envauditproto_uguide

8/12/2019 EnvAuditProto_UGuide

1/52

ENVIRONMENTAL

AUDIT PROTOCOL

USER GUIDE

Authors


2/52

Copyright 2003 Thomson Legal & Regulatory Limited trading asThomson CPD (Centre for Professional Development), ABN 64 058914 668, 35 Cotham Road, Kew, Vic, 3101 Australia. All rightsreserved. No part of this guide may be reproduced or utilised in anyform or by any means, electronic or mechanical, includingphotocopying, recording, or by information storage or retrievalsystem, without written permission from Thomson CPD.

Published December 2003.


3/52

ABOUT THE AUTHORS

Graham Brown

Graham A. Brown founded Australias first full-time, independent

environmental consultancy in 1970, following more than 10 years

experience in the mining and petroleum exploration industries in

Australia and internationally. He is a consultant to a number ofcommercial, industrial and government organisations and is the

Principal of:

Graham A. Brown and AssociatesPO Box 571

Kotara NSW 2289

Ph: (02) 4942 5135

Fax: (02) 4942 5191

Email: [email protected]

Web site: www.grahamabrown.com.au

Graham Brown holds a Master of Science degree from Melbourne

University and a Bachelor of Science degree from the University of

Western Australia. He helped develop the procedures for environmental

impact assessment for the New South Wales and other governments in

the early 1970s, and has contributed to the development of protocols

for environmental auditing since the late 1980s. With over 30 years

experience as an environmental consultant, he has carried out more

than 500 environmental management projects in Australia and overseasfor both government and industry.

Graham Brown is also the author of the companion books published by

Thomson CPD, Environmental Audit Guidebook (1993), Environmental

Awareness and Obligations An Australian Management Perspective

(1994), Environmental Management Systems Guidebook (1996) and The

Waste Management and Minimisation Guidebook (2001).

ENVIRONMENTAL AUDIT PROTOCOL vii


4/52

He is registered as a Senior Environmental Auditor by the Register of

Certified Auditors, Quality Society of Australasia; he is a Certified

Professional Environmental Auditor in the USA; he has been accreditedas a Safety Auditor Environment Protection by the International

Safety Rating Council (USA); and is accredited as a Principal

Environmental Auditor by the UK-based Environmental Auditor

Registration Association (EARA).

He is a Fellow of the Australasian Institute of Mining and Metallurgy,

and holds memberships of the Environment Institute of Australia, the

International Association for Impact Assessment, the Environmental

Auditing Roundtable (USA), the American Association of Petroleum

Geologists and other professional associations.

Robert Lenton

Lenton Environmental

Robert has over 30 years experience in various industries, including

state and local government, mining, steel making, transport, heavy

industrial engineering and private consulting. Robert has developed a

solid foundation and practical knowledge of the workings and needs ofthese industries. He has been directly involved in the environmental

and OHS management, and operating issues associated with these

industries for over 25 of those years.

Robert holds a Master of Environmental Management from the

University of New England, a Diploma in OHS Management and is

registered as a Senior Environmental Auditor by the Register of

Certified Auditors, Quality Society of Australasia. In addition, Robert is

a certified engineer as well as a qualified trainer.In recent years, Robert has been involved in many significant projects

that have included the development of Management Systems to ISO

14001, environmental audits of various mining and manufacturing

activities, and the introduction of risk assessment systems into many

management systems.

ABOUT THE AUTHORS

viii ENVIRONMENTAL AUDIT PROTOCOL


5/52

CONTENTS

Page No

About Environmental Audit Protocol .....................................1

Elements ........................................................................1

Ratings ...........................................................................3

Step-by-step ....................................................................5

Installations and Updates ....................................................6

Minimum system requirements ..............................................6

Installing Environmental Audit Protocol ....................................6

Uninstalling Environmental Audit Protocol ................................7

Installation Support ............................................................7

Getting Started .................................................................7

Registration ....................................................................8

Impact of Not Registering or Re-registering ...............................9Warning Message ...............................................................9

Renewals ........................................................................9

Main Menu .....................................................................10

New Audit .....................................................................11

Protocol Selection ............................................................12

Summary Information .......................................................13

Audit Protocol Questionnaire .............................................15

Buttons .........................................................................15

Protocol Tree ..................................................................17

Element and Sub-element Title and Element Scoring ..................17

Question and Question Scoring .............................................18

Answers ........................................................................19

Skipping Questions ...........................................................22

Professional Judgment and Scoring ........................................23Supplementary Questions and Answers ...................................23

Category and Total Audit Scoring ..........................................24

ENVIRONMENTAL AUDIT PROTOCOL ix


6/52

Executive Summary .........................................................25

Conclusion ....................................................................27

Notes ..........................................................................29

Aid Notes .......................................................................29

Guide Notes ...................................................................30

Auditors Notes ................................................................30

Recommendations ............................................................32

Reports ........................................................................34

Report Types ...................................................................35

Optional Extras ...............................................................37

Compiling a Report ...........................................................37

Printing the Report ...........................................................39

Exporting the Report .........................................................40

Locking Your Audit ..........................................................41

Existing Audits ...............................................................42

Searching ......................................................................42

Sorting Search Results .......................................................43

Opening an Existing Audit ...................................................43

Deleting an Audit .............................................................44

Legislation ....................................................................45

DEC 2003

x ENVIRONMENTAL AUDIT PROTOCOL


7/52

ABOUT ENVIRONMENTAL

AUDIT PROTOCOL

Welcome to Environmental Audit Protocol.

Environmental Audit Protocol consists of:

1. A series of questions (grouped into elements and sub-elements)

to be answered by the auditor.

2. Supplementary material designed to assist with the completion

of the audit (Guide Notes and Aid Notes).

3. Facilities to create an Audit Report compiled using your protocol

answers and the supplementary material.

Elements

Environmental Audit Protocol 1.0 is comprised of twenty (20)elements with associated sub-elements. Each element will allow theauditor to examine the organisation, facility or site being reviewed in

detail. Each question has been categorised and rated based on the

potential consequences to the environment and/or organisation.

1.0 Introduction

2.0 Environmental Policy

3.0 Environmental Impacts

4.0 Legal and Other Requirements

4.1 Legal Requirements

4.2 Other Requirements

5.0 Environmental Action Plans

6.0 Structure and Responsibility

7.0 Environmental Management Program

8.0 Training Awareness and Competence

ENVIRONMENTAL AUDIT PROTOCOL 1


8/52

9.0 Communications and Complaints Management

9.1 Communications Management

9.2 Complaints Management

10.0 Environmental Documentation

11.0 Document Control

12.0 Operational Control

12.1 General Procedures

12.2 Air Quality Management

12.3 Surface Water Management

12.4 Underground Water Management

12.5 Traffic Management

12.6 Noise Management

12.7 Vibration Management

12.8 Land Management

12.9 Solid Waste Management

12.10 Liquid Waste Management

12.11 Hazardous Substances Management

12.12 Radiation Management

12.13 Aboveground Storage Tanks

12.14 Underground Storage Tanks

12.15 Energy Management

12.16 Procurement and Purchasing

12.17 Product Stewardship

13.0 Environmental Emergency Preparedness and Response

13.1 Emergency Response Procedures

13.2 Spill Prevention and Control

13.3 Environmental Incident and Accident Reporting

DEC 2003

2 ENVIRONMENTAL AUDIT PROTOCOL


9/52

14.0 Monitoring and Measurement

15.0 Due Diligence

16.0 Environmental Records

17.0 Environmental Audits

18.0 Management Review

19.0 Public Environmental Statements

19.1 Mandatory Reporting

19.2 Voluntary Reporting

20.0 External Verification

Ratings

Category Rating Comments Examples

Certification None This category has only been used for thecertification of the audit in Element 1.0,

Question 1.0.1

Desirable 5 or less Good idea, good Inclusion ofpractice, etc. An Environmental

enhancement that Policy in a publicly

improves the available newsletter

organisations

environmental

program.

Essential 20 System cannot Environmentalwork without it Policy

Informative None This category has only been applied toquestions that seek information such as

questions in Element 1.0, Questions

1.0.2 and 1.0.3

ISO 14001 Varies This category is applied to questionsRequirement that relate to requirements established

by the Australian Standard AS/NZS 14001 continued

DEC 2003



10/52

Category Rating Comments Examples

Necessary 15 Supports Essential Inclusion ofcategory questions, documented

i.e. if the environmental

requirement is not objectives in the

satisfied, the organisations

environmental environmental

program may be action plan

compromised

Policy 20 A requirement of Voluntary reporting

Requirement the Environmental on environmentalor other Policy performance of the

adopted by the organisation to

organisation governments, the

community, etc.

Professional Varies up Mainly used where Evaluating theJudgment to 35 the auditor is effectiveness of

required to various components

evaluate the of theperformance or environmental

other aspect of the management

environmental program

management

program

Recommended 10 If the requirement The presence ofis not satisfied, the signage on tanks or

environmental other containmentprogram will not

collapse without it

Regulatory 20 Prescribed by Presence of licencesRequirement regulatory or other approvals

requirements

DEC 2003



11/52

Step-by-step

Step 1: Answer protocol questions, providing further information asindicated, and completing Executive Summary and Conclusionas required.

Step 2: Compile report/s with components as selected.

Step 3: Print or export report to desired format.

DEC 2003



12/52

INSTALLATIONS AND UPDATES

Minimum system requirements

Personal computer with Pentium or higher processor.

64Mb of RAM (higher recommended)

Microsoft Office 97 and above Microsoft Windows 98/NT 4.0/Me/2000/XP operating systems

with the latest service packs.

Hard disk with at least 100Mb free.

CD-ROM (installation purposes only).

Microsoft or Microsoft-compatible mouse/pointing device.

Screen resolution of at least 800x600 pixels.

Installing Environmental Audit Protocol

The CD-ROM will automatically install the appropriate program and

related files on your hard disk.

Insert the Environmental Audit Protocol CD-ROM in your CD-ROMdrive.

Some PC systems will automatically start the installation program. If

the installation does not start automatically, from the Start menuselect Run and enter the following installation command:

D:\setup.exe (where D represents the CD-ROM drive letter).



13/52

Uninstalling Environmental Audit Protocol

Should Environmental Audit Protocol need to be uninstalled for anyreason, follow the steps below:

From the Start menu select Settings then Control Panel.

Doublelick the Add/Remove Programs icon, identify the nameEnvironmental Audit Protocol in the listing and then clickAdd/Remove to uninstall.

Installation Support

Thomson CPDs Customer Service Team will be pleased to assist you

with any questions about installing or using Environmental AuditProtocol.

Phone Free Call 1800 036 186 Monday to Friday 8.45am to 5.30pmEastern Standard Time.

Getting Started

Once your Environmental Audit Protocol has been installed, you areready to commence environmental auditing.

To open Environmental Audit Protocol, from the Start menu selectPrograms | CPD Business Tools | Environmental Audit Protocol

DEC 2003



14/52

REGISTRATION

Environmental Audit Protocol is required to be registered within30 days of installation.

A registration screen similar to the following will popup until you

register, counting down 30 days after installation:

To register, call Thomson CPD on Free Call 1800 036 186.

You will need to quote the Registration Number (including hyphens)displayed on your screen along with your Customer Account Numberwhich is located on your Thomson CPD invoice or statement.

Your Thomson CPD Customer Service Consultant will then read your

Unlock Key to you.

Enter the Unlock Key into the field provided and click OK.



15/52

You are now registered to use Environmental Audit Protocol for thenext 12 months.

The Environmental Audit Protocol Main Menu will be displayed.

If you have any questions, please call Thomson CPD on Free Call1800 036 186.

Impact of Not Registering or Re-registering

If you dont register within 30 days of installation or re-register after

12 months, Environmental Audit Protocol will cease to function as

expected.You will not be able to:

Create a New Audit.

Change an Existing Audit.

You will be able to:

View Existing Audits.

Print and Export Existing Audits.If you have any questions, please call Thomson CPD on Free Call1800 036 186.

Warning Message

A warning message will appear 30 days before expiry to ensure you areaware of the expected expiry date.

Renewals

An invoice will be sent with instructions on how to renew at the

appropriate time.

If you have any questions, please call Thomson CPD on Free Call1800 036 186.

DEC 2003



16/52

MAIN MENU

Upon opening Environmental Audit Protocol, the following Main Menuscreen is displayed.

New Audit: creates a new audit see page 11.

Existing Audits: enables searching for and opening existing completedor partially completed audits see page 42.

Help: displays Help information.

Other Environmental Tools: displays an Adobe pdf of Thomson CPDsenvironmental catalogue.

Copyright/Disclaimer: displays Thomson CPDs copyright anddisclaimer information.

About Thomson CPD: displays further information about Thomson CPDand our product range.

About the Author: displays information about the authors, GrahamBrown and Robert Lenton.

Exit: closes Environmental Audit Protocol.



17/52

NEW AUDIT

To begin a new audit, from the Main Menu click New Audit.

The following selection screen will be displayed:

Select your required protocol (at present there is only one protocol)

with your mouse.

A description of the protocol will appear in the lower field explaining

why to use this protocol.

With the protocol title selected, either doubleclick the protocol title or

click OKto open the protocol.

The Summary Information screen will be displayed.



18/52

Protocol Selection

Over time, Thomson CPD will be updating existing audits and providingnew protocols to choose from.

Environmental Audit Protocol 1.0

This protocol provides a detailed assessment of an organisations

environmental management processes. The protocol examines all

components of the organisation, including planning, operational

control, ongoing improvement programs, monitoring, emergency

response and preparedness, incident management, and internal andexternal reporting.By completing this audit protocol, an organisation,

through its auditors, will have a detailed understanding of its level of

performance and compliance with environmental requirements.

For more information about the contents of the protocol, refer

to About Environmental Audit Protocol (see page 1).

DEC 2003



19/52

SUMMARY INFORMATION

The Summary Information screen is displayed after selection of theaudit protocol when creating a new audit or by clicking the SummaryInformation button on the Audit Protocol Questionnaire screen.

Audit Title*: the unique identifier and title of your audit. The AuditTitle is used by the searching facility to identify and locate the audit.

Site Address: the address of the site being audited. Press Control +Enter to begin a new line in this field.

Site Owner: the owner of the site being audited.

Site Occupier: the occupier of the site being audited.

* compulsory field



20/52

Facility Name: the name of the facility being audited.

Main Contact: main contact of the organisation being audited.

Phone: telephone number of the main contact, site or organisationbeing audited.

Fax: fax number of the main contact, site or organisation beingaudited.

Mobile: mobile telephone number of the main contact, site ororganisation being audited.

Other Facility Personnel: names and details of other key contacts at

the facility being audited. Press Control + Enter to begin a new line inthis field.

Email: email address of the main contact, site or organisation beingaudited.

Web Site: web site URL of the site or organisation being audited.

Audit Leader: auditor, leader or project manager of the audit. Can beused in the searching facility to locate the audit.

Phone: telephone number of the Audit Leader.

Fax: fax number of the Audit Leader.

Mobile: mobile telephone number of the Audit Leader.

Audit Team: names and details of Audit Team members. Press Control+ Enter to begin a new line in this field.

Start Date: date the audit commenced.

End Date: select the date the audit was completed. Can be used in thesearching facility to locate the audit.

Report Signed By: the person signing off the audit.

When complete, click OK to open the Audit Protocol Questionnairescreen.

Click Cancel to return to the Main Menu.

DEC 2003



21/52

AUDIT PROTOCOL

QUESTIONNAIRE

After clicking OKfrom the Protocol Selection screen or doubleclickingthe title from the Search for Existing Audit, the following Audit Protocol

Questionnaire screen is displayed.

Buttons

Report: opens the report function enabling printing and/or exporting ofthe information entered into the audit see page 34.

Lock: locks the audit so no changes can be made to a completed audit.An audit cannot be unlocked after it has been locked see page 41.

The locked status can be used in the searching facility to locate the

audit see page 43.



22/52

Close: saves and closes the audit, returning you to the Main Menu orSearch for Existing Audit screen.

Summary Information: displays the Summary Information screen see page 13.

Executive Summary: displays the Executive Summary field see page25.

Conclusions: displays the Conclusions field see page 27.

Auditors Notes: displays the Auditors Notes field related to thecurrent question see page 30.

Recommendations: displays the Recommendations field related to thecurrent question see page 32.

Aid Note: displays the Auditor Aid Note information related to thecurrent question see page 29.

Guide Note: displays the Auditor Guide Note information related to thecurrent question see page 30.

Help: displays Help information.

: when dark grey, moves to the next question in the Audit ProtocolQuestionnaire.

DEC 2003



23/52

Protocol Tree

The left side of the screen displaysthe Protocol Tree.

The Protocol Tree provides anoverview of the protocol and can

be used as a navigational tool.

Click the Element title to displaythe first question in that Element.

Click the + next to an Element orSub-element title to expand the

Element or sub-element to display

the question numbers included.

Click the question number to

display that question.

Click the next to an Element orSub-element title to collapse/

compact the element.Vertical and horizontal scroll bars

are provided when required to

enable navigation.

As you move through the protocol

questionnaire, the protocol tree

will highlight the current question.

Element and Sub-element Title and Element Scoring

This area of the screen displays the current Element number and title.

Where required, the Sub-element title is displayed below the Element

title.

DEC 2003



24/52

Each Elements score is tracked separately and is displayed as:

Element = X/XXX

where

X = the points allocated as questions in that particular element

are answered

XXX = the total possible score for that element. When Not Applicable

is selected as an answer, the potential points for that question

are subtracted from the total possible element score.

Question and Question Scoring

This area of the screen displays the question and its allocated scoring.Where the question is longer than the space allows, a vertical scroll bar

appears to enable you to read the full question.

Each Questions score is tracked separately and before the question has

been answered, is displayed as:

Question = 0/XX

where

0 = points allocated based on the answer chosen. This can range

anywhere from 0 to 45.

XX = the total possible score for that question. When Not Applicable

is selected as an answer, the score for that question is

displayed as 0/0.

DEC 2003



25/52

Answers

This area of the screen displays the answer options available for thecurrent question. Generally all questions will require an option to be

checked, or in the case of multiple choice questions, a series of options

to be checked.

Typical Single Choice Answer

To select an answer, click your mouse on the button next to the answer

option.

You can only choose one option, i.e. Yes or No or Not Applicable.

This type of answer can also be displayed as checkbox options.

To select an answer, click your mouse on the checkbox next to the most

applicable answer option.

You can only choose one option, None or 1% to 20% or 21% to 40%, etc.

The option ticked will allocate points to the question, element and

total scores. Each option is likely to have a different points value, with

weighting to the most desirable answer.

However, if there is a Not Applicable answer option and you select it,it will untick any other option selected.

DEC 2003



26/52

Typical Multiple Choice Answer

To select an answer, click your mouse on the checkbox next to theanswer option.

You can choose more than one option, i.e. Legal and other

requirements and Technological options.

However, if there is a Not Applicable (Check this box only if no otherbox is checked) answer option and you select it, it will untick any otheroption/s selected.

Each option ticked will allocate points to the question, element and

total scores. Some answers allocate points evenly, while others have

points weighted to the more important answer options.

If the answer options are longer than the answer display area, a

horizontal scroll bar will appear.

Typical Text Answer

Where presented with an empty field, the answer is expecting some

textual information to be entered. You can either type directly into thefield (formatting not possible) or compile your answer in Microsoft Word

including formatting (font, bold, italics, etc.) and copy and paste into

the field. The generated report will include your formatting.

DEC 2003



27/52

Typical Table Answers

Some answers require data that is more easily collated in a table

format.

Type your data directly into each cell.

Click Add to insert more rows at the bottom of the table.Note: More rows can only be inserted if there is data in all rows.

To delete a row, select the row and press the Delete button on yourkeyboard.

Typical Dropdown List Answers

To select an answer for each option, click the dropdown list arrow to

display the list and select the most applicable option.

A vertical scroll bar will appear when required to enable access to more

options.

DEC 2003



28/52

Typical Date Answers

Where the answer requires a date, we have provided a calendar to

enable easier date selection.

To access the calendar, first tick the checkbox next to the displayed

date.

To enter the correct date, either type your required date over the

existing date using the numbers on your keyboard or click the dropdown

list arrow to display the calendar and select the required date. Click

the < and > to scroll to previous or next months.

The date will default to the current days date.

Skipping Questions

Where Not Applicable is the most appropriate response to somequestions, Environmental Audit Protocol will skip to the nextapplicable question.

For example, if you answer Not Applicable to question 12.10.11,Environmental Audit Protocol will deduct the appropriate points andwhen you click >>, will move you to the next applicable question(12.10.14).

DEC 2003



29/52

If you click on the questions in between, a message similar to the

following message will appear:

Click OKto return to the questionnaire screen.

Professional Judgment and Scoring

Some questions require your professional judgment to allocate a score

for a question.

An answer option similar to the example above will be displayed. Using

your professional judgment, enter the score you believe applicable.

Some professional judgment answers provide a multiple choice answer

below. Selecting these options doesnt allocate points to the question,

element and total scores; they suggest areas you may wish to consider

in your scoring and indicate which options youve considered.

Supplementary Questions and Answers

Some questions require further information. These questions will

appear below the normal answer area on the screen.

The answers required conform to the answer options discussed above.

DEC 2003



30/52

Category and Total Audit Scoring

This area of the screen displays the category allocated to the current

question. Some questions have two categories allocated which are

listed with a / between each category.

The Audits Total Score is tracked separately and is displayed as:

Total Score = X/XXXX

where

X = the cumulative points allocated as questions are answered

XXXX = the total possible score for the audit. When Not Applicable

is selected as an answer, the potential points for the audit

are subtracted from the total possible score.

DEC 2003



31/52

EXECUTIVE SUMMARY

Click the teal Executive Summary button at the top of the AuditProtocol Questionnaire screen to display the following:

The Executive Summary requires textual information to be entered.

You can either type directly into the field (formatting not possible) or

compile your answer in Microsoft Word including formatting (font, bold,

italics, etc.) and copy (Ctrl+C) and paste (Ctrl+V) into the field. Thegenerated report will include your formatting.

Executive Summary text applies to the whole audit and can beincluded in the Audit Report if required see page 34.

Completing the Executive Summary is optional.

Click Save to save any changes or your work in progress.

When complete, click Close.



32/52

You will be prompted to save any changes:

Click Yes to save and return to the Audit Protocol Questionnaire screen,No to return to the Audit Protocol Questionnaire screen without savingyour changes and Cancel to return to the Executive Summary screen.

DEC 2003



33/52

CONCLUSION

Click the teal Conclusions button at the top of the Audit ProtocolQuestionnaire screen to display the following:

The Conclusions requires textual information to be entered.



italics, etc.) and copy (Ctrl+C) and paste (Ctrl+V) into the field. Thegenerated report will include your formatting.

Conclusions text applies to the whole audit and can be included in theAudit Report if required see page 34.

Completing the Conclusions is optional.





34/52


Click Yes to save and return to the Audit Protocol Questionnaire screen,No to return to the Audit Protocol Questionnaire screen without saving

your changes and Cancel to return to the Conclusions screen.

DEC 2003



35/52

NOTES

Environmental Audit Protocol provides Aid Notes and Guide Notes assupplementary material designed to assist with the completion of the

audit.

Auditors Notes and Recommendations can also be included on aquestion-by-question basis.

Aid Notes

Aid Notes provide instructions on how to assess compliance with aquestion.

To view the Aid Notes for a question, click the maroon Aid Note buttonat the top of the Audit Protocol Questionnaire screen.

A screen similar to the following will be displayed:

This screen can be resized to expand or contract, with EnvironmentalAudit Protocol providing vertical scroll bars when required.

To resize, hover your mouse over the edge of the Aid Note screen until

a double ended arrow appears, click your left mouse button and drag

to size as required.Click Close to return to the Audit Protocol Questionnaire screen.



36/52

Guide Notes

Guide Notes provide further guidance on the specifics within a questionand are provided on a question-by-question basis.

To view the Guide Notes for a question, click the maroon Guide Notebutton at the top of the Audit Protocol Questionnaire screen.



To resize, hover your mouse over the edge of the Guide Note screen

until a double ended arrow appears, click your left mouse button and

drag to size as required.

Click Close to return to the Audit Protocol Questionnaire screen.

Auditors NotesAuditors Notes can be added to the audit on a question-by-questionbasis.

Use this field to record observations, document titles and locations,

other audit evidence, etc.

These Auditors Notes can be included or excluded from the final AuditReport see page 34.

DEC 2003



37/52

To enter Auditors Notes for a question, click the teal Auditors Notesbutton at the top of the Audit Protocol Questionnaire screen.



To resize, hover your mouse over the edge of the Auditors Notes screen

until a double ended arrow appears, click your left mouse button and

drag to size as required.


compile your answer in Microsoft Word including formatting (font, bold,italics, etc.) and copy (Ctrl+C) and paste (Ctrl+V) into the field. The

generated report will include your formatting.

Completing Auditors Notes is optional.



DEC 2003



38/52


Click Yes to save and return to the Audit Protocol Questionnaire screen,No to return to the Audit Protocol Questionnaire screen without savingyour changes and Cancel to return to the Auditors Notes screen.

Recommendations

Recommendations can be added to the audit on a question-by-questionbasis.

Use this field to record recommendations regarding the current

question.

These Recommendations can be included or excluded from the final

Audit Report see page 34.

To enter Recommendations for a question, click the teal

Recommendations button at the top of the Audit Protocol Questionnaire

screen.


DEC 2003



39/52

DEC 2003



To resize, hover your mouse over the edge of the Recommendationsscreen until a double ended arrow appears, click your left mouse

button and drag to resize as required.



italics, etc.) and copy (Ctrl+C) and paste (Ctrl+V) into the field. The

generated report will include your formatting.

Completing Recommendations is optional.




Click Yes to save and return to the Audit Protocol Questionnaire screen,No to return to the Audit Protocol Questionnaire screen without savingyour changes and Cancel to return to the Recommendations screen.


40/52

REPORTS

A report can be compiled at any time during an audit or when it is

completed.

Click the navy Report button at the top of the Audit ProtocolQuestionnaire screen to display the following:



41/52

Report Types

There are five types of reports in Environmental Audit Protocol.

Full Audit Report

The Full Audit Report consists of:

a title page with some information from the Summary

Information screen (Audit Title, Site Owner, Site Occupier,

Facility Name, Site Address, and Web Site URL).

all element titles with total element scores. all sub-element titles with total sub-element scores.

all questions with your answers, the allocated category and the

total question scores.

percentage compliant graph.

Use this report to provide a complete audit report.

Answered Questions OnlyThe Answered Questions Only Report consists of:




element title of elements with completed questions with current

total element scores.

sub-element title of sub-elements with completed questions withcurrent total sub-element scores.

all questions with your answers and the allocated category.


Use this report to identify which questions have been completed.

DEC 2003



42/52

Unanswered Questions Only

TheUnanswered Questions Only

Report consists of:




element title of elements with questions yet to be completed.

all questions yet to be completed with answer options,

supplementary questions and answer options where applicable,

the allocated category and the potential score for that question.

space for your written notes.


Use this report to identify questions yet to be completed.

Protocol Question Report

The Protocol Question Report consists of:

a title page with space for information from the SummaryInformation screen (Audit Title, Site Owner, Site Occupier,


all element titles with total potential element scores.

all sub-element titles with total potential sub-element scores.

all questions with answer options, supplementary questions and

answer options where applicable, the allocated category and the

potential score for that question.

space for your written notes.

Use this report if you need to print out the questionnaire to complete

an audit without your computer (i.e. by hand).

DEC 2003



43/52

Percentage Compliant Graph

ThePercentage Compliant Graph

consists of:


date printed.

Use this report to identify your compliance to the audit protocol.

Optional Extras

With each report, you have the option of including:

Aid Notes see page 29.

Guide Notes see page 30.

Auditors Notes selecting this option will include all data entered

into the Auditors Notes field for each question see page 30.

Recommendations selecting this option will include all data

entered into the Recommendations field for each question seepage 32.

Executive Summary selecting this option will include all data

entered into the Executive Summary field see page 25.

Conclusion selecting this option will include all data entered

into the Conclusions field see page 27.

To exclude any or all of these optional extras, untick the checkbox next

to each option.

Compiling a Report

After selecting the Type of Report and Optional Extras you wish to

include, click the Print button.

DEC 2003



44/52

Environmental Audit Protocol will process your request and presentyou with a screen similar to the following:

Tree

Toggle Group Tree button

To close the left side window, click the Toggle Group Tree button.

To view the left side window, click the Toggle Group Tree button again.To expand the table of contents to aid navigation, in the left side

window, click the + next to Environmental Audit Protocol and + toexpand each element further. Doubleclick a title to display that section

in the document window.

DEC 2003



45/52

View

Viewoptions

Change the view percentage using the dropdown menu to select your

preferred viewing percentage or the full page or page width options.

Navigation

Navigation options

Click |< to display the first page of the compiled report.

Click < to display the previous page of the compiled report.

Click > to display the next page of the compiled report.

Click >| to display the last page of the compiled report.

Using your keyboard, enter your required page number in the field and

press Enter to display that page of the compiled report.

Printing the Report

Print button

Click the Print button to print the compiled report to your defaultprinter.

Use the Print Range area of the print dialog box to select specific pagesto print if required.

Change the Copies number in the print dialog box if you requiremultiple copies to be printed.

DEC 2003



46/52

DEC 2003


Exporting the Report

Export buttonClick the Export button to export the compiled report to the any of thefollowing formats:

Acrobat Format (PDF)

Microsoft Excel 97-2000

Microsoft Excel 97-2000 (Data only)

Microsoft Word

Rich Text Format

Tab-separated text (not recommended)

Text (not recommended)

Clicking Export will display the following:

Click the dropdown list arrow to display the list and select the most

applicable option.

Each export format has different option dialog boxes.

Select applicable options and proceed through the export routine,

naming the file and indicating the location to save the exported file.

When the export function is complete, you will return to the Reports

screen.Open the report in your exported format and make any changes as

required.


47/52

LOCKING YOUR AUDIT

To protect the integrity of the data entered into your audit, upon

completion it is recommended you Lock the audit.

Locking the audit will ensure no changes can be made to the currentdata.

You cannot unlock a locked audit so ensure no further changes are

required before locking.Note: locking your audit is optional.

To lock your audit, from the top of the Audit Protocol Questionnaire

screen, click the navy Lock button.

You will be prompted to ensure you wish to lock the audit.

Click Yes to lock and return to the Audit Protocol Questionnaire screen,No to return to the Audit Protocol Questionnaire screen without locking

your audit and Help to display this help information.

Locked audits can be deleted from the Search for Existing Audit screen

see page 42.



48/52

EXISTING AUDITS

Searching

Environmental Audit Protocol provides a number of options to searchfor an existing audit.

To search for and open and existing completed or partially completed

audit, click Existing Audits on the Main Menu.

The following screen will be displayed:

You can use one or more search options to locate your existing audit.

Audit Title: enter the Audit Title text from the Summary Informationscreen in the Audit Title field and click Search.

Audit Leader: enter the Audit Leader text from the SummaryInformation screen in the Audit Leader field and click Search.



49/52

With the Audit Title and Audit Leader fields, you can enter part of a

word and the search function will automatically display audits

beginning with those letters (i.e. enter Th would return audits with the

titles: Thomson, Thompson, Thomas, etc.)

Locked Audits: to search for only locked audits, untick the ViewUnlocked checkbox.

Unlocked Audits: to search for only unlocked audits, untick the ViewLocked checkbox.

Search on End Date: to search for audits with a specific end date (asentered into the Summary Information screen), tick the checkbox next

to Search on End Date. To enter the required date, either type yourdate over the existing date using the numbers on your keyboard or click

the dropdown list arrow to display the calendar and select the required

date. Click the < and > to scroll to previous or next months. The datewill default to the current days date.

View All: to view all saved audits, click View All.

Clear Search: click Clear Search to begin another search.

To close this screen, click the Close button (bottom right corner of thescreen).

Sorting Search Results

Environmental Audit Protocol will sort audits alphabetically based onthe field you select at the top of the list.

These fields are Audit Title, Audit Leader, Status or End Date.

The default results display is alphabetically sorted on the Audit Title.

Opening an Existing Audit

To open an existing audit, either doubleclick the title of the required

audit or highlight the title of the audit and click the Show button(bottom of the screen).

The Audit Protocol Questionnaire screen will be displayed.

DEC 2003



50/52

Deleting an Audit

To delete an audit, first locate your existing audit using the techniquesabove.

Then highlight the required audit title and click the Delete button(bottom left corner of the screen).

The following warning message will appear:

Click Yes to continue with the deletion, No to cancel.

DEC 2003



51/52

LEGISLATION

Included in the Help is a series of legislation matrices (for the

Commonwealth and for each state and territory), detailing legislation

and its corresponding areas of impact.

Click the Legislation title in the left contents list to display thefollowing screen:

Click on the link to open the relevant pdf (you must have AdobeAcrobat Reader installed on your PC).



52/52

Then click the legislation title (within the matrix) to take you directly

to the source legislation on the Austlii web site .

You must be connected to the internet to view the source legislation on

the Austlii web site.

Note: where there is an asterisk (*) at the end of the legislation title,there is no link available.

DEC 2003

envauditproto_uguide

Documents