Raising the Bar During Surveillance Audits
The following article was
published in The
Environmental Management Reporter (January, ’02).
For those of you who have ever had the
opportunity to witness the high jump event at a track and field meet, you
have seen the challenge faced by the athlete as they raise the bar to the
personal limit of the contestant. As a frequent spectator to such events, the experience of seeing the
athlete reach their personal limit has certainly been rewarding. In a similar line of thought
we have seen
organizations that have achieved certification of their Environmental
Management System (EMS) to the ISO 14001 Standard face the continuously
rising bar of surveillance audits. This too has been a positive
experience for us as consultants when a client is able to rise to the
occasion and meet this challenge.
A registrar (who will
remain anonymous) once told us “it is much easier to be initially
certified to the standard than it is to maintain the system”. This simple
piece of advice has proven to be the truth as far as the experiences we
have encountered with different clients and registrars. For most
organizations who commit to pursuing ISO Certification, there is an all
out effort and unity of purpose to achieve this goal. Management
commitment is in evidence, and the engineering mentality well engrained in
many companies of driving a project to successful completion takes
place. Once the banners are hung and the celebration of being certified
is over, the real strength and commitment to the EMS comes to pass. That
same mentality that drove the project typically moves on to the next
project or issue.
Unfortunately, this is
where the system for many companies begins to unravel. Too many people
have the “been there, done that” attitude towards their EMS, and forget
the basic premise that the system needs to evolve and improve with time in
order to face changing realities. One of the most common issues impacting
business during periods of recession is the need to scale back
expenditures for projects, even those that are economically and
technically viable due to reduced cash flow into the company. This basic
fact of life of not being able to spend capital during slow periods tends
to throw a damper on the ability for organizations to accomplish the
objectives and targets of their EMS. They begin projects with the best
intentions, but half way through the economy falters, personnel are laid
off, orders are down, and all the other ramifications that occur in this
situation impact the EMS as well. Projects that are started and halted
due to changing economic realities should not be left hanging. Instead,
the work that has been performed should be well documented, and the fact
that the project is on hold due to financial reasons should be clearly
stated. In fact the effort to conduct the project was there, the research
or testing may have been performed but the lack of funding has driven it
to the back burner. A registrar can then review the project work, and
witness that the effort was there, and realize the reason the objective
was brought to conclusion. A common weakness we encounter when helping
companies maintain their EMS is a lack of routine documentation of a
project status, especially when the cash flow has dried up. This is an
area that registrars routinely look for, they need to see that the effort
has been put forth even though objects and target are often not met for
either technical reasons or the lack of funding.
It is in these periods
that a system needs to prove that it is both dynamic and flexible to adapt
to the changing economic reality. With the capital money temporarily
unavailable, new and innovative ideas that will reduce environmental
impacts need to be considered. There is nothing in the ISO 14001
Standard that says that continual improvement in the system should be the
result of large expenditures. In fact, improved environmental performance
can be composed of a series of seemingly small changes, adding up to a
larger whole.
The idea is for companies
to recognize this in slow times, and put in place those things that will
add to a cumulative improvement in the EMS. One element that most
organizations should be able to afford is to improve the quality and
delivery of environmental training. Every program out there, in reality,
presents the opportunity to be improved upon. Improvements in
environmental training programs really accomplish two things; they will
increase awareness of the subject matter, which should have a beneficial
impact and will provide evidence of direct improvement in the system,
either in the course material, delivery, or in trainee retention. These
things are clearly demonstrable to an auditor who is raising the bar
during the first or second surveillance audit of the system. Most
surveillance audits involve the registrar interviewing random employees
about their role in the system, or what they would do in an emergency. A
well-trained workforce will shine in such a situation without the
expenditure of capital. In theory, when production activities have slowed
more time should be available to conduct training and involve staff in
improvement projects.
Other areas that can be
linked together during tough economic times are quality and environmental
issues. Simply, any improvements in production processes that cause less
rejected product will reduce waste production, energy and raw material
usage. Clearly, this activity will benefit both the environment and the
bottom line, and may be necessary to insure the continued viability of a
financially troubled company. It is important therefore, that the EMS
become interwoven with the overall business goals to remain profitable and
eventually increase productivity. This is part of the evolutionary
process of the system mentioned earlier.
Just as raising the bar
at a track meet pushes an athlete to their personal limits, so does the
expectation of registrars performing system audits that the EMS needs to
demonstrate improved performance. This driving force will
force companies with true management commitment to become innovative in
their approaches, and like an athlete who must train to improve; the
effort must be genuine if they hope to rise to the occasion.
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