determine which product or process is the most cost effective or
works the best. Therefore, the information developed in an LCA study should
be used as one component of a more comprehensive decision process
assessing the trade-offs with cost and performance, e.g., Life Cycle
Management.

Sustainable Development

"Sustainable development is development that meets the needs of the

present, without compromising the ability of future generations to meet
their own needs."

The concept of sustainable development can be interpreted in many different

ways, but at its core is an approach to development that looks to balance
different, and often competing, needs against an awareness of the
environmental, social and economic limitations we face as a society.

All too often, development is driven by one particular need, without fully
considering the wider or future impacts. We are already seeing the damage
this kind of approach can cause, from large-scale financial crises caused by
irresponsible banking, to changes in global climate resulting from our
dependence on fossil fuel-based energy sources. The longer we pursue
unsustainable development, the more frequent and severe its consequences
are likely to become, which is why we need to take action now.

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Living within our environmental limits is one of the central principles of

sustainable development. One implication of not doing so is climate change.

But the focus of sustainable development is far broader than just the
environment. It's also about ensuring a strong, healthy and just society. This
means meeting the diverse needs of all people in existing and future
communities, promoting personal wellbeing, social cohesion and inclusion,
and creating equal opportunity.

Though sustainable development focuses on the future, It does not

mean we lose out now. Sustainable development is about finding better
ways of doing things, both for the future and the present. We might need to
change the way we work and live now, but this doesn't mean our quality of life
will be reduced.

A sustainable development approach can bring many benefits in the short to

medium term, for example:

Savings - As a result of SDC scrutiny, government has saved over £60m by

improving efficiency across its estate.

Health & Transport - Instead of driving, switching to walking or cycling for

short journeys will save you money, improve your health and is often just as
quick and convenient.

The way we approach development affects everyone. The impacts of our

decisions as a society have very real consequences for people's lives. Poor
planning of communities, for example, reduces the quality of life for the people
who live in them. (Relying on imports rather than growing food locally puts the
UK at risk of food shortages.)

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Sustainable development provides an approach to making better decisions on

the issues that affect all of our lives. By incorporating health plans into the
planning of new communities, for instance, we can ensure that residents have
easy access to healthcare and leisure facilities. (By encouraging more
sustainable food supply chains, we can ensure the UK has enough food for
the long-term future.)

We all have a part to play. Small actions, taken collectively, can add up to real
change. However, to achieve sustainability in the UK, we believe the
Government needs to take the lead. The SDC's job is to help make this
happen, and we do it through a mixture of scrutiny, advice and building
organisational capacity for sustainable development.

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CERTIFICATION AND ACCREDITATION

This chapter explains the organization and role of the Accreditation Body and
the Certification Body.

1. Accreditation Body- Definition

Third-party attestation related to a conformity assessment body conveying

formal demonstration of its competence to carry out specific conformity
assessment tasks.

2. Accreditation Process

Accreditation is a formal, third party recognition of competence to perform

specific tasks. It provides a means to identify a proven, competent evaluator
so that the selection of a laboratory, inspection or certification body is an
informed choice. Accreditation means the evaluator can demonstrate to its
customer that it has been successful at meeting the requirements of
international accreditation standards.

Usually the reason for getting something independently evaluated is to

confirm it meets specific requirements in order to reduce risks. Obvious
examples are product failure, health risks, company reputation or to meet
legal or customer requirements. Anything or anyone can be evaluated -
products, equipment, people, management systems or organizations.

Accreditation body means the evaluators: testing and calibration laboratories,

inspection and certification bodies have been assessed against internationally
recognized standards to demonstrate their competence, impartiality and
performance capability.

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3. Certification Body – Definition

The certification body has been assessed against internationally recognized

standards to demonstrate its competence, impartiality and performance;
capability. The certification body will make its services accessible to all
applicants based on their requirements.

4. Certification Process

There are three steps to complete a Certification process

 Application
 Document review& Contract agreements
 Audit and certification.

a. Application

Applicant need to submit the application form for requesting certification the
point of registration

b. Document Review & Contract Agreements

The auditor conducts the Document Review using the

audit form and the management system
documentation. During the process, the auditor will
contact you to discuss the document review and/or for
clarification or to request additional information

If applicable, the applicant needs to supply the

necessary information enabling the auditor to finish
the review.

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The applicant application is reviewed for the scope of accreditation by the

certification body and then final offer with contract agreements were made
with the applicant.

c. Audit& Certification

Once the Certification Body verifies that all documentation has been
submitted, an independent auditor performs a content review of the
documentation followed by a project site visit. Following the site visit, the
auditor compiles a final report. The certification body then reviews the auditor
report, notifies the team of the audit results and certifies the project
accordingly.
Certification Process – Flow Diagram

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5. Certification Body – Examples

These are the few examples of Certification Bodies.

 TVE Certification Services Pvt. Ltd.,
 Bureau Veritas Certification (India) Pvt. Ltd.
 DNV
 TUV SUD South Asia Pvt. Ltd.

6. Benefits of Third - Party Accredited Certification:

There are many reasons why you should use the services of an accredited
certification body:

 To win the new business opportunities in both the public and private
sector
 To access into overseas markets as the certificates issued by bodies
that are accredited by an IAFMLA signatory are recognized and
accepted throughout the world;
 Help to identify best practice since the certification body is required to
have appropriate knowledge of your business sector;
 Reduction in the need for central and local government to employ their
own specialist assessment personnel.
 Reduction in bureaucracy and lighter touch regulation.
 Public trust
 Control costs with the help of knowledge transfer since accredited
certification bodies can be a good source of impartial advice;
 Offer market differentiation and leadership by showing to others
credible evidence of good practice;
 To reduce the risk faced by the procurement department by taking the
guesswork out of choosing a certification body that it closely meets
your requirements;
 Demonstrate due diligence in the event of legal action;

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 Accreditation provides the assurance for Government to rely on

commercial providers of evaluation and inspection services.
 Enhancing business efficiency by reducing the necessity to re-
audit the business & reduces paper work

EMS – Sample Certificate

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CONTEXT OF THE ORGANIZATION

This Chapter deals about the clause requirement context of the organisation

1. Understanding the organization and its context

An organisation needs to determine the

external and internal context within which it
operates, relevant to its purpose and that can
affect its ability to achieve the intended
outcomes of the management system.

The term "intended outcome" means what

the organization intends to achieve by
implementing its environmental management system, which includes
enhancement of environmental performance, conformance to compliance
obligations and fulfilment of environmental objectives. These are the minimal,
core outcomes. However, the organization can set additional intended
outcomes, such as going beyond the environmental management system or
legislative requirements, for example by adopting social and environmental
sustainability principles, if it decides that it could benefit from this.

This is necessary as organizations do not operate in isolation but are

influenced by external and internal issues such as the availability of financial
support and the involvement of their employees.
The context of the organization can also be influenced by its
 complexity, structure, activities and geographical locations of its
functional units in both a corporate and local context.

The context of the organization also includes the natural environment in which
it operates. The natural environment imposes conditions, including events,
which affect the organization's activities, products and services. Conditions

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can be existing or subject to gradual change whereas an event includes a

sudden occurrence, which is typically explained by an extreme situation
and should be considered when designing the environmental management
system. For business continuity and to identify business and environmental
opportunities, it is of value for the organizations to identify, evaluate and,
where appropriate, manage the consequences of such conditions.
To understand which issues can be important, an organization should
consider those that

 are key drivers and trends

 can present problems
 reflect changing circumstances
 can be leveraged for beneficial effect, including improved
environmental performance
 present opportunities for competitive advantage, including cost
reduction, value for customers, or improvement of the organization's
reputation and "brand".

An organization implementing or improving its environmental management

system or integrating its environmental management system within its
existing business processes should conduct a context review that includes
the following key areas:

a. identification of the relevant external and internal issues, including

environmental conditions, and events, which relate to the
organization's activities products and services,
b. consideration of how these issues can affect the organization's
purpose and ability to achieve the intended outcomes of its
environmental management system,
c. understanding of how the above points a and b can be addressed,
and
d. identification of opportunities to improve its environmental
performance.

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The review can also include additional considerations such as

 environmental sustainability in terms of procurement,

 opportunities for competitive advantage including cost reduction and
value for customers, and
 life cycle thinking.

a. External issues - Guidance

Considerations can include:

 Cultural
 Social
 Political
 Financial
 Technological
 Economic
 Natural
 Supply chain management
 Competition
 Market and public demand

External sources that can contribute to its knowledge can include:

 customers, suppliers and partners
 business councils
 sector organizations
 chambers of commerce
 government bodies
 international agencies
 consultants
 academic research
 local news media
 local community groups

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b. Environmental conditions including events - Guidance

An environmental condition that can affect the

organization's activities, products and services can
include, for example a climatic temperature change
that can prevent the organization from growing
particular types of agricultural products.

An example of an environmental event could be flooding as a result of

extreme weather, which can affect the organization's activities such as
where and how the organization stores hazardous substances in order to
prevent pollution.

Consideration of some of the following sources of information can assist an

organization to identify its environmental conditions including events:

 meteorological, geological hydrological and ecological information

 historical disaster information related to the organization's location
 general information documents, such as brochures, catalogues, annual
reports, operations manuals, process flowcharts, or quality and product
plans
 reports from previous audits, assessments or reviews, such as initial
environmental reviews or life cycle assessments
 information from other management systems, such as quality or
occupational health and safety technical data reports, published
analyses or studies or lists of toxic substances
 applicable compliance obligations
 codes of practice, national and international policies, guidelines and
programmes
 purchasing data
 product specifications, product development data, Safety Data
Sheets (M/CSDS), or energy and material balance data

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 waste inventories
 monitoring data
 environmental permit or licence applications
 views of, requests from, or agreements with interested parties
 reports on emergency situations and accidents

c. Internal issues - Guidance

Considerations can include:

 Organizational governance and structure
 Legal compliance
 Policies, objectives and the strategies
 Capability and capacity
 Information systems
 Internal relationships with, and perceptions and values of, internal
interested parties
 Management systems and standards
 Organizational style and culture
 Contracts

Methods that can be used to examine relevant internal factors include

gathering information related to the current management system as
considered above, including interviews with persons previously or currently
working under the organization's control, and evaluation of internal
and external communications.

The process used by an organization to develop an understanding of its

context should result in knowledge that can be used by the organization to
guide its efforts to plan, implement and operate its environmental management
system. The process should be approached in a practical manner that adds
value to the organization and yields a general, conceptual understanding of
the most important issues. The process can be simple or complex depending
on the needs of the organization. It can be useful to document the process
and its results.

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The results of this context review can be used to assist the organization in
understanding its context and setting the scope of its environmental
management system, determining its risk associated with threats and
opportunities, developing or enhancing its environmental policy, setting its
environmental objectives, and determining the effectiveness of its approach to
maintaining conformity with applicable compliance obligations.

2. Understanding the needs and expectations of interested parties

a. General
Interested parties are part of the context in which an organization operates.
Developing a relationship with interested parties enables communication,
which leads to understanding and the potential for building trust and mutual
respect. This relationship need not be formal.

An organization can benefit from a process or mechanism that enables the

identification of the needs and expectations of interested parties that it has to
or chooses to comply with. The methods used and resources applied reflect
the size and nature of the organization, the finances available, the risk
imposed, and the organization's level of maturity with regard to environmental
management.

An organization is expected to gain a general (i.e., high-level, not

detailed) understanding of the expressed needs and expectations of those
internal and external interested parties that have been determined to be
relevant, so that the knowledge gained can be considered.

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b. Determining interested parties

Interested parties can be both internal and external to the organization. An

interested party can be a
 person, a regulating agency, a supplier or customer, a neighbourhood
association, or other legally constituted organization.

In any case, the parties that have made their interests in the organization's
environmental management known are considered relevant interested
parties. There is no generic or static list of interested parties for all
organizations, or even for a single
organization, as interested parties
can change over time and depend
on the sector or industry or the
geographic location the
organization operates in. Changes
in the organization's context can
also result in a change in
interested parties.

c. Determining needs and expectations of interested parties

An organization should determine the needs and expectations of

relevant interested parties. It is important to not only identify those that are
obligatory and stated but also those that are generally implied (i.e. expected
as a norm). An organization need only determine the needs and expectations
of interested parties relevant to the environmental management system.
Relevant interested parties can have some needs that are not relevant to the
organization's environmental management system and thus not all their needs
are necessarily considered.

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An organization can already have determined the needs and expectations

of its relevant interested parties, for example, through an engagement
process as part of developing a sustainability strategy. This knowledge can be
used as input to designing the environmental management system.

Examples of interested parties and their needs and expectations

Dimension Examples of interested party Examples of needs and

expectations
By responsibility Investors Expect risk associated with threats and
opportunities that can affect an
investment to be managedto protect
and/or provide a return on investment
By influence Non-governmental organizations Need cooperation to meet their specific
environmental objectives
By proximity Neighbours Expect socially acceptable
performance, honesty and integrity

By dependency Employees (person(s) doing work Expect to work in a safe and healthy
under the organization's control) environment

By representation Trade union representatives Need collaboration on

environmental policy position

By authority Regulatory or statutory agencies Expect demonstration of

compliance with the law

d. Determining compliance obligations

An organization can determine that its relevant

interested parties have many relevant needs and
expectations and it can be necessary to evaluate
and prioritise them. After prioritization, the
organization should decide which of these it has
to comply with and which ones it voluntarily
chooses to comply with. This knowledge can then contribute to its compliance
obligations as detailed in 6.1.3.

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There is no single approach to evaluating needs and expectations, and an

organization should use an approach that is appropriate to its scope, nature
and scale, and is suitable in terms of detail, complexity, time, cost and
availability of reliable data.

Where requirements are set by a regulatory body, the organization should gain
knowledge of those broad areas of legislation that can be applicable to it, such
as air quality standards, discharge limits, waste disposal regulations, licensing
requirements for operating the facility, etc.

In the case of voluntary commitments, the organization should gain broad

knowledge of the relevant needs and expectations, such as a
 customer requirements, voluntary codes, agreements with community
groups or public authorities
so that the organization can understand the implications these can have on
the achievement of the intended outcomes of its environmental management
system.

e. Use and application of the needs and expectations of interested

parties

The outputs from 4.2.1 to 4.2.3 should be sufficient to assist in setting the
scope of the organization's environmental management system, setting its
 environmental policy
 determining its significant environmental aspects
 compliance obligations
 other risks associated with threats and opportunities for the
organization, and
 setting its performance objectives.
The organization can find it useful to document this information to facilitate its
use in the other clauses of the standard.

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3. Determining the scope of the environmental management system

The organization determines the boundaries and

applicability of the environmental management
system in order to establish its scope. The scope is
unique to each organization, and it is the responsibility of each organization
to identify the specific inputs from Clauses 4.1 and 4.2, the physical
boundaries for one or more locations, and organizational sphere of control and
influence upon which this determination occurs. The scope is intended to
clarify the spatial, functional and organizational boundaries to which the
environmental management system applies.

An organization has the freedom and flexibility to define the scope of the
environmental management system and to include the entire organization or
specific operating units of the organization, but it should not define the scope
in a way that excludes a significant environmental aspect which is under the
control of the organization's management. If an activity, product or service is
performed by a process undertaken by a supplier or a contractor, the
organization should carefully consider its ability to control or influence this
process, and determine whether it lies within its scope or not. An
inappropriately narrow or exclusive scope could undermine the credibility of
the environmental management system with its interested parties and reduce
the organization's ability to achieve the intended outcomes of its
environmental management system.

If the organization changes its sphere of control or influence, expands its

operations or acquires more property, or divests business lines or property,
the scope should be reconsidered, along with other changes likely to impact
the environmental management system.

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The organization should consider externally-provided activities, products and

services when determining the scope of the environmental management
system. Organizations can have control of externally provided activities,
products and services that have or can have significant environmental
impacts through the organization's leadership or influence them by contractual
arrangement or other agreement.

There are several methods for documenting the scope and making it available
to the organization's interested parties, e.g.,

 using a written description

 a site map, an organizational diagram,
 a webpage, posting an ISO 14001 certificate, etc.

Once someone requests the organization's scope or policy, they become an

interested party. When documenting its scope, the organization can
consider using an approach that identifies the activities involved, the products
and services that result and their application and/or the location where they
occur, for example

 manufacturing machines and spare parts for combustion engines at site

A, or
 marketing, design and execution of training intended for individuals and
organizations in general.

4. Related Documents
1. Scope Statement

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5. Auditor’s Approach

1. Has the organization determined external and internal issues?

2. Does both the issues include environmental conditions?
3. Has the organization determined the interested parties relevant to the
EMS?
4. Has the organization determined the relevant needs and expectations
of the interested parties?
5. Has the organization determined the interested parties & EMS needs
and expectations that are compliance obligations?
6. Has the organization determined the boundaries and applicability of the
EMS to establish its scope?

7. Has the organization considered the external and internal issues when
determining the scope?
8. Has the organization considered the compliance obligations when
determining the scope?
9. Has the organization considered the organization‘s units, functions and
physical boundaries when determining the scope?
10. Has the organization considered its activities, products and services
when determining the scope?
11. Has the organization considered the authority and ability to exercise
control and influence when determining the scope?
12. Has the organization maintained the documented information?
13. Has the organization EMS considered the PDCA?
14. Has the organization EMS implemented, maintained and continually
improved?
15. Does the organization EMS integrate the business processes?

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ENVIRONMENTAL POLICY
1. EMS Policy

This clause of the standard requires that an

EMS policy developed and approved by top
management and relating to the scope of
the EMS be formulated and in place. This is
usually a short statement that provides a
framework for setting environmental
objectives and planning actions to achieve
environmental objectives. There are some
specific items that must be addressed in the policy, and includes a
commitment to the protection of the environment, including prevention of
pollution and other specific commitments relevant to the context of the
organization, including the nature, scale and environmental impacts of its
activities, products and services. The policy also includes a commitment to
fulfil its compliance obligations and a commitment to continual improvement of
the EMS to enhance environmental performance.

In addition, the policy needs to be communicated to all employees, to other

people working on behalf of the organization, and be available to interested
parties. The policy must be documented, implemented, and maintained and
this means that it is kept up to date and validated through the management
reviews and supported by the whole of the EMS.

2. EMS Policy Requirements

The following requirements to be considered while writing the policy statement

 its mission, vision, core values and beliefs,
 guiding principles,
 the needs and expectations of, and communication with, interested
parties,

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 the internal and external issues that are relevant to the

environmental management system, including specific
local or regional conditions,
 coordination with other organizational policies (e.g. quality,
occupational health and safety),
 the actual and potential effects on the organization's activities
from external environmental conditions, including events,
 its commitment to comply with legal requirements and other
requirements to which the organization subscribes, and
 its commitments related to protection of the environment,
prevention of pollution and continual improvement.

The responsibility for setting environmental policy rests with an

organization's top management. The environmental policy should be
consistent with, and can be included in or linked with, other policy
documents of the organization such as those associated with quality,
occupational safety and health and social responsibility. The organization's
management is responsible for implementing the policy and for providing input
to the formulation and modification of the policy. The policy should be
communicated to all persons working under the organization's control. In
addition the policy should be available to interested parties. It is the
organization's decision to make the policy available in an unrestricted manner,
such as posting it on a website, or after information about the identity, needs
and expectations of the interested party is provided.

Protection of the environment and prevention of pollution – Guidance

Organizations are and should increasingly be aware of the environment in

which they operate, for example by availability of resources, air and water
quality and the impacts associated with climate change related to their
organization. Therefore by committing to protection of the environment,
including prevention of pollution, the organization is contributing to its own
sustainability and the sustainability of society.

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Protection of the environment

How an organization can protect the environment is

connected to its activities, products and services and
its location(s). It can be undertaken throughout an
organization's value chain from direct control e.g.
practical site based measures or indirectly through
supply chain, product use or disposal.

Practical measures to protect the environment can include:

 Improved efficiency in use of natural resources, such as water and
fossil fuels. An example is reducing the use, or engaging in re-use or
recycling of, natural resources relative to production, such as metals.
This can limit the environmental impacts associated with its extraction,
beneficiation, use and final disposal.
 Protection of biodiversity, habitats and ecosystems – through direct on-
site conservation, or indirectly through procurement decisions, such as
buying materials from verified sustainable sources.
 Climate change mitigation – avoiding or reducing emissions of
greenhouse gases, or adopting carbon neutral policies can reduce its
contribution to climate change.
 Improvement in air and water quality – through avoidance, substitution,
reduction or abatement.

Prevention of pollution

Prevention of pollution can be incorporated

throughout the life cycle of a product or
service from the design and development,
through manufacture, distribution and usage to
end of life. Such strategies can help an
organization to not only conserve resources

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and reduce waste and emissions but also save money and produce more
competitive products and services. (Guidance on integrating environmental
aspects into product design and development can be found in ISO/TR 14062
and ISO 14006).

Source reduction can often be the most effective practice because it has the
double benefit of avoiding the generation of waste and emissions and
simultaneously saving resources. However, prevention of pollution through
source reduction is not practical in some circumstances. The organization
should consider using a hierarchy of approaches for prevention of pollution.
Such a hierarchy should give preference to preventing pollution at its source,
and can be structured as follows:

 source reduction or elimination (including environmentally sound design

and development, material substitution, process, product or technology
changes and efficient use and conservation of energy and material
resources);
 internal reuse or recycling (reuse or recycling of materials within the
process or facility);
 external reuse or recycling (transfer of materials offsite for reuse or
recycling);
 recovery and treatment (recovery from waste streams on or offsite,
treatment of emissions, and releases on wastes on or offsite to reduce
their environmental impacts);
 control mechanisms, such as incineration or controlled disposal, where
permissible. However, the organization should use these methods only
after other options have been considered.

Environmental policy and sustainability – Guidance

A growing number of international organizations, including government,

industry associations and citizens' groups, have developed guiding
principles intended to support environmental sustainability. These guiding

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principles help organizations to define the overall scope of their commitment to

the environment as one of the three dimensions of sustainability and
provide a common set of values. Guiding principles can assist an
organization in developing its policy, which should be unique to the
organization for which it is developed.

The policy can also include other commitments to

 sustainability and associated guiding principles (e.g. UN Agenda

21/Global Compact, Equator Principles)
 minimize any significant adverse environmental impacts of new
developments through the use of integrated environmental
management procedures and planning
 design products taking into account environmental aspects, and
sustainability principles

Note:

1. The EMS policy can be linked with other policy documents of the
organization and should be consistent with the organization‘s overall
business policies and with its policies for other management disciplines,
e.g. quality management or Environmental management.

2. The Auditor need to verify if the Top Management has demonstrated

commitment and ensures that the EMS policy is established and are
compatible with the strategic direction and the context of the organization.

3. Related Documents

a. EMS Policy Statement

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4. Auditor’s Approach

1. Is the organization‘s EMS policy appropriate to the Purpose and

context of the organization, including nature & Scale and
environmental impacts of its activities, products and services?
2. Does the organization‘s EMS policy provide the framework for setting
EMS objectives?
3. Does the organization‘s EMS policy include a commitment to the
protection of the environment, including prevention of pollution and
other specific commitments relevant to the context of the
organization?
4. Does the organization‘s EMS policy include a commitment to
continual improvement of the Environmental management system to
enhance environmental performance?
5. Does the organization‘s EMS policy includes a commitment to at fulfil
EMS compliance obligations?
6. Is the organization‘s EMS policy documented, implemented &
maintained?
7. Is the organization‘s EMS policy communicated to all persons working
under the control of the organization?
8. Is the organization‘s EMS policy available to interested parties?
9. Is the organization‘s EMS Policy coordination with other
organizational polices, e.g. quality management or Environmental
management?
10. Is the policy can also include other commitments to sustainability and
associated guiding principles?
11. Is the policy can also include other commitments to design products
taking into account environmental aspects and sustainability
principles?

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RISK ASSESSMENT

1. Environmental Risk Assessment

To order to understand what is meant by environmental risk assessment it is

important to be familiar with the concepts of hazard and risk. These terms
have different meanings and are not interchangeable. The following
definitions are used here.

Hazard: is the inherent potential for something to cause

harm. Hazards can include substances, machines, energy
forms, or the way work is carried out.

Risk: is a combination of the likelihood or probability that the

hazard will cause actual harm and the severity of the
consequences.

In general, the term environmental covers the physical surroundings that are
common to everybody including air, water, land, plants and wildlife. The
definition used in the Environmental Protection Act 1990 is that the
environment '... consists of all, or any, of the following media, namely the air,
water and land'.

Thus environmental risk assessment covers the risk to all ecosystems,

including humans, exposed via, or impacted via, these media. The term
environmental risk assessment does not normally cover the risks to individuals
or the general public at large from consumer products or from exposure in the
work place, where other specific legislation applies.

Stages in carrying out an environmental risk assessment

Before carrying out an environmental risk assessment it is important to clearly

set out the problem being addressed and the boundaries within which any
decisions on environmental risk are to be made. This is sometimes known as
problem formulation and can typically define the risk of what, to whom (or

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which part of the environment), where (location) and when (in time). This can
also assist in selecting the level and types of assessment methodology to be
used in the environmental risk assessment itself.

Environmental risk assessment can be thought of as containing the following

key stages.

1. Hazard identification. This would typically include identification of the

property or situation that could lead to harm.

2. Identification of the consequences if the hazard was to occur.

3. Estimation of the magnitude of the consequences. This can include

consideration of the spatial and temporal scale of the consequences
and the time to onset of the consequences. When considering
chemicals, this step can sometimes be termed release assessment.

4. Estimation of the probability of the consequences. There are three

components to this, the presence of the hazard, the probability of the
receptors being exposed to the hazard and the probability of harm
resulting from exposure to the hazard. This step can sometimes be
called exposure assessment or consequence assessment.

5. Evaluating the significance of a risk (often termed risk

characterization or risk estimation) is the product of the likelihood of
the hazard being realised and the severity of the consequences. This
step may also consider the uncertainty associated with both the hazard
and the risk.

A concept frequently used in environmental risk assessment is that of the

source – pathway – receptor. In this conceptual model the pathway between
a hazard source (for example a source of contamination) and a receptor (for
example a particular ecosystem) is investigated. The pathway is the linkage
by which the receptor could come into contact with the source (a number of
pathways often need to be considered). If no pathway exists then no risk
exists. If a pathway exists linking the source to the receptor, then the
consequences of this are determined. This approach is used in the

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assessment of contaminated land, but can be, and is, applied to many other
areas. An EHSC note is available on the assessment of contaminated land
(see bibliography).

1 Note: There is a wide range of different terminologies used in this area. However, most

of the different terminologies can normally be related to one of these steps.

Example Sources Example Pathways Example Receptors

 Contaminated Soils  Air  People
 Contaminated water  Water  Domestic and
 Leaking drums  Soil commercial property
 Industrial process  Food Chain  Infrastructure
releases  Ecosystems
 Animals
 Plants
 Controlled waters

At the end of the risk assessment process, existing controls should be

recorded and further measures may need to be considered to reduce or
eliminate the risks identified. Detailed consideration of risk management is
beyond the scope of this paper but, in general terms, risk management can
be achieved by reducing or modifying the source, by managing or breaking
the pathway and/or modifying the receptor.

The final stage is the evaluation of the significance of the risk which involves
placing it in a context, for example with respect to an environmental
standard or other criterion defined in legislation, statutory or good practice
guidance.

The amount of effort and detail required in assessing each risk can vary
widely, but is generally proportionate to its priority and complexity. Thus
environmental risk assessments can be carried out on several levels. An
example of a relatively common, simplistic, approach based on a risk
ranking matrix is shown below. The meanings of high, medium, low and very

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low can be determined in various ways, for example using a descriptive or

numerical scale, or often based on expert judgement. Once risks have been
identified, the matrix allows the relative importance to be easily determined,
and the risk can then be prioritised and an appropriate risk management
strategy or plan can be implemented. Other relatively simple approaches
include the use of assessment sheets whereby the materials and activities
are listed, and any potential impacts for the environment are described.

Environmental Risk Assessment Matrix

High Medium risk Medium risk High risk High Risk

Consequences of

Medium Low risk Medium risk Medium risk High Risk

hazard being
realised

Low Low risk Low risk Medium risk Medium risk

Very low Very low risk Low risk Low risk Medium risk
1 Very low Low risk Medium High
Likelihood of hazard being realised

In more complex cases, it may be appropriate to use quantitative risk

assessment approaches. Such approaches can define the pathway and
consequences using modelling/estimation techniques that allow the level
of exposure of a receptor, and the consequences to the receptor, to be
better determined. In some cases probabilistic models can be used to
estimate the actual probability of risk occurring.

Uses of environmental risk assessment

There are a wide range of uses of environmental risk assessment and,

although the specific methodology and the responsibility for carrying out the
assessment may vary, the core principles and the key stages of the process
are fundamentally the same in each case. There is a wide range of legislation
that encompasses the principles of environmental risk assessment in relation
to chemicals. The European Environment Agency (1998) publication lists
some of these but the area is rapidly changing and it is impractical to provide
a complete list here. Specific guidance is often available for each piece of
legislation. The principles of environmental risk assessment are also applied

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in a number of other areas, for example flood protection, noise pollution and
planning.

Some examples of the use of environmental risk assessment are given

below.

 Assessing the impacts of chemicals used at existing sites (for example

for the Control of Major Accident Hazards (COMAH) Regulations
(1999), Environmental Permitting Regulations (2010) and other similar
legislation).
 Assessing the impacts of products generated by individual
companies/sites due to their use or transport etc.
 Assessing potential impacts of new developments, new sites or new
processes as part of the planning procedure (for example in relation to
the Town and Country Planning Regulations (2011)). This is often
known as Environmental Impact Assessment or EIA.
 Assessing the impacts of products, processes or services over their life
cycle (life cycle assessment or LCA). An EHSC note on LCA is
available (see bibliography).
 Consideration of risks to the environment in a company‘s
environmental management system (EMS) or eco-management and
audit scheme (EMAS). Such schemes are based on continual
environmental improvement in which risk assessment plays an
important part. An EHSC note is available on EMS (see bibliography).
 Registration, Evaluation, Authorisation and Restriction of Chemicals
Regulation. Environmental risk assessment is a key component of
determining the safe use of chemicals under this legislation.

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2. Actions to Address Risk Associated With Threats and Opportunities

NOTE Numbers refer to the clauses in this International Standard

Figure 1 — Relationship between 4.1, 4.2, 6.1, 8.1 and 9

The relationship between the planning process and other parts of the standard
is shown in figure 1. Planning is critical for determining and taking the actions
needed to ensure the environmental management system can achieve its
intended outcomes. It is an ongoing process, used both to establish and
implement elements of the environmental management system and to
maintain and improve them, based on changing circumstances and inputs
and outputs of the environmental management system itself.

The planning process can help an organization identify and focus its resources
on those areas that are most important for protecting the environment. It also
enables fulfilment of compliance obligations, other environmental policy
commitments, and for identifying and achieving its environmental objectives.
Information generated in the planning process is an important input for
determining operations that need to be controlled. Information can also be
used in the establishment and improvement of other parts of the
environmental management system, such as identifying training and
competency, monitoring and measurement needs.

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Organizations face a range of risks associated with threats and opportunities

that can affect the achievement of its intended outcomes. The organization
first needs to identify the significant aspects associated with its activities,
products and services that can interact with the environment, and any other
significant sources of risk associated with threats and opportunities for the
organization, considering the organization's context.

3. Significant environmental aspects

a. Overview
In order to establish an effective environmental
management system the organization should
develop its understanding of how it can interact with
the environment, including the elements of its activities, products and services
that can have an environmental impact. The elements of an organization's
activities, products and services that can interact with the environment are
called environmental aspects.
Examples include
 a discharge
 an emission
 consumption or reuse of a material, or generation of noise.
An organization implementing an environmental management system should
identify the environmental aspects it can control and those that it can
influence.

Changes to the environment, either adverse or beneficial, that result wholly or

partially from environmental aspects are called environmental impacts.
Examples of adverse impacts include
 pollution of air, and
 depletion of natural resources.

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Examples of beneficial impacts include

 improved water or
 soil quality.

The relationship between environmental aspects and associated impacts is

one of cause and effect. An organization should have an understanding of
those aspects that have or can have significant impacts on the environment,
i.e. significant environmental aspects.

Since an organization can have many environmental aspects and associated

impacts, it should establish criteria and a method to determine those that it
considers significant. Several factors should be considered when establishing
criteria, such as environmental characteristics, information on applicable
compliance obligations, and the concerns of interested parties (internal and
external). Some of these criteria can be applied to an organization's
environmental aspects directly and some to their associated environmental
impacts.

Identifying significant environmental aspects and associated impacts is

necessary in order to determine where control or improvement is needed and
to set priorities for management action based primarily on environmental
factors. An organization's
 environmental policy,
 objectives
 training
 communications
 operational controls and
 monitoring programmes should be primarily based on knowledge of
its significant environmental aspects.

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Issues such as applicable compliance obligations, views of interested parties,

and other sources of risk associated with threats and opportunities for the
organization, such as environmental conditions, including events, can also be
taken into account. The identification of significant environmental aspects is an
ongoing process. It enhances an organization's understanding of its
relationship to the environment and contributes to continual improvement of its
environmental performance through enhancement of its environmental
management system.

As there is no single approach for identifying environmental aspects and

environmental impacts and determining significance that suit all organizations,
the guidance that follows serves to explain key concepts for implementing or
improving an environmental management system. Each organization should
choose an approach that is appropriate to its scope, the nature and scale of its
environmental impacts and that meets its needs in terms of detail, complexity,
time, cost and availability of reliable data. The use of (a) procedure(s) to apply
the approach selected can help to achieve consistent results.

b. Understanding activities, products and services

All activities, products and services have some impact on the environment,
which can occur at any or all stages of the activities, products or services life
cycle,
 i.e. from raw material acquisition and distribution, to use and disposal.

An organization should understand its activities, products and services in order

to be able to identify the associated aspects and impacts that fall within the
scope of its environmental management system. It can be useful to group its
activities, products and services to assist in the identification and evaluation of
the associated environmental aspects and impacts. A grouping or category
could be based on common characteristics, such as organizational units,
geographical locations and operations workflow.

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c. Identifying environmental aspects

When identifying its environmental aspects

within the scope of its environmental
management system, the organization
should consider a life cycle perspective and
those aspects associated with its past,
current and planned activities, products and services. In all cases, the
organization should consider normal and abnormal operating conditions
including start-up and shut-down maintenance and emergency situations and
accidents.

In addition to those environmental aspects an organization can control directly,

it should also consider aspects that it can influence, e.g. those related to
products and services used by the organization and those related to products
and services it provides. When evaluating its ability to influence the
environmental aspects an organization should give consideration to legal
requirements or contractual agreements, its policies, local or regional issues
and its obligations and responsibilities to interested parties.

The organization should also consider the implications on its own

environmental performance, for example by the purchase of products
containing hazardous materials, activities carried out by contractors or
subcontractors, design of products and services, materials, goods or services
supplied and used, and the transport, use, reuse or recycling of products
placed on the market.

To identify and have an understanding of its environmental aspects, an

organization should collect quantitative and/or qualitative data on the
characteristics of its activities, products and services such as inputs and
outputs of materials or energy, processes and technology used, facilities and
locations and transportation methods. In addition it can be useful to collect
information on

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a) cause and effect relationships between elements of its activities,

products, and services and possible or actual changes to the
environment
b) environmental concerns of interested parties
c) possible environmental aspects identified in government regulations and
permits, in other standards, or by industry associations, academic
institutions, etc.

The process of identifying environmental aspects benefits from the

participation of those individuals who are familiar with the organization's
activities, products and services. Although there is no single approach for
identifying environmental aspects, the approach selected can consider
 emissions to air
 releases to water
 releases to land
 use of raw materials and natural resources (e.g. land use, water use)
 use of energy
 energy emitted (e.g. heat, radiation, vibration)
 waste and by-products
 physical attributes (e.g. size, shape, colour, appearance)

Consideration should therefore be given to aspects arising from the

organization's activities, products and services, including
 design and development
 manufacturing processes
 packaging and transportation
 environmental performance and practices of contractors, and suppliers
 waste management
 extraction and distribution of raw materials and natural resources, and
 distribution, use and end of life
NOTE For more information refer to ISO/TR 14062 for guidance on environmental aspects
of product design and ISO14006 on eco-design.

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d. Understanding environmental impacts

An understanding of an organization's environmental impacts related to

identified environmental aspects is necessary when determining significance,
especially those that can lead to potential emergency situations. Many
approaches are available. An organization should choose one that suits its
needs.

Readily available information on the types of environmental impacts

associated with an organization's environmental aspects can be adequate for
some organizations. Other organizations can choose to use cause-and-effect
diagrams or flowcharts illustrating inputs, outputs or mass/energy balances or
other approaches such as environmental impact assessments or life cycle
assessments.
NOTE For more information refer to ISO 14040, ISO 14041, ISO 14042
and ISO 14043 for guidance on life cycle assessments

The approach chosen should be capable of recognizing

 positive (beneficial) environmental impacts as well as negative (adverse)

environmental impacts,
NOTE Environmental aspects with potential beneficial impacts can present
opportunities for the organization to improve environmental conditions. Environmental
aspects with adverse impacts can pose a threat to the organization which can
undermine its ability to meet its policy commitments.

 actual and potential environmental impacts,

 the part(s) of the environment that can be affected, such as air, water,
soil, flora, fauna, or cultural heritage,
 the characteristics of the location that can affect the environmental
impact such as local weather conditions, height of water table, soil
types, etc., and
 the nature of the changes to the environment (such as global vs. local
issues, length of time for which the impact occurs, or potential for the
impact to accumulate in strength over time).

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Possible information sources for determining environmental aspects

and environmental impacts - Guidance

Possible information sources include

a) general information documents, such as brochures, catalogues and
annual reports,
b) operations manuals, process flowcharts, or quality and product plans,
c) reports from previous audits, assessments or reviews, such as initial
environmental reviews or life cycle assessments,
d) information from other management systems, such as quality or
occupational health and safety,
e) technical data reports, published analyses or studies, or lists of toxic
substances,
f) applicable compliance obligations,
g) codes of practice, national and international policies, guidelines and
programmes,
h) purchasing data,
i) product specifications, product development data, Material or
Chemical Safety Data Sheets (MSDS/CSDS), or energy and material
balance data,
j) waste inventories,
k) monitoring data,
l) environmental permit or licence applications,
m) views of, requests from, or agreements with interested parties, and
n) reports on emergency situations and accidents.

e. Determining significant environmental aspects

Significance is a relative concept that is relative to the context. What is

significant for one organization is not necessarily significant for another.
Evaluating significance can involve both technical analysis and judgement as
determined by the organization. The use of criteria should help an
organization establish which environmental aspects and associated impacts it

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considers significant. Establishing and applying such criteria should provide

consistency and reproducibility in the assessment of significance.

When establishing criteria for significance, an organization should consider

environmental criteria such as scale, severity and duration of the impact, or
type, size and frequency of an environmental aspect.

Significance criteria can be applied to an organization's environmental

aspects or to their associated impacts. Environmental criteria can apply to
both environmental aspects and environmental impacts, but in most situations
they apply to environmental impacts. When applying criteria, an organization
can set levels (or values) of significance to be associated with each criterion.
For example, criteria could be based on a combination of likelihood
(probability/frequency) of an occurrence and its consequences
(severity/intensity). Some type of scale or ranking can be helpful in assigning
significance, for example quantitatively in terms of a numeric value, or
qualitatively in terms of levels such as high, medium, low or negligible.

An organization can find it useful to evaluate the significance of an

environmental aspect and associated impacts by combining results from the
criteria. It should decide which environmental aspects are significant, e.g. by
using a threshold value.

To facilitate planning, an organization should maintain appropriate information

on the environmental aspects identified and those considered significant,
including those that can occur in potential emergency situations. The
organization should use this information to understand the need for and to
determine operational controls, including those necessary to mitigate or
respond to actual emergency situations. Information on identified impacts
should be included as appropriate. It should be reviewed and updated
periodically, and when circumstances change to ensure it is up to date. For
these purposes, it can be helpful to maintain them in a list, register, database
or other form.

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NOTE The determination of significant environmental aspects does not require an

environmental impact assessment.

4. Risk associated with threats and opportunities

The environmental management system

provides value for the organization, its
interested parties, and the environment by
addressing the risks associated with threats
and opportunities. A robust, credible and
reliable environmental management system can support the long-term
viability of the organization. Without managing the risk, the organization may
not achieve its intended outcomes nor be able to respond to environmental
conditions, including events.

There are three possible sources of threats and opportunities that need to be
addressed:
1) significant environmental aspects
2) compliance obligations
3) other issues that need to be addressed that can affect the viability of
the organization, that is its ability to achieve the intended outcomes
of the environmental management system, prevent or reduce
undesired effects or achieve continual improvement

Threats and opportunities related to other issues affecting the environmental

management system can include external environmental conditions, including
events, or inadequate human or financial resources to develop and implement
the environmental management system.

The organization chooses the method by which the risks associated with
threats and opportunities are determined. The approach chosen can involve a
very simple qualitative process or a full quantitative assessment depending on

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the context in which the organization operates, (e.g., size of the organization,
technological sector and maturity level of the environmental management
system). The approach can be in series for all sources of threats and
opportunities, or can involve separate evaluations for each, conducted in
parallel.

The process starts with applying an understanding of the context in which the
organization operates, including issues that can affect the intended outcomes
of the environmental management system (4.1) and relevant needs and
expectations of interested parties, including those the organization adopts as
compliance obligations (4.2). These become inputs in determining the
organization's significant aspects (6.1.2) and identifying how the
organization's compliance obligations (6.1.3) apply.

The series approach (see diagram in figure 2): The organization can
determine its significant environmental aspects, compliance obligations, and
any other issues related to the organization and its environmental
management system, and then conduct an assessment of risk for all three
sources of threats and opportunities.

The parallel approach (see diagram in figure 3): When determining significant
environmental aspects and compliance obligations, the determination of
threats and opportunities for the organization is integrated in this process. It is
then applied to determine any other risks associated with threats and
opportunities for the organization related to issues and requirements identified
in 4.1 and 4.2.

The results of this determination are inputs for planning actions, for
establishing the environmental objectives (6.2) and for controlling relevant
operations in order to prevent adverse environmental impact and other
undesired effects (8.1).

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The results can also have implications for other areas of the environmental
management system, for example determining competency needs and
communications related to the environmental management system,
determining monitoring and measurement needs, establishing the internal
audit programme, and developing emergency response procedures.

Threats and opportunities can affect the organization and its ability to achieve
the intended outcomes of the environmental management system. Threats
affecting the organization can be caused by, for example

a) significant environmental aspects, such as where a pollution incident

tarnishes the organization's reputation,
b) nonconformities with compliance obligations, which can result in fines,
costs for corrective action, and potentially losing the social license to
operate,
c) environmental conditions, including events, impacting the
environment, such as where climate change causes reduced water
availability, which again can have a financial viability effect as the price
of water can increase due to shortages,
d) views of interested parties on the environmental performance of an
organization which can mobilize broader opposition, and
e) environmental aspects, e.g. a very small spill that hardly contaminate
soil or groundwater, and is therefore not determined as significant from
an environmental perspective, can nevertheless constitute a risk
associated with threats and opportunities to an organization by affecting
its image as being an environmentally conscious enterprise.

Opportunities for the organization can include

a) identifying new technology, such as control equipment that can reduce

polluting discharges,
b) optimizing water use such as recycling water, or
c) working with interested parties to defuse opposition to a proposed waste
disposal method.

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Figure 2 — Series approach – Actions to address risks and opportunities

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Figure 3 — Parallel approach – Actions to address risks and opportunities

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5. Planning to take action

The intent of this clause is to encourage organizations to think about and plan
how they should take action to address significant environmental aspects,
compliance obligations and threats and opportunities that can affect the
organization or its environmental management system, using a combination of
approaches/methods and determine its effectiveness.

Planning to take action to meet the intended outcome of the environmental

management system can be done by adopting and using a single
approach/method such as setting an objective, operational control, or through
emergency preparedness.

Alternatively, the organization can use a combination of approaches/methods

that include objectives and operational controls involving a combination of
control hierarchies. Either method requires consideration of the life cycle
perspective, emergency preparedness and monitoring and measurement.
Typically, organizations adopt and use a combination of approaches/methods.

Organizations can adopt a variety of methods and techniques to do this

evaluation, ranging from statistical techniques to comparisons of monitoring
and measuring results with expected performance levels.

Some legislative requirements can specify the need for validation or

verification of performance capability and actual performance of some
controls. In some instances, organizations choose to evaluate the
effectiveness of the approaches/methods outside of the environmental
management system. This can be done for example through environmental
management systems or engineering processes. Where these
approaches/methods are conducted outside the environmental management
system, this should be referenced within the environmental management
system.

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Table A.1 shows examples of environmental aspects, impacts and threats and
opportunities and the planned action to address them for several activities.

Related Documents

1. Actions to address risks and Opportunities General

2. Actions to address risks and Opportunities Environmental aspects

Auditor’s Approach

1. Has the organization determined environmental aspects of its

activities?
2. Has the organization determined environmental aspects of its
products and services?
3. Has the organization determined environmental impacts considering
life cycle of the products and services?
4. Has the organization determined change including planned or new
developments when determining the aspects?
5. Has the organization determined new or modified activities, products
and services when determining the aspects?
6. Has the organization considered design and development,
manufacturing processes when determining the aspects?
7. Has the organization considered packaging and transportation,
distribution, use and end of life processes when determining the
aspects?
8. Has the organization considered environmental performance and
practices of contractors and suppliers processes when determining
the aspects?
9. Has the organization considered waste management, extraction and
distribution of raw materials and natural resources when determining
the aspects?
10. Has the organization determined abnormal conditions and reasonably
foreseeable emergency situation when determining the aspects?

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11. Has the organization determined aspects that have or can have
significant environmental impacts?
12. Has the organization maintained documented information for
environmental aspects and associated environmental impacts?

13. Has the organization maintained documented information for criteria

used to determine its significant environmental aspects?
14. Has the organization environmental impacts identified positive as well
as negative impacts?

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ENVIRONMENTAL OBJECTIVES

1. Environmental objectives

In the planning process, an organization

sets objectives to fulfil the commitments
established in its environmental policy
and achieve other organizational goals.
The process of setting and reviewing
objectives and implementing
programmes to achieve them
provides a systematic basis for the
organization to improve environmental performance in some areas whilst
maintaining its level of environmental performance in others. Both
management and operational performance can be addressed through the
setting of objectives.

2. Planning actions to achieve environmental objectives

a. Setting objectives

In setting objectives, an organization should consider several inputs, including

 principles and commitments in its environmental policy
 its significant environmental aspects (and information developed in
determining them)
 applicable compliance obligations to which the organization subscribes
 threats and opportunities related to other issues affecting the
environmental management system that need to be addressed
 effects of achieving objectives on other activities and processes
 relevant needs and expectations of interested parties
 technological options and feasibility
 financial, operational, and organizational considerations, including
information from suppliers and contractors

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 possible effects on the public image of the organization

 findings from environmental reviews
 other organizational goals

Objectives should be set at the top level of the organization and at other levels
and functions where activities important to meeting the environmental policy
commitments and overall organizational goals are carried out. Objectives
should be consistent with the environmental policy and commitments to the
protection of the environment including the prevention of pollution, conformity
with applicable compliance obligations, and continual improvement.

An environmental objective can be expressed directly as a specific

performance level, or can be expressed in a general manner and further
defined by one or more targets, that is, a detailed performance
requirement that needs to be met in order to achieve an environmental
objective. When targets are set, they should be measurable. Targets may
need to include a specified time frame to be delivered by the programme.

The environmental objectives an organization sets should be considered

as part of its overall management objectives. Such integration can enhance
the value of not only the environmental management system but also the other
management systems to which the integration applies.

Objectives can be applicable across an organization or more narrowly to site-

specific or individual activities. For example, a manufacturing facility may have
an overall energy-reduction objective that can be achieved by conservation
activities in one individual department. In other situations however, all parts of
an organization need to contribute in some way to achieve the organization's
overall objective. It is also possible that different parts of an organization,
pursuing the same overall objective, may need to implement different actions
to achieve their departmental objectives.

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An organization should identify the contributions of different levels and

functions of the organization in achieving the objectives, and make the
individual members of the organization aware of their responsibilities.

Documentation and communication of objectives improves an organization's

ability to achieve its objectives. Information concerning objectives should be
provided to those responsible for achieving them and to other personnel who
need such information to carry out related functions, such as operational
control.

b. Programme(s) for achieving objectives

Part of the planning process should include the elaboration of a programme for
achieving the organization's environmental objectives. The programme
should address
 roles, responsibilities,
 processes, resources,
 timeframes,
 priorities and the actions necessary for achieving the environmental
objectives.

These actions can deal with individual processes, projects, products,

services, sites or facilities within a site. Organizations can integrate
programmes to achieve environmental objectives with other programmes
within their strategic planning process. Programmes to achieve objectives help
an organization to improve its environmental performance. They should be
dynamic. When changes in processes, activities, services and products within
the scope of the environmental management system occur, the objectives and
associated programmes should be revised as necessary.

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To achieve its objectives, an organization can find it useful to follow a process:

for each policy commitment, identify each objective that corresponds to that
commitment, establish one or more programmes to achieve each objective,
and identify specific performance indicators and actions to implement
each programme. The specific objectives should then be redefined to
ensure that the performance indicators and actions can address them. This
process can be repeated as appropriate, for example if the policy is changed
or after a management review.

c. Performance indicators

An organization should establish

measurable environmental performance
indicators. Such indicators should be
objective, verifiable and reproducible.
They should be appropriate to the
organization's activities, products and
services, consistent with its environmental policy, practical, cost-effective and
technologically feasible. These indicators can be used to track an
organization's progress in achieving its objectives They can also be used for
other purposes, such as part of an overall process for evaluating and
improving environmental performance. The organization should consider the
use of both management and operational environmental performance
indicators appropriate to its significant environmental aspects.

An organization's environmental performance indicators are an important tool

for monitoring continual improvement.

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Performance indicators — Guidance

Progress towards an objective can generally be measured using

environmental performance indicators such as

 quantity of raw material or energy used

 quantity of emissions such as CO2
 waste produced per quantity of finished product
 efficiency of material and energy used
 number of environmental incidents (e.g. excursions above limits)
 number of environmental accidents (e.g. unplanned releases)
 percentage waste recycled
 percentage recycled material used in packaging
 number of service vehicle kilometres per unit of production
 quantities of specific pollutants emitted, e.g. NOx, SOx, CO, VOCs, Pb,
CFCs
 investment in environmental protection
 number of prosecutions
 land area set aside for wildlife habitat
 number of persons trained in environmental aspect identification
 percentage of budget spend on low emission technology

Related Documents

1. Environmental objectives and planning to achieve them – Environmental

Objective

Auditor’s Approach

1. Has the organization established environmental objectives at relevant

functions and levels?
2. Does the organization maintain these documented objectives?
3. Are the organization‘s EMS objectives measureable, where

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practicable?
4. Are the organization‘s EMS objectives communicated to interested
parties?
5. Are the organization‘s EMS objectives consistent with its EMS policy?
6. Are the organization‘s EMS objectives monitored?
7. Are the organization‘s EMS objectives updated as appropriate?
8. Are the organization‘s EMS objectives consistent with its commitment
to the prevention of Pollutions?
9. Are the organization‘s EMS objectives consistent with its commitment
to compliance obligations?
10. Are the organization‘s EMS objectives consistent with its commitment
to continual improvement?
11. When establishing and reviewing its objectives, does the organization
consider its financial requirements?

12. When establishing and reviewing its objectives, does the organization
consider its operational requirements?
13. When establishing and reviewing its objectives, does the organization
consider its business requirements?
14. When establishing and reviewing its objectives, does the organization
consider the views of interested parties including the views of
workers?
15. Are the objectives and targets consistent with the EMS policy,
including the commitment to measuring and improving EMS
performance?
16. Are the objectives set by the organization specific?
17. Are the objectives set by the organization achievable?
18. Are the objectives set by the organization relevant?
19. Are the objectives and targets set by the organization timely?
20. Does the organization record the back ground and reasons for setting
the objectives, in order to facilitate their future review?

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COMPLIANCE OBLIGATIONS AND EVALUATION

1. General

Compliance obligations can result in threats and opportunities for the

organization. An organization should establish, implement and maintain
procedures to identify and have access to compliance obligations that are
applicable to the environmental aspects of its activities, products and
services. The purpose of such procedures is to enable the organization to be
aware of the various requirements and determine how they apply to the
environmental aspects of the organization's activities, products and services.
An organization should ensure that appropriate information about applicable
compliance obligations is communicated to all persons working under the
organization's control, such as contractors or suppliers whose responsibilities
relate to, or whose actions can affect, the organization's compliance with such
requirements.

2. Legal requirements

The organization can access one or more

information sources as a means to identify legal
requirements related to its environmental aspects.
Such sources can include governmental,
regulatory agencies, industry associations or
trade groups, commercial databases and
publications and professional advisors and
services. The process should enable the organization to anticipate and
prepare for new or changed legal requirements, so that it can maintain
conformity. The organization should also consider how planned or new
developments and new or modified activities, products and services can affect
its compliance status.

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3. Other compliance obligations

The organization also needs to determine

how other compliance obligations it has
adopted, originating from other interested
parties (as identified in 4.2), relate to the
organization's environmental aspects. The
process should enable the organization to
consider and prepare for new or changing needs and expectations from these
parties, so that preparatory action can be taken as appropriate to maintain
conformity. The organization should also consider how planned or new
developments and new or modified activities, products and services can
affect its interested parties and their relevant needs and expectations.

4. Documented information

The organization should maintain documented information of its compliance

obligations which could be in the form of a register or list. This can help to
maintain awareness and transparency with regard to applicable requirements.
This register should be reviewed periodically to ensure it remains up to date.
This register or list could include

 the source or origin of the compliance obligation,

 an overview of the compliance obligation, and
 how the obligation relates to the organization's aspects and/or
relevant requirements of interested parties.

The organization should ensure that persons doing work under its control are
aware of the importance of conforming to its compliance obligations. Such
persons can include employees, contractors and suppliers, for example where
the organization relies upon the supplier to provide sub-components or
materials that conform to these obligations.

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Commitment to compliance - Guidance

Conformity with applicable compliance obligations is a core commitment

of an environmental management system. This commitment should be
reflected in the planning process and implemented throughout the
environmental management system. Top management should periodically
review the adequacy of the environmental management system to ensure its
effectiveness, including its compliance- related components.

For convenience, the principal compliance-related components of the

environmental management system are summarized in the following list. An
organization should establish, implement and maintain processes and provide
adequate resources to
a) establish a policy that includes a commitment to satisfy applicable
compliance obligations,
b) identify, have access to and understand applicable compliance
obligations,
c) set objectives that consider the need for compliance,
d) achieve compliance-related objectives, by implementing
 programmes that identify roles, responsibilities, procedures, means
and timeframes to achieve compliance-related objectives, and
 operational controls (including procedures, as necessary) to
implement the commitment to compliance and compliance-related
objectives,
e) ensure that all persons working under the organization's control are
aware of related procedures that apply to them, and the consequences
of failing to meet applicable compliance obligations,
f) ensure that all persons working under the organization's control have the
necessary competence regarding applicable compliance obligations,
related procedures that apply to them, and the importance of meeting
applicable compliance obligations, on the basis of appropriate education,
training, or experience,

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g) periodically evaluate conformity with applicable compliance obligations,

h) identify any instances of noncompliance or nonconformity (and
foreseeable potential noncompliance or nonconformity) and take prompt
action to identify, implement and follow up corrective actions,
i) maintain and retain documented information of its conformity with
applicable compliance obligations,
j) address compliance-related features when conducting periodic
audits of the environmental management system, and
k) consider changes in applicable compliance obligations when undertaking
the management review. The commitment to compliance reflects an
expectation that an organization employ a systematic approach to
achieve and maintain conformity with applicable compliance obligations.

5. Evaluation of compliance

The organization should evaluate its

compliance by monitoring, measuring,
analysing and reviewing its performance
against its compliance obligations (as
determined in 4.2 and 6.1.3). This process
allows the organization to demonstrate its
commitment to satisfy compliance obligations and to mitigate potential legal
action or action from its interested parties.

All compliance obligations need to be evaluated periodically although the

frequency and the timing of each can differ depending on:

 the organization's legal requirements,

 relevance of other requirements adopted as compliance obligations,
 changes to the compliance obligations,
 the organization's past performance relating to a compliance obligation,
and
 expected variations in performance of a process or activity, e.g. the

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performance of a waste water treatment plant can vary depending on

the volume of waste water received.

Evaluation of compliance should be an iterative process which utilises the

output from other areas of the environmental management system when
determining the compliance status of the organization. For example:

 The scope and frequency of internal audits can take into account
compliance obligations and can be analysed and contribute to the
evaluation of compliance.
 Determination of significant environmental aspects, and risk associated
with threats and opportunities, planning of actions and environmental
objectives, and development of processes for awareness, external
communication and operational planning and control, can take into
account compliance obligations. The effectiveness of such measures can
provide evidence of compliance.
 Monitoring, measuring, analysis and evaluation can be established
taking into account compliance obligations, and the results can be used
to evaluate compliance.

The organization can choose to review reports and communication provided

by interested parties (e.g. regulatory site inspection reports or customer
audits), or communicate with them specifically on their compliance obligations.

Where a failure or potential failure to meet a compliance obligation is

identified, the organization should take action. The organization's
nonconformity and corrective action procedure could be used to deal with such
nonconformities. Where appropriate the organization can communicate or
report on nonconformities to the relevant interested party for that compliance
obligation.

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By evaluating compliance, the organization should gain knowledge and

understanding its compliance status. Top management should maintain an
awareness of the organization's compliance status and review the
organization's fulfilment of its compliance obligations at the management
review. The frequency of compliance evaluation activities should be
appropriate to maintain knowledge and understanding of its status of
conforming to its compliance obligations. Compliance evaluation should be
conducted in a timely manner in relation to the management review.

The organization should retain documented information as evidence of its

evaluation of compliance. This could include:

 internal and external audit reports

 results of monitoring and measurement
 internal and external communications and reports

Related Documents
1. Actions to address risks and Opportunities – Compliance Obligations

Auditor’s Approach

1. Has the organization maintained documented information?

2. Has the organization determined and have access to the compliance
obligations related to its environmental aspects?
3. How does this compliance obligation apply to the organization?
4. Does the organization keep information about its compliance
obligations up‐to‐date?
5. Does the organization communicate relevant information on
compliance obligations to persons working under the control of the
organization?
6. Does the organization communicate relevant information on
compliance obligations to other relevant interested parties?

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7. Has the organization established and implemented the processes

needed to evaluate fulfillment of its compliance obligations?
8. Has the organization determined the frequency that compliance will
be evaluated?

9. Does the organization keep documented information of the results of

the periodic evaluations?
10. Has the organization evaluated compliance and taken action if
needed?
11. Has the organization maintained knowledge and understanding of its
compliance status?
12. Has the organization established and implemented the documented
information for periodically evaluating compliance with which it
subscribes?

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UK Legislations

Important Environmental Laws

1. Environmental Protection Act 1990

2. Town & Country Planning Act 1990
3. Water Resources Act 1991
4. Water Industry Act 1991
5. Water Industry Act (Scotland) 2002
6. Control of Pollution Act 1974
7. Sewerage (Scotland) Act 1968
8. Clean Air Act 1993
9. Environment Act 1995
10. Pollution Prevention and Control Act 1999
11. Climate Change Act 2008
12. Energy Act 2008
13. Environmental Permitting (England & Wales) Regulations 2010
14. Hazardous waste regulations 2005
15. Landfill regulations

Environmental Protection Act 1990

The Act is in 9 parts the first three of which are of greater importance to many
manufacturing operations.

Part I (Sections 1-28) deals with Integrated Pollution Control (IPC) and Local
Authority Air Pollution Control (LAPC) and is enacted by a series of Statutory
Instruments. A key requirement for IPC processes is the use of BATNEEC
(Best Available Technique Not Entailing Excessive Cost) and BPEO (Best
Practicable Environmental Option). BPEO does not apply to APC processes.
Part 1 has now been replaced with The Pollution Prevention and Control
(England and Wales) Regulations, SI 2000/1973, which implement the EC
Directive 96/61/EC on Integrated Pollution Prevention and Control (IPPC).

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Part II covers Waste on Land (Sections 29- 78) and is again enacted by a
series of Statutory Instruments and Codes of Practice. Section 34 deals with
the Duty of Care.
Part III (Sections 79 – 85) covers Statutory Nuisance and Clean Air and
empowers Local Authorities to abate a statutory nuisance or to prevent one
occurring.
Part IV (Sections 86 – 99) imposes duties on local authorities to keep public
places clear of litter.
Part V (Sections 100 – 105) amended the Radioactive Substances Act 1960,
but has itself been subsequently repealed by the Radioactive Substances Act
1993.
Part VI (Sections 106 -127) governs the control and use of genetically
modified organisms (GMO‘s).
Part VII (Sections 128 – 139) deals with nature conservation and the
enforcing authorities.
Part VIII (Sections 140 -155) provides for controls on dangerous substances,
contaminated land and a variety of other diverse environmental concerns.
Section 143 on contaminated land was repealed by the Environment Act
1995, which inserted a Part IIA on contaminated land into this Act.
Part IX (Sections 156 -164) outlines general provisions. Section 157 outlines
offences by corporate bodies.

Town & Country Planning Act 1990

Planning legislation was first introduced shortly after World War II in 1947. It
has more recently been updated and consolidated in the Town & Country
Planning Act 1990. Legislation requires applicants to submit an application for
the grant of planning consent. Such applications are considered by
development control officers prior to a recommendation being made to the
local planning authority. Application may subsequently be approved, with or
without conditions or may be refused. Applicants have a right of appeal
against refusal and or conditions

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Water Industry Act 1991 & Water Industry (Scotland) Act 2002

The Water Industry Act of 1991, section 118, deals with the duties of the
English and Welsh water company‘s supply of water, provision of sewerage
services and control of discharges to foul sewer through a consenting
mechanism.

The W at e r Industry (Scotland) Act 2 0 0 2 established Scottish Water as the

corporate body who are now responsible for the discharge of water and
sewerage functions previously held by existing authorities

Sewerage (Scotland) Act 1968

The Sewerage (Scotland) Act 1968 deals with the duties of the water service
authorities in supply of water, provision of sewerage services and control of
discharges to foul sewer through a consenting mechanism.

Water Resources Act 1991

The Water Resources Act 1991, section 88, deals with discharges made to
controlled waters in England and Wales (coastal waters, inland waters, rivers,
streams, underground streams, canals, lakes and reservoirs, groundwater).
The EA sets standards for discharges into controlled waters that take into
consideration the ability of the water to assimilate the polluting substance. One
role of the EA is to control the discharges made by the water service
companies.

The Environmental Permitting Regs 2010 amend part of this Act. Consents for
discharges are no longer covered under this Water Resources Act.

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Control of Pollution Act 1974 (COPA)

COPA deals with discharges made to Scottish controlled waters (coastal

waters, inland waters, rivers, streams, underground streams, canals, lakes
and reservoirs, groundwater). SEPA sets standards for discharges into
controlled waters that take into consideration the ability of the water to
assimilate the polluting substance. One role of SEPA is to control the
discharges made by the water service authorities.

Clean Air Act 1993

The Clean Air Act 1993 provides a control mechanism for the protection of the
environment from smoke, dust and fumes. As in the case of other Acts
already described this legislation is enacted by a series of statutory
instruments which add detail to the provisions of the Act. Black smoke is
monitored by use of the Ringlemann chart.

Environment Act 1995

The Environment Agency (EA) and Scottish Environmental Protection Agency

(SEPA) now offers a single contact for business and is a move towards the
Government‘s aim of single permitting.
The Act invests Local Authorities with the duty to inspect their area to identify
any contaminated land therein, and to serve remediation notices if deemed
necessary.
The Act establishes a legal base for regulations on packaging recovery in
accordance with the EU‘s Packaging Directive 94/62/EC.
The Act further provides for national strategies for waste and air quality.

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Packaging Waste Regulations

The Producers Responsibility Obligations (Packaging Waste) Regulations, SI

2007/871 implement EC Directive 94/62/EC and are concerned with the
recovery and recycling of packaging waste. The legislation sets out roles of
individual companies, registered schemes and the regulator (EA/SEPA). The
intention is to ensure that the UK meets its national recovery and recycling
target of 70% by the year 2010. The regulation sets out six key packaging
activities in the packaging chain (as outlined on the slide opposite).

Recovery of packaging waste can be by recycling (i.e. reprocessed into a new

material), by converting into energy or into compost.

A person is classed as a producer of packaging if: they supply packaging

materials or products; they handled more than 50 tonnes of packaging or
packaging materials per annum; and their turnover was £2M or over in the
previous financial year.

The regulations implement recovery schemes for packaging waste which tend
to be run by private companies. Organisations that fall under the packaging
waste regulations will generally join these schemes in order to meet their
packaging waste obligation.

Waste Carriers

The Waste (England & Wales) Regulations 2011 introduce a two-tier

system for waste carrier, broker and dealer registration.

You need to register as an upper tier carrier or broker if you want to carry,
broker or deal in other people’s controlled waste, or if you carry your own
construction or demolition waste.

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Upper tier registration lasts for three years and requires a fee to register or
renew registration.

You need to register as a lower tier carrier if you only carry, broker or deal in
animal by- products, waste from mines/quarries, and waste from agricultural
premises. You also need to register as a lower tier carrier if you carry, broker
or deal in other people‘s waste and are a waste collection, disposal or
regulation authority or a charity or voluntary organisation. From the end of
December 2013 you will also need to register as a lower tier carrier if you
normally and regularly carry controlled waste produced by your own
business, other than construction or demolition waste.

Registration as a lower tier carrier, broker or dealer is currently free and lasts
indefinitely, unless your registration is revoked or withdrawn.

Special Waste Regulations

The Special Waste Regulations 1996 were made under Section 33 of the
Environmental Protection Act 1990. The regulations introduced a consignment
note procedure for Special Wastes. In England and Wales the Special Waste
Regulations have been repealed by the Hazardous Waste Regulations
2005.
Note: In Scotland the current Special Waste Amendment (Scotland)
Regulations 2004 are still in place and special waste has the same definition
as hazardous waste.
In Scotland SEPA must be notified before the disposal of all Special Waste by
the consignment note system. The system requires a 5 copy pad of
consignment notes. Waste producers and consignors must maintain a register
of notes for three years.

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Hazardous Waste Regulations 2005

The above regulation implement the European hazardous waste directive and
came into action on the 1st july 2005. The purpose of the regulations is to
provide an effective system of control for wastes, which are dangerous and
difficult to handle, to ensure they are soundly managed from their production to
their final destination for disposal or recovery.

Landfill Regulations

The Landfill (England and Wales) Regulations 2002 and the Landfill (Scotland)
Regulations 2003, as amended, implement the requirements of the 1999 EU
Landfill Directive and made significant change so the control regime for
operating a landfill site.

The Directive‘s overall objective is to prevent or reduce, as far as possible, the

negative effects of landfilling on the environment, as well as any resultant risk
to human health.

Under the regulations co-disposal of hazardous with other wastes is banned

(from 16 July 2004). Hazardous waste has to be pre- treated before it can be
landfilled (this requirement began on 16 July 2004).

Liquid wastes cannot be landfilled and waste with total organic content (TOC)
of more than 6% is no longer accepted for landfill.

Hazardous waste being landfilled will have to meet the general waste
acceptance criteria (WAC) set out in schedule 1 to the Landfill Regulations

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Climate Change Act 2008

The Climate Change Act 2008 received Royal Assent on 26 November 2008,
and established a framework for the UK to achieve its long- term goals of
reducing greenhouse gas emissions. It also created powers to introduce
national emissions trading schemes through secondary legislation, to develop
waste reduction schemes and to introduce minimum charges for single-use
carrier bags.

Key provisions are listed on the slide opposite and also include a requirement
that the government should ensure adequate protection for the environment
as the energy market changes.

The guidance on the way companies should report greenhouse gas emissions
is being co- ordinated by DEFRA.

Energy Act 2008

The Energy complements the Climate Change Act 2008 by addressing the
need to tackle climate change through the reduction of carbon
emissions.
It includes provisions which strengthen the regulatory framework by putting in
place new legislative measures to reflect the availability of new technologies,
such as carbon capture and storage, emerging renewable technologies and
smart meters; and to respond to changing requirements for security of supply
infrastructure, such as offshore gas storage.

Pollution Prevention and Control Regs 2000

The Pollution Prevention and Control Regulations came into force on 1st
August 2000. The regulations were amended in Scotland in 2005 and replaced
in England and Wales in 2007 (Also refer to later slides on the

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Environmental Permitting Regulations 2007 and 2010). They are made under
the Pollution Prevention and Control Act 1999 and implement the EC
Directive 96/61/EC on Integrated Pollution Prevention and Control (IPPC).
They establish a new regime for the control of industrial and all other
installations that have a considerable impact on the environment and shall
replace Part 1 of the Environmental Protection Act 1990. This regime is
commonly referred to as ―PPC‖.

Environmental Permitting Regulations 2007

The Environmental Permitting (England and Wales) Regulations 2007 (EPR)

came into force on 6th April 2008, apply to England and Wales only and
replace the previous provisions with regard to: Pollution Prevention and Control
Permits in the Pollution Prevention and Control (England and Wales)
Regulations 2000 and Waste Management Licenses as required under the
Waste Management Licensing Regulations. The EPR system also
encompasses the permits previously required for landfill, waste incineration
and the operation of large combustion plants.

Environmental permits are required for industrial and waste activities which
could harm human health and the environment unless they are controlled.
They apply to installations classed as either Part A(1), Part A(2) or Part B. Part
A(1) is more polluting compared to Part A(2) and Part A(2) more than Part B.

Schedule 1 sets out the activities which need to be controlled. Where an

activity falls under these Regulations, the operator must obtain a permit. Such
operations that meet the requirements of Schedule 2 and fall within a
description of the operations in Schedule 3 can be exempt and don‘t require a
permit.

A single site permit can be issued which authorises multiple sites under the
same Permit.

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Environmental Permitting Regulations 2010

The NEW Environmental Permitting (England and Wales) Regulations 2010

came into force on the 6th April 2010. They extend the current system of
environmental permits. The areas they now also cover are listed on the slide
opposite.

If you currently hold a water discharge consent, groundwater authorisation or

radioactive authorisation you will not have to re-apply. Your consent or
authorization will automatically become an environmental permit when the new
regulations come into force.

Exemptions for certain activities still apply

End of Life Vehicles Regulations 2003

The End of Life Vehicles (ELV) Regulations 2003 require producers of

vehicles to set up collection, treatment and disposal systems to make sure
that vehicles and their components in vehicles can be recovered, reused and
recycled at the end of their life.

The ELV (Producers Responsibility) Regulations 2005 content the

requirements for producers to register responsibility for vehicles placed on the
market and apply for approval of their vehicle collection system. They also
introduce reuse, recovery and recycling targets for end-of-life vehicles treated
at authorised treatment facilities.

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Control of Asbestos Regulations 2006

Bans the import, supply and new use of asbestos. Outlines employers‘ duties
to assess risks and limit employees‘ exposure.

These Regulations bring together the three previous sets of Regulations

covering the prohibition of asbestos, the control of asbestos at work and
asbestos licensing.

The duties under the Control of Asbestos Regulations 2006 are largely the
same as under the previous regulations, but there are some important
changes:
 There is a new, lower control limit (which no one must go over) of 0.1
fibres per millilitre of air measured over four hours.
 Work with textured coatings will, generally, not need to be
done by a licensed contractor. It will still need to be done safely by
trained, competent people working to certain standards.
 Employers need a licence to carry out work in their own premises with
their own workers if the work would otherwise require a licence.
 Suitable training required for anyone who is, or may be, exposed to
asbestos.

WEEE Regulations 2006 and Amends

The waste electrical and electronic equipment (WEEE) Regulations aim to:

 Reduce the amount of WEEE being produced and to encourage

everyone to reuse, recycle and recover it.
 Improve the environmental performance of businesses that
manufacture, supply, use, recycle and recover electrical and electronic
equipment.

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Reduce the amount of WEEE sent to landfill. Requires producers of electrical

and electronic equipment to register and cover the costs of collecting, treating,
recovering and disposing of equipment when it reaches the end of its life.

REACH Regulations 2007

REACH is a new European Union (EU) regulation concerning the Registration,

Evaluation, Authorisation and restriction of Chemicals. It came into force on

1st June 2007 and replaces a number of European Directives and Regulations
with a single system.

It applies to most chemical substances manufactured in, or imported into, the

EU in quantities of one tone or more per calendar year.

The European Chemicals Agency (ECHA) manage registration, evaluation,

authorisation and restriction processes for chemical substances across the
EU.

The UK REACH Competent Authority is hosted by the Health and Safety

Executive (HSE) and their responsibilities under this legislation include:
provision of advice to UK businesses on REACH; enforcing compliance; and
working with ECHA.

Environmental Damage (Prevention and Remediation) Regulations 2009

Environmental Damage (Prevention and Remediation) Regulations 2009

came into force in England on 1st March 2009 to implement the requirements
of the Environmental Liability Directive into UK law.
They aim to prevent environmental damage by imposing obligations on
operators of economic activities requiring them to prevent, limit or remediate
environmental damage. They apply to damage to protected species, natural
habitats, sites of special scientific interest (SSSIs), water and land.

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If the environmental damage is caused by an installation, waste operation or

mobile plant that requires a permit or registration under the Environmental
Permitting (England and Wales) Regulations 2010, then the enforcing authority
is either the Environment Agency (EA) or the local authority (LA), depending
who issued the permit or registration.

In other cases the enforcing authority will be the: Environment Agency (EA),
with regard to damage to water; local authority, with regard to damage to land;
Natural England, with regard to damage to protected species, natural habitats
and SSSIs; and the Secretary of State, with regard to damage in the
continental shelf or territorial seas.

Certain activities or incidents are exempt, for example oil pollution covered by
international convention and damage caused by radioactivity.

Batteries and Accumulators Regulations 2009

The Batteries and Accumulators Regulations 2008 came into force on 9th May
2009, implement the EU Battery Directive 2006 and regardless of their shape,
volume, weight, material compositions or use, and whether or not they are
incorporated into appliances.

New primary batteries are single use batteries and accumulators are more
commonly known as rechargeable batteries.

The regulations set out the requirements for waste battery collection,
treatment, recycling and disposal for all battery types including arrangements
by which the UK intends to meet waste portable battery separate collection
targets of 25% by 2012 and 45% by 2016.

The main groups affected by these regulations and the Batteries and
Accumulators (Placing on the Market) Regulations 2008 are those wishing to
put batteries in the UK market, battery distributors/retailers, waste battery
collectors, recyclers and exporters.

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OPERATIONAL PLANNING & CONTROL AND

EMERGENCY PREPAREDNESS

1. Operational control

The organization should ensure that its operations and associated processes
are conducted in a controlled way in order to fulfil the commitments of its
environmental policy, achieve its environmental objectives, and manage its
significant environmental aspects and its risk associated with threats and
opportunities. To plan for effective and efficient operational controls, an
organization should identify where such controls are needed and for what
purpose. It should establish the types and levels of controls that meet the
organization's needs. The operational controls selected should be maintained
and evaluated periodically for their continuing effectiveness.

When determining controls, or considering changes to existing controls,

consideration should be given to eliminating or reducing the risk associated
with adverse environmental impacts or other types of threats according to the
following hierarchy:

 elimination, such as banning the use of PCBs, CFCs, etc.

 substitution, such as change of solvent-based paint to water-based paint
 engineering controls, such as emission controls, abatement technology,
etc.
 administrative controls, such as procedures, visual controls, work
instructions, SDSs, etc.

To avoid deviations that can occur from the environmental policy,

environmental objectives and applicable compliance obligations, documented
information can be developed as appropriate, to explain, for example

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 a specific sequence of activities that needs to be carried out

 necessary qualifications of the personnel involved (including any
workmanship required)
 key variables that need to be kept within certain limits (such as time,
physical, biological)
 characteristics of the materials to be used
 characteristics of the infrastructure to be used
 characteristics of the products resulting from the process.

2. Identifying needs for operational controls

An organization can use operational controls to

 manage identified significant environmental aspects
 ensure conformity with compliance obligations
 achieve objectives and ensure consistency with its environmental policy,
including the commitment to protection of the environment and the
prevention of pollution and continual improvement
 avoid or minimize risk associated with threats to the environment or the
organization
 optimize opportunities

Based upon the scope of its environmental management system, an

organization should determine operational controls (see 6.1 and 6.2) for its
product development cycle and operations, including those related to functions
such as research and development, design; sales, marketing, purchasing, and
facility management.

The type and extent of control or influence to be applied during the product life
cycle should be defined within the environmental management system.

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An organization should consider how external providers and outsourced

processes can affect its ability to manage its environmental aspects and meet
its compliance obligations. An organization should establish operational
controls that are needed, such as documented procedures, contracts or
supplier agreements or end user instructions, and communicate them to its
contractors, suppliers and users as appropriate. An outsourced process can
be subject to control or influence and is one in which:

a) the function or process is integral to the organization's functioning;

b) the function or process is needed for the management system to achieve
its intended outcome;
c) the liability for the function or process conforming to requirements is
retained by the organization; and
d) the organization and the external provider have an integral relationship
e.g. one where the process is perceived by interested parties as being
carried out by the organization.

3. Establishing operational controls

Operational controls are a specified way of managing activities and can take
various forms, such as procedures, work instructions, physical controls, use of
competent personnel or any combination of these. The choice of the specific
control methods depends on a number of factors, such as the skills and
experience of people carrying out the operation and the complexity and
environmental significance of the operation itself. An organization can choose
to plan and establish processes to enhance its ability to implement controls in
a consistent manner (see 6.2.2).

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A common approach to establishing operational controls can include:

a) choosing a method of control

b) selecting acceptable operating criteria
c) establishing processes, as needed, that define how identified operations
are to be planned, carried out and controlled
d) documenting these processes, as needed, in the form of instructions,
signs, forms, videos, photos, etc.
e) applying technological options, such as automated systems, materials,
equipment and software

Operational controls can also include provisions for measurement and

monitoring and evaluation and for determining whether operating criteria are
being met.

Once operational controls have been established, an organization should

monitor the continuing application and effectiveness of these controls as well
as plan and take any action needed.

4. Emergency preparedness and response

In planning a response to an
emergency situation consideration
should be given to the initial
environmental impact that can result, and
any secondary impact that can occur as a
result of responding to the initial
environmental impact. For example, in
responding to a fire, the potential for
contaminated fire-water runoff should be
taken into account.

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In planning for emergency preparedness, potential consequences of abnormal

operating conditions and emergency situations and their mitigation should be
taken into account.

Emergency preparedness and response - Guidance

When identifying potential emergency situations special attention should be

paid to start-up and shutdown conditions and reasonably foreseeable
emergency conditions that can result from this.

This can include different types of situations, such as small scale spillages of
chemicals or failure of emission abatement equipment, and serious
environmental situations endangering humans and environment to a broad
extent. The organization should be prepared for each type of reasonable
foreseeable emergency situation.

Environmental emergencies include those that derive from external

environmental conditions, including events, e.g. flooding or from acts by other
organizations such as discharges to land or water combining with those from
another organization operating on the same site.

It is the responsibility of each organization to establish (an) emergency

preparedness and response procedure(s) that suits its own particular needs.
In establishing its procedure(s), the organization should include consideration
of

 actual and potential external environmental conditions, including natural

disasters
 the nature of on-site hazards, e.g. flammable liquid, storage tanks,
compressed gases and measures to be taken in the event of spillages or
accidental releases
 the most likely type and scale of an emergency situation or accident,

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 equipment and recourses needed

 the potential for (an) emergency situation(s) or accident(s) at a nearby
facility (e.g. plant, road, railway line)
 the most appropriate method(s) for responding to an accident or
emergency situation
 the actions required to minimize environmental damage
 emergency organization and responsibilities
 evacuation routes and assembly points
 a list of key personnel and aid agencies, including contact details, e.g.
fire department, spillage clean-up services
 the possibility of mutual assistance from neighbouring organizations,
 internal and external communication processes
 mitigation and response action(s) to be taken for different types of
accident or emergency situation(s)
 process(es) for a post-accident evaluation to establish and implement
corrective and preventive actions
 periodic testing of emergency response procedure(s)
 information on hazardous materials, including each material's potential
impact on the environment, and measures to be taken in the event of
accidental release
 training or competency requirements including those for emergency
response personnel and testing its effectiveness

Related Documents

1. Operational Planning and Control

2. Emergency Preparedness and response

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Auditor’s Approach

1. Has the organization established, implemented, controlled and maintained

the processes needed to meet the EMS requirements and implemented
the actions identified?
2. Has the organization established operating criteria for the processes?
3. Has the organization implemented control of the processes in accordance
with the operating criteria?
4. Does the controls include engineering controls and procedures?
5. Does the organization controls follow any hierarchy?
6. Does the organization control planned changes and review the
consequences of unintended changes, taking action to mitigate any
adverse effects?
7. Has the organization ensured outsourced processes are controlled or
influenced?
8. How the organization ensures the consistency with a life cycle
perspective?
9. Has the organization established controls as appropriate to the EMS
requirements?
10. Has the organization determined EMS requirements for the procurement
of products and services?
11. Has the organization communicated its relevant EMS requirements to
external providers (contractors)?
12. Has the organization considered the need to provide information about
potential significant environmental impacts associated with transportation
or delivery?
13. Has the organization considered use and end-of-life treatment and final
disposal of its products and services?
14. Does the organization maintain the documented information?
15. Has the organization established, implemented and maintained the
documented information to identify the potential for emergency situations?
16. When identifying potential emergency situations, does the organization
give consideration to emergencies that can occur both during normal

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operations and abnormal conditions (e.g. operation start‐up or shut‐ down,

construction or demolition activities)?
17. Has the organization established and implemented a documented
information to respond to emergency situations?
18. Does the emergency response documented information define the roles,
responsibilities and authorities of those with emergency response duties,
especially those with an assigned duty to provide an immediate
response?
19. Does the emergency response documented information set out details of
evacuation procedures?
20. Does the emergency response procedure set out information necessary
for undertaking the emergency response (e.g. plant layout drawings,
identification and location of emergency response equipment,
identification and location of hazardous materials, utility shut‐off locations,
contact information for emergency response providers)?
21. In planning its emergency response does the organization take account of
the requirements of emergency services agencies?
22. In planning its emergency response does the organization take account of
the needs of other relevant interested parties, e.g. family, neighbours,
local community, media?
23. Does the organization ensure that emergency response equipment is
inspected and/or tested at regular intervals?
24. Has the organization determined the training needed for personnel who
are assigned emergency response duties and does it ensure that this
training is received?
25. Do tests of the organization‘s documented information to respond to
emergency situations involve relevant interested parties, e.g. emergency
services and neighbours, as appropriate?
26. Does the organization periodically review and, where necessary, revise its
emergency preparedness and response procedure?

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POLLUTION MANAGEMENT

This chapter deals about various types of Pollution Management techniques.

Environmental Pollution:

It can be defined as any

undesirable change in physical,
chemical, or biological
characteristics of any component
of the environment i.e. air, water,
soil which can cause harmful
effects on various forms of life or
property.

Pollution: The term pollution can be defined as influence of any substance

causing nuisance, harmful effects, and uneasiness to the organisms.

Pollutant: Any substance causing Nuisance or harmful effects or uneasiness

to the organisms, then that particular substance may be called as the
pollutant.

Various Pollution Control methods we are going to deal in this chapter are

 Noise Management
 Air Pollution Management
 Water Pollution Management
 Solid Waste Management
 Hazardous Material Management

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Noise Management

1. What Is Noise Pollution?

The most common definition of noise is "unwanted
sound." A sound might be unwanted because it is:

 Loud
 Unpleasant or annoying
 Intrusive or distracting

The word "noise" descends from the Latin word "nausea," meaning
seasickness, or, more generally, any similar sensation of disgust, annoyance,
or discomfort.

Noise pollution refers to sounds in the

environment that are caused by
humans and that threaten the health or
welfare of human or animal inhabitants.

The most common source of noise

pollution by far, the one that affects the
most people on the planet is motor
vehicles. Aircraft and industrial machinery are also major sources. Additional
noise pollution is contributed by office machines, sirens, power tools, and
other equipment.

Noise pollution is not easy to measure, because the very definition of noise
depends on the context of the sound and the subjective effect it has on the
people hearing it. One person's idea of exultant, joyful music might be another
person's pure torment.

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Sound Measurement
The decibel (abbreviated dB) is the unit used to
measure the intensity of a sound. The decibel scale is
a little odd because the human ear is incredibly
sensitive. Your ears can hear everything from your
fingertip brushing lightly over your skin to a loud jet
engine. In terms of power, the sound of the jet engine
is about 1,000,000,000,000 times more powerful than the smallest audible
sound. That's a big difference!

On the decibel scale, the smallest audible sound (near total silence) is 0 dB.
A sound 10 times more powerful is 10 dB. A sound 100 times more powerful
than near total silence is 20 dB. A sound 1,000 times more powerful than near
total silence is 30 dB. Here are some common sounds and their decibel
ratings:

 Near total silence - 0 dB

 A whisper - 15 dB

 Normal conversation - 60 dB

 A lawnmower - 90 dB

 A car horn - 110 dB

 A rock concert or a jet engine - 120 dB

 A gunshot or firecracker - 140 dB

You know from your own experience that distance affects the intensity of
sound -- if you are far away, the power is greatly diminished. All of the ratings
above are taken while standing near the sound.

Any sound above 85 dB can cause hearing loss, and the loss is related both
to the power of the sound as well as the length of exposure. You know that
you are listening to an 85-dB sound if you have to raise your voice to be heard
by somebody else. Eight hours of 90-dB sound can cause damage to your
ears; any exposure to 140-dB sound causes immediate damage (and causes
actual pain).

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2. Sources of Noise Pollution:

Some Major Sources of noise pollution are

 Industrial Sources
 Transport Vehicles
 Household
 Public Address System
 Agricultural Machines
 Defence Equipment
 Miscellaneous Sources

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Industrial Sources:

Textile Mills, Printing Presses, Engineering establishments and metal works

etc. contribute heavily towards noise pollution.

Transport Vehicles:

Automobile revolution in urban centers has

proved to be a big source of noise pollution.
Increasing traffic has given rise to traffic
jams in congested areas where the repeated
hooting of horns by impatient drivers pierce
the ears of all road users.

Household:

The household is an industry in itself and is a source of many indoor noises

such as the banging of doors, noise of playing children, crying of infants,
moving of furniture, loud conversation of the inhabitants etc. Besides these
are the entertainment equipment in the house, namely the radio, record-
players and television sets. Domestic gadgets like the mixer-grinders,
pressure cookers, desert coolers, air- conditioners, exhaust fans, vacuum
cleaners, sewing and washing machines are all indoor sources of noise
pollution.

Public Address System:

In India people need only the slightest of an excuse for using loud speakers.
The reason may be a religious function, birth, death, marriage, elections,
demonstration, or just commercial advertising. Public system, therefore,
contributes in its own way towards noise pollution.

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Agricultural Machines:

Tractors, thrashers, harvesters, tube wells, powered tillers etc. have all made
agriculture highly mechanical but at the same time highly noisy.

Defence Equipment:

A lot of noise pollution is added to the atmosphere by artillery, tanks,

launching of rockets, explosions, exercising of military airplanes and shooting
practices.

Miscellaneous Sources:

The automobile repair shops, construction-works, blasting, bulldozing, stone

crushing etc. are other sources of noise pollution.

3. Effects of Noise Pollution:

 Hearing Problems
 Health Issues
 Sleeping Disorders
 Cardiovascular Issues
 Trouble Communicating
 Effect on Wildlife

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Noise Management Strategy

4. Methods to reduce noise Pollution:

(1) Control at Receiver’s End:

For people working in noisy installations, ear-protection aids like ear-plugs,
ear-muffs, noise helmets, headphones etc. must be provided to reduce
occupational exposure.

(2) Suppression of Noise at Source:

This is possible if working methods are improved by:
a. Designing, fabricating and using quieter machines to replace the noisy
ones.
b. Proper lubrication and better maintenance of machines.
c. Installing noisy machines in sound proof chambers.
d. Covering noise-producing machine parts with sound-absorbing materials
to check noise production.

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e. Reducing the noise produced from a vibrating machine by vibration

damping i.e. making a layer of damping material (rubber, neoprene, cork
or plastic) beneath the machine.
f. Using silencers to control noise from automobiles, ducts, exhausts etc.
and convey systems with ends opening into the atmosphere.
g. Using glass wool or mineral wool covered with a sheet of perforated
metal for the purpose of mechanical protection.

(3) Acoustic Zoning:

Increased distance between source and receiver by zoning of noisy industrial
areas, bus terminals and railway stations, aerodromes etc. away from the
residential areas would go a long way in minimizing noise pollution. There
should be silence zones near the residential areas, educational institutions
and above all, near hospitals.

(4) Sound Insulation at Construction Stages:

a. Sound travels through the cracks that get left between the door and the
wall. For reducing noise, this space (jamb frame gap) should be packed
with sound absorbing material.
b. Sound insulation can be done by constructing windows with double or
triple panes of glass and filling the gaps with sound absorbing materials.
c. Acoustical tiles, hair felt, perforated plywood etc. can be fixed on walls,
ceilings, floors etc. to reduce noise (especially for sound proof recording
rooms etc.)

(5) Planting of Trees:

Planting green trees and shrubs along roads, hospitals, educational
institutions etc. help in noise reduction to a considerable extent.

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(6) Legislative Measures:

Strict legislative measures need to be enforced to curb the menace of
noise pollution. Some of these measures could be:
a. Minimum use of loudspeakers and amplifiers especially near silence
zones.
b. Banning pressure horns in automobiles.
c. Framing a separate Noise Pollution Act.

Noise reducing in Machines and Structures

Vibration Control:

Most noise sources (except for aerodynamic noise) are associated with
vibrating surfaces. Hence the control of vibration is an important part of any
noise control programme. Vibration control can be achieved by isolation,
damping and by avoiding resonance in structures and machine parts.

Vibration Isolation:

High noise can result because of vibration transmission from a source to

some structure which is a better noise radiator than the source itself. Hence
vibration isolation is an important consideration while designing machines and
their mountings.

Machine Foot Isolation

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Vibration Damping

Noise characteristics of structures are determined by mass, stiffness and

damping. The increased damping results in faster decay of unforced
vibrations and reduced amplitude at resonance of structures subject to steady
excitations. It is possible to introduce additional damping to a structure by
means of damping layers of viscoelastic material.

Damping Thin Plates

Avoiding Resonances

Natural frequencies of the structures should be estimated at the design stage

and, if required, the structure should be stiffened so that the natural
frequencies of the structure are usually increased above the frequency of the
excitation forces.

Barriers

Barriers can be designed between noise sources and receivers to avoid

noise.

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Enclosures

It is commonly used form of noise control at the workplace. It is also possible

to incorporate enclosures into the design for machines or their parts to reduce
noise.

Acoustical Materials

Acoustic materials will absorb sound, reflect sound, or dampen vibrations.

Quieter plastics should be used in place of metal components. Acoustic
materials usually convert some of the sound energy which strikes them into
thermal energy.

Noise reducing Designs

a) Centrifugal Fan Installation

b) Axial Fan Installations

c) Quiet Nozzles

Entraining Nozzles

 C10db Quieter for the same thrust

 Use C 20% less air than conventional nozzles
 Pay for themselves very quickly
 Intrinsically ―safe‖ (end cannot be blocked)

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d) Filler Cooling Pipes Problem

 94dB(A) from cooling pipes for sealed tube
ends - rapid cooling a necessity

Conventional Solution
enclosure - high cost with hygiene and productivity issues

e) Pneumatic Silencers
Problems
 clogging / back-pressure
 number of different types
 left off after maintenance
 insufficient attenuation
Solutions
 straight-through silencers - zero back-pressure
 standardise on 3 sizes

f) Machining Castings
Untreated
• 104dB(A); highly tonal

Treated
• 88dB(A); tones -32dB
• 30% reduction in cycle time
• improved tool life

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Noise Pollution – Template

ID Activity/Product/Service Impact Date Time Reading Control Sign

dB(A) Device

Air Pollution Management

1. What is Air Pollution?
Air pollution is the introduction of particulates, biological molecules, or other
harmful materials into Earth's atmosphere, causing disease, death to humans,
damage to other living organisms such as food crops, or the natural or built
environment. Air pollution may come from anthropogenic or natural sources.

2. Sources of Air Pollution:

Air Pollutants

Primary air pollutants - Materials that when released pose health risks in
their unmodified forms or those emitted directly from identifiable sources.

Secondary air pollutants - Primary pollutants interact with one another,

sunlight, or natural gases to produce new, harmful compounds

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Primary Air Pollutants

Five major materials released directly into the atmosphere in unmodified

forms.
- Carbon monoxide
- Sulfur dioxide
- Nitrogen oxides
- Hydrocarbons
- Particulate matter

Carbon monoxide

 Produced by burning of organic material (coal, gas, wood, trash, etc.)

 Automobiles biggest source (80%)
 Cigarette smoke another major source
 Toxic because binds to hemoglobin, reduces oxygen in blood

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Sulfur dioxide

 Produced by burning sulfur containing fossil fuels (coal, oil)

 Coal-burning power plants major source
 Reacts in atmosphere to produce acids
 One of the major components of acid rain

Nitrogen Oxides

 Produced from burning of fossil fuels

 Contributes to acid rain, smog
 Automobile engine main source

Hydrocarbons

 Hydrocarbons - organic compounds with hydrogen, carbon

 From incomplete burning or evaporated from fuel supplies
 Major source is automobiles, but some from industry

Particulates

 Particulates - small pieces of solid materials and liquid droplets (2.5 mm

and 10 mm)
 Examples: ash from fires, asbestos from brakes and insulation, dust
 Easily noticed: e.g. smokestacks
 Can accumulate in lungs and interfere with the ability of lungs to
exchange gases.

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Secondary Pollutants

 Ozone
 PAN (peroxy acetyl nitrate)
 Photochemical smog
 Aerosols and mists (H2SO4)

Ozone

 Ozone (O3) is a highly reactive gas composed of three oxygen atoms.

 Tropospheric ozone – what we breathe -- is formed primarily from
photochemical reactions between two major classes of air pollutants,
volatile organic compounds (VOC) and nitrogen oxides (NOX).

PAN

 Smog is caused by the interaction of some hydrocarbons and oxidants

under the influence of sunlight giving rise to dangerous peroxy
acetylnitrate(PAN).

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Photochemical Smog
 Photochemical smog is a mixture of pollutants which includes
particulates, nitrogen oxides, ozone, aldehydes, peroxyethanoyl nitrate
(PAN), unreacted hydrocarbons, etc. The smog often has a brown haze
due to the presence of nitrogen dioxide. It causes painful eyes.

Aerosols and mists (H2SO4)

 Aerosols and mists are very fine liquid droplets that cannot be
effectively removed using traditional packed scrubbers. These droplets
can be formed from gas phase hydrolysis of halogenated acids (HCl,
HF, HBr), metal halides, organohalides, sulfur trioxide (SO3), and
phosphorous pentoxide (P2O5).

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3. Effects of Air Pollution

Human Health Effects

 Exposure to air pollution is associated

with numerous effects on human
health, including pulmonary, cardiac,
vascular, and neurological
impairments.
 The health effects vary greatly from
person to person. High-risk groups
such as the elderly, infants, pregnant
women, and sufferers from chronic
heart and lung diseases are more
susceptible to air pollution.
 Children are at greater risk because they are generally more active
outdoors and their lungs are still developing.
 Exposure to air pollution can cause both acute (short-term) and chronic
(long-term) health effects.
 Acute effects are usually immediate and often reversible when exposure to
the pollutant ends. Some acute health effects include eye irritation,
headaches, and nausea.
 Chronic effects are usually not immediate and tend not to be reversible
when exposure to the pollutant ends. - Some chronic health effects include
decreased lung capacity and lung cancer resulting from long-term
exposure to toxic air pollutants.

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Effects on Human respiratory System

 Both gaseous and particulate air

pollutants can have negative effects
on the lungs.
 Solid particles can settle on the
walls of the trachea, bronchi, and
bronchioles.
 Continuous breathing of polluted air
can slow the normal cleansing
action of the lungs and result in
more particles reaching the lower portions of the lung.
 Damage to the lungs from air pollution can inhibit this process and
contribute to the occurrence of respiratory diseases such as bronchitis,
emphysema, and cancer.

Schematic drawing, causes and

effects of air pollution: (1) greenhouse
effect, (2) particulate contamination, (3)
increased UV radiation, (4) acid rain, (5)
increased ground level ozone
concentration, (6) increased levels of
nitrogen oxides.

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Acid Rain:

Acid Rain is the result of the emissions of sulfate and nitrates into the
atmosphere from the burning coal to produce electricity and deposited to the
earths surfaces as an acid. The debate goes on today if acid rain is the major
cause of the fish to disappear in the lakes and streams in the Adirondack
region.

Ozone Depletion

The Ozone layer is a thin layer in the atmosphere made up of oxygen atoms
(03) that absorb harmful ultraviolet radiation (UV-B) from reaching the earth‘s
surface. The ozone is being depleted by chemicals released into the
atmosphere like chlorofluorocarbons (CFCs), carbon tetraflouride, methyl
chloroforms, chlorofluoromethanes (aerosol repellents and as refrigerants).
The problem is when CFC's reach the ozone layer, it is broken down by the
UV -B rays and it is these free chlorine atoms that do the damage to the
ozone. One free chlorine atom will destroy 100,000 ozone molecules before it
dies off.

Global Warming:

Global warming is the result of the

troposphere trapping heat causing a
greenhouse effect. Studies have shown that
the rise in CO2 has a direct relationship with
temperatures rising on earth. CO2 and other
greenhouse gas is produced by, burning of
fossil fuels (coal, oil), transportation,
deforestation practices, agricultural practices
(cattle and rice farming).

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4. Methods to reduce Air Pollution

Principles of Controls, Source Control

Source Control Technology

 Air quality management sets the tools to control air pollutant emissions.
 Control measurements describe the equipment, processes or actions
used to reduce air pollution.
 The extent of pollution reduction varies among technologies and
measures.
 The selection of control technologies depends on environmental,
engineering, economic factors and pollutant type.

Settling Chambers

 Settling chambers use the force of gravity to remove solid particles.

 The gas stream enters a chamber where the velocity of the gas is
reduced. Large particles drop out of the gas and are recollected in
hoppers. Because settling chambers are effective in removing only
larger particles, they are used in conjunction with a more efficient
control device.

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Cyclones

 The general principle of inertia

separation is that the particulate-
laden gas is forced to change
direction. As gas changes direction,
the inertia of the particles causes
them to continue in the original
direction and be separated from the
gas stream.
 The walls of the cyclone narrow toward the bottom of the unit, allowing
the particles to be collected in a hopper.
 The cleaner air leaves the cyclone through the top of the chamber,
flowing upward in a spiral vortex, formed within a downward moving
spiral.
 Cyclones are efficient in removing large particles but are not as
efficient with smaller particles. For this reason, they are used with other
particulate control devices.

Electrostatic Precipitators (ESPs)

1. An ESP is a particle control device that uses electrical forces to move

the particles out of the flowing gas stream and onto collector plates.
2. The ESP places electrical charges on the particles, causing them to be
attracted to oppositely charged metal plates located in the precipitator.
3. The particles are removed from the plates by "rapping" and collected in a
hopper located below the unit.
4. The removal efficiencies for ESPs are highly variable; however, for very
small particles alone, the removal efficiency is about 99 percent.
5. Electrostatic precipitators are not only used in utility applications but also
other industries (for other exhaust gas particles) such as cement (dust),
pulp & paper (salt cake & lime dust), petrochemicals (sulfuric acid mist),
and steel (dust & fumes).

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Change in Fuel:

This technique involves the use of less polluting fuel to reduce air pollution.
Use of low sulfur fuel instead of high sulfur fuel by electric utilities is an
example of this method.

Control of gaseous pollutants from stationary sources

The most common method for controlling gaseous pollutants is the addition of
add-on control devices to recover or destroy a pollutant.
There are four commonly used control technologies for gaseous pollutants:
- Absorption
- Adsorption,
- Condensation
- Incineration (combustion)

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Absorption

 The removal of one or more selected components from a gas mixture by

absorption is probably the most important operation in the control of
gaseous pollutant emissions.
 Absorption is a process in which a gaseous pollutant is dissolved in a
liquid.
 As the gas stream passes through the liquid, the liquid absorbs the gas,
in much the same way that sugar is absorbed in a glass of water when
stirred.
 Absorbers are often referred to as scrubbers, and there are various
types of absorption equipment.
 The principal types of gas absorption equipment include spray towers,
packed columns, spray chambers, and venture scrubbers.
 In general, absorbers can achieve removal efficiencies greater than 95
percent. One potential problem with absorption is the generation of
waste-water, which converts an air pollution problem to a water pollution
problem

Adsorption

 When a gas or vapor is brought into contact with a solid, part of it is

taken up by the solid. The molecules that disappear from the gas either
enter the inside of the solid, or remain on the outside attached to the
surface. The former phenomenon is termed absorption (or dissolution)
and the latter adsorption.
 The most common industrial adsorbents are activated carbon, silica gel,
and alumina, because they have enormous surface areas per unit
weight.
 Activated carbon is the universal standard for purification and removal of
trace organic contaminants from liquid and vapor streams.
 Carbon adsorption systems are either regenerative or non-regenerative.

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- Regenerative system usually contains more than one carbon bed. As

one bed actively removes pollutants, another bed is being
regenerated for future use.
- Non-regenerative systems have thinner beds of activated carbon. In a
non-regenerative adsorber, the spent carbon is disposed of when it
becomes saturated with the pollutant.

Condensation

 Condensation is the process of converting a gas or vapor to liquid. Any

gas can be reduced to a liquid by lowering its temperature and/or
increasing its pressure.
 Condensers are typically used as pretreatment devices. They can be
used ahead of absorbers, absorbers, and incinerators to reduce the total
gas volume to be treated by more expensive control equipment.
Condensers used for pollution control are contact condensers and
surface condensers.
 In a contact condenser, the gas comes into contact with cold liquid.
 In a surface condenser, the gas contacts a cooled surface in which
cooled liquid or gas is circulated, such as the outside of the tube.
 Removal efficiencies of condensers typically range from 50 percent to
more than 95 percent, depending on design and applications.

Incineration

 Incineration, also known as combustion, is most used to control the

emissions of organic compounds from process industries.
 This control technique refers to the rapid oxidation of a substance
through the combination of oxygen with a combustible material in the
presence of heat.
 When combustion is complete, the gaseous stream is converted to
carbon dioxide and water vapor.
 Equipment used to control waste gases by combustion can be divided in
three categories:
- Direct combustion or flaring,

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- Thermal incineration and

- Catalytic incineration.

5. Air Pollution – Template

Item Name of the Contaminant Unit of Concentration Period of Additional

Contaminant Code Concentration Time Notes

Solid Waste Management

1. What is Solid Waste Management?

Solid waste management is a polite term for garbage management. As long

as humans have been living in settled communities, solid waste, or garbage,
has been an issue, and modern societies generate far more solid waste than
early humans ever did. Daily life in industrialized nations can generate several
pounds (kilograms) of solid waste per consumer, not only directly in the home,
but indirectly in factories that manufacture goods purchased by consumers.
Solid waste management is a system for handling all of this garbage, and
includes municipal waste collection, recycling programs, dumps, and
incinerators.

Routes of Exposure to Hazards Caused by the Mismanagement of Solid

Waste

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2. Sources and types of Solid waste:

 Households Domestic Waste

 Commercial Establishments Commercial Waste
 Institutions Institutional Waste
 Industries Industrial Waste
 Open Space defecation Sanitation Residues
 Municipal Cleaning Service Municipal Cleaning Waste
 Agriculture Agricultural Waste
 Construction/ Demolition Construction Waste

Classification of Solid Wastes

Type Description Sources
Garbage Food Waste: Wastes from the Households,
preparation, cooking and serving Institutions and
of food. Market refuse, waste commercial
from the handling, storage and concerns such as
sale of produce and meat hotels, stores,
restaurants, markets
Combustible and Combustible – (Primary etc.
non-combustible Organic) Paper, Cardboard,
Cartons, Wood, boxes, plastic,
rags, cloth, bedding, leather,
rubber, grass, leaves, yard
trimmings etc.

Non Combustible –
(Primary Inorganic) metals, tin,
cans, glass, bottles, Crockery,
Stones etc.

Ashes Residue from fires used for

cooking and for heating
building cinders
Bulky Wastes Large auto parts, tyres, Streets,
stoves, refrigerators, other Sidewalks, alleys,
large appliances, furniture, Vacant lots, etc.
large crates, trees,
branches, stumps etc
Street Wastes Street Sweepings dirt, leaves, etc.
Dead Animals Dogs, Cats, rats, donkeys etc.

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Abandoned vehicles Automobiles and Spare parts

Construction Roofing, and sheathing Construction

and demolition wastes scraps, rubble, broken and Demolition Sites
concrete, plaster, conduit pipe,
wire, insulation, etc.
Industrial Wastes Solid Wastes resulting from Factories, Power
industry processes and Plants, etc.
manufacturing operations such
as food processing wastes,
boiler house cinders, wood,
plastic and metal scraps,
shavings etc.
Hazardous Wastes Pathological Wastes, Households,
explosives, radioactive materials hospitals, institutions,
etc. stores, industry etc

Animal and Manure, Crop residues etc. Livestock, farms,

Agricultural Wastes feedlots and
agriculture
Sewage treatment Coarse screening grit, septic Sewage treatment
residue tank sludge, dewatered sludge. plants and septic
tanks.

3. Effects of Solid Waste Pollution

 Contaminates water and air, resulting into diseases and dysentery in

Human beings.
 Mosquitoes breed in the stagnant water, blocked due to waste choked
in the drains.
 Decomposition of solid waste spreads obnoxious odor in the air, thus
polluting it.
 Burning of waste, especially plastic adds up obnoxious fumes in the air.
 Garbage dumps and decomposed waste helps many harmful species
to breed in them.
 The infected water supply also leads to large scale epidemics.

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Waste Hierarchy

• Eliminate (Do not produce the waste in the first place)

• Minimize/Reduce,(Produce less of the waste)
• Reuse (Use again in the same form)
• Recycle (Process material and use again in a different form)
• Recovery (Incineration with energy recovery)
• Disposal (Landfill, preferably with methane capture)

Functional Elements of Solid Waste Management System

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4. Methods to reduce Solid Waste Pollution

Waste minimization means the feasible reduction of hazardous waste that is

generated prior to treatment, storage and disposal. It is defined as any source
reduction or recycling activity that results in the reduction of the total volume
of hazardous waste, or toxicity of hazardous waste, or both. Practices that are
considered in waste minimization include recycling, source separation,
product substitution, manufacturing process changes and the use of less toxic
raw materials.

(i) Management support and employee participation: A clear

commitment by management (through policy, communications and
resources) for waste minimization and pollution prevention is essential
to earn the dedication of all employees. For this to happen, a formal
policy statement must be drafted and adopted.
(ii) Training: As with any activity, it is important for management to train
employees so that they will have an understanding of what is
expected of them and why they are being asked to change the way
things are done. Employees must be provided with formal and on-the-
job training to increase awareness of operating practices that reduce
both solid and hazardous waste generation.

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(iii) Waste audits: A programme of waste audits at the departmental level

will provide a systematic and periodic survey of the industries
designed to identify areas of potential waste reduction. The audit
programme includes the identification of hazardous wastes and their
sources, prioritization of various waste reduction actions to be
undertaken.

(iv) Good operating practices: These practices involve the procedural or

organizational aspects of industry, research or teaching activities and,
in some areas, changes in operating practices, in order to reduce the
amount of waste generated..

(v) Material substitution practices: The purpose of these practices is to

find substitute materials, which are less hazardous than those
currently utilized and which result in the generation of waste in smaller
quantities and/or of less toxicity.

(vi) Technological modification practices: These practices should be

oriented towards process and equipment modifications to reduce
waste generation. These can range from changes that can be
implemented in a matter of days at low cost to the replacement of
process equipment involving large capital expenditures.

(vii) Recycling options: These options are characterized as use/reuse

and resource recovery techniques. Use and reuse practices involve
the return of a waste material either to the originating process or to
another process as a substitute for an input material. Reclamation
practices tender a waste to another company.

(viii) Surplus chemical waste exchange options: Inter-and-intra-

department chemical exchange is to be implemented and encouraged
by employers/employees. Material exchanges not only reduce wastes
but also save money – both are important considerations, during
times of fiscal crisis.

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5. Solid Waste - Format

Total Quantity (Kg)
During the During the
previous current financial
Financial Year year
a) From Process
b) From Pollution Control Facility
c) Quantity recycled or re-utilized
within the unit
Sold
Disposed

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WATER POLLUTION MANAGEMENT

1. What is Water Pollution?

Most of Water Pollution is man-made.

It may also occur naturally by addition
of soil particles through erosion,
animal wastes and leaching of
minerals from rocks.

2. Sources of Water Pollution

The major source of water pollution is the waste water discharged from
industries and commercial bodies. These industries are chemical,
metallurgical, food processing industries, textile and paper industries. They
discharge several organic (oils, fats, phenols, organic acids, grease etc.) and
inorganic pollutants (fine particles of different metals, chlorides, sulphates,
oxides of iron, cadmium, acids and alkalis etc.) that proves highly toxic to
living beings.

1. Chemical fertilizers and pesticides have become essential for present

day high yielding crops. Consequently, they have become a potential
source of water pollution. These fertilizers contain nitrogen,
phosphorous and potassium which on excess may reach the ground
water by leaching or may be mixed with surface water of rivers, lakes
and ponds by runoff and drainage.
2. The Power generating plants use water as coolants and release hot
water into the original source. Sudden raise in temperature kills fish
and other aquatic animals.
3. Washing clothes near lakes and rivers causes detergents also causes
a condition called ―Eutrophication‖ which blocks sunlight from
entering inside and reduces oxygen values in the water causing an
inhabitable environment.
4. ‗Oil Spills‘ are caused when giant oil tankers and oil rigs which are
present in the oceans are damaged by either natural or human errors

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cause a long-time damage to the ocean as oil is lighter than water and
floats on water forming a layer blocking sunlight.
5. Certain natural disasters like flash floods and hurricanes cause the
intermixing of water with harmful substances on the land.

Types of water pollution

1. Pollution by Point Sources: Contamination of water bodies by

substances released from a single, identifiable source such as a pipe-
Most common example is the industrial pollution where a lot many
harmful substances are released into water bodies.

2. Pollution by nonPoint Sources: Contamination of water bodies by

substances that do not come from a discrete, specified source.

Fig: Technological approach for Water Pollution Treatment

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3. Effects of Water Pollution:

 Groundwater contamination from pesticides causes reproductive
damage within wildlife in ecosystems.
 Sewage, fertilizer, and agricultural run-off contain organic materials that
when discharged into waters, increase the growth of algae, which
causes the depletion of oxygen. The low oxygen levels are not able to
support most indigenous organisms in the area and therefore upset the
natural ecological balance in rivers and lakes.
 Swimming in and drinking contaminated water causes skin rashes and
health problems like cancer, reproductive problems, typhoid fever and
stomach sickness in humans. Which is why it‘s very important to make
sure that your water is clean and safe to drink.
 Industrial chemicals and agricultural pesticides that end up in aquatic
environments can accumulate in fish that are later eaten by humans.
Fish are easily poisoned with metals that are also later consumed by
humans. Mercury is particularly poisonous to small children and women.
Mercury has been found to interfere with the development of the nervous
system in fetuses and young children.
 Ecosystems are destroyed by the rising temperature in the water, as
coral reefs are affected by the bleaching effect due to warmer
temperatures.
 Human-produced litter of items such as plastic bags and 6-pack rings
can get aquatic animals caught and killed from suffocation.
 Water pollution causes flooding due to the accumulation of solid waste
and soil erosion in streams and rivers.
 Oil spills in the water causes animal to die when they ingest it or
encounter it. Oil does not dissolve in water so it causes suffocation in
fish and birds.

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4. Methods to reduce Water Pollution:

Some Physical, Chemical and biological Waste water Treatment Methods.

Physical Method: Physical treatment process include gravity separation,

phase change system such as Air steam stripping of volatile from liquid
waste, adsorption, reverse osmosis, ion exchange , electro dialysis.

Chemical Method: Chemical methods usually aimed at transforming the

hazardous waste into less hazardous substances using techniques such as
PH neutralization, oxidation or reduction and precipitation.

Biological Method: Biological treatment method used micro organisms to

degrade organic pollutant in the waste stream.

Thermal methods: Thermal destruction process that are commonly used

include incineration and pyrolysis incineration is becoming more preferred
option in pyrolysis the waste material is heated in the absence of oxygen to
bring about chemical decomposition.

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Fixation/immobilization/stabilization techniques involved the dewatering

the waste and solidifying the remaining material by mixing it with stabilizing
agent such as Portland cement or pozzolanic material, or vitrifying it to create
a glassy substance. For hazardous inorganic sledges, solidification process is
used

Physical Chemical Biological

Sedimentation  Chlorination  Activated Sludge
Treatment Methods
Screening Ozonation Trickling Filtration
Aeration Neutralization Oxidation Ponds
Filtration Coagulation Lagoons
 Flotation and Skimming Adsorption Aerobic Digestion
 Degassification Ion Exchange Anaerobic Digest
 Equalization Septic Tanks
 Lagoons

Screening: Removes larger entrained objects and sedimentation.

Sedimentation: Separating solids from liquids in large tanks. Many solids and
oil / fats, can be encourage to float to the top and are scraped off. Other solids
settle to the bottom.
Aeration: It is the process by which air is circulated through, mixed with or
dissolved in a liquid or substance.
Skimming: The act of removing floating material from the surface of a liquid.

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5. Water Pollution: Template

Report of Analysis of Treated Effluent showing performance of treatment plant

for the month of _______________________

Sample Collected on __________________

Sample tested on ____________________

By the laboratories ___________________

Dates on which
Maximum Concentration There was
On which
Sl. Polluting Permissible of range of break
under
No Parameters limits or parameters as down or
performance
ranges per report failure of
was noticed
the plant

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HAZARDOUS MATERIAL MANAGEMENT

1. What is meant by Hazardous Material Pollution?

Material that, when improperly handled, can cause substantial harm to human
health and safety or to the environment. Hazardous wastes can take the form
of solids, liquids, sludges, or contained gases, and they are generated
primarily by chemical production, manufacturing, and other industrial
activities. They may cause damage during inadequate storage, transportation,
treatment, or disposal operations. Improper hazardous-waste storage or
disposal frequently contaminates surface and groundwater supplies. People
living in homes built near old and abandoned waste disposal sites may be in a
particularly vulnerable position. In an effort to remedy existing problems and
to prevent future harm from hazardous wastes, governments closely regulate
the practice of hazardous-waste management.

2. Source of Hazardous Materials:

Waste Category Sources

Biomedical research facilities, colleges and university
Radioactive substances laboratories, offices, hospitals, nuclear power plants,
etc.
Agricultural chemical companies, battery shops, car
washes, chemical shops, college and university
laboratories, construction companies, electric
utilities, hospitals and clinics, industrial cooling
Toxic chemicals
towers, newspaper and photographic solutions,
nuclear power plants, pest control agencies,
photographic processing facilities, plating shops,
service stations, etc.
Biomedical research facilities, drug, Companies,
Biological wastes
hospitals, medical clinics etc.
Dry cleaners, petroleum reclamation plants,
Flammable wastes petroleum refining and processing facilities, service
stations, tanker truck cleaning stations, etc
Construction companies, dry cleaners, ammunition
Explosives
production facilities, etc.

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3. Effects of Hazardous Materials:

Hazardous materials in various forms can cause death, serious injury, long-
lasting health effects, and damage to buildings, homes, and other property.

 It is harmful to humans, plants and animals.

 Hazardous waste exposure can potentially destroy an entire ecosystem.
 It mixes with landfills and sits for years or even generations and
contaminates the surrounding environment.
 It emits gases that are both foul-smelling and toxic.
 When hazardous wastes are released in the air, water, or on the land
they can spread, contaminating even more of the environment and
posing greater threats to our health. For example, when rain falls on soil
at a waste site, it can carry hazardous waste deeper into the ground and
the underlying groundwater.
 Exposures can be either acute or chronic.
 Acute Exposure: It is a single exposure to a hazardous substance
for a short time. Health symptoms may appear immediately after
exposure; for example, the death of a fly when covered with bug
spray or a burn on your arm when exposed to a strong acid such
as from a leaking battery.
 Chronic Exposure: It occurs over a much longer period of time,
usually with repeated exposures in smaller amounts. For example,
people who lived near a leaking hazardous waste dump did not
notice the health effects of their chronic exposure for several years.
Chronic health effects are typically illnesses or injuries that take a
long time to develop, such as cancer, liver failure, or slowed growth
and development.

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4. Methods to reduce Hazard Material Pollution:

Waste Category Collection Equipment and accessories
Radioactive substances Various types of trucks and railroad
equipment depending on characteristics of
wastes; special marking to show safety
hazard; heavy loading equipment to handle
concrete-encased lead Containers
Toxic chemicals Flatbed trucks for wastes stored in drums;
tractor-trailer tank truck combination for
large volumes of wastes; railroad tank cars;
special interior linings such as glass,
fibreglass or rubber.
Biological wastes Standard packers’ collection truck with some
special precautions to prevent contact
between wastes and the collector; flatbed
trucks for wastes stored in drums.
Flammable wastes Same as those for toxic chemicals, with
special colourings and safety warning printed
on vehicles
Explosives Same as those for toxic chemicals with some
restriction on transport routes, especially
through residential areas.

Requirements for Establishing Hazardous Materials Storage Areas

 Before starting a project involving the construction of hazardous material

storage areas, approval must be obtained from the Abu Dhabi General
Directorate of Civil Defense. Construction activities must be based on
the specifications, requirements, and standards set forth by the
Directorate.
 The location of the storage area must be selected based on the
necessary conditions and standards and on the type and quantity of
materials to be stored.
 Storage areas must be designed so employees and others can easily
enter and exit the area without any difficulties, especially during
emergency situations or other occupational safety incidents.
 The capacity of a storage area must be able to accommodate the
different hazardous materials stored there.

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 Storage areas must be properly ventilated, dry, and temperature

controlled and must not be exposed to direct sunlight. These areas must
be located far away from direct flames or other heat sources (e.g.,
boilers, ovens) that may exist at a facility.
 There must be enough light in the storage area so employees and others
can see the hazardous materials, detect any issues, and read the hazard
warning labels.
 To reduce the chances of exposure and possibly fire spreading to other
buildings and facilities at the site, a storage area must be isolated from
these structures.
 The floor of the storage area must be made of non-absorbent and
impermeable materials. The floor must be free of cracks and not be
slippery.
 Once a storage area has been designated for a particular hazardous
material or hazardous class, only that substance may be stored in the
designated store.
 Storage areas must be fenced to help prevent any unauthorized access.
Only approved personnel must have access to the storage area.
Hazardous materials must be properly stored away from the fence.

Requirements for Signage, Equipment, Training, and Related Items

 Warning signs must be posted outside the hazardous materials storage

area indicating that the stored contents inside are potentially dangerous.
The warning sign should include the ―skull with crossed bones‖ and the
hazard placards of the stored materials.
 A map must be provided that indicates the location and the types of
hazardous materials in the area and where emergency kits and
firefighting equipment are located. The layout should be posted outside
the storage area so it is accessible to employees and others.
 Material Safety Data Sheets (MSDSs) must be available for all stored
materials and must be accessible to all employees and others. All

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employees must be fully trained on how to interpret the important

information contained in MSDSs.
 Storage areas must be equipped with spill-control kits and emergency
tools.
 Mechanical equipment used to lift and handle storage containers and
packages must be spark proof to reduce the risk of fire. Only authorized
employees who have completed training may use the mechanical
equipment. These employees must be constantly monitored to help
ensure that incidents do not occur.

Hazard Warning Labels

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How to Handle Hazardous Materials

 Follow all the storage instructions on the

product label
 Be sure to store all volatile products in
well-ventilated areas.
 Make certain you store flammable
products in the recommended
temperature range.
 Keep all hazardous materials out of the reach of children and away from
all animals
 Use the original container to store the hazardous material.
 Reduce the amount of hazardous materials you keep in storage
 Do periodic maintenance storage areas.

5. Hazardous - Radioactive Material - Template

Department ___________________________

No BR Radionuclide Chemical Activity Date Storage Remarks Person Signature

No Form Purchased Received Location In
charge

Date____________________ Signature _____________________________

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Description of storage and treatment of hazardous waste – Template

Date Method of Storage Date Method of

of hazardous wastes treatment of
hazardous wastes

Details of disposal of hazardous waste – Template

Date of Concentration of Site of Persons involved

Disposal hazardous constituents in disposal(identify the in disposal
the final waste form location on the
relevant layout
drawing for reference)

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PERFORMANCE EVALUATION

An organization should have a systematic

approach, using competent personnel, for
monitoring and measuring, analysing and
evaluating its environmental performance on a
regular basis. This should enable the
organization to report and communicate
accurately on its environmental performance.

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1. Monitoring and measurement

Monitoring generally refers to processes where observations are made over

time, without necessarily using instrumentation. Measuring generally refers to
processes where instrumentation is typically used to determine qualitative or
quantitative properties. Measuring therefore can imply the need for additional
controls to ensure the sustained reliability of such instrumentation (e.g.
calibration), where appropriate.

An organization should determine what should be monitored and measured,

where and when it should be monitored and measured, and what methods
should be used. To focus resources on the most important measurements, the
organization should identify the key indicators associated with its significant
environmental impacts that can be monitored and measured and that provide
the most useful information. Such indicators could include physical parameters
such as temperatures, pressures, pH, and material utilization, energy
efficiency, choice of packaging and transportation.

Monitoring and measuring can serve many purposes in an environmental

management system, such as

 tracking progress on meeting policy commitments, achieving objectives

and continual improvement
 providing information to identify significant environmental aspects
 collecting data on emissions and discharges to meet applicable
compliance obligations
 collecting data on consumption of water, energy or raw materials to meet
objectives
 providing data to support or evaluate operational controls
 providing data to evaluate the organization's environmental performance
 providing data to evaluate the performance of the environmental
management system

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NOTE 1 See ISO 14031 for further guidance on environmental performance.

NOTE 2 See ISO/TS 14033 for guidance and examples on handling quantitative
environmental information.

Monitoring and measuring should be conducted under controlled conditions

with appropriate processes for assuring the validity of results, such as:

 selecting sampling and data collection techniques,

 adequate calibration or verification of monitoring and measuring
equipment,
 measuring standards traceable to international or national measuring
standards,
 use of competent personnel, and
 use of suitable quality control methods that includes data interpretation
and trending.

Written procedures for conducting monitoring and measuring can help to

provide consistency in measurements and enhance the reliability of data
produced.

Organizations should consider, where appropriate, using laboratories whose

testing techniques have been either accredited by a national accreditation
body or approved by the regulators. If accreditation or approval is not possible
or available, then the organization can consider random double testing to
verify the accuracy of results.

The results of monitoring and measuring should be analysed and used to

identify nonconformities, compliance status, performance trends and
opportunities for continual improvement. Data analysis can include
consideration of the data quality, validity, adequacy and completeness
necessary to produce reliable information. Statistical tools can be used to
increase the reliability of decisions on whether or not a certain objective was
achieved. These tools can include, as appropriate, graphical techniques,

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indexing, aggregating or weighting. Where the performance requirements are

not met, corrective action should be taken in a timely manner to correct the
deviation.

2. Internal audit

Internal audits of an organization's

environmental management system should be
conducted at planned intervals to determine
and provide information to management on
whether the system conforms to planned
arrangements and has been properly
implemented and maintained. They can also be
performed to identify opportunities for
improvement in an organization's environmental
management system.

NOTE See ISO 19011 for guidance on environmental management system auditing.

3. Management review

An organization's top management

should, at intervals that it determines,
conduct a review of its environmental
management system to evaluate the
system's continuing suitability, adequacy
and effectiveness. This review should
cover the environmental aspects of
activities, products and services that are within the scope of the environmental
management system. The planned intervals for a management review can be
coordinated with the organization's planning and budgeting cycle and top
management's review of its overall business performance.

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Inputs to the management review can include

 results of internal audits and evaluations of conformity with compliance

obligations
 communication from external interested parties, including complaints
 the environmental performance of the organization
 the extent to which objectives have been met
 status of corrective actions
 follow-up actions from previous management reviews
 changing circumstances, including
 the organization's context
 changes in the organization's products, activities and services
 results of the evaluation of significant environmental aspects and risks
associated with threats and opportunities from planned or new
developments
 changes in applicable compliance obligations
 the views of interested parties
 advances in science and technology
 lessons learned from emergency situations and accidents
 recommendations for improvement

Outputs from the review of the environmental management system can

include decisions on
 the system's suitability, adequacy and effectiveness
 changes to physical, human and financial resources
 actions related to possible changes to environmental policy, objectives
and other elements of the environmental management system
 actions
 related to the organization's business strategy and other business
processes

Documented information retained as evidence of the results of management

review can include copies of meeting agenda items, lists of attendees,

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presentation materials or hand-outs, and management decisions recorded

in a memo to file, reports, minutes, or tracking system.

Each organization can decide for itself those who should participate in the
management review. Typically, this includes environmental staff (who compile
and present the information), managers of key units (whose operations
include significant environmental aspects or who are responsible for
key environmental management system elements, such as competence,
documented information, etc.), and top managers (who evaluate the
performance of the environmental management system, identify improvement
priorities, provide resources, and ensure that follow-up is effective).

Related Documents

1. Monitoring, Measurement, analysis and evaluation – Evaluation of

Compliance

2. Internal audit – Internal audit programme

3. Management Review

Auditor’s Approach

1. Has the organization established implemented, controlled and

maintained EMS requirements and to implement the actions
identified?
2. Has the organization established operating criteria for the
processes?
3. Does the organization control the processes in accordance with the
operating criteria?
4. Has the organization considered engineering controls and
procedures?
5. Does the organization control the planned changes?
6. Does the organization review the consequences of unintended
changes, taking action to mitigate any adverse effects?
7. Has the organization ensured the outsourced processes are
controlled or influenced?

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8. Does the organization ensure the consistency with a life cycle

perspective?
9. Has the organization established controls as appropriate to ensure
its EMS requirements are addressed in the design and development
process for the product or service, considering each stage of its life
cycle?
10. Has the organization determined its EMS for the procurement of
products and services as appropriate its life cycle?
11. Does the organization communicate its relevant EMS requirements
to external providers, including contractors?
12. Has the organization considered the need to provide information
about potential significant environmental impacts associated with the
transportation or delivery, use end of life treatment and final disposal
of its products and services?
13. Has the organization monitored, measured, analyzed and evaluated
their processes?
14. Has the organization ensured that calibrated or verified monitoring
and measurement equipment is used and maintained, as
appropriate?
15. Has the organization communicated EMS performance and
effectiveness internally and externally?
16. Has the organization tracking progress on meeting policy
commitments, achieving objectives and continual improvements?
17. Has the organization provided information to identify significant
environmental aspects?
18. Has the organization collected data on emissions and discharges to
meet applicable compliance obligations?
19. Has the organization collected data on consumption of water, energy
or raw materials to meet objectives?
20. Has the organization provided date to support or evaluate
operational controls?
21. Has the organization provided data to evaluate the organization‘s
EMS performance?

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22. Has the organization considered sampling and data collection

techniques?
23. Has the organization considered adequate calibration or verification
of monitoring and measurement equipment?
24. Are the organization measuring standards traceable to national or
international measuring standards?
25. Does the organization‘s top management review the Environmental
management system, to ensure its continuing suitability, adequacy &
effectiveness?
26. Has top management determined the planned intervals at which it
will review the Environmental management system?
27. Do management reviews include assessing the need for changes in
the Environmental management system?
28. Is the documented information of the management reviews
retained?
29. Do management reviews consider the results of evaluations of
compliance with applicable compliance obligations to which the
organization subscribes?
30. Do management reviews consider the EMS performance of the
organization?
31. Do management reviews consider the status of corrective actions
and preventive actions?
32. Do management reviews consider follow‐up actions from previous
management reviews?
33. Do management reviews consider recommendations for
improvement?
34. Are the outputs from management reviews consistent with the
organization‘s commitment to continual improvement?
35. Do the outputs from management reviews include decisions and
actions related to possible changes to EMS performance?
36. Do the outputs from management reviews include decisions and
actions related to possible changes to the external and internal
issues?

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37. Do the outputs from management reviews include decisions and

actions related to possible changes to the needs and expectations of
interested parties including compliance obligations?
38. Do the outputs from management reviews include decisions and
actions related to possible changes to its significant environmental
aspects & risks and opportunities?
39. Do the outputs from management reviews include decisions related
to continual improvement opportunities?
40. Do the outputs from management reviews include decisions related
to any need for changes to the EMS, including resources?
41. Do the outputs from management reviews conclude on the
continuing suitability, adequacy and effectiveness of the EMS?
42. Do the outputs from management reviews include any implications
for the strategic direction of the organization?
43. Do the outputs from management reviews any opportunities to
improve integration of the EMS with other business processes?

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COMMUNICATION

Communication of environmental
information should be based on, and
consistent with, the information
generated within the environmental
management system and with the internal evaluation of the organization's
environmental performance (see 9.1).

Communication of environmental information should be consistent with the

following principles:
 transparency, appropriateness and credibility, and
 responsiveness and clarity.

NOTE Further information on environmental communication is available in ISO 14063.

In determining how it intends to communicate, the organization should

consider different communication methods that can encourage understanding
and acceptance of an organization's environmental management efforts and
promote dialogue with interested parties. Methods of communication include,
for example: informal discussions; organization open days, focus groups,
community dialogue, involvement in community events, websites and e-mail,
press releases, advertisements and periodic newsletters, annual (or other
periodic) reports and telephone hotlines.

Organizations should retain documented information of its communications as

appropriate in order to

 recall the history of specific interested party communication, inquiries or

concerns,
 understand the nature of various interested party engagements over
time, and
 improve an organization's effectiveness in developing future

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communication and in following up and addressing the concerns of

specific interested parties as needed.

Some communications need not be documented if there is no added benefit to

the environmental management system. Examples include informal
communications and social media.

An organization should take into account its nature and size, its significant
environmental aspects and the nature and needs and expectations of its
interested parties when establishing its communications process(es).

An organization should consider the following process steps:

 gather information, or make inquiries including from relevant interested
parties(4.2)
 determine the target audience(s) and information or dialogue needs
 select information relevant to the audience's interests
 decide on the information to be communicated to the target audience(s)
 determine which methods and formats are appropriate for communication
 evaluate and periodically determine the effectiveness of the
communications process

1. Internal communication

Communication between and among

the levels and functions within an
organization is crucial to the
effectiveness of the environmental
management system. For example,
communication is important for
problem solving, for coordination of
activities, for follow up on action plans
and for further development of the environmental management system. The
provision of appropriate information to those working under the organization's
control serves to motivate them and encourage acceptance of the

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organization's efforts to improve its environmental performance. This can

assist employees to fulfil their responsibilities and the organization to meet its
environmental objectives. An organization should have a process which allows
communication from all levels of the organization. This can allow comments
and suggestions to be made to improve the environmental management
system and/or the environmental performance of the organization. It is often
important to provide information to external providers, such as contractors and
suppliers. Results from environmental management system monitoring, audit
and management review should be communicated to appropriate persons
within the organization.

2. External communication

Communication with external interested parties can be

an important and effective tool for environmental
management. An organization should consider the
potential costs and benefits of different approaches in
developing a communication plan that is appropriate
for its particular circumstances. It should also consider whether to
communicate externally to its interested parties about its environmental
aspects including those that relate to the distribution, use and disposal of
products as part of the product chain.

NOTE For more information on product documentation see the ISO 14020 series.

At a minimum, an organization should establish, implement and maintain

procedures for receiving, documenting and responding to relevant
communication from external parties. An organization can also find it useful to
document its procedure for external communication.

An organization should have in place a process for communicating with

external interested parties in case of emergency situations or accidents that
could affect or concern them.

NOTE See also 8.3 on emergency preparedness and response.

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Related Documents

1. Communication - General

Auditor’s Approach

1. Has the organization established implemented and maintained

documented information for internal & external communication among
the various levels and functions of the organization with regard to its
EMS processes and the Environmental management system?
2. Has the organization established and implemented a documented
information for communication with contractors and other visitors to
the workplace with regard to its EMS risks and the Environmental
management system?
3. Has the organization established and implemented a documented
information for receiving, documenting and responding to relevant
communications from external interested parties with regard to its
EMS issues and the Environmental management system?
4. Are these documented information maintained?
5. Does the organization take into account its compliance obligations?

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DOCUMENTED INFORMATION

The organization should develop and

maintain adequate documented
information to ensure that its
environmental management system is
operating effectively, is understood
and by persons working under the
control of the organization and other interested parties, and that processes
associated with the environmental management system are carried out as
planned. Organizations should develop and maintain adequate documented
information. The purpose of such documented information is to provide
necessary information to employees and other interested parties as
appropriate. Documented information should be collected and maintained in
a way that reflects the culture and needs of an organization, building onto
and improving its existing information system.

Documented information in the form of procedures, plans, and programmes,

for example, should be maintained as appropriate to ensure consistency,
currency and repeatability of outcomes. Evidence of the outcome (records)
should be retained as evidence of the results, in order to demonstrate effective
implementation of the requirements.

The extent of the documentation can differ from one organization to another
but it should describe the environmental management system. An organization
can choose to document its management system in the form of a manual,
which constitutes an overview or summary of the system and can provide
direction to related documented information. The structure of any such
environmental management system manual need not follow the clause
structure of ISO 14001 or any other standard (see Practical help –
Documented information below).

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For effective management of its key activities (i.e. those related to its identified
significant environmental aspects), an organization should plan a process, or
specified way to carry out the activities. This process can be defined by a
procedure that can be documented, and can describe in appropriate detail
how the process is managed.

If an organization decides not to document a procedure, affected employees

need to be informed as appropriate, through communication or training, of the
requirements to be satisfied. Documented information that provides
information on results achieved or evidence of activities performed (a record)
are part of an organization's documentation, but are generally controlled
through different management processes.

Documented information can be managed in any medium (paper, electronic,

photos, posters) that is useful, legible, easily understood and accessible to
those needing the information contained therein.

If processes of the environmental management system are aligned with those

from other management systems, an organization can combine relevant
environmental documented information with documented information of these
other management systems.

Documented information - Guidance

Examples of documented information include
a) statements of policy and objectives
b) description of the scope of the environmental management system
c) descriptions of programmes and responsibilities
d) information on significant environmental aspects
e) procedures
f) process information
g) organizational charts
h) internal and external standards
i) site emergency plans
j) records (evidence of an outcome)

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1. Creating and updating

When creating and updating documented information the organization should

ensure appropriate:

 identification and description (e.g. a title, date, author, or reference

number)
 format (e.g. language, software version, graphics) and media (e.g.
paper, electronic)
 review and approval for suitability and adequacy

2. Control of documented information

Control of environmental management system

documented information is important to ensure that

 information can be identified with the appropriate organization, division,

function, activity or contact person,
 information maintained by the organization is regularly reviewed, revised
as necessary and approved by authorized personnel prior to issue,
 current versions of relevant documented information are available at all
locations where operations essential to the effective functioning of the
system are performed, including documents necessary to ensure
requirements are met, and
NOTE Where the availability of documented information is not
practicable, actions that conform to prescribed practices can be
considered adequate.
 information that is obsolete is promptly removed from all points of issue
and points of use. In some circumstances, for example, for legal and/or
knowledge preservation purposes, documented information that is
obsolete can be retained as evidence of the results achieved.

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Documented information can be effectively controlled by

 developing an appropriate format that includes unique titles, numbers,

dates, revisions, revision history and authority
 assigning the review and approval of documented information maintained
by the organization to individuals with sufficient technical capability and
organizational authority
 maintaining an effective distribution system

Related Documents

1. Documented information – Control of documented information

Auditor’s Approach

1. Has the organization included documented information required by

international standard?
2. Has the organization included documented information determined by
the organization for the effectiveness of the EMS?
3. Has the organization ensured appropriate identification and
description when creating and updating documented information?
4. Has the organization ensured appropriate format and media when
creating and updating documented information?
5. Has the organization ensured appropriate review and approval for
suitability and adequacy when creating and updating documented
information?
6. Has the organization ensured the documented information is available
and suitable for use?
7. Has the organization ensured the documented information is
adequately protected?
8. Has the organization addressed the distribution, access, retrieval and
use of documented information?
9. Has the organization addressed the storage, preservation and
legibility?

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10. Has the organization addressed the control of changes, retention and
disposition?
11. Is the external origin documented information (EMS) identified and
controlled?

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LEADERSHIP COMMITMENT, ROLES,

RESPONSIBILITIES AND AUTHORITIES AND
RESOURCES, COMPETENCE, AWARENESS

Top management sets the organization's mission, vision and values based on
its context, the needs and expectations of its interested parties, and business
objectives, and reflect these in its strategic plans. Top management
commitment, accountability and leadership are vital for the successful
implementation of the environmental management system, including the
capability to achieve intended outcomes. Leadership commitment means
providing physical and financial resources as well as direction, and active
personal involvement that supports effective environmental management and
communicates its importance.

1. Leadership Commitment

Leadership commitment should ensure that the environmental management

system

 is not managed in isolation and separately from the central strategy of

the business,
 is considered when strategic business decisions are made.
 is aligned with business objectives,
 benefits from the appropriate level of resources (see 7.1),
 receives the appropriate involvement from across the business,
 provides real value to the organization, and
 continually improves and remains successful in the long term.

The environmental policy and objectives are aimed at meeting the

environmental component of the organization's strategic plans and form the
basis for its environmental management system. Top management, when

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planning or reviewing its strategy, should consider at an early stage

the environmental performance of the product or service life cycle. For
example, the opportunity for improving the environmental performance of a
building or product is greater if environmental criteria are considered at the
design stage rather than leaving it until its construction or manufacture.

The environmental management system can be more effective and

enduring if it is intrinsic to the strategic direction of the organization and
integrated within business processes (e.g., corporate governance,
accountancy, performance management, sales, purchasing, marketing and
manufacturing).

The management of an organization should determine and make available

appropriate resources to establish, implement, maintain and improve the
environmental management system. These resources should be provided in a
timely and efficient manner.

Top management should communicate the importance of effective

environmental management and conformance to the environmental
management system requirements through direct involvement or delegation of
authority, as appropriate. The communication can be formal or informal, and
can take many forms including visual and verbal.

Leadership also requires supporting others in the organization in relevant

management roles so they in turn can apply leadership to their own area of
responsibility, relative to the environmental management system. This can
allow leadership and commitment with respect to the environmental
management system to cascade down through the organization. By
demonstrating leadership and commitment, top management is able to direct
and support employees of the organization and others working on its behalf to
fulfil the intended outcomes of the organization's environmental management
system.

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2. Organizational roles, responsibilities and authorities

Successful establishment, implementation and maintenance of an environmental

management system depend on how top management defines and assigns
responsibilities and authority within the organization (see – Structure and
responsibility - Guidance).

The top management should assign (a) representative(s) or function(s) with

sufficient authority, awareness, competence and resources to

a) ensure the establishment, implementation and the maintenance of the

environmental management system at all applicable levels of the
organization, and
b) report back to top management on the environmental management
system, including environmental performance and its opportunities for
improvement.

These responsibilities and authorities can be combined with other functions or

responsibilities.

An organization should define and communicate the responsibilities and

authorities of persons working under the organization's control whose work
relates to its environmental management system. Environmental
responsibilities should not be seen as confined to the environmental function,
and include other areas of an organization.

Areas could include operational management or other staff functions (e.g.

design, purchasing, engineering, quality, etc.). The resources provided by the
top management should enable the fulfilment of the responsibilities assigned.
The responsibilities and authorities should be reviewed when a change in
structure of the organization occurs.

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To ensure effective establishment and implementation of an environmental

management system, it is necessary to assign appropriate responsibilities.
The examples in table 2 illustrate environmental responsibilities.

Structure and responsibility - Guidance

Example of environmental responsibilities Typical person(s) responsible
Establish overall direction [intended outcomes] President, chief executive officer (CEO), Board of
directors
Develop environmental policy President, CEO, and others as appropriate
Develop environmental objectives and programmes Relevant managers
Consider environmental aspects during the design Product and service designers, architects
process
Monitor overall environmental management system Chief environmental manager
performance
Assure conformity with compliance obligations All managers
Promote continual improvement All managers
Identify customers' expectations Sales and marketing staff
Identify requirements for suppliers Purchasers, buyers
Develop and maintain accounting procedures Finance/accounting managers
Conform to environmental management system All persons working under the organization's control
requirements
Review the operation of the environmental Top management
management system
NOTE Companies and institutions have different organizational structures and need to define environmental
management responsibilities based on their own work processes. In the case of an SME, for example, the owner can
be the person responsible for all of these activities.

3. Resources

When identifying the resources needed, an

organization should consider
 infrastructure,
 externally provided resources,
 information systems,
 training,
 technology, and
 financial, human and other resources specific to its operations.

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Resources should be provided in a timely and efficient manner.

Resource allocations should consider the organization's current and future

needs. In allocating resources, an organization can track the benefits as well
as the capital and operational costs of its environmental or related activities.
Issues such as the cost of pollution control equipment (capital) and the time
personnel spend on making the environmental management system effective
(operational) can be included. Resources and their allocation should be
reviewed periodically, and in conjunction with the management review to
ensure their adequacy. In evaluating adequacy of resources, consideration
should be given to planned changes and/or new projects or operations.

Human, physical and financial resources - Guidance

The resource base and organizational structure of smaller organizations can

encounter certain limitations on environmental management system
implementation. To overcome these limitations, an organization can consider
cooperative strategies. Options can include:

 larger client and supplier organizations, to share technology and

knowledge,
 other organizations in a supply chain or local basis to define and address
common issues, share experiences, facilitate technical development, use
facilities jointly, and collectively engage external resources,
 standardization organizations, associations, chambers of commerce, for
training and awareness programmes, and
 universities and other research centres, to support productivity
improvements, life cycle perspective and innovation.

Knowledge is an important resource for establishing or improving the

environmental management system. When addressing future challenges, the
organization should take into account its current knowledge base and

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determine how to acquire or access the necessary additional knowledge.

4. Competence

Knowledge, understanding, skills or abilities

enable an individual to gain the necessary
competence with regard to environmental
performance. All persons doing work under the
control of the organization that affect or can
affect its environmental performance and the
achievement of the intended outcomes of its environmental management
system should be competent, based on training, education, experience, or a
combination of these, as determined by the organization. These persons
include the organization's own staff members, as well as those working under
its control, such as external providers.

The competence requirements for these persons are not limited to those doing
work that have or can have significant impacts on the environment but also
those who manage a function or undertake a role which is critical to achieving
the intended outcomes of the environmental management system. The
content of the practical help box below is not intended to provide an
exhaustive list of competencies for the implementation of an environmental
management system but to provide examples to assist an organization in
determining its competence needs.

Many organizations do not have access to all these competencies and they
often procure competent service providers to ensure environmental
performance and the achievement of the intended outcomes of the
environmental management system.

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Examples of competence needs - Guidance

Clause Clause requirement Competence needs
Knowledge and understanding of the external and internal issues
and environmental conditions, including events, that can affect the
organization.
Knowledge and understanding of the relevant interested parties
4 Context of the organization and their requirements.
The ability to determine, define and document the scope of the
organization.
The ability to develop, implement and improve an environmental
management system.
Knowledge and understanding of leadership concepts such as
communication, human behaviour and organizational culture.
Knowledge and understanding of the implications of setting and
implementing an environmental policy.
Knowledge and understanding of resource availability and its
application to an environmental management system, including the
assignment of responsibilities and authorities.
Knowledge and understanding of the importance of environmental
performance to achieve the intended outcome of the environmental
5 Leadership management system.
Ability to integrate the environmental management system into the
organization's management system.
Knowledge and understanding of assessment tools that could be
used to deliver improvement of environmental performance, such
as indicators.
The ability to conduct management reviews and ensure
improvement in environmental performance.
The ability to ensure that the environmental management system
requirements are fulfilled.
Knowledge and understanding of the organization's activities,
products and services and associated environmental impacts.
The ability to determine the significant environmental aspects.
Knowledge and understanding of the organization's compliance
obligations and their application to the environmental aspects.
6 Planning The ability to determine risks associated with threats and
opportunities associated with the intended outcome of the
environmental management system.
The ability to plan to take action to address significant
environmental aspects and organizational risks associated with
threats and opportunities.
Knowledge and understanding of the importance of documented
7 Documented information information to achieving the intended outcome of the environmental
management system.

Knowledge and understanding of the need to plan the control of the

Operation organization's significant environmental aspects and associated
8 risks associated with threats and opportunities.
The ability to apply the hierarchy of control to the organization's
significant environmental aspects and associated risks associated
with threats and opportunities.

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Knowledge and understanding of the use of indicators to measure

environmental performance.
Knowledge and understanding of the need to satisfy the
organization's compliance obligations.
The ability to apply indicators to the monitoring and measurement
of environmental performance.
9 Performance evaluation The ability to analyse and act upon the results of environmental
performance and the organization's compliance obligations.
Knowledge and understanding of the development of audit
programmes to determine the effectiveness of the organization's
environmental management system.
The ability to manage audit programmes to ensure the intended
outcome of its environmental management system is achieved
(see ISO 19011, special reference to A.3).

The organization should identify the necessary competencies required to fulfil

the intended outcome of the environmental management system and address
gaps. Documented information can be useful to ensure that identified
competency needs are addressed, track progress on closing any gaps, and to
enable communication of relevant information to interested parties.

Competence can be acquired through training. An organization's training

process(es) should include
 identification of training needs,
 design and development of a training plan or programme to address
defined training needs,
 delivery of the training,
 evaluation of the training result, and
 documentation and monitoring of training received.
An organization can evaluate the effectiveness of the training to confirm the
intended result of the training is being achieved.

5. Awareness

Top management has a key

responsibility for building awareness
and motivating employees by
promoting an organization's environmental values and how they can contribute
towards its business strategy. The intended outcomes of promoting awareness
are to provide knowledge and generate behavioural change.

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Top management should ensure persons working under the organization's

control are:

 aware of its environmental policy; and its commitment to the policy;

 encouraged to:
 promote environmental performance;
 contribute toward achieving the intended outcomes of the environmental
management system;
 accept the importance of achieving the environmental objectives for
which they are responsible or accountable.

Top management should also ensure that all persons working under the
organization's control are made aware of:
 the importance of conforming to the requirements of the environmental
management system,
 their contribution to the effectiveness of the environmental management
system,
 the benefits of improved environmental performance,
 their responsibilities and accountabilities within the environmental
management system,
 the significant actual or potential environmental aspects and associated
impacts of their work activities, and
 the consequences of the departure from applicable environmental
management system requirements, including the organization's
compliance obligations.

Examples of methods to increase awareness can include internal

communication, visual signs and banners, campaigns, training or education,
and mentoring.

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Related Documents

1. Competence
2. Roles & Responsibilities Matrix

Auditor’s Approach

1. Does top management demonstrate leadership & commitment with

respect to the EMS policy?
2. Is the top management taken accountability for the effectiveness of
the environmental management?
3. Does the top management ensure that the environmental policy and
environmental objectives are compatible with the strategic direction
and the context of the organization?
4. Has the top management ensured that the resources needed for the
environmental management system are available?
5. Has the top management communicated the importance of effective
environmental management and of conforming to the environmental
management system requirements?
6. Has top management ensured that the environmental management
system achieves its intended outcomes?
7. How the top management promotes continual improvement?
8. Does top management of the organization take ultimate responsibility
for the Environmental management system?
9. Has top management ensured the availability of resources essential
to establish, implement, maintain, and improve the environmental
management system?
10. Has the organization defined roles & allocated responsibilities and
accountabilities to facilitate effective environmental management?
11. Has the organization delegated authorities to facilitate effective
environmental management?
12. Do all persons with management responsibility within the organization
demonstrate their commitment to the continual improvement of EMS
performance?

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13. Does the organization ensure that all persons in the workplace take
responsibility for aspects of EMS over which they have control?
14. Does the organization ensure that all persons in the workplace adhere
to the organization‘s applicable EMS requirements?
15. Does the organization maintain documented information to
demonstrate that any person under its control performing tasks who
can impact on EMS are competent on the basis of appropriate
education, training or experience?
16. Does the organization identify training needs associated with its EMS
risks?
17. Does the organization provide training or take other action to meet
identified EMS training needs?
18. Does the organization evaluate the effectiveness of training provided
or other action taken to meet identified EMS training needs?
19. Has the organization established, implemented and maintained
documented information to make persons working under its control
aware of their roles and responsibilities?
20. Has the organization established and implemented documented
information to make persons working under its control aware of
emergency preparedness and response requirements?
21. Has the organization established and implemented a documented
information to make persons working under its control aware of the
potential consequences of departure from specified procedures?
22. Are documented information for EMS awareness training maintained?
23. Does the organization‘s training documented information take into
account differing levels of responsibility?
24. Does the organization‘s training documented information take into
account differing levels of ability, language skills and literacy?

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IMPROVEMENT

This chapter deals about the clause requirement Improvement

1. Nonconformity and corrective action

Checking involves measurement,

monitoring and evaluation of an
organization's environmental
performance. Corrective action
consists of identifying and correcting
problems in the environmental
management system.

A process for identifying nonconformity in the environmental management

system and taking corrective action helps an organization operate and
maintain the environmental management system as it intends. Keeping
records and managing them effectively gives the organization a reliable
source of information on the operation and results of the environmental
management system. Periodic audits of the environmental management
system help the organization verify that the system is designed and operating
according to plan. All of these tools support the evaluation of performance.

For an environmental management system to be effective on an ongoing

basis, an organization should have

 a systematic method for identifying nonconformity,

 taking immediate action(s),
 analysing the cause of the nonconformity and taking corrective action,
 preferably preventing problems before they occur.

Nonconformity is non-fulfilment of a requirement. A requirement can be stated

in relation to the management system or in terms of environmental

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performance. Situations can occur where part of the system cannot function
as intended or environmental performance requirements are not met.

Examples of such situations can include

 system performance
 failure to establish environmental objectives
 failure to define responsibilities required by an environmental
management system, such as responsibilities for achieving objectives or
for emergency preparedness and response
 failure to periodically evaluate conformity with compliance obligations
 environmental performance
 energy reduction objectives are not achieved
 maintenance requirements are not performed as scheduled
 operating criteria (e.g. permitted limits) are not met

The internal audit process described in 9.2 is one way of periodically

identifying nonconformities. Identification of nonconformities should also be
made part of routine responsibilities, with individuals closest to the work noting
potential or actual problems.

Once a nonconformity is identified, it should be investigated to determine the

cause, so that corrective action can be focused on the appropriate part of the
system. In developing a plan for addressing a nonconformity, an organization
should consider what actions need to be taken to address (mitigate) the
problem, what changes need to be made to correct the situation [to restore
normal operation(s)], and what should be done to prevent the problem from
recurring [to eliminate the cause(s)]. The character and timing of such actions
should be appropriate to the nature and scale of the nonconformity and the
environmental impact.

If a potential problem is identified but no actual nonconformity exists, action

should be taken to prevent problems before they occur. Potential problems
can be identified using methods such as extrapolating corrective action of

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actual nonconformities to other applicable areas where similar activities occur,

trend analysis, or hazard operability studies and should be dealt with in Clause
6.1.

Management should ensure that corrective actions and action taken to prevent
problems before they occur have been implemented, and that there is
systematic review and follow-up to ensure their effectiveness.

Establishing procedures for addressing actual and potential nonconformities

and for taking corrective actions and actions taken to prevent problems before
they occur helps to ensure consistency in this process. Such procedures
should define responsibilities, authority and steps to be taken in planning and
carrying out corrective actions and actions taken to prevent problems before
they occur. When the actions taken result in changes to the environmental
management system, the process should ensure that all related documented
information and competency needs are updated, approved, and that changes
are communicated to all who need to know.

2. Continual improvement
a. Opportunities for improvement

Continual improvement is a key attribute of an effective environmental

management system.

Continual improvement is accomplished through the achievement of

environmental objectives and the overall enhancement of the environmental
management system or any of its components.

An organization should continually evaluate its environmental performance

and the performance of its environmental management system processes
to identify opportunities for improvement. Top management should be
involved directly in this evaluation through the management review process.

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The identification of environmental management system deficiencies

also provides significant opportunities for improvement. To realize such
improvements, an organization should not only know what deficiencies exist,
but understand why they exist. This can be achieved by analysing the root
causes(s) of environmental management system deficiencies.

Some useful sources of information for continual improvement include

 experience gained from corrective actions

 external benchmarking against best practices
 intended or proposed changes to compliance obligations
 results of environmental management system and compliance audits
 results of monitoring of key characteristics of operations
 results of progress towards achieving objectives
 views of interested parties, including employees, customers and
suppliers

b . Implementation of continual improvement

Continual improvement of the

environmental management system can
become increasingly difficult to achieve
as the system's performance improves.
When opportunities for improvement are
identified, they should be evaluated to
determine what actions should be taken. The actions for improvement should
be planned, and changes to the environmental management system should be
implemented accordingly. Improvements need not take place in all areas
simultaneously (see also 4.4.1).

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Examples of improvement - Guidance

Some examples of improvement include

 establishing a process for evaluating new materials to promote the use of

less harmful materials
 improving an organization's process for identifying its compliance
obligations so that new compliance obligations are identified in a more
timely fashion
 improving employee training on materials and handling to reduce an
organization's generation of waste
 introducing waste water treatment processes to allow water reuse,
 implementing changes in default settings on reproduction equipment to
print two-sided copies at a printing office
 redesigning delivery routes to reduce fossil fuel consumption by
transportation company(ies)
 setting objectives to implement fuel substitution in boiler operations
and reduce particulate emissions
 developing a culture of environmental improvement within the
organization
 developing partnerships with interested parties
 considering sustainability in the organization's business process

Related Documents

1. Nonconformity and corrective action

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Auditor’s Approach

1. Has the organization determined opportunities for improvement and

implement necessary actions to achieve the intended outcomes of its
EMS?
2. How the organizations react when any nonconformity occurs?
3. How the organizations take action to control and correct the
nonconformities?
4. Has organization evaluated the need for action to eliminate the causes
of the nonconformities?
5. How the organization monitor the reoccurrence of the nonconformities?
6. Has the organization reviewed the nonconformities?
7. Has the organization determined the causes of the nonconformities?
8. How the organization determines the nonconformity is potential?
9. How do you ensure the actions to be implemented?
10. Has organization reviewed the effectiveness of any corrective action
taken?
11. Is any change done in the EMS?
12. Has the organization retained documented information?
13. Has the organization have a plan for continual improvement of the EMS
performance?
14. Has the organization identified, where the continual improvement
required in the Environmental management system?

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MANAGEMENT OF AUDIT PROGRAMME

An organization needing to conduct audits should establish an audit

programme that contributes to the determination of the effectiveness of the
auditee‘s management system. The audit programme can include audits
considering one or more management system standards, conducted either
separately or in combination.

The top management should ensure that the audit programme objectives are
established and assign one or more competent persons to manage the audit
programme. The extent of an audit programme should be based on the size
and nature of the organization being audited, as well as on the nature,
functionality, complexity and the level of maturity of the management
system to be audited.

Priority should be given to allocating the audit programme resources to

audit those matters of significance within the management system. These
may include the key characteristics of product quality or hazards related to
health and safety, or significant environmental aspects and their control.

1. Establishing the Audit Programme Objectives

Audit Objectives

 The audit objectives shall be determined by the certification body. The

audit scope and criteria including any changes, shall be established by
the certification body after discussion with the client
 The audit objectives shall describe what is to be accomplished by the
audit and shall include the following:
a. Determination of the conformity of the client‘s Management system,
or parts of it, with audit criteria.
b. Evaluation of the ability of the management system, to ensure the

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client organization meets applicable statutory, regulatory and

contractual requirements.
c. Note: a management system certification audit is not a legal
compliance audit
d. Evaluation of the effectiveness of the management system to
ensure the client organization is continually meeting its specified
objectives.
e. As applicable, identification of areas, for potential improvement of
the management system

Audit Scope

 The audit scope should be consistent with the audit programme and
audit objectives. It includes such factors as physical locations,
organizational units, activities and processes to be audited, as well as
the time period covered by the audit.

Audit Criteria

 The audit criteria are used as a reference against which conformity is

determined and may include applicable policies, procedures,
standards, legal requirements, management system requirements,
contractual requirements, sector codes of conduct or other planned
arrangements.
 In the event of any changes to the audit objectives, scope or criteria,
the audit programme should be modified if necessary.

When two or more management systems of different disciplines are audited

together (a combined audit), it is important that the audit objectives, scope
and criteria are consistent with the objectives of the relevant audit
programmes

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2. Establishment of the Audit Programme

a. Roles and responsibilities of the person managing the audit
programme

The person managing the audit programme should:

 establish the extent of the audit programme.
 identify and evaluate the risks for the audit programme.
 establish audit responsibilities.
 establish procedures for audit programmes.
 determine necessary resources.
 ensure the implementation of the audit programme, including the
establishment of audit objectives, scope and criteria of the individual
audits, determining audit methods and selecting the audit team and
evaluating auditors.
 ensure that appropriate audit programme records are managed and
maintained.
 monitor, review and improve the audit programme.

The person managing an audit programme should inform the top

management of the contents of the audit programme and, where necessary,
request its approval.

b. Competence of the person managing the audit programme

The person managing the audit programme should have the necessary
competence to manage the programme and its associated risks effectively
and efficiently, as well as knowledge and skills in the following areas:
 audit principles, procedures and methods.
 management system standards and reference documents.
 activities, products and processes of the auditee.
 applicable legal and other requirements relevant to the activities and
products of the auditee.
 customers, suppliers and other interested parties of the auditee, where
applicable.

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The person managing the audit programme should engage in appropriate

continual professional development activities to maintain the necessary
knowledge and skills to manage the audit programme.

3. Extent of the Audit Programme

The extent of the audit programme may vary depending on the size and
nature of the auditee, as well as on the nature, functionality, complexity and
the level of maturity of, and matters of significance to, the management
system to be audited.

Other factors impacting the extent of an audit programme include the

following:
 the objective, scope and duration of each audit and the number of
audits to be conducted, including audit follow up, if applicable.
 the number, importance, complexity, similarity and locations of the
activities to be audited.
 those factors influencing the effectiveness of the management system.
 applicable audit criteria
 conclusions of previous internal or external audits.
 results of a previous audit programme review.
 language, cultural and social issues.
 the concerns of interested parties, such as customer complaints or non
compliance with legal requirements.
 significant changes to the auditee or its operations.
 availability of information and communication technologies to support
audit activities, in particular the use of remote audit methods.
 the occurrence of internal and external events, such as product failures
information security leaks, health and safety incidents, criminal acts or
environmental incidents.

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4. Audit Programme Risks

There are many different risks associated with audit Programme .These risks
may be associated with the following:
 planning
 resources
 selection of the audit team
 implementation
 records and their controls
 monitoring, reviewing and improving the audit programme

5. Procedures for the audit programme

A procedure for the audit programme should be established which includes

 planning and scheduling audits considering audit programme risks.
 ensuring information security and confidentiality.
 assuring the competence of auditors and audit team leaders.
 selecting appropriate audit teams and assigning their roles and
responsibilities.
 conducting audits, including the use of appropriate sampling methods.
 conducting audit follow up, if applicable.
 reporting to the top management on the overall achievements of the
audit programme.
 maintaining audit programme records.
 monitoring and reviewing the performance and risks, and
improving the effectiveness of the audit programme.

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6. Audit Programme Resources

The following resources to be identified for the audit programme.

 the financial resources necessary to develop, implement, manage and
improve audit activities.
 audit methods.
 the availability of auditors and technical experts having competence
appropriate to the particular audit programme objectives.
 the extent of the audit programme and audit programme risks.
 travelling time and cost, accommodation and other auditing needs.
 the availability of information and communication technologies

7. Applying Audit Methods

An audit can be performed using a range of audit methods. An explanation

of commonly used audit methods can be found in this annex. The audit
methods chosen for an audit depend on the defined audit objectives, scope
and criteria, as well as duration and location. Available auditor competence
and any uncertainty arising from the application of audit methods should
also be considered. Applying a variety and combination of different audit
methods can optimize the efficiency and effectiveness of the audit process
and its outcome.

Performance of an audit involves an interaction among individuals with the

management system being audited and the technology used to conduct the
audit. Table B.1 provides examples of audit methods that can be used, singly
or in combination, in order to achieve the audit objectives. If an audit involves
the use of an audit team with multiple members, both on-site and remote
methods may be used simultaneously.

NOTE Additional information about on-site visits is given in Clause B.6.

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Table B.1 — Applicable audit methods

Extent of involvement Location of the auditor
between the auditor Remote
and the auditee On-site
Human interaction Conducting interviews. Via interactive
communication means:
Completing checklists and questionnaires
with auditee participation. — conducting
interviews;
Conducting document review with auditee
participation. — completing
checklists and
Sampling.
questionnaires;
No human interaction Conducting document review (e.g. records, Conducting document
data analysis). review (e.g. records,
data analysis).
Observation of work performed.
Observing work
Conducting on-site visit. — conducting
performed via
Completing checklists. document
surveillance means,
review with
considering social and
Sampling (e.g. products). legal auditee
requirements.
participation.
Analyzing data.
On-site audit activities are performed at the location of the auditee. Remote audit activities are
performed at any place other than the location of the auditee, regardless of the distance.
Interactive audit activities involve interaction between the auditee‘s personnel and the audit team.
Non-interactive audit activities involve no human interaction with persons representing the auditee
but do involve interaction with equipment, facilities and documentation.

The responsibility of the effective application of audit methods for any given
audit in the planning stage remains with either the person managing the audit
programme or the audit team leader. The audit team leader has this
responsibility for conducting the audit activities.

The feasibility of remote audit activities can depend on the level of confidence
between auditor and auditee‘s personnel.

On the level of the audit programme, it should be ensured that the use of
remote and on-site application of audit methods is suitable and balanced, in
order to ensure satisfactory achievement of audit programme objectives.

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8. Selection of the audit methods

The person managing the audit programme should select and determine the
methods for effectively conducting an audit, depending on the defined audit
objectives, scope and criteria.
Where two or more auditing organizations conduct a joint audit of the same
auditee, the persons managing the different audit programmes should agree
on the audit method and consider implications for resourcing and planning the
audit. If an auditee operates two or more management systems of different
disciplines, combined audits may be included in the audit programme.

9. Selection of the audit team members

The audit team performing any audit

should include the team leader and any
technical experts needed for the specific
audit.

An audit team is selected, taking into account the competence needed to

achieve the objectives of the individual audit within the defined scope. If there
is only one auditor, the auditor performs all applicable duties of an audit team
leader.

In deciding the size and composition of the audit team for the specific audit,
consideration is given to the following:

a. the overall competence of the audit team needed to achieve audit

objectives, taking into account audit scope and criteria.
b. complexity of the audit and if the audit is a combined or joint audit.
c. the audit methods that have been selected.
d. legal and contractual requirements and other requirements to which
the organization is committed.
e. the need to ensure the independence of the audit team members from

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the activities to be audited and to avoid any conflict of interest.

f. the ability of the audit team members to interact effectively with the
representatives of the auditee and to work together.
g. the language of the audit, and the auditee‘s social and cultural
characteristics.

These issues may be addressed either by the auditor‘s own skills or through
the support of a technical expert.

If the necessary competence is not covered by the auditors in the audit team,
technical experts with additional competence should be included in the team.
Technical experts should operate under the direction of an auditor, but should
not act as auditors.

Auditors in training may be included in the audit team, but should participate
under the direction and guidance of an auditor.

Adjustments to the size and composition of the audit team may be necessary
during the audit, i.e. if a conflict of interest or competence issue arises. If
such a situation arises, it should be discussed with the appropriate parties
(e.g. audit team leader, the person managing the audit programme, audit
client or auditee) before any adjustments are made.

10. Audit Programme Records

 Audit Plan
 Audit Schedule
 Audit Cheklist
 Working Paper
 Audit Report
 Non- Conformity Reports
 Corrective & Preventive Action Reports
 Reports of Audit Programme Review

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 Auditor Personnel Record

 Auditor Competence
 Auditor Performance Evaluation
 Maintenance & Improvement of Competence.

11. Monitoring the Audit Programme

The person managing the audit programme should monitor its

implementation considering the need to:
a. evaluate conformity with audit programmes, schedules and audit
objectives.
b. evaluate the performance of the audit team members.
c. evaluate the ability of the audit teams to implement the audit plan.
d. evaluate feedback from top management, auditees, auditors and other
interested parties. Some factors may determine the need to modify the
audit programme, such as the following:
 audit finding.
 demonstrated level of management system effectiveness.
 changes to the client‘s or the auditee‘s management system.
 changes to standards, legal and contractual requirements and other
requirements to which the organization is committed.
 change of supplier.

12. Reviewing and improving the audit programme

The audit programme is reviewed to assess whether its objectives have been
achieved. Lessons learned from the audit programme review should be used
as inputs for the continual improvement process for the programme.

The audit programme review should consider the following:

a. results and trends from audit programme monitoring.
b. conformity with audit programme procedures.

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c. evolving needs and expectations of interested parties.

d. audit programme records.
e. alternative or new auditing methods.
f. effectiveness of the measures to address the risks associated with the
audit programme.
g. confidentiality and information security issues relating to the audit
programme.

The person managing the audit programme should review the overall
implementation of the audit programme, identify areas of improvement,
amend the programme if necessary, and should also:
 review the continual professional development of auditors, in
accordance
 report the results of the audit programme review to the top
management.

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5.2 Establishing the audit programme objectives

5.3 Establishing the audit programme Plan

5.3.1 Roles and responsibilities of the person
managing the audit programme
5.3.2 Competence of the person managing the audit
programme
5.3.3 Establishing the extent of the audit programme

5.3.4 Identifying and evaluating audit programme

risks
5.3.5 Establishing procedures for the audit
programme
5.3.6 Identifying audit programme resources

5.4 Implementing the audit programme

5.4.1 General
Competence and
5.4.2 Defining the objectives, scope and criteria for
evaluation of
an individual audit auditors (Clause 7)
5.4.3 Selecting the audit methods Do
5.4.4 Selecting the audit team members
5.4.5 Assigning responsibility for an individual audit Performing an audit
to the audit team leader
(clause 6)
5.4.6 Managing the audit programme outcome
5.4.7 Managing and maintaining audit programme
records

Check
5.5 Monitoring the audit programmeaudit
programme

5.6 Reviewing and improving the Act

NOTE 1-This figure illustrates the application of the Plan-Do-Check-Act cycle in this International
Standard.
NOTE 2-Clause/sub clause numbering refers to the relevant clauses/sub clauses of this International
Standard.
Figure 1 — Process flow for the management of an audit programme

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Audit Related Forms

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Audit Plan

Organization Name Ref. No.

Audit Criteria / Standard

/ Reference documents
ISO 14001 : 2015
Audit Objective (s)
Stage -1 Stage -2 Recertification Surveillance [No. ]

Head Office

Site(s)

Scope of
Certification

Exclusions IAF /
(if any) NACE

Mobile No.
Contact Person

Audit Date(s) Total Man days

Role Name ARN1 Remarks

Team Leader
Audit Team
Auditor(s)
Technical Area /
Sector Expert

Remarks

Sign:

Date:

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 Stage 1
Audit Plan (Schedule)  √ Stage 2
 Surveillance [ ]
 Recertification

Organization Ref. No.

Location Standard

Assessment Areas
Date Time
[Auditor /
[Auditor / Member] [/ TE]
Lead Auditor]

o Audit Schedule for stage 2 should be prepared during stage 1 audit and may be
changed, if required, during the opening meeting of stage 2.
o Audit schedule should be prepared for each site separately.
o Each man-day is equivalent to 8 working hours excluding lunch and travel

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AUDIT CHECK LIST Page of

Checklist process: Date of Preparation

EMS Clause ACTIVITY
REQUIREMENT/QUESTION COMMENTS / REMARKS
No. COMPLIANCE Y/N

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Working Paper

Auditor Name: Date:

EMS
S. Comments /
Clause Audit Notes
No Remarks
Ref.

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An

Audit Report

Submitted to

M/s_______________________________________________

Address---------------------------------------------------------------------

Ref No.

Disclaimer: - The Auditing is based on a sampling process of the available information and consequently there
is an element of uncertainty which may be reflected in the Audit findings. Those relying or acting upon the
Audit results and conclusions to be aware of this uncertainty. The Audit recommendations are subject to an
independent review, prior to decision.

TVE Certification Services Pvt. Ltd.

21/26B, Kamarajar Street, K.K. Nagar, Trichy-620 021
Ph: 0431-2352288, Mob: 9361444418, 9360728434
Email: [email protected], [email protected]
Website: www.tvecert.org

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Audit Report STAGE 2

Management
Representative

Exclusion
Audit Criteria
[Standard] [ISO
[ISO 9001:2015/ ISO 14001:2015/ OHSAS 18001:2007] 14001]

 Determination of the conformity of the client’s management system, or parts of it, w

ith audit criteria;
 Evaluation of the ability of the management system to ensure that the client organiz
ation meets applicable statutory, regulatory and contractual requirements;
Audit Objectives  Evaluation of the effectiveness of the management system to ensure that the client
organization is continually meeting its specified objectives;
 Identification of areas for potential improvement of the management system.

Audit Scope [confirmed]

Audit Site[s]

Date[s] of audit [Dates of Stage 2 only]

Technical Code [IAF-NACE]

Team Leader

Audit Team Auditor[s]

Technical Expert

Brief Profile of the

organization

Including main products/

services and customers

Positive features

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Evaluation of Internal
Audits

[Kindly provide comments related to audit plan, internal auditors, areas covered, any impartiality, non
conformities raised, periodicity etc.]

Evaluation of
Management Review

[Kindly provide comments on the periodicity, agenda, review output, participants etc.]

Non Conformities

[Kindly provide comments on the types of nonconformities and status]

Observations/ areas for

potential Improvement

Overall Comment on
the compliance of the
system, to the
requirements of the
standard for meeting
organization policies
and objectives.

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Conclusion and Recommendation

Based on the information and audit evidences gathered audit team concluded to:
 Recommend for grant of certification
 Certification will be recommended subject to acceptance of corrective actions evidence
 Recommend for follow up assessment
 Recommend for full assessment again

Remarks:-

I pledge that the report and records will remain confidential and will not be shared with any
other person or organization and abide with the confidentiality and no conflict of interest
agreement signed.

(Signature) Team Leader

To

Audit Manager,

TVE Certification Services Pvt. Ltd.

Attachments  ✓ Audit team Allocation Plan  Non Conformity Reports

 ✓ Attendance Sheet
 ✓ Audit schedule
(Kindly tick)  ✓ Assessment Checklist
 ✓ Certification Assessment Plan
 ✓ Ongoing Surveillance Plan
 ✓ Scope of Certification

Note: Auditors may use blank sheets for putting any supplementary/ additional information.

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ISO 14001 AUDIT - NONCONFORMITY REPORT

Name of the Company: Non Conformity No.:______

Area Under Review: ___________________________. ISO 14001:2015 Clause No.:________

Category : Major / Minor √ (tick ) Most Appropriate

Description of the nonconformity (Max 3 marks):

_____________________________________________________________________________

_____________________________________________________________________________

_____________________________________________________________________________

Relevant evidence (Max 3 Marks):

____________________________________________________________________________

_____________________________________________________________________________

ISO 14001:2015 clause and requirement (Max 1 Mark):

_______________________________________________________________________________

_______________________________________________________________________________

Auditor :

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PERFORMING AN AUDIT – PRE AUDIT ACTIVITIES-

PLANNING THE AUDIT –PART- I

This Chapter gives guidance on preparing and conducting audit activities as

part of an audit programme
Figure provides an overview of typical audit activities. The extent to which the
provisions of this clause are applicable depends on the objectives and scope
of the specific audit.
6.2 Initiating the audit
6.2.1 General
6.2.2 Establishing initial contact with the auditee
6.2.3 Determining the feasibility of the audit

6.3 Preparing audit activities

6.3.1 Performing document review in preparation for the audit
6.3.2 Preparing the audit plan
6.3.3 Assigning work to the audit team
6.3.4 Preparing work documents

6.4 Conducting the audit activities

6.4.1 General
6.4.2 Conducting the opening meeting
6.4.3 Performing document review while conducting the audit
6.4.4 Communicating during the audit
6.4.5 Assigning roles and responsibilities of guides and observers
6.4.6 Collecting and verifying information
6.4.7 Generating audit findings
6.4.8 Preparing audit conclusions
6.4.9 Conducting the closing meeting

6.5 Preparing and distributing the audit report

6.5.1 Preparing the audit report
6.5.2 Distributing the audit report

6.6 Completing the audit

6.7 conducting audit follow up (if Specified in the audit plan)

NOTE Sub clause numbering refers to the relevant sub clauses of this International Standard.
Figure2 — Typical audit activities

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Typical audit activities may be divided into three phases.

1. Pre-audit Activities
2. On-site Audit Activities
3. Post Audit activities

PRE-AUDIT ACTIVITIES

1. Initial contact with the Auditee

The initial contact with the auditee for the performance of the audit can be
informal or formal and should be made by the audit team leader. The
purposes of the initial contact are the following
 establish communications with the auditee‘s representatives
 confirm the authority to conduct the audit
 provide information on the audit objectives, scope, methods and audit
team composition, including technical experts
 request access to relevant documents and records for planning
purposes
 determine applicable legal and contractual requirements and other
requirements relevant to the activities and products of the auditee
 confirm the agreement with the auditee regarding the extent of the
disclosure and the treatment of confidential information
 make arrangements for the audit including scheduling the dates
 determine any location-specific requirements for access, security,
health and safety or other
 agree on the attendance of observers and the need for guides for the
audit team
 determine any areas of interest or concern to the auditee in relation to
the specific audit.

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2. Feasibility of the audit

The feasibility of the audit should be determined to provide reasonable

confidence that the audit objectives can be achieved.
The determination of feasibility should take into consideration such factors as
the availability of the following:
 sufficient and appropriate information for planning and conducting the
audit
 adequate cooperation from the auditee
 adequate time and resources for conducting the audit.
Where the audit is not feasible, an alternative should be proposed to the audit
client, in agreement with the auditee.

3. Document Review

The relevant management system

documentation of the auditee should be
reviewed in order to:
 gather information to prepare audit
activities and applicable work e.g. on
processes, functions
 Establish an overview of the extent of the system documentation to
detect possible gaps.

a. Conducting the document review

The auditors should consider if:
 the information in the documents provided is:
 complete
 correct
 consistent
 current

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 the documents being reviewed cover the audit scope and provide
sufficient information to support the audit objectives
 the use of information and communication technologies, depending on
the audit methods, promotes efficient conduct of the audit: specific care
is needed for information security due to applicable regulations
 on protection of data (in particular for information which lies outside the
audit scope, but which is also contained in the document).
The documentation should include, as applicable, management system
documents and records, as well as previous audit reports. The document
review should take into account the size, nature and complexity of the
auditee‘s management system and organization, and the audit objectives and
scope.

4. Preparation of Audit Plan

The audit team leader should prepare an audit plan based on the information
contained in the audit programme and in the documentation provided by the
auditee. The audit plan should consider the effect of the audit activities on the
auditee‘s processes and provide the basis for the agreement among the audit
client, audit team and the auditee regarding the conduct of the audit. The plan
should facilitate the efficient scheduling and coordination of the audit activities
in order to achieve the objectives effectively.

In preparing the Audit plan the following to be considered

 Sampling Techniques
 the composition of the audit team and its collective competence.
 the risks to the organization created by the audit.

For example, risks to the organization may result from the presence of the
audit team members influencing health and safety, environment and quality,
and their presence presenting threats to the auditee‘s products, services,
personnel or infrastructure (e.g. contamination in clean room facilities).

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For combined audits, particular attention should be given to the interactions

between operational processes and the competing objectives and priorities of
the different management systems.

The scale and content of the audit plan may differ, for example, between
initial and subsequent audits, as well as between internal and external audits.
The audit plan should be sufficiently flexible to permit changes which can
become necessary as the audit activities progress.

The audit plan should cover or reference the following:

a. the audit objectives
b. the audit scope, including identification of the organizational and
functional units, as well as processes to be audited
c. the audit criteria and any reference documents
d. the locations, dates, expected time and duration of audit activities to be
conducted, including meetings with the auditee‘s management
e. the audit methods to be used, including the extent to which audit
sampling is needed to obtain sufficient audit evidence and the design
of the sampling plan, if applicable
f. the roles and responsibilities of the audit team members, as well as
guides and observers
g. the allocation of appropriate resources to critical areas of the audit.
h. identification of the auditee‘s representative for the audit
i. the working and reporting language of the audit where this is different
from the language of the auditor or the auditee or both
j. the audit report topics
k. logistics and communications arrangements, including specific
arrangements for the locations to be audited
l. any specific measures to be taken to address the effect of uncertainty
on achieving the audit objectives
m. matters related to confidentiality and information security
n. any follow-up actions from a previous audit

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o. any follow-up activities to the planned audit

p. co-ordination with other audit activities, in case of a joint audit.

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PERFORMING AN AUDIT – PRE AUDIT ACTIVITIES-

PLANNING THE AUDIT –PART- II

This chapter deals about the pre audit activities like the preparation of the
work documents like the audit checklist and the Sampling techniques.

1. Work Documents

The audit team members should collect and review the information relevant to
their audit assignments and prepare work documents, as necessary, for
reference and for recording audit evidence. Such work documents may
include the following:
 checklists
 audit sampling plans
 forms for recording information, such as supporting evidence, audit
findings and records of meetings.

The use of checklists and forms should not restrict the extent of audit
activities, which can change as a result of information collected during the
audit.
Preparing work documents

When preparing work documents, the audit team should consider the
questions below for each document.
a. Which audit record will be created by using this work document?
b. Which audit activity is linked to this particular work document?
c. Who will be the user of this work document?
d. What information is needed to prepare this work document?

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For combined audits, work documents should be developed to avoid

duplication of audit activities by:
 clustering of similar requirements from different criteria
 coordinating the content of related checklists and questionnaires.

The work documents should be adequate to address all those elements of the
management system within the audit scope and may be provided in any
media.

2. Sampling
a. General

Audit sampling takes place when it is not practical or cost effective to examine
all available information during an audit, e.g. records are too numerous or too
dispersed geographically to justify the examination of every item in the
population.

The objective of audit sampling is to provide information for the auditor to

have confidence that the audit objectives can or will be achieved.

b. Sampling Risks

The risk associated with sampling is that the samples may be not
representative of the population from which they are selected, and thus the
auditor‘s conclusion may be biased and be different to that which would be
reached if the whole population was examined.

C. Sampling Steps

 establishing the objectives of the sampling plan

 selecting the extent and composition of the population to be sampled
 selecting a sampling method

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 determining the sample size to be taken

 conducting the sampling activity
 compiling and evaluating, reporting and documenting results

d. Sampling Methods

Judgement-Based Sampling

Judgement-based sampling relies on the knowledge, skills and experience of

the audit team for judgement-based sampling, the following can be
considered:
 previous audit experience within the audit scope
 complexity of requirements (including legal requirements) to achieve
the objectives of the audit
 complexity and interaction of the organization‘s processes and
management system elements
 degree of change in technology, human factor or management system
 previously identified key risk areas and areas of improvement
 output from monitoring of management systems.
A drawback to judgement-based sampling is that there can be no statistical
estimate of the effect of uncertainty in the findings of the audit and the
conclusions reached.

Statistical Sampling

Statistical sampling design uses a sample selection process based on

probability theory. Attribute-based sampling is used when there are only two
possible sample outcomes for each sample (e.g. correct/incorrect or
pass/fail). Variable-based sampling is used when the sample outcomes occur
in a continuous range.
The sampling plan should take into account whether the outcomes being
examined are likely to be attribute-based or variable-based. For example,

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when evaluating conformance of completed forms to the requirements set out

in a procedure, an attribute-based approach could be used. When examining
the occurrence of food safety incidents or the number of security breaches, a
variable-based approach would likely be more appropriate.

e. Elements Affecting the Audit Sampling

 The key elements that will affect the audit sampling plan are:
 the size of the organization
 the number of competent auditors
 the frequency of audits during the year
 the time of individual audit
 any externally required confidence level

3. CHECKLISTS

a. Introduction
This session covers the purpose, role and use of
audit checklists to support the audit process for an
on-site audit.

b. Purpose
The purpose of auditor checklists is to provide a reference document for use
during the audit process which helps the auditor keep to the prepared plan for
the audit both in terms of time and content.
In preparing a checklist the auditor should
 be familiar with the Safety Management System
 relate the checklist to the department / area to be audited
 relate the work to be done to the time available
The format of the checklist is at the auditor‘s discretion.

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c. Preparation of Checklists

Guidance points for the preparation of audit checklists are:

 Before preparing the checklists, the auditor should become fully
conversant with the objectives and scope of the audit and the
documents specifying the Environmental Management System
requirements.
 There should be a separate checklist for each department or work area
to be visited. Sometimes it may be advantageous to have more than
one checklist for a single area where there is more than one function
applicable to that area, e.g. production and inspection.
 Time allocated for an audit will depend on number of items on the
checklist and their importance.
 The amount of detail included in the checklist about the activities for
examination should suit needs of the auditor. The auditor may write out
a series of questions, or simply list headings.
 The checklists should be a good servant but never be the ‗master‘ of
the auditor. The auditor may come across information which, if followed
up, may provide a valuable insight into the way the company manages
Environmental Management System. However, deviation from a pre-
prepared checklist should only be permitted if time allows and the
overall objective of the audit is not jeopardised. In general, if an audit
has been well planned and the checklist carefully prepared, deviation
from the checklist will not be necessary.

The following documents can be used / referred while preparing a check-list:

 Legal/Statutory sector specific requirements/mandatory in law
 EMS standard e.g. ISO 14001:2015
 Customer requirements
 Company‘s EMS System documentation
 Personal experience (not personal bias)

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In a situation, wherein there is no documentation for an activity, a checklist

can still be prepared, based on the above points.

d. Advantages of checklists

Pre-planning the audit by preparing checklists is one of the

techniques of effective auditing. The use of checklists:
 Checklists if developed for a specific audit and used
correctly:
o Promote planning for the audit.
o Ensure a consistent audit approach.
o Act as a sampling plan and time manager.
o Serve as a memory aid.
o Provide a repository for notes collected during the audit process
(audit field notes)
 Audit checklists need to be developed to provide assistance to the
audit process.
 Auditors need to be trained in the use of a particular checklist and be
shown how to use it to obtain maximum information by using good
questioning techniques.
 Checklists should assist an auditor to perform better during the audit
process.
 Checklists help to ensure that an audit is conducted in a systematic
and comprehensive manner and that adequate evidence is
obtained.
 Checklists can provide structure and continuity to an audit and can
ensure that the audit scope is being followed.
 Checklists can provide a means of communication and a place to
record data for use for future reference.
 A completed checklist provides objective evidence that the audit was
performed.
 A checklist can provide a record that the Environmental Management

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System was examined.

 Checklists can be used as an information base for planning future
audits.
 Checklists can be provided to the auditee ahead of the on-site audit.

e. Disadvantages of Checklist

In contrast, when audit checklists are not available, or

poorly prepared, the following issues/concerns are noted:
 The checklist can be seen as intimidating to the
auditee.
 The focus of the checklist may be too narrow in scope to identify
specific problem areas.
 Checklists are a tool to aid the auditor, but will be restrictive if used as
the auditor‘s only support mechanism.
 Checklists should not be a substitute for audit planning.
 An inexperienced auditor may not be able to clearly communicate what
he/she is looking for, if they depend too heavily on a checklist to guide
their questions.
 Poorly prepared checklists can slow down an audit due to duplication
and repetition.
 Generic checklists, which do not reflect the specific organizational
management system, may not add any value and may interfere with
the audit.
 Narrow focused checklists minimize unique assessment
questions/approach

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f. Essential features of a Process Based Checklist

 The PDCA Approach

 Process Performance Measures (Plan)
 Expected results (Plan)
 Process map (Plan)
 Process owner (Plan)
 Sequence of activities (Plan)
 SOPs \ WIs (Plan)
 Implementation (Do)
 Monitoring (Do/Check)
 Reviewing process measures (Check)
 Analysis of data (Check \ Act)
 Improvements activities (Act)

g. Conclusion

There are advantages and disadvantages in

using audit checklists. It depends on many
factors, including customer needs, time and
cost restraints, auditor experience and sector
scheme requirements. Auditors should
assess the value of the checklist as an aid in
audit process and consider its use as a functional tool.

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ON-SITE AUDIT ACTIVITIES-CONDUCTING THE

AUDIT-PART-I

This chapter deals about the on-site audit activities like the opening meeting,
the significance of stage1 audit and the document review done during the
stage 1 audit.

The following are the steps in the on-site audit activities.

On-site Audit Activities:

1. Opening Meeting
2. Stage-1 Audit
3. Stage-2 Audit
4. Communication during the Audit
5. Collecting and verifying information
6. Audit conclusions
7. Audit conclusions & Closing meeting

1. Opening Meeting

The primary purpose of an audit

opening meeting is to confirm the audit
plan and prior arrangements. It is also
an opportunity to introduce the audit
team members and describe your audit
approach.

The opening meeting is chaired by the Lead Auditor and held with
management of the organization and the areas to be audited. The meeting
should be conducted in a friendly manner and put the auditee at ease. You
want to create a sense of trust and cooperation from the very start of the
audit.

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If you will be assigned guides, or be accompanied by observers, the opening

meeting can be used to carefully explain their roles to avoid possible
disruptions during the audit.

Remember to allocate time in the opening meeting for the auditee to ask
questions. The opening meeting can also give insights into the level of
management commitment and support.

The detail covered in an opening meeting should be consistent with the

familiarity of the auditee with the audit process. For internal audits in a small
organization, the opening meeting may simply consist of communicating that
an audit is being conducted and explaining the nature of the audit.

For other audit situations, particularly third-party audits, the opening meeting
may be quite formal and even capture attendance records. The following
agenda topics should be considered, as appropriate:

Agenda
 Introduction of meeting participants
 Roles of auditor auditee guide observer
 Attendance list (names, titles, contact information)
 Audit objective (purpose or reason for the audit)
 Audit scope (coverage of areas processes clauses)
 Audit criteria (applicable requirements)
 Documentation status (changes since plan developed)
 Agenda plan (agenda assignments meetings times)
 Audit methods (procedure sampling forms)
 Risk management (reduce risk from presence of audit team)
 Communications (auditee to be kept well-informed)
 Language (to be used during the audit)
 Confirmation of resources and facilities
 Confidentiality (results only to the auditee)

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 Safety, security, and emergency considerations

 Reporting method (including severity grading, if any)
 Closing meeting (date, time, and location)
 Acknowledgments (who accepts nonconformities)
 Complaints or appeals (system for feedback)
 Concerns or questions (ready to begin audit?)

Participants

Most of the companies adopt the policy

of having their management strongly
represented at opening meetings to
demonstrate to the auditors the
company‘s commitment to their
Environmental Management System.

Few companies send managers also to opening meetings as a means of

communicating the Environmental Management System message and gaining
commitment to the Environmental Management System. However, it is a
matter for the auditee company to decide who will be present.

The Lead Auditor should go into the opening meeting well prepared with a
written agenda along with the opening meeting check list and should conduct
the meeting in a business-like and professional manner.

The auditors may have questions of a general nature to ask about the
Environmental Management System of the company. It is sometimes
appropriate to ask these during the opening meeting. However, if there are a
large number of people attending the meeting, it is better to keep the
questions for a subsequent discussion with the Management representatives
to avoid keeping managers away from their work longer than is necessary.
Also, if the auditor asks for information about the Environmental Management

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System during the opening meeting there is a risk that lengthy explanations
by the auditee‘s management will extend the meeting and upset the audit
programme. The auditors should ask questions in less formal settings when
they can, without discourtesy, interrupt if an explanation becomes
unnecessarily long or irrelevant.

The Lead Auditor should ensure that a record is kept of those attending and
particular concerns raised.

The meeting should be in time and to the point. Presentations by the company
– such as slide shows – should be politely declined as they would take time
out of the audit programme.

2. Stage-1 Audit

The stage 1 audit shall be performed to

a. audit the client's management system documentation (review the client
documentation)
b. evaluate the client's location and site-specific conditions and to
undertake discussions with the client's personnel to determine the
preparedness for the stage 2 audit
c. review the client's status and understanding regarding requirements of
the standard, in particular with respect to the identification of key
performance or significant aspects, processes, objectives and
operation of the management system
d. collect necessary information regarding the scope of the management
system, processes and location(s) of the client, and related statutory
and regulatory aspects and compliance (e.g. quality, environmental,
legal aspects of the client's operation, associated risks, etc.)
e. review the allocation of resources for stage 2 audit and agree with the
client on the details of the stage 2 audit

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f. provide a focus for planning the stage 2 audit by gaining a

sufficient understanding of the client's management system and site
operations in the context of possible significant aspects
g. evaluate if the internal audits and management review are being
planned and performed, and that the level of implementation of the
management system substantiates that the client is ready for the stage
2 audit.

For most management systems, it is recommended that at least part of the

stage 1 audit be carried out at the client's premises in order to achieve the
objectives stated above. Stage 1 audit findings shall be documented and
communicated to the client, including identification of any areas of concern
that could be classified as nonconformity during the stage 2 audit.

In determining the interval between stage 1 and stage 2 audits, consideration

shall be given to the needs of the client to resolve areas of concern identified
during the stage 1 audit. The certification body may also need to revise its
arrangements for stage 2.

3. Documentation Review

The auditors should consider if:

The information in the documents provided
is:
 complete (all expected content is
contained in the document)
 correct (the content conforms to
other reliable sources such as standards and regulations)
 consistent (the document is consistent in itself and with related
documents)
 current (the content is up to date)

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 the documents being reviewed cover the audit scope and provide
sufficient information to support the audit objectives
 the use of information and communication technologies, depending on
the audit methods, promotes efficient conduct of the audit: specific care
is needed for information security due to applicable regulations on
protection of data (in particular for information which lies outside the
audit scope, but which is also contained in the document).

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ON-SITE AUDIT ACTIVITIES-CONDUCTING THE

AUDIT-PART-II

This chapter deals about the stage 2 audit conducted onsite on the clients
management system. Also it deals about the communication through
interviews during the audit and the methods of verifying and collecting
information during the audit

1. Stage 2 Audit

The stage 2 audit is the onsite audit activity that starts with the opening
meeting with the Top management and the members of the organisation
being audited.
The purpose of the stage 2 audit is to evaluate the implementation, including
effectiveness, of the client's management system. The stage 2 audit shall take
place at the site(s) of the client.

It shall include at least the following:

a. information and evidence about conformity to all requirements of the
applicable management system standard or other normative document
b. performance monitoring, measuring, reporting and reviewing against
key performance objectives and targets (consistent with the
expectations in the applicable management system standard or other
normative document)
c. the client's management system and performance as regards legal
compliance
d. operational control of the client's processes
e. internal auditing and management review
f. management responsibility for the client's policies
g. links between the normative requirements, policy, performance
objectives and targets(consistent with the expectations in the

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applicable management system standard or other normative

document), any applicable legal requirements, responsibilities,
competence of personnel, operations, procedures, performance data
and internal audit findings and conclusions.

2. Communication during the audit

During the audit, it may be necessary to make formal arrangements for

communication within the audit team, as well as with the auditee, the audit
client and potentially with external bodies (e.g. regulators), especially where
legal requirements require the mandatory reporting of non-compliances.

The audit team should confer periodically to exchange information, assess

audit progress, and reassign work between the audit team members, as
needed.

During the audit, the audit team leader should periodically communicate the
progress of the audit and any concerns to the auditee and audit client, as
appropriate. Evidence collected during the audit that suggests an immediate
and significant risk to the auditee should be reported without delay to the
auditee and, as appropriate, to the audit client.

Any concern about an issue outside the audit scope should be noted and
reported to the audit team leader, for possible communication to the audit
client and auditee.

Where the available audit evidence indicates that the audit objectives are
unattainable, the audit team leader should report the reasons to the audit
client and the auditee to determine appropriate action. Such action may
include reconfirmation or modification of the audit plan, changes to the audit
objectives or audit scope, or termination of the audit.

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Any need for changes to the audit plan which may become apparent as
auditing activities progress should be reviewed and approved, as appropriate,
by both the person managing the audit programme and the auditee.

3. Collecting & Verifying Information

During the audit, information relevant to

the audit objectives, scope and criteria,
including information relating to
interfaces between functions, activities
and processes, should be collected by
means of appropriate sampling and
should be verified. Only information
that is verifiable should be accepted as audit evidence.
Audit evidence leading to audit findings should be recorded. If, during the
collection of evidence, the audit team becomes aware of any new or changed
circumstances or risks, these should be addressed by the team accordingly.

Methods of collecting information include the following:

 interviews with employees and other persons
 observations of activities and the surrounding work environment and
conditions
 documents, such as policies, objectives, plans, procedures, standards,
instructions, licenses and permits specifications, drawings, contracts
and orders
 records, such as inspection records, minutes of meetings, audit
reports, records of monitoring programme and the results of
measurements
 data summaries, analyses and performance indicators
 information on the auditee‘s sampling plans and on the procedures for
the control of sampling and measurement processes

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 reports from other sources, e.g. customer feedback, external surveys

and measurements, other relevant information from external parties
and supplier ratings
 databases and websites
 simulation and modelling.

4. Observation (on visiting the auditee’s location)

To minimize interference between audit activities and the

auditee‘s work processes and to ensure the health and
safety of the audit team during a visit, the following should
be considered:

a. Planning the visit:

ensure permission and access to those parts of the auditee‘s location, to be

visited in accordance within the audit scope provide adequate information
(e.g. briefing) to auditors on security, health (e.g. quarantine),
 environmental matters and cultural norms for the visit including
requested and recommended
 vaccination and clearances, if applicable
 confirm with the auditee that any required personal protective
equipment (PPE) will be available for the audit team, if applicable
 except for unscheduled ad hoc audits, ensure that personnel being
visited will be informed about the audit objectives and scope

b. On-site activities:

 avoid any unnecessary

disturbance of the operational
processes
 ensure that the audit team is

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using PPE properly

 ensure emergency procedures are communicated (e.g. emergency
exits, assembly points)
 schedule communication to minimize disruption
 adapt size of the audit team and the number of guides and observers in
accordance with the audit scope, in order to avoid interference with the
operational processes as far as practicable
 do not touch or manipulate any equipment, unless explicitly permitted,
even when competent or licensed
 if an incident occurs during the on-site visit, the audit team leader
should review the situation with the auditee and, if necessary, with the
audit client and reach agreement on whether the audit should be
interrupted, rescheduled or continued
 if taking photographs or video material, ask for authorization from
management in advance and consider security and confidentiality
matters and avoid taking photographs of individual persons without
their permission if taking copies of documents of any kind, ask for
permission in advance and consider confidentiality and security
matters.
 when taking notes, avoid collecting personal information unless
required by the audit objectives or audit criteria.

5. Conducting Interviews

a. The Communication Process

Hearing, seeing, speaking and body

language are all methods of direct
communication whereas writing and
reading would be considered as indirect.
Many people are not, accomplished at
communicating directly or indirectly.

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Let‘s look at some of the problems with which we are faced when it comes to
―straight forward communication:
 Language is often open to varying interpretations
 The average person only has a 25% efficiency rating when it comes to
actual listening
 About 90% of learning is achieved via our ears and eyes
 Body language is a very efficient mode of communication, but difficult
to evaluate and is often not taken into account at all when formalising
reports etc. and can influence people in a positive or negative way
quicker than any other form of communication
 Most people hear what they want to hear, and respond in a manner
they believe you want to hear

With this in mind, we can appreciate the problems the auditor is faced with, so
communication between the auditor and auditee must be good to achieve
positive results, This can be influenced by either party during the
Environmental audit, but essentially rests with how the auditor handles the
communication process between himself and all other parties during the audit.

Other ―tips‖ to polish communication skills include those non-verbal

communications and body language observations that all give clues to the
auditee‘s confidence with the activities being examined. These are:
 Eye contact – can give a good indication of the attentiveness and
interest being given during questioning. Eye contact is often difficult to
maintain during the audit due to the need to constantly refer to
checklists and reference documents, and selecting objective evidence
 Facial expressions – often provide feedback from the auditee, the
eyebrow being raised for example may be read as disbelief or surprise
 Voice tone – may also provide a good indication of the level of
knowledge of the auditee where the obvious slow deliberate tone may
indicate lack of knowledge or understanding of a procedure; a quick
voice response may indicate nervousness

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 Posture – can also provide positive evidence of boredom of confusion

Whichever signs are present it takes considerable practice before one

becomes refined in identifying and correctly interpreting the ―vibes‖.
Remembering that this type of feedback must be seen only as an indicator,
wherever possible it should always be confirmed using other sources of
feedback to ensure that the correct interpretations are being made.

It should also be noted that when undertaking Environmental audits the

auditee may have been a victim of an accident or incident under investigation
or may have witnessed the same. It is now widely accepted that traumatic
events often have long lasting psychological effects on those involved or
witnessing such events. These may include flash backs, fear of reoccurrence
in similar situations or emotional distress when asked to recall the event. It
should be clear to all experienced auditors, that under such situations the
auditee may respond to questioning regarding these events in an
unpredictable manner. The auditor must be sympathetic to any apparent
emotional stress being suffered by the auditee and remember that their
statements and or recollection of the event may not be complete or wholly
accurate. To experience how the auditee may feel or react when recalling a
traumatic event, consider an event in your life which you consider traumatic,
and answer the following questions:
 did you recall all events clearly immediately after the incident?
 has your perception of the incident changed with time?
 what emotional feelings did you have immediately after the incident?
 when you recall the incident now do you still have an emotional
reaction?
 has this reaction changed with time?

Now consider how you may get the best from an auditee who is clearly still
deeply affected by a traumatic event. Use:
 compassion

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 clear sympathetic questioning

 patience, understanding approach and also
 change the line of questioning if the auditee becomes overwhelmed
 stop the interview

b. Talking

This is essentially the art of asking questions.

Various questioning techniques can be
employed to help the auditor gather
information from the auditees. When to use
each technique depends very much on the
situation, how the auditee is responding, e.g.
guarded answers not giving away much
information or open discussions adequately
describing the activities under review.
Below are some common questioning techniques along with some of the
benefits of each. There are of course disadvantages associated with these
techniques and the auditor must select the most appropriate techniques to
use depending on the prevailing situation.
Technique Benefits
Open:
 Encourages open discussion
How……Why….. When….. Where….
 Relaxes auditee
What..
 Encourages auditee to describe
How do you carry out your risk
activities in details
assessments?
Closed:
 Allows definitive answers to be
Do….Can…
obtained
Do you always send a copy of the
 Clarifies ambiguity
completed risk assessments to the
 Avoids auditee evading questions
Corporate Environmental team?
Reflective:  Confirms information given previously
You said that….  Allows the auditee to expand

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You said that completed risk  Shows the auditee that the auditor is
assessments from contractors do not listening
always get sent to you. How do.. you
handle those situations?
 Allows auditor to focus on specific
Comparative:
issues
Comparing….
 Encourages the auditee to open up
How do risk assessments produced by
discussion
teams on site compare with generic risk
 Allows comparisons & similarities
assessments?
between activities to be discussed
Hypothetical:  Allows auditor to ask specific questions
Imagine… What if…. about situations which may not have
What if the risk assessments had been occurred
reviewed by the manager and approved,  Encourages auditee to think in a wider
but where not adequate for the job, what context
steps do you take?
Leading:
When…. You do this then….
When you receive the risk assessments  Confirms understanding
from the contractors, you review them for  Prevents the auditee giving information
adequacy, email the result to the already given
purchasing manager and write a letter to
the contractors, what happens then?

By careful pharsing of questions, guided by checklist the auditor can answer a

multitude of paints by asking a single question e.g. ―How do you check all
incoming post?‖ This invites the auditee to describe the system. During the
answer supplementary questions can be interested such as, ―Why do you do
that?‖ – ―When is this done?‖ – ―How do you report defects?‖ etc.

Such questions need to be kept within the bounds of reason and the sense of
proportion mentioned earlier helps here. Do not be afraid to say ―I don‘t
understand!‖ and ask for further information. Compare answers given, with

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answers to the same question given by a different source. Use the ―unasked‖
question. Silence can encourage the auditee to volunteer further information.

Know what the procedures or standards require so that you are clear in your
own mind as to what constitutes and acceptable answer and what you will
accept as a minimum as objective evidence of compliance.

c. Listening

An audit is an activity involved in the gathering of

information. If an auditor is talking, they are not
gathering information. It should become second
nature to listen.
 Listen to what is going on around you
 Listen intently and with interest to auditee
responses
 Encourage the auditee with signals that you are listening and that you
are interested
 as you listen, evaluate what you hear, make notes, identify new
questions to follow on, sort the information from the conversation

d. Looking

An important facet of an auditor‘s skill is the

gathering of information by observation.
Other than viewing the objective evidence
provided by records, reports, documentation,
products etc., much background information
can be gathered by the vigilant auditor.
Although the auditor should never reach
conclusions based solely on subjective impressions, a good idea of the
attitude of management can be gained by examination of the condition and

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housekeeping prevailing at the premises. A good auditor stores this

information and uses it to pursue the audit.
Take careful notes at each stage, few people can remember everything.

The figure provides an overview of the process, from collecting information to

reaching audit conclusions.

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source of information

Collecting by means of appropriate sampling

Audit Evidence

Evaluating against Audit Criteria

Audit Findings

Reviewing

Audit Conclusions

Figure 3 — Overview of the process of collecting and verifying information

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AUDIT FINDINGS

Auditors evaluate audit evidence

against audit criteria to determine audit
findings. These audit findings can
indicate conformity or nonconformity
with the audit criteria.

Nonconformities and their supporting

audit evidence should be recorded.
Nonconformities may be graded in
terms of severity, e.g. minor or major, for prioritizing corrective actions.

Review nonconformities with the audited area to obtain acknowledgement that

the audit evidence is accurate and the nonconformities are understood.
Attempt to resolve any diverging opinions concerning the audit evidence or
findings, and record any unresolved issues.

In addition to nonconformities, audit findings should include conformity and

good practices, along with their supporting evidence, as well as, opportunities
for improvement and recommendations. Emphasize that any
recommendations are not binding.

1. Determining Audit Findings

When determining audit findings, consider:

 Follow-up of previous audit records and conclusions
 Requirements of the audit client (requestor of audit)
 Findings exceeding normal practice, or opportunities for improvement
 Sample size
 Categorization (if any) of the audit findings

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2. Recording Findings

For records of conformity, consider:

 Identification of audit criteria against which conformity is shown
 Audit evidence to support conformity
 Declaration of conformity, if applicable
For records of nonconformity, consider:
 Description of, or reference to, audit criteria
 Nonconformity declaration
 Audit evidence
 Related audit findings, if applicable

3. Multiple Criteria

It is possible to identify findings related to multiple criteria. For a finding linked

to one criterion on a combined audit, consider the possible impact on
corresponding or similar criteria of the other management systems.
Depending on arrangements with the audit client, you may:
 Issue separate findings for each criterion, or
 Raise a single finding with references to multiple criteria
Depending on the arrangements with the audit client, the auditor may guide
the auditee on how to respond to those findings.

Conformity is the fulfillment of the requirements.

Non conformity is the nonfulfillment of a

requirement. In other words, a specified
requirement is not being met. This may be
categorized as Major, Minor-Non
Conformity

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a. Minor Nonconformity would be the failure to conform to a requirement

that in the auditor‘s judgment and experience is not likely to result in a failure
of the Environmental management system.
Examples of minor nonconformities would be a document with an
unauthorized change, a missing training record, a work permit order released
without approval, or an instrument past its calibration date.

b. Major Nonconformity would be the total breakdown of the Environmental

Management System or one of its processes, or the failure to address a key
ISO 14001:2015 requirement. It would be a nonconformity that in the auditor‘s
judgment and experience would likely result in the system failure or materially
reduce its ability to assure controlled processes.

A major might be written as a result of a Environmental incident. Failure to

close a minor within the allowable timeframe could result in the minor
nonconformance being elevated to a major nonconformance.

Minor nonconformities against the same EMS clause may be the ―trivial many‖
that are grouped into a major nonconformity.

Examples of major nonconformities would be the non-compliance of the

relevant legal requirements, repeated impacts in the same area

c. Areas of Concern – Opportunities for Improvement:

In some cases, a process may be found conforming, but still an area of

concern. These observations may be written as Opportunities for
Improvement. Since they are potential problem areas, the organization can
consider taking preventive actions for these observations. Corrective actions
are taken for the reported nonconformities.
Many nonconformity reports are poorly written. Follow these 6 C‘s for
improved statements:

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 Complete (contains all the related facts)

 why – unmet requirement
 what – objective evidence
 where – which work area
 when – the date and shift
 who – by title, if relevant
 Correct (accurately conveys the facts)
 Concise (fully explained in brief terms)
 Clear (understood for prompt action)
 Categorized (minor or major, if used)
 Confirmable (traceable and verifiable)

An audit is only successful if it is the catalyst for prompt and effective

corrective action for nonconformities and possible preventive action for
opportunities for improvement. A complete and correct nonconformity report is
essential. It must be clearly and concisely expressed to initiate the right
action.

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AUDIT CONCLUSIONS AND CLOSING MEETING

This chapter deals about the Audit conclusions arrived after the completion of
the onsite audit and the presentation of these finding in the closing meeting.

1. Audit Conclusions

The audit team should confer prior to the closing

meeting in order to:
 Review the audit findings, and any other appropriate information
collected during the audit, against the audit objectives
 Agree on the audit conclusions, taking into account the uncertainty
inherent in the audit process
 Prepare recommendations, if specified by the audit plan
 Discuss audit follow-up, as applicable.

Audit conclusions can address issues such as the following:

 the extent of conformity with the audit criteria and robustness of the
management system, including the effectiveness of the management
system in meeting the stated objectives
 the effective implementation, maintenance and improvement of the
management system
 the capability of the management review process to ensure the
continuing suitability, adequacy, effectiveness and improvement of the
management system
 achievement of audit objectives, coverage of audit scope, and
fulfilment of audit criteria
 root causes of findings, if included in the audit plan
 similar findings made in different areas that were audited for the
purpose of identifying trends. If specified by the audit plan, audit
conclusions can lead to recommendations for improvement, or future
auditing activities.

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2. Closing Meeting

The primary purpose of an audit closing meeting is to

present the audit findings and conclusions, ensure a
clear understanding of the results, and agree on the
timeframe for corrective actions.

The meeting is conducted by the lead auditor. The

participants should include management of the
auditee, as well as, managers of the areas that were audited.

The following agenda topics should be considered, as appropriate

 Introductions (attendees not at opening meeting)

 Attendance (if required for audit report)
 Thanks (time and cooperation)
 Scope (reminder of coverage)
 Disclaimer (limited sample brief time)
 Criteria (applicable requirements)
 Conformity areas (strengths positives)
 Summary of Nonconformities (by lead auditor)
 Nonconformities (from auditors)
 Conclusions (conformity, effectiveness, trends)
 Diverging opinions (resolved or recorded)
 Acknowledgments (signed forms)
 Agreements (on proposed actions)
 Report (expected date, if not provided)
 Non-binding recommendations (if allowed)
 Post-audit (actions, complaints, appeals)
 Follow-up (verification of corrective actions)
 Thanks (courtesy and hospitality)

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When conducting the closing meeting, speak with authority and listen with
interest. Maintain good manners, watch your body language, and maintain
control of the meeting.

Keep a record of any issues that are raised during the meeting. If new audit
evidence is provided, delete nonconformities that were written in error.
However, keep valid nonconformities in the report, even if they were corrected
prior to the meeting.

If applicable, the lead auditor should advise the auditee of any situations
encountered during the audit that may decrease the confidence that can be
placed in the audit conclusions.

If defined in the management system, or by agreement with the audit client,

the participants should agree on the time frame for an action plan to address
any audit nonconformities.

The level of detail in the closing meeting should be consistent with the
familiarity of the auditee with the audit process. For some audits, the meeting
may be formal with minutes being kept. In other cases, the closing meeting
may be less formal and just communicate the audit findings and audit
conclusions.

Any audit team and auditee differences of opinion on the audit findings or
conclusions should be discussed and resolved, if possible. If agreement
cannot be reached, the auditee concerns should be recorded and the appeals
process explained to them.

If recommendations for improvement are presented, you should emphasize

that the recommendations are not binding. Finish the meeting with a clear
outcome and explain the next steps, assignments, and due dates.

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POST AUDIT ACTIVITIES - REPORTING AND FOLLOW

UP THE AUDIT

This chapter deals about the post audit activities like preparation of the audit
report, distribution of the audit report and conducting audit follow up if
necessary.

1. Preparing the Audit Report

The audit team leader should report the audit results in accordance with the
audit programme procedures.
The audit report should provide a complete, accurate, concise and clear
record of the audit, and should include or refer to the following:
 the audit objectives
 the audit scope, particularly identification of the organizational and
functional units or processes audited
 identification of the audit client
 identification of audit team and auditee‘s participants in the audit
 the dates and locations where the audit activities were conducted
 the audit criteria
 the audit findings and related evidence
 the audit conclusions
 a statement on the degree to which the audit criteria have been
fulfilled.

2. Distributing the Audit Report

The audit report should be issued within an agreed period of time. If it is

delayed, the reasons should be communicated to the auditee and the person
managing the audit programme.

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The audit report should be dated, reviewed and approved, as appropriate, in

accordance with audit programme procedures.
The audit report should then be distributed to the recipients as defined in the
audit procedures or audit plan.

3. Completing the Audit

The audit is completed when all planned audit activities have been carried
out, or as otherwise agreed with the audit client (e.g. there might be an
unexpected situation that prevents the audit being completed according to the
plan).

Documents pertaining to the audit should be retained or destroyed by

agreement between the participating parties and in accordance with audit
programme procedures and applicable requirements.

Unless required by law, the audit team and the person managing the audit
programme should not disclose the contents of documents, any other
information obtained during the audit, or the audit report, to any other party
without the explicit approval of the audit client and, where appropriate, the
approval of the auditee. If disclosure of the contents of an audit document is
required, the audit client and auditee should be informed as soon as possible.

Lessons learned from the audit should be entered into the continual
improvement process of the management system of the audited
organizations.

4. Conducting Audit Follow-up

The conclusions of the audit can, depending on the audit objectives, indicate
the need for corrections, or for corrective, preventive or improvement actions.
Such actions are usually decided and undertaken by the auditee within an

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agreed timeframe. As appropriate, the auditee should keep the person

managing the audit programme and the audit team informed of the status of
these actions.

The completion and effectiveness of these actions should be verified. This

verification may be part of a subsequent audit.

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AUDITOR RESPONSIBILITIES

This chapter deals about the roles and responsibilities of the auditor, lead
auditor, auditee, observer and guide also the selection of audit team member,
audit principles, auditor confidentiality and the IRCA code of conduct.

1. The Roles and Responsibility of the Lead Auditor

The Lead Auditor is responsible for all aspects of the audit. This responsibility
includes:
 Ensure the audit scope
 Select the audit team
 Direct the audit team members
 Planning the audit & make effective use of resources
 Represent the audit team
 Manage the audit team
 The preparation of the report
 Lead the audit team to reach audit conclusions
 Control of the opening and closing meetings
 Submission of the report
 Audit records
 Review of the audit team‘s work
 Prevent & resolve conflicts
At the same time, the Lead Auditor also carries out the duties of an auditor.

2. The Role of the Auditor

The auditor is responsible to the Lead Auditor for an allocated segment of the
audit programme. This includes:

 Communicating audit requirements to the auditee

 Auditing in accordance with the relevant checklists

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 Where time permits, examining discovered areas of concern

 Documenting observations
 Recording evidence
 Verifying the effectiveness of the environmental management System
 Reporting results to the Lead Auditor
 Co-operating with and assisting the Lead Auditor

Above all, the auditor exercises judgement on the compliance, implementation

and effectiveness of the Environmental Management System.

The auditor‘s job is to assess the Environmental Management System and not
to advise on how it may be improved, thus the auditor is not acting as a
consultant. He should not offer opinions or suggest that there may be better
ways of doing things. However if specified by audit objectives, audit
conclusions can lead to recommendations regarding improvements. An
auditor who has acted as a consultant to an organisation cannot be a member
of the certification audit team assessing that organisation.

EMS auditor should additionally have knowledge on

- Environmental technology
- Environmental Management principles & their application
- Environmental Management tools & their application

3. The Role of the Auditee and Audit Client

Auditee: Organization being audited

Audit Client: Organization requesting the audit.

a. Before the audit activity begins:

 Select auditing agency, based on experience, accreditation in countries

of interest and reputation.

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 Liaise with auditing/certifying agency to provide required information

(verbal and written)
 Agree on scope for audit and the nominated team.
 Agree on suitable dates for the audit activity and sites to be visited.

b. During the pre-audit visit or through other means of communication :

 agree to provide guides and prepare them for that role

 agree to provide logistic assistance during audit
 provide any information required by the auditors, relevant to scope and
the environmental management system
 agree on those who will attend the opening and closing meetings
 agree to inform all staff regarding the audit
 seek clarifications regarding audit procedures
 provide logistic support during pre-audit visit

c. During the Audit

 provide office facilities for opening and closing meetings, and also for
liasion meetings of auditors amongst themselves
 provide guides
 witness any observations
 seek clarifications, in case observations, attributions or explanations of
the auditors are not clearly understood
 ensure relevant people from management are punctual for all meetings
 inform management of any major non-conformances observed by the
auditors
 Cooperate with the auditors
 agree to non-conformances and commit to timely corrective actions

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d. Post – Audit

 propose time-bound corrective actions, and seek agreement of auditors

(in case required)
 initiate and identify causes for the non-conformity
 identify the counter-measure/corrective action on the causes of the
non-conformity
 implement the corrective action
 verify the effectiveness of the actions, through Internal Audits
 inform auditors about satisfactory completion of corrective actions

4. Roles & Responsibilities of Guides & Observers

a. Observer:

The presence and justification of observers during an audit

activity shall be agreed to by the certification body and client
prior to the conduct of the audit
Note: observers can be members of the client‘s organization,
consultants, witnessing accreditation body personnel, regulators or other
justified persons.

b. Guide:

Each audit shall be accompanied by a guide,

unless otherwise agreed to by the audit team
leader and the client. Guides are assigned to the
audit team to facilitate the audit.
 Establish contacts and interview timings
 Arrange visits to the areas to be audited
 Ensure that safety rules are followed by the audit team
 Witness the audit on behalf of the auditee
 Providing the clarification or assisting in collecting information.

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Note: The audit team shall ensure that observers and guides do not influence
or interfere in the audit process or outcome of the audit.

5. Assigning responsibility for an individual audit to the audit team

leader

The person managing the audit programme should assign the responsibility
for conducting the individual audit to an audit team leader.
The assignment should be made in sufficient time before the scheduled date
of the audit, in order to ensure the effective planning of the audit.

To ensure effective conduct of the individual audits, the following information

should be provided to the audit team leader:
 audit objectives
 audit criteria and any reference documents
 audit scope, including identification of the organizational and functional
units and processes to be audited
 audit methods and procedures
 composition of the audit team
 contact details of the auditee, the locations, dates and duration of the
audit activities to be conducted
 allocation of appropriate resources to conduct the audit
 information needed for evaluating and addressing identified risks to the
achievement of the audit objectives. The assignment information
should also cover the following, as appropriate:
 working and reporting language of the audit where this is different
from the language of the auditor or the auditee, or both
 audit report contents and distribution required by the audit
programme
 matters related to confidentiality and information security, if required
by the audit programme
 any health and safety requirements for the auditors

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 any security and authorization requirements

 any follow-up actions, e.g. from a previous audit, if applicable
 co-ordination with other audit activities, in the case of a joint audit.

6. Code of Conduct – Confidentiality

All auditors are expected to comply with a code of conduct which emphasises
the need for professionalism, confidentiality and behaviour which will harm
neither the auditor‘s company nor the IRCA‘s public image. Any breach of this
should be reported by the auditee to the IRCA. The UKAS also monitors
auditor performance and this includes compliance with the code of conduct.
The Code of Conduct is given in Appendix III of IRCA 602 - reproduced in 6
below)

7. Audit Principles

Auditing is based on five principles. It is a prerequisite to adhere to these

principles for providing audit conclusions that are relevant to the management
policies & control, thus providing information upon which the organization can
act to improve performance. The principles also help reaching similar
conclusions under similar circumstances.

The 6 Principles are:

 Integrity: Obligation to report truthfully and accurately
 Fair Presentation: (Audit findings, audit conclusions & audit reports to
be accurate & truthful. Unresolved diverging opinions & significant
obstacles between audit team & auditee to be reported)
 Due Professional care: Diligence & judgement in auditing
 Confidentiality: Security of information

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Auditors should exercise discretion in the use and protection of information

acquired in the course of their duties. Audit information should not be used
inappropriately for personal gain by the auditor or the audit client, or in a
manner detrimental to the legitimate interests of the auditee. This concept
includes the proper handling of sensitive or confidential information
 Independence: The basis for impartiality & objectivity of audit
conclusion
 Evidence based Approach: The rational method when audit findings &
conclusions are based on audit evidence (verifiable & based on
appropriate sampling)

8. IRCA Code of Conduct

It is a condition of certification that you agree to act in accordance with, and

be bound by the following IRCA Code of Conduct:
1. To act in a strictly trustworthy and unbiased manner in relation to both
the organisation to which you are employed, contracted or otherwise
formally engaged (the audit organisation) and any other organisation
involved in an audit performed by you or by personnel under your direct
control.
2. To disclose to your employer any relationships you may have with the
organisation to be audited before undertaking any audit function in
respect of that organisation.
3. Not to accept any inducement, gift, commission, discount or any other
profit from the organizations audited, from their representatives, or from
any other interested person nor knowingly allow personnel for whom
you are responsible to do so.
4. Not to disclose the findings, or any part of them, of the audit team for
which you are responsible or of which you are part, or any other
information gained in the course of the audit to any third party, unless
authorised in writing by both the auditee and the audit organization to
do so.

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5. Not to act in any way prejudicial to the reputation or interest of the audit
organisation.
6. Not to act in any way prejudicial to the reputation, interests or credibility
of IRCA.
7. In the event of any alleged breach of this code, to co-operate fully in
any formal enquiry procedure.

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COMPETENCE & EVALUATION OF AUDITORS

A competent Auditor is one who demonstrates personal attributes (as tested

below) and the ability to apply the appropriate generic & specific knowledge &
skill gained thorough education, work experience, auditor training & audit
experience.

1. Personal Behaviour

An auditor needs to possess the necessary quality to enable the performance

of audit activities:
a. ethical, i.e. fair, truthful, sincere, honest and discreet
b. open-minded, i.e. willing to consider alternative ideas or points of view
c. diplomatic, i.e. tactful in dealing with people
d. observant, i.e. actively aware of physical surroundings and activities
e. perceptive, i.e. instinctively aware of and able to understand situations
f. versatile, i.e. adjusts readily to different situations
g. tenacious, i.e. persistent and focused on achieving objectives
h. decisive, i.e. reaches timely conclusions based on logical reasoning
and analysis
i. self-reliant, i.e. acts and functions independently while interacting
effectively with others
j. acting with fortitude, i.e. able to act responsibly and ethically, even
though these action may not always be popular and may sometimes
result in disagreement or confrontation
k. open to improvement i.e. willing to learn from situations, and striving
for better audit results
l. culturally sensitive, i.e. observant and respectful to the culture of the
auditee
m. collaborative, i.e. effectively interacting with others, including audit
team members and the auditee‘s personnel

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2. Generic Knowledge & Skills of Auditors

Auditors should possess the knowledge and skills in the following areas:

a. Audit Principle, Procedures and Methods

 apply audit principles, procedures, and methods
 plan and organize the work effectively
 conduct the audit within the agreed time schedule
 prioritize and focus on matters of significance
 collect information through effective interviewing, listening,
observing and reviewing documents, records and data
 understand and consider the experts‘ opinions
 understand the appropriateness and consequences of using sampling
techniques for auditing
 verify the relevance and accuracy of collected information
 confirm the sufficiency and appropriateness of audit evidence to support
audit findings and conclusions
 assess those factors that may affect the reliability of the audit findings
and conclusions
 use work documents to record audit activities
 document audit findings and prepare appropriate audit reports
 maintain the confidentiality and security of information, data,
documents and records
 communicate effectively, orally and in writing (either personally, or
through the use of interpreters and translators)
 understand the types of risks associated with auditing.

b. Comprehend the audit scope & apply Audit criteria.

 management system standards or other documents used as audit
criteria
 the application of management system standards by the auditee and
other organizations, as appropriate
 interaction between the components of the management system

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 recognizing the hierarchy of reference documents

 application of the reference documents to different audit situations.

c. Organizational Context
 Organizational types, governance, size, structure, functions
 General business and management system concepts
 Cultural and social aspects

d. Applicable Laws, Regulations & Other Requirements.

 laws and regulations and their governing agencies
 basic legal terminology
 contracting and liability

3. a. Sector Specific Knowledge & Skills of EMS Auditors

General Knowledge and Skills

Knowledge and skills related to the discipline

and the application of discipline-specific
methods, techniques, processes and
practices should be sufficient to enable the
auditor to examine the management system
and generate appropriate audit findings and
conclusions.

Examples are as follows:

 environmental terminology;
 environmental metrics and statistics;
 measurement science and monitoring techniques;
 interaction of ecosystems and biodiversity;
 environmental media (e.g. air, water, land, fauna, flora);

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 techniques for determining risk (e.g. environmental aspects/impacts

evaluation, including methods for evaluating significance);
 life cycle assessment;
 environmental performance evaluation;
 pollution prevention and control (e.g. best available techniques for
pollution control or energy efficiency);
 source reduction, waste minimization, reuse, recycling and treatment
practices and processes;
 use of hazardous substances;
 greenhouse gas emissions accounting and management;
 management of natural resources (e.g. fossil fuels, water, flora and
fauna, land);
 environmental design;
 environmental reporting and disclosure;
 product stewardship;
 renewable and low carbon technologies.

b. Sector Specific Knowledge and Skills

Knowledge and skills related to the sector being audited should be sufficient to
enable the auditor to examine the management system within the context of
the sector and generate appropriate audit findings and conclusions. Examples
are as follows
 processes, equipment, raw materials, hazardous substances, process
cycles, maintenance, logistics, work flow organization, working
practices, shift-scheduling, organizational culture, leadership,
behaviour, and other issues specific to the operation or sector;
 typical hazards and risks, including health and human factors, for the
sector.

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c. Generic Knowledge & Skills of Audit Team Leaders

Audit team Leaders in addition to the generic & specific knowledge & skills
required by Auditors, Audit team Leader should be able to:
a. balance the strengths and weaknesses of the individual Audit team
members;
b. develop a harmonious working relationship among the audit team
members;
c. manage the audit process, including:
 planning the audit and making effective use of resources during the
audit;
 managing the uncertainty of achieving audit objectives;
 protecting the health and safety of the audit team members
during the audit, including ensuring compliance of the auditors with
the relevant health, safety and security requirements;
 organizing and directing the audit team members;
 providing direction and guidance to auditors-in-training;
 preventing and resolving conflicts, as necessary;
d. represent the audit team in communications with the person managing
the audit programme, audit client and auditee;
e. lead the audit team to reach the audit conclusions;
f. prepare and complete the audit report.

d. Knowledge and skills for auditing management systems addressing

multiple disciplines

Auditors who intend to participate as an audit team member in auditing

management systems addressing multiple disciplines should have the
competence necessary to audit at least one of the management system
disciplines and an understanding of the interaction and synergy between the
different management systems.

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Audit team leaders conducting audits of management systems addressing

multiple disciplines should understand the requirements of each of the
management system standards and recognize the limits of their knowledge
and skills in each of the disciplines.

e. Education, Work Experience, Auditors Training & Audit Experience of

Auditors.

 Education to provide the generic & specific knowledge & skills

 Work experience in a technical, managerial & / or professional position
involving judgment, problem solving, communication.
This may be in the field of -
 Environmental Management System
 Completion of Auditor Training
 Audit experience as an Audit Team Member.
 Additional Audit Experience required to be gained while acting in the
role of an Audit Team Leader under the direction & guidance of another
Auditor who is competent as an Audit Team Leader. Depending on the
Audit programme higher or lower level trainings for Auditors & Lead
Auditors may be appropriate.

f. Audit team leaders

An audit team leader should have acquired additional audit experience to
develop the knowledge and skills described in 7.2.3 (19011:2011). This
additional experience should have been gained by working under the
direction and guidance of a different audit team leader.

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4. Auditors Competence Evaluation

 The auditor evaluation is to be defined in the audit programme

procedures. The evaluation process should identify training & others
skills enhancement needs.
 This Evaluation is done in different stages
- Initial evaluation
- Evaluation as part of the audit team selection process
- Continual evaluation & identification of training & skill

Appendix 2: Evaluation Methods

Evaluation method Objectives Examples

Review of records To verify the background of the Analysis of records of education,

auditor. training, employment and audit
experience.
Feedback To provide information about Surveys, questionnaires, personal
how the performance of the references, testimonials,
auditor is perceived. complaints, performance
evaluation, peer review.

Interview To evaluate personal attributes Face-to-face and telephone

and communication skills, to interviews.
verify information and test
knowledge and to acquire
additional information.
Observation To evaluate personal attributes Role playing, witnessed audits, on
and the ability to apply the job performance.
knowledge and skills.

Testing To evaluate personal attributes Oral and written exams,

and knowledge and skills and psychometric testing.
their application.
Post-audit review To provide information where Review of the audit report and
direct observation may not be discussion with the audit client,
possible or appropriate. auditee, and colleagues and with
the auditor.

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5. Conducting the evaluation

The information are collected about the person & compared against the
criteria set. In case, a person does not meet the criteria, additional training,
work & / or audit experience may be required following which there should be
a re-evaluation.

6. Maintenance & Improvement of Auditor Competence

The auditor & audit team leaders should maintain them AC & CPD. The
auditing competence is achieved through regular participation in Management
system audits & continual professional development. This may be achieved
by additional work experience, training, private study, coaching, attendance at
meetings, seminars & conferences or other relevant activities.

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 Congratulations on completing your IRCA certified training course. We hope
that you enjoyed the experience and achieved your objectives.
The International Register of Certificated Auditors (IRCA) is the professional body for management system auditors
and membership* is available to all delegates who have completed an IRCA certified course.

Question Answers:
What can I do now? 1) Record your certificate with IRCA
2) Become a registered IRCA auditor

1 Record your certificate 2 Become a registered IRCA auditor

Now you have completed the IRCA course, you should The next step beyond recording your certificate is to
record your training course completion certificate with become a registered auditor with IRCA. Over 10,000
IRCA. This does not cost you anything but allows you to: auditors have chosen IRCA registration because it:
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• allows you to list yourself on the IRCA register,
IRCA’s reports, research and analysis
which is the first stop for organisations looking for
• get advance notice of ISO standard changes and how qualified auditors
they impact auditors
• connects you to a network of 10,000 contacts
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All you need to do is enter your details at: • supports your career development.
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We can also be contacted at our head office:

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T: +44 (0)20 7245 6833 | F: +44 (0)20 7245 6755 | E: [email protected] | W: www.irca.org

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REF: IRCA/190/2