Audit Step Iso 14001 by Sgs

MANAGEMENT SYSTEM CERTIFICATIONA Partnership with SGS

2SGS is THE WORLDS LEADING VERIFICATION, TESTING AND CERTIFICATION COMPANY

CERTIFICATION AUDIT -PREPARATION

System implemented at least 3 months Conduct at least :

1 internal audit 1 management review


Submit Manual & Procedure

Stage 1Audit

(Document & Initial Audit)

Stage 1 Audit Report

Submitted

Pre-Audit

CorrectiveAction

Stage 2Audit

CorrectiveActions

Follow-up audit

6-monthlySurveillance

Audit

CorrectiveActions

Follow-up audit

3 yearY

Renewal Certification Process

CERTIFICATION PROCESS ISO14001

Min. 3 weeks before audit

OPTIONAL

major major

Max.3

months

N

Y Y

Max.3

months

Company


Submit Manual & Procedure

Stage 1Audit

(Document & Initial Audit)

Stage 1 Audit Report

Submitted

Pre-Audit

CorrectiveAction

Stage 2Audit

CorrectiveActions

Follow-up audit

6-monthlySurveillance

Audit

CorrectiveActions

Follow-up audit

3 yearY

Renewal Certification Process

CERTIFICATION PROCESS ISO14001

Min. 3 weeks before audit

OPTIONAL

major major

Max.3

months

N

Y Y

Max.3

months

Company

Submission action taken

Max.1 month

Submission action taken

Max.2 weeks


STAGE 1 AUDIT

The purpose : To review the process for identification of the

organizations environmental aspects and subsequent determination of their significance

To check whether applicable legal and regulatory requirements are known, understood and the organizations compliance status has been evaluated and addressed

To determine whether the EMS is designed to achieve the organizations environmental policy


STAGE 1 AUDIT

The purpose : To determine whether the internal audit conforms

to the requirements of the EMS standard To check whether management reviews are

conducted and that they cover the continuing suitability, adequacy and effectiveness of the EMS

To determine whether the EMS is adequately documented and responding to relevant communication from external interested parties.

AUDIT FINDINGS ARE LISTED AS IMPROVEMENT OPPORTUNITIES


PolicyObjectives and targetsSystem ManualSystem ProceduresOrganizational charts with

number of staffList significant aspectsOther 3rd level documents

Map of surrounding areaSite mapPlan of main facilitiesFloor plansProcess overview or Flow Diagrams

STAGE 1 AUDIT - Documents


Auditor shall:Review system documentationGather site documentationRegister of applicable legal and

regulatory requirements, required environmental licenses and relevant correspondence with authorities

Make cross-reference between system procedures with ISO 14001 standard requirements

STAGE 1 AUDIT Document Audit


STAGE 1 AUDIT Initial AuditInitial Audit shall shall cover : Production areas, including receiving,

packaging, delivery, storage areas All major departments including

engineering, maintenance, purchasing and sales

Facilities for liquid and solid waste, waste water, waste air treatment, incinerators

Inflammable, poisonous, irritating and other dangerous substances handled or stored on site

Water, energy, gas, raw material supply


STAGE 1 AUDIT Initial Audit

Initial Audit shall shall cover : Technical areas and utility facilities such as

generators, boilers, steam production, water treatment, cooling and air conditioning, transformers, oil and gas storage

General site (buildings, rainwater treatment, soil, open spaces, parking areas, piping and pipelines, ditches, flood protection, uncontrolled exhaust, noise, vibrations)

Transport and traffic, site access, vehicles Any on-site or offsite storage areas


STAGE 1 AUDIT Initial Audit

Initial Audit shall shall cover : General security, fire protection, access control points,

fencing, emergency facilities, earthquake preparedness Any other area for which particular legal or management

system requirements apply


STAGE 1 AUDIT REPORT

Contains : Statements of adequacy of aspect

identification & characterization, regulatory compliance and internal audit procedures or systems

Confirmation or recommended changes to plans for Stage 2 Audit

Document review and its findings General comments and list of

improvement opportunities


Audit by Environmental Aspect As a result of the Stage 1 Audit, the SGS audit

team has reviewed the list of Environmental Aspects and will use this information to plan the Stage 2 Audit.

All audit conclusions are based on the sampling of audit evidence, presented by auditees, to demonstrate effective implementation and control over the Significant Aspects as well as the progress made towards achieving the Objectives and Targets

Stage 2 -APPROACH & METHODOLOGY


Audits are aimed at seeking conformity to the documented procedures and other relevant documentation and business practices/processes as opposed to seeking non-conformity.

This audit approach/methodology is designed to contribute value to the registration process and also ensure that your EMS is achieving your goals.

Stage 2 -APPROACH & METHODOLOGY


STAGE 2 AUDIT On Site

The purpose : To confirm that the organization adheres to its

own policies, objectives and procedures To confirm that the EMS conforms with all the

requirements of the EMS standard and is achieving the organizations policy objectives

To determine whether the EMS is capable and designed to achieve continuing compliance with applicable regulatory requirements and to achieve continual improvement and prevention of pollution



Review the improvement opportunities listed in the Stage 1 audit report

Audit covers all elements of the ISO 14001 standard with special attention to Operational controls Methods of establishing, implementing and

review of environmental programs Performance monitoring, measuring, reporting

and reviewing against objectives and targets Identification and evaluation of nonconformities

and completion of corrective and preventive actions



Audit covers all elements of the ISO 14001 standard with special attention to Management responsibility for the

environmental policy including improvement and prevention of pollution

Links between policy, environmental aspects and their associated environmental impacts, objectives and targets, responsibilities, programs, procedures, performance data, internal audit and review.


Auditors meeting after Assessment

Review findings Classify findings Prepare CARs

AUDITORS MEETING


Minor CARs (Corrective Action Requests) Will be recommended for registration Close out during next surveillance audit

(6 months later)Major CARs (Corrective Action Requests)

NOT failure - but a delay in award of certificate

Will be recommended for registration after successful close out within 3 Months

Opportunities for Improvement Areas of improvement Potential non-conformance

Findings during the audit are classified as:


Minor CARs (Corrective Action Requests) A single observed nonconformance has

been identified with respect to the standard or procedure required as part of the companys management system

Company misusing a Certification Mark or an Accreditation Mark or is making misrepresentations regarding their certification

An obvious environmental aspect was not identified and evaluated

Organization has failed to manage an identified significant aspect within the EMS



Major CARs (Corrective Action Requests) Absence or a total breakdown of a

procedure required as part of the audited companys management system

Company has failed to address adequately a Minor CAR within the specified time

A nonconformance is likely to result in an immediate hazard to the environment

There is significant occurrence of minor non-conformance against a particular element of the Management System Model or within a single department or activity



Major CARs (Corrective Action Requests) Organizations fails to demonstrate that it

has evaluated legal and regulatory compliance and that action has been taken in cases of non-compliance with relevant legislation and regulations

Theres a misrepresentation in the policy statement, or where there is insufficient evidence that the EMS is appropriate to the nature, scale and environmental impact of the organizations activities, products or services

Failure to meet objectives and targets was not recognized in due time



Team leader advises company of RECOMMENDATION Confirmation of scope Explanation of findings MR acknowledges CARs

CLOSING MEETING


Official Report

Certificate and Assessment Schedule

Promotional Materials Banner Flags Website link

Post Audit


Certificate OOO1

The management system of

PT XYZ

ADDRESS

ADDRESS

CITY, COUNTRY

has been assessed and certified as meeting

the requirements of

ISO 14001For the following activities

( SCOPE )

This certificate is valid from 07 March 2003

until 07 March 2006

Issue 01. Certified with SGS since March 2003Authorised by

SGS United Kingdom LtdSystems & Services Certification

Rossmore Business ParkEllesmere PortCheshireCH65

3ENUK

t +44 (0)151 350-6666f +44 (0)151 350-6600www.sgs.com

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THE CERTIFICATE


To ensure that your EMS continues to provide value to your organization.

SGS will evaluate your conformity to the ISO 14001 requirements, your own Environmental Objectives and Targets, and improvements made to the system.

SGS will identify areas that are not conforming and also identify opportunities for improvement.

Surveillance APPROACH & METHODOLOGY


Conducted every 6 months at a date convenient to you All EMS elements shall be audited at least once during 3

years surveillance cycle Mandatory items to be audited

Significant changes to the EMS documentation Internal audit system Preventive and corrective action Management review and performance evaluation Accidents and other reported incidents

SURVEILLANCE VISITS


Mandatory items to be audited Communication from external interested parties as

required by the EMS standard Areas subject to change (e.g. changes in legislation,

objectives, programs, etc.) Commitment for continual improvement and

compliance with regulatory requirements

SURVEILLANCE VISITS


WHEN YOU NEED TO BE SURE!

SGS Systems Services and Certification

PT SGS INDONESIAWorld Trade Center, 14th floor,Jl. Jend. Sudirman, KAV 29-31,Jakarta

Ph. 62 - 21 - 521.1211Fax. 62 - 21 - 526.4536E-mail: [email protected]: www.sgs.co.id

Audit Step Iso 14001 by Sgs

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