Audit

Question 1

When can a company lose their certificate?

Answer 1

If not meet all certification requirements or legal non-compliance /contracts related to EMS

can be suspended
or withdrawn if required corrections /improvements are not met

not during audits, after surveillance audits and until re-certification audit

Question 2

What findings are possible during an audit?

Answer 2

Major non-conformity: findings against a section or more in the standard, significant doubts to meet requirements, systematic failure; several minor. always findings against legislation

Minor non-conformity:
systematic failure; several observations. not affecting the capability of the system on a very high level

Observation:
item for improvement but not a symptom of systematic problem; a few failures, not many. often not need to handle ASAP

Question 3

6 appropriate questions to ask the CEO?

Answer 3

1. how does your work look to meet objectives and targets for continous improvement in practice?
2. what is the organizational context of your EMS?
3. what are the interested parties of your org?
4. what is your approach to risk and opportunities assessment?
5. what are the potential improvements of your env. performance? what is your plan for achieving these?
6. what strategies are used to involve employees and increase the internal commitment in the organisation in the EMS?

(focus on the questions on the area of specialization of the interviewed, e.g. purchasing manager should be questions related to purchasing activities)

Question 4

6 examples of persons/functions that should be interviewed

Answer 4

• CEO
• The env. manager
• The purchasing manager

+ employees, project leaders, people responsible for processes, restaurant manager, facility manager/janitor, cleaning staff

Question 5

How long time would you spend with each of the interviewed?

Answer 5

Not too long because time is limited.
CEO 30 min
Env. manager the longest time (40-45 min),
Purchasing manager maybe 20-25 min

other relevant managers 20+
employees about 10-15 min

Question 6

Things you should think of when you plan and carry out the interview

Answer 6

• choose people who are relevant, time is limited
• conduct them during normal working hours and at the normal workplace for the interviewed, realistic
• attempt to put the individual at ease prior to and during the interview
• explain the reason for the interview
• carefully select questions (e.g. open, closed, leading, appreciate inquiry)
  focus on the type of questions that make it possible to find objective evidence
• the results should be summarized and reviewed with the interviewed individual, because the non-verbal communication is limited
• be polite, clear and professional

Question 7

documents that you should look into (4)

Answer 7

• descriptions of the activities and personnel
• all documents of the EMS
• permits/control programs and other similar
• yearly report if available (miljörapport, A-, B-anläggning)

Question 8

Reason not to do the internal audit?

Answer 8

Limited objectivity; auditors can be employees of the org they are auditing, risk that they may be influenced by their relationships with others in the org.
internal audits can be conducted by an external part, but still it is the company that decides the plan for the audit procedure

Question 9

Who is deciding about what to do with the audit report? it is not public

Answer 9

The one who pays for it, therefore not always the CEO

Question 10

Documents good to prepare in advance and bring to site (5)

Answer 10

• Audit time schedule (date, location etc.)
• Checklist for the observation tour
• Questions for each interview
• Templates to fill in non-conformities
• A first draft of the report (headlines, front page, date, the auditor’s name etc).