Environmental Engineering Reference
In-Depth Information
covered by such legislation. In an environmental management system audit, the subject mat-
ter of the audit will be the company's EMS and the audit criteria will be the requirements of
EMAS or ISO 14001. Audit criteria are determined at an early stage of the audit process. They
should be agreed between the lead auditor and the client and communicated to the auditee.
How does an auditor determine whether or not the subject matter of the audit conforms
to the audit criteria? The auditor has to collect audit evidence dei ned as verii able informa-
tion, records or statements of fact, in order to determine whether or not the audit subject mat-
ter conforms to established audit criteria. The important point to make here is that the audit
process involves using existing information to determine conformity; auditors do not usually
generate new information. To enhance consistency and reliability, collection, documenta-
tion and presentation of audit evidence should be in accordance with documented and well-
dei ned methodologies and systematic procedures. It should follow appropriate guidelines
developed for that particular type of environmental audit. (For example ISO have published
guidelines for conducting environmental management system audits - ISO 14011).
In spite of some explanatory words at the beginning of this section, the question may remain
why voluntarily carry out or submit to an environmental audit? The simple answer is that it is
always important to check that things are as they should be. Given that any mining company
must comply with relevant environmental legislation and regulations, it is obviously important
that management checks that it is actually in compliance. Only by auditing (not accidentally
adopted from the Latin word auditare meaning hearing), whether conducted internally or
externally, will management discover instances of non-compliance and be able to correct them.
The important point to
make here is that the audit
process involves using existing
information to determine
conformity; auditors do not
usually generate new information.
It is always important to check
that things are as they should be.
Developing the Audit Protocol
A mining audit is commonly based on a combination of staff interviews, pre-site visit
document reviews and a site visit to the mine. Interviews are especially important. They
provide the primary means of understanding the organizational relationships, roles and
responsibilities, policies and systems that form the framework for environmental manage-
ment. More importantly, they often reveal differences in actual versus documented prac-
tices. Document review is important to verify the formality of the system and coni rm
interview information. A site visit is necessary to verify the implementation and effective-
ness of environmental management. An environmental mine audit typically evolves along
the steps illustrated in Figure 12.1 .
The lead auditor prepares the audit protocol (also termed audit plan) in consultation with
the mine management and any audit team members. The protocol should include, if appli-
cable: (1) audit objectives and scope; (2) audit criteria; (3) identii cation of the organizational
units to be audited; (3) identii cation of those activities that are of high audit priority; (4) audit
procedures to be used; (5) identii cation of reference documents; (5) expected time and dura-
tion for major audit activities; (6) the dates and places where the audit is to be conducted;
(7) identii cation of audit team members; (8) schedule of meetings to be held with the mine
management; (8) coni dentiality requirements (an important matter although not always
fully appreciated by all auditors); (9) content, format, structure, expected date of issue and
distribution of the audit report; and (10) document retention requirements.
The pre-site visit information review will allow the audit team to i nalize a site specii c
audit protocol. The audit protocol will summarize areas of environmental and social con-
cerns on which the site visit should focus, outline the type of questions that must be asked
and identify key mine personnel to be interviewed. In view of the technical, environmental
and social complexities of a mine operation, audit protocols are based on a review and eval-
uation approach. As such the audit protocol is designed as a general list of important topics
 
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