1. This Project is funded by the European Union Project implemented by Human Dynamics Consortium This project is funded by the European Union Projekat finansira Evropska Unija (INTEGRATED) AUDIT OF A SAFETY MANAGEMENT SYSTEM Ike van der Putte

2. This Project is funded by the European Union Project implemented by Human Dynamics Consortium INTRODUCTION ON INTEGRATION OF SMS AUDIT WITH EMS AUDIT (1) It is useful to link the SMS to other existing or planned management systems in the company. If a holistic management system is already in place, the SMS should be integrated into it. This allows the operator to take company specific factors into account, for example, the SMS can be integrated into existing managements systems which comply with e.g. ASCA-based systems, ISO 9000 ff, ISO 14001, EMAS, or can be built onto these, or can make use of other existing management structures. When implementing an installation specific SMS,certain factors can be necessary in order to ensure that implementation takes place throughout the whole establishment.

3. This Project is funded by the European Union Project implemented by Human Dynamics Consortium With the example of an EMS (Environmental Management System) Audit, the audit of an SMS (Safety Management System) is illustrated Introduction on integration of SMS Audit with EMS Audit (2)

4. This Project is funded by the European Union Project implemented by Human Dynamics Consortium ENVIRONMENTAL AUDITING

5. This Project is funded by the European Union Project implemented by Human Dynamics Consortium DEFINITION ENVIRONMENTAL AUDIT (GENERAL DEFINITION, ISO/DIS 14010) A systematic, documented verification process of objectively obtaining and evaluating evidence to determine whether specified environmental activities, events, conditions, management systems, or information about these matters, conform with audit criteria, and communicating the results of this process to the client Note: id. SMS

6. This Project is funded by the European Union Project implemented by Human Dynamics Consortium DEFINITION EMS AUDIT (ISO/DIS 14011) A systematic, documented verification process of objectively obtaining and evaluating evidence to determine whether an organization’s EMS, conforms with the EMS audit criteria, and communicating the results of this process to the client Note: id. SMS

7. This Project is funded by the European Union Project implemented by Human Dynamics Consortium MAIN CONCEPTS ENVIRONMENTAL AUDIT Instruments Evidence Criteria Findings Conclusion(s) Reporting Note: id. SMS

8. This Project is funded by the European Union Project implemented by Human Dynamics Consortium MAIN CONCEPTS ENVIRONMENTAL AUDIT Data, Information Data, Information Evidence Criteria Findings Results: opinion - conclusion(s) Results: opinion - conclusion(s) Reporting Auditee Client audit instruments evaluation, selection evaluation analysis, aggregation Auditor Scope Note: id. SMS

9. This Project is funded by the European Union Project implemented by Human Dynamics Consortium EA INSTRUMENTS study of company documentation interviewing management and personnel plant (and location) visits verification checks on information Note: id. SMS

10. This Project is funded by the European Union Project implemented by Human Dynamics Consortium EA CRITERIA company policy (including environmental regulations) nature, scale, impacts of activities, products, services EMS-standards actual functioning, performance Note: id. SMS: with elements 1-6 of SMS

11. This Project is funded by the European Union Project implemented by Human Dynamics Consortium EMS AUDIT CRITERIA Reference (standard) Nature, scale, impacts of activities, products, services Policy, objectives Reality, functioning, performance Env. man. system ‘completeness’ ‘translation’ ‘suitability’ ‘implementation’

12. This Project is funded by the European Union Project implemented by Human Dynamics Consortium CHECKING COMPLETENESS ISSUES environmental policy environmental programme organisational structure, tasks, responsibilities, authorities internal and external communications procedures, instructions training and competence measuring and recording corrective mechanisms environmental auditing and management review process emergency procedures and plans

13. This Project is funded by the European Union Project implemented by Human Dynamics Consortium CHECKING CORRECT ‘TRANSLATION’ ISSUES local situation air, water emissions and discharges waste production and disposal soil pollution handling and storage of raw materials, chemicals and hazardous substances collection and disposal of wastes technical environmental provisions process performance and management environmental risks maintenance aspects

14. This Project is funded by the European Union Project implemented by Human Dynamics Consortium CHECKING IMPLEMENTATION ISSUES availability and implementation of procedures training records availability of records and measurement reports whether the environmental policy has been communicated to all employees

15. This Project is funded by the European Union Project implemented by Human Dynamics Consortium comparing measurements of emissions and discharges with objectives checking specific provisions in licenses and regulations for compliance CHECKING SUITABILITY ISSUES

16. This Project is funded by the European Union Project implemented by Human Dynamics Consortium Approach MAPP and SMS should address the following issues: 1. organisation and personnel 2. identification and evaluation of major-accident hazards 3. operational control 4. management of change 5. planning for emergencies 6. monitoring performance 7. audit and review Check on complete, correct and credible (e.g systematical) criteria for SMS: See sectoral checklist for SMS http://www.uba.de/uba-info-medien-e/4510.html SMS AUDIT CRITERIA

17. This Project is funded by the European Union Project implemented by Human Dynamics Consortium EA REPORTING observations findings conclusions, opinions recommendations Note: id. SMS

18. This Project is funded by the European Union Project implemented by Human Dynamics Consortium STRUCTURE ISO 10011: QUALITY AUDITING GUIDELINES Part 3: management of audit programmes Part 2: quality system auditors Working process Qualification criteria auditors Programmes Part 1: system auditing

19. This Project is funded by the European Union Project implemented by Human Dynamics Consortium INITIATIVE FOR THE ENVIRONMENTAL AUDIT 1. Organization part of the EMS-elements; commercial interests. 2. Third parties government; clients, suppliers; share holders; banks; insurance companies. Note: id. SMS

20. This Project is funded by the European Union Project implemented by Human Dynamics Consortium ENVIRONMENTAL AUDIT EXECUTION Internal audit internal auditors external auditors External audit external auditors Note: id. SMS

21. This Project is funded by the European Union Project implemented by Human Dynamics Consortium STEPS IN THE AUDIT PROCESS Agree audit scope and resources Agree audit scope and resources Preliminary document review Preliminary document review Opening meeting Collect evidence Document and review audit findings Document and review audit findings Closing meeting: present audit findings Closing meeting: present audit findings Reporting Follow-up Prepare audit plan: -criteria -priority areas -units, functions -time schedule - audit team -reporting -working documents Action planning Note: id. SMS

22. This Project is funded by the European Union Project implemented by Human Dynamics Consortium AUDIT PROCESS A. Preparing the audit determining audit scope, resources preliminary document review audit plan assigning audit team preparing working documents B. Executing the audit opening meeting collecting evidence audit findings closing meeting with the auditee Note: id. SMS

23. This Project is funded by the European Union Project implemented by Human Dynamics Consortium AUDIT PROCESS C. Audit reporting report preparation report content report distribution document retention (D. Action planning, follow-up) Note: id. SMS

24. This Project is funded by the European Union Project implemented by Human Dynamics Consortium EA PREPARATION send list of required documents beforehand preliminary visit and document study assessment of main environmental risks development of audit plan information on audit to employees Note: id. SMS

25. This Project is funded by the European Union Project implemented by Human Dynamics Consortium REPORTING

26. This Project is funded by the European Union Project implemented by Human Dynamics Consortium THE AUDIT REPORT executive summary general information audit findings audit conclusions recommendations Note: id. SMS

27. This Project is funded by the European Union Project implemented by Human Dynamics Consortium THE AUDIT REPORT General information:  audited organization  scope, objectives, criteria,  reference documents  auditee and client  summary of audit process, plan  period covered  confidentiality, distribution Note: id. SMS

28. This Project is funded by the European Union Project implemented by Human Dynamics Consortium THE AUDIT REPORT Findings completeness, ‘translation', implementation, suitability, Conclusions, opinions (if agreed) Recommendations (if agreed) Note: id. SMS: completeness, correctness, credibility

29. This Project is funded by the European Union Project implemented by Human Dynamics Consortium QUALIFICATION CRITERIA ENVIRONMENTAL AUDITORS (ISO/DIS 14012) education and work experience: secondary education + 5 years appropriate experience degree + 4 years appropriate experience auditor training: formal training: environmental science, technology, facility operations, environmental laws and regulations, EMS, standards, audit procedures on the job training: 20 days auditing, 4 audits personal attributes and skills maintenance of competence

30. This Project is funded by the European Union Project implemented by Human Dynamics Consortium The auditors and their activities are required to comply with the adopted national or international standards, (e.g. German Industry Standard (DIN) EN ISO 8402 and DIN ISO 10011 sections 1-3 are to be applied as appropriate) for instance: Unbiased execution of duties; Examination of whether safety-related legal requirements are being observed; Collection and analysis of sufficient relevant evidence to be able to come to a conclusion regarding the system being audited; Qualification criteria SMS auditors

31. This Project is funded by the European Union Project implemented by Human Dynamics Consortium CASE STUDY: UNDERGROUND FUEL TANKS Risk: oil leakage : soil pollution, ground water pollution Control: frequent inspection and maintenance of tanks Audit question: Who / which department is responsible for inspection and maintenance of the underground fuel tanks?

32. This Project is funded by the European Union Project implemented by Human Dynamics Consortium ANSWERS: General manager: Technical manager: Materials manager: Store keeper: Purchasing department: Supplier: Technical manager Materials manager Store keeper Purchasing department Supplier NO!

33. This Project is funded by the European Union Project implemented by Human Dynamics Consortium CONCLUSION: No inspection and maintenance of the tanks was performed. Investigation showed that 3 out of 20 tanks leaked oil

34. This Project is funded by the European Union Project implemented by Human Dynamics Consortium CASE STUDY: CFC LEAKAGE cooling system containing 30 tons CFC risk: leakage of CFC to air and soil Audit questions: 1. Technical department: CFC leakage? Answer: no, closed circuit 2. Purchasing department: CFC purchase? Answer: yes, 10 tons/year of CFC refill Conclusion: Leakage: 10 tons/year of CFC

35. This Project is funded by the European Union Project implemented by Human Dynamics Consortium REFERENCES Ike van der Putte- Chair FIDIC Standing Committee on the Environment. UNEP – ICC - FIDIC EMS Training Resource Kit 2 nd Edition, June 2001 Follow-up to the training session on evaluation of safety reports and joint inspection for Croatia, Serbia and the former Yugoslav Republic of Macedonia Final Report 2012 http://www.uba.de/uba-info-medien-e/4510.html

36. This Project is funded by the European Union Project implemented by Human Dynamics Consortium

37. This Project is funded by the European Union Project implemented by Human Dynamics Consortium