Five Star Env Audit Specification & Pre-Audit Checklist

of 18P:\Operations\Starter packs\Five Star Env Audit Specification & Pre-audit Checklist.V2.28.02.08.doc

British Safety CouncilFive Star Environmental Audit

Specification Document & Pre-audit Checklist

of 18 P:\Operations\Starter packs\Five Star Env Audit Specification & Pre-audit Checklist.V2.28.02.08.doc

1. Preparing for the audit

In order to get the most benefit from the audit and the time our auditor spends on site, it will be important for the organisation to prepare in advance.

Using this specification document and enclosed checklist, the organisation should identify information they are likely to be asked for, and the persons that the auditor may wish to speak to. Documents should be available quickly, whether that is in paper format or electronically. If held on computer, it would be advisable to print off an index list of what is available, so that the auditor can match the document to a particular element of the audit. The auditor may ask for some paperwork to be printed off for him/her to take away and read off site in preparation for the report. The organisation can be assured that any such documents will be securely held and shredded once the report is complete. Our auditors are flexible and will willingly tackle elements ‘out of order’ to accommodate certain members of staff who may only be available at certain times; however, it must be remembered that on short duration audits of 2 days, there is very limited time available.

2. Tour of the premises and site

This important aspect of the audit should be carried out at an appropriate time, and encompass all aspects of the business. During the tour, the auditor may take the opportunity to talk to employees, contractors and visitors to further verify the evidence required for the completion of the audit. If more than 1 site is included in the audit, the travelling time between sites must be taken into account during early dialogue with the Account Manager.

3. Standardisation

The BSC holds an annual auditor meeting, where the audit content and suitability is reviewed including the audit questions, relevance and order of elements and scores allocated to each element. New elements may be added to reflect current trends and ‘best practice’. The 5 overall sections of the audit remain the same year on year.

Standardisation of acceptable evidence and point scoring takes place at the meeting. Both on-site quality assurance and quality assurance of reports are undertaken.

4. The competency of the auditor

The auditors undergo training on the audit protocol which is updated as appropriate. All auditors are registered environmental practitioners with IEMA, and maintain their CPD as per the requirements of their membership of this organisation. At the annual auditor meeting, auditors receive both an update of BSC requirements and external CPD from industry specific experts. Auditors in their initial period of work are given additional support by the Audit Manager and are subject to additional quality assurance.

Specification document for Five Star Audit


Aims and Objectives

Environmental compliance is the minimum standard a company should achieve in regard to

overall environmental management. Environmental law now affects all businesses and

organisations to a greater or lesser extent. The direct and indirect implications of non-

compliance are significant. Ignorance of the law is no defence. Those with environmental

management responsibilities need to understand the background to, its implementation and

any specified requirements, and the potential enforcement action that may result as a

consequence of non-compliance.

Section One

EnvironmentalManagement

Score Typical information requirements Suggestions For Interview

Section 1.1:Environmental Compliance ManagementTo establish, maintain and continuously improvethe organisation’s legal responsibilities.

10 • Training records

• Legal register

HR

Environmental Manager/representative

MDSection 1.2:Environmental Compliance HistoryTo establish any previous or current environmentalnon compliance issues.

10 • Regulatory Reports andCorrespondence

• Permits and Consents


Regulator

Section 1.3:Operating PermitsTo establish if the company is obligated withrespect to an operating permit under applicableenvironmental legislation and, if so, therequirements of the permit complied with.

30

• Regulatory Reports andCorrespondence


• Records


Operators and technical staff

Regulator



Section 1.4:Atmospheric EmissionsTo establish if the company is obligated withrespect to applicable environmental legislation withrespect to all, or specific, atmospheric airemissions.

30



• Records



Regulator

Section 1.5:Effluent and Water DischargesTo establish if the company is obligated withrespect to applicable environmental legislation withrespect to all, or specific, effluent or discharges.

60


• Discharge Permits and Consents

• Records



Regulator

Section 1.6:Waste Management

To establish if the company is obligated with respectto applicable environmental legislation with respect toall, or specific, effluent or discharges.

60


• Discharge Permits and Consents

• Waste Records

• Duty of Care Documents



RegulatorSection 1.7:Contaminated LandTo establish if the company is obligated withrespect to applicable environmental legislation withrespect to all, or specific, contaminated land.

20

• Site Investigation Reports

• Historical Information ( maps ect)

• Site Plans ( current and former)



Regulator

Section 1.8Development ControlTo establish if the company is obligated withrespect to applicable environmental legislation withrespect to all, or specific, development controlrequirements.

8

• Local Authority Plans

• Site Plans

• Current and Future Plans

MD


Regulator



Section 1.9:Hazardous SubstancesTo establish if the company is obligated withrespect to applicable environmental legislation withrespect to all, or specific, Hazardous Substancesrequirements.

30

• COSHH assessment

• Lists of substances

• Training records

• Operating Procedures

H and S Personnel

HR

Section 1.10:Statutory NuisanceTo establish if the company is obligated withrespect to applicable environmental legislation withrespect to all, or specific, statutory nuisancerequirements. 30


• Site Plans

• Current and Future Plans


Regulator

Section 1.11:Nature and Archaeological ConservationTo establish if the company is obligated withrespect to applicable environmental legislation withrespect to all, or specific, Nature andArchaeological Conservation.

12


• Site Plans

• Historical maps and other information


Regulator



Section Two


Aims and ObjectivesBest practice is the process of finding and using ideas and strategies from outside your

company and industry to improve environmental performance in any given area. Benefits of

best practices for business include:

• Reduce costs: companies often do not have deep financial pockets to "re-invent the

wheel". By learning what other companies have successfully done, a small business can

save money without testing new ideas.

• Avoid mistakes: solving business problems on your own can result in costly errors.

Learning what others have done can keep your business in business.

• Find new ideas: adopting the "Not-Invented-Here" attitude can spell financial disaster for

business. Learn to borrow the best from beyond your company.

• Improve performance: when your business looks for best practices outside your business

you raise the bar of performance and set new standards of excellence to propel your

company forward.

Score Typical information requirements Suggestions For InterviewSection 2.1:Best Practice Management

To assess if the company has identified,maintained and reviewed a recognised list ofenvironmental best practice sources, information orbenchmarks against which to assess itsoperations.

20

• Environmental best practice sources

• Trade Body information

• Industry and /or sectoralenvironmental benchmarks




Section 2.2:Storage/HousekeepingTo assess if the company has implemented goodstorage and housekeeping practices to eliminateaccidents and wastage.

100

• Operating procedures

• Records


Operatives

Section 2.3:Controlling Discharges to WaterTo assess if the company has implementedpollution prevention controls on limitinguncontrolled and unlicensed discharges tocontrolled watercourses and foul sewer drainagesystems. The site should also know theenvironmental sensitivity of receiving watercourses.

50


• Records


Operatives

Section 2.4:Controlling Waste ManagementTo assess if the company has implementedappropropriate waste management controls inrelation to storage, handling, transport anddisposal.

100


• Records


Operatives

Section 2.5:Controlling General NuisancesTo assess if the company has implementedappropriate waste management controls in relationto storage, handling, transport and disposal.

20• Operating procedures

• Records


Operatives

Regulators



Section Three


System

Aims and ObjectivesThorough a proactive structured approach aimed at integrating environmental issues, concernsand needs into the overall management an organisation can significantly reduce the triplebottom line costs. An environmental management system can benefit a company ororganisation by:

• facilitating greater awareness of legislative requirements as all relevant legislationshould be identified and plans put in place to achieve compliance;

• identifying the potential for cost savings through improved efficiency in the use ofmaterials and energy;

• providing a better understanding and greater control of processes thereby reducingemissions and the risk of pollution incidents;

• improving its public image as environmental performance is increasingly important to,amongst others, customers, insurers and local residents.

Therefore it is crucial that a company has in place a system geared towards improving itsenvironmental performance in a continuous manner.

Section 3.1:Environmental PolicyTo assess if the company has an environmentalpolicy which is maintained and implemented.

10

• Policy statementon display

• OH & S arrangements andprocedures Managementreview meeting minutes

• Evidence ofcommunicationEvidence of review

• Ease of access• Updates for field based staff

CEO or MD


Operatives

Section 3.2:Environmental Aspects and ImpactsTo assess if the company have identified all theinputs, operations and outputs which will have animpact upon the environment and have assessedtheir significance.

25

• Aspects Register Environmental Manager/representative



Section 3.3Legal and Other RequirementsTo ensure that the company identifies, evaluatesand tracks legal and other requirements that applyto the environmental, health and safety aspects ofits activities, products and services

15

• Legal register• Contract Agreements• Trade requirements


Section 3.4Objectives, targets and programmesTo ensure that the company has determined aseries of relevent objectives, targets against whicha programme of action has been detremined.

10

• Personal objectives setappropriately Monitoring ofobjectives

• Safety plan developed fromaudits, risk assessment,previous reports

• Involvement from seniormanagement

• Safety tours/inspections• Environmental audits• Attitude on the shop floor• Programmes and campaigns• Surveys• Questionnaires

All

Section 3.5:Resources, Roles, Responsibility andAuthorityTo ensure that the company has considered thatsuffeicnet resources have been aloocated toimplement effective environmental manemengt.Also that staff have defined environmental roles,responsibilities and aurthority to implementenvironmental management.

10

• Training records• Job descriptions• Budgets


HR

CEO/MD



Section 3.6Competence Training and AwarenessTo assess if the company has adequate training,awareness and competent staff and contractorswhich, following appropriate analysis of thebusiness needs, ensure that all environmentalelements are covered throughout the differentlevels of the organisation. 15

• Induction training process• Training records• Evidence of content of

training courses Competencyof trainers

• Suitable training commensurate withthe risks of the business (Certificateor Diploma or higher) Appraisal anddevelopment plans linked to pastperformance and business planContact with all relevant parties Timeto do the job

• Reporting lines

All Staff

Section 3.7:Communication

To assess if the organisation has established,implemented and maintain procedure(s) for Internalcommunication between the various levels andfunctions of the organisation and receiving,documenting and responding to relevantcommunication from external interested parties.

10

• Minutes of meetings• Toolbox talks• Briefings• Safety plan• Audits• Inspections• Newsletters• Award/reward schemes


Section 3.8:DocumentationTo assess if the company has a documentedsystem that can describe the main elements of theEMS and act as a sign-posting document to othersupporting information, such as documentedprocedures, records and monitoring data, forexample.

5

• Document s• Records• EMS manual




Section 3.9:Control of Documents Documents

To assess if the company has an effectivedocument control systems in place.

10

• Document control system• Records Environmental Manager/representative

Section 3.10:Operational ControlTo assess if the company have procedures in placeto control activities where deviation from astandard operation procedure would lead to asignificant impact.

15

• Operating procedures• Records


Operatives

Section 3.11:Emergency Preparedness and ResponseTo assess if the company has established,implemented and maintain procedures to identifypotential emergency situations and potentialaccidents that can have an impact(s) on theenvironment and how it will respond to them.

15

• Plan• Test results• Training records• Liaison with emergency services


Operatives

Section 3.12:Monitoring and MeasurementTo assess if the company has in place adequateprocedures to monitor and measure key aspectsof its operations as legally required or as requiredfrom an environmental management systemperspective.

10

• Calibration records• Emissions records• Monitoring records


Operatives

Section 3.13:Evaluation of ComplianceConsistent with its commitment to compliance, anorganisation should establish, implement andmaintain a procedure(s) for periodically evaluatingcompliance with applicable legal requirements.

10

• Records• Audsits• Observations• NCR


Operatives

CEO/MD



Section 3.14:Non-Conformance and Corrective andPreventive ActionTo assess if the organisation has established,implemented and maintain a procedure(s) fordealing with actual and potential non-conformity(ies) and for taking corrective andpreventive action.

10

• Audits• NCR Reports• EMS Reports


Auditors

Section 3.15:Control of RecordsTo assess if the organisation have establishedimplement and maintain a procedure(s) for theidentification, storage, protection, retrieval,retention and disposal of records.

10

• Record Storage• Protection• Retrieval• Retention Times• Disposal of Records


Section 3.16:Internal AuditTo assess that the organisation undertakes internalaudits of the environmental managementsystem/practices which are competently conductedat planned intervals.

10

• Audit reports• Audit personnel• #Audit criteria• Audit Plans


Auditors

Section 3.17:Management ReviewTo assess if the organisations top managementreview the environmental management system andenvironmental performance of the organisation. 10

• Meetings/Minutes• Corrective Actions• Outcomes


Auditors

MD



Section Four

Resource Efficiency

Aims and ObjectivesNot all businesses use their resources as efficiently as they might. Many businesses waste as

much as half of their resources. Resource inefficiency reduces competitiveness, eats up

primary resources, and creates waste management challenges. Businesses need to make

better use of their resources and minimise waste to be environmentally and financially

sustainable. This section deals with:

• the use of materials with low environmental impact: for example, non-toxic, sustainably-

produced or recycled materials;

• resource efficiency: designs and\or procedures and operations that minimise the energy,

water and resources consumed in an activity (e.g. manufacturing, distribution, operation,

disposal);

Quality and durability: longer lasting products that reduce the need to produce

replacements

Score Typical information requirements Suggestions For InterviewSection 4.1Resource Efficiency Policy andManagementHas the company incorporated resources efficiencyinto the core values of the organisation through awritten top management supported policy andprocedures

10

• Policy statementon display

• Management reviewmeeting minutes

• Evidence ofcommunicationand review

CEO or MD


Operatives



Section 4.2Raw Materials UseTo determine if the organisation has a baselineknowledge of resource use and are trying usingraw materials as efficiency as possible.

15

• Bills• Finances• Baseline Data• Product Data


Section 4.3Energy MinimisationTo assess if the organsition understands its overallenergy usage and that it has begun toimplemented a structured energy minimisationprogramme across the organisation.

25

• Energy Bills• Finances For Energy• Baseline Energy Data• Equipment Data/Energy Audits• Energy Budgets• Energy Minimising Schemes


Section 4.4Green Transport PlansTo assess if the organisation has considered theenvironmental social and economic impacts oftravel for its staff, visitors, services and goods andreviewed alternatives where applicable.

10

• Homeworking Equipment• Transport Information• Staff Transport Schemes

All Staff

Section 4.5Water MinimisationTo assess if the organsition understands its overallwater usage and that it has begun to implementeda structured water minimisation programme acrossthe organisation.

20

• Water Bills• Finances for water• Baseline water Data• Equipment data/water audits• Water Budgets• Water Minimising Schemes


Section 4.6Environmental PurchasingTo assess if the organisation contributes to thedevelopment of strategies/practices that take intoaccount the risk/exposure in the supply chain that itfaces in the current climate of increasedenvironmental regulation and costs.

20

• Approved supplier lists• Training• Project meetings• Authority levels• Ecolablellling schemes


Purchasing



Section Five

EnvironmentalPerformance and

Reporting

Aims and Objectives

Reporting on environmental performance and environmental achievements demonstrates

transparency and encourages engagement with stakeholders. There are many clear benefits

to reporting, including demonstrating to employees staff and the wider public a corporate

commitment towards environmental issues, attracting ethical and other financial investment

and improving market share and positioning for environmentally aware and responsible

companies.

Score Typical information requirements Suggestions For InterviewSection 5.1:Environmental Performance

to assess if the organisation has in place a methodologyof assessing their environmental performance andidentify areas for improvement. The selection of keyperformance indicators (KPI) are an important factor.

30• KPI/EPI• Supporting data


Section 5.2:Environmental ReportingTo assess if organisations are taking account ofenvironmental impacts and communicating performanceto stakeholders.

70

• Environmental Reports• CSR Reports• Newsletters• Performance Information



Appendix A Pre-audit Preparation Checklist NB: This is a generic guide, some information will not be relevant to your site.

Section One-Documentary Evidence � Details of any planning consents/restrictions pertaining to the site. � Any environmentally related (e.g. waste management, carrier or disposal, petroleum etc) licenses, permits,

authorisations, (trade effluent or Environment Agency discharge, surface or ground water abstraction, planning hazardous substances) consents, notifications, radioactive substances registrations, exemptions etc. applicable to the site. Details of any environmental emissions monitoring data (to air, water or land) as required by environmental regulation.

� Details of pollution abatement equipment on-site, along with relevant certificates, maintenance and calibration

records. � Details of any required and/or planned environmental improvements/upgrades to be undertaken at the site. � Records of any boreholes excavated on site, any ground water abstraction/injection permit documentation

including water supply and monitoring wells, water treatment activities. � Details of liaisons/communications (historical or ongoing) with environmental regulatory bodies, including any

visits or inspection by an environmental regulator. � Details of any PCB, asbestos or ozone depleting substance - containing equipment onsite (including historical)

and any accompanying removal or maintenance documentation (where appropriate). � Details of any environmental regulatory reviews/ surveys undertaken at the site. � Details of any contaminated land issues pertaining to the site, remediation notices, (planned or undertaken),

special site designations etc. � Mechanisms, systems, verification procedures and responsibility allocation with respect to ensuring

environmental regulatory compliance maintenance. � A record of corporate environmental commitments, including corporate policy statements, standards,

procedures, practices and evidence of compliance. � Any past environmental survey reports e.g. geotechnical, mining, engineering or noise and vibration

investigations. � Waste management documentation, duty of care transfer and consignment notes, Certificates of Technical

Competence, relevant carrier registrations, waste disposal records etc. � Names, addresses and points of contact for relevant environmental regulatory bodies. � Details of any past prosecutions, notices served etc. � Details of breaches of monitoring standards that have been determined internally (i.e. those set by corporate

standard above and beyond those required via regulatory requirement). � Details of any nuisance complaints (including associated documentation) past or present. � Details of any past pollution incidents (stating the date, cause, impacts, any regulator involvement and any

preventative actions implemented as a result).



Section Two - Documentary Evidence � Records of any boreholes excavated on site, any ground water abstraction/injection permit documentation

including water supply and monitoring wells, water treatment activities.

� Details of the site's tenure (e.g. leasehold, freehold etc) site setting, area, location (metric) and grid reference, geology and hydrogeology.

� An Inventory of the main chemicals and raw materials, fuels and solvents used on site (relevant safety data

sheets may also be requested), as well as their respective locations, including any above or underground storage tanks or supply pipelines (used and disused) their respective construction, throughput statistics and any containment integrity testing data.

� Any site drawings, particularly those that illustrate the site's location within its local surroundings, any site

boundaries, drainage systems (used or decommissioned oil/diesel interceptors, silt and grease traps, cess-pits or soakaways, isolation and discharge points etc.); main chemical or fuel storage locations, any historical maps or aerial photographs, air emission and aqueous effluent discharge points or process schematics.

� Information with respect to the site's proximity to sensitive environmental receptors e.g. a river, stream, lake,

woodland, residential or conservation area. � Subscription to any environmental initiatives, proactive Best Practice programmes etc, and any evidence of

adequate resourcing. � Any evidence of sectoral benchmarking activities. � Details of any corporate and site based core principles and activities, e.g. corporate mission statements,

identifying positive and negative environmental impacts and effective designation of responsibility for ensuring the development of environmental principles, mission statements etc.

� Details of any site mass balances undertaken, for example with respect to raw materials etc. � Waste audits, waste minimisation initiatives or schemes. � Water consumption and usage inventory or audit results, (e.g. with a breakdown of various supplies including

mains, borehole or surface water). � Solid Waste and water waste disposal inventories, landfill tax returns. � Producer Responsibility data (where appropriate). � Details of any energy audits undertaken at the site and an inventory of energy usage with consideration of

emissions/production of emissions (e.g. of CO2, SO2, NOX or particulates). � Energy usage statistics (gas, electricity, oil, other) and respective supplier details. � Staff and contractor environmental induction/training records.

Section Three - Documentary Evidence � Current status of any environmental management system initiatives (e.g. ISO 14001, EMAS), and the degree

to which they have been developed, completed or certified. � Any Environmental Management System documentation, manuals etc. Details of any site environmental policy

statements, environmental aspects, direct and indirect impacts (to air, water, land, local community etc.) and an integrated regulatory compliance register.

� Details of any corporate and/or site-specific environmental management programmes outlining any corporate

and/or site specific objectives and targets. � Details of persons responsible for delivery of the site's environmental management programme where

applicable, in addition to demonstrable competence of personnel designated with ensuring delivery of environmental programmes, (e.g. via training records and visual confirmation).



� Any relevant supporting communication documentation and working/operating procedures (including contractor control) for ensuring achievement of corporate and site environmental programmes. Progress monitoring of environmental programmes in addition to their regular review and improvement.

� Details of any site complaints, log book and recording procedure. � Material handling and delivery procedures for any fuels, solvents or bulk chemicals delivered to the site and

spillage response procedures. � Details of any purchasing policy, supply chain greening activities, including supply chain event details,

questionnaires, their processing and monitoring. � Readily comprehensible collation and utilisation of quantitative and qualitative (internally and/or externally

sourced) environmental data, for example in relation to the corporate implications of the climate change levy. � Details of any pollution contingency/emergency response plans and their testing. � Staff and contractor environmental induction/training records. � Staff training records, particularly with respect to operators of pollution abatement equipment or key pieces of

plant. � A proactive and up to date register of regulations with verifiable evidence of organisational commitment.

Section Four - Documentary Evidence � Water minimisation programmes, data and list of water management programmes under at the site. � Energy minimisation programmes, data and list of energy management programmes under at the site. � Energy, Water, Waste bills and any other measurement data. � Environmental procurement strategy and environmental purchasing initiatives. � What the company is doing to encourage Green transport plans (i.e. home working) or actively seeking to

reduce the social and economic impacts of travel.

Section Five - Documentary Evidence � Any environmental/CSR type reports pertaining to the site, including factors such as CEO statements,

corporate profile, key indicators, vision, strategy or policy with respect to both positive and negative environmental and progress issues pertaining to the site.

� Any evidence that would verify the adoption of an environmental risk assessment and risk reduction strategy and methodology at the site. Corporate governance and risk management strategies.

� Details of any Corporate and/or site based Environmental Performance Evaluation exercises undertaken, including the setting and monitoring of Key Performance Indicators.

� Environmental Management or Operational Performance or Environmental Condition Indicators.

� Any evidence of Environmental Performance integration into the major decision making processes.

� Recent KPIs and supporting data and performance.

The auditor will contact you 8-10 days prior to the audit to discuss any queries and finalise logistics. Should you have any other queries please contact your Account Manager via: +44 (0)20 8741 1231 (London) or +44 (0)121 622 8110 (Birmingham).

Five Star Env Audit Specification & Pre-Audit Checklist

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Transcript of Five Star Env Audit Specification & Pre-Audit Checklist