What is an Audit?

RULES

Vs.

REALITY
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Approaches to Auditing
There are different types of audit: Compliance Systems - i.e. Clauses of the Standard Areas of the Business Procedures Progress with objectives and targets Issues: waste and energy
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Auditing Management Systems

Auditing is part of Check element Key aim is to identify opportunities for improvement Audits can be: internal (first party) second party (e.g. corporate) third party (e.g. for certification)

ISO 19011 - Guidelines for Auditing

Guidelines for quality and/or environmental management system auditing Help perform audits effectively Provides for the efficient planning, conduct and evaluation of quality and/or environmental audits and covers: explanation of the principles of management systems auditing

guidance on the management of audit programmes

guidance on the conduct of internal or external audits advice on the competence and evaluation of auditors
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Audit Activities
Initiate audit Document review Prepare for on site Conduct audit Prepare report Complete audit Audit follow up

EMS and Performance Improvement

4.2 Environmental Policy Must include a commitment to: compliance with legal requirements continual improvement

4.6 Management Review

4.3 Planning

ENVIRONMENTAL MANAGEMENT SYSTEM

4.5 Checking and Corrective Action
4.4 Implementation and Operations

Should be designed to deliver policy commitments

EMS and Performance Improvement

Delivering legal compliance?
"Refurbisher with ISO 14001 fined for illegal fridge storage" "Ford site with ISO 14001 fined for unauthorised process" "Agency tells firm to remedy failures in certified EMS"
-Recent headlines in ENDS

Results in regulators lack of confidence in EMS & certification process

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EMS and Performance Improvement

Remas study: "having a formal environmental management system leads to better environmental management"; however, "there is no evidence to indicate that better environmental management leads to improved environmental performance in terms of absolute compliance or conduct"

New Developments
revised ISO 14001 standard more emphasis on regular evaluation of compliance IEMA/Environment Agency guidance on demonstrating regulatory compliance new UKAS (& IAF) guidance new regime for assessment of certification bodies more emphasis on assessment of processes for ensuring legal compliance and achieving continual improvement in environmental performance

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Breakout Session

In groups, consider the following questions: Is internal auditing delivering? If not, why not? How can it be improved? Are there any useful tools/techniques that you find particularly effective? Appoint someone to report back on you findings Time allowed 30 minutes

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