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Title: Integrating ISO 14001 into a Quality Management System Author: Block, Marash Publisher: ASQ Notes: Valuable for managers of organizations with quality management systems already in place, this timely book explains how to expand existing systems to accommodate the new ISO 14001. It helps avoid potentially costly overlap by reviewing and comparing the exact requirements of the popular ISO 9001 and ISO14001, then explains how to integrate these requirements into one cohesive system that is measurably more cost-effective--and profitable (From Amazon.com)
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You can order this book from internal-auditor.com at: http://www.internal-auditor.com/books.htm |
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This Month's Feature ArticleIntegrating QMS and EMS AuditsWe have been auditing our quality management system for years. We are comfortable auditing it. We might even have found some real opportunities to improve by auditing the QMS. Now, there is a new challenge. Our company is pursuing this thing called ISO 14001 and we are developing this thing called an Environmental Management System (EMS). The question was raised whether we should integrate our EMS internal auditing with our existing QMS internal audit program. Our internal auditors are livid! Another management system has invaded our castle! What are we to do? This scenario is played out daily around the world. As ISO 14001, environmental management system standard gains acceptance, more and more companies will attempt to merge their EMS with their QMS. But should they? If they do, what impact will there be on our internal auditing program? Let's take a look at the case against integration, the case for integration, and some tips to make integration smoother. The Case Against Integration Different Requirements Auditing EMS is a totally different world from auditing QMS. Although there are many similarities, the differences that exist are significant. There are major differences in what type of evidence is available. It is not that auditing EMS is harder, auditing EMS is just different. The rules are different, what you are auditing is different, and the requirements are different. Different Organizational Rules The organization's rules for auditing EMS is different from the rules for auditing QMS. The processes are different and how the requirements of the standard are met are also different. This could lead to confusion in development and implementation of an integrated system. Liability Whereas QMS has the possibility of shutting a plant down, EMS has the possibility of sending someone to jail! That is a big difference! Auditing the EMS plays a major role in ensuring that environmental regulations are being maintained and complied with. There is no real parallel in QMS. It could be catastrophic if the same lax QMS auditing be applied to EMS. Separate Registrars Many companies want to keep their EMS and QMS completely separate. They will go as far as to have separate registrars. In this case, the organization clearly will want to separate the EMS and QMS internal auditing. Auditor Qualifications Probably the largest factor in the case against integration is auditor qualifications. All of the above indicated the EMS auditors need specialized training that is far different from QMS auditor training. EMS auditors need to understand the complex rules surrounding environmental compliance. The Case For Integration Each of the above are reasons for not integrating the EMS internal audits with the QMS internal audits. In many cases, the reasons listed might make good business sense. In other cases, they might not make good business sense. Now we will examine the reasons why an organization might want to integrate the EMS and QMS auditing functions. Common Requirements There are requirements that are common to both ISO 9001 and ISO 14001. Specifically management review, training, document control, records and auditing. It makes sense to merge these as much as possible. Maximizing Resources In today's business environment, most companies simply cannot afford to maintain separate auditing resources. Using current QMS auditing resources to perform, or augment EMS auditing allows organizations to achieve the impact they need with little additional resource allocation. Auditor Qualifications QMS auditors have valuable experience that can be applied to the EMS audit. They understand the concepts of auditing, objective evidence, and issuing nonconformances. They are familiar with understanding the requirements of a standard and of the organizational documentation. Their experience can be invaluable in developing and maintaining an effective EMS internal audit program. Augmenting QMS internal auditors with trained EMS internal auditors will maximize the auditor base and provide a well rounded internal audit program. Process Control In many cases, environmental program management activities can (and are) incorporated with the normal process control. QMS internal audits already determine the effectiveness and compliance with established process controls. Adding the EMS component can be accomplished fairly easily with minimal training for auditors. When QMS auditors teamed with trained EMS auditors, auditing process control is greatly enhanced. Steps for Integration So the decision is to integrate your EMS internal audits into your QMS audits. How do you go about it? The following are some considerations for integrating EMS auditing into existing QMS activities. Integration Level When integrating, the first consideration is at what level to integrate. For some reason we tend to feel that integration must be full, or none. Instead, we only need to integrate those parts that make sense. Many of the EMS requirements are very similar to the QMS requirements. While a QMS internal auditor may not be qualified (or competent) to audit environmental compliance, the same auditor may have a better understanding of management review, internal audits or corrective actions. These common elements of either system can be easily audited by either EMS or QMS internal auditors. This is also the starting point for integration. As the system matures, the integration level can become deeper, encompassing more territory. Auditor Selection As we integrate, the QMS/EMS will become larger (but smaller than two separate systems). It will require more resources. This means auditing will also require more resources. We must be very careful here, to ensure your auditors are not overloaded. Auditor selection should focus on the auditing needs as well as the auditor needs. There are parts of the EMS that certain QMS internal auditors will feel unqualified to audit. It would be advantageous to have EMS internal auditors take the lead in these instances. Remember, integration of EMS into QMS does not mean you will not need EMS internal auditors. Auditors, regardless of the management system will have to be qualified and competent. Audit Schedule Scheduling an integrated audit can be a bit tricky. Once again resource management is the key. Scheduling the integrated audit can be accomplished several ways. EMS and QMS auditors could audit independently, or together. The organization has full flexibility to schedule the auditing in a manner that meets their needs. Audit Conduct Conducting an integrated audit is much the same as a regular QMS internal audit. The auditors will use the same basic methods, and look for evidence that the system is implemented and effective. The same audit reports can be used. The primary difference will be in the checklists. But this is really no difference because we do not use the same checklist for each part of the QMS. Summary: Integrating the EMS internal auditing into the QMS internal audit program is not an easy task. It is often challenged by auditors and auditees alike. In many cases, however it makes good business sense to integrate what parts are able to be integrated. Integration, even partial makes both management systems stronger, more effective and could lead to lasting continual improvement. As always...Good Auditing! |
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Question and Answers: Q – I have a partially integrated system. Do my auditors have to be trained in both EMS and QMS? A – Auditors must be competent to audit. If an auditor audits only EMS, then they do not need to be trained in QMS, and vice versa. If you use an auditor to audit both the EMS and QMS, then they need to be competent in both areas. |
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Element Understanding: ISO-9001:2000 Clause 6.1Provision of resources " The organization shall determine and provide
resources needed When providing resources, the organization must include the resources needed for internal auditing. This means that if you are integrating the EMS into your QMS, you must ensure you maintain enough internal auditing resources to ensure the QMS is not shorted by sharing with the EMS. Likewise, you cannot short the EMS by sharing with the QMS. You can use the same resources for both, but make sure the resources allocated are sufficient. |
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Monthly Scenario Explained: June
2001’s question: You are auditing purchasing. The work instruction for record keeping has all the Records listed, shows who is supposed to keep which record, how they are to be filed, where they are to be stored, and how long each is to be kept. It identifies the Purchasing Manager as responsible for keeping the Purchase Orders, so for a sampling you choose this record keeping activity to audit. You start with the Purchasing Manager and ask to see completed Purchase Orders. You are shown the filed copies and notice that they are in filed in alphabetical order by Supplier name. The Work Instruction states they would be filed in numerical order. When you question this, the Purchasing Manager states “It’s more logical to file them this way so we can find them when we need them. Show me in the ISO standard where it says I have to file these in numerical order and I’ll do it, otherwise I’m going to do it this way.” The
answer: This is a classic example of when the action does not match the documentation. It is also a classic nonconformance. As an auditor, you can play this to end up as either a hero, or a heel. If you play the "gotcha" role, you will be thought of as a nitpicking heel. If you explain that this is the opportunity for the auditee to make the changes in the work instruction so the activity makes sense, you can show your intent is to make the system work, not to catch the auditee doing something "wrong". You will then be a hero. |
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The Back Page:
I do not keep it secret that I work closely with the Michigan Manufacturing Technology Center. I work with them because I am fully committed to the concept of the Manufacturing Extension Partnership, or MEP. I have seen the good the MEP does. It is often the last resort for small manufacturing enterprises. MMTC is a MEP center, serving the entire state of Michigan with their affiliates in Grand Rapids, Flint, Saginaw, Traverse City, and Marquette. With
the new proposed federal
budget, almost all funding
for the MEP network is being
eliminated! This could be devastating
for small, medium and even
large manufacturers. We have
set up a page on one of our
sister sites that explains
the issue and how you can
help. Please visit: Dave ...Good auditing!
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Copyright notice: internal-auditor.com is
fully protected under US and International copyright laws. Copying, or
re-transmitting all, or any part of internal-auditor.com is expressly forbidden
without prior written consent from Ruth Ellen Carey Communications.
Because this site uses information from many different sources, it must be pointed out that any advice, tips, information, etc., provided should be regarded as opinion and not fact! What works well for one company may be a disaster for another. Also, what one registrar, or auditor may allow, another may not. As always, reflect on what you read, see if it fits into your own quality system, and if it conflicts with your auditor...you've got to make a decision |
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