Why Audit? What Is the Difference Between Regulatory Auditing and ISO 14001 or 45001 Auditing?

Why Audit? What is the Difference
Between Regulatory Auditing and
ISO 14001 or 45001 Auditing?
1

Rick Foote
Regional Director of EHS – New England
Triumvirate Environmental
rfoote@triumvirate.com
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Meet Your Presenter

10 Reasons You Should Audit
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1. To determine if your EH&S programs are working
2. To verify that your employees and management are engaged in your EH&S programs
3. To verify that your processes are in compliance
4. To verify compliance with applicable regulations
5. To determine if you are documenting your EH&S
activities properly
6. To discover and identity potential
issues/hazards
7. To evaluate the effectiveness to existing
management controls
8. To check the safety of your workplace
9. To check the safety of your equipment
10. To evaluate the adequacy of your supervisors’ safety
training and performance

Why ISO?
• Improved company EH&S culture
• Improved consistency
• Increased team focus
• Better efficiency, reduced waste, and
cost savings
• International recognition
5

What is ISO
14001:2015?
The ISO 14001 Environmental
Management Standard (EMS)
was introduced in 1996 to help
organizations manage the
environmental aspects that are
under organizational control. ISO
14001 is one of the only
environmental management
standards that can be certified by
an external authority.
7

What is EMS
14001:2015?
• An EMS meeting the requirements of
ISO 14001:2015 is a management tool
enabling an organization of any size or
type to:
▪ identify and control the environmental impact of
its activities, products or services, and to
▪ improve its environmental performance
continually, and to
▪ implement a systematic approach to setting
environmental objectives and targets, to achieving
these and to demonstrating that they have been
achieved
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Structure of ISO 14001
1. Scope
2. Normative references
3. Terms and definitions
4. Context of the organization
4.1 Understanding the organization and its context
4.2 Understanding the needs and expectations of
interested parties
4.3 Determining the scope of EMS (Boundary)
4.4 Environmental management system
5. Leadership
5.1 Leadership and commitment
5.2 Environmental policy
5.3 Organizational roles, responsibilities and authorities
6. Planning
6.1 Actions to address risks associated with threats and
opportunities
6.1.1 General
6.1.2 Significant environmental aspects (a life
cycle perspective)
6.1.3 Compliance obligations
6.1.4 Risk associated with threats and
opportunities
6.2 Environmental objectives and planning to achieve
them
7. Support
7.1 Resources
7.2 Competence
7.3 Awareness
7.4 Communication
7.5 Documented information
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Define the Objectives
• The first step to becoming certified as an ISO 14001
organization is to define your organization's EMS objectives
• In general, there are two classes of objectives, internal
objectives and external objectives
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Internal Objectives
• Internal objectives define activities
and practices that meet an
organization's internal environmental
policies. These policies may be part
of an organization's mandate or
could help to assure employees that
their organization is environmentally
responsible.
11

External Objectives
• External objectives can include
assurances of environmental
responsibility to external
customers, regulatory agencies or
the community at large. Objectives
can include ensuring that an
organization's supply chain meets
overall organizational
environmental management
policies
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Aspects and Impacts
• The organization shall establish and maintain (a) procedures to
identify the environmental aspects of activities, products or
services that it can control and over which it can be expected to
have an influence, to determine those which have, or can have,
significant
• impacts on the environment. The organization shall ensure that
environmental aspects related to these significant impacts are
considered when setting environmental objectives
• The organization shall keep this information up to date
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Environmental Aspects
• An environmental aspect is the way
your activity, service, or product
impacts the environment
• For example, one of the
environmental aspects of car washing
may be a cleaning agent that has
potential for water pollution (this
pollution is the environmental impact)
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Environmental Aspects
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Activity, Service Environmental Aspect Environmental Impact
Car Washing Cleaning water in wastewater Potential Water Pollution
Impact to natural resourcesUsing Water
Use of a Boiler

What is OHSA’S
45001/2018
• Standard that specifies requirements for
an occupational health and safety (OH&S)
management system, with guidance for its
use, to enable an organization to
proactively improve its OH&S performance
in preventing injury and illnesses
16

What is OHSAS
45001/2018
• ISO 45001 is intended to be applicable to any
organization regardless of its size, type and
nature. ISO 45001 enables an organization,
through its OH&S management system, to
integrate other aspects of health and safety,
such as worker wellness/wellbeing; however,
it should be noted that an organization can be
required by applicable legal requirements to
also address such issues.
17

Structure of ISO45001
• Scope
• Normative references
• Terms and definitions
• Context of the organization
• Leadership
• Planning
• Support
• Operation
• Performance evaluation
• Improvement
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Context of the Organization
• Section 4 requires each organization to analyze and understand
the context of its activities, both externally and internally, and
understand the needs of interested parties. Among other things,
this will include understanding legislation, employee,
stakeholder and shareholder requirements.
• It will also go a long way towards defining the scope of your
OH&S management system. It is also worth noting that the
standard requires this to be retained as documented
information, and is a key part of ISO 45001 structure.
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Leadership
• The Leadership section encourages both management
commitment and involvement from employees. This gives an
implied outcome that health and safety should become
embedded in an organization’s activities, as opposed to the
concern of one responsible individual, as was possible in the
past under the terms of OHSAS 18001.
• For example, sharing tasks and responsibilities across the team
can ensure that knowledge is shared, and multiple team
members become proficient in the running of the system. This
allows consolidation of the culture and reinforcing the
importance of OH&S within the organization.
20

Planning
• Planning to avoid undesired outcomes such as failures to meet
legislation or the risk of employee injury is at the heart of the
ISO 45001 standard, which now recognizes “opportunity” as a
key element of OH&S activities. Critically, Section 6 deals with
objective-setting for the OH&S management system, and there
are also requirements to document some aspects of this section
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Planning
• Clause 7 covers “support” elements such as communication,
competence and awareness and documented information as well as
resources. These specific requirements should ensure that the
OH&S management system is more aligned with the activities of the
business as a whole than may have been the case under OHSAS
18001.
• In your organization it is important to ensure that top management
play a leading part in the communication process, and that
employees are consulted when key information is recorded as
documented information. Such decisions can ensure that the
business objectives and the OH&S management system are closely
related
22

ISO 45001:2018 Review
• OHSAS 18001
▪Explains requirements of the specification
▪Demonstrates how to work towards implementation
and registration
• Together they comprise an emerging standard and
methodology to address health and safety in an organization
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Standards Are Based On
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Plan - establish the
objectives and processes
necessary to deliver results
in accordance with
Takasago' OH&S Policy
Do - implement processes
Check - monitor and
measure processes against
the OH&S policy,
objectives, legal and other
requirements and report
the results
Act – take actions to
continually improve OH&S
performance.

ISO Review
• Both the Environmental Compliance and
the Occupational Health and Safety
Assessment Series are comprised of 2
parts:
▪ Assessment specification for
Environmental Management and
Occupational Health and Safety
Management Systems
▪ Developed to help organizations meet
environmental, health and safety
obligations
26

ISO Benefits
• Demonstration of conformance to third
parties and of due diligence
• Deployment of method for continual
improvement of the environmental, health
and safety management system
• Increases your reputation for
environmental, safety and occupational
health at your facilities
27

EH&S Basics
• The Assessment Series Standard
specifies requirements for
Environmental, Health and Safety
Management System which enables
organizations to control its EH&S risks
and improves its EH&S performance.
• It does not state specific EH&S
performance criteria, nor does it give
detailed specifications for the design of
a management system.
29

ISO Document Review
• This is the first step in assessing your
quality management system. The ISO
auditor compares your documented
system with the requirements of the ISO
standard. Documentation must be
approved before certification can be
granted. The document review is
normally conducted on-site but may be
conducted off-site
30

ISO Pre-Audit
Assessment
• Two types of pre-assessments:
▪ Desk audit: This is primarily an over-the-
desk audit, with limited access to records.
It assures that you understand and
correctly apply the ISO standard. You
receive a written report.
▪ Dress rehearsal: This is an abbreviated
version of the ISO certification audit.
Personnel are interviewed; objective
evidence is gathered and evaluated.
31

ISO Initial
Assessment: Stage 1
• The first stage involves determining the
company’s state of readiness and defining
the approach and duration of the second
stage. During Stage-1, the lead auditor will
finalize the document review, execute a
facility inspection (inside the facility,
outside, and the entire grounds), review the
environmental permits applicable to the
organization, and review the organization’s
identified environmental aspects and
impacts. This stage will involve a limited
number of personnel, including the
management representative.
32

ISO Initial
Assessment: Stage 2
• This second stage is used to
determine the extent of
implementation and effectives of the
environmental management system.
The ISO auditor will execute an
extensive review of records and
interview a significant portion of the
employees – at all levels of the
organization.
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ISO Initial
Assessment:
• Both stages involve open
communication. We let you know at
once what we are seeing, doing, and
finding. We invite your feedback
and discussion.
• No one knows your company like you
do, so we don't come in with
preconceived ideas. We are open-
minded and objective.
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Time Line
• Process typically can take from a
few months up to 18 months to
complete
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Conclusion
• An EMS Management system helps you stay in compliance
• Once the program is in place, it is relatively easy to maintain
• The MADEP has a similar process that they recommend for
compliance
• Some clients chose to complete the process but not get
certified.
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Why Audit? What Is the Difference Between Regulatory Auditing and ISO 14001 or 45001 Auditing?

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Why Audit? What Is the Difference Between Regulatory Auditing and ISO 14001 or 45001 Auditing?