Selecting an environmental auditor
What is internal environmental auditing?
What an internal environmental audit of your business involves, its key aims, and what areas it should focus on
Internal environmental audits are the regular examination of your business' actual operating methods - comparing them against those set out in your environmental management system (EMS) manual. These can be reviews of procedures and areas of operation, and are designed to assess effectiveness.
Aims of an internal environmental audit
An internal environmental audit should help you identify:
- where your environmental management processes are working well
- where they need to be improved
- whether there are any new potential environmental risks
More specifically, the aims of the audit are to assess whether clear objectives and targets are being met and that your site:
- complies with the agreed policies, objectives and targets of your EMS
- has effective emergency procedures and control systems
- meets legal requirements
- meets the requirements of a formal EMS standard - if you are following one
- makes sure employees, contractors and suppliers have the skills needed and are given appropriate training
- makes provision for adequate communications
Internal audits also provide a valuable tool for gauging commitment within different parts of your business.
If you are seeking ISO 14001 standard certification or Eco-Management and Audit Scheme (EMAS) registration, you will also need to have all elements of your EMS checked by an independent and accredited body.
What areas should your environmental audit focus on?
The audit should focus on areas of environmental significance and legislative compliance. You should carry out a series of small audits that focus on a particular procedure, process or part of the site. Environmental issues you may need to consider include:
- solid waste disposal
- gas emissions
- solvent management
- liquid effluent discharge and treatment
- energy management
- materials storage
- occupational hygiene
- chemical handling
- incident response
- noise
- environmental programmes
- pollution control
How frequent should environmental audits be?
The frequency of audits will depend on the significance of your environmental aspects, but you should audit all procedures and areas at least once a year.
You should use your register of environmental aspects to identify the most significant environmental aspects, and areas where the business has failed to meet legal requirements in the past.
You should use the information to compile an audit timetable showing which areas are to be audited and when, and which auditors will be involved.
A well-designed audit with suitable checklists should take 20-40 minutes, although the process may take two to three hours the first time each audit is carried out. The environmental audit is often a part of existing internal audit activities and so can use existing resources.
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Selecting an environmental auditor
The skills to look for when choosing staff to carry out internal environmental management system audits
It is important that the information gathered during an environmental audit flags up where improvements to your environmental management system (EMS) are necessary. Therefore, any environmental auditors should:
- be appropriately trained
- have experience of auditing
- be impartial - ie not be directly responsible for the area being audited
How to select an internal environmental auditor
When selecting an employee to carry out an environmental audit, you need to find someone who has:
- sufficient knowledge of environmental legislation and issues in that area
- knowledge of the relevant EMS standards
- understanding of the best environmental practices relating to that area
You may need more than one internal auditor to allow cover for holidays and sickness.
Auditors must be satisfied that work is carried out in accordance with the applicable procedure and that the supporting evidence is genuine. So - as well as someone who has strong interpersonal skills - you should look for someone who is:
- patient
- thorough
- analytical
- a good communicator
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How to conduct an environmental audit
How to carry out internal environmental audits in your business and how to deal with non-conformances and observations
To ensure that your environmental management system (EMS) is properly set up and effectively maintained, you need to plan and carry out environmental audits. Each audit should consist of a planning stage, the audit itself and post-audit activities.
How to carry out an environmental audit
You should follow a systematic approach to your environmental audits:
- Plan the audit - decide which area, process or procedure you are going to audit according to the plan. Speak to the manager responsible to ensure that resources will be available and that there is no conflict with operational requirements.
- Prepare checklists - read through the procedures applicable to that area and then prepare an internal audit form.
- Obtain and review relevant background documents.
- Review your EMS documents.
- Conduct and document the audit - ask questions and observe. Record the replies and your observations on your audit form immediately - download an example internal environmental audit form (DOC, 56K). Try to carry out your audit when people are carrying out the process or working in the areas being audited.
- Identify and summarise all non-conformances and observations.
- Request corrective actions - write down your suggestions and get agreement from the person responsible for the area being audited.
- Complete any administrative tasks.
- State the date for the next audit.
Non-conformances and observations in an environmental audit
Non-conformances are failures within the system and usually relate to employees not following work procedures.
When a non-conformance is recorded, the auditor should suggest a way of correcting the fault to stop it from happening again. They should prepare a non-conformance report or corrective action request form that details:
- what has gone wrong
- how to rectify the fault
- who will do the remedial work
- when it will be completed
- how to prevent the fault from happening again
- a follow-up date
Download an example corrective action request form (DOC, 30K).
Observations recorded by the auditor may relate to areas in which there are no specific non-conformances, but where the auditor feels that the system or environmental performance could be improved in some way.
How to complete an environmental audit report
An audit report is essential to ensure that the results of the audit are passed on effectively. Your final environmental audit report should consist of:
- a brief description of the areas that have been audited
- a review of the audited areas
- non-compliances
- corrective actions agreed
- other areas of potential risk
- opportunities for improvement
- a summary list of non-compliances
The findings of the audit should be reviewed and assessed, and any actions implemented according to a specified programme. In some cases - for example where you have discovered a breach of legislation - you will need to take immediate action.
The aim of the audit process is to provide objective evidence about the effectiveness of the EMS, not to allocate blame for any areas of non-compliance.
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External environmental audits
The role of external auditors in the environmental management system process and the benefits for your business
In addition to carrying out internal audits of their environmental management system (EMS), many businesses use an external organisation to check that their EMS meets the standard they are working towards.
For example, this could be certification to ISO 14001 or verification under the Eco-Management and Audit Scheme (EMAS). Smaller businesses may prefer to follow BS 8555 using United Kingdom Accreditation Service (UKAS) accredited schemes.
A successful external audit will confirm that your EMS:
- conforms to specified requirements
- is able to consistently achieve its policy and objectives
- is effectively carried out
The benefits of having your EMS externally certified include:
- attracting investors, employees and clients through showing your commitment to environmental management
- confidence that your EMS meets requirements
- confirmation that you have adopted the right approach to your EMS
Certification to an environmental management standard requires that all elements of your EMS are audited and verified by an accredited third-party certifier or verifier. For EMAS, you will also need your environmental statement to be verified for its relevance and accuracy.
Auditors use a range of methods for certification - you should understand what they will be looking for at each stage. The main aim of the external audit is to review your business' environmental policy, environmental management programme, operational controls and audit cycle.
The external audit is usually a two-stage process:
- initial audit - the scope of the management systems are checked
- main audit - a more detailed audit of the system
Once your EMS has been approved by external auditors, you can register it to the appropriate standard.
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Carry out an EMS management review
What the management review stage of an environmental management system is and what you should aim to cover
A management review is the final element of the environmental management system (EMS) process. It involves a formal evaluation of the adequacy of your business' EMS - taking into account any new environmental issues, legislation, changing circumstances and continual improvement.
Management review meetings should be attended by individuals with either executive or specialist responsibility, for example:
- the site director
- the management representative
- line managers with specific environmental responsibilities
In these meetings, the management representative should give the results of any recent audits to senior management and present a written report detailing audit findings.
The management review should cover:
- environmental performance and progress in achieving objectives and targets
- compliance with legislation
- results of internal audits and reports
- actions required as a result of non-conformances
- new processes and any changes to known environmental issues
- any changes in circumstances - for example changes in legislation or new technology
- the effectiveness of training
- the need for any revisions to your environmental policy, objectives and targets
- follow-up actions from previous management reviews
- recommendations for improvement
The management review meetings are a vital part of your business' EMS as they show commitment at the highest level - allowing those with authority and specialist knowledge to put forward ideas and solutions to problems. They should be minuted and you must ensure that any agreed actions are carried out.
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