Dr X.D. Li’s internal teaching materials at PolyU Environmental Management Systems 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 teaching materials at PolyU What is an Environmental Audit? ♦ ISO 14000 Series definition: A systematic documented verification process of objectively obtaining and evaluating evidence to determine whether specified environmental activities, events, conditions, management system, or information about these matters, conform with audit criteria and communicating the results of this process to the client Audit 1 Dr X.D. Li’s internal teaching materials at PolyU Audit Characteristics ♦Systematic The audit should be rigorous and thorough ♦Documented The audit should be recorded for inspection, and any documentation created or collected during the audit should be clearly identified. Audit 1 Dr X.D. Li’s internal teaching materials at PolyU Audit Characteristics ♦Objective The audit should be based on fact and unbiased. ♦Periodic Regular audit to check the progress and improvement Audit 1 Dr X.D. Li’s internal teaching materials at PolyU 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 Audit 1 Dr X.D. Li’s internal teaching materials at PolyU Focus of Environmental Audit ♦ Demonstrate proactive approach to: − operational problems and practical solutions − legislative fulfillment − present and future societal needs Audit 1
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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
’
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
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.
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
Audit Characteristics
♦ Objective
The audit should be based on fact andunbiased.
♦ Periodic
Regular audit to check the progress and
improvement
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
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
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
Focus of Environmental Audit
♦ Demonstrate proactive approach to:
− operational problems and practicalsolutions
− legislative fulfillment− present and future societal needs
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.
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
Some Definitions (cont.)♦ EMS
The organizational structure,responsibilities, practices,procedures, processes and
resources for implementing andmaintaining environmentalmanagement.
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
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.
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
Some Definitions (cont.)
♦ AuditTeam
♦ Auditee
A group of auditors or single auditordesignated to perform a given audit.
An organization, or part thereof, tobe audited.
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
Some Definitions (cont.)
♦ Environmental Performance
An organization's achievement inmanaging the relationship between thefull range of its activities and theirsignificant environmental risks andeffects.
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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Dr X.D. Li’s internal teachingmaterials at PolyU
Some Definitions (cont.)
♦ Findings
The result of the evaluation of thecollected evidence compared against theagreed audit criteria.
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Dr X.D. Li’s internal teachingmaterials at PolyU
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
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
Areas of Environmental Audit
♦ Suppliers− e.g., a selection, or all suppliers
♦ Land− e.g, during purchase or sale of land
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
Audit Requirements
♦ Sufficient and appropriate informationabout the operation, organization or site
♦ Adequate resources available to supportthe audit process
Compliance Audits♦ Assessing compliance with appropriate
legislation or standards♦ Define requirements− What regulations / standards /
procedures are applicable?
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Dr X.D. Li’s internal teachingmaterials at PolyU
Compliance Audits♦ Records and documentation− Are there clear records to demonstrate
compliance?
♦ Monitoring data− Adequate in detail and frequency?
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
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
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
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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Dr X.D. Li’s internal teachingmaterials at PolyU
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
− experienced− understands the audit process− understands the operation or process− usually from outside the facility being
audited− good communicator
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
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
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
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
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
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
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
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
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
Audit Stages
♦ Define the objectives and scope♦ Preparatory activities♦ On-site audit activities♦ Post audit activities♦ Follow up
♦ 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
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
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
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
Audit Stages
♦ Define the objectives and scope♦ Preparatory activities♦ On-site audit activities♦ Post audit activities♦ Follow up
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
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
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
Environmental Concerns
♦ Each company, site and area will beunique
♦ Primary concerns:− atmospheric emissions− protection of water resources− waste management− materials handling, use and transport
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
Environmental Concerns (cont.)
− noise− hazardous substances− site contamination− management procedures
Identify Health & SafetyRequirements♦ Protective clothing♦ Respiratory protection♦ Hygiene♦ Use of equipment− monitoring / sampling− photographic
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
Identify Health & SafetyRequirements
♦ Permits♦ Site safety training♦ Hospital♦ Telephone
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Dr X.D. Li’s internal teachingmaterials at PolyU
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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Dr X.D. Li’s internal teachingmaterials at PolyU
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
Audit 1
Dr X.D. Li’s internal teachingmaterials at PolyU
Audit Stages
♦ Define the objectives and scope♦ Preparatory activities♦ On-site audit activities♦ Post audit activities♦ Follow up
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Dr X.D. Li’s internal teachingmaterials at PolyU
For all audits...♦ Prepare thoroughly♦ Make use of pre-audit questionnaires♦ Focus on material issues♦ Ensure that you include a “walk around” ♦ Be constructive