Auditors Training PDF

ISO 14001 EMS and OHSAS 18001
OH&S Programs –
Development, Benefits and Incentives
Heather Ingraham,
CHMM, Principal
RABSQA ISO 14001 Lead
Auditor Trained
1
This Session
 ISO 14001 EMS and OHSAS 18001

H&S Programs - Overview and
Requirements
 Steps to Develop Your Own Programs
 Benefits and Incentives of Programs
 Challenges and Hurdles
2
ISO 14001 EMS and OHSAS
18001 H&S Programs –
Overview and
Requirements
3
ISO 14001 EMS
 Acronyms
– ISO = International
Organization for
Standardization
 ISO 14001 = standard
for Environmental
Management Systems
(EMS).
 Most recent version
dated 2004.
4
OHSAS 18001 H&S
 OHSAS 18001:2007; Occupational health and safety
management systems - Requirements
– Became Standard in 2007
• most recent version
– Aligned with ISO 14001 standard sections.
– Occupational, Health and Safety Assessment Series
– Standard for Occupational, Health & Safety Risk.
– Standard, but not an “International Standard” at this time.
 OHSAS 18002:2008; Occupational Health and

Safety Management Systems, Guidelines for the
Implementation of OHSAS 18001:2007.
5
Integrated Management
Systems
 IMS or EHSMS = Integrated Management
System or Environmental Health & Safety
Management System
– May include both ISO 14001 EMS and OHSAS
18001 H&S Programs, (and sometimes ISO 9000
Quality).
6
Purpose -
ISO 14001 EMS and OHSAS 18001 H&S
 Written generally so they are applicable to all types

and sizes of organizations.
 To assist organizations in the establishment and
achievement of sound EHS goals.
 To provide organizations with a practical EHS
Management System model that can be integrated
with existing management systems.
 Intended to focus on EHS elements that an
organization can reasonably be expected to control.
 Not intended to increase or change the legal
obligations of organizations.
7
Continual Improvement
EHS Policy
Planning
• Environmental aspects
• HIRARC (Hazard ID Risk
Management Review Assessment and Risk Control)
• Legal & other requirements
• Objectives & targets
• EHS management program
Implementation &
Checking & Corrective Operation
• Structure & responsibility
Action • Training, awareness & competence
• Monitoring & measurement
• Non-conformance, corrective & • Communication
preventative action • EHSMS Documentation
• Records • Document control
• EHSMS audit • Operational control
• Emergency preparedness and
response
8
Basic Elements -
 General Requirements
 Environmental Policy, OH&S Policy
 Planning
– Environmental Aspects (EMS)
– Hazard Identification, Risk Assessment,
Controls (H&S)
– Legal and Other Requirements
– Objectives (Targets) and Programs
9
Basic Elements -
 Implementation and Operation

– Resources, Roles, Responsibility,
(Accountability) and Authority
– Competence, Training and Awareness
– Communication, (Participation and
Consultation)
– Documentation
– Control of Documents
– Operational Control
– Emergency Preparedness and Response
10
Basic Elements -
 Checking
– Performance Measurement and Monitoring
– Evaluation of Compliance
– Incident Investigation (H&S)
– Nonconformity, Corrective and Preventive
Action
– Control of Records
– Internal Audit
– Management Review
11
Common Principles –
Quality Management Systems (ISO 9001 or others)
 Roles/Responsibilities
 Competence Training and Awareness
 Communication
 Documentation
 Document Control
 Monitoring and Measurement
 Nonconformance, Corrective and Preventive Action
 Records
 Internal Audit
 Management Review
Approx. 50% of programs - DUPLICATED.

12
ISO 14001 EMS Overview
 EMS
– System to implement an organization’s environmental policy and
manage its environmental aspects.
 Environment
– Surroundings in which an organization operates (air, water, land, natural
resources, flora/fauna, humans and their interrelation…)
 Environmental Aspect
– Element of an organization’s activities or products or services that can
interact with the environment.
 Environmental Impact
– Any change to the environment, whether negative or positive, in whole or
partially resulting from an organization’s environmental aspects.
 Significant Environmental Aspect/Impact
– A significant environmental aspect has or can have a significant
environmental impact (environmental change).
13 – Ranked, based on frequency and severity.
ISO 14001 EMS Overview
Activity/Product/Service Aspect Impact
Material Storage
AST - Transfer of Spills of hazardous Release to air,
Material materials during contamination of soil
transfer from x into y. and/or stormwater,
Leaks due to failure waste generation
of tank. from spill cleanup
General Environmental
Waste Reduction Corrugated Reduce landfill use,

(Positive Aspect) cardboard recycling less pollution
14
OHSAS 18001 Overview
 Hazard
– Source or situation with a potential for harm in terms of human injury or ill
health, damage to property, damage to the workplace environment, or a
combination of these.
 Risk
– Combination of the likelihood and consequences of a specified hazardous event
occurring.
 Risk Assessment
– Overall process of estimating the magnitude of risk and deciding whether or not
the risk is tolerable.
 Hazard Identification, Risk Assessment and Risk Control =
HIRARC
– Ranked based on frequency and severity
– For those with High Risk, develop targets, objectives and management
programs to reduce risk and develop controls.
 Examples
– H&S – Chemical exposure, Pinch Points, Lifting Devices, Confined
15
Space, Electrical
OHSAS 18001 Overview
Pinch Points
Lockout/Tagout Cut Hazard Slips/Trips hazard
16
Steps to Develop Your Own
Programs
17
Steps
1) Getting Started (Scheduling, organizing)

– Scope, Baseline Gap Analysis
2) Developing Programs
3) Internal Auditing and Training
4) Obtain Registrations
5) Maintaining Systems and
Registrations
18
1) Getting Started
 Initial Training/Overview for Management Team
 Determine Scope of programs

– Which programs going to develop, integrate, obtain Registrations?
– How to approach certification for company with multiple facilities?
– What operations are covered (e.g. off-site warehouses)?
 Roles, Responsibilities, and Authority Clearly

Defined, Documented and Communicated
– Ensure full Top Management support (from beginning to end)
– Identify EHS Management Representative
– Identify ISO 14001/OHSAS 18001 Program Team
19
1) Getting Started
 Baseline Gap Analysis

– Internal Assessment of current programs, procedures,
systems in relation to ISO 14001 and OHSAS 18001.
– Include Recommendations to address findings.
– Help to identify gaps in programs and level of effort and
resources needed to get system ready for registration.
– Includes:
• ISO/OHSAS Element; Rating; Nonconformity
• Recommended Corrective Action (CA) or Opportunity for
Improvement (OFI)
20
 Address Findings from Gap Analysis.
 Perform Aspect/Impact Analysis, Hazard
Risk Identification and Control Analysis
for all operations.
– Include off-site and
Positive aspects (P2).
– Train key implementers in
Hazard Identification
Risk Assessment, Risk Control
(HIRARC),
and Aspects Identification
21
 EHSMS Documentation
– Model set of documents/Tiered approach
– (Policy, Procedures, Work Instructions).
– Document Control
– Records Management
 New Programs on Sig. Aspects
– Operational Control, Monitoring/Measuring
22
 Program EMS/H&S Awareness Training

for all employees, contractors…
– Can include give-aways (make it fun!!)
– Include policy, sig. Aspects/Impacts and high
H&S risks, roles/resp.
 Detailed Training
– Require more detailed training for personnel
who’s work affects sig. Aspects/impacts and high
H&S risks.
23
3) Internal Auditing and Training
 Identify Internal Auditing Team

 Team receives Internal Auditing
Training by Lead Auditor (4-8 hrs)
 Perform Internal Audits
– Work to address Corrective/Preventive
Actions identified.
24
4) Obtain Registrations
 Identify and interview Registrar

companies and registrars
– Auditor Determines Conformance With Standards
 Certification Phases
– Preassessment (optional)
– Stage I
– Stage II
 Receive Registrations
25
5) Maintain Registration
Internal
 Continue all programs, internal audits
 Document management
 If any changes or programs implemented
that affect aspects/impacts and/or
hazards/risks, update documentation.
With Registrar
 Yearly Surveillance Audits (6 or 12 mo)
 Three Year Full System Reassessment
26
Benefits and Incentives of
Programs
27
Benefits –
ISO 14001 and OHSAS 18001 Programs
 Program requires all is documented, covered

and coordinated for the future.
 Help solidify/strengthen existing
Environmental and/or Health & Safety Policy.
 A way for organizations to do the right thing
without the need for additional government
regulations, involvement, intrusion.
28
Benefits –
 Environmental management excellence

 Reduction in environmental compliance
violations
 Increased complexity of the regulatory
requirements.
 Reduction in health & safety hazards, risks =
less injuries
29
Benefits & Incentives
 USEPA Consent Orders

– Many mandating EMS
 State EPA/DNR Incentive Programs
– Less stringent with inspection frequency, and
penalties
– Many States with programs (see attachment)
– Example: WDNR Green Tier Program
30
WI Green Tier Program
 Website:
– http://dnr.wi.gov/topic/GreenTier/
 Information Provided
– Application process guidance
 Tier I - EMS that meets WDNR criteria
 Tier II - EMS that is ISO 14001 Registered
– EMS System Requirements
– List of auditors and advisors
– List of companies in the program
31
WI Green Tier Program
32
Benefits –
 Presidential Directive
– Executive Order 13423, “Strengthening Federal
Environmental, Energy, and Transportation
Management,” January 24, 2007
– Governmental agencies to develop EMS.
• Specific Sectors (DoD)
• General Sectors (both public & private)
 OSHA VPP
– Similar sections to OHSAS (employee part.,
hazard analysis…)
33
Benefits –
 Sustainability/Green Movement
– Corporate Sustainability Report (CSR)
– Many actions taken w/in EMS coincide with GHG
reduction, energy reduction, natural resource use
reduction…
– Customer expectations, perceived brand value,
stakeholder/employee pressure
– Responsible corporate reputation
– Sales Opportunities
34
Challenges and Hurdles
35
 Engaging Top Management and Team

support throughout
– Keeping the program going after Certification
– Program should not be sole responsibility of EHS
Manager or Corporate EHS.
 Set realistic timelines and appropriate
resources
– Depending on size of company/facility, realistic to
set 6-12 month goals from beginning to end.
36
 Developing a useful system that works within

current systems, personnel and operational
structure.
 Much easier to implement system if Quality
system is in place.
– Already have auditors identified/trained who can be used for
these programs
A proven way to reduce costs, strengthen

compliance, and improve operations.
37
Other ISO Standards
 ISO 31000 – Risk Management

 ISO 26000 – Social Responsibility
 ISO 50001 – Energy Management
38
Questions
Please feel free to contact me at any time

with questions or to request example
documents.
Heather Ingraham, CHMM

Principal
EHS Compliance Auditor
URS Corporation
[email protected]
Office: 312-577-6474
39
Direct cell: 312-282-2501

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ISO 14001 EMS and OHSAS 18001

 ISO 14001 EMS and OHSAS 18001

 OHSAS 18002:2008; Occupational Health and

 Written generally so they are applicable to all types

 Implementation and Operation

Approx. 50% of programs - DUPLICATED.

Activity/Product/Service Aspect Impact

Waste Reduction Corrugated Reduce landfill use,

Lockout/Tagout Cut Hazard Slips/Trips hazard

1) Getting Started (Scheduling, organizing)

 Determine Scope of programs

 Roles, Responsibilities, and Authority Clearly

 Baseline Gap Analysis

 Program EMS/H&S Awareness Training

 Identify Internal Auditing Team

 Identify and interview Registrar

 Program requires all is documented, covered

 Environmental management excellence

 USEPA Consent Orders

 Engaging Top Management and Team

 Developing a useful system that works within

A proven way to reduce costs, strengthen

 ISO 31000 – Risk Management

Please feel free to contact me at any time

Heather Ingraham, CHMM

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