Environmental Management Systems manuel.pinheiro@tecnico.ulisboa.pt Lecture 2 Environmental Surveys, Environmental Audits and Checks. Audit process. Legal Compliance Audits. Levantamentos Ambientais, Auditorias Ambientais e Verificações. Processo de Auditoria. Auditorias de Conformidade Legal.
Origin and types Origem e 3pologias de levantamentos ambientais e auditorias ambientais What is actual environmental situa3on? Crescente importância do Ambiente, em especial regulamentar surge a necessidade de avaliar What problems? Ø Qual é a nossa situação ambiental? What posi3on to the law Ø Ø Que problemas existem? Como estamos face à lei, por exemplo?
Types Tipologias de Avaliação Ambiental Inspec3ons Ø Ø Ø Levantamentos Ambientais Expeditos Que Mpo de problemas e eventual dimensão DiagnósMcos Ambientais and Audi3ng Ø SistemaMzar DiagnósMco da Situação Ambiental (Avaliação), sem levantamento de dados no terreno ou com levantamento. Algumas organizações referem fase 1 e fase 2. Ø Auditorias Ambientais Ø Avaliação face a um referencial e com parmcularidades
Simple approaches Listas de Verificação Mapas...
Exemplo de ficha de sistemamzação 1/2
Exemplo de ficha de sistemamzação 2/2
How is environmental aspects of the organiza3on (or ac3vity)? Simplified approach Levantamentos ambientais simplificados Environmental Survey Levantamentos Ambientais Ø Os levantamentos (ou diagnósmcos) ambientais pretendem efectuar a caracterização de como se encontra ambientalmente a organização ou acmvidade? E. g. consump3on and emissions? Ø No geral assenta no levantamento dos consumos, emissões associadas a acmvidade e seu posicionamento
Environmental Audi3ng Auditoria Ambiental (AA) - Origem, Evolução e Definição Mão- de- obra Nº de trabalhadores Regime de laboração Energia Tipo Quan3dade Água Origem Quan3dade Matérias- primas Tipo Quan3dade Detail ac3vi3es, environmental inputs and outputs Ac3vidade Descrição do processo Equipamento Localização Produtos Tipo Quan3dade Sub - produtos Efluentes líquidos Resíduos Emissões gasosas, Ruído Riscos Consunmp3on Emissions
Survey Report Estrutura de relatório de levantamento ambiental 1. ENQUADRAMENTO Approach Unit Characteris3cs Environmental Aspects and situa3on Conclusions 2. ABORDAGEM E PROCEDIMENTOS UTILIZADOS (OPCIONAL) 3. CARACTERIZAÇÃO DA ACTIVIDADE DADOS GERAIS (Iden3ficação, localização) DADOS DE PROCESSO - ACTIVIDADES CARACTERIZAÇÃO DA ZONA (OPCIONAL) 4. CARACTERIZAÇÃO DOS ASPECTOS AMBIENTAIS DAS ACTIVIDADES 5. POSICIONAMENTO AMBIENTAL 6. CONCLUSÕES
Origem AA First? Environmental Legal Conformity Audi3ng Ø Sector Financeiro Ø Contabilidade Empresarial Ø Abordagem de Gestão Pragmá3ca Auditorias de Conformidade (EUA - anos 70-80) Informar accionistas do respeito pelas normas e vulnerabilidade dos sistemas ambientais
Why? Understand environmental areas and integrate environmental in decision and managament Responsibili3es Standards Market
Main focus of ini3al Environmental Audi3ng IniMal environmental audimng, comply with legal requirement (control and management) Avaliar cumprimento dos requesitos legais Equipamento e gestão Facilitar controlo e gestão aspectos ambientais
Evolu3on /Evolução da perspec3va Confirmar a efectiv idade do sistema de gestão From iden3fy the problems first crescente Verificar a estatuto de conformidade Foco no confirmar a ausência dos problemas Laner to verify that there is no problems Sofisticação Identificar os problemas Foco no encontrar dos problemas (conformity) Tempo From old ISO 14010/1/2 (1996) to ISO 19011 (2011)
AudiMng concept Conceito de auditorias (ambientais) Compare with a referen3al Ø Analisar face a um referencial Ø Processo de verificar conformidade com critérios definidos 19011
ISO 19011:2011 Ø ISO 19011 is an internamonal standard that sets forth guidelines for: Ø Ø quality management systems audimng environmental management systems audimng Ø It is developed by the InternaMonal OrganizaMon for StandardizaMon. Ø The standard offers four resources to organizamons to "save Mme, effort and money": Ø Ø Ø Ø A clear explanamon of the principles of management systems audimng. Guidance on the management of audit programmes. Guidance on the conduct of internal or external audits. Advice on the competence and evaluamon of auditors.
Audi3ng systemamc, independent and documented process for obtaining audit evidence (3.3) and evaluamng it objecmvely to determine the extent to which the audit criteria (3.2) are fulfilled NOTE 1 Internal audits, somemmes called first- party audits, are conducted by, or on behalf of, the organizamon itself for management review and other internal purposes, and may form the basis for an organizamon's self- declaramon of conformity. In many cases, parmcularly in smaller organizamons, independence can be demonstrated by the freedom from responsibility for the Auditoria Ambiental Processo de verificação sistemá3ca e documentada permi3ndo obter e avaliar de maneira objec3va as provas da auditoria tendo em vista determinar se as ac3vidades, acontecimentos, condições, sistema de gestão rela3vos ao ambiente e as informações e aferições, são conformes com os critérios da auditoria tendo em vista comunicar os resultados deste processo ao requerente acmvity being audited. ISO 19011 Definição 2.9 da ISO 14010: 1996
Auditoria (s) Definição 3.1 da ISO 19011: 2002
Mul3ples applica3ons and Audi3ng Types Ø Areas : Environmental, energy, waste, carbon,... EMS, Ø ObjecMve: Compliance with legislamon, Due Dilligence, CerMficaMon (pre audimng, cermficamon, renovamon ), + Performance, perspec3ves Ø Depending of the audimng enmty; First part, second parte, third part
Carbon Air emissions Environmental Risks.
Mo3va3on Ø To be certain of the environmental problems and state. Peace of spirit,. Ø Different cost and benefits
AudiMng Clients, Auditee an auditors Clients Clientes Auditors Equipa de Auditores Guias e Observadores Audited Auditados Principais agentes do processo de auditoria
Funções, Responsabilidades e Ac3vidades CLIENTE Necessidade da auditoria Cooperação do auditado ObjecMvos da auditoria Seleccionar a empresa auditora Autoridade/Recursos Determinar âmbito Aprovar plano da auditoria Receber relatório de auditoria AUDITADO Informar aos funcionários Assegurar os recursos Auditor Coordenador Condução da auditoria Contactos com cliente/auditado Formar a equipa Elaborar plano de auditoria NoMficar constatações Resultados da auditoria EQUIPA DE AUDITORIA Qualificações Tipo de organização auditada Competências Conflitos Requisitos Auditor Apoio ao Líder Executar as tarefas Reunir/analisar evidências Preparar documentos Auxiliar no relatório de auditoria. Acompanhamento Acesso às instalações Cooperação Guias e Observadores apoio equipa estabelecer contactos e horários para entrevistas assegurar regras segurança testemunhar auditoria
Quality and Enviromental Audi3ng Standard ISO 19011:2011 Contents Page Foreword... v IntroducMon... vi 1 Scope... 1 2 NormaMve references... 1 3 Terms and definimons... 1 4 Principles of audimng... 4 5 Managing an audit programme... 5 5.1 General... 5 5.2 Establishing the audit programme objecmves... 6 5.3 Establishing the audit programme... 7 5.4 ImplemenMng the audit programme... 9 5.5 Monitoring the audit programme... 13 5.6 Reviewing and improving the audit programme... 13 6 Performing an audit... 14 6.1 General... 14 6.2 IniMaMng the audit... 15 6.3 Preparing audit acmvimes... 15 6.4 ConducMng the audit acmvimes... 17 6.5 Preparing and distribumng the audit report... 22 6.6 CompleMng the audit... 23 6.7 ConducMng audit follow- up... 23 7 Competence and evaluamon of auditors... 23 7.1 General... 23 7.2 Determining auditor competence to fulfil the needs of the audit programme... 24 7.3 Establishing the auditor evaluamon criteria... 28 7.4 SelecMng the appropriate auditor evaluamon method... 28 7.5 ConducMng auditor evaluamon... 28 7.6 Maintaining and improving auditor competence... 28 Annex A (informamve) Guidance and illustramve examples of discipline- specific knowledge and skills of auditors... 30 Annex B (informamve) AddiMonal guidance for auditors for planning and conducmng audits... 36 Bibliography... 42
ISO 19011 2011
Environmental audi3ng steps THE SCOPE AND STYLE OF ENVIRONMENTAL AUDITING VARY ACCORDING TO THE CIRCUMSTANCES, BUT COMMON STAGES AND ACTIVITIES INCLUDE: (1/3) Pre- audit stage ü full management commitment; ü sexng overall goals, objecmves, scope and priorimes; ü selecmng a team to ensure objecmvity and professional competence;
Environmental audi3ng steps (2/3) Audit phase 1- on- site audit, well defined and systemamc using protocols or checklists; 2- review of documents and records; 3- review of policies; 4- interviews; 5- site inspecmon;
Environmental audi3ng steps (3/3) Post- audit stage evaluamon of findings; repormng with recommendamons; preparamon of an acmon plan; and follow- up.
Audit protocols, methods and tools: The term "protocol" means the checklist used by environmental auditors as the guide for conducmng the audit acmvimes. Current technology supports many versions of computer- based protocols that ayempt to simplify the audit process by convermng regulatory requirements into quesmons with "yes", "no" and "not applicable" check boxes. Other auditors use permits directly as protocols. Permits for air emissions, wastewater discharges and other operamonal aspects may establish the primary legal compliance standards for companies.
Environmental Survey and Performance In the past, the environmental agenda has had limited relevance for many businesses and had been seen as detracmng from profitability. However, the results demonstrate that this perspecmve has changed. Businesses are increasingly aware of the benefits that can be reaped by adopmng environmental strategies. They understand that the tradimonal trade- off between reducing environmental impacts versus profitability is an outmoded perspecmve hyp://www.eef.org.uk/publicamons/surveys/measuring- Performance- - - Environment- Survey- 2009.htm The impacts and performance begin to be consider and also in some case repor3ng Life Cycle Assessment Life Cycle Cost Social Life Cycle Performance
Example Environmental Performance and improvement // Energy // Water LiderA application! Improve efficiency //Others Electricity (kw/ room occupied ) Gas (kg/ room occupied) LiderA Sustainable tourism standard Water (m 3 / room occupied ) 33 0.003 31.90 31.63 2.51 Novembro 32 0.003 Setembro 31 0.002 30 Julho 0.002 29 28.17 Maio 28 0.001 2.21 2.04 Março 27 0.001 26 Janeiro 0.000 2009 0 2010 2011 30 40 2009 50 2010 60 2011 2012 kwh/dormida 2011 kwh/dormida 2010 kwh/dormida 1.10 1.05 1.00 0.95 0.90 0.85 1.08 0.93 0.94 2009 2010 2011
Environmental benchmarking and good practices Hotels with good prac3ce: more than 3,6 millions room Environmental Policy Sustainable standards Others standards 1 InterContinental Hotels Group S S N/A 2 Marriott International Inc. S S N/A 3 Wyndham Worldwide S S N/A 4 Hilton Worldwide S N/A Standard e relatório interno. 5 Accor SA S S N/A 6 Choice Hotels International Inc. S N/A N/A 7 Starwood Hotels & Resorts Worldwide Inc. S N/A N/A 8 Best Western International S N/A N/A 9 Carlson Hotels Worldwide S N/A N/A 10 Hyatt Hotels Corp. S N/A N/A 11 Westmont Hospitality Group S N/A N/A 12 Shanghai Jin Jiang International Hotel Group Co. L N/A N/A 13 Home Inns & Hotels Management L N/A N/A 14 The Rezidor Hotel Group S S N/A 15 Meliá Hotels International S S N/A 16 LQ Management LLC S N/A N/A 17 TUI Hotels & Resorts S S N/A 18 Louvre Hotels Group S N/A N/A 19 Extended Stay Hotels L N/A N/A 20 Iberostar Hotels & Resorts S N/A N/A 21 Vantage Hospitality Group Inc. N/A N/A N/A 22 NH Hoteles SA S S N/A 23 7 Days Group Holdings Ltd. N/A N/A N/A 24 Interstate Hotels & Resorts N/A N/A N/A 25 China Lodging Group Ltd. N/A N/A N/A 26 Barceló Hotels & Resorts N/A N/A N/A 27 MGM Resorts International S N/A Standard interno e relatório público 28 Whitbread PLC S S N/A 29 Caesars Entertainment Inc. S S N/A 30 Riu Hotels & Resorts S N/A Adopta a política ambiental do TUI 31 Toyoko Inn Co. Ltd. N/A N/A N/A 32 Fairmont Raffles Hotels International N/A N/A N/A 33 Red Roof Inn N/A N/A N/A 34 The Walt Disney Co. S S N/A 35 Travelodge Hotels Ltd. S N/A N/A 36 Shanghai Model Chain Co. Ltd. N/A N/A N/A 37 Millennium & Copthorne Hotels PLC S N/A N/A 38 Shangri-La Hotels and Resorts N/A N/A N/A 39 Scandic Hotels S N/A Standard interno com base no standard do Nordic Swan; relatório público, disponível na internet, actualizado em directo 40 Pyramid Hotel Group N/A N/A N/A 41 Nordic Choice Hotels S S N/A 42 Hotel Okura Co. Ltd. N/A N/A N/A 43 Pandox AB S N/A N/A 44 HK CTS Hotels Co. Ltd. N/A N/A N/A 45 Pillar Hotels & Resorts N/A N/A N/A 46 Club Méditerranée S S N/A 47 Highgate Hotels N/A N/A N/A 48 White Lodging services Corp. N/A N/A N/A 49 Jinling Hotels & Resorts Corp. L N/A N/A 50 Prince Hotels Inc. L N/A N/A
Benchmarking values Unidades Worst values Average Best values Energy kwh/guest/night 229,50 Aparthotel Miravillas (Portugal, 2007) ISO14001 / EMAS 46,4 12,80 Scandic (2005) ISO14001 / EMAS kwh/room/night 293,27 Aparthotel Mirante (Portugal, 2008) ISO14001 / EMAS Water l/hóspede/noite 770,00 Parador de Turismo de Zafra (Espanha, 2008) ISO14001 / EMAS Carbon emissions 75,1 344,5 l/room/night 1556,00 Sofitel (2010) N/A 518,5 kg/hóspede/noite 10,75 Club Mediterranée (2011) N/A 6,6 kg/room/night 91,18 Walt Disney Co. (2008) N/A 24,7 Waste kg/hóspede/noite 7,87 Apartamentos Verdemar (Espanha, 2007) ISO14001 / EMAS 1,5 kg/room/night 6,75 Accor (2010) 25% dos hotéis > ISO14001 1,5 9,22 Apartamentos Nova (Espanha, 2007) ISO14001 / EMAS 167,95 Scandic (2005) ISO14001 / EMAS 140,67 Aparthotel Miravillas (Portugal, 2007) ISO14001 / EMAS 2,23 Nordic Choice (2010) ISO14001 0,27 Scandic (2005) ISO14001 / EMAS 0,34 Hotel Marina Atlântico (Portugal 2006) ISO14001 / EMAS 0,27 Hotel Costa del Sol (Espanha, 2008) ISO14001 / EMAS
Conclusions Ø Environmental challenges to have environmental legal requires or performance Ø Assess, audimng and verificamons are essenmal tools Ø The tools have specific to different approaches References: ISO 19011hyp://www.snh.org.uk/publicaMons/on- line/advisorynotes/45/45.htm hyp://www.epa.vic.gov.au/en/our- work/environmental- audimng/environmental- auditor- appointments hyp://www.business.gov.au/businesstopics/environmentalmanagement/businessbenefitsandplanning/ Environmentalplanning/Pages/EnvironmentalaudiMng.aspx