Reviewing documents Looking at records Interviewing people at all levels Observing practices and physical environment

1. Performing an Audit and Audit Checklist
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Performing an Audit
(gathering objective
evidence)
& Audit Checklist
1
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING

2. AUDITS
 Audits are expensive
 Audits must be well managed
 Audits must not be carried out ‘by
surprise’
 Always agree mutually convenient
dates well in advance
Performing an Audit and Audit Checklist
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MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING

3. TYPICAL TIMEALLOCATION
Four Phases
40%
PREPARATION
10%
FOLLOW
10%
REPORT 4
0
4
%
0
%
PERFORMANCE
Performing an Audit and Audit Checklist
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MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING

4. Performing an Audit and Audit Checklist
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• Reviewing documents
• Looking at records
• Interviewing people at all
levels
• Observing practices and
physical environment
How do auditor find evidence ?
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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5. Performing an Audit and Audit Checklist
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Checklist Format
 Leave space for notes
 Allow space for time control and
recording
 Reference the requirements of a
u
d
i
t
criteria
 Reference the control documents
 Reference verifying documents (records)
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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6. Performing an Audit and Audit Checklist
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Checklists should:
 Be specific for a given EMS.
 Be prepared using EMS
documentation.
 Be clear about evaluation
criteria.
 Note documents to review.
 Identify records to sample (and
sample size).
 Identify key people to interview.
 Include some key questions for
interviews.
 Note physical evidence you
expect to see.
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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Checklists should NOT:
• Narrow the vision or limit
evaluation.
• Obstruct communication.
• Be too strict or constraining.
• Be a script of exact questions.
• Restrict auditor’s inquiry.
• Be yes/no lists.
• Be completely generic.

7. Performing an Audit and Audit Checklist
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What documents should be reviewed for
Document review?
 Environmen
tal manual
Procedures
 W o r k instructions
 O t h e r documents
Records
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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8. Performing an Audit and Audit Checklist
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 Posted Procedures
 Actual Operations
 Emissions Points
 Operating Logs
 Instruments with Process
Measurements
 Alarms
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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 Cleanliness & Organization
 Communications Postings
 Awareness Reminders
 Calibration Tags
 Warning Signs
Observations
 Keep observing the physical evidence:
• aspects
• equipment, instruments
• conditions, operational control
Observation – What to Look for

9. Performing an Audit and Audit Checklist
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 production line, or wherever
environmental aspects are
generated;
 waste management;
 wastewater system, including
treatment and discharge;
 air pollution: check the
controls, not necessarily
climbing smokestacks;
 fences and borders - can you
hear the organizations noise
there?;
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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Observation!
 talk to people on the field - if
you can hear them!;
 wear proper clothes and
safety equipment's - be
prepared to get dirty
sometimes!
 Look for environmental
aspects, operational
controls, potential
emergencies, spills,
monitoring equipment's…
 Ask what the dials and
meters are indicating about
operational control and
measures.

10. Performing an Audit and Audit Checklist
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Spell out 3 types of approach for Auditing
 Aspect based approach
 Process based approach
 System based approach
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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11. Performing an Audit and Audit Checklist
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Follow Audit Trails
As you audit you will find
interesting opportunities for
follow-up (audit trails).
Pick promising audit trails:
Follow itthrough
Interact withteam
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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12. Performing an Audit and Audit Checklist
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Interview Top Management
Obtain evidence of leadership and commitment
 Observe attendance and interest in opening, closing and
feedback meetings
 Review documents:
Environmental policy
Objectives
Management reviews records
 Interview members of top management:
Do they know “their” system?
Do they monitor, analyse data, draw conclusions, define actions?
 Interview personnel at other levels:
Do they understand what top management is trying to communicate?
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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13. Performing an Audit and Audit Checklist
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Always take notes
Explain the need to taken
o
te
s
to auditee
 M a k e yournotes:
• Comprehensive
• Accurate
• Precise
• Legible
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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14. Performing an Audit and Audit Checklist
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Time management
 T i m e is always short
 P l a n well
 D o not allow your audit to g
e
t
side-tracked
 D o not dig too much (beware
false audit trails)
 D o not focus on trivia
Remember an audit is
a sampling
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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