environmental managing assessment audit 12004

8/12/2019 Environmental managing assessment Audit 12004

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Dr X.D. Li’s internal teachingmaterials at PolyU

Environmental ManagementSystems and Audit

♦

Environmental Audit♦ Introduction to Environmental Audit (pre

audit stage)

♦ Environmental Auditing Procedure (on-site

activities)

♦ Post Audit Stage with Case Studies Dr X.D. Li’s internal teachingmaterials at PolyU

What is an Environmental Audit?♦ ISO 14000 Series definition:

‘

A systematic documented verification process of objectively obtaining andevaluating evidence to determine whetherspecified environmental activities, events,conditions, management system, orinformation about these matters, conformwith audit criteria and communicating theresults of this process to the client

’

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Audit Characteristics

♦ Systematic The audit should be rigorous and thorough

♦ Documented The audit should be recorded for inspection,

and any documentation created or collectedduring the audit should be clearly identified.

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Audit Characteristics

♦ Objective

The audit should be based on fact andunbiased.

♦ Periodic

Regular audit to check the progress and

improvement

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Focus of Environmental Audit

♦ Focus on environmental control:− elimination of hazards− waste minimization− control of operations by standards and

procedures− monitoring / review of systems and

achievements

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Focus of Environmental Audit

♦ Demonstrate proactive approach to:

− operational problems and practicalsolutions

− legislative fulfillment− present and future societal needs

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Benefits of Environmental Auditing

♦ Legislative Compliance♦ Financial Savings♦ Improved Safety♦ Improved Productivity♦ Reduced Risk of Environmental Damage♦ Reporting

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Some Definitions♦ Auditor

♦ Client

An individual performing an audit,or part thereof, who has met thecriteria specified in ISO 14012.

The person or organizationcommissioning the audit. The Clientmay be the auditee or any otherperson or organization who has theauthority to commission an audit.

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Some Definitions (cont.)♦ EMS

The organizational structure,responsibilities, practices,procedures, processes and

resources for implementing andmaintaining environmentalmanagement.

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Some Definitions (cont.)

♦ AuditCriteria

♦ AuditFindings

Policies, practices, procedures orrequirements against which theauditor compares collected evidence

about the subject matter. The results of the evaluation of the

collected audit evidence comparedwith the agreed criteria. The findingsform the basis of the audit report.

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♦ AuditTeam

♦ Auditee

A group of auditors or single auditordesignated to perform a given audit.

An organization, or part thereof, tobe audited.

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♦ Environmental Performance

An organization's achievement inmanaging the relationship between thefull range of its activities and theirsignificant environmental risks andeffects.

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♦ Evidence

Qualitative or quantitative verifiableinformation, records, or statements of factbased on interviews, examination ofdocuments, observation of activities andconditions, measurements, tests, or othermeans within the scope of the audit.

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♦ Findings

The result of the evaluation of thecollected evidence compared against theagreed audit criteria.

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Areas of Environmental Audit

♦ Site− e.g., factory and surroundings

♦ Product− e.g, from raw material to use and

disposal (LCA)

♦ Process− e.g., printing process in factory

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Areas of Environmental Audit

♦ Suppliers− e.g., a selection, or all suppliers

♦ Land− e.g, during purchase or sale of land

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Audit Requirements

♦ Sufficient and appropriate informationabout the operation, organization or site

♦ Adequate resources available to supportthe audit process

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Audit Protocols

Quantified and documented systems?or

Professional judgement?

♦ Ideally an audit is a combination of both

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Pre-acquisition and Divestiture Audits

♦ Materials handling− Hazardous chemicals?− Wastes?− Fuels?

♦ Buildings− Asbestos?− Contaminated brickwork?

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Compliance Audits♦ Assessing compliance with appropriate

legislation or standards♦ Define requirements− What regulations / standards /

procedures are applicable?

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Compliance Audits♦ Records and documentation− Are there clear records to demonstrate

compliance?

♦ Monitoring data− Adequate in detail and frequency?

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Environmental ManagementSystem (EMS) Audits

♦ A check of progress against a company’senvironmental policy, objectives andtargets

− Policy implementation− Effectiveness of procedures?− Targets, monitoring and feedback − Records and documentation− Staff awareness and motivation− Evidence of improvement

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Single Issue Audits

♦ A review of all activities that relate to theissue under consideration

− Most common issues Waste and Energy− Data collection (what, where, when, how

much?)− Current procedures for monitoring and control−

Site survey− Assess against industry standards and best

practice

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Supplier Audits♦ A check on suppliers to determine whether

their operations and procedures meet thesame environmental standards

− Evaluate the environmental sensitivity of thematerial / service supplied

− Find out the standards of environmental

management practiced− Identify areas where improvement is needed

to meet policy requirements

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Resourcing the Audit♦ Or an external agency

− most independent− most audit expertise: BUT− more disruptive

♦ Or a combination of the two

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The Audit Team

♦ Size of team reflects scale of audit

and time scale

♦ Keep the team as small as possible

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The Audit Team

♦ Team always includes:− Team Leader

− Local auditor coordinator

♦ Team may includes:− Specialists− Field Auditors

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Auditor Attributes♦ Independence− auditors should be independent of the

activities that they audit

♦ Objectivity− auditors should be impartial and provide

an honest, unbiased and completesummary of their findings

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Auditor Attributes

♦ Experienced− auditors should possess an appropriate

combination of knowledge, skills andexperience to carry out the audit

♦ Qualified− for ISO audits, auditors should meet the

qualification criteria defined in ISO 14012

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Auditor Responsibilities

♦ Task preparation and planning♦ Collection and analysis of relevant and

sufficient evidence♦ Remain alert to indications of evidence

that may influence the audit findings

♦ Documentation of individual findings♦ Preparing working documents

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Team Leader♦ Characteristics

− experienced− understands the audit process− understands the operation or process− usually from outside the facility being

audited− good communicator

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Team Leader

♦ Roles and responsibilities− leadership− planning of all stages of the audit− allocate tasks and responsibilities− ensuring audit keeps within audit scope− ensures clear objectives and protocols− communication with team, client and audited− reporting critical non-conformities without

delay

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Audit Team Members♦ Characteristics− may be specialists in one aspect of the

audit− good communicator− knowledge of the audit process− knowledge of the process of operation

being audited

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Audit Team Members

♦ Roles and responsibilities− prepare work plan− communicate regularly with other team

members− keep records of all communications,

actions and findings− prepare written report sections according

to the agreed schedule

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Local Audit Coordinator

♦ Focal point at the facility♦ “Hosts” the audit team♦ Sets up interviews and escorts♦ Provides a “control centre” where the audit

team can be based♦ Provides appropriate safety clothing and

equipment♦ Distributes pre-audit questionnaires and

coordinates their return

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Audit Stages

♦ Define the objectives and scope♦ Preparatory activities♦ On-site audit activities♦ Post audit activities♦ Follow up

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Define the Scope and Objectives

♦ The audit objectives:− define the purpose of the audit and the

desired output, for example− to assess an organizations EMS against

ISO 14001− to establish compliance with appropriate

regulations/industry standards− to identify potential environmental

liabilities

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Define the Scope and Objectives

♦ The audit scope:− defines the elements to be included in the

audit, for example:• specific parts of a site• specific products• specific parts of a company• specific elements of an EMS

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Audit Stages


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Preparing for the audit

♦ Identify audit team and define roles♦ Familiarize yourself with the site and its

surroundings

♦ Prepare pre-audit questionnaire, checklistsand “aide memoirs” ♦ Identify personnel for interview♦ Clarify health and safety requirements♦ Plan the route to be taken during a site

visits

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Environmental Concerns

♦ Each company, site and area will beunique

♦ Primary concerns:− atmospheric emissions− protection of water resources− waste management− materials handling, use and transport

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Environmental Concerns (cont.)

− noise− hazardous substances− site contamination− management procedures

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Consider...♦ Sources

− e.g., leaks and spills, contaminated soils,building materials, air emissions, wastestorage, liquid discharges

♦ Pathway− e.g., permeable geology, drains, direct

contact, surface water runoff, wind

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Consider...

♦ Receptor− e.g., site neighbours, site users (or

trespassers), groundwater, surfacewaters, global environment

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Working Documents♦ Working documents facilitate the

auditor’s investigations. These mayinclude:

− questionnaires− forms for documenting supporting

evidence for audit findings− metrologies− checklists

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Working Documents− meeting/interview records− formal reporting forms− site note books

♦ All supporting documents need to besigned and dated by the auditor

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Pre-Audit Questionnaire

♦ Customized to reflect− type of audit− nature of operation/facility− reporting needs

♦ Straightforward to complete− Not too long− Simple answers− Clearly laid out

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Pre-Audit Questionnaire

♦ Straightforward to analyze andinterpret

− Checklist style

− Structure

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♦ Will usually include questions about:

− The person completing questionnaire− The company’s environmental

management procedures− The site, its surroundings and its history− Products and processes (including storage)− Waste management− Health & safety

Pre-Audit Questionnaire Audit 1


Site Familiarization

♦ Familiarize yourself with the site and its

surroundings♦ Potential environmental sensitivities♦ Process / operations♦ Raw materials / products♦ Management systems and environmental

policy♦ Monitoring programmes♦ Previous audits

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Plan the Route

♦ Follow a logical sequence− (e.g., raw material - process- waste-

storage)

♦

Take in the whole site− do not include only the process areas

♦ Link route with interview arrangements

♦ Discuss the proposed route with theLocal Audit Co-ordinator

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Identify Interview Needs♦ Include representative in each key

issue covered by the audit

♦ Include both managers and

operatives

♦ Plan the subjects to be covered ineach interview

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Identify Interview Needs

♦ Prepare a recording sheet forinterview notes

♦ Give the interviewee some advanceindication about the nature andpurpose of the interview

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Documentation♦ Decide what documentation will need to

be reviewed. For example:

− Operating authorizations− Discharging consents / licenses− Health & safety procedures− Management procedures− Monitoring records

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Identify Health & SafetyRequirements♦ Protective clothing♦ Respiratory protection♦ Hygiene♦ Use of equipment− monitoring / sampling− photographic

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Identify Health & SafetyRequirements

♦ Permits♦ Site safety training♦ Hospital♦ Telephone

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Aide Memoirs

♦ Before the site visit, prepare writtenguide to use during the site visit.

♦ The guide is customized, and based onthe preliminary data gathering exercise.It may include:

− a list of topics to be covered− questions to be asked

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Aide Memoirs

− Relevant regulations, standards etc.− areas of the site where special notice

should be taken

♦ Each field auditor should have their owncustomized guide to complete

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Audit Stages


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For all audits...♦ Prepare thoroughly♦ Make use of pre-audit questionnaires♦ Focus on material issues♦ Ensure that you include a “walk around” ♦ Be constructive

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