Environmental Health And Safety Audits
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This expanded edition of Environmental Health and Safety Audits brings you up-to-date on changes in EPA and OSHA auditing policies, issues currently confronting auditing programs, and state-of-the-art strategies for managing and conducting audits. The author discusses new developments in information generation and availability, including new chapters on meeting ISO 14000 auditing guidelines, auditing dilemmas, and auditing tips, and new tools for building a successful audit program, including seven model program stages.
List of Figures and ExhibitsxxPrefacexxiiiAbout the Editor and Principal AuthorxxvContributing AuthorsxxviiAcknowledgmentsxxxiPart IManaging a ProgramChapter 1Perspectives in EH&S Auditing3Why Audit?3Impact on the Regulated Community11Evolution of Environmental Auditing16EH&S Auditing Organizations17Defining Environmental Audits18Advantages and Disadvantages20Trends in EH&S Auditing21Chapter 2Government Perspective25Introduction25U.S. EPA Policy Encourages Use of Environmental Auditing27U.S. EPA's 1986 Auditing Policy and Elements of Effective Audit Programs28U.S. EPA's Audit Policy30Conclusions44OSHA's 2000 Self-Audit Policy44Chapter 3Legal Considerations47Introduction47Function of Environmental Assessments48Role of Environmental Assessments49Federal Policies Encouraging Environmental Assessments50Protection Of The Confidentiality Of Environmental Assessments Under Existing Law55State Environmental Audit Legislation and Policy60Practical Considerations and Recommendations For Performing Self-assessments61Chapter 4Elements of a Successful Program65Principles of an Audit Program65Planning the Program66A Key Program Issue: Corporate Standards and Guidelines84Additional Sampling87Continuous Review87Evaluating the Results and Implementing the Solutions88Chapter 5Impact of International Standards on EH&S Audit Programs89The Key Initiatives91Corporate Responses102Conclusion108Chapter 6The Challenges of Meeting ISO 14000 Auditing Guidelines: Audit Program Gaps109A Process to Evaluate the Adequacy of Resources110A Process to Evaluate Auditee Cooperation111A List of Auditees in the Audit Report112Identification of "Obstacles Encountered" in the Audit Report113Documentation of "Findings of Conformity"115An Appropriate Code of Ethics115A Non-Disclosure or Records Retention Policy116A Formal Audit Plan117Auditor Independence118Sufficient Program Guidance Documentation118Chapter 7A Review of Some Typical Programs119Program Overview and Scope120Program Methodology123Program Operations126Conclusion127Chapter 8Benchmarking EH&S Audit Programs: Best Practices and Biggest Challenges129Overview of Benchmarking130Best Practices133Biggest Challenges139Chapter 9Environmental Auditor Qualifications: Great Expectations143Core Skills144Observations in the Field146Making Good Things Happen148Conclusion148Chapter 10Training EH&S Auditors149The Need149Selecting the Trainers150Selecting the Trainees151Selecting the Setting151Selecting the Techniques152Chapter 11EH&S Audit Training in the Asia Pacific155First Stop: Singapore156The Transition: Singapore to Japan159Second Stop: Japan159Chapter 12Information Management163Regulatory Databases164Automated Checklists165Evaluating Auditing Software Systems168Chapter 13Using Groupware to Manage the EH&S Audit Program Documentation Process171Importance of Sound Information Management171Traditional Responses to Audit Document Management172The Groupware Solution174Conclusion177Chapter 14Managing and Critiquing an Audit Program179Beginning a Program179Managing a Program184Conclusion189Part IIConducting the AuditChapter 15Conducting the EH&S Audit193Introduction193Pre-audit Activities194On-Site Activities205Chapter 16Typical Compliance Problems Found During Audits223EH&S Audits: What Can Go Wrong?223Common Compliance Problems224Typical Inspection Areas231Auditor's Reminder Checklist262Chapter 17Conducting Effective Opening and Closing Conferences267Opening Conferences268Closing Conferences272Chapter 18Auditing Dilemmas279The Management Systems Defense279The De Minimis Issue280Virtual Compliance281Unobtainable Verification281Non-Specific Corporate Standards281Conflicts Between Country Regulations and Corporate Standards282Repeat Findings283Just-in-Time Compliance283Regulatory Intent284Vague Regulatory Definitions284Chapter 19Preparing Quality EH&S Audit Reports287Field Preparation288Report Preparation290Report Follow-Up301Chapter 20Environmental Auditing: A Modern Fable305The Company305The Audit306The Beginning307The First Meeting307The Field Work308That Night309The Next Day310Finishing311The Briefing311The Report313Epilogue317Chapter 21Achieving Quality Environmental Audits: Twenty Tips For Success319Do Not Ignore or Underestimate the Need to Prepare for and Plan the Audit and Its Logistics319Develop and Maintain a "Living" Agenda throughout the Audit320You Will Never Finish So Manage Your Time Wisely320Keep a Balance between Records Review, Interviews, and Observation321"Things" Will Happen on the Audit. Be Flexible322Always Be On Time Even When the Site Staff Are Not322Remember Site Staff Will Always Consider Audits a Performance Evaluation323In Spite of the Existence of Governmental Regulations and Company Standards, Considerable Judgment Is Still Required323Every Country, State, or Region Is Different323Learn and Apply the Audit Protocols, but Don't Forget to Use Your Common Sense and Natural Curiosity324Try to Observe Things as They Happen324Observe Ancillary Operations325Observe, Articulate, and Write, in That Order326True and Complete Root-Cause Analysis Can Be Complex, Difficult, and Time Consuming326Writing Is the Hardest Part; Developing "Bullet-Proof" Findings Is an Elusive Goal327Write the Findings as You Go327Prepare Well for the Opening and Closing Conferences328Make Sure the Site Hears the Real Story in the Closing Conference328Plan to Be Done When You Depart328Enjoy Yourself!!!328Part IIISpecial Auditing TopicsChapter 22Property Transfer Assessments331Introduction331Approach Overview334Scope and the ASTM Standard334Assessment Team334External Contacts335The Three Phases336Phase I337Phase II344Phase III344Assessment Issues345Conclusion353Chapter 23Top Ten Reasons Why Phase I Environmental Assessment Reports Miss the Mark355Failure To Maintain Independence and Objectivity357Failure To Define The Exact Scope of Work358Use of Conjecture in Report Findings359Use of Imprecise Language359Failure to Distinguish "Compliance" Findings From "Liability" Findings360Documented Sources361Failure to State Assumptions Regarding Cost Estimates in Assessment Reports362Lack of Editing and a Quality Assurance Review363Disputes Over Disclaimers364Failure to Write the Report as a Business-Decision Tool365Chapter 24Waste Contractor Audits367Objective and Scope of a TSD Facility Audit Program369Internal Programs vs. External Programs370Conducting the TSD Facility Audit372Pre-Audit Preparation372Special Pre-Audit Considerations375Selecting the Audit Team378The On-Site Audit379The TSD Facility Audit Report383Conclusion385Chapter 25Waste Minimization or Pollution Prevention Audits387Why a Pollution Prevention Focus?387The General Approaches388Limitations and Constraints389Methodology389Examples of the Presence of a Waste Minimization Effort393Chapter 26Evaluating Management Systems on EH&S Audits395Why Evaluate Management Systems?395What is a Management System?396How Do You Do It?398Practical Tips400Why is It So Hard?401Conclusion402Chapter 27International EH&S Audits403Role of Corporate Management405Design of International Audit Programs406Conducting International Audits410Summary of Key Challenges in International Audits413AppendicesAppendix AReferences419Appendix BFederal Register Notes423Appendix CSample EPCRA Audit Protocol455Appendix DProblem Solving Exercises477Appendix ESummary of Audit Programs555Appendix FModel EH&S Audit Program Manual581Appendix GModel Pre-Audit Questionnaires for EH&S Audits615Appendix HModel EH&S Audit Opening Conference Presentation645Appendix IModel Environmental Audit Report653Appendix JModel Environmental Audit Appraisal Questionnaire671Appendix KModel Management Presentation675Appendix LSample Site Assessment Report683
