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Environmental Auditing and Improvement
11 December 2004
Clement LiSenior Consultant
Hong Kong Productivity CouncilTel: 2788 5615; Fax: 2788 5608;
Email: [email protected]; website: www.hkpc.org
ContentsContentsIntroduction to AuditingIntroduction to AuditingEnvironmental Management System (EMS) Auditing Environmental Management System (EMS) Auditing ProceduresProceduresImportance of Innovative ThinkingImportance of Innovative ThinkingBenefits and OpportunitiesBenefits and Opportunities
Introduction to AuditingIntroduction to Auditing
AUDIT CHARACTERISTICSAUDIT CHARACTERISTICS
SystematicSystematicDocumentedDocumentedObjectiveObjectivePeriodicPeriodic
TYPES OF TYPES OF ENVIRONMENTAL AUDITENVIRONMENTAL AUDIT
Follow the same principles & techniques Follow the same principles & techniques but with a different focusbut with a different focus
PrePre--acquisitionacquisitionComplianceComplianceSingle IssueSingle IssueSupplierSupplierInsuranceInsuranceEMS Audit (Self audit or Third Party EMS Audit (Self audit or Third Party Certification Audit)Certification Audit)
ISO 19011ISO 19011Guidelines for AuditingGuidelines for Auditing
Audit Procedures Audit Procedures -- Auditing of Environmental Auditing of Environmental Management Systems and Quality Management SystemManagement Systems and Quality Management System
Purpose: Purpose: Establishes procedures for planning and Establishes procedures for planning and performing a QMS and EMS Audit performing a QMS and EMS Audit -- to to determine conformance with the QMS and determine conformance with the QMS and EMS audit criteria.EMS audit criteria.
ResponsibilitiesResponsibilities
AuditingAuditing
––Auditor, Audit TeamAuditor, Audit Team––Client, AuditeeClient, Auditee
––Scope, Document ReviewScope, Document Review––Preparation, ExecutionPreparation, Execution––ReportingReporting
EMS Audit Procedures
EMS Audit - BASIC STEPS
Select TeamSelect Team
FamiliariseFamiliarise
PlanningPlanning
Opening Opening MeetingMeeting
DocumentDocumentReviewReview
InterviewsInterviews
SiteSiteObservationObservation
AssessAssess& Verify& Verify
Closing Closing MeetingMeeting
Draft Draft ReportReport
Phase IIPhase II
Final Final ReportReport
Pre Audit Preparation Conducting the Audit Post Audit
DEFINE THE SCOPE &OBJECTIVESScope: defines the elements to be included
specific parts of a sitespecific productsspecific parts of a companyspecific elements of an EMS
According to the EMS Audit Programme
PREPARATION OF AN EMS AUDIT SCHEDULE
Frequency based on the nature and importance of the operation in terms of environmental aspects and potential impacts
Previous audit results
PREPARATION OF AN EMS AUDIT PROGRAMME
Location - orientedaudit actions resulting from EACH element of the EMS at ONE particular location
Function - orientedaudit activities related to ONE particular element of the EMS at ALL locations
PREPARATION OF CHECKLISTConsistent with the purpose, objectives and scope of the auditBased on the auditing criteria (e.g. ISO 14001 Requirements, Procedures, WIs, Legislation, etc.)Adequate coverage and depthNo universal style and formatPrevious audit resultsGeneric vs Specific
AN EXAMPLE OF CHECKLISTAudit Areas Topics Document
ReviewedComplianc
e SatusObs
Objectives/Targets/ManagementProgrammes
• Check progress againstmanagement programmes
• Check that department headsunderstand objectives andtargets
• Check that the progress is beingadequately reviewed
• Check that assigned taskes arebeing completed
• Interview managers to check thatthey are aware of and understandtheir responsibilities in the EMPs
• Check that all new criterias areadequately addressed byoperation controls or O&T
• Check that new objectives andtargets have been set when oldones have been completed
AUDIT PLANA clear plan is needed for the audit which defines:
date & locationsaudit objectives and scopeaudit methodology, procedureinterview requirementsidentification of high priority areasidentification of audit team membersidentification of reference documentstime and duration of major activitiesschedule of meetingsconfidentiality requirementsreport format/structuredocument retention requirementsaudit language
OPENING MEETINGIntroduce members of audit team to auditee’s managementReview scope, objectives, audit planProvide summary of methods and proceduresConfirm availability of resources
Use of Audit ChecklistBased on company’s EMS Documentation Provides guidance and document referenceAlways refer to the relevant EMS documentation for the detailed requirementsRequires understanding of ISO 14001 principlesFollow audit trailCheck documents/records - Readiness & Appropriateness
DOCUMENT REVIEWYou may need to review a sample of available evidence. For example:
field log sheet / site operation datamonitoring measuring resultscommunication recordscomplaints lognon-conformance reportsinspection recordsdrill records
Sampling Method
INTERVIEWWhy?
Accumulate dataStimulate interviewees interestGet individual participationDetermine interviewees knowledge and understanding Training, Awareness and
CompetenceFacilitate conclusions
SITE OBSERVATIONMay include:materials handlingstoragewaste handlingodoursenvironmental noisewastagehousekeeping
Depending on the audit scope, objectives, programme/plan
evidence of contaminationlack of vegetationdrains and gulliestanks and bundslabels and signs
WORKING PAPERSVisual observationsNames of intervieweesInformation gathered through interviewsDocuments reviewedSummary of contents of documents reviewedDescription and results of tests/sampling performed to evaluate site conformance with environmental standards
DEVELOP AUDIT FINDINGSDEVELOP AUDIT FINDINGS
Audit findings need to be developed Audit findings need to be developed in the context of the audit criteriain the context of the audit criteria– ISO 14001 Standard– Corporate/Site EMS Manual– Procedures and Work Instructions– Legislative Requirements
How??
THE CLOSING MEETINGAt the end of the audit, the close out meeting will provide a forum to:
present findings & observationsdiscuss any contentious issuesresolve disagreements (final decisions fall on the lead auditor)confirm format of the final reportdiscuss any recommendationsagree a timetable for issue of any supplementary information
INTERNAL EMS
AUDIT
ReportingAt a minimum the report should contain:
identification of the organization/area auditedreference to auditees representativesaudit team, dateagreed objectives, scopeagreed criteria against which the audit is to be conductedsummary of audit process, any problems encounteredaudit findings audit conclusions
Conformance to audit criteriasystem properly maintained and implementedinput into internal management review process
COMMON PITFALLSPoorPoor
Spill containment provisions on the Spill containment provisions on the loading dock may lead to a dangerous loading dock may lead to a dangerous situationsituation
ImprovedImprovedThe loading dock does not have spill The loading dock does not have spill containment measures to prevent, containment measures to prevent, spills from potentially reaching the spills from potentially reaching the stormsewer, during loading/unloading stormsewer, during loading/unloading operationsoperations
Importance of Innovative Thinking
Attribute Listingbreakdown a problem to its most basic attributes - list of ideas can be developed to address improvement of each elements by reducing the problems into a collection of interrelated, smaller and more manageable elements, it is possible to improve the whole bysimply changing one or more of the attributese.g. a retailer wants to reduce plastic bag consumption
Feature Attribute IdeasMaterial Plastics Recycled plastics or paperThickness 2 mm less than 2 mmSize Standard Different sizesDistribution Every customer Ask customers if they require a bagCost Fee to customers Charge customer per bagReturn Nil Purchase discount for returned bags
Escape Thinkinguseful for organisations looking to redesign work processidentify patterns and impose categories on things and situationsbased on pre-conceived ideas, thereby limiting lateral thinkinge.g. create a new sales concept for a record store
One assumption on the list might be: record shops sell rods.
Using Escape Thinking technique, the assumption statement is turned into aprovocation statement such as: record shops do NOT sell records.
This is the straight point for looking at a record shop in a new way.
It might lead on an idea like displaying/suggesting different song recordingswhich can be purchased and downloaded onto customer’ personal computerso personal data assistants.
Benefits and Opportunities
Examples of Potential Benefits & Opportunities
Scope for Housekeeping Savings:Electricity 5 – 20%Solid waste 10 – 50%Consumables 10 - 30%
Reduced insurance premiums
A photocopier left on all night usesenough electricity to produce over 5,000 A4 copies
Example from Metro City Management Limited
problem: to clean artifical fountains, channels, aqueducts and pools - discharge all the water and replaced with fresh watersolution: develped a Mobile Aqueous Cleaner (MAC) (consist of a water pump, a sand filtration tank, a control panel, a suction paper and scapers mounted on wheels) to filter the water
Environmental Attribute Without MAC With MACMaterial Efficiency Contained water is pumped out and disposed
of. Fresh water is cleaned and pumped inContained water remainsthroughout the cleaning process
Energy Efficiency Energy is used to pump in /out water. Freshwater is filtered
Energy is used ot pump waterthroughout the filter
Function and ServiceExtension
Water is not recycled Water is recycled
Environmentally SensitiveResource Conservation
More fresh water supply via watertreatment works
Less fresh water supply via watertreatment works
Environmental Pollution Cost Minimal MinimalEnvironmental Risk andLiability
Minimal Minimal
Thank you