AUDITING ISO 14001

Siarhei Darozhka
Belarusan National Technical University, Minsk
Lead Environmental Auditor

Borki-Molo, BUP EM Course Teachers Conference,

29.06.2006
 ISO 14001 – Standard of the
Environmental Management

 Based on Deming's management cycle

 Origin: British standard BS 7750

 The international applied standard

 ISO 14001 – only standard is audited

 ISO 14001 development – versions1996/2004

 Connected with other ISO 14000 group

standards
Which issues must be audited?

 All standard requirements (17 clauses)

 Scope of audit (site location and

full/separate processes)

All types of organizations can be audited

Discussed issue: Integration with ISO 9001 and

ISO 18001
 Schedule of Auditing
Certification audit process:
- the period of certificate validity - 3 years
- surveillance audit must be done every year
- corrective actions request
- reporting (incl. non-conformances,
opportunities for improvement, observation,
repeat findings)

Certification can be done by accredited body and

must be registered (e.g. DAR, UKAS…)
 Internal Audit

 Required by ISO 14001:2004 standard (4.5.5)

 Done by internal qualificated group or
contractual organisation
 Evaluation of compliance with legislation and
standard requirements
 Corrective actions requests

 Reporting to top-management
 Points to Pay Attention
 Compliance with legislation (confirmation
of legal status of activity – e.g. having
positive conclusion of environmental
expertise)
 Confirmation of wide implementation of
Pollution Prevention principle
 Having real positive results from EMS –
Continual Improvement
How to indicate improvement?

 Environmental Performance Indicators (water,

energy consumption, emissions to the air,
discharged water conditions, etc.)

 IMPORTANT: Organisation must establish its

own list of indicators and quantitive levels for
them for demonstration compliance with
improvement
 Example:
The Coca-Cola Environmental
Key Performance Indicators (KPI’s)

 Materials (sugar, metal, paper, cardboard,

wood, ton/unit)
 Energy – direct and indirect (electricity, fuel,
natural gas, MJ/unit)
 Water (used, recycled, liters/unit)

 Emissions, effluents and waste

 Compliance (incident and fines, cases)

 Transport (fuel consumption, l/unit)

 Example:
The Coca- Cola KPI’s
RUB-EN-R-321.1 F 1
PLANT ENVIRONMENTAL REPORT
ЗАВОД:

Целевой
ЭКОЛОГИЧЕСКИЕ ПОКАЗАТЕЛИ октябрь ноябрь декабрь 4 квартал ВСЕГО
показатель
ПОТРЕБЛЕНИЕ
1 ПОТ РЕБЛЕНИЕ ОБОРОТ НОЙ УПАКОВКИ Г/ ЛИТ Р НАПИТ КА 0,0000 0,0000 0,0000 0,0000 47 ,0 45
2 ПОТ РЕБЛЕНИЕ НЕОБОРОТ НОЙ УПА КОВКИ Г/ ЛИТ Р НАПИТ КА 122,6122 83,5163 105,2151 102,2469 65,4 65
3 ПОТ РЕБЛЕНИЕ ЭНЕРГИИ МДЖ/ ЛИТ Р НАПИТ КА 1,244 0,916 0,486 0,7 08 0,65 0,8
4 ПОТ РЕБЛЕНИЕ ВОДЫ Л/ ЛИТ Р НАПИТ КА 4,6364 2,4143 1,4587 2,17 30 3,14 3
ОТХОДЫ, ИХ УТИЛИЗАЦИЯ И ВТОРИЧНОЕ ИСПОЛЬЗОВАНИЕ
5 ОБЩЕЕ КОЛИЧЕСТ ВО Т ВЕРДЫХ ОТ ХОДОВ Г/ ЛИТ Р НАПИТ КА 38,5934 23,157 3 9,4815 17 ,2825 14,93 15
6 КОЛИЧЕСТ ВО УТ ИЛИЗОВАННЫХ Т ВЕРДЫХ ОТ ХОДОВ Г/ Л НАПИТ КА 2,6664 2,3442 0,57 06 1,3338 1,7 2 1,5
7 КОЛИЧЕСТ ВО ВТ ОРИЧНО ПЕРЕРАБАТ ЫВАЕМЫХ ОТ ХОДОВ Г/ Л НАПИТ КА 0,0000 0,0000 0,0000 0,0000 0,0000 0
8 % УТ ИЛИЗОВАННЫХ И ВТ ОРИЧНО ИСПОЛЬЗУЕМЫХ ОТ ХОДОВ ОТ ОБЩЕГО КОЛ-ВА
7% 10% 6% 8% 12% 10%
9 КОЛИЧЕСТ ВО ОРГА НИКИ В СТ ОЧНЫХ ВОДАХ МГ/ ЛИТ Р НАПИТ КА 1 606,99 637 ,64 111,14 47 8,48 600 600
 The Main Issues During
Auditing Process
 Environmental Policy
 Compliance with legislation (Laws) and evaluation of
compliance (incl. own requirements)
 Correct recognizing of environmental aspects and its
significance
 Establishing objectives, targets and environmental
programmes based on significant aspects
 EMS documentation, work documentation, operational
procedures
 Emergency situations preparedness
 Internal audit, preventive and corrective actions
 Management review
 Some auditing methods

 Plant tour
 Observation and evaluation of existing environmental
performance
 Interviewing (studying of practice and mindset)
 Documentation revision (clarifying of common
understanding of procedures)
 Job records
 Questionnaires, matrix
 Example:
Coca-Cola Bottlers audit
questionnaire
TCCQS Ev 3 - The Environmental Management System Requirements – Global Audit Program
3.2 Management Responsibility
REQUIREMENTS OK NOK COMMENTS
3.2.1 Environmental Policy
Top management has issued an Environmental Policy, mission statement or other written expression of
management commitment to preserve and protect the environment.

When establishing the Policy Statement, top management has ensured it:
a) Is appropriate to the nature, scale and environmental impacts of its activities, products or
services;
b) Includes a commitment to continual improvement, effectively utilizing resources and preventing
pollution;
c) Includes a commitment to comply with relevant legislation and regulations, and with other
requirements to which the organization subscribes;
d) Provides a framework for establishing and reviewing key environmental objectives and targets;
e) Is documented, implemented, maintained, communicated and understood within the organization;
f) Is available to persons working on behalf of the organization, the public and other interested
parties..

3.2.2 Environmental Management Programs

Top management has established, implements and maintains programs for achieving its objectives and
targets.
Those programs include:
a) Designation of responsibility for achieving objectives and targets at each relevant function and
level of the organization;
b) The means and timeframe by which they are to be achieved. If a project relates to new
developments and new or modified activities, products or services, program(s) are amended
where relevant to ensure that environmental management applies to such projects;
c) Periodic reviews of the program performance;
d) Mechanisms to encourage and support opportunities for associate participation in the
development, implementation and improvement of the environmental programs.

Employees understand and incorporate applicable programs into daily work practices.
Some requirements for Auditors

 Audits must be done by qualificated group of

auditors (in the field of audit)
 Professionally (knowledge and skills in the
branch)
 Correctly (auditor – auditee relations)
 Ability to achieve the aims of audit

Remember: Our students are going to get both

position – as auditor or as auditee
Thank you for attention!