Articles and Presentations Library
A Meaningful Audit
The internal audit is one of a number of management tools that can be used to determine the effectiveness of the EMS. Even though the audit process is usually given a high profile, at least on paper, it comes as no surprise that potential auditors are often unable to display the appropriate level of enthusiasm and commitment that the task requires.
The annual audit programme may have been allocated to certain members of the workforce with an appropriate level of persuasion by the environmental manager and after a short period of training the fledgling auditors are cast out amongst the indifferent workforce. The task itself is daunting enough given that most of the interviewees are unable or unwilling to offer guidance on the areas worthy of investigation. Rightly so, that is the task of the auditor. Relatively inexperienced EMS auditors may find the task onerous and perplexing, even with the benefit of that day or so of training. What could be a most valuable investigation into the inner workings of the EMS turns into a quagmire as the auditor attempts to select a suitable and worthy line of investigation or alternatively is required to ask meaningless questions such as ‘ where are your operational control procedures’ or ‘what is meant by continual improvement of environmental performance in your area of work’. The use of phrases derived directly from ISO 14001:2004 ensures that the auditor quickly runs out of time and the auditee runs out of patience or interest.
How different the audit could be if only the auditor quickly jotted down the key points associated with environmental risk in the area under investigation. Look over the aspect register and see what has already been identified as significant. Make a note of those issues. Think also about which types of environmental legislation is important in the area of the audit. If in doubt, ask the environmental manager for guidance and make a note of any requirements that could make demands on the organisation. The next part of this ‘quiet’ moment prior to the audit is to ask oneself how these issues are actually managed and how those laws are complied with. Are the controls adequate to manage the risk? By focusing on just one or two key issues, the auditor stays right on track, keeps the audit relevant by drilling down to the detail that may, or may not, reveal deficiencies in the system. Either way the auditor commands attention because there is logic and reasoning behind the audit questions.
One example of this approach related to a recent internal audit carried out on behalf on a large engineering company. A serious concern arose with regard to the classification of a series of effluent sludge consignments arising from a settlement pit. Of around 12 other different waste types, this attracted attention purely because it was a high risk issue. The relatively new hazardous waste legislation provided an immediate audit trail and by focusing on this waste stream rather than cardboard or scrap metal, the audit provided the site’s management with an high priority opportunity for improvement that was quickly addressed.
John Marsden (FIEMA)
info@marsden-international.com
John is an independent management system auditor who works for a number of international certification bodies.
