reference environmental audit process & methodology · 2020-02-07 · 04_global social...

Global SocialCompliance Programme

Reference Environmental Audit Process & MethodologyNovember 2010

About the GSCPGlobal Social Compliance Programme

/ GSCP objectives and scopeThe Global Social Compliance Programme is a business‐driven programme for the continuous improvement of working and environmental conditions in global supply chains. The GSCP was created by and for global buying companies (manufacturers and retailers) wanting to work collaboratively on improving the sustainability (social and environmental) of their often‐shared supply base. To this end, these companies seek to harmonise existing efforts to deliver a shared, global and sustainable approach.

The scope of the Programme encompasses:

• social and labour practices,

• site‐specific environmental practices (not product related).

The Programme can be applied at all levels of the supply chain.

The Programme is neither a monitoring initiative, nor a substitute to existing systems. The GSCP will not undertake accreditation or certification activities as it must remain a non‐aligned, neutral reference framework.

/ The GSCP Reference toolsTo drive convergence, the GSCP has developed a set of Reference tools and processes that provide a common interpretation, based on best existing practice, of fair labour/social and environmental requirements and their implementation in the supply chain.

/ Users & UsageThese tools are openly available for all to use. Users can include GSCP member and non‐member buying companies, suppliers and employment sites. Multi‐Stakeholder Initiatives and other initiatives, auditing bodies and other scheme owners can and are encouraged to also use the GSCP Reference tools.

The Reference tools can voluntarily either be:

• integrated by users into their respective systems; or

• utilised by users as a reference against which to compare their existing tools through the GSCP Equivalence Process1.

/ ResponsibilityThe GSCP does not monitor nor audit in any way the compliance by a user’s supply chain with the GSCP Reference tools or any standards.

The adoption of part or all of one or more Reference tools cannot be put forward as a proof of adequate due diligence. The responsibility of the implementation of these tools, of the monitoring of the user’s supply chain’s compliance and of any due diligence linked to it, resides with the user. Any use of the GSCP name or logo has to follow the terms established by the GSCP. These terms are available on the GSCP website (www.gscpnet.com).

1. The Equivalence Process is a mechanism by which a social and/or environmental compliance scheme is objectively benchmarked against the requirements defined in one or more GSCP Reference tools, to determine their level of equivalence. Through the Equivalence Process, the GSCP enables the comparison of various standards and schemes against the GSCP Reference tools, aiming at bringing convergence in requirements and approaches and building mutual recognition.

AcknowledgmentsThank you to those who contributed to this Reference tool

This Reference tool has been developed by supply chain experts from GSCP member companies, with input from key stakeholders, including other brands and retailers, initiatives and international organisations, auditing and certification bodies and civil society representatives. The GSCP would like to thank all those who have helped with the development and continuous improvement of this Reference tool.

The Consumer Goods ForumThe GSCP is housed by The Consumer Goods Forum, a retailer and manufacturer parity industry body, driven by its members2. It brings together retailers, manufacturers and suppliers to collaborate across the value chain to enrich shopper and consumer value in all markets. It supports processes and practices that optimize the value chain as an interrelated whole, in accordance with all anti‐trust laws.

2. For more information, please visit www.theconsumergoodsforum.com

Global SoCial ComPlianCe ProGramme_01

Table of contents

Global SocialCompliance Programme

/ Introduction 02

/ 1. Risk assessment system 04

1.1 Self-assessment questionnaire 04

/ 2. audit request 05

2.1 Launching the audit request 05

2.2 Pre-audit employment site profile 05

/ 3. Preparation 06

3.1 Background and context review 06

3.2 Audit organisation 06

3.3 Communicating the audit arrangements 08

3.4 Supplier preparation 10

/ 4. Audit execution 11

4.1 Opening meeting 11

4.2 Employment site tour 12

4.3 Interviews 13

4.4 Document review 14

4.5 Alert notifications 15

4.6 Audit team pre-closing meeting 16

4.7 Closing meeting 19

/ 5. Audit outputs 19

5.1 Audit report 19

5.2 Supplementary audit information 20

5.3 Information management 20

5.4 Audit follow-up 21

/ Glossary of terms 22

/ List of appendices: There are seven reference tools available that complement the audit process described above by providing further reference guidelines and templates for carrying out the described process. These are:

Appendix 1: GSCP Reference Environmental Self Assessment QuestionnaireAppendix 2: GSCP Reference Environmental Pre-Audit Employment Site Profile Appendix 3: GSCP Reference Environmental Audit ChecksAppendix 4: GSCP Reference Environmental Alert NotificationAppendix 5: GSCP Reference Environmental Audit ReportAppendix 6: GSCP Reference Environmental Supplementary Audit InformationAppendix 7: GSCP Reference Environmental Summary of Findings and Corrective Actions

02_Global SoCial ComPlianCe ProGramme

REFERENCE ENvIRONmENTAL AUDIT PROCESS & mEThODOLOGy - novEMbER 2010

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AboUT ThE GSCP REFEREnCE ToolS on EnvIRonMEnTAl AUdIT PRoCESS & METhodoloGy

Scope & usage:The reference tools on Environmental Audit Process and Methodology are part of the GSCP set of reference tools designed to provide a common interpretation of environmental requirements and their implementation.

The reference tools on Environmental Audit Process and Methodology detail the requirements that should be met by buying companies and auditors to conduct best practice environmental audits of an Employment Site’s performance. The reference tools cover all steps to be taken prior, during and after an audit and include, where relevant, templates to

complement the audit process. They apply to the auditing of sites from all sectors, categories and countries. They are applicable to first party, second party and third party audits.

The reference tools on Environmental Audit Process and Methodology are based on the GSCP Environmental Reference Requirements but can be adopted and tailored to other codes of environmental practice.

The reference tools are not a substitute for existing audit process or existing systems.

Overview of the audit process The REFERENCE TOOL ON ENvIRONmENTAL AUDIT ProCeSS is designed to provide best practice guidance for the audit process. After benchmarking existing processes, the members of the Expert Working Group on Audit Process & Methodology developed the following process.

Involvement of suppliers in the audit process

Suppliers should be involved as much as possible in the audit process.

This can be done:

• by sharing briefing notes with the supplier explaining the background, process, applicable codes and audit methodology;

• by developing a best Practice manual giving examples of “what good looks like” against each topic, with practical advice on ways to address common environmental compliance issues;

• by encouraging suppliers to request environmental compliance audits themselves. This can be promoted as a way of prompting continuous improvement or of demonstrating their own commitment to environmental compliance.



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RISK ASSESSmENT SySTEm

STePS GSCP REFERENCE TOOLS

Collect risk criteria, for example by evaluating:• Country of employment site• Industry• Processes• Material use and storage• Sensitivity of local environment/ecosystems• Self‐assessment questionnaire (optional)

• Réference Environmental Self‐Assessment Questionnaire (Appendix 1)

REQUEST FOR ENvIRONmENTAL AUDIT


• Initial communication with employment site• Collection of site information

• Reference Environmental Pre‐Audit Employment Site Profile (Appendix 2)

PreParaTion


• background and content review• Audit organisation: type, team• Communication of audit arrangements• Supplier preparation

• no specific tools (une information from Reference Environmental Self‐Assessment Questionnaire [Appendix 1] and Reference Environmental Pre‐Audit Employment Site Profile [Appendix 2])

aUDiT exeCUTion


• opening meeting• Site tour• Management and worker interviews• document review• Audit team pre‐closing meeting• Closing meeting

• Reference Environmental Audit Checks (Appendix 3)• Reference Environmental Alert notifications (Appendix 4)

aUDiT oUTPUTS


• Audit reporting• Follow‐up and verification (if required)

• Reference Environmental Audit Report (Appendix 5)• Reference Summary of Environmental Findings

and Corrective Actions (Appendix 6)



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1. RISk ASSESSMEnT SySTEM

A buying company should have in place an efficient process to measure environmental compliance and identify potential risks in its supply chain. This will enable the company to focus attention on key areas of potential risk and direct its audit resources accordingly.

Relevant environmental risk criteria may include: geographical area, sensitivity of local environment/ecosystems, employment site function, energy use, emissions to air, land and water, hazardous substances use and storage, waste management, pollution prevention, major incident prevention and management, environmental nuisance, licences and permits,

and/or previous audit results. however, it should be noted that this is not intended to be an exhaustive list.

This information upon which the risk assessment is based should be provided by the supplier or employment site either through a self‐assessment questionnaire (Appendix 1) or through other existing tools. The risk assessment approach should ensure that potential risks are prioritised and are appropriate and representative of the employment site and the nature of its activities.

1.1 Self-assessment questionnaireThe self‐assessment questionnaire is an optional tool and can be used by:

• a buying company to risk assess suppliers/employment sites (e.g. to provide a basis for the development of an audit programme);

• a supplier or employment sites as an aid to their own risk reviews and/or preparation for their own self audit programmes; and

• an auditor to focus on site investigation on high risk areas.

Companies should communicate the following to employment sites when requesting this information:

• reason for the information request;

• how the risk assessment fits within the audit process;

• to whom to send the completed self assessment (or how to upload the self assessment on to a database);

• timeframe for completion;

• process and timeframe for updating the self‐assessment.

A reference self-assessment questionnaire is available in Appendix 1.



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2. AUdIT REQUEST

2.1 Launching the audit requestAn audit request may be made by:

• the employment site;

• the supplier;

• the buying company;

• any other party with an interest in the commercial relationship and environmental performance of the employment site. For example, industry or monitoring bodies.

Any company/organisation requesting an audit is termed an ‘audit requestor’.

2.2 Pre-audit employment site profileWhen an audit request is made, the auditor may supply the employment site with a pre‐audit employment site profile questionnaire. however, the use of the pre‐audit employment site profile questionnaire is at the discretion of the audit requestor. The pre‐audit employment site profile questionnaire asks for general information about the site, for example its: location, size, production processes, licences and permits, energy use, sources of emissions to air, land and water, hazardous substances use and storage, waste management, pollution prevention measures, major incident prevention and management and environmental nuisance. This information allows auditors to:

• prepare relevant briefing materials (industry or country‐specific);

• plan the assessment, for example in relation to the experience and language capabilities of the audit team members and the required number of auditor days (cf. 3.2.2 Audit length);

• focus the audit on potential high environmental risk areas.

The audit company should communicate the following to each employment site to be audited and any relevant parties, such as agents, in the supply chain:

• the importance of accuracy in completing the pre‐audit employment site profile;

• timeframe for completion of the pre‐audit employment site profile;

• to whom to send the completed pre‐audit employment site profile.

Recommended timeframe:

• the auditor should supply the pre‐audit employment site profile to the employment site within five working days of the audit being confirmed;

• the pre‐audit employment site profile should be completed and returned to the auditor two weeks from the date of the request being made;

• if an audit is requested and scheduled in less than two weeks, the auditor and employment site should work together to ensure the pre‐audit employment site profile is returned as soon as possible, and in any event before the audit is carried out.

A pre‐audit employment site profile should have four main areas:

1. supplier overview;

2. employment site overview;

3. employment site details;

4. a summary of activities routinely undertaken by contractors on‐site.

Where the employment site itself is the audit requestor, the auditor should ensure that an agreement is in place with the employment site to allow the auditor to communicate audit findings and alert notifications to relevant customers.

A reference pre-audit employment site profile is available in Appendix 2.



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3. PREPARATIon

3.1 Background and context reviewThe auditing organisation or auditor must be fully aware of the conditions, challenges and issues prevailing in the country, region and industry where the audit is to be conducted. The auditing organisation and/or the auditor should be knowledgeable and aware of the issues which could impact the environment in the country, region or industry/industrial sector concerned. The auditing organisation or auditor should have a detailed awareness of the local and national

environmental legislation and regulatory requirements that may apply to the employment site. This should include an understanding of non‐mandatory schemes and certifications such as those for environmental management systems (EMSs) to the internationally recognised standards of ISo14001 or EMAS. The auditing organisation or auditor should also have knowledge of what constitutes operational best practice within the industrial sector in question.

3.2 Audit organisation

3.2.1 Audit type

Audits should take place during a period when the employment site is in operation.

Audits may be:

• unannounced (the employment site has no prior warning of the audit);

• semi‐announced (whereby the employment site is aware that an audit will take place during a given time period, but the actual date of audit is not communicated);

• announced (at a mutually convenient date agreed with employment site).

In all cases, the buying company should clearly communicate its audit policy and process (including the reference standard against which audits are conducted as well as the expectations in case of non‐compliance detected) to suppliers and employment sites as part of its commercial terms. The buying company’s policy may include provision for all types of audit under certain circumstances.

The risk assessment process can be used to influence the type of audit selected. For example, the audit requestor may decide to execute semi‐announced audits in all high risk employment sites. however, other considerations such as the relationship with the employment site should be taken into account since semi‐announced and unannounced audits can negatively impact supply chain relationships.

> Unannounced audits

Unannounced audits allow auditors to assess the operations and activities at the employment site in their ‘normal state’, since the employment site has not had the opportunity to make any special preparations.

To minimise the event that ‐ due to the lack of special preparations ‐ necessary information and personnel may not be available on the day of the visit to complete the audit, the buying company should clearly communicate its policy on unannounced audits to suppliers and employment sites. The policy should state that:

• audits may occur at any time on an unannounced basis;

• employment sites may be required to provide self assessment information on a regular basis and this information must be accurate;

• auditors presenting the correct credentials should be allowed full access to the employment site;

• the necessary records should always be kept on the employment site or be readily available (cf. 3.4 Supplier Preparation).

> Semi-announced audits

buying companies should clearly communicate their policy on semi‐announced audits to suppliers and employment sites. The policy should include the following points:

• the buying company will specify a window during which an audit may take place. Audit windows may range between 2 weeks and 2 months;

• all employment sites are required to provide up‐to‐date and accurate pre‐audit and, when requested, self assessment information at the beginning of the window;

• auditors presenting the correct credentials during the audit window should be allowed full access to the employment site;

• the necessary records should be kept at the employment site during the window.



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> Announced audits

The right to perform an announced audit should be a normal part of the commercial relationship. however there is a risk that employment sites may make special preparations for the audit and best practice is to use a mix of announced, semi‐announced and unannounced audits to mitigate this risk. buying companies should clearly communicate their policy on announced audits to suppliers and employment sites. The policy should include the following points:

• the buying company will agree an audit date with the employment site in advance;

• the employment site is required to provide up‐to‐date and accurate pre‐audit and, when requested, self assessment information in advance of the audit;

• auditors presenting the correct credentials on the date of the audit should be allowed full access to the employment site;

• the necessary records and the concerned personnel should be available at the employment site on the day of the audit.

3.2.2 Audit length

The number of auditor days at the employment site should be based on, for example, the size and complexity of the site and the type of operations with the potential to impact the environment. The length of the audit should allow sufficient time to undertake a site tour of the complete site, interview a number of workers, including individuals who have direct environmental roles and responsibilities and to undertake a review of applicable documentation. The length of the audit should be agreed between the audit requestor and the auditor based on existing knowledge of the site and area and the information provided in the Self‐Assessment and/or Pre‐Audit Employment Site Profile questionnaire.

In the case of agricultural businesses, consideration should be given to the size and geographical spread of the business and the number of growing locations to ascertain person days required.

The following provides an indication of the length of audit for different sites:

SiTe DeSCriPTion INDICATIvE LENGTh OF AUDIT

Less than a 50 employees, single small geographical area site, low pollution/hazard potential (no hazardous substances handled or emissions to air/land/water), simple manufacturing/processing operations

1-2 person days on site

50-500 employees, larger single geographical site or more than one site, higher pollution/ hazard potential (e.g. handling hazardous substances, on-site waste treatment activities)


500+employees, large single geographical site or multiple sites, high inherent pollution- hazard potential (e.g. handling highly hazardous substances on site), complex processing operations


however, the information provided in the table above is intended as an indication only. The actual length of audit should be agreed between the audit requestor and the auditing company.

3.2.3 Audit team

The audit should be conducted by a competent environmental auditor, who may be self‐employed or be employed by a commercial organisation, nGo or industry body3. Auditors and auditing bodies should be selected based on:

• audit training and skills;

• audit experience;

• local and industry knowledge;

• language skills;

• ethnic/national background reflecting that of the workforce;

• reputation;

• integrity;

• commitment to improving environmental compliance and performance.

To prevent any conflict of interest, the auditor must not have any connection with the employment site. It would be recommended that an audit be performed by two auditors, particularly if the site is remote and/or there is the potential for safety/security issues to be associated with the audit.

3. The GSCP has launched an Expert Working Group that works exclusively on auditor competence. Its role is to identify and gather best practice in that area in order to build reference requirements for recognition of auditors and auditing bodies.



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3.3 Communicating the audit arrangements

3.3.1 Information for the employment site

The buying company and/or auditor should communicate the following information to the employment site at least 2 weeks before the audit. This should be communicated in writing and in the relevant local language.

• Confirmation of receipt of the Pre‐Audit Employment Site Profile and any further information required from the employment site.

• Identity of the audit requestor.

• Information about the audit requestor’s policies towards environmental compliance and the requirements and code of conducts against which the employment site is being audited.

• Introduction of the audit team.

• The audit agenda including:

/ timetable;

/ topics to be covered.

• key personnel invited to participate in the audit, including but not limited to:

/ management;

/ engineering/maintenance;

/ environmental;

/ manufacturing/operations;

/ purchasing/procurement.

• Information which the employment site should communicate to relevant workers before the audit covering the audit process, purpose, ground‐rules for worker interviews, confidentiality of worker interviews.

• list of documents (where applicable) that the employment site will need to make available to the audit team on the day of the audit, including:

/ management structure (e.g. organogram);

/ environmental committee meeting minutes;

/ employee handbooks;

/ previous environmental reports/Corrective Action Plan Report;

/ employment site layout/floor plan;

/ maps of the surrounding area, if available;

/ information on nearby protected habitats (e.g. local nature reserves) including distance from site, if available;

/ information on the site geology and hydrogeology, if available;

/ company environmental policies;

/ government/agency Inspection Reports, e.g. environ‐mental compliance, etc.;

/ procedures (e.g. waste handling and disposal, spill containment etc.);

/ training records;

/ details of permits, consents and licences (or documented exemptions where applicable) for:‐ water abstraction; ‐ effluent wastewater discharges; ‐ storm water discharges; ‐ emissions to air; ‐ chemical and fuel storage; ‐ on‐site waste management and storage; and ‐ off‐site waste disposal information including contractor’s

licences;

/ hazardous substances list/inventory;

/ safety data sheets for hazardous substances;

/ emission sources inventories (e.g. emissions to air, land and water);

/ inspection/service logs and inspection reports for environmental‐critical equipment e.g. abatement equipment etc.;

/ spill/incident log and remedial steps taken including correspondence with authorities regarding e.g. spills, leaks, odour, noise etc.;

/ environmental emergency procedures;

/ inventory (or similar) of air emission points;

/ air emission monitoring log/results;

/ greenhouse gas data (use, release etc.);

/ energy use data;

/ water sources (e.g. from abstraction borehole), uses (e.g. process water, cooling etc.) and consumption data;

/ employment site drainage plan;

/ wastewater monitoring log/results;

/ waste documentation including manifests for off site disposal, waste contractor licences and permits etc.;

/ site audits of waste contractors;

/ bulk tank inventory (including contents, capacity etc.);

/ bund/secondary containment inventory;

/ tank/bund inspection logs/reports;

/ tank/bund integrity testing logs/reports;

/ asbestos survey reports, asbestos register, management plan and inspection reports;

/ ozone depleting substances (odS) inventory and inspection logs/reports;

/ polychlorinated biphenyls (PCbs) inventory and inspection logs/reports;

/ ionizing radiation sources registration, disposal records and inspection records;



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/ intrusive soil and groundwater investigation reports and on‐going monitoring requirements;

/ major incident risk assessments and/or incident reports;

/ nuisance/complaints log;

/ notices of violation or fines from a regulating agency;

/ communications with environmental regulating agencies/authorities relating to environmental violations and pollution incidents (air, water, effluent, wastes, odour and noise).

3.3.2 Sample Audit Agenda

ClienT name AUDIT DATE(S) Job no

Employment site name and address

DAy 1 – DATE

DUraTion aUDiTor 1 aUDiTor 2

morning Opening meeting & plant tour

Site tour:• Internal production areas• Internal areas including boiler room,

compressor house, waste handling areas etc.

• External areas (e.g. waste storage, wastewater treatment plant) and including site perimeter survey

• Worker interviews

Site tour:• Internal production areas• Internal areas including boiler room,

compressor house, waste handling areas etc.

• External areas (e.g. waste storage, wastewater treatment plant) and including site perimeter survey

• Worker interviews

Lunch time Lunch break/Auditors’ meeting

Afternoon one‐to‐one Interviews: • Environmental manager• Engineering/maintenance manager

and or department personnel• Manufacturing/operations manager• Procurement/purchasing personnel• Representatives from contractors

on‐site

document review

Clarification/Auditor meeting

Closing meeting/End of the audit



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3.4 Supplier preparationEmployment site management should ensure that:

• all documentation is available on the day of the audit. This includes information and documents that are usually stored at another location (e.g. a central office where environmental data or records are held such as waste documentation or monitoring results);

• relevant personnel are at the employment site;

• supervisors and managers are instructed to allow unobstructed access to auditors.

3.4.1 Information for workers

Clear information about the audit should be communicated by the employment site to applicable workers explaining the purpose of the visit and the process. This information should be available in the principal languages spoken by workers and should include:

• purpose and scope of the audit;

• introduction to the auditors and their role (emphasising they are independent and external);

• process including confidentiality of worker interviews (where required);

• contact details for the auditor and for any whistle‐blowing facility supported by the audit requestor.

Sample communication

on (insert date), representatives from (insert audit company) will be visiting (insert employment site name) to assess environmental performance and compliance. The representatives will be looking at the following areas:

• environmental management systems;

• energy use and Greenhouse Gas (GhG) emissions;

• water use;

• wastewater effluent;

• emissions to air (including ozone depleting substances (odS);

• waste management;

• pollution prevention/hazardous and potentially hazardous substances;

• major incident management;

• contaminated land/soil and groundwater pollution prevention;

• land use and biodiversity;

• nuisance.

The visit will primarily consist of meetings with management, a facility inspection, and document reviews.

A limited number of worker interviews with identified workers who have specific roles and responsibilities for managing environmental issues or environmental compliance will also be undertaken. Worker interviews may also be undertaken to establish the level of awareness of environmental issues across the facility and to help identify any issues or good practice on‐site. The interviews are strictly confidential and the identity of workers who participate will remain anonymous.

you may be asked questions by the representatives from (insert audit company) as they walk around (insert employment site name). The selection of workers is based on a representative sample and you are not required to participate in interviews.

If you would like to get in touch with the representatives from (insert audit company) to discuss the audit or any other issues, please do not hesitate to get in contact using the contact details below:

(Insert contact details of audit company)



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4. AUdIT ExECUTIon

The audit should include the following:

• opening meeting;

• employment site tour (and perimeter survey) – this may require visits to separate geographical locations if these are part of the activities operated by the employment site relevant to the products being produced for the buying company requesting the audit;

• management and worker interviews;

• document review;

• audit team pre‐closing meeting;

• closing meeting, including summary of findings;

• agreement of findings.

This chapter sets out best practice for each step of the audit.

As a general principle, the conduct of the audit team at all times must be in the best interest of the workers.

4.1 Opening meetingThe opening meeting must be conducted in the language spoken by management. It should be attended by relevant people including:

• environmental Manager (or similar);

• senior site management;

• managers responsible for key functions, e.g. Production Manager, Maintenance Manager.

This should be formally presented in a format agreed with the audit requestor to ensure the audit requestor’s perspective is clearly communicated in an appropriate tone.

In the opening meeting, the audit team should:

• introduce the audit team;

• explain the purpose and scope of the audit, including:

/ potential benefits to the employment site (opportunity for management to identify and manage risk, opportunity to engage in continuous improvement, opportunity to meet customer needs, opportunity to save money through environmental improvement, improved compliance with environmental legislation etc.);

/ clarify that the purpose of an audit is continuous improvement;

/ the standard against which the audit will be conducted (the GSCP Environmental Reference Requirements and customer requirements, applicable local, national and international laws, whichever are the more stringent);

• explain that the minimum expectation on the employment site in relation to the audit is transparency;

• outline the audit process;

• establish the audit agenda and indicate the personnel required at each stage of the inspection;

• review the information provided in the pre‐audit employment site profile (including previous corrective action report and follow‐up actions);

• provide the employment site management with the list of the documents to be reviewed during the audit [see section 3.3.1 Information for the Employment Site];

• confirm key workers and personnel who have responsibilities for environmental issues and their availability for interview/participation during the course of the audit;

• confirm any special arrangements/precautions required for the employment site tour;

• confirm permission to take photographs.

Agree process for communicating issues as they arise during the audit. It is best practice to communicate issues as they arise to build consensus around findings and corrective actions and allow management to:

• provide additional evidence where necessary;

• address issues immediately;

• confirm the importance of attendance at the closing meeting and ensure that all key personnel can attend;

• provide an opportunity for questions and to address concerns;

• confirm the process for presenting audit findings to the employment site and confirm how audit findings will be followed‐up.



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4.2 Employment site tour

4.2.1 Process

The purpose of the employment site tour is to enable the audit team to observe the current practices in all areas of the employment site and to form a view of how these practices measure up to the GSCP Environmental Reference Requirements, applicable legal and regulatory requirements and other applicable requirements, e.g. customer requirements/policies. The findings from the tour are triangulated with evidence from management and key personnel interviews and document review.

As a general principle, the auditor should be able to visit all the areas of the employment site and should set the pace of the tour. however, in some cases, employment sites may prohibit visitors from walking unaccompanied through employment site production areas or forbid photography for reasons of safety or commercial confidentiality. The auditor should note restrictions on access or photography in the audit report, and if restrictions seem unreasonable should escalate according to the audit requestor’s policy.

Auditors should make every effort to ensure production is not disrupted during the employment site tour, whilst ensuring that they are able to view the production area during busy production periods. It should be possible to move around the site without delaying or halting production.

The ability for management to continue production at the site during a visit is crucial to gaining an accurate idea of current practices and to securing management co‐operation for the remainder of the visit. Further, the safety of the auditor and the persons accompanying them on the site tour is of paramount importance. Auditors should keep this in mind during the site tour. In order to achieve this, the auditor should for example:

• ask that they be accompanied by only one or two people; usually the site or environmental manager, or whoever is best placed to answer questions on environmental issues (e.g. facility maintenance or operations representatives);

• be aware of site traffic and stay on dedicated pedestrian routes (wherever possible);

• avoid walking where workers are trying to move or transport product from one area to another.

The audit team should walk around the employment site, external areas and site perimeter (where feasible), internal production areas, raw material/chemical and waste storage areas, bulk storage areas, boiler rooms, compressor houses and other applicable areas with managers in order to:

• understand the work done at the employment site;

• evaluate environmental practices;

• identify potential sources and impacts to the environment;

• note other physically observable evidence that relate to other areas of the standards;

• identify and confirm off‐site contractors or suppliers that provide environmental services to the employment site (e.g. waste contractors, maintenance service providers of environment‐related equipment);

• observe management systems and practices, including the relationship and interactions between management and workers.

The team should raise issues as they arise during the employment site tour, giving managers the opportunity to seek clarification, respond, and provide explanations or further evidence.

The auditors should look to identify areas where there is high potential for pollution or other environmental incidents. The audit should consider routine site operations and activities, but also non‐routine operations and activities, e.g. maintenance, cleaning and operations and activities undertaken on‐site by contractors.

4.2.2 Perimeter survey

A perimeter survey should be undertaken, where feasible, to provide supplementary information about the employment site and its local context and to identify specific risk issues to the environment and/or the surrounding areas.

The perimeter survey should focus on:

• the general nature of the surrounding environment (e.g. rural, industrial, residential neighbourhood, business district, etc.);

• the nature of immediate neighbouring facilities (e.g. manufacturing, waste treatment/disposal, etc.);

• areas of potential off‐site impact to the employment site (e.g. pollution or contamination associated with off‐site bulk storage tanks, off‐site waste storage areas, etc.);

• areas of potential impact from on‐site activities (e.g. distressed vegetation, the nature and quality of external surface areas etc.);

• other facilities located on the employment site property (e.g. waste water treatment plants, electricity substations etc.);

• other production units within the employment site property, which are not part of the scope of the audit.



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4.3 InterviewsInterviews with managers and a limited number of worker interviews with key workers who have specific roles and responsibilities for managing environmental issues or environmental compliance will be undertaken. Worker interviews may also be undertaken to establish the level of awareness of environmental issues across the facility and to help identify any issues or good practice on‐site. The interviews are strictly confidential and the identity of workers who participate will remain anonymous.

4.3.1 Worker interviews

Points raised by workers should be fed back as early as possible to members of the team carrying out management interviews or document review to facilitate verification.

Audit team members carrying out worker interviews must have the skills to make workers feel at ease. It is best practice to use interviewing techniques to encourage interviewees to identify the issues of most importance to them. In any case, the interviewer should use appropriate body language (e.g. avoid sitting behind a desk, make regular eye contact, smile, etc.)

Selection:

• the interviewer should aim to talk to a number relevant workers, taking into account:

/ different departments, including workers associated with managing waste, undertaking environmental monitoring as well as production workers;

/ health & safety representatives/personnel, where appropriate;

/ environmental committee representative(s), if applicable;

/ new employees/trainees (to evaluate training quality);

/ employees from different shifts.

location:

• formal interviews should take place in a quiet, private area away from management offices with no representatives of management present;

• informal interviews may also take place during the physical tour of the employment site, at lunch time or in breaks;

• where possible, worker interviews should be held in the interviewee’s language, where this is not possible worker interviews may be conducted through a translator. Translators must be independent of employment site management and must speak the language concerned.

Protection of workers:

• auditors should ensure that problems raised by workers are discussed with management in a non‐attributable way. Auditors must ensure that the comments they report cannot be traced back to an individual worker;

• auditors/worker interviewers should leave a contact telephone number, preferably their mobile number and their local office phone number, with all workers interviewed so that workers can alert the worker interviewer if there are reprisals or intimidation;

• the auditor should keep a confidential note of who is being interviewed.

Interview structure:

• introduction: The audit team should introduce themselves and communicate the purpose of the audit. They should assure interviewees that all information shared during the interview will remain unattributed;

• confidentiality: no manager or representative of the employment site, apart from the workers concerned, should be present during any worker interview.



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4.4 Document reviewIn countries where there are data protection requirements (e.g. all EU countries), auditors should respect data protection requirements during reviews of environmentally‐related documents. Auditors should also, where applicable,

obtain the written permission of workers to view personnel files during any interviews (e.g. when reviewing training records etc.). Workers should be assured that they are able to refuse permission to view their files if they so wish.

Example data protection consent form

In order to administer your employment, your employer collects and uses certain personal information (such as your contact details, roles and responsibilities and training records/attendance). This information constitutes your personnel file.

(Insert Audit Company Name) has been engaged to review the environmental practices of your employer for the purposes of ensuring compliance with the (Insert Code(s))

about environmental standards. As part of this review, (Insert Audit Company Name) may need access to your personnel file.

you have confirmed that you are happy for (Insert Audit Company Name) to have access to your personnel file for the purposes of the review.

Please sign below to give your permission.

4.4.1 Document sampling

The documentation requested by the auditor should be available on‐site, including, but not limited to, applicable licences/permits, internal and external reports, emission sources inventories, spill or incident release records and notifications, maintenance records, integrity testing records, waste documentation, environmental committee meetings or minimisation projects, monitoring data and training materials. Auditors should review documentation from the previous 2 years (e.g. monitoring data, maintenance records), however, older documentation may reasonably be requested where it is necessary to demonstrate compliance. If records for the previous 2 years are not available, the employment site should explain why this is the case. For example, the employment site has been operational for less than 2 years.

The auditor should go through a comprehensive document trail including the following (this is not an exhaustive list):

• management structure (e.g. organogram);

• environmental committee meeting minutes;

• employee handbooks;

• previous environmental reports/Corrective Action Plan Report;

• employment site layout/floor plan;

• maps of the surrounding area, if available;

• process diagrams;

• information on nearby protected habitats (e.g. local nature reserves) including distance from site, if available;

• information on the site geology and hydrogeology, if available;

• company environmental policies;

• government/agency Inspection Reports, e.g. environmental compliance, etc.;

• procedures (e.g. waste handling and disposal, spill containment etc.);

• training records;

• details of permits, consents and licences (or documented exemptions where applicable) for:

/ water abstraction;

/ effluent wastewater discharges;

/ storm water discharges;

/ emissions to air;

/ chemical and fuel storage;

/ on‐site waste management and storage; and

/ off‐site waste disposal information including contractor’s licences;

• hazardous substances list/inventory;

• safety data sheets for hazardous substances;

• emission sources inventories (e.g. emissions to air, land and water);

• inspection/service logs and inspection reports for environ‐mental‐critical equipment e.g. abatement equipment etc.;

• spill/incident log and remedial steps taken including correspondence with authorities regarding e.g. spills, leaks, odour, noise etc.;



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• environmental emergency procedures;

• inventory (or similar) of air emission points;

• air emission monitoring log/results;

• greenhouse gas data (use, release etc.);

• energy use data;

• water sources (e.g. from abstraction borehole), uses (e.g. process water, cooling etc.) and consumption data;

• employment site drainage plan;

• wastewater monitoring log/results;

• waste documentation including manifests for offsite disposal, waste contractor licences and permits etc.;

• site audits of waste contractors;

• bulk tank inventory (including contents, capacity etc.);

• bund/secondary containment inventory;

• tank/bund inspection logs/reports;

• tank/bund integrity testing logs/reports;

• asbestos survey reports, asbestos register, management plan and inspection reports;

• ozone depleting substances (odS) inventory and inspection logs/reports;

• polychlorinated biphenyls (PCbs) inventory and inspection logs/reports;

• ionizing radiation sources registration, disposal records and inspection records;

• intrusive soil and groundwater investigation reports and on‐going monitoring requirements;

• major incident risk assessments and/or incident reports;

• nuisance/complaints log;

• notices of violation or fines from a regulating agency;

• communications with environmental regulating agencies/authorities relating to environmental violations and pollution incidents (air, water, effluent, wastes, odour and noise).

Particular emphasis should be placed on evidence that there is a systematic approach to managing all aspects of the relevant codes or requirements.

4.4.2 Document inconsistencies

Inconsistencies between different types of documents and worker testimony may be considered a critical non‐compliance, depending on the potential environmental issues and risks presented by those inconsistencies. Where deemed to be a critical non‐compliance, it should be raised appropriately with employment site management and as per the Alert notification process.

If a non‐compliance related to permit or licence requirements/conditions is identified, the audit team should identify the context of the issue, and its frequency, and the department(s) concerned both at the closing meeting and in the audit report.

4.5 Alert notifications Where a ‘critical’ non‐compliance (whether a non‐compliance with legal requirements or the GSCP Environmental Reference Requirements) is identified, the auditor should, wherever possible, inform the audit requestor as soon as possible. If the audit requestor is on site, the auditor should communicate the critical non‐compliance immediately. This will enable the audit requestor and the employment site to work together to plan an appropriate and timely resolution to the issue.

If an auditor believes they might be at risk as a result of communicating a critical non‐compliance, the audit team should wait until it is removed from that situation before issuing the alert notification.

Examples of non‐compliances can be found in paragraph “4.6.1 non‐compliances, observations and Good Practices Evaluation”

A reference alert notification is available in Appendix 4.

16_Global Social compliance proGramme

reference environmental audit proceSS & methodoloGy - november 2010

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4.6 Audit team pre-closing meetingThe audit team should meet before the closing meeting to discuss the findings of the audit (interviews, document checks, employment site tour) and agree the performance level demonstrated by the site in relation to each of the 11 defined Performance Areas and identify inconsistencies, non-compliances, observations, and good practice. The analysis of evidence gathered is a pre-requisite to the closing meeting. It must be completed even if the auditor is alone at the employment site.

The audit team should prepare for the closing meeting by identifying and agreeing:

• the performance level demonstrated by the site in relation to each of the 11 defined Performance Areas;

• level 1 non-compliances identified including:

/ their status/severity (critical, major, minor);

/ supporting evidence;

/ recommended corrective actions, how these can be verified, and a suggested timeframe for completion;

• systematic problems and issues from one-off, isolated, non-systematic issues;

• the root cause of problems, where possible;

• good practice examples;

• a prioritisation of issues;

• any requests for additional information or evidence.

A note on Corrective Actions

Audit requestors (companies and/or individuals) may take a number of different approaches with respect to corrective actions, for example:

• require auditors solely to identify corrective actions and require the employment site to develop the corrective action plan following the audit or

• require auditors to identify evidence-based findings and work with the employment site to develop a corrective action plan or

• require auditors to identify evidence-based findings, develop the appropriate corrective action and agree with the employment site on their follow-up.

However, reference is made here to both ‘findings and corrective actions’ on the understanding that the identification of corrective actions may be required.

The reference Summary of Findings and Corrective Actions (Appendix 6) has been designed to provide a structure to the audit team’s findings and help the audit team develop a corrective action plan and structure a closing meeting.

The reference Summary of Findings and Corrective Actions includes:

• audit findings: Confirmation of performance level in relation to each of the 11 Performance Areas, summary of non-compliances, good practice, and evidence found;

• classification of non-compliances;

• reference to the applicable code of conduct and/or law which has been contravened;

• recommended corrective actions: Auditors suggestion on how the audit findings can be resolved;

• person/party responsible for corrective action;

• verification method:

/ a desk-based follow up may be used to verify corrective actions for minor non-compliances but provide less assurance than a follow-up audit. Desk-based verification should check corrective actions through photos, copies of certificates/licences/permits, monitoring data, etc. submitted by the employment site. Desk-based follow-up cannot be used where actions need to be verified through worker testimony;

/ follow-up audit are recommended for critical or major non-compliances or when corrective actions can be evaluated only through interviews and extensive documentation reviews [see section 5.4 for guidance on conducting follow-up audits];

• timescale for completion: The amount of time required for the issue to be closed. The time allocated for corrective actions to be completed should be appropriate, realistic and timely.

The Summary of Findings and Corrective Actions should:

• be clearly described and presented in both english and the language spoken by the employment site management;

• be distributed as follows:

/ one original, signed copy for the employment site manager;

/ a second original, signed copy retained by the auditor together with other audit documentation;

/ a hard or soft copy to the audit requestor.

4.6.1 Confirmation of performance level and evaluation of non-compliances, observations and good practices

Auditors should confirm the level that the employment site demonstrates in relation to each of the 11 Performance Areas and the evidence upon which this is based (an employment site can demonstrate different levels of performance against different Performance Areas).

Global Social compliance proGramme_17


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For the employment site to be identified as meeting a particular performance level in relation to a Performance Area, it must be meeting all of the individual requirements in that (and any preceding) performance level. For example, a site cannot achieve performance level 2 unless it is meeting all of the level 1 and level 2 requirements. An employment site can be fully meeting a particular performance level and be demonstrating that it meets some of the requirements of the next performance level.

Auditors should classify non-compliances against Level 1 requirements and observations and examples of good practice against all performance level.

Should any critical or major legal non-compliance be identified in relation to a particular Performance Area, then the employment site cannot be considered as meeting the basic requirements associated with Level 1 for that Performance Area.

In relation to Level 1 requirements, Auditors should record non-compliances, whether they be non-compliances with legal requirements or non-compliances with the environmental Framework requirements themselves.

non-compliances should be categorised as:

• minor non-compliance;

• major non-compliance; or

• critical non-compliance.

The auditor should record in the Audit report (Appendix 5) whether a non-compliance identified is a non-compliance with specific legal requirements.

If no non-compliances are identified, then the employment Site is considered to have met the Level 1 requirements for that Particular Performance Area. However, should any critical or major non-compliances be identified in relation to a particular Performance Area, then the employment site cannot be considered as meeting the basic requirements associated with Level 1 for that Performance Area. If only minor non-compliances are identified, then it will be judgement decision by the Auditor (and possibly by the Audit requestor) as to whether the employment Site is considered to have met the requirements of Level 1 in relation to that particular Performance Area.

non-compliances and observations should be classified according to:

• the frequency of the problem or whether the issue is an isolated occurrence;

• the potential severity of the problem;

• the probability of recurrence of the problem.

The auditor must be able to justify his/her classification with detailed evidence.

Follow-up audits are recommended for critical or major non-compliances or when corrective actions can be evaluated only through interviews and extensive documentation reviews [see section 5.4 for guidance on conducting follow-up audits].

4.6.1.1 Categorisation examples

The below provides guidance on how to categorise different issues as minor, major or critical non-compliances. The list gathers examples and is not intended to be exhaustive. It gives an indication of how various issues should be considered in light of the reference guidelines and the reference code and taking into account the potential environmental impact of the issues identified and the regulatory regime of the country. These examples are for illustration only; auditors should still use their discretion when classifying non-compliances.

minor

• basic environmental management structure and defined management responsibilities are in place, however, this is not documented;

• site has identified and is managing its potentially significant aspects and impacts but has not documented this process/the results;

• relevant inventory/register established in relation to a particular Performance Area, but not actively maintained;

• an occasional or isolated compliance issue e.g. missing records/documentation in relation to permit/consent/licence requirements;

• the site has a mechanism to remain up to date with appli-cable local legal requirements, but has not documented this process;

• an issue which presents a risk to the environment (low risk) (either on-site or the surrounding areas);

• site has a procedure to ensure that external third parties utilised by the site for environmental matters (e.g. waste removal/disposal) are appropriately licensed, but has not documented this process;

• occasional or isolated instances of missing monitoring/performance data (that is not a legal requirement).

Major

• basic management structure/defined management responsibilities not in place, either in relation to overall environmental management or particular Performance Area;

• site has identified that it has potentially significant environmental aspects/impacts, but has not acted on this information;

• site is not aware of its legal requirements in relation to a particular performance area;



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• site has no mechanism for remaining up to date with applicable legal requirements;

• site not aware of relevant permit/ licence/ consent/exemption requirements;

• breaches of legislation or permit/licence/consent requirements which represents risk of moderate harm to the environment e.g. exceedance of wastewater discharge limits, exceedance of air emission limit concentration etc.;

• a systemic breach or violation of a legal requirement;

• a breach of a legal requirement or environmental permit/licence/consent which is considered likely to attract regulator intervention;

• site has not confirmed that all external third parties utilised by the site for environmental matters (e.g. waste removal/ disposal) are appropriately licensed;

• relevant inventory/register not established in relation to a particular Performance Area;

• consumption/generation data not collected in relation to a particular Performance Area that is relevant to the site.

Critical

• an environmental aspect which represents imminent risk of serious or significant impact to the environment (e.g. major damage to a local ecosystem, closure of a potable water abstraction point, known on-site or off-site impact to soil, groundwater or surface water);

• site has identified that permit/licence/consent/exemption required, but has not obtained it;

• relevant inventory/register not established in relation to a particular Performance Area, which has the potential to result in non-compliance with permit/licence/consent requirements or which results in mis-management of environmental matters with the potential for significant impact to the environment;

• site currently under threat of prosecution, fine and/or enforcement in relation to an environmental issue;

• an attempt to pervert the course of the audit through fraud, coercion, deception or interference;

• a systemic violation of a legal requirement that has attracted (or could likely attract) regulator intervention (e.g. continued illegal disposal of waste materials, either on-site or off-site);

• auditors denied access or obstructed from conducted from conducting a proper audit;

• non-operation of critical abatement equipment e.g. air emission scrubber, incineration unit etc.;

• evidence of the deliberate provision of false information to auditors or regulators so as to disguise non-compliances with permit/licence/consent requirements;

• performance or monitoring data manipulated or misreported to intentionally mislead regulators;

• a major non-compliance from a previous audit that has not been addressed or for which no significant improvement has been made by the time of a follow up audit and which has increased the level of environmental risk, e.g. of causing incidents;

• site knowingly utilises illegal/unlicensed external third parties in relation to environmental matters (e.g. waste removal/disposal);

• site has not provided identified and/or provided training to employees on environmental matters which represent a serious or significant impact to the environment.

Critical non-compliances should trigger an alert notification [see section 4.5].

An Observation

• a possible issue which could develop into a non-compliance if action is not taken by the employment Site (i.e. a potential non-compliance);

• an issue, on which the auditor has some evidence to indicate that it may be present, but is not confirmed by more than one data point;

• an opportunity for improvement e.g. how the employment site can meet the requirements of the next performance level.

Good Practice

A positive, innovative or novel approach, technology or a process to managing environmental issues in relation to a particular Performance Area that improves performance over and above the standard.

Level 2 and Level 3 findings

Given that the GSCP environmental reference requirements at levels 2 and 3 are intended to drive performance improvement. As such, the Auditor should record only whether the employment Site has met or not met a particular requirement, together with observations and examples of good practice, if applicable. Where the auditor identifies that a requirement is not met, they should provide a short description as to why.



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4.7 Closing meetingThe purpose of the closing meeting is to go through the findings, agree them and agree the corrective action plan which sets out areas for improvement, actions and timeframes. Corrective actions should focus on long term sustainable solutions which take account of the root cause of any problem. This meeting should involve all those attending the opening meeting and should:

• reconfirm the purpose of the assessment;

• confirm the performance level for each of the 11 Performance Areas;

• recognise good practices;

• agree any non‐compliances;

• record non‐compliances which can be corrected immediately;

• answer questions that management have;

• explain when the full report will be completed and who it will be sent to;

• get sign‐off on the Summary of Findings and Corrective Actions by both auditor and employment site:

/ when agreed with the audit requestor, a copy of the corrective action plan should be left with management;

/ the corrective actions should include a timeframe for completion and the type of verification needed;

• if the Summary of Findings and Corrective Actions is not agreed, the auditor should leave a copy with the employment site and report disputed points to the audit requestor, copying the employment site.

5. AUdIT oUTPUTS

5.1 Audit reportThe context, findings, issues and actions, where applicable, against each of the 11 Performance Areas should be reported to the audit requestor. The report should be available in English to ensure that it can be shared with various stakeholders, as well as in the language of the management wherever this is possible. The report should be delivered to the audit requestor within 10 business days of the audit.

The report should include:

• a summary of the auditors’ evaluation of the employment site’s performance against each of the 11 Performance Areas;

• identified non‐compliances which indicate that the employment site is not meeting level 1 of the GSCP Environmental Reference Requirements;

• observations and good practices.

For each environmental Performance Area, the report should:

• describe the current situation including which of the GSCP Environmental Reference Requirements the site is currently meeting;

• provide evidence and information to substantiate the findings;

• for each non‐compliance or observation, provide a:

/ description of the non‐compliance or observation and its frequency;

/ evidence found to substantiate it;

/ classification to applicable law, code of conduct, etc.

The report must not include any information that could be used to identify specific workers – such as names, Id numbers, job descriptions and/or work location.

The report should include photos4 of the employment site such as:

• outside general overview;

• inside general overview;

• key activities and processes that have potential environ‐mental impact;

• waste handling and storage areas;

• hazardous substance storage areas;

• areas of potential impact to soil and groundwater including staining and distressed vegetation;

• bulk storage tanks and secondary containment;

4. Photographs should only be taken with the permission of the employment site as they may contain or reveal confidential information.



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• wastewater treatment areas;

• abatement equipment;

• good practices where these can be photographed;

• non‐compliances where these can be photographed.

A reference audit report is available in Appendix 5.

Unless agreed by all parties in writing, the audit organisation will not distribute the report to any entities except the audit requestor. however, the audit requestor should share the report with the employment site/customer/supplier as soon as possible in order to facilitate co‐operation on continuous improvement.

5.2 Supplementary audit informationAuditors may feel the need to separately report to the audit requestor in the event that, for example, the auditor has:

• information that is too sensitive for the audit report itself;

• concerns which cannot be substantiated through evidence and/or interviews;

• commentary/insight on the attitude of management towards the non‐compliances or where management was obstructive to the audit process;

• concerns about the possibility of falsified records.

The process for reporting such information should be agreed between the audit requestor and the auditor in advance of the audit.

A template for reporting additional information is available in Appendix 7, Reference Environmental Supplementary Audit Information.

5.3 Information managementWithin 10 days of the completion of each audit, the auditor should provide the following documents to the audit requestor:

• the Pre‐Audit Employment Site Profile;

• the completed audit report, including photographs;

• summary of findings (and corrective actions, if applicable);

• supplementary audit information, where applicable;

• copies of any alert notifications that were issued during the audit.

The auditor or audit organisation should:

• be available after the audit to further clarify or explain decisions and ratings to the employment site and/or audit requestor as needed;

• have an appeals procedure should the employment site or audit requestor challenge one of the findings and in case of any complaint by the employment site against the auditor.

5.3.1 Audit records

All documents (unless they are “business confidential”), hand written notes, signed Summary of Findings and Corrective Actions and audit report should be retained by the auditor for reference for at least five years.

It is recommended that the auditor retain copies of at least the following documents assuming that this has been agreed between the audit requestor and the employment site:

• official documents on legal status of the company (business licence);

• insurance policies/certificates (relating to buildings and people);

• environmental licences and permits;

• surveys (e.g. asbestos surveys);

• key environmental monitoring results;

• communications or notices of violations issued by regulatory authorities;

• evidence relating to non‐compliances, wherever possible.

If copying facilities are not available, auditors should photograph these documents.

data and privacy laws in some countries prohibit copies being made of certain documents; in such cases, auditors should respect these restrictions.



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5.4 Audit follow-upAudit follow‐up focuses on the corrective actions agreed during the audit and closing meeting, if applicable (i.e. the identification of corrective actions was part of the audit scope).

Where such corrective actions were agreed:

• the auditor will be responsible for verifying whether actions have been taken and recording verification of actions;

• for corrective actions where desk‐based verification is adequate, the auditor will review evidence submitted [see section 4.6];

• where a follow‐up audit is required, the length of time taken at the follow‐up should be related to the number and severity of issues to be verified;

Follow‐up audits may be commissioned by the audit requestor, typically in relation to critical or major non‐compliances identified in relation to level 1 issues, and/or when corrective actions can be evaluated only through interviews and extensive documentation reviews.

• a partial follow‐up audit does not include a full review but only focuses on the issues identified in the corrective action plan;

• a full follow‐up audit should include a full review of all areas of the standard audit process, including the complete re‐sampling of documents, conducting interviews and the employment site tour. The auditor should focus on identifying changes which would address issues raised in the initial report, but also investigate potential additional issues.

Typically, a full follow‐up audit would only be necessary where the non‐compliances identified in the initial audit indicated that an environmental management system was not in place or that there were extensive/systematic failings associated with the site’s existing environmental management system.

Follow‐up Audit Guidance:

• the audit should be carried out once the deadline for addressing all of the issues has passed;

• follow‐up audits should generally take place within six months of the date of the initial audit;

• a follow‐up report should be issued. This is an updated version of the original report, with all new issues and updates to previous issues clearly highlighted;

/ for all sections where non‐compliances have previously been raised there should be a clear explanation of the evidence reviewed, comments on applicability and effectiveness and whether the issue is now considered closed or remains open;

/ improvements should be mentioned even if the non‐compliances are not fully corrected;

/ if new non‐compliances are found these should be recorded and marked as “new” and should be reported in as much detail as they would have been in the initial report;

/ a desk‐based follow up may be used to verify corrective actions for minor non‐compliances but provide less assurance than a follow‐up audit. desk‐based verification should check corrective actions through photos, copies of certificates, invoices, submitted by the employment site. desk‐based verification cannot be used where actions need to be verified through worker testimony.



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Glossary of terms

AAnnounced audit

An audit which is undertaken on a specified date that is chosen in agreement with the employment site.

Audit requestor

Generic term referring to any entity that has requested and commissioned an audit, including the requesting entity’s customers (where known) where agreements allowing such disclosure are in place.

CCode of conduct

A set of standards concerning environmental practices adopted by a company and applied to its suppliers, employment sites and subcontractors.

Comply/compliance

To meet local environmental laws and regulations and/or the GSCP Environmental Reference Requirements, applicable codes of conduct and international labour standards requirements.

Continuous improvement

The recurring process of enhancing the environmental management system in order to achieve improvements in overall environmental performance consistent with an organisation’s environmental policy.

Corrective action

Measures taken to eliminate a non‐compliance identified during an audit.

Corrective action plan

A plan of action drawn up at the end of an audit that records what measures have to be taken and within what time limit to remedy the non‐compliance.

EEmployment site

An individual/specific production site, farm, winery, quarry, mine, service site etc. (including where applicable selected sub‐contractors/homeworkers).

emaS

The European Union (EU) Eco‐Management and Audit Scheme (EMAS), is a voluntary initiative designed to help companies evaluate, report on and improve their environmental performance. Its aim is to recognise and reward those organisations that go beyond minimum legal compliance and continuously improve their environmental performance. It is a requirement of the scheme that participating organisations regularly produce a public environmental statement that reports on their environmental performance.

EmS – Environmental management System

A management system is a set of interrelated elements used to establish policy and objectives and to achieve those objectives.

Environmental audit (hereafter referred to as ‘audit’)

Systematic, independent and documented process for obtaining evidence and evaluating it objectively to determine the extent to which environmental standards criteria are met.



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FFirst party audit

An internal audit that an organisation performs on itself to evaluate conformity with procedures or a defined standard, for example an audit could solely be against regulatory requirements.

Follow-up audit

An audit to assess the effectiveness of corrective actions, undertaken to address issues from a previous audit. A follow‐up audit can be either a full or a partial follow‐up audit (see definitions below).

Full follow-up audit

An audit to assess the effectiveness of corrective actions, undertaken to address issues from a previous audit. The audit should include a full review of all areas of the standard audit process, including the complete re‐sampling of documents, conducting interviews and the employment site tour.

GGood practice

A positive, innovative or novel approach, technology or a process to managing environmental issues in relation to a particular Performance Area that improves performance over and above the standard.

Greenhouse gas intensity

The quantity of greenhouse gases emitted, for example, per unit of production. This is normalised data (as opposed to absolute data), which allows comparison of greenhouse gas emissions even if there are increases or decreases in production.

Grey water (also referred to as grey water or gray water)

Wastewater, typically generated from domestic‐style activities, for example washing machines, showers, bathtubs, hand washing, and sinks, together with some industrial processes, which is recycled/re‐used and put to a different use, for example, use in toilet flushing, cleaning or irrigation. The grey water may require some treatment (physical, biological or chemical) to ensure that it is of sufficient quality for the new use. Grey water must noT be used as potable (drinking) water.

IInitial audit

The first audit undertaken on an employment site which assesses compliance against a specific code of conduct, or is requested by a specific customer.

Mmanagement

People who identify and achieve organizational objectives through the deployment of appropriate resources. A manager can have responsibilities in one or more of five key areas: managing activities; managing resources; managing information; managing people; and managing him‐ or herself at the same time as working within the context of the organizational, political, and economic business environments.

PPartial follow-up audit

An audit to assess the effectiveness of corrective actions, undertaken to address issues from a previous audit. The audit does not include a full review, but only focuses on the issues identified in the corrective action plan.

RRe-audit

A new audit which is performed on an employment site that has already been audited under the same code of conduct or by the same customer.

SSecond party audit

An external audit of one organisation (e.g. supplier of products or services) performed by another organisation (typically a customer for those products or services) to evaluate conformity with procedures or a defined standard.



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Semi-announced audit

An audit which is undertaken on an un‐specified date, scheduled within a set period (between 2 weeks and 2 months), which is agreed with the employment site. The employment site will be informed that an audit will take place during this period but will not be informed of the exact date.

Stakeholder

Any person, company, organisation or other party that is affected by the activity and/or operations of a company.

Subcontractor

An individual or a group of individuals to whom a contractor outsources the manufacture of a product or part‐product.

Summary of findings and corrective actions

A summary document which provides information about all issues and other findings from an audit, as well as corrective actions and time frames for completing these.

Supplier

Any contract partner which supplies the retailer/brand with goods or services.

TTarget (environmental)

A detailed performance requirement (quantified where possible and applicable to all or parts of the organisation), that arises from the setting of environmental objectives and which needs to be set and met in order to achieve those objectives.

A specific task in the achievement of an environmental objec‐tive. Environmental targets must be stated in a measurable and quantifiable manner.

ISo14001:2004

Targets can be based on absolute data or normalised data.

Third party audit

An external audit of an organisation, conducted by an independent party or body, to evaluate conformity with procedures or a defined standard. The audit may, for example, be on behalf of another organisation or be performed by a certification body to assess compliance with the international management systems standard ISo14001.

UUnannounced audit

An audit carried out without prior warning to the employment site.

vverification

Examination of claims made about the actual observance of code or standard provisions by suppliers or of claims made about the activities that a company undertakes to give effect to its code. verification implies that participating companies must have internal auditing or monitoring systems in place.

WWorker

A person working on an employment site, in any capacity.


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aPPenDix 1

GSCP Reference Environmental Self‐Assessment Questionnaire

This tool forms part of the GSCP set of reference tools designed to provide a common interpretation of local and international environmental standards and requirements and environmental reference codes (if available and applicable). The Environmental Reference Requirements reflect a common understanding of good environmental practice and are applicable to all raw material processing, agricultural, manufacturing and logistics sites in the supply chain. The Environmental Reference Requirements provide a model for a site in the supply chain to demonstrate continuous improvement in its environmental performance from basic compliance to leading‐edge performance (across three defined ‘levels’ for eleven different performance areas).


The self‐assessment questionnaire can be used by:

• a buying company to risk assess suppliers/employment sites (e.g. to provide a basis for the development of an audit programme);

• a supplier or employment sites as an aid to their own risk reviews and/or preparation for their own self audit programmes; and

• an auditor to focus on site investigation on high risk areas.

The self assessment reference tool below is structured in accordance with the GSCP draft Environmental Framework Requirements but is not designed to be used as a self audit against these Requirements. buying companies or suppliers may tailor the reference self‐assessment to their specific by adding or removing questions to meet their specific requirements.

Companies should communicate the following to employment sites when requesting this information:

• reason for the information request;

• how the risk assessment fits within the audit process;

• to whom to send the completed self assessment (or how to upload the self assessment on to a database);

• timeframe for completion;

• process and timeframe for updating the self‐assessment;

• confidentiality arrangements when sharing information provided in this questionnaire.

Employment sites should be encouraged to answer the self assessment questionnaire in full and add commentary and/or evidence against each point rather than just marking yes or no.

GSCP Reference Environm

ental Pre-Audit Em

ployment Site Profile


ental Audit Checks


ental Alert N

otification


ental Audit Report


ental Supplementary A

udit Information


ental Summ

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ental Self Assessm

ent Questionnaire


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APPENDIx 1: GSCP REFERENCE ENvIRONmENTAL SELF ASSESSmENT QUESTIONNAIRE

ENvIRONmENTAL AUDIT PROCESS & mEThODOLOGy REFERENCE TOOLS - novEMbER 2010

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REFEREnCE SElF-ASSESSMEnT QUESTIonnAIRE

COmPANy OvERvIEW

Name of company which owns the employment site to be audited

Ownership type (e.g. joint venture, partnership, corporation, foreign investment, other):

Registered head office address

Ownership type (e.g. joint venture, partnership, corporation, foreign investment, other)

year company formed

Does the company own any other employment sites?If yes, how many and in which countries?

Annual turnover of company (USD$)


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EmPLOymENT SITE OvERvIEW

Employment site name

Full address

Country

Employment site website

Employment site manager

Name of person completing this questionnaire

Job Title/Role of person completing this questionnaire

Telephone number of person completing this questionnaire

Email address of person completing this questionnaire


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EmPLOymENT SITE PRODUCTION SySTEmS AND PROCESSES

Industry sector:

Principal products:

main production processes (e.g. Stitching, labelling, injection, moulding, baking, harvesting, dyeing etc.):

main raw materials used:


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EmPLOymENT SITE SIzE AND LOCATION

What is the employment site size?

acres/hectares/m2 (please state units used)

Approximately, what area of the site is covered by buildings (%):

What age are the buildings on-site (if known)?

Is the site owned or leased? owned leased

Are there any other parties on site as tenants or sub-tenants?If yes, please name them

yes No

Describe surrounding land use (residential, industrial, rural etc.) and identify neighbouring facilities and types:

North:

South:

East:

West:

State the distance to, and size of, the nearest residential communities

Are there any sensitive habitats nearby, such as nature reserves, national parks, wetlands or sites of special scientific interest? If yes, please describe

What is the location of the nearest surface water course (river, stream, canal, lake, reservoir, pond, etc.)?

Are there any boreholes/wells or natural springs either on-site or in the surrounding area?

When was the site first developed from greenfield (if known)?

Please summarise the previous land-uses of the site (if known), e.g. type of operation, occupier of the site etc.?


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1. ENvIRONmENTAL mANAGEmENT SySTEmS

1.1 Does your site have a policy defining its approach to environmental management?If yes, please attach

yes No

1.2 Is your site committed to any industry or governmental environmental codes? If yes, please provide details

yes No

1.3 Does your site have a dedicated manager who is responsible for environmental issues? If yes, please specify exact title and name

yes No

Name:Title:

1.4 has your site assessed its environmental risks? yes No

1.5 Does your site have a system or process for assessing environmental risks associated with the introduction of new (or changes to existing) materials, processes or activities?

yes No

1.6 Does your site set environmental objectives and targets to improve environmental performance (e.g. reductions in water use, reductions in energy use, reductions in wastes generated)? If yes, please provide details

yes No

1.7 Does your site have a system in place that will alert relevant personnel to changes in any applicable environmental laws?

yes No

1.8 Does your site have defined standards for suppliers (e.g. suppliers of services, contractors, raw material suppliers) that prescribed expected levels of environmental performance?If yes, please attach a copy

yes No

1.9 Does your site have a procedure in place to evaluate and select suppliers (e.g. suppliers of services, contractors, raw material suppliers) based on their ability to meet the standards mentioned in Q1.8?If yes, please attach a copy

yes No

1.10 Is there a site environmental committee?If yes, does this include representatives from various business functions?

yes No

yes No

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1. ENvIRONmENTAL mANAGEmENT SySTEmS

1.11 Does your site have procedures in place to control the way work is done or activities are completed that address environmental issues?

yes No

1.12 Does your site have specific written environmental procedures (e.g. for waste handling and disposal, spill prevention etc.)?

yes No

1.13 Are all workers (including temporary workers) trained on relevant environmental matters and how they, as individuals, may impact the environment?

yes No

1.14 Is this training repeated on a regular basis?If yes, how often does this occur?

yes No

1.15 Does your site have records of the names of all personnel trained and the dates they were trained?

yes No

1.16 Are visitors provided with any instructions or information in relation to environmental matters and site rules?

yes No N/A

1.17 Are contractors/third party workers provided with training in relation to environmental matters and site environmental procedures?

yes No N/A

1.18 Does your site have a process for periodically reviewing its environmental performance?If yes, please describe

yes No

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2. ENERGy USE, TRANSPORT AND GREENhOUSE GASES (GhGS)

2.1 What energy sources does your site use (e.g. mains electricity, locally generated electricity, coal, oil, gas etc.)?Please explain what they are and what they are used for

Sources:

2.2 Does your site purchase any energy from renewable sources (e.g. solar, wind etc.)?If so, please provide further details

yes No

2.3 Does your site have systems or procedures in place that seek to reduce the site’s environmental impact from: • Energy?• Transport?• Greenhouse gases (GhGs)

yes No N/A yes No N/A yes No N/A

2.4 Does your site provide training to relevant personnel in relation to:• Energy?• Transport?• Greenhouse gases (GhGs)?


2.5 Does your site monitor and track energy consumption?If yes, please specify how it tracks energy use and provide approximate consumption figures for the energy sources listed in 2.1 on an annual basis/12 month period

yes No N/A

2.6 Is your site part of a recognised compliance scheme for greenhouse gas (GhG) emissions trading?If yes, please provide details of the scheme (e.g. who runs it and the employment site’s membership reference)

yes No N/A

2.7 has your site set any targets in relation to increase efficiency of:• Energy use?• Transport use?• Greenhouse gas (GhG) generation?


2.8 Does your site conduct site energy audits?

If yes, how often are these undertaken and when was the most recent audit?

yes No

how often:

date of most recent audit:

2.9 Is your site required to monitor or calculate energy and/or GhG emissions to demonstrate compliance with applicable permits?

yes No N/A

2.10 Does your site monitor or routinely assess emissions of GhGs associated with site processes/activities, fuel use for on-site or off-site transportation, agricultural activities etc.?

yes No N/A

2.11 Does your site monitor or routinely assess emissions of fluorinated-gases (F-gases)?

yes No N/A


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3. WaTer USe

3.1 What sources of water are used at your site (e.g. mains drinking water, mains process water, borehole abstraction, surface water abstraction etc.)?Please explain what they are and what they are used for

Sources:

3.2 If your site uses water abstracted from on-site boreholes or from rivers, streams, lakes etc. does it require a permit or licence for this activity?If yes, are there limits and/or conditions associated with this permit/licence?

yes No N/A

yes No N/A

3.3 Does your site have systems or procedures in place that manage water consumption/use?

yes No N/A

3.4 Does your site provide training to relevant personnel in relation to water use? yes No N/A

3.5 has your site set any targets in relation to reducing water consumption? yes No N/A

3.6 Does your site monitor and track water consumption?If yes, please specify how it tracks water use and provide approximate consumption figures for all water sources on an annual basis/12 month period

Is monitoring and tracking of water consumption a legal requirement for your site?

yes No

yes No

3.7 Does your site conduct water audits (or other similar exercises) to identify where water is being used, whether there are any leaks, whether water is being wasted etc.?


yes No

how often:


3.8 Does your site use ‘grey’ water? (e.g. water typically generated from domestic-style activities, for example washing machines, showers, bathtubs, hand washing, and sinks, together with some industrial processes) and recycled on-site)

yes No

3.9 Is your site free from any fines, prosecution or warning by the regulators in relation to water use?If not, please provide details (including reason for fine/prosecution/warning, the date on which it occurred, the cost of any fine/details of any custodial sentence or restriction on site activities and whether the matter has been resolved or is ongoing)

yes No


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4. WASTEWATER / EFFLUENT

4.1 What wastewater/effluent streams are generated at your site? Please describe

Streams:

4.2 Is there a dedicated drainage system on-site?If yes, please describe the drainage systems present

yes No N/A

4.3 Where does wastewater/effluent from your site discharge to (municipal sewer, river, lake, sea etc.)? Please describe

4.4 Does your site treat wastewater/effluent prior to off-site discharge?

Is there a dedicated onsite wastewater/effluent treatment plant?

yes No N/A

yes No N/A

4.5 Does your site hold the necessary licence or permit for discharging wastewater/effluent via the drainage system?If so, please provide brief details

yes No N/A

4.6 If your site does have a permit/licence, has your site been fully in compliance with the requirements and conditions of the permit/licence for the last three years?

yes No N/A

4.7 Is your site required to sample/test wastewater discharges?If yes, please provide details including frequency of testing and whether this is undertaken on-site or outsourced to an external contractor

yes No N/A

4.8 Does your site have systems or procedures in place that address wastewater generation and management?

yes No N/A

4.9 Does your site provide training to relevant personnel in relation to wastewater management?

yes No N/A

4.10 has your site set any targets in relation to reducing the volume of wastewater generated?

yes No N/A

4.11 Is your site free from fines, prosecution or warneing by the regulators in relation to wastewater management?If not, please provide details (including reason for fine/prosecution/warning, the date on which it occurred, the cost of any fine/details of any custodial sentence or restriction on site activities and whether the matter has been resolved or is ongoing)

yes No


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5. emiSSionS To air

5.1 What are the main point source emissions to air at your site (point source emissions are those which discharge via a chimney, stack, extraction system or vent)?Please describe

Sources:

5.2 What are the main fugitive emissions to air at your site (fugitive emissions are those which are not controlled (e.g. emissions from a plating bath into the general factory atmosphere and/or unplanned emissions, e.g. leaks from equipment, pipes etc.)?Please describe

Sources:

5.3 Are there abatement or pollution prevention devices (e.g. filters, scrubbers) on point source emissions to air?If so, please describe the abatement techniques employed at the site

yes No N/A

5.4 Does your site hold the necessary licences or permits for emissions to air?If so, please provide brief details

yes No N/A

5.5 If your site does have a permit/licence, has your site been fully in compliance with the requirements and conditions of the permit/licence for the last three years?

yes No N/A

5.6 Does your site sample/test emissions to air?If yes, please provide details including frequency of testing and whether this is undertaken by site personnel or outsourced to an external contractor

yes No N/A

5.7 Does your site have an inventory of equipment on-site that contains ozone depleting substances (ODSs) (e.g. air conditioning equipment that contains refrigerants)?If so, please describe the types and quantities of refrigerants/ODSs present on-site

yes No N/A

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5. emiSSionS To air

5.8 Is your site phasing-out the use of ODSs?Is the phase-out a legal requirement for your site?If yes, please provide details of phasing out

yes No N/A yes No N/A

5.9 Is there a routine or periodic maintenance/inspection programme in place to test for leaks of ODSs?

If yes, is this conducted by a specialist external contractor?

yes No N/A

yes No N/A

5.10 Does your site have systems or procedures in place that manage:• Emissions to air?• ODSs?


5.11 Does your site provide training to relevant personnel in relation to:• Emissions to air?• ODSs?


5.12 has your site set any targets in relation to reducing:• Emissions to air?• Quantity of ODSs used on-site?


5.13 Is your site free from any fines, prosecution or warning by the regulators in relation to emissions to air or ODSs?If not, please provide details (including reason for fine/prosecution/warning, the date on which it occurred, the cost of any fine/details of any custodial sentence or restriction on site activities and whether the matter has been resolved or is ongoing)

yes No

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6. WaSTe manaGemenT

6.1 Does your site generate hazardous waste?Typically, hazardous waste is waste that could cause harm to public health and/or the environment because of its chemical, physical or biological characteristics (e.g., it is flammable, explosive, toxic, radioactive, or infectious).If yes, please list

yes No

6.2 What are the main non-hazardous waste your site generates?Please list

6.3 Does your site have systems or procedures in place that address waste management?

yes No N/A

6.4 Are site waste audits undertaken (to identify what wastes are generated where and to identify what opportunities there may be for reducing waste or improving the management of waste)?


yes No

how often:


6.5 Are waste materials recycled (either on-site or off-site)?If yes, please provide details

yes No

6.6 Is your site required to be registered as a waste producer with the regulatory authorities?If yes, please provide details

yes No

6.7 Are hazardous wastes separated from non-hazardous waste streams?If yes, please describe

yes No N/A

6.8 Does your site treat wastes on-site prior to off-site disposal?

If yes, are you required to have a licence or permit do undertake this activity?

yes No

yes No N/A

6.9 Does your site burn wastes on-site? yes No

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…6. WaSTe manaGemenT

6.10 Does your site bury or dispose of wastes on-site? yes No

6.11 Does your site use external waste contractors?

If yes, is there a choice of which waste contractor company your site can use?

yes No

yes No N/A

6.12 If external waste contractors are used, does your site undertake regular checks/audits of those contractors?

yes No N/A

6.13 Are waste contractors required to be licensed by a regulator or local authority?

yes No N/A

6.14 Does your site retain copies of waste contractor licences and permits on-site?

yes No N/A

6.15 Does your site retain records of off-site transfer, treatment and disposal of your wastes?If yes, how often are these retained for?

If no, does your site know the final destination of its wastes?

yes No N/A

Retention period:

yes No N/A

6.16 Does your site provide training to relevant personnel in relation to waste management?

yes No N/A

6.17 has your site set any targets in relation to reducing the volume of waste generated?

yes No N/A

6.18 Is your site free from any fines, prosecution or warning by the regulators in relation to waste issues?If not, please provide details (including reason for fine/prosecution/warning, the date on which it occurred, the cost of any fine/details of any custodial sentence or restriction on site activities and whether the matter has been resolved or is ongoing)

yes No


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7. POLLUTION PREvENTION / hAzARDOUS AND POTENTIALLy hAzARDOUS SUBSTANCES

7.1 Does your site store, use or handle hazardous or potentially hazardous substances?If yes, what are the main ones?

If yes, does it maintain an inventory of those hazardous substances?

yes No

yes No N/A

7.2 Does your site have systems or procedures in place that address pollution prevention and the management of hazardous and potentially hazardous substances?If yes, please describe

yes No N/A

7.3 Is your site required to hold a licence or permit for the hazardous substances present on-site?

If yes, does it hold the requisite licence or permit?

yes No N/A

yes No N/A

7.4 has your site assessed whether any substances stored, used or handled on-site are prohibited by national or international laws or protocols?

yes No N/A

7.5 Does your site maintain up to date safety data sheets (or similar) for all hazardous substances used on-site?

yes No N/A

7.6 Does your site provide training to relevant personnel in relation to the management and use of hazardous substances?

yes No N/A

7.7 has your site set any targets in relation to eliminating or reducing hazardous substances used on-site?

yes No N/A

7.8 has your site assessed whether polychlorinated biphenyls (PCBs) are present in equipment on-site?

yes No N/A

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7. POLLUTION PREvENTION / hAzARDOUS AND POTENTIALLy hAzARDOUS SUBSTANCES

7.9 has your site assessed whether asbestos-containing materials are present on-site?

yes No N/A

7.10 If asbestos containing materials are present, has the site compiled an asbestos register (or similar)?If yes, please provide details

yes No N/A

7.11 Are there any above ground or underground bulk storage tanks present on-site?If yes, please describe number, size and substance stored

yes No

7.12 If above ground tanks are present on-site, are they provided with secondary containment or equivalent?

yes No N/A

7.13 Does your site conduct integrity testing of bulk storage tanks?If yes, please describe the frequency of testing and when the last testing was carried out

yes No N/A

7.14 Does your site have emergency spill response (e.g. spill kits, spill response team etc.)?If yes, please describe

yes No N/A

7.15 have there been any instances of incidents/spills of hazardous or potentially hazardous materials on-site (or of off-site incidents caused by your site’s activities) in the past two years?If yes, please provide details

yes No

7.16 Is your site free from any fines, prosecution or warning by the regulators in relation to the storage or use of hazardous substances?If not, please provide details (including reason for fine/prosecution/warning, the date on which it occurred, the cost of any fine/details of any custodial sentence or restriction on site activities and whether the matter has been resolved or is ongoing)

yes No

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8. maJor inCiDenT manaGemenT

8.1 have there been any major incidents at your site in the past 2 years?If yes, please provide details

yes No

8.2 Is your site required to hold a permit/licence or be notified to the authorities given the potential for a major incident?

yes No

8.3 Does your site have a site emergency response plan and/or procedure? yes No N/A

8.4 Are people trained in what to do in an emergency? yes No

8.5 Are local communities or emergency services involved in the development or review of the plan?

yes No N/A

8.6 has your site communicated the emergency response plan to those parties that could be impacted?If yes, please provide brief details

yes No N/A

8.7 Are drills or major incident scenarios practised? yes No N/A

8.8 Is your site free from any fines, prosecution or warning by the regulators in relation to any major incidents on-site or caused by the site?If not, please provide details (including reason for fine/prosecution/warning, the date on which it occurred, the cost of any fine/details of any custodial sentence or restriction on site activities and whether the matter has been resolved or is ongoing)

yes No


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9. CONTAmINATED LAND/SOIL AND GROUNDWATER POLLUTION PREvENTION

9.1 has your site assessed the site sensitivity and potential pathways and receptors in the vicinity of the employment site?If yes, please briefly describe the sensitivity of the site

yes No

9.2 has your site identified any known impact to soil and groundwater from current activities/operations (is there soil and/or groundwater contamination)?

yes No

9.3 has your site undertaken any previous intrusive soil and groundwater investigations?If yes, please provide brief details of the extent and nature of the investigations

yes No Not required

9.4 If yes to 9.3 has any soil and groundwater contamination been identified? yes No N/A

9.5 Is your site aware of any legal requirements in relation to contaminated land?

If yes, does this include an awareness of the requirements in relation to the assessment, investigation, remediation and soil and groundwater pollution prevention?

yes No

yes No N/A

9.6 Does your site provide training to relevant personnel in relation to the prevention of soil and groundwater pollution?

yes No N/A

9.7 Is your site free from any fines, prosecution or warning by the regulators in relation to soil or groundwater contamination?If not, please provide details (including reason for fine/prosecution/warning, the date on which it occurred, the cost of any fine/details of any custodial sentence or restriction on site activities and whether the matter has been resolved or is ongoing)

yes No


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10. LAND USE AND BIODIvERSITy

10.1 has your site assessed the potential impacts of the site operations on designated protected areas or the ecosystem (plants, animals and microorganisms)?

yes No

10.2 Is your site aware of the legal requirements in relation to land use and biodiversity that apply to the employment site?

yes No

10.3 Is the site required to hold a permit/licence in relation to land use or biodiversity issues?

yes No

10.4 Are there any identified protected habitats or species on the employment site or in the immediate surrounding areas?If yes, please briefly describe

yes No

10.5 has your site implemented any control measures to minimise impacts to biodiversity?If yes, please provide brief details

yes No

10.6 Does your site provide training to relevant personnel on land use and biodiversity issues?

yes No

10.7 Does your site assess land use implications and legal requirements when planning major on-site projects or expansions?

yes No

10.8 Is your site free from any fines, prosecution or warning by the regulators in relation to land use or impacts on biodiversity?If not, please provide details (including reason for fine/prosecution/warning, the date on which it occurred, the cost of any fine/details of any custodial sentence or restriction on site activities and whether the matter has been resolved or is ongoing)

yes No


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11. nUiSanCe

11.1 has your site identified where there is the potential for nuisance could be caused by on-site operations?

yes No

11.2 If yes to 11.1, what sources (e.g. noise, dust, odour, visual, litter) of potential nuisance has your site identified and assessed?

Types of nuisance:

11.3 has your site assessed potential nuisance that might arise from non-routine or out of hours’ operations/activities?

yes No

11.4 Does your site have systems or procedures in place that manage/reduce the potential for the site to cause nuisance?

yes No

11.5 has your site received any instances of nuisance or complaints relating to on-site activities in the last 2 years?If yes, please provide details as to the nature and extent of these

If yes, does your site maintain a log of nuisance/complaints?

yes No

yes No

11.6 Does your site provide training to relevant personnel in how to reduce the potential for nuisance and complaints?

yes No

11.7 Is your site free from any fines, prosecution or warning by the regulators in relation to nuisance or complaints?If not, please provide details (including reason for fine/prosecution/warning, the date on which it occurred, the cost of any fine/details of any custodial sentence or restriction on site activities and whether the matter has been resolved or is ongoing)

yes No

End oF QUESTIonnAIRE


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aPPenDix 2

GSCP Reference Environmental Pre‐Audit Employment Site Profile



When an audit request is made, the auditor should send the employment site a PRE-AUDIT EmPLOymENT SITE PROFILE questionnaire asking for general information about location, size, production processes and activities and various environmental matters. This information allows auditors to:

• prepare relevant briefing materials (industry or country‐specific);

• plan the assessment, for example the required number of audit days;

• focus the audit on priority or higher risk areas and topics.

The audit company should communicate the following to each employment site to be audited and any relevant parties, such as agents, in the supply chain:

• the importance of accuracy in completing in the pre‐audit employment site profile;

• timeframe for completion of the pre‐audit employment site profile;

• to whom to send the completed pre‐audit employment site profile.

Recommended timeframe:

• the auditor should supply the pre‐audit employment site profile questionnaire to the employment site within five working days of the audit being confirmed;

• the pre‐audit employment site profile questionnaire should be completed and returned to the auditor two weeks from the date of the request being made;

• if an audit is requested and scheduled in less than two weeks, the auditor and employment site should work together to ensure the pre‐audit employment site profile is returned as soon as possible and in any event before the audit is carried out.

Note on updates

It will be agreed between the buying company, the auditor and the site as to whether a full pre‐audit profile would be required each time, or whether just an update of information that had changed would be needed.

A pre‐audit employment site profile should have four main areas:

1. company overview;

2. employment Site details;

3. environmental Matters;

4. subcontractor details.

Where the employment site itself is the audit requestor, the auditor should ensure that an agreement is in place with the employment site to allow the auditor to communicate audit findings and any alert notifications to any buyers, brands or retailers concerned.


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APPENDIx 2: GSCP REFERENCE ENvIRONmENTAL PRE-AUDIT EmPLOymENT SITE PROFILE


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1. CoMPAny ovERvIEW

Where possible, the pre‐audit employment site profile should detail the following overview of the company.

COmPANy OvERvIEW

Name of company which owns the employment site to be audited:

Registered head office address:

mailing address of company (if different to that of the employment site):

Telephone number:

Fax number:

Ownership type (e.g. joint venture, partnership, corporation, foreign investment, other):

year company formed:

Business licence No. (if applicable)

Does the company own any other employment sites?If yes, how many?


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2. EMPloyMEnT SITE dETAIlS

2.1 Employment Site Contact DetailsThe pre‐audit employment site profile questionnaire should request the following contact information.

2.1 EmPLOymENT SITE CONTACT DETAILS

Employment site name:

Full address:

Full address (in local language, if applicable):

Country

Is this site in an Export Processing zone (EPz)?

yes No

Employment site telephone number:

Employment site fax number:

Employment site email address:

Reception opening hours’, if applicable

Employment site manager:

Languages of the employment site management:Please list the main languages spoken by employment site managers:

Key audit contact:

Key contact job title:

Key contact telephone number:

Key contact email address

Name of person completing this questionnaire (if different to key audit contact):

Telephone number of person completing this questionnaire:

Email address of person completing this questionnaire:

Employment site website (if available):

Closest airport/railway station:

Distance from the above:please specify time and distance plus traffic conditions if relevant


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2.2 Employment Site Environmental managementThe following information is requested to understand internal environmental management systems...

2.2 EmPLOymENT SITE ENvIRONmENTAL mANAGEmENT

Name and job title of person responsible for environmental issues:

Name:

Job Title:

Does the site have an environmental policy?

yes No

has the site developed an environmental management system?

yes No

If yes, is the site’s environmental management system certified to a recognised standard, e.g. 14001, EmAS, etc. If yes, please state which standard

yes No

Is there an environmental committee on-site?

yes No

Are internal environmental audits ever carried out? If so, please state by whom and the date of the most recent audit

yes No

Are environmental audits ever carried out by external companies/third parties? If so, please state by whom and the date of the most recent audit

yes No


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2.3 Employment Site Area, Location and Surrounding Land UsesThe pre‐audit employment site profile questionnaire should detail the following information concerning the size of the employment site, its location and surrounding land uses.

Where relevant, the employment site should be asked to submit a site plan.

2.3 EmPLOymENT SITE SIzE, LOCATION & SURROUNDING LAND USES

What is the employment site size?

acres/hectares/m2 (please state units used)

Approximately, what area of the site is covered by buildings (%):

What age are the buildings on-site (if known)?

Is the site owned or leased?If leased, who is the landlord?

owned leased

landlord:

Are there any other parties on site as tenants or sub-tenants?If yes, please name them

yes No

Describe surrounding land use (residential, industrial, rural etc.) and identify neighbouring facilities and types:

North:

South:

East:

West:

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2.3 EmPLOymENT SITE SIzE, LOCATION & SURROUNDING LANDUSES

State the distance to, and size of the nearest residential community and sensitive sites (e.g. schools, hospitals, etc.)

Are there any sensitive habitats nearby, such as nature reserves, national parks, wetlands or sites of special scientific interest? If yes, please describe

yes No

Briefly describe the geology beneath the site (if known)

What is the location of the nearest surface water courses?

name of water course:

distance and direction from site:

Use:

official grade of water quality if applicable/known

name of water course:

distance and direction from site:

Use:

official grade of water quality if applicable/known

Are there any boreholes/wells or natural springs either on-site or in the surrounding area?

If yes, please provide the following information:

yes No

Well, borehole or Spring:

location:

Use:

Well, borehole or Spring:

location:

Use:

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2.4 Employment Site Production and Processes OverviewThe pre‐audit employment site profile should detail the following information concerning the employment site’s production systems and production processes. Some employment sites may not be willing to provide some of the information requested because of confidentiality agreements with other customers.

2.4 EmPLOymENT SITE PRODUCTION SySTEmS AND PROCESSES

Industry sector:

Principal products:

main export markets:

main production processes:

main production equipment:

main raw materials used:

hazardous chemicals used on-site:

Does the site produce electrical or electronic products?

If yes, please state which products

yes No N/A

Does your site use any of the following materials in its products (or their components): • Lead • mercury• hexavalent chromium• Cadmium• Polybrominated biphenyls• Polybrominated diphenyl ethers

If yes, please state which

yes No N/A

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2.4 EmPLOymENT SITE PRODUCTION SySTEmS AND PROCESSES

Are any of the following present on-site:

Boilers yes No N/A

Air compressors yes No N/A

Cooling towers or evaporative condensers

yes No N/A

Electrical substations/transformers/switch-gear

yes No N/A

Air conditioning equipment yes No N/A

Automated gas fire suppression systems (e.g. halon systems)

yes No N/A

Operational Times yes No N/A

Number of operational weeks per year:

yes No N/A

Number of operational days per week: yes No N/A

Typical hours of operation:

Scheduled site shut-downs:

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2.5 Employment Site WorkforceThe following information is an essential requirement, both to understand potential risks posed by the employment site’s operations and to plan for the audit. Any missing details should be clarified with the employment site directly.

2.5 EmPLOymENT SITE WORKFORCE

Total number of workers at the employment site:

Of which, how many are permanent workers?

And how many are temporary or agency workers?

Language(s) spoken Please detail the different native languages of the workforce

Nationality of workersPlease detail the different nationalities of the workforce

Does the site use contractors to perform any activities on-site? If yes, please provide a brief overview of contracted activities

yes No N/A


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3. EnvIRonMEnTAl MATTERS

Where possible, the pre‐audit employment site profile should detail the following information relation to environmental matters at the employment site.

3.1 ENvIRONmENTAL mATTERS

Environmental permitting

Is the facility subject to any integrated environmental operating permits?If yes, what are the particular processes/activities or quantities of chemicals stored at the site which attract this permitting requirement?

yes No

When was the permit granted and on what date will it require renewal?

Are any changes planned in the next 5 years which will require a new permit or existing permit modification? If yes, please describe

yes No

Energy

Which of the following sources of energy are used on-site:

mains gas yes No

Liquefied petroleum gas yes No

mains electricity yes No

On-site generated electricity yes No

Fuel oil (or gas oil) yes No

Coal yes No

Timber yes No

other (please specify)

yes No

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Water

Which of the following sources of water are used on-site:

municipal mains water yes No

Groundwater (from wells/boreholes)

yes No

Surface water (e.g. from river, lake, pond etc.)

yes No

other (please specify)

yes No

Wastewater

Which of the following types and/or sources of wastewaters are generated at the facility?

Process wastewater (i.e. water that comes into contact with the process or product)

yes No

non-contact water (i.e. heat exchanged cooling water)

yes No

Sanitary wastewater (i.e. domestic wastewater)

yes No

Surface water (i.e. storm water run-off/ rainwater run-off)

yes No

Are there any of the following on-site:

Oil or petrol interceptors yes No N/A

Septic tanks yes No N/A

Wastewater lagoons yes No N/A

Soakaways? yes No N/A

Is there a wastewater treatment plant on-site? If yes, which type of wastewater treatment (biological, chemical..)?

yes No N/A

Are any discharges subject to permit/consent by local or state authorities? If yes, please provide details

yes No N/A

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Emissions to air

Does the employment site generate emissions to air? If yes, please describe

yes No N/A

Is the facility subject to any licenses for atmospheric emissions?

yes No N/A

Are there abatement or pollution prevention devices (e.g. filters, scrubbers) on point source emissions to air?If so, please describe the abatement techniques employed at the site

yes No N/A

Are any materials burnt or incinerated on site?

yes No N/A

Does the site use any ozone-depleting substances in equipment or processes on site? If yes, please describe

yes No N/A

Waste management

Please list the main hazardous wastes generated on-site

Please list the main non-hazardous wastes generated on-site

Is the facility subject to any licences, permits or similar for waste handling, storage, treatment or disposal?

yes No

Are wastes treated in any way on site (e.g. incineration, burning, on-site lagoons)? If yes, please describe

yes No

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…have any of these activities been carried out in the past? If yes, please describe

yes No

Are wastes disposed to landfill on site and/or has on-site dumping taken place in the past? If yes, please provide details

yes No

Does the on-site disposal facility accept waste from other sources? If yes, please provide details

yes No

What wastes, if any, are recycled?

hazardous materials

Are any radioactive materials used on-site?

yes No N/A

Are any wastes generated on-site which contain radioactive materials

yes No N/A

how are radioactive materials disposed of?

Is asbestos present on-site? yes No N/A

has an asbestos survey ever been carried out?

yes No N/A

have asbestos materials been removed from site historically?

yes No N/A

Is asbestos used in site products? yes No N/A

Are any CmR materials (Carcinogenic, mutagenic, Toxic to Reproduction) used?

yes No N/A

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Complaints and enforcement

have neighbours or the public complained about nuisance/visual impact from any of the following:

Noise yes No

Site aesthetics yes No

Lighting at night yes No

Litter yes No

Waste materials storage yes No

Dust yes No

vehicle movements yes No

Other (describe) yes No

If yes, please provide details

Are there any regulatory enforcement actions or prosecutions outstanding which relate to the above? If yes, please provide details

yes No

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Soil and groundwater contamination

Is there soil and/or groundwater contamination present on-site? If yes, please provide details

yes No

have any intrusive investigations been performed? If yes, please provide details

yes No

Are there potential sources of soil and/or groundwater contamination from neighbouring properties? If yes, please describe

yes No

Are regulatory authorities aware of any contamination on-site? If yes, please provide details

yes No

has the facility carried out (or are there plans to undertake) any site remediation or clean-up programme? If yes, please provide details

yes No

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3.2 Details of previous environmental audits and outcomesThis section provides the audit history of the employment site. This information helps determine the type of audit required and whether a current audit report can be shared.

3.2 EmPLOymENT SITE PREvIOUS ENvIRONmENTAL AUDITS AND OUTCOmES

has your employment site previously been audited in relation to environmental issues?

yes No

If yes, please provide details of previous audits: Date of audit Code or standard audited against

Auditing company/organisation

Would you be prepared to share previous audit reports and, improvement/action plans conducted for other customers?

yes No

have any previous corrective actions been completed?

yes No

Please detail outstanding corrective actions and your expected completion date?

Issue found Corrective action

Timescale Person responsible


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

4. SUbConTRACTInG

4.1 Products/processes subcontracted overviewThe pre‐audit employment site profile should detail the following information on the products and/or processes that are subcontracted by the employment site:

4.1 ProDUCTS/ProCeSSeS SUbConTraCTeD

List any production or processes sub-contracted:

Subcontractor details: Please complete the table below for each process subcontracted. Add more tables as required.

Subcontracted Process 1

Process:

Products involved:

No. of subcontracting companies:

Is the concern for the environment part of the subcontractors selection criteria?

yes No

have you audited these contractors?If yes, against which code of conduct/requirements?

yes No


Product:

Process:


have you audited these contractors? yes No


Product:

Process:


have you audited these contractors? yes No


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem

aPPenDix 3

GSCP Reference Environmental Audit Checks


The Reference tools on Environmental Audit Process and Methodology are based on the GSCP Environmental Reference Requirements but can be adopted and tailored to other codes of environmental practice.

The reference AUDIT ChECKS have been designed to provide auditors with the minimum requirements regarding audit methodology and evidence gathering. The audit checks are structured around the 11 Performance Areas and include guidance on:

• physical employment site inspection;

• employment site procedures and processes;

• interviews;

• document checks.

This document is not intended as a checklist but as a list of checks that should be used as guidance by auditors whilst not limiting audit activities.

For your reference, you can make a note when a particular point has been noted or question asked by ticking the box down the left hand side. Where a particular requirement is being met you can also make note of this. Also, you can modify its format and layout to better suit your working methodology, e.g. by adding dedicated pages for note‐taking.

GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

APPENDIx 3: GSCP REFERENCE ENvIRONmENTAL AUDIT ChECKS



ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

AUd

IT C

hEC

kS

1. E

nvir

onm

enta

l man

agem

ent s

yste

mEm

ploy

men

t sit

e re

quir

emen

ts a

t eac

h pe

rfor

man

ce le

vel:

Leve

l 1:

1.

Und

erst

andi

ng a

nd a

war

enes

s of

sig

nific

ant e

nviro

nmen

tal a

spec

ts a

nd im

pact

s (n

egati

ve a

nd p

ositi

ve)

2.

Und

erst

andi

ng a

nd a

war

enes

s of

app

licab

le le

gal r

equi

rem

ents

3.

Mec

hani

sm to

rem

ain

up‐t

o‐da

te w

ith a

pplic

able

loca

l leg

al re

quire

men

ts

4.

basi

c m

anag

emen

t con

trol

s in

pla

ce

5.

Mem

ber

of m

anag

emen

t res

pons

ible

for

coor

dina

tion

of e

nviro

nmen

tal m

anag

emen

t acti

vitie

s

Leve

l 2:

6.

Envi

ronm

enta

l Man

agem

ent S

yste

m (E

MS)

is e

stab

lishe

d, d

ocum

ente

d, im

plem

ente

d, m

aint

aine

d an

d co

ntinu

ally

revi

ewed

/im

prov

ed

7.

The

EMS

incl

udes

:a.

Env

ironm

enta

l Pol

icy

b. P

lann

ing:

env

ironm

enta

l ris

k as

sess

men

t, s

etting

obj

ectiv

es a

nd ta

rget

sc.

Impl

emen

tatio

n an

d op

erati

on: o

pera

tiona

l pro

cedu

res;

ade

quat

e tr

aini

ng; d

ocum

enta

tion

and

its c

ontr

old.

Che

ckin

g: m

onito

ring

and

mea

sure

men

t, a

udit

and

insp

ectio

nse.

Man

agem

ent R

evie

w

8.

Info

rmati

on o

n en

viro

nmen

tal p

erfo

rman

ce is

mad

e av

aila

ble

to a

ppro

pria

te in

tern

al a

nd e

xter

nal s

take

hold

ers

(ple

ase

refe

r to

the

gui

danc

e se

ction

for

deta

iled

defin

ition

)

Leve

l 3:

9.

Forw

ard

look

ing

envi

ronm

enta

l str

ateg

y to

dri

ve le

adin

g pr

actic

e

10. E

nviro

nmen

tal m

anag

emen

t an

d en

viro

nmen

tal p

erfo

rman

ce t

arge

ts a

re d

esig

ned

to im

prov

e or

sus

tain

the

env

ironm

ent

and

loca

l eco

syst

em, o

r gl

obal

whe

n ap

prop

riat

e

11. P

roac

tive

enga

gem

ent w

ith re

leva

nt s

take

hold

ers

to a

chie

ve s

igni

fican

t per

form

ance

impr

ovem

ent

12. W

here

rele

vant

, com

mitm

ent t

o vo

lunt

ary

stan

dard

s

The

follo

win

g ch

ecks

are

inte

nded

as

guid

ance

and

sho

uld

not l

imit

aud

it a

ctivi

ties

.

Is th

is p

erfo

rman

ce a

rea

appl

icab

le to

the

em

ploy

men

t sit

e?If

yes,

ple

ase

com

plet

e th

e fo

llow

ing

tabl

e. If

no,

ple

ase

proc

eed

to th

e ne

xt P

erfo

rman

ce A

rea.

yes

No

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem

…



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

…

EvID

ENCE

GAT

hER

ING

ON

EN

vIR

ON

mEN

TAL

mA

NA

GEm

ENT

SyST

Emn

oTe

S

1.1

Phys

ical

em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ B

ased

on

obse

rvati

ons,

the

site

has

iden

tifie

d th

e si

gnifi

cant

impa

cts

and

aspe

cts

asso

ciat

ed w

ith

the

empl

oym

ent s

ite

❒ P

roce

dure

s th

at h

ave

been

est

ablis

hed

to m

anag

e si

te a

spec

ts a

nd im

pact

s ar

e be

ing

follo

wed

1.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ E

nvir

onm

enta

l man

agem

ent p

olic

ies

and

proc

edur

es a

re in

pla

ce (e

.g. w

ritt

en p

olic

ies

and

proc

edur

es, e

mpl

oyee

ha

ndbo

ok, i

nduc

tion

trai

ning

, etc

.)

❒ T

he e

nvir

onm

enta

l man

agem

ent

syst

em in

clud

es a

form

al m

echa

nism

to re

mai

n up

-to-

date

wit

h ap

plic

able

loca

l leg

al

requ

irem

ents

(e.g

. leg

al/r

egul

ator

y re

gist

er)

❒ T

he e

nvir

onm

enta

l man

agem

ent

syst

em o

utlin

es a

mem

ber

of m

anag

emen

t res

pons

ible

for

the

coor

dina

tion

of

env

iron

men

tal m

anag

emen

t acti

viti

es a

nd o

utlin

es th

eir

role

s an

d re

spon

sibi

lities

❒ E

nvir

onm

enta

l man

agem

ent p

olic

ies

and

proc

edur

es c

onsi

der

the

sign

ifica

nt a

spec

ts a

nd im

pact

s (n

egati

ve

and

posi

tive

) ass

ocia

ted

wit

h th

e em

ploy

men

t sit

e

1.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t is

aw

are

of, a

nd u

nder

stan

ds, t

he s

igni

fican

t asp

ects

and

impa

cts

(neg

ative

and

pos

itive

) ass

ocia

ted

w

ith

the

empl

oym

ent s

ite

❒ m

anag

emen

t is

aw

are

of la

ws

and

regu

lati

ons

conc

erni

ng e

nvir

onm

enta

l man

agem

ent

❒ m

anag

emen

t de

scri

be th

e ba

sic

envi

ronm

enta

l man

agem

ent c

ontr

ols

that

hav

e be

en im

plem

ente

d

❒ P

olic

ies

and

proc

esse

s re

gard

ing

envi

ronm

enta

l man

agem

ent a

re e

ffec

tive

ly c

omm

unic

ated

to w

orke

rs

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s (in

clud

ing

assi

gnin

g a

mem

ber

of m

anag

emen

t res

pons

ible

fo

r co

ordi

nati

on o

f env

iron

men

tal m

anag

emen

t acti

viti

es) t

o en

sure

that

com

plia

nce

wit

h ap

plic

able

law

s

and

regu

lati

ons

is m

aint

aine

d

LEv

EL 2

❒ m

anag

emen

t acti

vely

pro

mot

es o

r en

dors

es e

nvir

onm

enta

l man

agem

ent

❒ In

form

ation

on

envi

ronm

enta

l per

form

ance

is m

ade

avai

labl

e to

app

ropr

iate

inte

rnal

and

ext

erna

l sta

keho

lder

s

❒ m

anag

emen

t dem

onst

rate

, whe

re a

ppro

pria

te, i

mpr

ovem

ent i

n en

viro

nmen

tal p

erfo

rman

ce

LEv

EL 3

❒ m

anag

emen

t pro

mot

e a

forw

ard

look

ing

stra

tegy

to d

rive

lead

ing

prac

tice

in e

nvir

onm

enta

l man

agem

ent

❒ m

anag

emen

t und

erst

and

how

env

iron

men

tal m

anag

emen

t and

env

iron

men

tal p

erfo

rman

ce ta

rget

s ar

e de

sign

ed

to im

prov

e or

sus

tain

the

envi

ronm

ent

and

loca

l eco

syst

em, o

r gl

obal

whe

n ap

prop

riat

e

❒ T

he s

ite

acti

vely

eng

ages

wit

h ap

prop

riat

e st

akeh

olde

rs d

own

the

valu

e ch

ain

to a

chie

ve s

igni

fican

t per

form

ance

im

prov

emen

t

❒ m

anag

emen

t pro

mot

e a

com

mit

men

t to

volu

ntar

y st

anda

rds,

whe

re a

ppro

pria

te

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h d

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

impa

ct th

e en

viro

nmen

t

❒ K

ey w

orke

rs a

re a

war

e of

env

iron

men

tal p

erm

it/l

icen

ce re

quir

emen

ts, w

here

app

licab

le

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n en

viro

nmen

tal m

anag

emen

t iss

ues

at in

ducti

on, w

here

app

ropr

iate

❒ K

ey w

orke

rs w

ith

envi

ronm

enta

l man

agem

ent

resp

onsi

biliti

es re

ceiv

e sp

ecifi

c tr

aini

ng a

s re

quir

ed


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

…




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

…

EvID

ENCE

GAT

hER

ING

ON

EN

vIR

ON

mEN

TAL

mA

NA

GEm

ENT

SyST

Emn

oTe

S

1.1

Phys

ical

em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ B

ased

on

obse

rvati

ons,

the

site

has

iden

tifie

d th

e si

gnifi

cant

impa

cts

and

aspe

cts

asso

ciat

ed w

ith

the

empl

oym

ent s

ite

❒ P

roce

dure

s th

at h

ave

been

est

ablis

hed

to m

anag

e si

te a

spec

ts a

nd im

pact

s ar

e be

ing

follo

wed

1.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ E

nvir

onm

enta

l man

agem

ent p

olic

ies

and

proc

edur

es a

re in

pla

ce (e

.g. w

ritt

en p

olic

ies

and

proc

edur

es, e

mpl

oyee

ha

ndbo

ok, i

nduc

tion

trai

ning

, etc

.)

❒ T

he e

nvir

onm

enta

l man

agem

ent

syst

em in

clud

es a

form

al m

echa

nism

to re

mai

n up

-to-

date

wit

h ap

plic

able

loca

l leg

al

requ

irem

ents

(e.g

. leg

al/r

egul

ator

y re

gist

er)

❒ T

he e

nvir

onm

enta

l man

agem

ent

syst

em o

utlin

es a

mem

ber

of m

anag

emen

t res

pons

ible

for

the

coor

dina

tion

of

env

iron

men

tal m

anag

emen

t acti

viti

es a

nd o

utlin

es th

eir

role

s an

d re

spon

sibi

lities

❒ E

nvir

onm

enta

l man

agem

ent p

olic

ies

and

proc

edur

es c

onsi

der

the

sign

ifica

nt a

spec

ts a

nd im

pact

s (n

egati

ve

and

posi

tive

) ass

ocia

ted

wit

h th

e em

ploy

men

t sit

e

1.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t is

aw

are

of, a

nd u

nder

stan

ds, t

he s

igni

fican

t asp

ects

and

impa

cts

(neg

ative

and

pos

itive

) ass

ocia

ted

w

ith

the

empl

oym

ent s

ite

❒ m

anag

emen

t is

aw

are

of la

ws

and

regu

lati

ons

conc

erni

ng e

nvir

onm

enta

l man

agem

ent

❒ m

anag

emen

t de

scri

be th

e ba

sic

envi

ronm

enta

l man

agem

ent c

ontr

ols

that

hav

e be

en im

plem

ente

d

❒ P

olic

ies

and

proc

esse

s re

gard

ing

envi

ronm

enta

l man

agem

ent a

re e

ffec

tive

ly c

omm

unic

ated

to w

orke

rs

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s (in

clud

ing

assi

gnin

g a

mem

ber

of m

anag

emen

t res

pons

ible

fo

r co

ordi

nati

on o

f env

iron

men

tal m

anag

emen

t acti

viti

es) t

o en

sure

that

com

plia

nce

wit

h ap

plic

able

law

s

and

regu

lati

ons

is m

aint

aine

d

LEv

EL 2

❒ m

anag

emen

t acti

vely

pro

mot

es o

r en

dors

es e

nvir

onm

enta

l man

agem

ent

❒ In

form

ation

on

envi

ronm

enta

l per

form

ance

is m

ade

avai

labl

e to

app

ropr

iate

inte

rnal

and

ext

erna

l sta

keho

lder

s

❒ m

anag

emen

t dem

onst

rate

, whe

re a

ppro

pria

te, i

mpr

ovem

ent i

n en

viro

nmen

tal p

erfo

rman

ce

LEv

EL 3

❒ m

anag

emen

t pro

mot

e a

forw

ard

look

ing

stra

tegy

to d

rive

lead

ing

prac

tice

in e

nvir

onm

enta

l man

agem

ent

❒ m

anag

emen

t und

erst

and

how

env

iron

men

tal m

anag

emen

t and

env

iron

men

tal p

erfo

rman

ce ta

rget

s ar

e de

sign

ed

to im

prov

e or

sus

tain

the

envi

ronm

ent

and

loca

l eco

syst

em, o

r gl

obal

whe

n ap

prop

riat

e

❒ T

he s

ite

acti

vely

eng

ages

wit

h ap

prop

riat

e st

akeh

olde

rs d

own

the

valu

e ch

ain

to a

chie

ve s

igni

fican

t per

form

ance

im

prov

emen

t

❒ m

anag

emen

t pro

mot

e a

com

mit

men

t to

volu

ntar

y st

anda

rds,

whe

re a

ppro

pria

te

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h d

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

impa

ct th

e en

viro

nmen

t

❒ K

ey w

orke

rs a

re a

war

e of

env

iron

men

tal p

erm

it/l

icen

ce re

quir

emen

ts, w

here

app

licab

le

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n en

viro

nmen

tal m

anag

emen

t iss

ues

at in

ducti

on, w

here

app

ropr

iate

❒ K

ey w

orke

rs w

ith

envi

ronm

enta

l man

agem

ent

resp

onsi

biliti

es re

ceiv

e sp

ecifi

c tr

aini

ng a

s re

quir

ed


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem

…



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

… 1.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite

perm

its

and

licen

ces

that

rela

te to

env

iron

men

tal m

anag

emen

t are

ava

ilabl

e an

d up

to d

ate

❒ W

here

the

em

ploy

men

t sit

e is

lega

lly re

quir

ed to

hol

d an

d/or

mai

ntai

n do

cum

enta

tion

in re

lati

on to

env

iron

men

tal

man

agem

ent,

the

docu

men

tati

on is

reta

ined

on

file

for

the

requ

ired

per

iod

of ti

me

❒ A

n up

-to-

date

env

iron

men

tal p

olic

y is

ava

ilabl

e

❒ A

n up

-to-

date

lega

l/re

gula

tory

regi

ster

is m

aint

aine

d

❒ R

elev

ant m

anag

emen

t ar

e as

sign

ed w

ith

envi

ronm

enta

l rol

es a

nd re

spon

sibi

lities

and

thes

e ar

e do

cum

ente

d

❒ P

roce

dure

s th

at a

ddre

ss e

nvir

onm

enta

l man

agem

ent i

ssue

s at

the

site

are

mad

e av

aila

ble

to re

leva

nt e

mpl

oym

ent

site

per

sonn

el

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• w

orke

rs re

ceiv

e tr

aini

ng o

n en

viro

nmen

tal m

anag

emen

t iss

ues;

and

• ke

y w

orke

rs re

ceiv

e tr

aini

ng a

pplic

able

to th

eir

envi

ronm

enta

l man

agem

ent r

oles

and

resp

onsi

biliti

es

LEv

EL 2

❒ S

igni

fican

t asp

ects

and

impa

cts

have

bee

n do

cum

ente

d

❒ T

he E

nvir

onm

enta

l man

agem

ent S

yste

m (E

mS)

has

bee

n do

cum

ente

d

❒ T

he E

mS

incl

udes

doc

umen

ted

envi

ronm

enta

l ris

k as

sess

men

ts, o

bjec

tive

s an

d ta

rget

s

❒ T

he E

mS,

or

elem

ents

of t

he E

mS,

has

bee

n au

dite

d

❒ m

anag

emen

t rev

iew

s of

the

EmS

are

docu

men

ted

and

are

avai

labl

e

❒ A

ll pe

rson

nel (

man

agem

ent,

wor

kers

and

thei

r re

pres

enta

tive

s, c

ontr

acto

rs) a

re e

ngag

ed in

the

man

agem

ent

of e

nvir

onm

enta

l iss

ues

acco

rdin

g to

thei

r fu

ncti

on.

❒ C

omm

unic

ation

s w

ith

inte

rnal

and

/or

exte

rnal

sta

keho

lder

s in

clud

e di

scus

sion

aro

und

envi

ronm

enta

l per

form

ance

LEv

EL 3

❒ T

he e

mpl

oym

ent s

ite

has

iden

tifie

d en

viro

nmen

tal m

anag

emen

t and

env

iron

men

tal p

erfo

rman

ce ta

rget

s de

sign

ed

to im

prov

e or

sus

tain

the

envi

ronm

ent

and

loca

l eco

syst

em, o

r gl

obal

whe

n ap

prop

riat

e

❒ T

he e

mpl

oym

ent s

ite

has

inve

stiga

ted

and

used

, if r

elev

ant,

alt

erna

tive

wat

er s

ourc

es w

ith

low

er e

cosy

stem

impa

ct

❒ T

he e

mpl

oym

ent s

ite

has

esta

blis

hed

a fo

rwar

d lo

okin

g st

rate

gy to

dri

ve le

adin

g pr

acti

ce

❒ T

he e

mpl

oym

ent s

ite

has

com

mitt

ed to

vol

unta

ry s

tand

ards

❒ C

omm

unic

ation

s w

ith

appr

opri

ate

stak

ehol

ders

thro

ugh

the

valu

e ch

ain

show

that

ach

ievi

ng s

igni

fican

t per

form

ance

im

prov

emen

t has

bee

n di

scus

sed


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

…




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

1.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite

perm

its

and

licen

ces

that

rela

te to

env

iron

men

tal m

anag

emen

t are

ava

ilabl

e an

d up

to d

ate

❒ W

here

the

em

ploy

men

t sit

e is

lega

lly re

quir

ed to

hol

d an

d/or

mai

ntai

n do

cum

enta

tion

in re

lati

on to

env

iron

men

tal

man

agem

ent,

the

docu

men

tati

on is

reta

ined

on

file

for

the

requ

ired

per

iod

of ti

me

❒ A

n up

-to-

date

env

iron

men

tal p

olic

y is

ava

ilabl

e

❒ A

n up

-to-

date

lega

l/re

gula

tory

regi

ster

is m

aint

aine

d

❒ R

elev

ant m

anag

emen

t ar

e as

sign

ed w

ith

envi

ronm

enta

l rol

es a

nd re

spon

sibi

lities

and

thes

e ar

e do

cum

ente

d

❒ P

roce

dure

s th

at a

ddre

ss e

nvir

onm

enta

l man

agem

ent i

ssue

s at

the

site

are

mad

e av

aila

ble

to re

leva

nt e

mpl

oym

ent

site

per

sonn

el

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• w

orke

rs re

ceiv

e tr

aini

ng o

n en

viro

nmen

tal m

anag

emen

t iss

ues;

and

• ke

y w

orke

rs re

ceiv

e tr

aini

ng a

pplic

able

to th

eir

envi

ronm

enta

l man

agem

ent r

oles

and

resp

onsi

biliti

es

LEv

EL 2

❒ S

igni

fican

t asp

ects

and

impa

cts

have

bee

n do

cum

ente

d

❒ T

he E

nvir

onm

enta

l man

agem

ent S

yste

m (E

mS)

has

bee

n do

cum

ente

d

❒ T

he E

mS

incl

udes

doc

umen

ted

envi

ronm

enta

l ris

k as

sess

men

ts, o

bjec

tive

s an

d ta

rget

s

❒ T

he E

mS,

or

elem

ents

of t

he E

mS,

has

bee

n au

dite

d

❒ m

anag

emen

t rev

iew

s of

the

EmS

are

docu

men

ted

and

are

avai

labl

e

❒ A

ll pe

rson

nel (

man

agem

ent,

wor

kers

and

thei

r re

pres

enta

tive

s, c

ontr

acto

rs) a

re e

ngag

ed in

the

man

agem

ent

of e

nvir

onm

enta

l iss

ues

acco

rdin

g to

thei

r fu

ncti

on.

❒ C

omm

unic

ation

s w

ith

inte

rnal

and

/or

exte

rnal

sta

keho

lder

s in

clud

e di

scus

sion

aro

und

envi

ronm

enta

l per

form

ance

LEv

EL 3

❒ T

he e

mpl

oym

ent s

ite

has

iden

tifie

d en

viro

nmen

tal m

anag

emen

t and

env

iron

men

tal p

erfo

rman

ce ta

rget

s de

sign

ed

to im

prov

e or

sus

tain

the

envi

ronm

ent

and

loca

l eco

syst

em, o

r gl

obal

whe

n ap

prop

riat

e

❒ T

he e

mpl

oym

ent s

ite

has

inve

stiga

ted

and

used

, if r

elev

ant,

alt

erna

tive

wat

er s

ourc

es w

ith

low

er e

cosy

stem

impa

ct

❒ T

he e

mpl

oym

ent s

ite

has

esta

blis

hed

a fo

rwar

d lo

okin

g st

rate

gy to

dri

ve le

adin

g pr

acti

ce

❒ T

he e

mpl

oym

ent s

ite

has

com

mitt

ed to

vol

unta

ry s

tand

ards

❒ C

omm

unic

ation

s w

ith

appr

opri

ate

stak

ehol

ders

thro

ugh

the

valu

e ch

ain

show

that

ach

ievi

ng s

igni

fican

t per

form

ance

im

prov

emen

t has

bee

n di

scus

sed


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

2. E

nerg

y us

e, tr

ansp

ort a

nd G

reen

hous

e G

ases

(Gh

Gs)

Empl

oym

ent s

ite

requ

irem

ents

at e

ach

perf

orm

ance

leve

l:

Leve

l 1:

1.

Mee

t leg

al re

quire

men

ts

2.

Rele

vant

, up‐

to‐d

ate

perm

its a

re h

eld

and

com

plia

nce

mai

ntai

ned

3.

Trac

king

of e

nerg

y co

nsum

ption

/cal

cula

tion

of G

hG

em

issi

ons

incl

udin

g fu

el u

se fo

r on

‐site

tran

spor

t

Leve

l 2:

4.

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

and

audi

t ene

rgy

use

and

Gh

G e

mis

sion

s as

per

the

site

EM

S

5.

Ener

gy c

onsu

mpti

on a

nd g

reen

hous

e ga

s em

issi

ons

(incl

udin

g on

‐site

veh

icle

em

issi

ons)

are

mad

e av

aila

ble

to a

ppro

pria

te in

tern

al a

nd e

xter

nal s

take

hold

ers

6.

Rene

wab

le e

nerg

y us

e ta

rget

s an

d G

hG

em

issi

on re

ducti

on ta

rget

s (n

orm

alis

ed) a

re e

stab

lishe

d/re

view

ed a

t lea

st o

n an

ann

ual b

asis

to d

rive

conti

nuou

s im

prov

emen

t

7.

dem

onst

rabl

e re

ducti

on in

ene

rgy

(nor

mal

ised

; ple

ase

refe

r to

the

guid

ance

sec

tion

for

furt

her

defin

ition

)

8.

Targ

ets

incl

ude

on‐s

ite v

ehic

le e

mis

sion

s re

ducti

on, w

hich

are

revi

ewed

on

an a

nnua

l bas

is to

dri

ve c

ontin

uous

impr

ovem

ent

Leve

l 3:

9.

lead

ing

prac

tice

mec

hani

sms

in p

lace

to re

duce

gre

enho

use

gas

(Gh

G) i

nten

sity

(for

furt

her

defin

ition

ple

ase

refe

r to

the

guid

ance

sec

tion)

10. U

se o

f ene

rgy

sour

ces

with

low

er G

hG

inte

nsity

a. E

nerg

y co

nsum

ption

leve

l is

sust

aina

ble

with

in a

vaila

bilit

y of

loca

l ene

rgy

reso

urce

sb.

dem

onst

rabl

e ac

hiev

emen

t of s

tret

chin

g en

ergy

and

fuel

effi

cien

cy a

nd G

hG

em

issi

on ta

rget

s be

yond

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

11. E

ngag

emen

t with

app

ropr

iate

sta

keho

lder

s do

wn

the

valu

e ch

ain

iden

tifyi

ng w

ays

to re

duce

Gh

G e

mis

sion

s

12. C

arbo

n ac

coun

ting

in b

usin

ess

syst

em

13. S

peci

ficati

on o

f the

mos

t env

ironm

enta

lly e

ffici

ent c

ombi

natio

ns o

f veh

icle

type

s, fu

els

and

tech

nolo

gies

for

dist

ribu

tion

fleet

14. F

uel c

onsu

mpti

on a

nd v

ehic

le e

mis

sion

redu

ction

targ

ets

are

revi

ewed

on

an a

nnua

l bas

is to

dri

ve c

ontin

uous

impr

ovem

ent f

or th

e en

tire

fleet

The

follo

win

g ch

ecks

are

inte

nded

as

guid

ance

and

sho

uld

not l

imit

aud

it a

ctivi

ties

.

Is th

is p

erfo

rman

ce a

rea

appl

icab

le to

the

em

ploy

men

t sit

e?If

yes,

ple

ase

com

plet

e th

e fo

llow

ing

tabl

e. If

no,

ple

ase

proc

eed

to th

e ne

xt P

erfo

rman

ce A

rea.

yes

No

EvID

ENCE

GAT

hER

ING

ON

EN

ERG

y U

SE, T

RA

NSP

OR

T A

ND

GR

EEN

hO

USE

GA

SES

(Gh

GS)

no

TeS

2.1

Phys

ical

em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ B

ased

on

obse

rvati

ons,

the

site

has

est

ablis

hed

proc

edur

es to

man

age

ener

gy u

se, t

rans

port

and

gre

enho

use

gase

s ar

e be

ing

follo

wed

(e.g

. man

agem

ent o

f sub

stan

ces,

acti

viti

es e

tc.)

2.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to e

nerg

y us

e, tr

ansp

ort a

nd G

hG

em

issi

ons

man

agem

ent h

ave

been

est

ablis

hed

and

impl

emen

ted

(e.g

. wri

tten

pol

icie

s an

d pr

oced

ures

, em

ploy

ee h

andb

ook,

indu

ction

trai

ning

, etc

.)

❒ F

orm

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

and

audi

t ene

rgy

use

and

Gh

G e

mis

sion

s as

per

the

site

Em

S

2.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t is

aw

are

of la

ws

and

regu

lati

ons

conc

erni

ng e

nerg

y us

e, tr

ansp

ort a

nd G

hG

em

issi

ons

and

com

plia

nce

❒ P

olic

ies

and

proc

esse

s re

gard

ing

ener

gy u

se, t

rans

port

and

Gh

G e

mis

sion

s ar

e eff

ecti

vely

com

mun

icat

ed to

wor

kers

❒ m

anag

emen

t is

aw

are

of h

ow e

nerg

y co

nsum

ption

and

how

the

calc

ulati

on o

f Gh

G e

mis

sion

s is

trac

ked

❒ m

anag

emen

t pr

ovid

e th

e ap

prop

riat

e re

sour

ces

to e

nsur

e th

at c

ompl

ianc

e w

ith

appl

icab

le la

ws

and

regu

lati

ons

is

mai

ntai

ned


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

2. E

nerg

y us

e, tr

ansp

ort a

nd G

reen

hous

e G

ases

(Gh

Gs)

Empl

oym

ent s

ite

requ

irem

ents

at e

ach

perf

orm

ance

leve

l:

Leve

l 1:

1.

Mee

t leg

al re

quire

men

ts

2.

Rele

vant

, up‐

to‐d

ate

perm

its a

re h

eld

and

com

plia

nce

mai

ntai

ned

3.

Trac

king

of e

nerg

y co

nsum

ption

/cal

cula

tion

of G

hG

em

issi

ons

incl

udin

g fu

el u

se fo

r on

‐site

tran

spor

t

Leve

l 2:

4.

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

and

audi

t ene

rgy

use

and

Gh

G e

mis

sion

s as

per

the

site

EM

S

5.

Ener

gy c

onsu

mpti

on a

nd g

reen

hous

e ga

s em

issi

ons

(incl

udin

g on

‐site

veh

icle

em

issi

ons)

are

mad

e av

aila

ble

to a

ppro

pria

te in

tern

al a

nd e

xter

nal s

take

hold

ers

6.

Rene

wab

le e

nerg

y us

e ta

rget

s an

d G

hG

em

issi

on re

ducti

on ta

rget

s (n

orm

alis

ed) a

re e

stab

lishe

d/re

view

ed a

t lea

st o

n an

ann

ual b

asis

to d

rive

conti

nuou

s im

prov

emen

t

7.

dem

onst

rabl

e re

ducti

on in

ene

rgy

(nor

mal

ised

; ple

ase

refe

r to

the

guid

ance

sec

tion

for

furt

her

defin

ition

)

8.

Targ

ets

incl

ude

on‐s

ite v

ehic

le e

mis

sion

s re

ducti

on, w

hich

are

revi

ewed

on

an a

nnua

l bas

is to

dri

ve c

ontin

uous

impr

ovem

ent

Leve

l 3:

9.

lead

ing

prac

tice

mec

hani

sms

in p

lace

to re

duce

gre

enho

use

gas

(Gh

G) i

nten

sity

(for

furt

her

defin

ition

ple

ase

refe

r to

the

guid

ance

sec

tion)

10. U

se o

f ene

rgy

sour

ces

with

low

er G

hG

inte

nsity

a. E

nerg

y co

nsum

ption

leve

l is

sust

aina

ble

with

in a

vaila

bilit

y of

loca

l ene

rgy

reso

urce

sb.

dem

onst

rabl

e ac

hiev

emen

t of s

tret

chin

g en

ergy

and

fuel

effi

cien

cy a

nd G

hG

em

issi

on ta

rget

s be

yond

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

11. E

ngag

emen

t with

app

ropr

iate

sta

keho

lder

s do

wn

the

valu

e ch

ain

iden

tifyi

ng w

ays

to re

duce

Gh

G e

mis

sion

s

12. C

arbo

n ac

coun

ting

in b

usin

ess

syst

em

13. S

peci

ficati

on o

f the

mos

t env

ironm

enta

lly e

ffici

ent c

ombi

natio

ns o

f veh

icle

type

s, fu

els

and

tech

nolo

gies

for

dist

ribu

tion

fleet

14. F

uel c

onsu

mpti

on a

nd v

ehic

le e

mis

sion

redu

ction

targ

ets

are

revi

ewed

on

an a

nnua

l bas

is to

dri

ve c

ontin

uous

impr

ovem

ent f

or th

e en

tire

fleet

The

follo

win

g ch

ecks

are

inte

nded

as

guid

ance

and

sho

uld

not l

imit

aud

it a

ctivi

ties

.

Is th

is p

erfo

rman

ce a

rea

appl

icab

le to

the

em

ploy

men

t sit

e?If

yes,

ple

ase

com

plet

e th

e fo

llow

ing

tabl

e. If

no,

ple

ase

proc

eed

to th

e ne

xt P

erfo

rman

ce A

rea.

yes

No

EvID

ENCE

GAT

hER

ING

ON

EN

ERG

y U

SE, T

RA

NSP

OR

T A

ND

GR

EEN

hO

USE

GA

SES

(Gh

GS)

no

TeS

2.1

Phys

ical

em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ B

ased

on

obse

rvati

ons,

the

site

has

est

ablis

hed

proc

edur

es to

man

age

ener

gy u

se, t

rans

port

and

gre

enho

use

gase

s ar

e be

ing

follo

wed

(e.g

. man

agem

ent o

f sub

stan

ces,

acti

viti

es e

tc.)

2.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to e

nerg

y us

e, tr

ansp

ort a

nd G

hG

em

issi

ons

man

agem

ent h

ave

been

est

ablis

hed

and

impl

emen

ted

(e.g

. wri

tten

pol

icie

s an

d pr

oced

ures

, em

ploy

ee h

andb

ook,

indu

ction

trai

ning

, etc

.)

❒ F

orm

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

and

audi

t ene

rgy

use

and

Gh

G e

mis

sion

s as

per

the

site

Em

S

2.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t is

aw

are

of la

ws

and

regu

lati

ons

conc

erni

ng e

nerg

y us

e, tr

ansp

ort a

nd G

hG

em

issi

ons

and

com

plia

nce

❒ P

olic

ies

and

proc

esse

s re

gard

ing

ener

gy u

se, t

rans

port

and

Gh

G e

mis

sion

s ar

e eff

ecti

vely

com

mun

icat

ed to

wor

kers

❒ m

anag

emen

t is

aw

are

of h

ow e

nerg

y co

nsum

ption

and

how

the

calc

ulati

on o

f Gh

G e

mis

sion

s is

trac

ked

❒ m

anag

emen

t pr

ovid

e th

e ap

prop

riat

e re

sour

ces

to e

nsur

e th

at c

ompl

ianc

e w

ith

appl

icab

le la

ws

and

regu

lati

ons

is

mai

ntai

ned

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem

…



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

… LEv

EL 2

❒ m

anag

emen

t acti

vely

pro

mot

es o

r en

dors

es p

roac

tive

ene

rgy

cons

erva

tion

❒ T

he m

anag

emen

t ar

e dr

ivin

g co

ntinu

ous

impr

ovem

ent a

nd re

view

ing

the

on-s

ite

tran

spor

t red

ucti

on e

mis

sion

targ

et

on a

n an

nual

bas

is

❒ m

anag

emen

t are

pro

acti

vely

dri

ving

con

tinu

ous

impr

ovem

ent t

hrou

gh re

view

ing

rene

wab

le e

nerg

y us

e an

d G

hG

em

issi

on re

ducti

on ta

rget

s on

an

annu

al b

asis

❒ T

he e

mpl

oym

ent s

ite

ensu

res

ener

gy c

onsu

mpti

on a

nd g

reen

hous

e ga

s em

issi

ons

(incl

udin

g on

-sit

e ve

hicl

e em

issi

ons)

da

ta is

mad

e av

aila

ble

to re

leva

nt in

tern

al a

nd e

xter

nal s

take

hold

ers

❒ T

he e

mpl

oym

ent s

ite

dem

onst

rate

s, w

here

app

ropr

iate

, im

prov

emen

t in

ener

gy u

se p

erfo

rman

ce a

nd th

at

it is

ach

ievi

ng re

new

able

ene

rgy

use

and

Gh

G e

mis

sion

redu

ction

targ

ets

LEv

EL 3

❒ F

or e

nerg

y so

urce

s w

ith

low

er G

hG

inte

nsit

y, m

anag

emen

t und

erst

ands

the

conc

ept o

f sus

tain

able

ene

rgy

cons

umpti

on w

ithi

n av

aila

bilit

y of

loca

l ene

rgy

reso

urce

s

❒ m

anag

emen

t und

erst

and

wha

t re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

acti

ce is

in re

lati

on to

ene

rgy

and

fuel

effi

cien

cy

and

Gh

G e

mis

sion

targ

ets

for

thei

r se

ctor

/geo

grap

hy a

nd h

ave

set s

ite

targ

ets

that

exc

eed

thos

e pr

acti

ces

❒ m

anag

emen

t are

pro

acti

vely

dri

ving

con

tinu

ous

impr

ovem

ent i

n th

e en

tire

tran

spor

t flee

t thr

ough

revi

ewin

g fu

el

cons

umpti

on a

nd v

ehic

le e

mis

sion

redu

ction

targ

ets

on a

n an

nual

bas

is

❒ T

he s

ite

acti

vely

eng

ages

wit

h ap

prop

riat

e st

akeh

olde

rs d

own

the

valu

e ch

ain

to id

enti

fy w

ays

to re

duce

Gh

G

emis

sion

s

❒ m

anag

emen

t acti

vely

pro

mot

es th

e im

plem

enta

tion

of l

eadi

ng p

racti

ce g

reen

hous

e ga

s in

tens

ity

mec

hani

sms

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h d

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs h

ave

a ge

nera

l und

erst

andi

ng o

f how

they

, and

thei

r si

te’s

acti

viti

es a

nd o

pera

tion

s, c

an im

pact

ene

rgy

use

and

gree

nhou

se g

as e

mis

sion

s

❒ K

ey w

orke

rs a

re a

war

e of

ene

rgy

use

and

gree

nhou

se g

as e

mis

sion

s pe

rmit

/lic

ence

requ

irem

ents

, whe

re a

pplic

able

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n en

ergy

use

and

gre

enho

use

gas

emis

sion

issu

es a

t ind

ucti

on, w

here

app

ropr

iate

❒ K

ey w

orke

rs w

ith

ener

gy u

se, t

rans

port

and

gre

enho

use

gas

emis

sion

s m

anag

emen

t res

pons

ibili

ties

rece

ive

spec

ific

trai

ning

as

requ

ired

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

ene

rgy

use,

tran

spor

t and

gre

enho

use

gas

emis

sion

s pr

oced

ures

, whe

re

appr

opri

ate

2.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite

perm

its

and

licen

ces

that

rela

te to

ene

rgy

use,

tran

spor

t and

Gh

Gs

are

avai

labl

e

and

up to

dat

e

❒ W

here

the

em

ploy

men

t sit

e is

lega

lly re

quir

ed to

hol

d an

d/or

mai

ntai

n do

cum

enta

tion

in re

lati

on to

ene

rgy

use,

tr

ansp

ort a

nd G

hG

s, t

hese

are

hel

d on

file

for

the

requ

ired

per

iod

of ti

me

❒ P

roce

dure

s th

at a

ddre

ss e

nerg

y us

e, tr

ansp

ort a

nd G

hG

s at

the

site

are

mad

e av

aila

ble

to re

leva

nt e

mpl

oym

ent s

ite

pers

onne

l

❒ E

nerg

y co

nsum

ption

/cal

cula

tion

of G

hG

em

issi

ons

incl

udin

g fu

el u

se fo

r on

-sit

e tr

ansp

ort d

ata

is re

cord

ed, t

rack

ed

and

docu

men

ted

❒ A

n in

vent

ory

of m

ain

poin

t sou

rces

em

issi

ons

to a

ir is

mai

ntai

ned.

The

sit

e ha

s al

so c

onsi

dere

d th

e po

tenti

al fo

r fu

giti

ve e

mis

sion

s

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• w

orke

rs re

ceiv

e tr

aini

ng o

n en

ergy

use

, tra

nspo

rt a

nd G

hG

issu

es; a

nd•

key

wor

kers

rece

ive

trai

ning

app

licab

le to

thei

r en

ergy

use

, tra

nspo

rt a

nd G

hG

s ro

les

and

resp

onsi

biliti

es


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

…




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

LEv

EL 2

❒ m

anag

emen

t acti

vely

pro

mot

es o

r en

dors

es p

roac

tive

ene

rgy

cons

erva

tion

❒ T

he m

anag

emen

t ar

e dr

ivin

g co

ntinu

ous

impr

ovem

ent a

nd re

view

ing

the

on-s

ite

tran

spor

t red

ucti

on e

mis

sion

targ

et

on a

n an

nual

bas

is

❒ m

anag

emen

t are

pro

acti

vely

dri

ving

con

tinu

ous

impr

ovem

ent t

hrou

gh re

view

ing

rene

wab

le e

nerg

y us

e an

d G

hG

em

issi

on re

ducti

on ta

rget

s on

an

annu

al b

asis

❒ T

he e

mpl

oym

ent s

ite

ensu

res

ener

gy c

onsu

mpti

on a

nd g

reen

hous

e ga

s em

issi

ons

(incl

udin

g on

-sit

e ve

hicl

e em

issi

ons)

da

ta is

mad

e av

aila

ble

to re

leva

nt in

tern

al a

nd e

xter

nal s

take

hold

ers

❒ T

he e

mpl

oym

ent s

ite

dem

onst

rate

s, w

here

app

ropr

iate

, im

prov

emen

t in

ener

gy u

se p

erfo

rman

ce a

nd th

at

it is

ach

ievi

ng re

new

able

ene

rgy

use

and

Gh

G e

mis

sion

redu

ction

targ

ets

LEv

EL 3

❒ F

or e

nerg

y so

urce

s w

ith

low

er G

hG

inte

nsit

y, m

anag

emen

t und

erst

ands

the

conc

ept o

f sus

tain

able

ene

rgy

cons

umpti

on w

ithi

n av

aila

bilit

y of

loca

l ene

rgy

reso

urce

s

❒ m

anag

emen

t und

erst

and

wha

t re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

acti

ce is

in re

lati

on to

ene

rgy

and

fuel

effi

cien

cy

and

Gh

G e

mis

sion

targ

ets

for

thei

r se

ctor

/geo

grap

hy a

nd h

ave

set s

ite

targ

ets

that

exc

eed

thos

e pr

acti

ces

❒ m

anag

emen

t are

pro

acti

vely

dri

ving

con

tinu

ous

impr

ovem

ent i

n th

e en

tire

tran

spor

t flee

t thr

ough

revi

ewin

g fu

el

cons

umpti

on a

nd v

ehic

le e

mis

sion

redu

ction

targ

ets

on a

n an

nual

bas

is

❒ T

he s

ite

acti

vely

eng

ages

wit

h ap

prop

riat

e st

akeh

olde

rs d

own

the

valu

e ch

ain

to id

enti

fy w

ays

to re

duce

Gh

G

emis

sion

s

❒ m

anag

emen

t acti

vely

pro

mot

es th

e im

plem

enta

tion

of l

eadi

ng p

racti

ce g

reen

hous

e ga

s in

tens

ity

mec

hani

sms

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h d

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs h

ave

a ge

nera

l und

erst

andi

ng o

f how

they

, and

thei

r si

te’s

acti

viti

es a

nd o

pera

tion

s, c

an im

pact

ene

rgy

use

and

gree

nhou

se g

as e

mis

sion

s

❒ K

ey w

orke

rs a

re a

war

e of

ene

rgy

use

and

gree

nhou

se g

as e

mis

sion

s pe

rmit

/lic

ence

requ

irem

ents

, whe

re a

pplic

able

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n en

ergy

use

and

gre

enho

use

gas

emis

sion

issu

es a

t ind

ucti

on, w

here

app

ropr

iate

❒ K

ey w

orke

rs w

ith

ener

gy u

se, t

rans

port

and

gre

enho

use

gas

emis

sion

s m

anag

emen

t res

pons

ibili

ties

rece

ive

spec

ific

trai

ning

as

requ

ired

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

ene

rgy

use,

tran

spor

t and

gre

enho

use

gas

emis

sion

s pr

oced

ures

, whe

re

appr

opri

ate

2.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite

perm

its

and

licen

ces

that

rela

te to

ene

rgy

use,

tran

spor

t and

Gh

Gs

are

avai

labl

e

and

up to

dat

e

❒ W

here

the

em

ploy

men

t sit

e is

lega

lly re

quir

ed to

hol

d an

d/or

mai

ntai

n do

cum

enta

tion

in re

lati

on to

ene

rgy

use,

tr

ansp

ort a

nd G

hG

s, t

hese

are

hel

d on

file

for

the

requ

ired

per

iod

of ti

me

❒ P

roce

dure

s th

at a

ddre

ss e

nerg

y us

e, tr

ansp

ort a

nd G

hG

s at

the

site

are

mad

e av

aila

ble

to re

leva

nt e

mpl

oym

ent s

ite

pers

onne

l

❒ E

nerg

y co

nsum

ption

/cal

cula

tion

of G

hG

em

issi

ons

incl

udin

g fu

el u

se fo

r on

-sit

e tr

ansp

ort d

ata

is re

cord

ed, t

rack

ed

and

docu

men

ted

❒ A

n in

vent

ory

of m

ain

poin

t sou

rces

em

issi

ons

to a

ir is

mai

ntai

ned.

The

sit

e ha

s al

so c

onsi

dere

d th

e po

tenti

al fo

r fu

giti

ve e

mis

sion

s

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• w

orke

rs re

ceiv

e tr

aini

ng o

n en

ergy

use

, tra

nspo

rt a

nd G

hG

issu

es; a

nd•

key

wor

kers

rece

ive

trai

ning

app

licab

le to

thei

r en

ergy

use

, tra

nspo

rt a

nd G

hG

s ro

les

and

resp

onsi

biliti

es

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

LEv

EL 2

❒ R

evie

ws

of o

n-si

te v

ehic

le e

mis

sion

s re

ducti

on ta

rget

s un

dert

aken

and

ava

ilabl

e

❒ R

evie

ws

of re

new

able

ene

rgy

use

targ

ets

and

Gh

G e

mis

sion

redu

ction

targ

ets

(nor

mal

ised

) und

erta

ken

and

avai

labl

e

❒ T

arge

ts in

pla

ce to

pha

se-o

ut u

se o

f spe

cific

type

s of

OD

S, s

uch

as C

FCs,

hal

ons,

TCE

, CCl

4 in

line

wit

h re

cogn

ised

in

tern

ation

al s

tand

ard

prac

tice

❒ P

rovi

de a

sho

rt s

umm

ary

as to

how

the

empl

oym

ent s

ite

has

mad

e de

mon

stra

ble

achi

evem

ent o

f red

ucin

g en

ergy

❒ P

rovi

de a

sho

rt s

umm

ary

as to

how

the

empl

oym

ent s

ite

has

mad

e de

mon

stra

ble

achi

evem

ent o

f mee

ting

or

exc

eedi

ng a

ir q

ualit

y im

prov

emen

t tar

gets

(nor

mal

ised

)

LEv

EL 3

❒ R

evie

ws

of fu

el c

onsu

mpti

on a

nd v

ehic

le e

mis

sion

redu

ction

targ

ets

are

unde

rtak

en a

nd a

re a

vaila

ble

❒ T

he e

mpl

oym

ent s

ite

has

confi

rmed

tha

t ene

rgy

cons

umpti

on le

vels

are

sus

tain

able

(in

rela

tion

to th

e av

aila

bilit

y

of lo

cal e

nerg

y so

urce

s)

❒ T

he e

mpl

oym

ent s

ite

has

impl

emen

ted

lead

ing

prac

tice

mec

hani

sms

to re

duce

Gh

G in

tens

ity

❒ A

ir q

ualit

y im

prov

emen

t tar

gets

are

str

etch

ing

and

are

bein

g ac

hiev

ed

❒ C

omm

unic

ation

s w

ith

appr

opri

ate

stak

ehol

ders

thro

ugh

the

valu

e ch

ain

show

that

iden

tify

ing

way

s to

redu

ce G

hG

em

issi

ons

have

bee

n di

scus

sed

❒ E

nerg

y an

d fu

el e

ffici

ency

and

Gh

G e

mis

sion

targ

ets

are

stre

tchi

ng a

nd a

re b

eing

ach

ieve

d

❒ T

he e

mpl

oym

ent s

ite

has

docu

men

ted

the

spec

ifica

tion

s of

the

mos

t env

iron

men

tally

effi

cien

t com

bina

tion

s of

veh

icle

ty

pes,

fuel

s an

d te

chno

logi

es fo

r di

stri

buti

on fl

eet

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

3. W

ater

use

Empl

oym

ent s

ite

requ

irem

ents

at e

ach

perf

orm

ance

leve

l:

Leve

l 1:

1.

Mee

t leg

al re

quire

men

ts

2.

Rele

vant

, up‐

to‐d

ate

perm

its a

re h

eld

and

com

plia

nce

mai

ntai

ned

3.

Mea

sure

men

t of w

ater

con

sum

ption

is u

nder

take

n

Leve

l 2:

4.

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

and

audi

t wat

er c

onsu

mpti

on a

s pe

r th

e si

te E

MS

5.

Wat

er c

onsu

mpti

on d

ata

are

mad

e av

aila

ble

to re

leva

nt in

tern

al a

nd e

xter

nal s

take

hold

ers

6.

Wat

er c

onsu

mpti

on e

ffici

ency

targ

ets

are

revi

ewed

on

an a

nnua

l bas

is to

dri

ve c

ontin

uous

impr

ovem

ent

7.

dem

onst

rabl

e ac

hiev

emen

t of w

ater

effi

cien

cy ta

rget

s (n

orm

alis

ed)

Leve

l 3:

8.

Whe

re re

leva

nt, w

ater

con

sum

ption

leve

l is

sust

aina

ble

with

in lo

cal e

cosy

stem

lim

its a

nd w

ater

cat

chm

ent a

rea

9.

Inve

stiga

tion

of a

nd u

se, i

f rel

evan

t, o

f alte

rnati

ve w

ater

sou

rces

with

low

er e

cosy

stem

impa

ct

10. d

emon

stra

ble

achi

evem

ent o

f str

etch

ing

wat

er e

ffici

ency

targ

ets

beyo

nd re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

actic

e

11. l

eadi

ng p

racti

ce w

ater

effi

cien

cy m

echa

nism

s in

pla

ce, i

nclu

ding

re‐u

se, r

ecov

ery

and

recy

clin

g

12. E

ngag

emen

t with

app

ropr

iate

sta

keho

lder

s do

wn

the

valu

e ch

ain

to im

prov

e w

ater

effi

cien

cy

The

follo

win

g ch

ecks

are

inte

nded

as

guid

ance

and

sho

uld

not l

imit

aud

it a

ctivi

ties

.

Is th

is p

erfo

rman

ce a

rea

appl

icab

le to

the

em

ploy

men

t sit

e?If

yes,

ple

ase

com

plet

e th

e fo

llow

ing

tabl

e. If

no,

ple

ase

proc

eed

to th

e ne

xt P

erfo

rman

ce A

rea.

yes

No

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

EvID

ENCE

GAT

hER

ING

ON

WAT

ER U

SEn

oTe

S

3.1

Phys

ical

em

ploy

men

t si

te in

spec

tion

LEv

EL 1

❒ E

mpl

oym

ent s

ite

oper

ation

s an

d ac

tivi

ties

obs

erve

d ar

e in

line

wit

h le

gal r

equi

rem

ents

rela

ting

to w

ater

use

(in

clud

ing

wat

er a

bstr

acti

on p

erm

it re

quir

emen

ts)

❒ S

ite

wat

er u

se p

roce

dure

s im

plem

ente

d

❒ N

o w

ater

leak

s fr

om w

ater

tank

s or

wat

er p

ipes

are

obs

erve

d

❒ W

ater

con

sum

ption

met

ers

in p

lace

3.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to w

ater

use

man

agem

ent e

stab

lishe

d an

d im

plem

ente

d (e

.g. w

ritt

en p

olic

ies

and

proc

edur

es, e

mpl

oyee

han

dboo

k, in

ducti

on t

rain

ing,

etc

.)

❒ F

orm

al s

yste

ms

and

proc

esse

s in

pla

ce in

rela

tion

to w

ater

use

man

agem

ent,

as

per

the

site

Em

S

3.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s co

ncer

ning

wat

er u

se a

nd c

ompl

ianc

e

❒ P

olic

ies

and

proc

esse

s re

gard

ing

wat

er u

se a

re e

ffec

tive

ly c

omm

unic

ated

to w

orke

rs

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

that

com

plia

nce

wit

h ap

plic

able

law

s an

d re

gula

tion

s

is m

aint

aine

d

LEv

EL 2

❒ m

anag

emen

t acti

vely

pro

mot

es o

r en

dors

es p

roac

tive

wat

er c

onse

rvati

on

❒ m

anag

emen

t are

pro

acti

vely

dri

ving

con

tinu

ous

impr

ovem

ent t

hrou

gh re

view

ing

wat

er c

onsu

mpti

on e

ffici

ency

ta

rget

s on

an

annu

al b

asis

❒ T

he e

mpl

oym

ent s

ite

ensu

res

wat

er c

onsu

mpti

on d

ata

is m

ade

avai

labl

e to

rele

vant

inte

rnal

and

ext

erna

l st

akeh

olde

rs

❒ T

he e

mpl

oym

ent s

ite

dem

onst

rate

s, w

here

app

ropr

iate

, im

prov

emen

t in

wat

er u

se a

nd p

erfo

rman

ce a

nd th

at

it is

ach

ievi

ng w

ater

effi

cien

cy ta

rget

s

LEv

EL 3

❒ m

anag

emen

t und

erst

ands

the

conc

ept o

f sus

tain

able

wat

er c

onsu

mpti

on w

ithi

n th

e lo

cal e

cosy

stem

lim

its

and

wat

er

catc

hmen

t are

a

❒ m

anag

emen

t acti

vely

inve

stiga

te a

nd u

ses,

if a

ppro

pria

te, a

lter

nati

ve w

ater

sou

rces

wit

h lo

wer

eco

syst

em im

pact

❒ m

anag

emen

t und

erst

and

wha

t re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

acti

ce is

in re

lati

on to

setti

ng w

ater

effi

cien

cy

targ

ets

for

thei

r se

ctor

/geo

grap

hy a

nd h

ave

set

site

targ

ets

that

exc

eed

thos

e pr

acti

ces

❒ T

he s

ite

acti

vely

eng

ages

wit

h ap

prop

riat

e st

akeh

olde

rs d

own

the

valu

e ch

ain

to im

prov

e w

ater

effi

cien

cy

❒ m

anag

emen

t acti

vely

pro

mot

es th

e im

plem

enta

tion

of l

eadi

ng p

racti

ce w

ater

effi

cien

cy m

echa

nism

s in

clud

ing,

e.

g. re

-use

, rec

over

y an

d re

cycl

ing

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h d

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

impa

ct w

ater

use

❒ K

ey w

orke

rs a

re a

war

e of

wat

er u

se/c

onsu

mpti

on p

erm

it/l

icen

ce re

quir

emen

ts, w

here

app

licab

le

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n w

ater

use

issu

es a

t ind

ucti

on, w

here

app

ropr

iate

❒ K

ey w

orke

rs w

ith

wat

er u

se/c

onsu

mpti

on m

anag

emen

t res

pons

ibili

ties

rece

ive

spec

ific

trai

ning

as

requ

ired

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

wat

er u

se p

roce

dure

s, w

here

app

ropr

iate

…

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

EvID

ENCE

GAT

hER

ING

ON

WAT

ER U

SEn

oTe

S

3.1

Phys

ical

em

ploy

men

t si

te in

spec

tion

LEv

EL 1

❒ E

mpl

oym

ent s

ite

oper

ation

s an

d ac

tivi

ties

obs

erve

d ar

e in

line

wit

h le

gal r

equi

rem

ents

rela

ting

to w

ater

use

(in

clud

ing

wat

er a

bstr

acti

on p

erm

it re

quir

emen

ts)

❒ S

ite

wat

er u

se p

roce

dure

s im

plem

ente

d

❒ N

o w

ater

leak

s fr

om w

ater

tank

s or

wat

er p

ipes

are

obs

erve

d

❒ W

ater

con

sum

ption

met

ers

in p

lace

3.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to w

ater

use

man

agem

ent e

stab

lishe

d an

d im

plem

ente

d (e

.g. w

ritt

en p

olic

ies

and

proc

edur

es, e

mpl

oyee

han

dboo

k, in

ducti

on t

rain

ing,

etc

.)

❒ F

orm

al s

yste

ms

and

proc

esse

s in

pla

ce in

rela

tion

to w

ater

use

man

agem

ent,

as

per

the

site

Em

S

3.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s co

ncer

ning

wat

er u

se a

nd c

ompl

ianc

e

❒ P

olic

ies

and

proc

esse

s re

gard

ing

wat

er u

se a

re e

ffec

tive

ly c

omm

unic

ated

to w

orke

rs

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

that

com

plia

nce

wit

h ap

plic

able

law

s an

d re

gula

tion

s

is m

aint

aine

d

LEv

EL 2

❒ m

anag

emen

t acti

vely

pro

mot

es o

r en

dors

es p

roac

tive

wat

er c

onse

rvati

on

❒ m

anag

emen

t are

pro

acti

vely

dri

ving

con

tinu

ous

impr

ovem

ent t

hrou

gh re

view

ing

wat

er c

onsu

mpti

on e

ffici

ency

ta

rget

s on

an

annu

al b

asis

❒ T

he e

mpl

oym

ent s

ite

ensu

res

wat

er c

onsu

mpti

on d

ata

is m

ade

avai

labl

e to

rele

vant

inte

rnal

and

ext

erna

l st

akeh

olde

rs

❒ T

he e

mpl

oym

ent s

ite

dem

onst

rate

s, w

here

app

ropr

iate

, im

prov

emen

t in

wat

er u

se a

nd p

erfo

rman

ce a

nd th

at

it is

ach

ievi

ng w

ater

effi

cien

cy ta

rget

s

LEv

EL 3

❒ m

anag

emen

t und

erst

ands

the

conc

ept o

f sus

tain

able

wat

er c

onsu

mpti

on w

ithi

n th

e lo

cal e

cosy

stem

lim

its

and

wat

er

catc

hmen

t are

a

❒ m

anag

emen

t acti

vely

inve

stiga

te a

nd u

ses,

if a

ppro

pria

te, a

lter

nati

ve w

ater

sou

rces

wit

h lo

wer

eco

syst

em im

pact

❒ m

anag

emen

t und

erst

and

wha

t re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

acti

ce is

in re

lati

on to

setti

ng w

ater

effi

cien

cy

targ

ets

for

thei

r se

ctor

/geo

grap

hy a

nd h

ave

set

site

targ

ets

that

exc

eed

thos

e pr

acti

ces

❒ T

he s

ite

acti

vely

eng

ages

wit

h ap

prop

riat

e st

akeh

olde

rs d

own

the

valu

e ch

ain

to im

prov

e w

ater

effi

cien

cy

❒ m

anag

emen

t acti

vely

pro

mot

es th

e im

plem

enta

tion

of l

eadi

ng p

racti

ce w

ater

effi

cien

cy m

echa

nism

s in

clud

ing,

e.

g. re

-use

, rec

over

y an

d re

cycl

ing

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h d

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

impa

ct w

ater

use

❒ K

ey w

orke

rs a

re a

war

e of

wat

er u

se/c

onsu

mpti

on p

erm

it/l

icen

ce re

quir

emen

ts, w

here

app

licab

le

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n w

ater

use

issu

es a

t ind

ucti

on, w

here

app

ropr

iate

❒ K

ey w

orke

rs w

ith

wat

er u

se/c

onsu

mpti

on m

anag

emen

t res

pons

ibili

ties

rece

ive

spec

ific

trai

ning

as

requ

ired

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

wat

er u

se p

roce

dure

s, w

here

app

ropr

iate

…

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

3.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite

perm

its

and

licen

ces

that

rela

te to

wat

er u

se a

re a

vaila

ble

and

up to

dat

e

❒ W

here

the

em

ploy

men

t sit

e is

lega

lly re

quir

ed to

hol

d an

d/or

mai

ntai

n do

cum

enta

tion

in re

lati

on to

wat

er u

se/

cons

umpti

on, t

he d

ocum

enta

tion

is re

tain

ed o

n fil

e fo

r th

e re

quir

ed p

erio

d of

tim

e

❒ m

onit

orin

g re

sult

s fo

r w

ater

con

sum

ption

are

ava

ilabl

e an

d m

aint

aine

d

❒ P

roce

dure

s th

at a

ddre

ss w

ater

use

issu

es a

t the

sit

e ar

e m

ade

avai

labl

e to

rele

vant

em

ploy

men

t sit

e pe

rson

nel

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• w

orke

rs re

ceiv

e tr

aini

ng o

n w

ater

use

issu

es; a

nd•

key

wor

kers

rece

ive

trai

ning

app

licab

le to

thei

r w

ater

use

man

agem

ent r

oles

and

resp

onsi

biliti

es

LEv

EL 2

❒ R

evie

ws

of w

ater

con

sum

ption

effi

cien

cy ta

rget

s ar

e un

dert

aken

and

are

ava

ilabl

e

❒ T

he e

mpl

oym

ent s

ite h

as m

ade

dem

onst

rabl

e ac

hiev

emen

t of m

eeti

ng o

r exc

eedi

ng w

ater

effi

cien

cy ta

rget

s (n

orm

alis

ed)

LEv

EL 3

❒ S

ite

has

iden

tifie

d w

heth

er w

ater

use

/con

sum

ption

is s

usta

inab

le (i

n re

lati

on to

the

loca

l eco

syst

em li

mit

s an

d w

ater

ca

tchm

ent a

rea)

❒ S

ite

has

inve

stiga

ted

and

used

, if r

elev

ant,

alt

erna

tive

wat

er s

ourc

es w

ith

low

er e

cosy

stem

impa

ct

❒ S

ite

has

impl

emen

ted

lead

ing

prac

tice

mec

hani

sms

to p

rom

ote

redu

cing

wat

er u

se/c

onsu

mpti

on

❒ W

ater

effi

cien

cy ta

rget

s ar

e st

retc

hing

and

are

bei

ng a

chie

ved

❒ C

omm

unic

ation

s w

ith a

ppro

pria

te s

take

hold

ers

thro

ugh

the

valu

e ch

ain

show

that

wat

er e

ffici

ency

has

bee

n di

scus

sed

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

4. W

aste

wat

er/e

fflue

ntEm

ploy

men

t sit

e re

quir

emen

ts a

t eac

h pe

rfor

man

ce le

vel:

Leve

l 1:

1.

Mee

t leg

al re

quire

men

ts

2.

Rele

vant

, up‐

to‐d

ate

perm

its a

re h

eld

and

com

plia

nce

mai

ntai

ned

3.

dra

inag

e pl

an in

pla

ce w

ith a

gen

eral

und

erst

andi

ng o

f was

tew

ater

flow

dire

ction

and

dis

char

ge p

oint

s

4.

Iden

tifica

tion

of th

e co

ntam

inan

ts, t

heir

flow

dire

ction

and

pot

entia

l im

pact

Leve

l 2:

5.

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

was

tew

ater

effl

uent

as

per

the

site

EM

S

6.

basi

c on

‐site

was

tew

ater

trea

tmen

t in

plac

e to

ach

ieve

impr

ovem

ents

in w

aste

wat

er q

ualit

y or

con

necti

on to

off‐

site

was

tew

ater

trea

tmen

t sys

tem

7.

Regu

lar

was

tew

ater

qua

lity

testi

ng/

mon

itori

ng is

und

erta

ken

to e

nsur

e on

goin

g co

mpl

ianc

e w

ith p

erm

itted

effl

uent

lim

its a

nd a

s pe

r th

e si

te’s

EM

S

8.

Was

tew

ater

qua

lity

data

are

mad

e av

aila

ble

to re

leva

nt in

tern

al a

nd e

xter

nal s

take

hold

ers

9.

Was

tew

ater

qua

lity

and

volu

me

impr

ovem

ent t

arge

ts a

re re

view

ed o

n an

ann

ual b

asis

to d

rive

con

tinuo

us im

prov

emen

t

10. d

emon

stra

ble

impr

ovem

ent i

n w

aste

wat

er q

ualit

y

Leve

l 3:

11. W

aste

wat

er e

fflue

nt q

ualit

y an

d di

scha

rge

volu

me

are

sust

aina

ble

in th

e co

ntex

t of l

ocal

rece

ptor

s an

d ec

osys

tem

lim

its

12. l

eadi

ng p

racti

ce w

aste

wat

er tr

eatm

ent i

n pl

ace

13. l

eadi

ng p

racti

ce m

echa

nism

s in

pla

ce to

impr

ove

qual

ity o

f was

tew

ater

dis

char

ged

to lo

cal e

nviro

nmen

t, in

clud

ing

reus

e of

gre

y w

ater

14. d

emon

stra

ble

achi

evem

ent

of s

tret

chin

g w

aste

wat

er e

fflue

nt q

ualit

y im

prov

emen

t an

d vo

lum

e re

ducti

on t

arge

ts (

norm

alis

ed)

beyo

nd r

ecog

nise

d in

tern

ation

al

stan

dard

pra

ctice

15. E

ngag

emen

t with

app

ropr

iate

sta

keho

lder

s do

wn

the

valu

e ch

ain

to im

prov

e w

aste

wat

er e

fflue

nt q

ualit

y

The

follo

win

g ch

ecks

are

inte

nded

as

guid

ance

and

sho

uld

not l

imit

aud

it a

ctivi

ties

.

Is th

is p

erfo

rman

ce a

rea

appl

icab

le to

the

em

ploy

men

t sit

e?If

yes,

ple

ase

com

plet

e th

e fo

llow

ing

tabl

e. If

no,

ple

ase

proc

eed

to th

e ne

xt P

erfo

rman

ce A

rea.

yes

No

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

EvID

ENCE

GAT

hER

ING

ON

WA

STEW

ATER

/ E

FFLU

ENT

no

TeS

4.1

Phys

ical

em

ploy

men

t si

te in

spec

tion

LEv

EL 1

❒ B

ased

on

obse

rvati

ons,

sou

rces

of w

aste

wat

er g

ener

ated

acr

oss

the

empl

oym

ent s

ite

have

bee

n id

enti

fied

❒ B

ased

on

obse

rvati

on, c

onfir

med

that

was

tew

ater

s ar

e no

t dis

char

ging

dir

ect t

o un

prot

ecte

d gr

ound

and

are

dir

ecte

d to

a d

rain

age

syst

em

❒ B

ased

on

obse

rvati

on, s

umps

/pit

s re

ceiv

ing

was

tew

ater

are

in g

ood

cond

ition

and

of s

ound

inte

grit

y

❒ Is

was

tew

ater

/effl

uent

dir

ecte

d to

a w

aste

wat

er/e

fflue

nt tr

eatm

ent p

lant

or

unde

rgoe

s tr

eatm

ent p

rior

to d

isch

arge

❒ S

urfa

ce w

ater

/sto

rmw

ater

dra

ins

are

free

from

con

tam

inati

on a

nd b

lock

ages

❒ P

roce

dure

s es

tabl

ishe

d to

man

age

was

tew

ater

/was

tew

ater

dis

char

ges

are

bein

g fo

llow

ed (e

.g. m

anag

emen

t of

was

tew

ater

, acti

viti

es e

tc.)

❒ N

o sp

ills

or le

aks

to th

e en

viro

nmen

t obs

erve

d

LEv

EL 2

❒ C

heck

whe

ther

bas

ic o

n-si

te w

aste

wat

er tr

eatm

ent i

s in

pla

ce to

ach

ieve

impr

ovem

ents

in w

aste

wat

er q

ualit

y

or c

onne

ction

to o

ff-s

ite

was

tew

ater

trea

tmen

t sys

tem

4.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to w

aste

wat

er/e

fflue

nt m

anag

emen

t hav

e be

en e

stab

lishe

d an

d im

plem

ente

d

(e.g

. wri

tten

pol

icie

s an

d pr

oced

ures

, em

ploy

ee h

andb

ook,

indu

ction

trai

ning

, etc

.)

❒ R

egul

ar w

aste

wat

er q

ualit

y te

sting

/mon

itor

ing

is u

nder

take

n to

ens

ure

ongo

ing

com

plia

nce

wit

h pe

rmitt

ed e

fflue

nt

limit

s an

d as

per

the

site

’s E

mS

4.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s co

ncer

ning

was

tew

ater

/effl

uent

dis

char

ge c

ompl

ianc

e

❒ P

olic

ies

and

proc

esse

s re

gard

ing

was

tew

ater

/effl

uent

are

eff

ecti

vely

com

mun

icat

ed to

wor

kers

❒ m

anag

emen

t des

crib

e ho

w th

e em

ploy

men

t si

te id

enti

fies

the

cont

amin

ants

, the

ir fl

ow d

irec

tion

and

pot

enti

al

impa

ct in

rela

tion

to w

aste

wat

er/e

fflue

nt d

isch

arge

s fr

om th

e em

ploy

men

t sit

e

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

that

com

plia

nce

wit

h ap

plic

able

law

s an

d re

gula

tion

s

is m

aint

aine

d

LEv

EL 2

❒ m

anag

emen

t acti

vely

pro

mot

es o

r en

dors

es p

roac

tive

was

tew

ater

qua

lity

and

man

agem

ent

❒ m

anag

emen

t are

pro

acti

vely

dri

ving

con

tinu

ous

impr

ovem

ent t

hrou

gh re

view

ing

was

tew

ater

qua

lity

and

volu

me

impr

ovem

ent t

arge

ts o

n an

ann

ual b

asis

❒ T

he e

mpl

oym

ent s

ite

ensu

res

was

tew

ater

qua

lity

data

is m

ade

avai

labl

e to

rele

vant

inte

rnal

and

ext

erna

l sta

keho

lder

s

❒ T

he e

mpl

oym

ent s

ite

dem

onst

rate

s, w

here

app

ropr

iate

, im

prov

emen

t in

was

tew

ater

qua

lity

and

perf

orm

ance

an

d th

at it

is a

chie

ving

was

tew

ater

qua

lity

targ

ets

LEv

EL 3

❒ m

anag

emen

t und

erst

ands

the

conc

ept o

f sus

tain

able

was

tew

ater

effl

uent

qua

lity

and

disc

harg

e w

ithi

n th

e lo

cal

ecos

yste

m li

mit

s an

d lo

cal r

ecep

tors

❒ m

anag

emen

t und

erst

and

wha

t re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

acti

ce is

in re

lati

on to

setti

ng w

aste

wat

er e

fflue

nt

qual

ity

impr

ovem

ent t

arge

ts a

nd v

olum

e re

ducti

on ta

rget

s (n

orm

alis

ed) f

or th

eir

sect

or/g

eogr

aphy

and

hav

e se

t sit

e ta

rget

s th

at e

xcee

d th

ose

prac

tice

s

❒ m

anag

emen

t und

erst

and

lead

ing

prac

tice

was

tew

ater

trea

tmen

t and

this

has

bee

n im

plem

ente

d at

the

site

❒ T

he s

ite

acti

vely

eng

ages

wit

h ap

prop

riat

e st

akeh

olde

rs d

own

the

valu

e ch

ain

to im

prov

e w

aste

wat

er e

fflue

nt q

ualit

y

❒ m

anag

emen

t acti

vely

pro

mot

es th

e im

plem

enta

tion

of l

eadi

ng p

racti

ce m

echa

nism

s to

impr

ove

the

qual

ity

of

was

tew

ater

dis

char

ged

to lo

cal e

nvir

onm

ent,

incl

udin

g re

use

of g

rey

wat

er

…

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

EvID

ENCE

GAT

hER

ING

ON

WA

STEW

ATER

/ E

FFLU

ENT

no

TeS

4.1

Phys

ical

em

ploy

men

t si

te in

spec

tion

LEv

EL 1

❒ B

ased

on

obse

rvati

ons,

sou

rces

of w

aste

wat

er g

ener

ated

acr

oss

the

empl

oym

ent s

ite

have

bee

n id

enti

fied

❒ B

ased

on

obse

rvati

on, c

onfir

med

that

was

tew

ater

s ar

e no

t dis

char

ging

dir

ect t

o un

prot

ecte

d gr

ound

and

are

dir

ecte

d to

a d

rain

age

syst

em

❒ B

ased

on

obse

rvati

on, s

umps

/pit

s re

ceiv

ing

was

tew

ater

are

in g

ood

cond

ition

and

of s

ound

inte

grit

y

❒ Is

was

tew

ater

/effl

uent

dir

ecte

d to

a w

aste

wat

er/e

fflue

nt tr

eatm

ent p

lant

or

unde

rgoe

s tr

eatm

ent p

rior

to d

isch

arge

❒ S

urfa

ce w

ater

/sto

rmw

ater

dra

ins

are

free

from

con

tam

inati

on a

nd b

lock

ages

❒ P

roce

dure

s es

tabl

ishe

d to

man

age

was

tew

ater

/was

tew

ater

dis

char

ges

are

bein

g fo

llow

ed (e

.g. m

anag

emen

t of

was

tew

ater

, acti

viti

es e

tc.)

❒ N

o sp

ills

or le

aks

to th

e en

viro

nmen

t obs

erve

d

LEv

EL 2

❒ C

heck

whe

ther

bas

ic o

n-si

te w

aste

wat

er tr

eatm

ent i

s in

pla

ce to

ach

ieve

impr

ovem

ents

in w

aste

wat

er q

ualit

y

or c

onne

ction

to o

ff-s

ite

was

tew

ater

trea

tmen

t sys

tem

4.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to w

aste

wat

er/e

fflue

nt m

anag

emen

t hav

e be

en e

stab

lishe

d an

d im

plem

ente

d

(e.g

. wri

tten

pol

icie

s an

d pr

oced

ures

, em

ploy

ee h

andb

ook,

indu

ction

trai

ning

, etc

.)

❒ R

egul

ar w

aste

wat

er q

ualit

y te

sting

/mon

itor

ing

is u

nder

take

n to

ens

ure

ongo

ing

com

plia

nce

wit

h pe

rmitt

ed e

fflue

nt

limit

s an

d as

per

the

site

’s E

mS

4.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s co

ncer

ning

was

tew

ater

/effl

uent

dis

char

ge c

ompl

ianc

e

❒ P

olic

ies

and

proc

esse

s re

gard

ing

was

tew

ater

/effl

uent

are

eff

ecti

vely

com

mun

icat

ed to

wor

kers

❒ m

anag

emen

t des

crib

e ho

w th

e em

ploy

men

t si

te id

enti

fies

the

cont

amin

ants

, the

ir fl

ow d

irec

tion

and

pot

enti

al

impa

ct in

rela

tion

to w

aste

wat

er/e

fflue

nt d

isch

arge

s fr

om th

e em

ploy

men

t sit

e

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

that

com

plia

nce

wit

h ap

plic

able

law

s an

d re

gula

tion

s

is m

aint

aine

d

LEv

EL 2

❒ m

anag

emen

t acti

vely

pro

mot

es o

r en

dors

es p

roac

tive

was

tew

ater

qua

lity

and

man

agem

ent

❒ m

anag

emen

t are

pro

acti

vely

dri

ving

con

tinu

ous

impr

ovem

ent t

hrou

gh re

view

ing

was

tew

ater

qua

lity

and

volu

me

impr

ovem

ent t

arge

ts o

n an

ann

ual b

asis

❒ T

he e

mpl

oym

ent s

ite

ensu

res

was

tew

ater

qua

lity

data

is m

ade

avai

labl

e to

rele

vant

inte

rnal

and

ext

erna

l sta

keho

lder

s

❒ T

he e

mpl

oym

ent s

ite

dem

onst

rate

s, w

here

app

ropr

iate

, im

prov

emen

t in

was

tew

ater

qua

lity

and

perf

orm

ance

an

d th

at it

is a

chie

ving

was

tew

ater

qua

lity

targ

ets

LEv

EL 3

❒ m

anag

emen

t und

erst

ands

the

conc

ept o

f sus

tain

able

was

tew

ater

effl

uent

qua

lity

and

disc

harg

e w

ithi

n th

e lo

cal

ecos

yste

m li

mit

s an

d lo

cal r

ecep

tors

❒ m

anag

emen

t und

erst

and

wha

t re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

acti

ce is

in re

lati

on to

setti

ng w

aste

wat

er e

fflue

nt

qual

ity

impr

ovem

ent t

arge

ts a

nd v

olum

e re

ducti

on ta

rget

s (n

orm

alis

ed) f

or th

eir

sect

or/g

eogr

aphy

and

hav

e se

t sit

e ta

rget

s th

at e

xcee

d th

ose

prac

tice

s

❒ m

anag

emen

t und

erst

and

lead

ing

prac

tice

was

tew

ater

trea

tmen

t and

this

has

bee

n im

plem

ente

d at

the

site

❒ T

he s

ite

acti

vely

eng

ages

wit

h ap

prop

riat

e st

akeh

olde

rs d

own

the

valu

e ch

ain

to im

prov

e w

aste

wat

er e

fflue

nt q

ualit

y

❒ m

anag

emen

t acti

vely

pro

mot

es th

e im

plem

enta

tion

of l

eadi

ng p

racti

ce m

echa

nism

s to

impr

ove

the

qual

ity

of

was

tew

ater

dis

char

ged

to lo

cal e

nvir

onm

ent,

incl

udin

g re

use

of g

rey

wat

er

…

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h D

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

impa

ct w

aste

wat

er/e

fflue

nt q

ualit

y

and

disc

harg

e vo

lum

es

❒ K

ey w

orke

rs a

re a

war

e of

was

tew

ater

/effl

uent

per

mit

/lic

ence

requ

irem

ents

, whe

re a

pplic

able

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n w

aste

wat

er/e

fflue

nt is

sues

at i

nduc

tion

, whe

re a

ppro

pria

te

❒ K

ey w

orke

rs w

ith

was

tew

ater

/effl

uent

man

agem

ent r

espo

nsib

iliti

es re

ceiv

e sp

ecifi

c tr

aini

ng a

s re

quir

ed

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

was

tew

ater

/effl

uent

pro

cedu

res,

whe

re a

ppro

pria

te

4.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite p

erm

its

and

licen

ces

that

rela

te to

was

tew

ater

/effl

uent

dis

char

ge a

re a

vaila

ble

and

up to

dat

e

❒ W

here

the

em

ploy

men

t sit

e is

lega

lly re

quir

ed to

hol

d an

d/or

mai

ntai

n do

cum

enta

tion

in re

lati

on to

was

tew

ater

/effl

uent

, the

doc

umen

tati

on is

reta

ined

on

file

for

the

requ

ired

per

iod

of ti

me

❒ P

roce

dure

s th

at a

ddre

ss w

aste

wat

er/e

fflue

nt is

sues

at t

he s

ite a

re m

ade

avai

labl

e to

rele

vant

em

ploy

men

t site

per

sonn

el

❒ T

he e

mpl

oym

ent s

ite

has

iden

tifie

d an

d do

cum

ente

d th

e co

ntam

inan

ts, t

heir

flow

dir

ecti

on a

nd p

oten

tial

impa

ct

asso

ciat

ed w

ith

was

tew

ater

/effl

uent

dis

char

ges

leav

ing

the

site

❒ A

n up

-to-

date

dra

inag

e pl

an o

f the

em

ploy

men

t sit

e is

ava

ilabl

e an

d co

nfirm

s a

gene

ral u

nder

stan

ding

of w

aste

wat

er

flow

dir

ecti

on a

nd d

isch

arge

poi

nts

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• W

orke

rs re

ceiv

e tr

aini

ng o

n w

aste

wat

er/e

fflue

nt is

sues

; and

• Ke

y w

orke

rs re

ceiv

e tr

aini

ng a

pplic

able

to th

eir

was

tew

ater

/effl

uent

man

agem

ent r

oles

and

resp

onsi

biliti

es

LEv

EL 2

❒ R

evie

ws

of w

aste

wat

er q

ualit

y an

d vo

lum

e im

prov

emen

t tar

gets

are

und

erta

ken

and

are

avai

labl

e

❒ R

egul

ar w

aste

wat

er q

ualit

y te

sting

/mon

itor

ing

resu

lts

are

avai

labl

e

❒ T

he e

mpl

oym

ent s

ite

has

mad

e de

mon

stra

ble

achi

evem

ent o

f mee

ting

or

exce

edin

g w

aste

wat

er q

ualit

y an

d vo

lum

e im

prov

emen

t tar

gets

(nor

mal

ised

)

LEv

EL 3

❒ T

he e

mpl

oym

ent s

ite

has

iden

tifie

d w

heth

er w

aste

wat

er e

fflue

nt q

ualit

y an

d di

scha

rge

volu

me

is s

usta

inab

le

(in re

lati

on to

the

loca

l eco

syst

em a

nd lo

cal r

ecep

tors

lim

its)

❒ T

he s

ite

has

impl

emen

ted

lead

ing

prac

tice

mec

hani

sms

to p

rom

ote

redu

cing

wat

er u

se/c

onsu

mpti

on

❒ W

aste

wat

er e

fflue

nt q

ualit

y im

prov

emen

t and

vol

ume

redu

ction

targ

ets

are

stre

tchi

ng a

nd a

re b

eing

ach

ieve

d

❒ C

omm

unic

ation

s w

ith

appr

opri

ate

stak

ehol

ders

thro

ugh

the

valu

e ch

ain

show

that

was

tew

ater

effl

uent

qua

lity

ha

s be

en d

iscu

ssed

…

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h D

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

impa

ct w

aste

wat

er/e

fflue

nt q

ualit

y

and

disc

harg

e vo

lum

es

❒ K

ey w

orke

rs a

re a

war

e of

was

tew

ater

/effl

uent

per

mit

/lic

ence

requ

irem

ents

, whe

re a

pplic

able

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n w

aste

wat

er/e

fflue

nt is

sues

at i

nduc

tion

, whe

re a

ppro

pria

te

❒ K

ey w

orke

rs w

ith

was

tew

ater

/effl

uent

man

agem

ent r

espo

nsib

iliti

es re

ceiv

e sp

ecifi

c tr

aini

ng a

s re

quir

ed

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

was

tew

ater

/effl

uent

pro

cedu

res,

whe

re a

ppro

pria

te

4.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite p

erm

its

and

licen

ces

that

rela

te to

was

tew

ater

/effl

uent

dis

char

ge a

re a

vaila

ble

and

up to

dat

e

❒ W

here

the

em

ploy

men

t sit

e is

lega

lly re

quir

ed to

hol

d an

d/or

mai

ntai

n do

cum

enta

tion

in re

lati

on to

was

tew

ater

/effl

uent

, the

doc

umen

tati

on is

reta

ined

on

file

for

the

requ

ired

per

iod

of ti

me

❒ P

roce

dure

s th

at a

ddre

ss w

aste

wat

er/e

fflue

nt is

sues

at t

he s

ite a

re m

ade

avai

labl

e to

rele

vant

em

ploy

men

t site

per

sonn

el

❒ T

he e

mpl

oym

ent s

ite

has

iden

tifie

d an

d do

cum

ente

d th

e co

ntam

inan

ts, t

heir

flow

dir

ecti

on a

nd p

oten

tial

impa

ct

asso

ciat

ed w

ith

was

tew

ater

/effl

uent

dis

char

ges

leav

ing

the

site

❒ A

n up

-to-

date

dra

inag

e pl

an o

f the

em

ploy

men

t sit

e is

ava

ilabl

e an

d co

nfirm

s a

gene

ral u

nder

stan

ding

of w

aste

wat

er

flow

dir

ecti

on a

nd d

isch

arge

poi

nts

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• W

orke

rs re

ceiv

e tr

aini

ng o

n w

aste

wat

er/e

fflue

nt is

sues

; and

• Ke

y w

orke

rs re

ceiv

e tr

aini

ng a

pplic

able

to th

eir

was

tew

ater

/effl

uent

man

agem

ent r

oles

and

resp

onsi

biliti

es

LEv

EL 2

❒ R

evie

ws

of w

aste

wat

er q

ualit

y an

d vo

lum

e im

prov

emen

t tar

gets

are

und

erta

ken

and

are

avai

labl

e

❒ R

egul

ar w

aste

wat

er q

ualit

y te

sting

/mon

itor

ing

resu

lts

are

avai

labl

e

❒ T

he e

mpl

oym

ent s

ite

has

mad

e de

mon

stra

ble

achi

evem

ent o

f mee

ting

or

exce

edin

g w

aste

wat

er q

ualit

y an

d vo

lum

e im

prov

emen

t tar

gets

(nor

mal

ised

)

LEv

EL 3

❒ T

he e

mpl

oym

ent s

ite

has

iden

tifie

d w

heth

er w

aste

wat

er e

fflue

nt q

ualit

y an

d di

scha

rge

volu

me

is s

usta

inab

le

(in re

lati

on to

the

loca

l eco

syst

em a

nd lo

cal r

ecep

tors

lim

its)

❒ T

he s

ite

has

impl

emen

ted

lead

ing

prac

tice

mec

hani

sms

to p

rom

ote

redu

cing

wat

er u

se/c

onsu

mpti

on

❒ W

aste

wat

er e

fflue

nt q

ualit

y im

prov

emen

t and

vol

ume

redu

ction

targ

ets

are

stre

tchi

ng a

nd a

re b

eing

ach

ieve

d

❒ C

omm

unic

ation

s w

ith

appr

opri

ate

stak

ehol

ders

thro

ugh

the

valu

e ch

ain

show

that

was

tew

ater

effl

uent

qua

lity

ha

s be

en d

iscu

ssed

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

5. E

mis

sion

s to

air

Empl

oym

ent s

ite

requ

irem

ents

at e

ach

perf

orm

ance

leve

l:

Leve

l 1:

1.

Gen

eral

: Mee

t leg

al re

quire

men

ts (i

nclu

ding

mon

itori

ng)

2.

Gen

eral

: Rel

evan

t, u

p‐to

‐dat

e pe

rmits

are

hel

d an

d co

mpl

ianc

e m

aint

aine

d

3.

Gen

eral

: An

inve

ntor

y of

mai

n po

int s

ourc

e em

issi

ons

to a

ir is

mai

ntai

ned

and

site

has

con

side

red

pote

ntial

for

fugi

tive

emis

sion

s

4.

ozo

ne d

eple

ting

Subs

tanc

es: M

eet l

egal

requ

irem

ents

5.

ozo

ne d

eple

ting

Subs

tanc

es: R

elev

ant,

up‐

to‐d

ate

perm

its a

re h

eld

and

com

plia

nce

mai

ntai

ned

6.

ozo

ne d

eple

ting

Subs

tanc

es: A

n in

vent

ory

of o

zone

‐dep

letin

g su

bsta

nces

(od

S) is

mai

ntai

ned

7.

ozo

ne d

eple

ting

Subs

tanc

es: R

egul

ar m

aint

enan

ce o

f od

S co

ntai

ning

equ

ipm

ent

Leve

l 2:

8.

Gen

eral

: For

mal

sys

tem

s an

d pr

oces

ses

in p

lace

to m

anag

e em

issi

ons

to a

ir a

s pe

r th

e si

te E

MS

9.

Gen

eral

: Reg

ular

air

em

issi

ons

qual

ity te

sting

/mon

itori

ng is

und

erta

ken

to e

nsur

e on

goin

g co

mpl

ianc

e w

ith p

erm

itted

lim

its

10. G

ener

al: A

ir e

mis

sion

s qu

ality

dat

a ar

e m

ade

avai

labl

e to

rele

vant

inte

rnal

and

ext

erna

l sta

keho

lder

s

11. G

ener

al: A

ir q

ualit

y im

prov

emen

t tar

gets

are

revi

ewed

on

an a

nnua

l bas

is to

dri

ve c

ontin

uous

impr

ovem

ent

12. G

ener

al: d

emon

stra

ble

redu

ction

in e

mis

sion

s to

air

(nor

mal

ised

)

13. o

zone

dep

letin

g Su

bsta

nces

: Pro

activ

e o

dS

leak

det

ectio

n an

d m

aint

enan

ce o

f od

S‐co

ntai

ning

equ

ipm

ent

14. o

zone

dep

letin

g Su

bsta

nces

: Tar

gets

in p

lace

to p

hase

‐out

use

of s

peci

fic ty

pes o

f od

S, su

ch a

s CFC

s, h

alon

s, T

CE, C

Cl4

in li

ne w

ith re

cogn

ised

inte

rnati

onal

stan

dard

pra

ctice

15. o

zone

dep

letin

g Su

bsta

nces

: dem

onst

rabl

e re

ducti

on, c

ontr

ol a

nd s

ubsti

tutio

n of

od

S

Leve

l 3:

16. G

ener

al: E

mis

sion

s to

air

are

sus

tain

able

with

in lo

cal e

cosy

stem

lim

its

17. G

ener

al: l

eadi

ng p

racti

ce a

bate

men

t tec

hnol

ogie

s in

pla

ce to

min

imis

e em

issi

ons

to a

ir o

r eff

orts

to re

duce

em

issi

ons

at s

ourc

e

18. G

ener

al: d

emon

stra

ble

achi

evem

ent o

f str

etch

ing

air

qual

ity im

prov

emen

t tar

gets

bey

ond

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

19. G

ener

al: E

ngag

emen

t with

app

ropr

iate

sta

keho

lder

s do

wn

the

valu

e ch

ain

to re

duce

em

issi

ons

to a

ir

20. G

ener

al: A

dditi

onal

and

pro

activ

e em

issi

ons

mon

itori

ng p

erfo

rmed

21. o

zone

dep

letin

g Su

bsta

nces

: Com

plet

e ph

ase‐

out o

f all

od

S (b

eyon

d le

gal r

equi

rem

ents

)

The

follo

win

g ch

ecks

are

inte

nded

as

guid

ance

and

sho

uld

not l

imit

aud

it a

ctivi

ties

.

Is th

is p

erfo

rman

ce a

rea

appl

icab

le to

the

em

ploy

men

t sit

e?If

yes,

ple

ase

com

plet

e th

e fo

llow

ing

tabl

e. If

no,

ple

ase

proc

eed

to th

e ne

xt P

erfo

rman

ce A

rea.

yes

No

EvID

ENCE

GAT

hER

ING

ON

Em

ISSI

ON

S TO

AIR

no

TeS

5.1

Phys

ical

em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ B

ased

on

obse

rvati

on, s

ite

has

iden

tifie

d po

int a

nd fu

giti

ve s

ourc

es o

f em

issi

ons

to a

ir

❒ B

ased

on

obse

rvati

on, n

o ab

norm

al e

mis

sion

s to

air

are

dis

cern

ible

acr

oss

the

site

and

at t

he s

ite

peri

met

er

❒ B

ased

on

obse

rvati

on, s

ite

has

iden

tifie

d th

at e

quip

men

t pre

sent

on-

site

that

has

the

pote

ntial

to c

onta

in o

zone

-de

pleti

ng s

ubst

ance

s (e

.g. c

hille

rs, a

ir c

ondi

tion

ing

unit

s, e

tc.)

❒ P

roce

dure

s es

tabl

ishe

d to

man

age

emis

sion

s to

air

and

ozo

ne-d

eple

ting

sub

stan

ces

are

bein

g fo

llow

ed

(e.g

. man

agem

ent

of e

mis

sion

sou

rces

, equ

ipm

ent,

acti

viti

es e

tc.)

❒ E

mis

sion

s to

air

aba

tem

ent e

quip

men

t has

bee

n ch

ecke

d to

ens

ure

that

it is

in a

ppro

pria

te w

orki

ng o

rder

❒ E

quip

men

t lik

ely

to c

onta

in o

zone

-dep

letin

g su

bsta

nces

has

bee

n ch

ecke

d to

ens

ure

that

it is

in a

ppro

pria

te w

orki

ng o

rder

5.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to e

mis

sion

s to

air

and

ozo

ne-d

eple

ting

sub

stan

ces

have

bee

n es

tabl

ishe

d

and

impl

emen

ted

(e.g

. wri

tten

pol

icie

s an

d pr

oced

ures

, em

ploy

ee h

andb

ook,

indu

ction

trai

ning

, etc

.)

❒ F

orm

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

emis

sion

s to

air

as

per

the

site

Em

S


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

5. E

mis

sion

s to

air

Empl

oym

ent s

ite

requ

irem

ents

at e

ach

perf

orm

ance

leve

l:

Leve

l 1:

1.

Gen

eral

: Mee

t leg

al re

quire

men

ts (i

nclu

ding

mon

itori

ng)

2.

Gen

eral

: Rel

evan

t, u

p‐to

‐dat

e pe

rmits

are

hel

d an

d co

mpl

ianc

e m

aint

aine

d

3.

Gen

eral

: An

inve

ntor

y of

mai

n po

int s

ourc

e em

issi

ons

to a

ir is

mai

ntai

ned

and

site

has

con

side

red

pote

ntial

for

fugi

tive

emis

sion

s

4.

ozo

ne d

eple

ting

Subs

tanc

es: M

eet l

egal

requ

irem

ents

5.

ozo

ne d

eple

ting

Subs

tanc

es: R

elev

ant,

up‐

to‐d

ate

perm

its a

re h

eld

and

com

plia

nce

mai

ntai

ned

6.

ozo

ne d

eple

ting

Subs

tanc

es: A

n in

vent

ory

of o

zone

‐dep

letin

g su

bsta

nces

(od

S) is

mai

ntai

ned

7.

ozo

ne d

eple

ting

Subs

tanc

es: R

egul

ar m

aint

enan

ce o

f od

S co

ntai

ning

equ

ipm

ent

Leve

l 2:

8.

Gen

eral

: For

mal

sys

tem

s an

d pr

oces

ses

in p

lace

to m

anag

e em

issi

ons

to a

ir a

s pe

r th

e si

te E

MS

9.

Gen

eral

: Reg

ular

air

em

issi

ons

qual

ity te

sting

/mon

itori

ng is

und

erta

ken

to e

nsur

e on

goin

g co

mpl

ianc

e w

ith p

erm

itted

lim

its

10. G

ener

al: A

ir e

mis

sion

s qu

ality

dat

a ar

e m

ade

avai

labl

e to

rele

vant

inte

rnal

and

ext

erna

l sta

keho

lder

s

11. G

ener

al: A

ir q

ualit

y im

prov

emen

t tar

gets

are

revi

ewed

on

an a

nnua

l bas

is to

dri

ve c

ontin

uous

impr

ovem

ent

12. G

ener

al: d

emon

stra

ble

redu

ction

in e

mis

sion

s to

air

(nor

mal

ised

)

13. o

zone

dep

letin

g Su

bsta

nces

: Pro

activ

e o

dS

leak

det

ectio

n an

d m

aint

enan

ce o

f od

S‐co

ntai

ning

equ

ipm

ent

14. o

zone

dep

letin

g Su

bsta

nces

: Tar

gets

in p

lace

to p

hase

‐out

use

of s

peci

fic ty

pes o

f od

S, su

ch a

s CFC

s, h

alon

s, T

CE, C

Cl4

in li

ne w

ith re

cogn

ised

inte

rnati

onal

stan

dard

pra

ctice

15. o

zone

dep

letin

g Su

bsta

nces

: dem

onst

rabl

e re

ducti

on, c

ontr

ol a

nd s

ubsti

tutio

n of

od

S

Leve

l 3:

16. G

ener

al: E

mis

sion

s to

air

are

sus

tain

able

with

in lo

cal e

cosy

stem

lim

its

17. G

ener

al: l

eadi

ng p

racti

ce a

bate

men

t tec

hnol

ogie

s in

pla

ce to

min

imis

e em

issi

ons

to a

ir o

r eff

orts

to re

duce

em

issi

ons

at s

ourc

e

18. G

ener

al: d

emon

stra

ble

achi

evem

ent o

f str

etch

ing

air

qual

ity im

prov

emen

t tar

gets

bey

ond

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

19. G

ener

al: E

ngag

emen

t with

app

ropr

iate

sta

keho

lder

s do

wn

the

valu

e ch

ain

to re

duce

em

issi

ons

to a

ir

20. G

ener

al: A

dditi

onal

and

pro

activ

e em

issi

ons

mon

itori

ng p

erfo

rmed

21. o

zone

dep

letin

g Su

bsta

nces

: Com

plet

e ph

ase‐

out o

f all

od

S (b

eyon

d le

gal r

equi

rem

ents

)

The

follo

win

g ch

ecks

are

inte

nded

as

guid

ance

and

sho

uld

not l

imit

aud

it a

ctivi

ties

.

Is th

is p

erfo

rman

ce a

rea

appl

icab

le to

the

em

ploy

men

t sit

e?If

yes,

ple

ase

com

plet

e th

e fo

llow

ing

tabl

e. If

no,

ple

ase

proc

eed

to th

e ne

xt P

erfo

rman

ce A

rea.

yes

No

EvID

ENCE

GAT

hER

ING

ON

Em

ISSI

ON

S TO

AIR

no

TeS

5.1

Phys

ical

em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ B

ased

on

obse

rvati

on, s

ite

has

iden

tifie

d po

int a

nd fu

giti

ve s

ourc

es o

f em

issi

ons

to a

ir

❒ B

ased

on

obse

rvati

on, n

o ab

norm

al e

mis

sion

s to

air

are

dis

cern

ible

acr

oss

the

site

and

at t

he s

ite

peri

met

er

❒ B

ased

on

obse

rvati

on, s

ite

has

iden

tifie

d th

at e

quip

men

t pre

sent

on-

site

that

has

the

pote

ntial

to c

onta

in o

zone

-de

pleti

ng s

ubst

ance

s (e

.g. c

hille

rs, a

ir c

ondi

tion

ing

unit

s, e

tc.)

❒ P

roce

dure

s es

tabl

ishe

d to

man

age

emis

sion

s to

air

and

ozo

ne-d

eple

ting

sub

stan

ces

are

bein

g fo

llow

ed

(e.g

. man

agem

ent

of e

mis

sion

sou

rces

, equ

ipm

ent,

acti

viti

es e

tc.)

❒ E

mis

sion

s to

air

aba

tem

ent e

quip

men

t has

bee

n ch

ecke

d to

ens

ure

that

it is

in a

ppro

pria

te w

orki

ng o

rder

❒ E

quip

men

t lik

ely

to c

onta

in o

zone

-dep

letin

g su

bsta

nces

has

bee

n ch

ecke

d to

ens

ure

that

it is

in a

ppro

pria

te w

orki

ng o

rder

5.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to e

mis

sion

s to

air

and

ozo

ne-d

eple

ting

sub

stan

ces

have

bee

n es

tabl

ishe

d

and

impl

emen

ted

(e.g

. wri

tten

pol

icie

s an

d pr

oced

ures

, em

ploy

ee h

andb

ook,

indu

ction

trai

ning

, etc

.)

❒ F

orm

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

emis

sion

s to

air

as

per

the

site

Em

S

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

5.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s (in

clud

ing

mon

itor

ing

requ

irem

ents

) con

cern

ing

emis

sion

s to

air

co

mpl

ianc

e

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s (in

clud

ing

mon

itor

ing

requ

irem

ents

) con

cern

ing

ozon

e-de

pleti

ng

subs

tanc

es c

ompl

ianc

e

❒ P

olic

ies

and

proc

esse

s re

gard

ing

emis

sion

s to

air

and

ozo

ne-d

eple

ting

sub

stan

ces

are

effec

tive

ly c

omm

unic

ated

to

wor

kers

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

that

com

plia

nce

wit

h ap

plic

able

law

s an

d re

gula

tion

s

is m

aint

aine

d

LEv

EL 2

❒ m

anag

emen

t acti

vely

pro

mot

es o

r en

dors

es p

roac

tive

em

issi

ons

to a

ir m

anag

emen

t

❒ m

anag

emen

t acti

vely

pro

mot

es o

r en

dors

es p

roac

tive

OD

S m

anag

emen

t (in

clud

ing

leak

det

ecti

on a

nd m

aint

enan

ce)

❒ m

anag

emen

t are

pro

acti

vely

dri

ving

con

tinu

ous

impr

ovem

ent t

hrou

gh re

view

ing

air

qual

ity

impr

ovem

ent t

arge

ts

on a

n an

nual

bas

is

❒ T

he e

mpl

oym

ent s

ite e

nsur

es a

ir e

mis

sion

s qu

ality

dat

a is

mad

e av

aila

ble

to re

leva

nt in

tern

al a

nd e

xter

nal s

take

hold

ers

❒ T

he e

mpl

oym

ent s

ite

dem

onst

rate

s, w

here

app

ropr

iate

, a re

ducti

on in

em

issi

ons

to a

ir

❒ T

he e

mpl

oym

ent s

ite

dem

onst

rate

s, w

here

app

ropr

iate

, red

ucti

on, c

ontr

ol a

nd s

ubsti

tuti

on o

f OD

S ta

rget

s

LEv

EL 3

❒ m

anag

emen

t und

erst

ands

the

conc

ept o

f sus

tain

able

em

issi

ons

to a

ir w

ithi

n th

e lo

cal e

cosy

stem

lim

its

❒ m

anag

emen

t und

erst

and

wha

t re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

acti

ce is

in re

lati

on to

setti

ng a

ir q

ualit

y im

prov

emen

t tar

gets

for

thei

r se

ctor

/geo

grap

hy a

nd h

ave

set s

ite

targ

ets

that

exc

eed

thos

e pr

acti

ces

❒ m

anag

emen

t und

erst

and

lead

ing

prac

tice

aba

tem

ent t

echn

olog

ies

to m

inim

ise

emis

sion

s to

air

or

effor

ts to

redu

ce

emis

sion

s at

sou

rce

and

this

has

bee

n im

plem

ente

d at

the

site

❒ T

he s

ite

acti

vely

eng

ages

wit

h ap

prop

riat

e st

akeh

olde

rs d

own

the

valu

e ch

ain

to re

duce

em

issi

ons

to a

ir

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h d

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

impa

ct e

mis

sion

s to

air

❒ K

ey w

orke

rs a

re a

war

e of

em

issi

ons

to a

ir an

d oz

one-

depl

eting

sub

stan

ces

perm

it/lic

ence

requ

irem

ents

, whe

re a

pplic

able

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n em

issi

ons

to a

ir a

nd o

zone

-dep

leti

ng s

ubst

ance

s is

sues

at i

nduc

tion

, whe

re a

ppro

pria

te

❒ K

ey w

orke

rs w

ith

emis

sion

s to

air

and

ozo

ne-d

eple

ting

sub

stan

ces

man

agem

ent r

espo

nsib

iliti

es re

ceiv

e sp

ecifi

c tr

aini

ng a

s re

quir

ed

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

em

issi

ons

to a

ir a

nd o

zone

-dep

leti

ng s

ubst

ance

s pr

oced

ures

, whe

re a

ppro

pria

te

5.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite

perm

its

and

licen

ces

that

rela

te to

em

issi

ons

to a

ir a

re a

vaila

ble

and

up to

dat

e

❒ R

elev

ant e

mpl

oym

ent s

ite

perm

its

and

licen

ces

that

rela

te to

ozo

ne-d

eple

ting

sub

stan

ces

are

avai

labl

e an

d up

to d

ate

❒ W

here

the

em

ploy

men

t sit

e is

lega

lly re

quir

ed to

hol

d an

d/or

mai

ntai

n do

cum

enta

tion

in re

lati

on to

em

issi

ons

to a

ir

and

ozon

e-de

pleti

ng s

ubst

ance

s, th

ese

are

held

on

file

for

the

requ

ired

per

iod

of ti

me

❒ P

roce

dure

s th

at a

ddre

ss e

mis

sion

s to

air

and

ozo

ne-d

eple

ting

sub

stan

ces

at th

e si

te a

re m

ade

avai

labl

e to

rele

vant

em

ploy

men

t sit

e pe

rson

nel

❒ A

n in

vent

ory

of m

ain

poin

t sou

rces

em

issi

ons

to a

ir is

mai

ntai

ned.

The

sit

e ha

s al

so c

onsi

dere

d th

e po

tenti

al fo

r fu

giti

ve e

mis

sion

s

❒ A

n in

vent

ory

of o

zone

-dep

leti

ng s

ubst

ance

s (O

DS)

is m

aint

aine

d

❒ R

egul

ar m

aint

enan

ce re

cord

s ar

e av

aila

ble

for

the

regu

lar

mai

nten

ance

of O

DS

cont

aini

ng e

quip

men

t

❒ C

ompe

tenc

y re

cord

s of

ext

erna

l OD

S se

rvic

ing

cont

ract

ors

are

held

on

file,

whe

re re

quir

ed

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• w

orke

rs re

ceiv

e tr

aini

ng o

n em

issi

ons

to a

ir a

nd O

DS

issu

es; a

nd•

key

wor

kers

rece

ive

trai

ning

app

licab

le to

thei

r em

issi

ons

to a

ir a

nd O

DS

role

s an

d re

spon

sibi

lities

…

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

5.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s (in

clud

ing

mon

itor

ing

requ

irem

ents

) con

cern

ing

emis

sion

s to

air

co

mpl

ianc

e

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s (in

clud

ing

mon

itor

ing

requ

irem

ents

) con

cern

ing

ozon

e-de

pleti

ng

subs

tanc

es c

ompl

ianc

e

❒ P

olic

ies

and

proc

esse

s re

gard

ing

emis

sion

s to

air

and

ozo

ne-d

eple

ting

sub

stan

ces

are

effec

tive

ly c

omm

unic

ated

to

wor

kers

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

that

com

plia

nce

wit

h ap

plic

able

law

s an

d re

gula

tion

s

is m

aint

aine

d

LEv

EL 2

❒ m

anag

emen

t acti

vely

pro

mot

es o

r en

dors

es p

roac

tive

em

issi

ons

to a

ir m

anag

emen

t

❒ m

anag

emen

t acti

vely

pro

mot

es o

r en

dors

es p

roac

tive

OD

S m

anag

emen

t (in

clud

ing

leak

det

ecti

on a

nd m

aint

enan

ce)

❒ m

anag

emen

t are

pro

acti

vely

dri

ving

con

tinu

ous

impr

ovem

ent t

hrou

gh re

view

ing

air

qual

ity

impr

ovem

ent t

arge

ts

on a

n an

nual

bas

is

❒ T

he e

mpl

oym

ent s

ite e

nsur

es a

ir e

mis

sion

s qu

ality

dat

a is

mad

e av

aila

ble

to re

leva

nt in

tern

al a

nd e

xter

nal s

take

hold

ers

❒ T

he e

mpl

oym

ent s

ite

dem

onst

rate

s, w

here

app

ropr

iate

, a re

ducti

on in

em

issi

ons

to a

ir

❒ T

he e

mpl

oym

ent s

ite

dem

onst

rate

s, w

here

app

ropr

iate

, red

ucti

on, c

ontr

ol a

nd s

ubsti

tuti

on o

f OD

S ta

rget

s

LEv

EL 3

❒ m

anag

emen

t und

erst

ands

the

conc

ept o

f sus

tain

able

em

issi

ons

to a

ir w

ithi

n th

e lo

cal e

cosy

stem

lim

its

❒ m

anag

emen

t und

erst

and

wha

t re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

acti

ce is

in re

lati

on to

setti

ng a

ir q

ualit

y im

prov

emen

t tar

gets

for

thei

r se

ctor

/geo

grap

hy a

nd h

ave

set s

ite

targ

ets

that

exc

eed

thos

e pr

acti

ces

❒ m

anag

emen

t und

erst

and

lead

ing

prac

tice

aba

tem

ent t

echn

olog

ies

to m

inim

ise

emis

sion

s to

air

or

effor

ts to

redu

ce

emis

sion

s at

sou

rce

and

this

has

bee

n im

plem

ente

d at

the

site

❒ T

he s

ite

acti

vely

eng

ages

wit

h ap

prop

riat

e st

akeh

olde

rs d

own

the

valu

e ch

ain

to re

duce

em

issi

ons

to a

ir

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h d

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

impa

ct e

mis

sion

s to

air

❒ K

ey w

orke

rs a

re a

war

e of

em

issi

ons

to a

ir an

d oz

one-

depl

eting

sub

stan

ces

perm

it/lic

ence

requ

irem

ents

, whe

re a

pplic

able

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n em

issi

ons

to a

ir a

nd o

zone

-dep

leti

ng s

ubst

ance

s is

sues

at i

nduc

tion

, whe

re a

ppro

pria

te

❒ K

ey w

orke

rs w

ith

emis

sion

s to

air

and

ozo

ne-d

eple

ting

sub

stan

ces

man

agem

ent r

espo

nsib

iliti

es re

ceiv

e sp

ecifi

c tr

aini

ng a

s re

quir

ed

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

em

issi

ons

to a

ir a

nd o

zone

-dep

leti

ng s

ubst

ance

s pr

oced

ures

, whe

re a

ppro

pria

te

5.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite

perm

its

and

licen

ces

that

rela

te to

em

issi

ons

to a

ir a

re a

vaila

ble

and

up to

dat

e

❒ R

elev

ant e

mpl

oym

ent s

ite

perm

its

and

licen

ces

that

rela

te to

ozo

ne-d

eple

ting

sub

stan

ces

are

avai

labl

e an

d up

to d

ate

❒ W

here

the

em

ploy

men

t sit

e is

lega

lly re

quir

ed to

hol

d an

d/or

mai

ntai

n do

cum

enta

tion

in re

lati

on to

em

issi

ons

to a

ir

and

ozon

e-de

pleti

ng s

ubst

ance

s, th

ese

are

held

on

file

for

the

requ

ired

per

iod

of ti

me

❒ P

roce

dure

s th

at a

ddre

ss e

mis

sion

s to

air

and

ozo

ne-d

eple

ting

sub

stan

ces

at th

e si

te a

re m

ade

avai

labl

e to

rele

vant

em

ploy

men

t sit

e pe

rson

nel

❒ A

n in

vent

ory

of m

ain

poin

t sou

rces

em

issi

ons

to a

ir is

mai

ntai

ned.

The

sit

e ha

s al

so c

onsi

dere

d th

e po

tenti

al fo

r fu

giti

ve e

mis

sion

s

❒ A

n in

vent

ory

of o

zone

-dep

leti

ng s

ubst

ance

s (O

DS)

is m

aint

aine

d

❒ R

egul

ar m

aint

enan

ce re

cord

s ar

e av

aila

ble

for

the

regu

lar

mai

nten

ance

of O

DS

cont

aini

ng e

quip

men

t

❒ C

ompe

tenc

y re

cord

s of

ext

erna

l OD

S se

rvic

ing

cont

ract

ors

are

held

on

file,

whe

re re

quir

ed

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• w

orke

rs re

ceiv

e tr

aini

ng o

n em

issi

ons

to a

ir a

nd O

DS

issu

es; a

nd•

key

wor

kers

rece

ive

trai

ning

app

licab

le to

thei

r em

issi

ons

to a

ir a

nd O

DS

role

s an

d re

spon

sibi

lities

…

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

LEv

EL 2

❒ R

evie

ws

of a

ir q

ualit

y im

prov

emen

t tar

gets

are

und

erta

ken

and

are

avai

labl

e

❒ R

egul

ar a

ir e

mis

sion

s an

d qu

alit

y te

sting

/mon

itor

ing

resu

lts

are

avai

labl

e

❒ T

he e

mpl

oym

ent s

ite

has

dem

onst

rate

d pr

oacti

ve O

DS

leak

det

ecti

on a

nd m

aint

enan

ce o

f OD

S-co

ntai

ning

equ

ipm

ent,

ab

ove

lega

l req

uire

men

ts

❒ T

arge

ts a

re in

pla

ce to

pha

se-o

ut u

se o

f spe

cific

type

s of

OD

S, s

uch

as C

FCs,

hal

ons,

TCE

, CCl

4 in

line

wit

h re

cogn

ised

in

tern

ation

al s

tand

ard

prac

tice

❒ T

he e

mpl

oym

ent s

ite

has

mad

e de

mon

stra

ble

achi

evem

ent o

f red

ucin

g, c

ontr

ollin

g an

d su

bsti

tuti

ng O

DSs

❒ T

he e

mpl

oym

ent s

ite

has

mad

e de

mon

stra

ble

achi

evem

ent o

f mee

ting

or

exce

edin

g ai

r qu

alit

y im

prov

emen

t tar

gets

(n

orm

alis

ed)

LEv

EL 3

❒ T

he e

mpl

oym

ent s

ite

has

iden

tifie

d w

heth

er e

mis

sion

s to

air

are

sus

tain

able

(in

rela

tion

to th

e lo

cal e

cosy

stem

lim

its)

❒ T

he e

mpl

oym

ent s

ite

has

impl

emen

ted

lead

ing

prac

tice

aba

tem

ent t

echn

olog

ies

to m

inim

ise

emis

sion

s to

air

or

eff

orts

to re

duce

em

issi

ons

at s

ourc

e

❒ A

ir q

ualit

y im

prov

emen

t tar

gets

are

str

etch

ing

and

are

bein

g ac

hiev

ed

❒ C

omm

unic

ation

s w

ith

appr

opri

ate

stak

ehol

ders

thro

ugh

the

valu

e ch

ain

show

that

redu

cing

em

issi

ons

to a

ir h

as b

een

disc

usse

d

❒ T

he e

mpl

oym

ent s

ite

has

perf

orm

ed a

dditi

onal

and

pro

acti

ve e

mis

sion

s m

onit

orin

g be

yond

lega

l req

uire

men

ts

❒ T

he e

mpl

oym

ent s

ite

has

docu

men

ted

the

com

plet

e ph

ase-

out o

f all

OD

S (b

eyon

d le

gal r

equi

rem

ents

)

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

6. W

aste

man

agem

ent

Empl

oym

ent s

ite

requ

irem

ents

at e

ach

perf

orm

ance

leve

l:

Leve

l 1:

1.

Mee

t leg

al re

quire

men

ts

2.

Rele

vant

, up‐

to‐d

ate

perm

its a

re h

eld

and

com

plia

nce

mai

ntai

ned

3.

Regu

lar

chec

ks th

at w

aste

con

trac

tors

hav

e ap

prop

riat

e pe

rmits

are

und

erta

ken

4.

haz

ardo

us a

nd n

on‐h

azar

dous

was

te is

seg

rega

ted

and

empl

oyee

aw

aren

ess

and

trai

ning

pro

vide

d on

han

dlin

g an

d se

greg

ation

of w

aste

s

5.

Inve

ntor

y/m

anag

emen

t/st

orag

e/tr

ansp

orta

tion

proc

edur

es fo

r ha

zard

ous

was

te s

trea

ms

are

in p

lace

6.

Reco

rds

of o

n‐si

te a

nd o

ff‐si

te w

aste

dis

posa

l/tr

eatm

ent m

aint

aine

d

7.

no

on‐s

ite w

aste

bur

ning

/or

unco

ntro

lled

was

te la

ndfil

ling

is u

nder

take

n

Leve

l 2:

8.

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

was

te g

ener

ation

, sto

rage

, tra

nspo

rtati

on a

nd d

ispo

sal a

s pe

r th

e si

te E

MS

incl

udin

g w

aste

min

imis

ation

aud

it

and

con

side

ratio

n of

was

te h

iera

rchy

pri

ncip

les

9.

Eval

uatio

n of

was

te m

anag

emen

t con

trac

tors

(sui

tabi

lity,

dis

posa

l/tr

eatm

ent m

etho

ds)

10. E

ngag

emen

t with

sup

plie

rs to

iden

tify

was

te a

void

ance

/red

uctio

n/re

cycl

ing/

reus

e op

port

uniti

es

11. S

egre

gatio

n of

was

te s

trea

ms

in li

ne w

ith re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

actic

e

12. M

onito

ring

and

mea

sure

men

t of w

aste

gen

erat

ed a

nd re

cycl

ed w

ith d

ata

avai

labl

e to

rele

vant

inte

rnal

and

ext

erna

l sta

keho

lder

s

13. W

aste

redu

ction

and

recy

clin

g ta

rget

s ar

e re

view

ed a

t lea

st o

n an

ann

ual b

asis

to d

rive

con

tinuo

us im

prov

emen

t

14. d

emon

stra

ble

was

te re

ducti

on (n

orm

alis

ed)

Leve

l 3:

15. W

aste

dis

posa

l met

hod

and

volu

me

is s

usta

inab

le w

ithin

loca

l ope

ratin

g en

viro

nmen

t and

ava

ilabi

lity

of w

aste

trea

tmen

t and

dis

posa

l fac

ilitie

s

16. l

eadi

ng p

racti

ces

in p

lace

to m

inim

ise

reso

urce

/virg

in m

ater

ial u

se a

nd a

chie

ve w

aste

redu

ction

/rec

yclin

g/en

ergy

from

was

te

17. d

emon

stra

ble

achi

evem

ent o

f str

etch

ing

was

te re

ducti

on/r

ecyc

ling

targ

ets

beyo

nd re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

actic

e

18. E

ngag

emen

t with

app

ropr

iate

sta

keho

lder

s do

wn

the

valu

e ch

ain

to id

entif

y w

aste

avo

idan

ce/r

educ

tion/

recy

clin

g/re

use/

ener

gy fr

om w

aste

mea

sure

s

The

follo

win

g ch

ecks

are

inte

nded

as

guid

ance

and

sho

uld

not l

imit

aud

it a

ctivi

ties

.

Is th

is p

erfo

rman

ce a

rea

appl

icab

le to

the

em

ploy

men

t sit

e?If

yes,

ple

ase

com

plet

e th

e fo

llow

ing

tabl

e. If

no,

ple

ase

proc

eed

to th

e ne

xt P

erfo

rman

ce A

rea.

yes

No

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

EvID

ENCE

GAT

hER

ING

ON

WA

STE

mA

NA

GEm

ENT

no

TeS

6.1

Phys

ical

em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ S

egre

gati

on a

nd s

tora

ge p

racti

ces

are

in li

ne w

ith

lega

l req

uire

men

ts

❒ W

aste

s ar

e be

ing

segr

egat

ed a

ccor

ding

to h

azar

dous

and

non

-haz

ardo

us c

hara

cter

isti

cs

❒ W

aste

s ar

e be

ing

stor

ed in

con

tain

ers

appl

icab

le to

thei

r co

nten

ts

❒ W

aste

con

tain

ers

are

in g

ood

cond

ition

❒ C

onta

iner

s an

d/or

sto

rage

are

as lo

cate

d ex

tern

ally

are

cov

ered

to p

reve

nt ra

in w

ater

ingr

ess

❒ A

ll co

ntai

ners

of w

aste

are

labe

lled

wit

h th

eir

cont

ents

❒ C

onta

iner

s of

haz

ardo

us w

aste

are

labe

lled

wit

h th

eir

cont

ents

and

haz

ard

char

acte

risti

cs

❒ S

urfa

ces

of w

aste

sto

rage

are

as a

re in

goo

d co

nditi

on to

pre

vent

spi

llage

or

leak

ing

of w

aste

mat

eria

ls

❒ U

ncon

trol

led

burn

ing

or u

ncon

trol

led

land

fillin

g ac

tivi

ties

not

und

erta

ken

on-s

ite

❒ W

aste

mat

eria

ls re

port

ed a

s be

ing

recy

cled

are

bei

ng id

enti

fied

and

sepa

rate

d fo

r on

-sit

e or

off

-sit

e re

cycl

ing

❒ S

pill

resp

onse

mat

eria

ls/e

quip

men

t (e.

g. g

ranu

les

etc.

) are

ava

ilabl

e in

clo

se p

roxi

mit

y to

con

tain

ers

of li

quid

was

tes

❒ R

evie

w a

num

ber

of w

aste

man

agem

ent a

ctivi

ties

to c

heck

whe

ther

sit

e w

aste

man

agem

ent p

roce

dure

s ar

e be

ing

impl

emen

ted

❒ T

ry to

iden

tify

the

phy

sica

l loc

ation

whe

re w

aste

doc

umen

tati

on is

bei

ng s

tore

d

❒ C

heck

for

evid

ence

of:

• co

mm

unic

ation

s/m

eeti

ng m

inut

es re

gard

ing

the

man

agem

ent o

f was

te a

re d

ispl

ayed

for

all w

orke

rs to

see

(e

.g. o

n no

tice

boa

rds)

•

was

te m

inim

isati

on p

rogr

amm

es

6.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es re

gard

ing

was

te m

anag

emen

t is

in p

lace

(e.g

. wri

tten

pol

icie

s an

d pr

oced

ures

, em

ploy

ee

hand

book

, ind

ucti

on t

rain

ing,

etc

.)

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce to

man

age

was

te g

ener

ation

, sto

rage

, tra

nspo

rtati

on, a

nd d

ispo

sal

as p

er t

he s

ite

EmS

6.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s co

ncer

ning

was

te m

anag

emen

t and

com

plia

nce

❒ P

olic

ies

and

proc

edur

es re

gard

ing

was

te m

anag

emen

t is

effec

tive

ly c

omm

unic

ated

to w

orke

rs

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

com

plia

nce

wit

h ap

plic

able

law

s an

d re

gula

tion

s

is m

aint

aine

d

❒ m

anag

emen

t hav

e no

min

ated

key

wor

kers

to u

nder

take

regu

lar

chec

ks o

n w

aste

con

trac

tor

perm

its/

licen

ces

LEv

EL 2

❒ A

nom

inat

ed p

erso

n ha

s ev

alua

ted

the

suit

abili

ty a

nd d

ispo

sal/

trea

tmen

t met

hods

of w

aste

man

agem

ent c

ontr

acto

rs

❒ T

he e

mpl

oym

ent s

ite

enga

ges

wit

h su

pplie

rs to

iden

tify

was

te a

void

ance

/rec

yclin

g/re

use

oppo

rtun

ities

❒ m

anag

emen

t fac

ilita

te a

nnua

l rev

iew

s of

was

te re

ducti

on a

nd re

cycl

ing

targ

ets

…

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

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dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

EvID

ENCE

GAT

hER

ING

ON

WA

STE

mA

NA

GEm

ENT

no

TeS

6.1

Phys

ical

em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ S

egre

gati

on a

nd s

tora

ge p

racti

ces

are

in li

ne w

ith

lega

l req

uire

men

ts

❒ W

aste

s ar

e be

ing

segr

egat

ed a

ccor

ding

to h

azar

dous

and

non

-haz

ardo

us c

hara

cter

isti

cs

❒ W

aste

s ar

e be

ing

stor

ed in

con

tain

ers

appl

icab

le to

thei

r co

nten

ts

❒ W

aste

con

tain

ers

are

in g

ood

cond

ition

❒ C

onta

iner

s an

d/or

sto

rage

are

as lo

cate

d ex

tern

ally

are

cov

ered

to p

reve

nt ra

in w

ater

ingr

ess

❒ A

ll co

ntai

ners

of w

aste

are

labe

lled

wit

h th

eir

cont

ents

❒ C

onta

iner

s of

haz

ardo

us w

aste

are

labe

lled

wit

h th

eir

cont

ents

and

haz

ard

char

acte

risti

cs

❒ S

urfa

ces

of w

aste

sto

rage

are

as a

re in

goo

d co

nditi

on to

pre

vent

spi

llage

or

leak

ing

of w

aste

mat

eria

ls

❒ U

ncon

trol

led

burn

ing

or u

ncon

trol

led

land

fillin

g ac

tivi

ties

not

und

erta

ken

on-s

ite

❒ W

aste

mat

eria

ls re

port

ed a

s be

ing

recy

cled

are

bei

ng id

enti

fied

and

sepa

rate

d fo

r on

-sit

e or

off

-sit

e re

cycl

ing

❒ S

pill

resp

onse

mat

eria

ls/e

quip

men

t (e.

g. g

ranu

les

etc.

) are

ava

ilabl

e in

clo

se p

roxi

mit

y to

con

tain

ers

of li

quid

was

tes

❒ R

evie

w a

num

ber

of w

aste

man

agem

ent a

ctivi

ties

to c

heck

whe

ther

sit

e w

aste

man

agem

ent p

roce

dure

s ar

e be

ing

impl

emen

ted

❒ T

ry to

iden

tify

the

phy

sica

l loc

ation

whe

re w

aste

doc

umen

tati

on is

bei

ng s

tore

d

❒ C

heck

for

evid

ence

of:

• co

mm

unic

ation

s/m

eeti

ng m

inut

es re

gard

ing

the

man

agem

ent o

f was

te a

re d

ispl

ayed

for

all w

orke

rs to

see

(e

.g. o

n no

tice

boa

rds)

•

was

te m

inim

isati

on p

rogr

amm

es

6.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es re

gard

ing

was

te m

anag

emen

t is

in p

lace

(e.g

. wri

tten

pol

icie

s an

d pr

oced

ures

, em

ploy

ee

hand

book

, ind

ucti

on t

rain

ing,

etc

.)

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce to

man

age

was

te g

ener

ation

, sto

rage

, tra

nspo

rtati

on, a

nd d

ispo

sal

as p

er t

he s

ite

EmS

6.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s co

ncer

ning

was

te m

anag

emen

t and

com

plia

nce

❒ P

olic

ies

and

proc

edur

es re

gard

ing

was

te m

anag

emen

t is

effec

tive

ly c

omm

unic

ated

to w

orke

rs

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

com

plia

nce

wit

h ap

plic

able

law

s an

d re

gula

tion

s

is m

aint

aine

d

❒ m

anag

emen

t hav

e no

min

ated

key

wor

kers

to u

nder

take

regu

lar

chec

ks o

n w

aste

con

trac

tor

perm

its/

licen

ces

LEv

EL 2

❒ A

nom

inat

ed p

erso

n ha

s ev

alua

ted

the

suit

abili

ty a

nd d

ispo

sal/

trea

tmen

t met

hods

of w

aste

man

agem

ent c

ontr

acto

rs

❒ T

he e

mpl

oym

ent s

ite

enga

ges

wit

h su

pplie

rs to

iden

tify

was

te a

void

ance

/rec

yclin

g/re

use

oppo

rtun

ities

❒ m

anag

emen

t fac

ilita

te a

nnua

l rev

iew

s of

was

te re

ducti

on a

nd re

cycl

ing

targ

ets

…

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

LEv

EL 3

❒ m

anag

emen

t und

erst

and

the

conc

ept

of s

usta

inab

le w

aste

dis

posa

l met

hods

and

whe

ther

cur

rent

sit

e w

aste

ge

nera

tion

is s

usta

inab

le

❒ m

anag

emen

t is

acti

vely

pro

moti

ng o

r en

dors

ing

site

impl

emen

tati

on o

f lea

ding

pra

ctice

s in

rela

tion

to, f

or e

xam

ple,

m

inim

isin

g vi

rgin

mat

eria

l use

and

was

te g

ener

ation

and

incr

easi

ng th

e pe

rcen

tage

of s

ite

was

te m

ater

ials

that

are

re

cycl

ed a

nd/o

r th

e ge

nera

tion

of e

nerg

y fr

om w

aste

❒ m

anag

emen

t und

erst

and

wha

t re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

acti

ce is

in re

lati

on to

was

te re

ducti

on/r

ecyc

ling

for

thei

r se

ctor

/geo

grap

hy a

nd h

ave

set s

ite

targ

ets

that

exc

eed

thos

e pr

acti

ces

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h D

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ K

ey w

orke

rs a

re a

war

e of

was

te m

anag

emen

t per

mit

/lic

ence

requ

irem

ents

, whe

re a

pplic

able

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n w

aste

seg

rega

tion

and

sto

rage

requ

irem

ents

at i

nduc

tion

❒ K

ey w

orke

rs w

ith

was

te m

anag

emen

t res

pons

ibili

ties

rece

ive

spec

ific

trai

ning

on

was

te m

anag

emen

t acti

viti

es

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

haz

ardo

us w

aste

inve

ntor

y/m

anag

emen

t/st

orag

e/di

spos

al p

roce

dure

s

6.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite

was

te p

erm

its

and

licen

ces

are

avai

labl

e

❒ D

ocum

enta

tion

of o

ff-s

ite

was

te d

ispo

sal/

trea

tmen

t is

com

plet

ed a

ccur

atel

y an

d co

ntai

ns a

ll re

leva

nt in

form

ation

as

requ

ired

by

appl

icab

le la

ws

and

regu

lati

ons

❒ W

aste

doc

umen

tati

on is

reta

ined

on

file

for

the

min

imum

lega

l req

uire

men

t

❒ R

egul

ar c

heck

s th

at w

aste

con

trac

tors

hav

e ap

prop

riat

e pe

rmit

s/lic

ence

s ha

ve b

een

unde

rtak

en

❒ In

vent

ory/

man

agem

ent/

stor

age/

tran

spor

tati

on p

roce

dure

s ar

e in

pla

ce a

nd a

re m

ade

avai

labl

e to

rele

vant

em

ploy

men

t sit

e pe

rson

nel

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• w

orke

rs re

ceiv

e tr

aini

ng o

n w

aste

han

dlin

g, s

egre

gati

on a

nd s

tora

ge re

quir

emen

ts; a

nd•

key

wor

kers

rece

ive

trai

ning

app

licab

le to

thei

r w

aste

man

agem

ent r

oles

and

resp

onsi

biliti

es

LEv

EL 2

❒ W

aste

min

imis

ation

aud

its

have

bee

n un

dert

aken

❒ T

he e

mpl

oym

ent s

ite

has

cons

ider

ed a

nd, w

here

pra

ctica

l, ap

plie

d th

e w

aste

hie

rarc

hy p

rinc

iple

s

❒ A

udit

s of

was

te c

ontr

acto

rs h

ave

been

und

erta

ken

to d

eter

min

e th

e su

itab

ility

and

dis

posa

l/tr

eatm

ent m

etho

ds

of w

aste

con

trac

tors

❒ C

omm

unic

ation

s w

ith

supp

liers

sho

w t

hat

was

te a

void

ance

/red

ucti

on/r

ecyc

ling/

reus

e op

port

uniti

es h

ave

been

di

scus

sed

❒ m

onit

orin

g/m

easu

rem

ent d

ata

of w

aste

s ge

nera

ted

and

recy

clin

g ta

rget

s ar

e av

aila

ble

❒ W

aste

redu

ction

/rec

yclin

g ta

rget

s ha

ve b

een

docu

men

ted

and

are

revi

ewed

at l

east

ann

ually

LEv

EL 3

❒ R

evie

ws

are

unde

rtak

en to

ass

ess

the

futu

re w

aste

cap

acit

y of

rece

ivin

g tr

eatm

ent/

disp

osal

faci

lities

to id

enti

fy w

aste

re

ducti

on p

rior

ities

and

dri

ve s

usta

inab

ility

❒ T

he e

mpl

oym

ent s

ite

has

iden

tifie

d w

heth

er th

e di

spos

al m

etho

ds a

nd v

olum

es o

f its

was

tes

are

sust

aina

ble

(in

rela

tion

to t

he lo

cal o

pera

ting

env

iron

men

t an

d av

aila

bilit

y of

was

te tr

eatm

ent a

nd d

ispo

sal f

acili

ties

)

❒ E

mpl

oym

ent s

ite

has

impl

emen

ted

lead

ing

prac

tice

mea

sure

s to

min

imis

e vi

rgin

mat

eria

l use

and

was

te g

ener

ated

❒ T

he e

mpl

oym

ent s

ite

has

impl

emen

ted

lead

ing

prac

tice

s in

rela

tion

to re

cycl

ing

and/

or th

e ge

nera

tion

of e

nerg

y

from

was

te

❒ W

aste

redu

ction

/rec

yclin

g ta

rget

s ar

e st

retc

hing

and

are

bei

ng a

chie

ved

❒ C

omm

unic

ation

s w

ith

stak

ehol

ders

sho

w th

at w

aste

avo

idan

ce/r

educ

tion

/rec

yclin

g/re

use

oppo

rtun

ities

dow

n

the

valu

e ch

ain

have

bee

n di

scus

sed

…

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

LEv

EL 3

❒ m

anag

emen

t und

erst

and

the

conc

ept

of s

usta

inab

le w

aste

dis

posa

l met

hods

and

whe

ther

cur

rent

sit

e w

aste

ge

nera

tion

is s

usta

inab

le

❒ m

anag

emen

t is

acti

vely

pro

moti

ng o

r en

dors

ing

site

impl

emen

tati

on o

f lea

ding

pra

ctice

s in

rela

tion

to, f

or e

xam

ple,

m

inim

isin

g vi

rgin

mat

eria

l use

and

was

te g

ener

ation

and

incr

easi

ng th

e pe

rcen

tage

of s

ite

was

te m

ater

ials

that

are

re

cycl

ed a

nd/o

r th

e ge

nera

tion

of e

nerg

y fr

om w

aste

❒ m

anag

emen

t und

erst

and

wha

t re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

acti

ce is

in re

lati

on to

was

te re

ducti

on/r

ecyc

ling

for

thei

r se

ctor

/geo

grap

hy a

nd h

ave

set s

ite

targ

ets

that

exc

eed

thos

e pr

acti

ces

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h D

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ K

ey w

orke

rs a

re a

war

e of

was

te m

anag

emen

t per

mit

/lic

ence

requ

irem

ents

, whe

re a

pplic

able

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n w

aste

seg

rega

tion

and

sto

rage

requ

irem

ents

at i

nduc

tion

❒ K

ey w

orke

rs w

ith

was

te m

anag

emen

t res

pons

ibili

ties

rece

ive

spec

ific

trai

ning

on

was

te m

anag

emen

t acti

viti

es

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

haz

ardo

us w

aste

inve

ntor

y/m

anag

emen

t/st

orag

e/di

spos

al p

roce

dure

s

6.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite

was

te p

erm

its

and

licen

ces

are

avai

labl

e

❒ D

ocum

enta

tion

of o

ff-s

ite

was

te d

ispo

sal/

trea

tmen

t is

com

plet

ed a

ccur

atel

y an

d co

ntai

ns a

ll re

leva

nt in

form

ation

as

requ

ired

by

appl

icab

le la

ws

and

regu

lati

ons

❒ W

aste

doc

umen

tati

on is

reta

ined

on

file

for

the

min

imum

lega

l req

uire

men

t

❒ R

egul

ar c

heck

s th

at w

aste

con

trac

tors

hav

e ap

prop

riat

e pe

rmit

s/lic

ence

s ha

ve b

een

unde

rtak

en

❒ In

vent

ory/

man

agem

ent/

stor

age/

tran

spor

tati

on p

roce

dure

s ar

e in

pla

ce a

nd a

re m

ade

avai

labl

e to

rele

vant

em

ploy

men

t sit

e pe

rson

nel

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• w

orke

rs re

ceiv

e tr

aini

ng o

n w

aste

han

dlin

g, s

egre

gati

on a

nd s

tora

ge re

quir

emen

ts; a

nd•

key

wor

kers

rece

ive

trai

ning

app

licab

le to

thei

r w

aste

man

agem

ent r

oles

and

resp

onsi

biliti

es

LEv

EL 2

❒ W

aste

min

imis

ation

aud

its

have

bee

n un

dert

aken

❒ T

he e

mpl

oym

ent s

ite

has

cons

ider

ed a

nd, w

here

pra

ctica

l, ap

plie

d th

e w

aste

hie

rarc

hy p

rinc

iple

s

❒ A

udit

s of

was

te c

ontr

acto

rs h

ave

been

und

erta

ken

to d

eter

min

e th

e su

itab

ility

and

dis

posa

l/tr

eatm

ent m

etho

ds

of w

aste

con

trac

tors

❒ C

omm

unic

ation

s w

ith

supp

liers

sho

w t

hat

was

te a

void

ance

/red

ucti

on/r

ecyc

ling/

reus

e op

port

uniti

es h

ave

been

di

scus

sed

❒ m

onit

orin

g/m

easu

rem

ent d

ata

of w

aste

s ge

nera

ted

and

recy

clin

g ta

rget

s ar

e av

aila

ble

❒ W

aste

redu

ction

/rec

yclin

g ta

rget

s ha

ve b

een

docu

men

ted

and

are

revi

ewed

at l

east

ann

ually

LEv

EL 3

❒ R

evie

ws

are

unde

rtak

en to

ass

ess

the

futu

re w

aste

cap

acit

y of

rece

ivin

g tr

eatm

ent/

disp

osal

faci

lities

to id

enti

fy w

aste

re

ducti

on p

rior

ities

and

dri

ve s

usta

inab

ility

❒ T

he e

mpl

oym

ent s

ite

has

iden

tifie

d w

heth

er th

e di

spos

al m

etho

ds a

nd v

olum

es o

f its

was

tes

are

sust

aina

ble

(in

rela

tion

to t

he lo

cal o

pera

ting

env

iron

men

t an

d av

aila

bilit

y of

was

te tr

eatm

ent a

nd d

ispo

sal f

acili

ties

)

❒ E

mpl

oym

ent s

ite

has

impl

emen

ted

lead

ing

prac

tice

mea

sure

s to

min

imis

e vi

rgin

mat

eria

l use

and

was

te g

ener

ated

❒ T

he e

mpl

oym

ent s

ite

has

impl

emen

ted

lead

ing

prac

tice

s in

rela

tion

to re

cycl

ing

and/

or th

e ge

nera

tion

of e

nerg

y

from

was

te

❒ W

aste

redu

ction

/rec

yclin

g ta

rget

s ar

e st

retc

hing

and

are

bei

ng a

chie

ved

❒ C

omm

unic

ation

s w

ith

stak

ehol

ders

sho

w th

at w

aste

avo

idan

ce/r

educ

tion

/rec

yclin

g/re

use

oppo

rtun

ities

dow

n

the

valu

e ch

ain

have

bee

n di

scus

sed

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

7. P

ollu

tion

pre

venti

on/h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

sEm

ploy

men

t sit

e re

quir

emen

ts a

t eac

h pe

rfor

man

ce le

vel:

Leve

l 1:

1.

Mee

t leg

al re

quire

men

ts

2.

Com

plia

nce

with

pro

hibi

ted

chem

ical

s lis

t (e.

g. fo

r ag

rich

emic

als

from

Wor

ld h

ealth

org

anis

ation

, Wh

o)

3.

Rele

vant

, up‐

to‐d

ate

perm

its a

re h

eld

and

com

plia

nce

mai

ntai

ned

4.

An

inve

ntor

y of

haz

ardo

us s

ubst

ance

s us

ed a

nd s

tore

d is

mai

ntai

ned

toge

ther

with

rele

vant

up‐

to‐d

ate

Mat

eria

l Saf

ety

dat

a Sh

eets

(MSd

S)

5.

Spec

ific

proc

edur

es/c

ontr

ols

in p

lace

for

the

man

agem

ent/

stor

age/

tran

spor

tatio

n of

all

haza

rdou

s su

bsta

nces

, min

imis

ing

pote

ntial

for

air,

wat

er, s

oil

and

gro

undw

ater

impa

cts

6.

Pollu

tion

prev

entio

n an

d re

spon

se tr

aini

ng is

del

iver

ed to

all

rele

vant

em

ploy

ees

7.

Inci

dent

s ar

e no

tified

to th

e au

thor

ities

as

requ

ired

by a

pplic

able

per

mits

/leg

isla

tion

Leve

l 2:

8.

Form

al s

yste

ms

and

proc

esse

s in

pla

ce fo

r po

llutio

n pr

even

tion

and

to re

duce

the

pote

ntial

for

pollu

tion

inci

dent

s as

per

the

site

EM

S

9.

ded

icat

ed s

ite e

mer

genc

y re

spon

se te

am in

pla

ce to

dea

l with

pol

lutio

n in

cide

nts

10. R

egul

ar p

racti

ce d

rills

are

car

ried

out

for

pollu

tion

inci

dent

s

11. T

arge

ts a

re re

view

ed o

n an

ann

ual b

asis

to re

duce

the

use

of h

azar

dous

subs

tanc

es, m

inim

ise

asso

ciat

ed ri

sks a

nd su

bstit

ute

with

non

‐haz

ardo

us a

ltern

ative

s whe

re p

ossi

ble

12. W

here

rele

vant

, spe

cific

pol

lutio

n pr

even

tion

mec

hani

sms

are

cons

ider

ed in

agr

icul

tura

l pro

ducti

on, i

nclu

ding

opti

mis

ation

of a

gric

hem

ical

s in

put

13. d

emon

stra

ble

redu

ction

in h

azar

dous

sub

stan

ces

use

(nor

mal

ised

) and

min

imis

ation

of a

ssoc

iate

d ri

sks,

as

appr

opri

ate

Leve

l 3:

14. ‘

Zero

pol

lutio

n in

cide

nt’ t

arge

t and

pol

icy

in p

lace

15. d

etai

led

pollu

tion

prev

entio

n in

spec

tions

are

con

duct

ed

16. P

rom

ote

the

use

of n

on‐h

azar

dous

and

non

‐tox

ic a

ltern

ative

sub

stan

ces

17. d

emon

stra

ble

achi

evem

ent o

f str

etch

ing

haza

rdou

s su

bsta

nce

redu

ction

/ s

ubsti

tutio

n ta

rget

s be

yond

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

18. E

ngag

emen

t with

app

ropr

iate

sta

keho

lder

s do

wn

the

valu

e ch

ain

to im

prov

e ha

zard

ous

subs

tanc

e us

e

The

follo

win

g ch

ecks

are

inte

nded

as

guid

ance

and

sho

uld

not

limit

aud

it a

ctivi

ties

.

Is th

is p

erfo

rman

ce a

rea

appl

icab

le to

the

em

ploy

men

t sit

e?If

yes,

ple

ase

com

plet

e th

e fo

llow

ing

tabl

e. If

no,

ple

ase

proc

eed

to th

e ne

xt P

erfo

rman

ce A

rea.

yes

No

EvID

ENCE

GAT

hER

ING

ON

PO

LLU

TIO

N P

REv

ENTI

ON

/hA

zAR

DO

US

AN

D P

OTE

NTI

ALL

y h

AzA

RD

OU

S SU

BST

AN

CES

no

TeS

7.1

Phys

ical

em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

sto

rage

, use

, han

dlin

g, p

roce

ssin

g an

d/or

dis

posa

l are

in li

ne

wit

h le

gal r

equi

rem

ents

❒ B

ulk

cont

aine

rs (i

nclu

ding

tank

s) a

nd p

ipew

ork

cont

aini

ng h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

s

wit

h th

e po

tenti

al to

cau

se p

ollu

tion

are

in g

ood

cond

ition

and

of s

ound

inte

grit

y

❒ B

ulk

cont

aine

rs (i

nclu

ding

tank

s) a

nd p

ipew

ork

cont

aini

ng h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

s

wit

h th

e po

tenti

al to

cau

se p

ollu

tion

are

labe

lled,

whe

re a

ppro

pria

te

❒ C

heck

, thr

ough

obs

erva

tion

, for

the

pres

ence

and

use

of p

rohi

bite

d ch

emic

als

at th

e em

ploy

men

t sit

e

❒ R

elev

ant

up-t

o-da

te m

ater

ial S

afet

y D

ata

Shee

ts (m

SDS)

are

ava

ilabl

e in

are

as w

here

che

mic

als

are

bein

g st

ored

/use

d

❒ P

roce

dure

s/co

ntro

l est

ablis

hed

to p

reve

nt/r

educ

e th

e po

tenti

al fo

r po

lluti

on a

re b

eing

follo

wed

(e.g

. man

agem

ent

of s

ubst

ance

s, s

tora

ge, t

rans

port

ation

etc

.)

❒ E

mer

genc

y re

spon

se a

nd p

ollu

tion

pre

venti

on e

quip

men

t (e.

g. s

pill

kits

) is

avai

labl

e an

d ha

s be

en c

heck

ed to

ens

ure

that

it is

in a

ppro

pria

te w

orki

ng o

rder

❒ N

o sp

ills

or le

aks

to th

e en

viro

nmen

t ar

e ob

serv

ed

❒ S

econ

dary

con

tain

men

t/bu

nds

are

in g

ood

cond

ition

and

are

of s

ound

inte

grit

y

7.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to p

ollu

tion

pre

venti

on/h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

s m

anag

emen

t hav

e be

en e

stab

lishe

d an

d im

plem

ente

d (e

.g. w

ritt

en p

olic

ies

and

proc

edur

es, e

mpl

oyee

han

dboo

k,

indu

ction

tra

inin

g, e

tc.)

❒ F

orm

al s

yste

ms

and

proc

esse

s in

pla

ce fo

r po

lluti

on p

reve

ntion

and

to re

duce

the

pote

ntial

for

pollu

tion

inci

dent

s

as p

er t

he s

ite

EmS


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

7. P

ollu

tion

pre

venti

on/h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

sEm

ploy

men

t sit

e re

quir

emen

ts a

t eac

h pe

rfor

man

ce le

vel:

Leve

l 1:

1.

Mee

t leg

al re

quire

men

ts

2.

Com

plia

nce

with

pro

hibi

ted

chem

ical

s lis

t (e.

g. fo

r ag

rich

emic

als

from

Wor

ld h

ealth

org

anis

ation

, Wh

o)

3.

Rele

vant

, up‐

to‐d

ate

perm

its a

re h

eld

and

com

plia

nce

mai

ntai

ned

4.

An

inve

ntor

y of

haz

ardo

us s

ubst

ance

s us

ed a

nd s

tore

d is

mai

ntai

ned

toge

ther

with

rele

vant

up‐

to‐d

ate

Mat

eria

l Saf

ety

dat

a Sh

eets

(MSd

S)

5.

Spec

ific

proc

edur

es/c

ontr

ols

in p

lace

for

the

man

agem

ent/

stor

age/

tran

spor

tatio

n of

all

haza

rdou

s su

bsta

nces

, min

imis

ing

pote

ntial

for

air,

wat

er, s

oil

and

gro

undw

ater

impa

cts

6.

Pollu

tion

prev

entio

n an

d re

spon

se tr

aini

ng is

del

iver

ed to

all

rele

vant

em

ploy

ees

7.

Inci

dent

s ar

e no

tified

to th

e au

thor

ities

as

requ

ired

by a

pplic

able

per

mits

/leg

isla

tion

Leve

l 2:

8.

Form

al s

yste

ms

and

proc

esse

s in

pla

ce fo

r po

llutio

n pr

even

tion

and

to re

duce

the

pote

ntial

for

pollu

tion

inci

dent

s as

per

the

site

EM

S

9.

ded

icat

ed s

ite e

mer

genc

y re

spon

se te

am in

pla

ce to

dea

l with

pol

lutio

n in

cide

nts

10. R

egul

ar p

racti

ce d

rills

are

car

ried

out

for

pollu

tion

inci

dent

s

11. T

arge

ts a

re re

view

ed o

n an

ann

ual b

asis

to re

duce

the

use

of h

azar

dous

subs

tanc

es, m

inim

ise

asso

ciat

ed ri

sks a

nd su

bstit

ute

with

non

‐haz

ardo

us a

ltern

ative

s whe

re p

ossi

ble

12. W

here

rele

vant

, spe

cific

pol

lutio

n pr

even

tion

mec

hani

sms

are

cons

ider

ed in

agr

icul

tura

l pro

ducti

on, i

nclu

ding

opti

mis

ation

of a

gric

hem

ical

s in

put

13. d

emon

stra

ble

redu

ction

in h

azar

dous

sub

stan

ces

use

(nor

mal

ised

) and

min

imis

ation

of a

ssoc

iate

d ri

sks,

as

appr

opri

ate

Leve

l 3:

14. ‘

Zero

pol

lutio

n in

cide

nt’ t

arge

t and

pol

icy

in p

lace

15. d

etai

led

pollu

tion

prev

entio

n in

spec

tions

are

con

duct

ed

16. P

rom

ote

the

use

of n

on‐h

azar

dous

and

non

‐tox

ic a

ltern

ative

sub

stan

ces

17. d

emon

stra

ble

achi

evem

ent o

f str

etch

ing

haza

rdou

s su

bsta

nce

redu

ction

/ s

ubsti

tutio

n ta

rget

s be

yond

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

18. E

ngag

emen

t with

app

ropr

iate

sta

keho

lder

s do

wn

the

valu

e ch

ain

to im

prov

e ha

zard

ous

subs

tanc

e us

e

The

follo

win

g ch

ecks

are

inte

nded

as

guid

ance

and

sho

uld

not

limit

aud

it a

ctivi

ties

.

Is th

is p

erfo

rman

ce a

rea

appl

icab

le to

the

em

ploy

men

t sit

e?If

yes,

ple

ase

com

plet

e th

e fo

llow

ing

tabl

e. If

no,

ple

ase

proc

eed

to th

e ne

xt P

erfo

rman

ce A

rea.

yes

No

EvID

ENCE

GAT

hER

ING

ON

PO

LLU

TIO

N P

REv

ENTI

ON

/hA

zAR

DO

US

AN

D P

OTE

NTI

ALL

y h

AzA

RD

OU

S SU

BST

AN

CES

no

TeS

7.1

Phys

ical

em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

sto

rage

, use

, han

dlin

g, p

roce

ssin

g an

d/or

dis

posa

l are

in li

ne

wit

h le

gal r

equi

rem

ents

❒ B

ulk

cont

aine

rs (i

nclu

ding

tank

s) a

nd p

ipew

ork

cont

aini

ng h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

s

wit

h th

e po

tenti

al to

cau

se p

ollu

tion

are

in g

ood

cond

ition

and

of s

ound

inte

grit

y

❒ B

ulk

cont

aine

rs (i

nclu

ding

tank

s) a

nd p

ipew

ork

cont

aini

ng h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

s

wit

h th

e po

tenti

al to

cau

se p

ollu

tion

are

labe

lled,

whe

re a

ppro

pria

te

❒ C

heck

, thr

ough

obs

erva

tion

, for

the

pres

ence

and

use

of p

rohi

bite

d ch

emic

als

at th

e em

ploy

men

t sit

e

❒ R

elev

ant

up-t

o-da

te m

ater

ial S

afet

y D

ata

Shee

ts (m

SDS)

are

ava

ilabl

e in

are

as w

here

che

mic

als

are

bein

g st

ored

/use

d

❒ P

roce

dure

s/co

ntro

l est

ablis

hed

to p

reve

nt/r

educ

e th

e po

tenti

al fo

r po

lluti

on a

re b

eing

follo

wed

(e.g

. man

agem

ent

of s

ubst

ance

s, s

tora

ge, t

rans

port

ation

etc

.)

❒ E

mer

genc

y re

spon

se a

nd p

ollu

tion

pre

venti

on e

quip

men

t (e.

g. s

pill

kits

) is

avai

labl

e an

d ha

s be

en c

heck

ed to

ens

ure

that

it is

in a

ppro

pria

te w

orki

ng o

rder

❒ N

o sp

ills

or le

aks

to th

e en

viro

nmen

t ar

e ob

serv

ed

❒ S

econ

dary

con

tain

men

t/bu

nds

are

in g

ood

cond

ition

and

are

of s

ound

inte

grit

y

7.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to p

ollu

tion

pre

venti

on/h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

s m

anag

emen

t hav

e be

en e

stab

lishe

d an

d im

plem

ente

d (e

.g. w

ritt

en p

olic

ies

and

proc

edur

es, e

mpl

oyee

han

dboo

k,

indu

ction

tra

inin

g, e

tc.)

❒ F

orm

al s

yste

ms

and

proc

esse

s in

pla

ce fo

r po

lluti

on p

reve

ntion

and

to re

duce

the

pote

ntial

for

pollu

tion

inci

dent

s

as p

er t

he s

ite

EmS

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

7.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

here

the

re is

the

pote

ntial

for

pollu

tion

to o

ccur

, the

em

ploy

men

t sit

e ha

s id

enti

fied

this

pot

enti

al

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s co

ncer

ning

pol

luti

on p

reve

ntion

/haz

ardo

us a

nd p

oten

tial

ly h

azar

dous

su

bsta

nces

man

agem

ent a

nd c

ompl

ianc

e

❒ m

anag

emen

t is

awar

e of

the

proh

ibit

ed c

hem

ical

s lis

t (e.

g. fo

r ag

rich

emic

als

from

Wor

ld h

ealt

h O

rgan

isati

on, W

hO

) an

d co

mpl

ianc

e w

ith

this

requ

irem

ent

❒ P

olic

ies

and

proc

esse

s re

gard

ing

pollu

tion

pre

venti

on/h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

s m

anag

emen

t is

eff

ecti

vely

com

mun

icat

ed to

rele

vant

wor

kers

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

com

plia

nce

with

app

licab

le la

ws

and

regu

lati

ons

is m

aint

aine

d

LEv

EL 2

❒ m

easu

res

have

bee

n im

plem

ente

d to

redu

ce t

he p

oten

tial

for

pollu

tion

to o

ccur

at t

he e

mpl

oym

ent s

ite

❒ m

anag

emen

t is

acti

vely

pro

moti

ng t

he im

plem

enta

tion

of s

peci

fic p

ollu

tion

pre

venti

on m

echa

nism

s in

agr

icul

tura

l pr

oduc

tion

, inc

ludi

ng o

ptim

isati

on o

f agr

iche

mic

als

inpu

t

❒ m

anag

emen

t is

acti

vely

eng

aged

in p

rom

oting

and

ach

ievi

ng a

redu

ction

in h

azar

dous

sub

stan

ces

use

(nor

mal

ised

) an

d m

inim

isati

on o

f ass

ocia

ted

risk

s, a

s ap

prop

riat

e

LEv

EL 3

❒ m

anag

emen

t is

acti

vely

pro

moti

ng t

he u

se o

f non

-haz

ardo

us a

nd n

on-t

oxic

alt

erna

tive

sub

stan

ces

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h D

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

cau

se p

ollu

tion

❒ K

ey w

orke

rs a

re a

war

e of

pol

luti

on p

reve

ntion

/haz

ardo

us a

nd p

oten

tial

ly h

azar

dous

sub

stan

ces

perm

it/l

icen

ce

requ

irem

ents

, whe

re a

pplic

able

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n po

lluti

on p

reve

ntion

/haz

ardo

us a

nd p

oten

tial

ly h

azar

dous

sub

stan

ces

at in

ducti

on

❒ R

elev

ant w

orke

rs w

ith

resp

onsi

biliti

es fo

r th

e pr

even

tion

of p

ollu

tion

rece

ive

spec

ific

trai

ning

on

its

prev

enti

on

and

rele

vant

resp

onse

in th

e ev

ent

of a

rele

ase

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

pol

luti

on p

reve

ntion

/haz

ardo

us a

nd p

oten

tial

ly h

azar

dous

sub

stan

ces

proc

edur

es

LEv

EL 2

❒ R

egul

ar p

racti

ce d

rills

are

car

ried

out

for

pollu

tion

inci

dent

s

❒ A

ded

icat

ed s

ite

emer

genc

y re

spon

se te

am is

in p

lace

to d

eal w

ith

pollu

tion

inci

dent

s

7.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite

perm

its

and

licen

ces

that

rela

te to

pol

luti

on p

reve

ntion

/haz

ardo

us a

nd p

oten

tial

ly

haza

rdou

s su

bsta

nces

are

ava

ilabl

e an

d up

to d

ate

❒ W

here

the

em

ploy

men

t sit

e is

lega

lly re

quir

ed to

hol

d an

d/or

mai

ntai

n do

cum

enta

tion

in re

lati

on to

pol

luti

on

prev

enti

on/h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

s, th

e do

cum

enta

tion

is re

tain

ed o

n fil

e fo

r th

e re

quir

ed

peri

od o

f tim

e

❒ P

ollu

tion

inci

dent

s ha

ve b

een

noti

fied

to t

he a

utho

riti

es a

s re

quir

ed b

y ap

plic

able

per

mit

s/le

gisl

ation

❒ T

he e

mpl

oym

ent s

ite

has

cons

ider

ed a

nd d

ocum

ente

d al

l pot

enti

al p

ollu

tion

sce

nari

os re

late

d to

the

site

’s a

ctivi

ties

an

d op

erati

ons

❒ S

peci

fic p

roce

dure

s/co

ntro

ls fo

r th

e m

anag

emen

t/st

orag

e/tr

ansp

orta

tion

of a

ll ha

zard

ous

subs

tanc

es, m

inim

isin

g po

tenti

al fo

r ai

r, w

ater

, soi

l and

gro

undw

ater

impa

cts

are

mad

e av

aila

ble

to re

leva

nt e

mpl

oym

ent s

ite

pers

onne

l

❒ T

he e

mpl

oym

ent s

ite

mai

ntai

ns a

n in

vent

ory

of h

azar

dous

sub

stan

ces

used

and

sto

red

on-s

ite

❒ T

he e

mpl

oym

ent s

ite

mai

ntai

ns re

leva

nt u

p-to

-dat

e m

ater

ial S

afet

y D

ata

Shee

ts (m

SDS)

and

thes

e ar

e m

ade

avai

labl

e to

em

ploy

ees

in t

he la

ngua

ge(s

) und

erst

ood

by th

e m

ajor

ity

of e

mpl

oyee

s.

❒ T

he e

mpl

oym

ent s

ite

has

cons

ider

ed a

nd d

ocum

ente

d ch

emic

als

used

on-

site

and

whe

ther

they

are

on

the

proh

ibit

ed

chem

ical

s lis

t

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• w

orke

rs re

ceiv

e tr

aini

ng o

n po

lluti

on p

reve

ntion

and

resp

onse

; and

• po

lluti

on re

spon

se te

am m

embe

rs h

ave

rece

ived

app

ropr

iate

trai

ning

…

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

7.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

here

the

re is

the

pote

ntial

for

pollu

tion

to o

ccur

, the

em

ploy

men

t sit

e ha

s id

enti

fied

this

pot

enti

al

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s co

ncer

ning

pol

luti

on p

reve

ntion

/haz

ardo

us a

nd p

oten

tial

ly h

azar

dous

su

bsta

nces

man

agem

ent a

nd c

ompl

ianc

e

❒ m

anag

emen

t is

awar

e of

the

proh

ibit

ed c

hem

ical

s lis

t (e.

g. fo

r ag

rich

emic

als

from

Wor

ld h

ealt

h O

rgan

isati

on, W

hO

) an

d co

mpl

ianc

e w

ith

this

requ

irem

ent

❒ P

olic

ies

and

proc

esse

s re

gard

ing

pollu

tion

pre

venti

on/h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

s m

anag

emen

t is

eff

ecti

vely

com

mun

icat

ed to

rele

vant

wor

kers

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

com

plia

nce

with

app

licab

le la

ws

and

regu

lati

ons

is m

aint

aine

d

LEv

EL 2

❒ m

easu

res

have

bee

n im

plem

ente

d to

redu

ce t

he p

oten

tial

for

pollu

tion

to o

ccur

at t

he e

mpl

oym

ent s

ite

❒ m

anag

emen

t is

acti

vely

pro

moti

ng t

he im

plem

enta

tion

of s

peci

fic p

ollu

tion

pre

venti

on m

echa

nism

s in

agr

icul

tura

l pr

oduc

tion

, inc

ludi

ng o

ptim

isati

on o

f agr

iche

mic

als

inpu

t

❒ m

anag

emen

t is

acti

vely

eng

aged

in p

rom

oting

and

ach

ievi

ng a

redu

ction

in h

azar

dous

sub

stan

ces

use

(nor

mal

ised

) an

d m

inim

isati

on o

f ass

ocia

ted

risk

s, a

s ap

prop

riat

e

LEv

EL 3

❒ m

anag

emen

t is

acti

vely

pro

moti

ng t

he u

se o

f non

-haz

ardo

us a

nd n

on-t

oxic

alt

erna

tive

sub

stan

ces

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h D

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

cau

se p

ollu

tion

❒ K

ey w

orke

rs a

re a

war

e of

pol

luti

on p

reve

ntion

/haz

ardo

us a

nd p

oten

tial

ly h

azar

dous

sub

stan

ces

perm

it/l

icen

ce

requ

irem

ents

, whe

re a

pplic

able

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n po

lluti

on p

reve

ntion

/haz

ardo

us a

nd p

oten

tial

ly h

azar

dous

sub

stan

ces

at in

ducti

on

❒ R

elev

ant w

orke

rs w

ith

resp

onsi

biliti

es fo

r th

e pr

even

tion

of p

ollu

tion

rece

ive

spec

ific

trai

ning

on

its

prev

enti

on

and

rele

vant

resp

onse

in th

e ev

ent

of a

rele

ase

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

pol

luti

on p

reve

ntion

/haz

ardo

us a

nd p

oten

tial

ly h

azar

dous

sub

stan

ces

proc

edur

es

LEv

EL 2

❒ R

egul

ar p

racti

ce d

rills

are

car

ried

out

for

pollu

tion

inci

dent

s

❒ A

ded

icat

ed s

ite

emer

genc

y re

spon

se te

am is

in p

lace

to d

eal w

ith

pollu

tion

inci

dent

s

7.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite

perm

its

and

licen

ces

that

rela

te to

pol

luti

on p

reve

ntion

/haz

ardo

us a

nd p

oten

tial

ly

haza

rdou

s su

bsta

nces

are

ava

ilabl

e an

d up

to d

ate

❒ W

here

the

em

ploy

men

t sit

e is

lega

lly re

quir

ed to

hol

d an

d/or

mai

ntai

n do

cum

enta

tion

in re

lati

on to

pol

luti

on

prev

enti

on/h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

s, th

e do

cum

enta

tion

is re

tain

ed o

n fil

e fo

r th

e re

quir

ed

peri

od o

f tim

e

❒ P

ollu

tion

inci

dent

s ha

ve b

een

noti

fied

to t

he a

utho

riti

es a

s re

quir

ed b

y ap

plic

able

per

mit

s/le

gisl

ation

❒ T

he e

mpl

oym

ent s

ite

has

cons

ider

ed a

nd d

ocum

ente

d al

l pot

enti

al p

ollu

tion

sce

nari

os re

late

d to

the

site

’s a

ctivi

ties

an

d op

erati

ons

❒ S

peci

fic p

roce

dure

s/co

ntro

ls fo

r th

e m

anag

emen

t/st

orag

e/tr

ansp

orta

tion

of a

ll ha

zard

ous

subs

tanc

es, m

inim

isin

g po

tenti

al fo

r ai

r, w

ater

, soi

l and

gro

undw

ater

impa

cts

are

mad

e av

aila

ble

to re

leva

nt e

mpl

oym

ent s

ite

pers

onne

l

❒ T

he e

mpl

oym

ent s

ite

mai

ntai

ns a

n in

vent

ory

of h

azar

dous

sub

stan

ces

used

and

sto

red

on-s

ite

❒ T

he e

mpl

oym

ent s

ite

mai

ntai

ns re

leva

nt u

p-to

-dat

e m

ater

ial S

afet

y D

ata

Shee

ts (m

SDS)

and

thes

e ar

e m

ade

avai

labl

e to

em

ploy

ees

in t

he la

ngua

ge(s

) und

erst

ood

by th

e m

ajor

ity

of e

mpl

oyee

s.

❒ T

he e

mpl

oym

ent s

ite

has

cons

ider

ed a

nd d

ocum

ente

d ch

emic

als

used

on-

site

and

whe

ther

they

are

on

the

proh

ibit

ed

chem

ical

s lis

t

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• w

orke

rs re

ceiv

e tr

aini

ng o

n po

lluti

on p

reve

ntion

and

resp

onse

; and

• po

lluti

on re

spon

se te

am m

embe

rs h

ave

rece

ived

app

ropr

iate

trai

ning

…

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

LEv

EL 2

❒ D

ocum

ente

d ev

iden

ce th

at re

gula

r pr

acti

ce d

rills

are

car

ried

out

for

pollu

tion

inci

dent

s

❒ Im

prov

emen

t acti

ons

iden

tifie

d fr

om p

racti

ce d

rills

hav

e be

en im

plem

ente

d an

d cl

osed

out

❒ T

he e

mpl

oym

ent d

emon

stra

tes

a re

ducti

on in

haz

ardo

us s

ubst

ance

s us

e (n

orm

alis

ed) a

nd m

inim

isati

on o

f ass

ocia

ted

risk

s, a

s ap

prop

riat

e

❒ h

azar

dous

sub

stan

ce u

se a

nd n

on-h

azar

dous

alt

erna

tive

use

per

form

ance

targ

ets

are

revi

ewed

ann

ually

and

revi

ews

have

bee

n do

cum

ente

d

❒ T

he e

mpl

oym

ent s

ite

has

impl

emen

ted

pollu

tion

pre

venti

on m

echa

nism

s to

redu

ce th

e po

tenti

al fo

r po

lluti

on

in a

gric

ultu

ral p

rodu

ction

this

incl

udie

s op

tim

isati

on o

f agr

iche

mic

als

inpu

t

LEv

EL 3

❒ A

‘zer

o po

lluti

on in

cide

nt’ t

arge

t an

d po

licy

is in

pla

ce a

nd h

as b

een

docu

men

ted

❒ D

etai

led

pollu

tion

pre

venti

on in

spec

tion

s ar

e do

cum

ente

d an

d m

aint

aine

d. In

spec

tion

s co

nsid

er a

ll ar

eas

of

the

empl

oym

ent

site

whe

re th

e po

tenti

al fo

r po

lluti

on e

xist

s.

❒ T

he e

mpl

oym

ent

site

has

doc

umen

ted

non-

haza

rdou

s an

d no

n-to

xic

alte

rnati

ve s

ubst

ance

s th

at a

re a

vaila

ble

❒ h

azar

dous

sub

stan

ce re

ducti

on/s

ubsti

tuti

on p

erfo

rman

ce ta

rget

s ar

e st

retc

hing

and

are

bei

ng a

chie

ved

❒ C

omm

unic

ation

s sh

ow th

e em

ploy

men

t sit

e en

gage

s w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n to

impr

ove

haza

rdou

s su

bsta

nce

use

❒ T

he e

mpl

oym

ent

site

has

impl

emen

ted

lead

ing

prac

tice

mec

hani

sms

to re

duce

the

pote

ntial

for

maj

or in

cide

nts

(e

.g. p

roce

ss c

hang

es e

tc.)


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

8. m

ajor

inci

dent

man

agem

ent

Empl

oym

ent s

ite

requ

irem

ents

at e

ach

perf

orm

ance

leve

l:

Leve

l 1:

1.

Mee

t leg

al re

quire

men

ts

2.

Rele

vant

, up‐

to‐d

ate

perm

its a

re h

eld

and

com

plia

nce

mai

ntai

ned

3.

Site

em

erge

ncy

plan

in p

lace

with

det

aile

d gu

idel

ines

/tra

inin

g fo

r m

ajor

inci

dent

resp

onse

, as

need

ed a

nd re

flecti

ng th

e ri

sks

of a

ctivi

ties

unde

rtak

en o

n‐si

te

4.

Emer

genc

y re

spon

se p

lan

com

mun

icat

ed to

loca

l aut

hori

ties,

em

erge

ncy

serv

ices

and

loca

l com

mun

ities

, as

requ

ired

Leve

l 2:

5.

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

emer

genc

y re

spon

se a

s pe

r th

e si

te E

MS

6.

Redu

ction

in p

oten

tial o

ccur

renc

e an

d im

pact

s of

maj

or in

cide

nts

(e.g

. exp

losi

ons,

fire

s, m

ajor

spi

lls e

tc.)

7.

Regu

lar

Qua

ntita

tive

Risk

Ass

essm

ent (

QRA

) rev

iew

s

8.

Maj

or in

cide

nts

repo

rted

to re

leva

nt s

take

hold

ers

9.

ded

icat

ed s

ite e

mer

genc

y re

spon

se te

am in

pla

ce

10. R

egul

ar p

racti

ce d

rills

are

car

ried

out

for

all e

mer

genc

y sc

enar

ios

Leve

l 3:

11. ‘

Zero

maj

or in

cide

nt’ t

arge

t and

pol

icy

in p

lace

12. P

roac

tive

enga

gem

ent w

ith lo

cal c

omm

unity

to e

nsur

e aw

aren

ess

of r

isks

of m

ajor

inci

dent

s an

d em

erge

ncy

resp

onse

pro

cedu

res

13. l

ocal

com

mun

ity is

invo

lved

in s

ite’s

em

erge

ncy

resp

onse

dri

ll an

d ha

s be

en c

onta

cted

by

the

emer

genc

y re

spon

se te

am, a

s re

leva

nt

14. l

eadi

ng p

racti

ce m

echa

nism

s in

pla

ce to

redu

ce r

isk

of m

ajor

inci

dent

s e.

g. p

roce

ss c

hang

es

The

follo

win

g ch

ecks

are

inte

nded

as

guid

ance

and

sho

uld

not l

imit

aud

it a

ctivi

ties

.

Is th

is p

erfo

rman

ce a

rea

appl

icab

le to

the

em

ploy

men

t sit

e?If

yes,

ple

ase

com

plet

e th

e fo

llow

ing

tabl

e. If

no,

ple

ase

proc

eed

to th

e ne

xt P

erfo

rman

ce A

rea.

yes

No

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

EvID

ENCE

GAT

hER

ING

ON

mA

JOR

INCI

DEN

T m

AN

AG

EmEN

Tn

oTe

S

8.1

Phys

ical

em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ C

onfir

m, t

hrou

gh o

bser

vati

on, w

heth

er s

ubst

ance

s us

ed a

nd/o

r ac

tivi

ties

und

erta

ken

at s

ite

have

the

pote

ntial

to

cau

se m

ajor

inci

dent

s

❒ h

azar

dous

sub

stan

ce s

tora

ge, u

se, h

andl

ing,

pro

cess

ing

and/

or d

ispo

sal a

re in

line

wit

h le

gal r

equi

rem

ents

❒ E

nsur

e ha

zard

ous

subs

tanc

es a

re b

eing

seg

rega

ted

to p

reve

nt p

oten

tial

maj

or in

cide

nts

from

occ

urri

ng

❒ B

ulk

cont

aine

rs (i

nclu

ding

tank

s) a

nd p

ipew

ork

cont

aini

ng s

ubst

ance

s w

ith

the

pote

ntial

to c

ause

a m

ajor

inci

dent

ar

e in

goo

d co

nditi

on a

nd o

f sou

nd in

tegr

ity

❒ B

ulk

cont

aine

rs (i

nclu

ding

tank

s) a

nd p

ipew

ork

cont

aini

ng s

ubst

ance

s w

ith

the

pote

ntial

to c

ause

a m

ajor

inci

dent

ar

e la

belle

d, w

here

app

ropr

iate

❒ C

heck

whe

ther

pro

cedu

res

esta

blis

hed

to p

reve

nt/r

educ

e th

e po

tenti

al fo

r a

maj

or in

cide

nt a

re b

eing

follo

wed

(e

.g. m

anag

emen

t of

sub

stan

ces,

acti

viti

es e

tc.)

❒ E

mer

genc

y re

spon

se e

quip

men

t is

avai

labl

e an

d ha

s be

en c

heck

ed to

ens

ure

that

it is

in a

ppro

pria

te w

orki

ng o

rder

❒ E

mer

genc

y re

spon

se p

lan

and

arra

ngem

ents

(inc

ludi

ng s

ite/

emer

genc

y se

rvic

e co

ntac

t det

ails

) are

dis

play

ed

or a

re a

vaila

ble

thro

ugho

ut th

e em

ploy

men

t sit

e

❒ N

o sp

ills

or le

aks

to th

e en

viro

nmen

t ar

e ob

serv

ed

❒ R

evie

w n

eigh

bour

ing

prop

erti

es/o

pera

tion

s an

d co

nfirm

whe

ther

ther

e is

the

pote

ntial

for

a m

ajor

inci

dent

that

cou

ld

impa

ct th

e em

ploy

men

t sit

e (t

his

wou

ld b

e an

obs

erva

tion

rath

er th

an a

com

plia

nce

findi

ng)

8.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es to

pre

vent

/red

uce

the

pote

ntial

for

a m

ajor

inci

dent

hav

e be

en e

stab

lishe

d an

d im

plem

ente

d (e

.g. w

ritt

en p

olic

ies

and

proc

edur

es, e

mpl

oyee

han

dboo

k, in

ducti

on tr

aini

ng e

tc.)

❒ P

olic

ies

and

proc

edur

es fo

r em

erge

ncy

resp

onse

hav

e be

en e

stab

lishe

d an

d im

plem

ente

d (e

.g. w

ritt

en p

olic

ies

an

d pr

oced

ures

, em

ploy

ee h

andb

ook,

indu

ction

trai

ning

etc

.)

LEv

EL 2

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce to

pre

vent

/red

uce

the

pote

ntial

for

maj

or in

cide

nts

as p

er th

e si

te E

mS

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce fo

r em

erge

ncy

resp

onse

as

per

the

site

Em

S

8.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

here

the

re is

the

pote

ntial

for

a m

ajor

inci

dent

to o

ccur

, con

firm

whe

ther

the

empl

oym

ent s

ite

has

iden

tifie

d

this

pot

enti

al

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s co

ncer

ning

maj

or in

cide

nt m

anag

emen

t and

com

plia

nce

❒ P

olic

ies

and

proc

esse

s re

gard

ing

maj

or in

cide

nt m

anag

emen

t is

effec

tive

ly c

omm

unic

ated

to w

orke

rs

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

com

plia

nce

wit

h ap

plic

able

law

s an

d re

gula

tion

s

is m

aint

aine

d

LEv

EL 2

❒ m

easu

res

have

bee

n im

plem

ente

d to

redu

ce t

he p

oten

tial

occ

urre

nce

and

seve

rity

of m

ajor

inci

dent

s

at th

e em

ploy

men

t si

te

❒ m

anag

emen

t is

acti

vely

eng

aged

in p

rom

oting

and

ach

ievi

ng a

redu

ction

in th

e po

tenti

al o

ccur

renc

e an

d im

pact

s

of m

ajor

inci

dent

s

LEv

EL 3

❒ m

anag

emen

t is

acti

vely

pro

moti

ng t

he im

plem

enta

tion

of l

eadi

ng p

racti

ce m

echa

nism

s in

rela

tion

to re

duci

ng r

isk

of

maj

or in

cide

nts

…

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

EvID

ENCE

GAT

hER

ING

ON

mA

JOR

INCI

DEN

T m

AN

AG

EmEN

Tn

oTe

S

8.1

Phys

ical

em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ C

onfir

m, t

hrou

gh o

bser

vati

on, w

heth

er s

ubst

ance

s us

ed a

nd/o

r ac

tivi

ties

und

erta

ken

at s

ite

have

the

pote

ntial

to

cau

se m

ajor

inci

dent

s

❒ h

azar

dous

sub

stan

ce s

tora

ge, u

se, h

andl

ing,

pro

cess

ing

and/

or d

ispo

sal a

re in

line

wit

h le

gal r

equi

rem

ents

❒ E

nsur

e ha

zard

ous

subs

tanc

es a

re b

eing

seg

rega

ted

to p

reve

nt p

oten

tial

maj

or in

cide

nts

from

occ

urri

ng

❒ B

ulk

cont

aine

rs (i

nclu

ding

tank

s) a

nd p

ipew

ork

cont

aini

ng s

ubst

ance

s w

ith

the

pote

ntial

to c

ause

a m

ajor

inci

dent

ar

e in

goo

d co

nditi

on a

nd o

f sou

nd in

tegr

ity

❒ B

ulk

cont

aine

rs (i

nclu

ding

tank

s) a

nd p

ipew

ork

cont

aini

ng s

ubst

ance

s w

ith

the

pote

ntial

to c

ause

a m

ajor

inci

dent

ar

e la

belle

d, w

here

app

ropr

iate

❒ C

heck

whe

ther

pro

cedu

res

esta

blis

hed

to p

reve

nt/r

educ

e th

e po

tenti

al fo

r a

maj

or in

cide

nt a

re b

eing

follo

wed

(e

.g. m

anag

emen

t of

sub

stan

ces,

acti

viti

es e

tc.)

❒ E

mer

genc

y re

spon

se e

quip

men

t is

avai

labl

e an

d ha

s be

en c

heck

ed to

ens

ure

that

it is

in a

ppro

pria

te w

orki

ng o

rder

❒ E

mer

genc

y re

spon

se p

lan

and

arra

ngem

ents

(inc

ludi

ng s

ite/

emer

genc

y se

rvic

e co

ntac

t det

ails

) are

dis

play

ed

or a

re a

vaila

ble

thro

ugho

ut th

e em

ploy

men

t sit

e

❒ N

o sp

ills

or le

aks

to th

e en

viro

nmen

t ar

e ob

serv

ed

❒ R

evie

w n

eigh

bour

ing

prop

erti

es/o

pera

tion

s an

d co

nfirm

whe

ther

ther

e is

the

pote

ntial

for

a m

ajor

inci

dent

that

cou

ld

impa

ct th

e em

ploy

men

t sit

e (t

his

wou

ld b

e an

obs

erva

tion

rath

er th

an a

com

plia

nce

findi

ng)

8.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es to

pre

vent

/red

uce

the

pote

ntial

for

a m

ajor

inci

dent

hav

e be

en e

stab

lishe

d an

d im

plem

ente

d (e

.g. w

ritt

en p

olic

ies

and

proc

edur

es, e

mpl

oyee

han

dboo

k, in

ducti

on tr

aini

ng e

tc.)

❒ P

olic

ies

and

proc

edur

es fo

r em

erge

ncy

resp

onse

hav

e be

en e

stab

lishe

d an

d im

plem

ente

d (e

.g. w

ritt

en p

olic

ies

an

d pr

oced

ures

, em

ploy

ee h

andb

ook,

indu

ction

trai

ning

etc

.)

LEv

EL 2

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce to

pre

vent

/red

uce

the

pote

ntial

for

maj

or in

cide

nts

as p

er th

e si

te E

mS

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce fo

r em

erge

ncy

resp

onse

as

per

the

site

Em

S

8.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

here

the

re is

the

pote

ntial

for

a m

ajor

inci

dent

to o

ccur

, con

firm

whe

ther

the

empl

oym

ent s

ite

has

iden

tifie

d

this

pot

enti

al

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s co

ncer

ning

maj

or in

cide

nt m

anag

emen

t and

com

plia

nce

❒ P

olic

ies

and

proc

esse

s re

gard

ing

maj

or in

cide

nt m

anag

emen

t is

effec

tive

ly c

omm

unic

ated

to w

orke

rs

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

com

plia

nce

wit

h ap

plic

able

law

s an

d re

gula

tion

s

is m

aint

aine

d

LEv

EL 2

❒ m

easu

res

have

bee

n im

plem

ente

d to

redu

ce t

he p

oten

tial

occ

urre

nce

and

seve

rity

of m

ajor

inci

dent

s

at th

e em

ploy

men

t si

te

❒ m

anag

emen

t is

acti

vely

eng

aged

in p

rom

oting

and

ach

ievi

ng a

redu

ction

in th

e po

tenti

al o

ccur

renc

e an

d im

pact

s

of m

ajor

inci

dent

s

LEv

EL 3

❒ m

anag

emen

t is

acti

vely

pro

moti

ng t

he im

plem

enta

tion

of l

eadi

ng p

racti

ce m

echa

nism

s in

rela

tion

to re

duci

ng r

isk

of

maj

or in

cide

nts

…

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h D

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

cau

se m

ajor

inci

dent

s

❒ K

ey w

orke

rs a

re a

war

e of

maj

or in

cide

nt a

nd e

mer

genc

y re

spon

se p

erm

it/l

icen

ce re

quir

emen

ts, w

here

app

licab

le

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n m

ajor

inci

dent

pre

venti

on a

nd e

mer

genc

y re

spon

se a

t ind

ucti

on

❒ K

ey w

orke

rs w

ith

resp

onsi

biliti

es fo

r th

e pr

even

tion

of m

ajor

inci

dent

s re

ceiv

e sp

ecifi

c tr

aini

ng o

n th

eir

prev

enti

on

and

rele

vant

em

erge

ncy

resp

onse

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

maj

or in

cide

nt p

reve

ntion

and

em

erge

ncy

resp

onse

pro

cedu

res

LEv

EL 2

❒ A

ded

icat

ed s

ite

emer

genc

y re

spon

se te

am is

in p

lace

8.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite

perm

its

and

licen

ces

that

rela

te to

maj

or in

cide

nt p

reve

ntion

and

em

erge

ncy

resp

onse

ar

e av

aila

ble

and

up to

dat

e

❒ W

here

the

em

ploy

men

t sit

e is

lega

lly re

quir

ed to

hol

d an

d/or

mai

ntai

n do

cum

enta

tion

in re

lati

on to

the

prev

enti

on

of o

r re

spon

se to

maj

or in

cide

nts,

the

doc

umen

tati

on is

reta

ined

on

file

for

the

requ

ired

per

iod

of ti

me

❒ T

he e

mpl

oym

ent s

ite

has

cons

ider

ed a

nd d

ocum

ente

d al

l em

erge

ncy

scen

ario

s re

late

d to

the

site

’s a

ctivi

ties

an

d op

erati

ons

❒ m

ajor

inci

dent

pre

venti

on a

nd e

mer

genc

y re

spon

se p

roce

dure

s ar

e m

ade

avai

labl

e to

rele

vant

em

ploy

men

t sit

e pe

rson

nel

❒ T

he e

mpl

oym

ent s

ite

emer

genc

y pl

an re

flect

s th

e ri

sks

asso

ciat

ed w

ith

acti

viti

es u

nder

take

n on

-sit

e an

d is

mai

ntai

ned

up to

dat

e

❒ D

ocum

ente

d co

mm

unic

ation

of t

he e

mer

genc

y re

spon

se p

lan

to lo

cal a

utho

riti

es, e

mer

genc

y se

rvic

es a

nd lo

cal

com

mun

ities

, as

requ

ired

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• w

orke

rs re

ceiv

e tr

aini

ng o

n m

ajor

inci

dent

pre

venti

on a

nd e

mer

genc

y re

spon

se; a

nd•

emer

genc

y re

spon

se te

am m

embe

rs h

ave

rece

ived

app

ropr

iate

trai

ning

LEv

EL 2

❒ m

ajor

inci

dent

s ha

ve b

een

repo

rted

to re

leva

nt s

take

hold

ers

❒ D

ocum

ente

d ev

iden

ce th

at re

gula

r pr

acti

ce d

rills

are

car

ried

out

for

all e

mer

genc

y sc

enar

ios

❒ Im

prov

emen

t acti

ons

iden

tifie

d fr

om p

racti

ce d

rills

hav

e be

en im

plem

ente

d an

d cl

osed

out

❒ R

egul

ar Q

uanti

tati

ve R

isk

Ass

essm

ent (

QRA

) rev

iew

s ar

e un

dert

aken

and

doc

umen

ted

LEv

EL 3

❒ A

‘zer

o m

ajor

inci

dent

’ tar

get a

nd p

olic

y is

in p

lace

and

has

bee

n do

cum

ente

d

❒ C

omm

unic

ation

s w

ith

the

loca

l com

mun

ity

show

that

the

risk

s of

maj

or in

cide

nts

and

the

asso

ciat

ed e

mer

genc

y re

spon

se p

roce

dure

s, w

here

app

licab

le, h

ave

been

dis

cuss

ed

❒ T

he lo

cal c

omm

unit

y is

invo

lved

in s

ite

emer

genc

y re

spon

se d

rills

and

has

bee

n co

ntac

ted

by th

e si

te e

mer

genc

y re

spon

se te

am

❒ T

he e

mpl

oym

ent

site

has

impl

emen

ted

lead

ing

prac

tice

mec

hani

sms

to re

duce

the

pote

ntial

for

maj

or in

cide

nts

(e

.g. p

roce

ss c

hang

es e

tc.)

…

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h D

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

cau

se m

ajor

inci

dent

s

❒ K

ey w

orke

rs a

re a

war

e of

maj

or in

cide

nt a

nd e

mer

genc

y re

spon

se p

erm

it/l

icen

ce re

quir

emen

ts, w

here

app

licab

le

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n m

ajor

inci

dent

pre

venti

on a

nd e

mer

genc

y re

spon

se a

t ind

ucti

on

❒ K

ey w

orke

rs w

ith

resp

onsi

biliti

es fo

r th

e pr

even

tion

of m

ajor

inci

dent

s re

ceiv

e sp

ecifi

c tr

aini

ng o

n th

eir

prev

enti

on

and

rele

vant

em

erge

ncy

resp

onse

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

maj

or in

cide

nt p

reve

ntion

and

em

erge

ncy

resp

onse

pro

cedu

res

LEv

EL 2

❒ A

ded

icat

ed s

ite

emer

genc

y re

spon

se te

am is

in p

lace

8.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite

perm

its

and

licen

ces

that

rela

te to

maj

or in

cide

nt p

reve

ntion

and

em

erge

ncy

resp

onse

ar

e av

aila

ble

and

up to

dat

e

❒ W

here

the

em

ploy

men

t sit

e is

lega

lly re

quir

ed to

hol

d an

d/or

mai

ntai

n do

cum

enta

tion

in re

lati

on to

the

prev

enti

on

of o

r re

spon

se to

maj

or in

cide

nts,

the

doc

umen

tati

on is

reta

ined

on

file

for

the

requ

ired

per

iod

of ti

me

❒ T

he e

mpl

oym

ent s

ite

has

cons

ider

ed a

nd d

ocum

ente

d al

l em

erge

ncy

scen

ario

s re

late

d to

the

site

’s a

ctivi

ties

an

d op

erati

ons

❒ m

ajor

inci

dent

pre

venti

on a

nd e

mer

genc

y re

spon

se p

roce

dure

s ar

e m

ade

avai

labl

e to

rele

vant

em

ploy

men

t sit

e pe

rson

nel

❒ T

he e

mpl

oym

ent s

ite

emer

genc

y pl

an re

flect

s th

e ri

sks

asso

ciat

ed w

ith

acti

viti

es u

nder

take

n on

-sit

e an

d is

mai

ntai

ned

up to

dat

e

❒ D

ocum

ente

d co

mm

unic

ation

of t

he e

mer

genc

y re

spon

se p

lan

to lo

cal a

utho

riti

es, e

mer

genc

y se

rvic

es a

nd lo

cal

com

mun

ities

, as

requ

ired

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• w

orke

rs re

ceiv

e tr

aini

ng o

n m

ajor

inci

dent

pre

venti

on a

nd e

mer

genc

y re

spon

se; a

nd•

emer

genc

y re

spon

se te

am m

embe

rs h

ave

rece

ived

app

ropr

iate

trai

ning

LEv

EL 2

❒ m

ajor

inci

dent

s ha

ve b

een

repo

rted

to re

leva

nt s

take

hold

ers

❒ D

ocum

ente

d ev

iden

ce th

at re

gula

r pr

acti

ce d

rills

are

car

ried

out

for

all e

mer

genc

y sc

enar

ios

❒ Im

prov

emen

t acti

ons

iden

tifie

d fr

om p

racti

ce d

rills

hav

e be

en im

plem

ente

d an

d cl

osed

out

❒ R

egul

ar Q

uanti

tati

ve R

isk

Ass

essm

ent (

QRA

) rev

iew

s ar

e un

dert

aken

and

doc

umen

ted

LEv

EL 3

❒ A

‘zer

o m

ajor

inci

dent

’ tar

get a

nd p

olic

y is

in p

lace

and

has

bee

n do

cum

ente

d

❒ C

omm

unic

ation

s w

ith

the

loca

l com

mun

ity

show

that

the

risk

s of

maj

or in

cide

nts

and

the

asso

ciat

ed e

mer

genc

y re

spon

se p

roce

dure

s, w

here

app

licab

le, h

ave

been

dis

cuss

ed

❒ T

he lo

cal c

omm

unit

y is

invo

lved

in s

ite

emer

genc

y re

spon

se d

rills

and

has

bee

n co

ntac

ted

by th

e si

te e

mer

genc

y re

spon

se te

am

❒ T

he e

mpl

oym

ent

site

has

impl

emen

ted

lead

ing

prac

tice

mec

hani

sms

to re

duce

the

pote

ntial

for

maj

or in

cide

nts

(e

.g. p

roce

ss c

hang

es e

tc.)

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

9. C

onta

min

ated

land

/soi

l and

gro

undw

ater

pol

luti

on p

reve

ntion

Empl

oym

ent s

ite

requ

irem

ents

at e

ach

perf

orm

ance

leve

l:

Leve

l 1:

1.

Mee

t leg

al re

quire

men

ts

2.

Rele

vant

, up‐

to‐d

ate

perm

its a

re h

eld

and

com

plia

nce

mai

ntai

ned

3.

Und

erst

andi

ng a

nd a

war

enes

s of

site

setti

ng/s

ensi

tive

rece

ptor

s in

site

’s v

icin

ity

4.

not

cau

sing

or

know

ingl

y pe

rmitti

ng c

onta

min

ation

of s

oil a

nd g

roun

dwat

er

Leve

l 2:

5.

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

cont

amin

ated

soi

l and

gro

undw

ater

as

per

the

site

EM

S

6.

Qua

litati

ve, d

esk‐

base

d (a

s ap

prop

riat

e) s

oil a

nd g

roun

dwat

er r

isk

asse

ssm

ent c

ompl

eted

incl

udin

g:a.

All

pote

ntial

cur

rent

and

his

tori

cal o

n‐si

te s

ourc

es o

f pot

entia

l soi

l and

gro

undw

ater

impa

ctb.

All

pote

ntial

cur

rent

and

his

tori

cal o

ff‐si

te s

ourc

es o

f pot

entia

l soi

l and

gro

undw

ater

impa

ctc.

Map

ping

of a

ll re

cept

ors

and

path

way

sd.

Ass

essm

ent o

f ris

k of

soi

l and

gro

undw

ater

impa

ct

7.

All

actio

ns c

ompl

eted

follo

win

g re

sults

for

soil

and

grou

ndw

ater

ris

k as

sess

men

t, e

.g. a

nd a

s re

quire

d:a.

Foc

used

Pha

se II

inve

stiga

tion

b. A

ppro

pria

te a

nd e

ffici

ent r

emed

iatio

n of

soi

l and

/or

grou

ndw

ater

con

tam

inati

on p

erfo

rmed

8.

Any

soi

l and

gro

undw

ater

con

tam

inati

on is

com

mun

icat

ed to

rele

vant

sta

keho

lder

s, a

s re

quire

d

Leve

l 3:

9.

Zero

con

tam

inati

on’ t

arge

t and

pol

icy

in p

lace

10. P

roac

tive

man

agem

ent o

f soi

l and

gro

undw

ater

qua

lity

11. l

eadi

ng p

racti

ce te

chni

ques

in p

lace

to p

reve

nt fu

rthe

r/fu

ture

soi

l and

/or

grou

ndw

ater

con

tam

inati

on a

nd in

rela

tion

to re

med

iatio

n

12. P

roac

tive

enga

gem

ent w

ith s

take

hold

ers

in th

e lo

cal c

omm

unity

to e

nsur

e aw

aren

ess

of p

oten

tial s

oil a

nd/o

r gr

ound

wat

er c

onta

min

ation

13. E

ngag

emen

t with

app

ropr

iate

sta

keho

lder

s do

wn

the

valu

e ch

ain

in re

latio

n to

the

prev

entio

n an

d m

anag

emen

t of s

oil a

nd g

roun

dwat

er c

onta

min

ation

The

follo

win

g ch

ecks

are

inte

nded

as

guid

ance

and

sho

uld

not l

imit

aud

it a

ctivi

ties

.

Is th

is p

erfo

rman

ce a

rea

appl

icab

le to

the

em

ploy

men

t sit

e?If

yes,

ple

ase

com

plet

e th

e fo

llow

ing

tabl

e. If

no,

ple

ase

proc

eed

to th

e ne

xt P

erfo

rman

ce A

rea.

yes

No

EvID

ENCE

GAT

hER

ING

ON

CO

NTA

mIN

ATED

LA

ND

/SO

IL A

ND

GR

OU

ND

WAT

ER P

OLL

UTI

ON

PR

EvEN

TIO

Nn

oTe

S

9.1

Phys

ical

em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ C

onfir

m, t

hrou

gh o

bser

vati

on, w

heth

er s

ubst

ance

s us

ed, w

aste

s st

ored

and

/or

acti

viti

es u

nder

take

n at

sit

e ha

ve

the

pote

ntial

to im

pact

und

erly

ing

soil

and

grou

ndw

ater

❒ B

ulk

cont

aine

rs (i

nclu

ding

tank

s), p

ipew

ork

cont

aini

ng s

ubst

ance

s w

ith th

e po

tenti

al to

cau

se im

pact

to th

e en

viro

nmen

t ar

e in

goo

d co

nditi

on a

nd o

f sou

nd in

tegr

ity

❒ S

econ

dary

con

tain

men

t/bu

nds

are

in g

ood

cond

ition

and

are

of s

ound

inte

grit

y

❒ P

roce

dure

s es

tabl

ishe

d to

pre

vent

/red

uce

the

pote

ntial

for

impa

ct to

soi

l and

gro

undw

ater

are

bei

ng fo

llow

ed

(e.g

. man

agem

ent

of s

ubst

ance

s, a

ctivi

ties

etc

.)

❒ E

mer

genc

y re

spon

se e

quip

men

t is

avai

labl

e an

d ha

s be

en c

heck

ed to

ens

ure

that

it is

in a

ppro

pria

te w

orki

ng o

rder

❒ N

o sp

ills

or le

aks

to th

e en

viro

nmen

t ar

e ob

serv

ed

❒ T

here

is n

o st

aini

ng o

f unp

rote

cted

gro

und

❒ N

o ar

eas

of th

e em

ploy

men

t sit

e ha

ve b

een

subj

ect t

o bu

rnin

g or

bur

ying

of w

aste

acti

viti

es

❒ R

evie

w n

eigh

bour

ing

prop

erti

es/o

pera

tion

s an

d co

nfirm

whe

ther

ther

e is

the

pote

ntial

for

off-s

ite

acti

viti

es im

pacti

ng

soil

and

grou

ndw

ater

mig

rati

ng o

nto

the

empl

oym

ent s

ite

(thi

s w

ould

be

an o

bser

vati

on ra

ther

than

a c

ompl

ianc

e fin

ding

)

9.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to c

onta

min

ated

land

/soi

l and

gro

undw

ater

pol

luti

on p

reve

ntion

hav

e be

en

esta

blis

hed

and

impl

emen

ted

(e.g

. wri

tten

pol

icie

s an

d pr

oced

ures

, em

ploy

ee h

andb

ook,

indu

ction

trai

ning

, etc

.)

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce in

rela

tion

to c

onta

min

ated

land

/soi

l and

gro

undw

ater

pol

luti

on p

reve

ntion

as

per

the

sit

e Em

S


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

9. C

onta

min

ated

land

/soi

l and

gro

undw

ater

pol

luti

on p

reve

ntion

Empl

oym

ent s

ite

requ

irem

ents

at e

ach

perf

orm

ance

leve

l:

Leve

l 1:

1.

Mee

t leg

al re

quire

men

ts

2.

Rele

vant

, up‐

to‐d

ate

perm

its a

re h

eld

and

com

plia

nce

mai

ntai

ned

3.

Und

erst

andi

ng a

nd a

war

enes

s of

site

setti

ng/s

ensi

tive

rece

ptor

s in

site

’s v

icin

ity

4.

not

cau

sing

or

know

ingl

y pe

rmitti

ng c

onta

min

ation

of s

oil a

nd g

roun

dwat

er

Leve

l 2:

5.

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

cont

amin

ated

soi

l and

gro

undw

ater

as

per

the

site

EM

S

6.

Qua

litati

ve, d

esk‐

base

d (a

s ap

prop

riat

e) s

oil a

nd g

roun

dwat

er r

isk

asse

ssm

ent c

ompl

eted

incl

udin

g:a.

All

pote

ntial

cur

rent

and

his

tori

cal o

n‐si

te s

ourc

es o

f pot

entia

l soi

l and

gro

undw

ater

impa

ctb.

All

pote

ntial

cur

rent

and

his

tori

cal o

ff‐si

te s

ourc

es o

f pot

entia

l soi

l and

gro

undw

ater

impa

ctc.

Map

ping

of a

ll re

cept

ors

and

path

way

sd.

Ass

essm

ent o

f ris

k of

soi

l and

gro

undw

ater

impa

ct

7.

All

actio

ns c

ompl

eted

follo

win

g re

sults

for

soil

and

grou

ndw

ater

ris

k as

sess

men

t, e

.g. a

nd a

s re

quire

d:a.

Foc

used

Pha

se II

inve

stiga

tion

b. A

ppro

pria

te a

nd e

ffici

ent r

emed

iatio

n of

soi

l and

/or

grou

ndw

ater

con

tam

inati

on p

erfo

rmed

8.

Any

soi

l and

gro

undw

ater

con

tam

inati

on is

com

mun

icat

ed to

rele

vant

sta

keho

lder

s, a

s re

quire

d

Leve

l 3:

9.

Zero

con

tam

inati

on’ t

arge

t and

pol

icy

in p

lace

10. P

roac

tive

man

agem

ent o

f soi

l and

gro

undw

ater

qua

lity

11. l

eadi

ng p

racti

ce te

chni

ques

in p

lace

to p

reve

nt fu

rthe

r/fu

ture

soi

l and

/or

grou

ndw

ater

con

tam

inati

on a

nd in

rela

tion

to re

med

iatio

n

12. P

roac

tive

enga

gem

ent w

ith s

take

hold

ers

in th

e lo

cal c

omm

unity

to e

nsur

e aw

aren

ess

of p

oten

tial s

oil a

nd/o

r gr

ound

wat

er c

onta

min

ation

13. E

ngag

emen

t with

app

ropr

iate

sta

keho

lder

s do

wn

the

valu

e ch

ain

in re

latio

n to

the

prev

entio

n an

d m

anag

emen

t of s

oil a

nd g

roun

dwat

er c

onta

min

ation

The

follo

win

g ch

ecks

are

inte

nded

as

guid

ance

and

sho

uld

not l

imit

aud

it a

ctivi

ties

.

Is th

is p

erfo

rman

ce a

rea

appl

icab

le to

the

em

ploy

men

t sit

e?If

yes,

ple

ase

com

plet

e th

e fo

llow

ing

tabl

e. If

no,

ple

ase

proc

eed

to th

e ne

xt P

erfo

rman

ce A

rea.

yes

No

EvID

ENCE

GAT

hER

ING

ON

CO

NTA

mIN

ATED

LA

ND

/SO

IL A

ND

GR

OU

ND

WAT

ER P

OLL

UTI

ON

PR

EvEN

TIO

Nn

oTe

S

9.1

Phys

ical

em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ C

onfir

m, t

hrou

gh o

bser

vati

on, w

heth

er s

ubst

ance

s us

ed, w

aste

s st

ored

and

/or

acti

viti

es u

nder

take

n at

sit

e ha

ve

the

pote

ntial

to im

pact

und

erly

ing

soil

and

grou

ndw

ater

❒ B

ulk

cont

aine

rs (i

nclu

ding

tank

s), p

ipew

ork

cont

aini

ng s

ubst

ance

s w

ith th

e po

tenti

al to

cau

se im

pact

to th

e en

viro

nmen

t ar

e in

goo

d co

nditi

on a

nd o

f sou

nd in

tegr

ity

❒ S

econ

dary

con

tain

men

t/bu

nds

are

in g

ood

cond

ition

and

are

of s

ound

inte

grit

y

❒ P

roce

dure

s es

tabl

ishe

d to

pre

vent

/red

uce

the

pote

ntial

for

impa

ct to

soi

l and

gro

undw

ater

are

bei

ng fo

llow

ed

(e.g

. man

agem

ent

of s

ubst

ance

s, a

ctivi

ties

etc

.)

❒ E

mer

genc

y re

spon

se e

quip

men

t is

avai

labl

e an

d ha

s be

en c

heck

ed to

ens

ure

that

it is

in a

ppro

pria

te w

orki

ng o

rder

❒ N

o sp

ills

or le

aks

to th

e en

viro

nmen

t ar

e ob

serv

ed

❒ T

here

is n

o st

aini

ng o

f unp

rote

cted

gro

und

❒ N

o ar

eas

of th

e em

ploy

men

t sit

e ha

ve b

een

subj

ect t

o bu

rnin

g or

bur

ying

of w

aste

acti

viti

es

❒ R

evie

w n

eigh

bour

ing

prop

erti

es/o

pera

tion

s an

d co

nfirm

whe

ther

ther

e is

the

pote

ntial

for

off-s

ite

acti

viti

es im

pacti

ng

soil

and

grou

ndw

ater

mig

rati

ng o

nto

the

empl

oym

ent s

ite

(thi

s w

ould

be

an o

bser

vati

on ra

ther

than

a c

ompl

ianc

e fin

ding

)

9.2

Empl

oym

ent s

ite

proc

edur

es a

nd p

roce

sses

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to c

onta

min

ated

land

/soi

l and

gro

undw

ater

pol

luti

on p

reve

ntion

hav

e be

en

esta

blis

hed

and

impl

emen

ted

(e.g

. wri

tten

pol

icie

s an

d pr

oced

ures

, em

ploy

ee h

andb

ook,

indu

ction

trai

ning

, etc

.)

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce in

rela

tion

to c

onta

min

ated

land

/soi

l and

gro

undw

ater

pol

luti

on p

reve

ntion

as

per

the

sit

e Em

S

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

9.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t und

erst

ands

and

are

aw

are

of s

ite

setti

ng/s

ensi

tive

rece

ptor

s in

sit

e’s

vici

nity

❒ m

anag

emen

t und

erst

and

the

pote

ntial

impa

ct o

n so

il an

d gr

ound

wat

er fr

om s

ite

acti

viti

es a

nd o

pera

tion

s

❒ m

anag

emen

t do

not k

now

ingl

y pe

rmit

con

tam

inati

on o

f soi

l and

gro

undw

ater

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s co

ncer

ning

con

tam

inat

ed la

nd/s

oil a

nd g

roun

dwat

er p

ollu

tion

pr

even

tion

and

com

plia

nce

❒ P

olic

ies

and

proc

esse

s re

gard

ing

cont

amin

ated

land

/soi

l and

gro

undw

ater

pol

luti

on p

reve

ntion

are

eff

ecti

vely

co

mm

unic

ated

to w

orke

rs

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

that

com

plia

nce

wit

h ap

plic

able

law

s an

d re

gula

tion

s

is m

aint

aine

d

❒ m

anag

emen

t con

firm

s th

at w

aste

mat

eria

ls a

re n

ot b

urie

d on

-sit

e cu

rren

tly

❒ m

anag

emen

t con

firm

s th

at w

aste

mat

eria

ls h

ave

not b

een

buri

ed o

n-si

te h

isto

rica

lly

LEv

EL 2

❒ m

anag

emen

t con

firm

s so

il an

d gr

ound

wat

er a

sses

smen

ts, a

nd a

ction

s re

sulti

ng fr

om th

e ri

sk a

sses

smen

t, a

re c

ompl

eted

❒ m

anag

emen

t con

firm

s th

at th

e so

il an

d gr

ound

wat

er a

sses

smen

ts c

ompl

eted

to d

ate

take

into

acc

ount

all

pote

ntial

so

urce

s of

ris

k to

soi

l and

gro

undw

ater

, nam

ely

• on

-sit

e an

d off

-sit

e cu

rren

t and

his

tori

cal s

ourc

es o

f con

tam

inati

on;

• th

e po

tenti

al s

oil a

nd g

roun

dwat

er im

pact

s pr

esen

ted

by th

ose

sour

ces

of c

onta

min

ation

;•

all p

athw

ays

and

rece

ptor

s fo

r th

e co

ntam

inati

on id

enti

fied;

and

hen

ce•

an o

vera

ll as

sess

men

t of r

isk

to s

oil a

nd g

roun

dwat

er q

ualit

y

❒ m

anag

emen

t con

firm

that

all

acti

ons

have

bee

n co

mpl

eted

follo

win

g re

sult

s fo

r so

il an

d gr

ound

wat

er r

isk

asse

ssm

ent

incl

udin

g, a

s re

quir

ed:

• fo

cuss

ed P

hase

II in

vesti

gati

on a

nd

• ap

prop

riat

e an

d effi

cien

t rem

edia

tion

of s

oil a

nd/o

r gr

ound

wat

er c

onta

min

ation

❒ T

he e

mpl

oym

ent s

ite

ensu

res

any

soil

and

grou

ndw

ater

con

tam

inati

on is

com

mun

icat

ed to

rele

vant

inte

rnal

an

d ex

tern

al s

take

hold

ers

LEv

EL 3

❒ m

anag

emen

t hav

e im

plem

ente

d an

d pr

omot

e a

‘zer

o co

ntam

inati

on’ t

arge

t and

pol

icy

❒ m

anag

emen

t are

pro

acti

ve in

mai

ntai

ning

and

impr

ovin

g so

il an

d gr

ound

wat

er q

ualit

y

❒ m

anag

emen

t acti

vely

pro

mot

es th

e im

plem

enta

tion

of l

eadi

ng p

racti

ce te

chni

ques

to p

reve

nt fu

rthe

r/fu

ture

soi

l an

d/or

gro

undw

ater

con

tam

inati

on a

nd in

rela

tion

to re

med

iati

on

❒ m

anag

emen

t are

pro

acti

ve in

eng

agin

g w

ith

stak

ehol

ders

in th

e lo

cal c

omm

unit

y to

ens

ure

awar

enes

s of

pot

enti

al

soil

and/

or g

roun

dwat

er c

onta

min

ation

❒ m

anag

emen

t eng

age

wit

h ap

prop

riat

e st

akeh

olde

rs d

own

the

valu

e ch

ain

in re

lati

on to

the

prev

enti

on

and

man

agem

ent o

f soi

l and

gro

undw

ater

con

tam

inati

on

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h D

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

impa

ct s

oil a

nd g

roun

dwat

er

❒ K

ey w

orke

rs a

re a

war

e of

con

tam

inat

ed la

nd/s

oil a

nd g

roun

dwat

er p

ollu

tion

pre

venti

on p

erm

it/l

icen

ce re

quir

emen

ts,

whe

re a

pplic

able

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n so

il an

d gr

ound

wat

er is

sues

at i

nduc

tion

, whe

re a

ppro

pria

te

❒ K

ey w

orke

rs w

ith

cont

amin

ated

land

/soi

l and

gro

undw

ater

pol

luti

on p

reve

ntion

man

agem

ent r

espo

nsib

iliti

es re

ceiv

e sp

ecifi

c tr

aini

ng a

s re

quir

ed

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

con

tam

inat

ed la

nd/s

oil a

nd g

roun

dwat

er p

ollu

tion

pre

venti

on p

roce

dure

s,

whe

re a

ppro

pria

te

❒ W

orke

rs c

onfir

m th

at w

aste

mat

eria

ls a

re n

ot b

urie

d on

-sit

e cu

rren

tly

❒ W

orke

rs c

onfir

m th

at w

aste

mat

eria

ls h

ave

not b

een

buri

ed o

n-si

te h

isto

rica

lly

…

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

9.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t und

erst

ands

and

are

aw

are

of s

ite

setti

ng/s

ensi

tive

rece

ptor

s in

sit

e’s

vici

nity

❒ m

anag

emen

t und

erst

and

the

pote

ntial

impa

ct o

n so

il an

d gr

ound

wat

er fr

om s

ite

acti

viti

es a

nd o

pera

tion

s

❒ m

anag

emen

t do

not k

now

ingl

y pe

rmit

con

tam

inati

on o

f soi

l and

gro

undw

ater

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s co

ncer

ning

con

tam

inat

ed la

nd/s

oil a

nd g

roun

dwat

er p

ollu

tion

pr

even

tion

and

com

plia

nce

❒ P

olic

ies

and

proc

esse

s re

gard

ing

cont

amin

ated

land

/soi

l and

gro

undw

ater

pol

luti

on p

reve

ntion

are

eff

ecti

vely

co

mm

unic

ated

to w

orke

rs

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

that

com

plia

nce

wit

h ap

plic

able

law

s an

d re

gula

tion

s

is m

aint

aine

d

❒ m

anag

emen

t con

firm

s th

at w

aste

mat

eria

ls a

re n

ot b

urie

d on

-sit

e cu

rren

tly

❒ m

anag

emen

t con

firm

s th

at w

aste

mat

eria

ls h

ave

not b

een

buri

ed o

n-si

te h

isto

rica

lly

LEv

EL 2

❒ m

anag

emen

t con

firm

s so

il an

d gr

ound

wat

er a

sses

smen

ts, a

nd a

ction

s re

sulti

ng fr

om th

e ri

sk a

sses

smen

t, a

re c

ompl

eted

❒ m

anag

emen

t con

firm

s th

at th

e so

il an

d gr

ound

wat

er a

sses

smen

ts c

ompl

eted

to d

ate

take

into

acc

ount

all

pote

ntial

so

urce

s of

ris

k to

soi

l and

gro

undw

ater

, nam

ely

• on

-sit

e an

d off

-sit

e cu

rren

t and

his

tori

cal s

ourc

es o

f con

tam

inati

on;

• th

e po

tenti

al s

oil a

nd g

roun

dwat

er im

pact

s pr

esen

ted

by th

ose

sour

ces

of c

onta

min

ation

;•

all p

athw

ays

and

rece

ptor

s fo

r th

e co

ntam

inati

on id

enti

fied;

and

hen

ce•

an o

vera

ll as

sess

men

t of r

isk

to s

oil a

nd g

roun

dwat

er q

ualit

y

❒ m

anag

emen

t con

firm

that

all

acti

ons

have

bee

n co

mpl

eted

follo

win

g re

sult

s fo

r so

il an

d gr

ound

wat

er r

isk

asse

ssm

ent

incl

udin

g, a

s re

quir

ed:

• fo

cuss

ed P

hase

II in

vesti

gati

on a

nd

• ap

prop

riat

e an

d effi

cien

t rem

edia

tion

of s

oil a

nd/o

r gr

ound

wat

er c

onta

min

ation

❒ T

he e

mpl

oym

ent s

ite

ensu

res

any

soil

and

grou

ndw

ater

con

tam

inati

on is

com

mun

icat

ed to

rele

vant

inte

rnal

an

d ex

tern

al s

take

hold

ers

LEv

EL 3

❒ m

anag

emen

t hav

e im

plem

ente

d an

d pr

omot

e a

‘zer

o co

ntam

inati

on’ t

arge

t and

pol

icy

❒ m

anag

emen

t are

pro

acti

ve in

mai

ntai

ning

and

impr

ovin

g so

il an

d gr

ound

wat

er q

ualit

y

❒ m

anag

emen

t acti

vely

pro

mot

es th

e im

plem

enta

tion

of l

eadi

ng p

racti

ce te

chni

ques

to p

reve

nt fu

rthe

r/fu

ture

soi

l an

d/or

gro

undw

ater

con

tam

inati

on a

nd in

rela

tion

to re

med

iati

on

❒ m

anag

emen

t are

pro

acti

ve in

eng

agin

g w

ith

stak

ehol

ders

in th

e lo

cal c

omm

unit

y to

ens

ure

awar

enes

s of

pot

enti

al

soil

and/

or g

roun

dwat

er c

onta

min

ation

❒ m

anag

emen

t eng

age

wit

h ap

prop

riat

e st

akeh

olde

rs d

own

the

valu

e ch

ain

in re

lati

on to

the

prev

enti

on

and

man

agem

ent o

f soi

l and

gro

undw

ater

con

tam

inati

on

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h D

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

impa

ct s

oil a

nd g

roun

dwat

er

❒ K

ey w

orke

rs a

re a

war

e of

con

tam

inat

ed la

nd/s

oil a

nd g

roun

dwat

er p

ollu

tion

pre

venti

on p

erm

it/l

icen

ce re

quir

emen

ts,

whe

re a

pplic

able

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n so

il an

d gr

ound

wat

er is

sues

at i

nduc

tion

, whe

re a

ppro

pria

te

❒ K

ey w

orke

rs w

ith

cont

amin

ated

land

/soi

l and

gro

undw

ater

pol

luti

on p

reve

ntion

man

agem

ent r

espo

nsib

iliti

es re

ceiv

e sp

ecifi

c tr

aini

ng a

s re

quir

ed

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

con

tam

inat

ed la

nd/s

oil a

nd g

roun

dwat

er p

ollu

tion

pre

venti

on p

roce

dure

s,

whe

re a

ppro

pria

te

❒ W

orke

rs c

onfir

m th

at w

aste

mat

eria

ls a

re n

ot b

urie

d on

-sit

e cu

rren

tly

❒ W

orke

rs c

onfir

m th

at w

aste

mat

eria

ls h

ave

not b

een

buri

ed o

n-si

te h

isto

rica

lly

…

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

9.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite

perm

its

and

licen

ces

that

rela

te to

con

tam

inat

ed la

nd/s

oil a

nd g

roun

dwat

er p

ollu

tion

pr

even

tion

are

ava

ilabl

e an

d up

to d

ate

❒ A

‘zer

o co

ntam

inati

on’ t

arge

t and

pol

icy

is m

aint

aine

d on

-sit

e an

d is

ava

ilabl

e

❒ W

here

the

empl

oym

ent s

ite

is le

gally

requ

ired

to h

old

and/

or m

aint

ain

docu

men

tati

on in

rela

tion

to c

onta

min

ated

la

nd/s

oil a

nd g

roun

dwat

er p

ollu

tion

pre

venti

on, t

he d

ocum

enta

tion

is re

tain

ed o

n fil

e fo

r th

e re

quir

ed p

erio

d of

tim

e

❒ T

he e

mpl

oym

ent

site

has

doc

umen

ted

the

site

setti

ng/s

ensi

tive

rece

ptor

s in

the

site

’s v

icin

ity

❒ R

ecor

ds o

f ins

pecti

ons

of s

econ

dary

con

tain

men

t/bu

nds

are

avai

labl

e

❒ R

ecor

ds o

f spi

lls o

r re

leas

es to

the

envi

ronm

ent a

re d

ocum

ente

d

❒ A

ny k

now

n so

il an

d gr

ound

wat

er im

pact

s ar

isin

g fr

om o

ff-s

ite

sour

ces

have

bee

n do

cum

ente

d

❒ P

roce

dure

s th

at a

ddre

ss s

oil a

nd g

roun

dwat

er im

pact

s at

the

site

are

mad

e av

aila

ble

to re

leva

nt e

mpl

oym

ent s

ite

pers

onne

l

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

trai

ning

mat

rix

etc.

) ind

icat

e:•

wor

kers

rece

ive

trai

ning

on

soil

and

grou

ndw

ater

issu

es a

nd p

ollu

tion

pre

venti

on; a

nd•

key

wor

kers

rece

ive

trai

ning

app

licab

le to

the

ir c

onta

min

ated

land

/soi

l and

gro

undw

ater

pol

luti

on p

reve

ntion

m

anag

emen

t ro

les

and

resp

onsi

biliti

es

LEv

EL 2

❒ T

he e

mpl

oym

ent

site

mai

ntai

ns d

ocum

enta

tion

rela

ting

to s

oil a

nd g

roun

dwat

er r

isk

asse

ssm

ents

incl

udin

g, w

here

ap

prop

riat

e, fo

cuss

ed P

hase

II in

vesti

gati

ons,

mon

itor

ing

resu

lts

and

rem

edia

tion

acti

viti

es

LEv

EL 3

❒ T

he e

mpl

oym

ent

site

has

impl

emen

ted

lead

ing

prac

tice

tech

niqu

es to

pre

vent

furt

her/

futu

re s

oil a

nd/o

r gr

ound

wat

er

cont

amin

ation

and

in re

lati

on to

rem

edia

tion

❒ C

omm

unic

ation

s w

ith

appr

opri

ate

stak

ehol

ders

and

the

loca

l com

mun

ity

thro

ugh

the

valu

e ch

ain

show

that

th

e pr

even

tion

and

man

agem

ent

of s

oil a

nd g

roun

dwat

er c

onta

min

ation

hav

e be

en d

iscu

ssed

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

10. L

and

use

and

biod

iver

sity

Empl

oym

ent s

ite

requ

irem

ents

at e

ach

perf

orm

ance

leve

l:

Leve

l 1:

1.

Mee

t leg

al re

quire

men

ts re

latin

g to

pla

nnin

g an

d de

velo

pmen

t

2.

Rele

vant

, up‐

to‐d

ate

perm

its a

re h

eld

and

com

plia

nce

mai

ntai

ned

3.

no

nega

tive

impa

ct o

n de

sign

ated

pro

tecti

on a

reas

or

spec

ies

Leve

l 2:

4.

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

land

use

and

bio

dive

rsity

as

per

the

site

EM

S

5.

In a

gric

ultu

ral p

rodu

ction

, pro

activ

e m

anag

emen

t to

mai

ntai

n so

il fe

rtilit

y, a

void

soi

l ero

sion

and

pro

mot

e so

il an

d bi

odiv

ersi

ty re

cove

ry

6.

Whe

re a

ppro

pria

te, d

emon

stra

ble

impr

ovem

ent i

n la

nd u

se a

nd b

iodi

vers

ity p

erfo

rman

ce in

clud

ing

defo

rest

ation

, reh

abili

tatio

n an

d co

nser

vatio

n ac

tiviti

es

Leve

l 3:

7.

land

use

is s

usta

inab

le w

ithin

loca

l eco

syst

em c

onte

xt

8.

lead

ersh

ip ro

le in

bio

dive

rsity

con

serv

ation

, for

exa

mpl

e pa

rtne

rshi

p w

ith re

leva

nt lo

cal o

rgan

isati

ons

9.

lead

ing

prac

tice

mec

hani

sms

in p

lace

to p

rom

ote

biod

iver

sity

and

lead

ing

prac

tice

land

man

agem

ent

10. E

ngag

emen

t with

app

ropr

iate

sta

keho

lder

s do

wn

the

valu

e ch

ain

to im

prov

e la

nd u

se a

nd b

iodi

vers

ity p

erfo

rman

ce, w

ithin

and

bey

ond

site

bou

ndar

ies

11. d

emon

stra

ble

achi

evem

ent o

f str

etch

ing

targ

ets

beyo

nd re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

actic

e

The

follo

win

g ch

ecks

are

inte

nded

as

guid

ance

and

sho

uld

not l

imit

aud

it a

ctivi

ties

.

Is th

is p

erfo

rman

ce a

rea

appl

icab

le to

the

em

ploy

men

t sit

e?If

yes,

ple

ase

com

plet

e th

e fo

llow

ing

tabl

e. If

no,

ple

ase

proc

eed

to th

e ne

xt P

erfo

rman

ce A

rea.

yes

No

…


intr

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EvID

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GAT

hER

ING

ON

LA

ND

USE

AN

D B

IOD

IvER

SITy

no

TeS

10.1

Phy

sica

l em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ E

mpl

oym

ent s

ite

oper

ation

s an

d ac

tivi

ties

obs

erve

d ar

e in

line

wit

h le

gal r

equi

rem

ents

rela

ting

to la

nd u

se (i

nclu

ding

pl

anni

ng p

erm

issi

on a

nd d

evel

opm

ent r

equi

rem

ents

)

❒ R

evie

w c

urre

nt d

evel

opm

ent o

r co

nstr

ucti

on a

ctivi

ties

to e

nsur

e th

at n

egati

ve im

pact

s to

land

use

or

biod

iver

sity

ar

e m

inim

ised

❒ R

evie

w a

num

ber

of o

pera

tion

al a

ctivi

ties

to c

heck

whe

ther

sit

e la

nd u

se a

nd b

iodi

vers

ity

proc

edur

es a

re b

eing

im

plem

ente

d

10.2

Em

ploy

men

t sit

e pr

oced

ures

and

pro

cess

es

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to la

nd u

se m

anag

emen

t hav

e be

en e

stab

lishe

d an

d im

plem

ente

d

(e.g

. wri

tten

pol

icie

s an

d pr

oced

ures

, em

ploy

ee h

andb

ook,

indu

ction

trai

ning

etc

.)

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to b

iodi

vers

ity

man

agem

ent h

ave

been

est

ablis

hed

and

impl

emen

ted

(e

.g. w

ritt

en p

olic

ies

and

proc

edur

es, e

mpl

oyee

han

dboo

k, in

ducti

on tr

aini

ng e

tc.)

LEv

EL 2

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce in

rela

tion

to la

nd u

se m

anag

emen

t as

per

the

site

Em

S

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce in

rela

tion

to b

iodi

vers

ity

man

agem

ent a

s pe

r th

e si

te E

mS

10.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t is

aw

are

of th

e la

nd u

ses

to w

hich

the

site

can

be

used

❒ m

anag

emen

t un

ders

tand

the

pote

ntial

impa

ct o

n bi

odiv

ersi

ty fr

om s

ite

acti

viti

es a

nd o

pera

tion

s

❒ m

anag

emen

t is

aw

are

of la

ws

and

regu

lati

ons

conc

erni

ng la

nd u

se a

nd b

iodi

vers

ity

and

com

plia

nce

❒ P

olic

ies

and

proc

esse

s re

gard

ing

land

use

and

bio

dive

rsit

y ar

e eff

ecti

vely

com

mun

icat

ed to

wor

kers

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

that

com

plia

nce

wit

h ap

plic

able

law

s an

d re

gula

tion

s

is m

aint

aine

d

LEv

EL 2

❒ In

agr

icul

ture

pro

ducti

on m

anag

emen

t ac

tive

ly p

rom

otes

or

endo

rses

pro

acti

ve m

anag

emen

t in

agri

cult

ural

pr

oduc

tion

to m

aint

ain

soil

ferti

lity,

avo

id s

oil e

rosi

on a

nd p

rom

ote

soil

and

biod

iver

sity

reco

very

❒ T

he e

mpl

oym

ent s

ite

dem

onst

rate

s, w

here

app

ropr

iate

, im

prov

emen

t in

land

use

and

bio

dive

rsit

y pe

rfor

man

ce

incl

udin

g de

fore

stati

on, r

ehab

ilita

tion

and

con

serv

ation

acti

viti

es

LEv

EL 3

❒ m

anag

emen

t und

erst

ands

the

conc

ept o

f sus

tain

able

land

use

wit

hin

the

loca

l eco

syst

em c

onte

xt

❒ T

he e

mpl

oym

ent s

ite

dem

onst

rate

s a

lead

ersh

ip ro

le in

bio

dive

rsit

y co

nser

vati

on (e

.g. b

y pa

rtne

ring

wit

h lo

cal

orga

nisa

tion

s)

❒ m

anag

emen

t acti

vely

pro

mot

es th

e im

plem

enta

tion

of l

eadi

ng p

racti

ce m

echa

nism

s in

rela

tion

to b

iodi

vers

ity

an

d la

nd m

anag

emen

t

❒ m

anag

emen

t und

erst

ands

wha

t rec

ogni

sed

inte

rnati

onal

sta

ndar

d pr

acti

ce is

in re

lati

on to

land

use

and

bio

dive

rsit

y fo

r th

eir

sect

or/g

eogr

aphy

and

hav

e se

t tar

gets

that

exc

eed

thos

e pr

acti

ces

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h D

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

impa

ct la

nd u

se a

nd b

iodi

vers

ity

❒ K

ey w

orke

rs a

re a

war

e of

land

use

and

bio

dive

rsit

y pe

rmit

/lic

ence

requ

irem

ents

(inc

ludi

ng p

lann

ing

perm

issi

on

requ

irem

ents

), w

here

app

licab

le

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n la

nd u

se a

nd b

iodi

vers

ity

issu

es a

t ind

ucti

on, w

here

app

ropr

iate

❒ K

ey w

orke

rs w

ith

land

use

and

bio

dive

rsit

y m

anag

emen

t res

pons

ibili

ties

rece

ive

spec

ific

trai

ning

as

requ

ired

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

land

use

and

bio

dive

rsit

y pr

oced

ures

, whe

re a

ppro

pria

te

…

…


intr

od

uctio

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ud

it req

uest

Au

dit ex

ecutio

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ePAr

Ation

Au

dit o

utPu

tsG

lossA

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APPen

dices

risk A

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ental Pre-Audit Em



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ental Alert N

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ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

EvID

ENCE

GAT

hER

ING

ON

LA

ND

USE

AN

D B

IOD

IvER

SITy

no

TeS

10.1

Phy

sica

l em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ E

mpl

oym

ent s

ite

oper

ation

s an

d ac

tivi

ties

obs

erve

d ar

e in

line

wit

h le

gal r

equi

rem

ents

rela

ting

to la

nd u

se (i

nclu

ding

pl

anni

ng p

erm

issi

on a

nd d

evel

opm

ent r

equi

rem

ents

)

❒ R

evie

w c

urre

nt d

evel

opm

ent o

r co

nstr

ucti

on a

ctivi

ties

to e

nsur

e th

at n

egati

ve im

pact

s to

land

use

or

biod

iver

sity

ar

e m

inim

ised

❒ R

evie

w a

num

ber

of o

pera

tion

al a

ctivi

ties

to c

heck

whe

ther

sit

e la

nd u

se a

nd b

iodi

vers

ity

proc

edur

es a

re b

eing

im

plem

ente

d

10.2

Em

ploy

men

t sit

e pr

oced

ures

and

pro

cess

es

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to la

nd u

se m

anag

emen

t hav

e be

en e

stab

lishe

d an

d im

plem

ente

d

(e.g

. wri

tten

pol

icie

s an

d pr

oced

ures

, em

ploy

ee h

andb

ook,

indu

ction

trai

ning

etc

.)

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to b

iodi

vers

ity

man

agem

ent h

ave

been

est

ablis

hed

and

impl

emen

ted

(e

.g. w

ritt

en p

olic

ies

and

proc

edur

es, e

mpl

oyee

han

dboo

k, in

ducti

on tr

aini

ng e

tc.)

LEv

EL 2

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce in

rela

tion

to la

nd u

se m

anag

emen

t as

per

the

site

Em

S

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce in

rela

tion

to b

iodi

vers

ity

man

agem

ent a

s pe

r th

e si

te E

mS

10.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t is

aw

are

of th

e la

nd u

ses

to w

hich

the

site

can

be

used

❒ m

anag

emen

t un

ders

tand

the

pote

ntial

impa

ct o

n bi

odiv

ersi

ty fr

om s

ite

acti

viti

es a

nd o

pera

tion

s

❒ m

anag

emen

t is

aw

are

of la

ws

and

regu

lati

ons

conc

erni

ng la

nd u

se a

nd b

iodi

vers

ity

and

com

plia

nce

❒ P

olic

ies

and

proc

esse

s re

gard

ing

land

use

and

bio

dive

rsit

y ar

e eff

ecti

vely

com

mun

icat

ed to

wor

kers

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

that

com

plia

nce

wit

h ap

plic

able

law

s an

d re

gula

tion

s

is m

aint

aine

d

LEv

EL 2

❒ In

agr

icul

ture

pro

ducti

on m

anag

emen

t ac

tive

ly p

rom

otes

or

endo

rses

pro

acti

ve m

anag

emen

t in

agri

cult

ural

pr

oduc

tion

to m

aint

ain

soil

ferti

lity,

avo

id s

oil e

rosi

on a

nd p

rom

ote

soil

and

biod

iver

sity

reco

very

❒ T

he e

mpl

oym

ent s

ite

dem

onst

rate

s, w

here

app

ropr

iate

, im

prov

emen

t in

land

use

and

bio

dive

rsit

y pe

rfor

man

ce

incl

udin

g de

fore

stati

on, r

ehab

ilita

tion

and

con

serv

ation

acti

viti

es

LEv

EL 3

❒ m

anag

emen

t und

erst

ands

the

conc

ept o

f sus

tain

able

land

use

wit

hin

the

loca

l eco

syst

em c

onte

xt

❒ T

he e

mpl

oym

ent s

ite

dem

onst

rate

s a

lead

ersh

ip ro

le in

bio

dive

rsit

y co

nser

vati

on (e

.g. b

y pa

rtne

ring

wit

h lo

cal

orga

nisa

tion

s)

❒ m

anag

emen

t acti

vely

pro

mot

es th

e im

plem

enta

tion

of l

eadi

ng p

racti

ce m

echa

nism

s in

rela

tion

to b

iodi

vers

ity

an

d la

nd m

anag

emen

t

❒ m

anag

emen

t und

erst

ands

wha

t rec

ogni

sed

inte

rnati

onal

sta

ndar

d pr

acti

ce is

in re

lati

on to

land

use

and

bio

dive

rsit

y fo

r th

eir

sect

or/g

eogr

aphy

and

hav

e se

t tar

gets

that

exc

eed

thos

e pr

acti

ces

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h D

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

impa

ct la

nd u

se a

nd b

iodi

vers

ity

❒ K

ey w

orke

rs a

re a

war

e of

land

use

and

bio

dive

rsit

y pe

rmit

/lic

ence

requ

irem

ents

(inc

ludi

ng p

lann

ing

perm

issi

on

requ

irem

ents

), w

here

app

licab

le

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n la

nd u

se a

nd b

iodi

vers

ity

issu

es a

t ind

ucti

on, w

here

app

ropr

iate

❒ K

ey w

orke

rs w

ith

land

use

and

bio

dive

rsit

y m

anag

emen

t res

pons

ibili

ties

rece

ive

spec

ific

trai

ning

as

requ

ired

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

land

use

and

bio

dive

rsit

y pr

oced

ures

, whe

re a

ppro

pria

te

…

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

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ssA

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end

ices

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k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

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Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

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uppl

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Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

10.4

Doc

umen

t che

cks

LEv

EL 1

❒ R

elev

ant e

mpl

oym

ent s

ite

perm

its

and

licen

ces

that

rela

te to

land

use

and

bio

dive

rsit

y (in

clud

ing

plan

ning

pe

rmis

sion

/con

sent

and

dev

elop

men

t re

quir

emen

ts) a

re a

vaila

ble

and

up to

dat

e

❒ W

here

the

em

ploy

men

t sit

e is

lega

lly re

quir

ed to

hol

d an

d/or

mai

ntai

n do

cum

enta

tion

in re

lati

on to

land

use

an

d bi

odiv

ersi

ty, t

he d

ocum

enta

tion

is re

tain

ed o

n fil

e fo

r th

e re

quir

ed p

erio

d of

tim

e

❒ P

roce

dure

s th

at a

ddre

ss la

nd u

se a

nd b

iodi

vers

ity

issu

es a

t the

sit

e (in

clud

ing

plan

ning

of n

ew d

evel

opm

ents

, co

nstr

ucti

on, c

hang

ing

proc

esse

s et

c.) a

re m

ade

avai

labl

e to

rele

vant

em

ploy

men

t sit

e pe

rson

nel

❒ If

ther

e ha

ve b

een

rece

nt c

hang

es o

n si

te (e

.g. b

uild

ing

exte

nsio

ns, p

roce

ss c

hang

es, n

ew b

uild

ings

etc

.), c

heck

to

ens

ure

that

pot

enti

al im

pact

s on

land

use

and

bio

dive

rsit

y ha

ve b

een

cons

ider

ed a

nd d

ocum

ente

d

❒ T

rain

ing

mat

eria

ls (e

.g. i

nduc

tion

reco

rds,

tra

inin

g m

atri

x et

c.) i

ndic

ate:

• w

orke

rs re

ceiv

e tr

aini

ng o

n la

nd u

se a

nd b

iodi

vers

ity

issu

es; a

nd•

key

wor

kers

rece

ive

trai

ning

app

licab

le to

thei

r la

nd u

se a

nd b

iodi

vers

ity

man

agem

ent r

oles

and

resp

onsi

biliti

es

❒ T

here

is d

ocum

ente

d ev

iden

ce th

at d

emon

stra

tes

that

the

empl

oym

ent s

ite

does

not

neg

ative

ly im

pact

des

igna

ted

prot

ecti

on a

reas

or

spec

ies

LEv

EL 2

❒ T

he e

mpl

oym

ent s

ite

has

mad

e de

mon

stra

ble

impr

ovem

ent i

n la

nd u

se a

nd b

iodi

vers

ity

perf

orm

ance

LEv

EL 3

❒ C

omm

unic

ation

s w

ith

loca

l org

anis

ation

s sh

ow th

at th

e em

ploy

men

t sit

e is

taki

ng a

lead

ing

role

in b

iodi

vers

ity

cons

erva

tion

❒ T

he e

mpl

oym

ent s

ite

has

iden

tifie

d w

heth

er la

nd u

se is

sus

tain

able

(in

rela

tion

to th

e lo

cal e

cosy

stem

con

text

)

❒ T

he e

mpl

oym

ent s

ite

has

impl

emen

ted

lead

ing

prac

tice

mec

hani

sms

to p

rom

ote

biod

iver

sity

and

land

man

agem

ent

❒ L

and

use

and

biod

iver

sity

per

form

ance

targ

ets

are

stre

tchi

ng a

nd a

re b

eing

ach

ieve

d

❒ C

omm

unic

ation

s w

ith

appr

opri

ate

stak

ehol

ders

thro

ugh

the

valu

e ch

ain

show

that

land

and

bio

dive

rsit

y pe

rfor

man

ce

have

bee

n di

scus

sed

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

11. N

uisa

nce

Empl

oym

ent s

ite

requ

irem

ents

at e

ach

perf

orm

ance

leve

l:

Leve

l 1:

1.

Mee

t leg

al re

quire

men

ts

2.

Rele

vant

, up‐

to‐d

ate

perm

its a

re h

eld

and

com

plia

nce

mai

ntai

ned

3.

Und

erst

andi

ng a

nd a

war

enes

s of

nui

sanc

e le

vels

from

site

acti

vitie

s an

d as

soci

ated

impa

cts

(incl

udin

g od

our,

nois

e, v

isua

l and

gen

eral

hou

seke

epin

g)

Leve

l 2:

4.

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

nuis

ance

s (in

clud

ing

odou

r, no

ise,

vis

ual a

nd g

ener

al h

ouse

keep

ing)

and

com

plai

nts

as p

er th

e si

te E

MS

5.

Impa

cts

and

com

plai

nts

data

are

mad

e av

aila

ble

to re

leva

nt in

tern

al a

nd e

xter

nal s

take

hold

ers

6.

Impa

cts

and

com

plai

nts

redu

ction

targ

ets

are

revi

ewed

on

an a

nnua

l bas

is to

dri

ve c

ontin

uous

impr

ovem

ent

7.

dem

onst

rabl

e re

ducti

on in

nui

sanc

e im

pact

s an

d co

mpl

aint

s

Leve

l 3:

8. ‘

Zero

com

plai

nts’

targ

et a

nd p

olic

y in

pla

ce

9.

Proa

ctive

eng

agem

ent w

ith lo

cal c

omm

unity

/sta

keho

lder

s to

redu

ce im

pact

s

10. l

eadi

ng p

racti

ce m

echa

nism

s in

pla

ce to

ens

ure

redu

ction

of i

mpa

cts

e.g.

pro

cess

cha

nges

11. d

emon

stra

ble

achi

evem

ent o

f str

etch

ing

perf

orm

ance

targ

ets

beyo

nd re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

actic

e

The

follo

win

g ch

ecks

are

inte

nded

as

guid

ance

and

sho

uld

not l

imit

aud

it a

ctivi

ties

.

Is th

is p

erfo

rman

ce a

rea

appl

icab

le to

the

em

ploy

men

t sit

e?If

yes,

ple

ase

com

plet

e th

e fo

llow

ing

tabl

e. If

no,

ple

ase

proc

eed

to th

e ne

xt P

erfo

rman

ce A

rea.

yes

No

…


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire

EvID

ENCE

GAT

hER

ING

ON

NU

ISA

NCE

no

TeS

11.1

Phy

sica

l em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ C

onfir

m, t

hrou

gh o

bser

vati

on, w

heth

er a

ctivi

ties

und

erta

ken

at s

ite,

and

resu

lting

nor

mal

em

issi

ons)

hav

e

the

pote

ntial

to c

ause

nui

sanc

e to

sur

roun

ding

nei

ghbo

urs

❒ T

here

are

no

emis

sion

s to

air,

wat

er o

r la

nd t

hat h

ave

the

pote

ntial

to c

ause

nui

sanc

e

❒ C

onfir

m, t

hrou

gh o

bser

vati

on, w

heth

er th

ere

are

any

sens

itive

off

-sit

e re

cept

ors

adja

cent

to th

e em

ploy

men

t sit

e

(e.g

. sch

ools

, hou

sing

, etc

.)

❒ E

mis

sion

s fr

om th

e em

ploy

men

t sit

e ar

e no

t not

ed a

t the

sit

e pe

rim

eter

❒ P

roce

dure

s es

tabl

ishe

d to

pre

vent

/red

uce

the

pote

ntial

for

impa

cts

to s

urro

undi

ng a

reas

are

bei

ng fo

llow

ed

(e.g

. man

agem

ent o

f was

te, a

ctivi

ties

etc

.)

❒ E

mer

genc

y re

spon

se e

quip

men

t is

avai

labl

e an

d ha

s be

en c

heck

ed to

ens

ure

that

it is

in a

ppro

pria

te w

orki

ng o

rder

❒ G

ener

al h

ouse

keep

ing

acro

ss th

e em

ploy

men

t si

te is

of a

n ac

cept

able

sta

ndar

d

❒ N

o sp

ills

or le

aks

to th

e en

viro

nmen

t are

obs

erve

d

11.2

Em

ploy

men

t sit

e pr

oced

ures

and

pro

cess

es

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to n

uisa

nce

man

agem

ent h

ave

been

est

ablis

hed

and

impl

emen

ted

(e.g

. wri

tten

po

licie

s an

d pr

oced

ures

, em

ploy

ee h

andb

ook,

indu

ction

trai

ning

, etc

.)

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce to

man

age

nuis

ance

s (in

clud

ing

odou

r, no

ise,

vis

ual a

nd g

ener

al

hous

ekee

ping

) as

per

the

site

Em

S

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce to

man

age

com

plai

nts

aris

ing

from

on-

site

nui

sanc

es a

s pe

r th

e si

te E

mS

11.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t und

erst

and

and

are

awar

e of

pot

enti

al n

uisa

nce

leve

ls fr

om s

ite

acti

viti

es a

nd a

ssoc

iate

d im

pact

s (in

clud

ing

odou

r, no

ise,

vis

ual a

nd g

ener

al h

ouse

keep

ing)

❒ m

anag

emen

t is

awar

e of

law

s an

d re

gula

tion

s co

ncer

ning

nui

sanc

e an

d co

mpl

ianc

e

❒ P

olic

ies

and

proc

esse

s re

gard

ing

nuis

ance

are

eff

ecti

vely

com

mun

icat

ed to

wor

kers

❒ m

anag

emen

t is

awar

e of

com

plai

nts

that

are

rece

ived

by

the

empl

oym

ent s

ite

❒ m

anag

emen

t pro

vide

the

appr

opri

ate

reso

urce

s to

ens

ure

that

com

plia

nce

wit

h ap

plic

able

law

s an

d re

gula

tion

s

is m

aint

aine

d

LEv

EL 2

❒ m

anag

emen

t are

pro

acti

vely

dri

ving

con

tinu

ous

impr

ovem

ent t

hrou

gh re

view

ing

com

plai

nts

targ

ets

on a

n an

nual

bas

is

❒ T

he e

mpl

oym

ent s

ite

ensu

res

impa

cts

and

com

plai

nts

data

is m

ade

avai

labl

e to

rele

vant

inte

rnal

and

ext

erna

l st

akeh

olde

rs a

nd lo

cal c

omm

uniti

es

❒ T

he e

mpl

oym

ent s

ite

dem

onst

rate

s, w

here

app

ropr

iate

, im

prov

emen

t in

nuis

ance

impa

cts

and

com

plai

nts

LEv

EL 3

❒ m

anag

emen

t hav

e im

plem

ente

d an

d pr

omot

e a

‘zer

o co

mpl

aint

s’ ta

rget

and

pol

icy

❒ m

anag

emen

t acti

vely

pro

mot

es th

e im

plem

enta

tion

of l

eadi

ng p

racti

ce m

echa

nism

s in

rela

tion

to re

duci

ng im

pact

s (e

.g. t

hrou

gh p

roce

ss c

hang

es)

❒ m

anag

emen

t und

erst

ands

wha

t rec

ogni

sed

inte

rnati

onal

sta

ndar

d pr

acti

ce is

in re

lati

on to

nui

sanc

e m

anag

emen

t fo

r th

eir

sect

or/g

eogr

aphy

and

hav

e se

t tar

gets

that

exc

eed

thos

e pr

acti

ces

Inte

rvie

ws

wit

h k

ey w

ork

ers/

oth

er w

ork

ers

use

d to

co

rro

bora

te w

ork

er t

esti

mo

ny

wit

h D

ocu

men

t ch

ecks

an

d m

anag

emen

t in

terv

iew

s. T

hey

co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ W

orke

rs u

nder

stan

d ho

w th

ey, a

nd th

eir

site

’s a

ctivi

ties

and

ope

rati

ons,

can

impa

ct s

urro

undi

ng n

eigh

bour

s

❒ K

ey w

orke

rs a

re a

war

e of

nui

sanc

e pe

rmit

/lic

ence

requ

irem

ents

, whe

re a

pplic

able

❒ W

orke

rs re

ceiv

e tr

aini

ng o

n nu

isan

ce is

sues

at i

nduc

tion

, whe

re a

ppro

pria

te

❒ K

ey w

orke

rs w

ith

nuis

ance

and

com

plai

nts

man

agem

ent r

espo

nsib

iliti

es re

ceiv

e sp

ecifi

c tr

aini

ng a

s re

quir

ed

❒ W

orke

rs h

ave

acce

ss to

, and

und

erst

and,

nui

sanc

e pr

oced

ures

, whe

re a

ppro

pria

te

…

…


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire

EvID

ENCE

GAT

hER

ING

ON

NU

ISA

NCE

no

TeS

11.1

Phy

sica

l em

ploy

men

t sit

e in

spec

tion

LEv

EL 1

❒ C

onfir

m, t

hrou

gh o

bser

vati

on, w

heth

er a

ctivi

ties

und

erta

ken

at s

ite,

and

resu

lting

nor

mal

em

issi

ons)

hav

e

the

pote

ntial

to c

ause

nui

sanc

e to

sur

roun

ding

nei

ghbo

urs

❒ T

here

are

no

emis

sion

s to

air,

wat

er o

r la

nd t

hat h

ave

the

pote

ntial

to c

ause

nui

sanc

e

❒ C

onfir

m, t

hrou

gh o

bser

vati

on, w

heth

er th

ere

are

any

sens

itive

off

-sit

e re

cept

ors

adja

cent

to th

e em

ploy

men

t sit

e

(e.g

. sch

ools

, hou

sing

, etc

.)

❒ E

mis

sion

s fr

om th

e em

ploy

men

t sit

e ar

e no

t not

ed a

t the

sit

e pe

rim

eter

❒ P

roce

dure

s es

tabl

ishe

d to

pre

vent

/red

uce

the

pote

ntial

for

impa

cts

to s

urro

undi

ng a

reas

are

bei

ng fo

llow

ed

(e.g

. man

agem

ent o

f was

te, a

ctivi

ties

etc

.)

❒ E

mer

genc

y re

spon

se e

quip

men

t is

avai

labl

e an

d ha

s be

en c

heck

ed to

ens

ure

that

it is

in a

ppro

pria

te w

orki

ng o

rder

❒ G

ener

al h

ouse

keep

ing

acro

ss th

e em

ploy

men

t si

te is

of a

n ac

cept

able

sta

ndar

d

❒ N

o sp

ills

or le

aks

to th

e en

viro

nmen

t are

obs

erve

d

11.2

Em

ploy

men

t sit

e pr

oced

ures

and

pro

cess

es

LEv

EL 1

❒ P

olic

ies

and

proc

edur

es in

rela

tion

to n

uisa

nce

man

agem

ent h

ave

been

est

ablis

hed

and

impl

emen

ted

(e.g

. wri

tten

po

licie

s an

d pr

oced

ures

, em

ploy

ee h

andb

ook,

indu

ction

trai

ning

, etc

.)

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce to

man

age

nuis

ance

s (in

clud

ing

odou

r, no

ise,

vis

ual a

nd g

ener

al

hous

ekee

ping

) as

per

the

site

Em

S

❒ F

orm

al s

yste

ms

and

proc

esse

s ar

e in

pla

ce to

man

age

com

plai

nts

aris

ing

from

on-

site

nui

sanc

es a

s pe

r th

e si

te E

mS

11.3

Inte

rvie

ws

Inte

rvie

ws

wit

h m

anag

emen

t co

nfi

rm t

he

foll

ow

ing

:

LEv

EL 1

❒ m

anag

emen

t und

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ppro

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❒ K

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rela

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is re

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at a

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e si

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re m

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avai

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ploy

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❒ T

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mat

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ir n

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and

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agem

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oles

and

resp

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rfor

man

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LEv

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impl

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ted

lead

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prac

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mec

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❒ N

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stre

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re b

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❒ C

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ith

appr

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and

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loca

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thro

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ain

show

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hav

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aPPenDix 4

GSCP Reference Environmental Alert notification

Where a ‘critical’ non‐compliance is identified, the auditor should follow the escalation policies of the audit requestor. Wherever possible, the auditor should inform the audit requestor as soon as a ‘critical’ non‐compliance is identified. If the audit requestor is on site, the auditor should communicate the critical non‐compliance immediately. This will enable the audit requestor and the employment site to work together to plan an appropriate and timely resolution to the issue.

Please note that if an auditor believes they might be at risk as a result of communicating a critical non-compliance, the audit team should wait until it is removed from that situation before issuing the alert notification.

Auditors should prioritise the welfare of workers when deciding how to inform employment site management of any critical non‐compliance. Auditors should follow the escalation policies of the audit requestor to minimise any risk to workers.

Examples of critical non-compliances include• An environmental aspect which represents imminent risk

of serious or significant impact to the environment (e.g. major damage to a local ecosystem, closure of a potable water abstraction point, known on‐site or off‐site impact to soil, groundwater or surface water).

• Relevant inventory/register not established in relation to a particular Performance Area, which has the potential to result in non‐compliance with permit/licence/consent requirements or which results in mis‐management of environmental matters with the potential for significant impact to the environment.

• Site currently under threat of prosecution, fine and/or enforcement in relation to an environmental issue, e.g. the site has identified that permit/licence/consent/exemption is required, but not obtained it.

• An attempt to pervert the course of the audit through fraud, coercion, deception or interference.

• A systemic violation of a legal requirement that has attracted (or could likely attract) regulator intervention (e.g. continued illegal disposal of waste materials, either on‐site or off‐site).

• Auditors denied access or obstructed from conducted from conducting a proper audit

• non‐operation of critical abatement equipment e.g. air emission scrubber, incineration unit etc.

• Evidence of the deliberate provision of false information to auditors or regulators so as to disguise non‐compliances with permit/licence/consent requirements.

• Performance or monitoring data manipulated or misreported to intentionally mislead regulators.

• A major non‐compliance from a previous audit that has not been addressed or in relation to which no significant improvement has been made by the time of a follow up audit and which has increased the level of environmental risk, e.g. of causing incidents.

• Site knowingly utilises illegal/unlicensed external third parties in relation to environmental matters (e.g. waste removal/disposal).


ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification G

SCP Reference Environmental A

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SCP Reference Environmental Supplem

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SCP Reference Environmental Sum

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WhERE A ‘CRITICAl’ non-CoMPlIAnCE IS IdEnTIFIEd:


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APPENDIx 4: GSCP REFERENCE ENvIRONmENTAL ALERT NOTIFICATION


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REFEREnCE AlERT noTIFICATIon

1. Key information

EmPLOymENT SITE AND AUDIT INFORmATION

Name of the audited company:

Supplier name:

Employment site name:

Country:

Audit date:

Date of alert:

Lead auditor:

Issue area(s):

2. Details of critical non-compliance(s)Critical non‐compliances should be presented in a consistent format, with sufficient detail concerning the issue(s) and its context to enable useful remediation discussions to begin. A table should be completed for each issue found.

CRITICAL NON-COmPLIANCE

Legislation or environmental topic:

Description of critical non-compliance:

Auditor findings (description, extent of issue, direct consequences of the issue, etc):

Documentary, interview and other evidence found:

management response:

Proposed corrective actions:


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aPPenDix 5

GSCP Reference Environmental Audit Report

This tool forms part of the GSCP set of reference tools designed to provide a common interpretation of local and international environmental standards and requirements and environmental reference codes (if available and applicable). The Environmental Reference Requirements reflect a common understanding of good environmental practice and are applicable to all raw material processing, agricultural, manufacturing and logistics sites in the supply chain. The Environmental Reference Requirements provide a model

for a site in the supply chain to demonstrate continuous improvement in its environmental performance from basic compliance to leading‐edge performance (across three defined ‘levels’ for eleven different performance areas).


ThE ConTExT, FIndInGS, ISSUES And ACTIonS AGAInST EACh AREA oF ThE AUdIT STAndARd USEd ShoUld bE REPoRTEd To ThE AUdIT REQUESToR

The report should include:

• a summary of the auditors’ evaluation of the employment site’s performance against each of the 11 Performance Areas;

• identified non‐compliances which indicate that the employment site is not meeting level 1 of the GSCP Environmental Reference Requirements;

• observations and good practices.

For each environmental Performance Area, the report should:

• describe the current situation including which of the GSCP Environmental Reference Requirements the site is currently meeting;

• provide evidence and information to substantiate the findings;

• for each non‐compliance or observation, provide a:

/ description of the non‐compliance or observation and its frequency;

/ evidence found to substantiate it;

/ classification to applicable law, code of conduct, etc;

/ if required by the audit requestor, recommended corrective action with a timeframe for completion and responsibility.


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The report should include photos of the employment site such as*:

• outside general overview;

• inside general overview

• key activities and processes that have potential environmental impact;

• waste handling and storage areas;

• hazardous substance storage areas;

• areas of potential impact to soil and groundwater including staining and distressed vegetation;

• bulk storage tanks and secondary containment;

• wastewater treatment areas;

• abatement equipment;

• good practices where these can be photographed;

• non‐compliances where these can be photographed.

Unless agreed by all parties in writing, the audit organisation will not distribute the report to any entities except the audit requestor. however, the audit requestor should share the report with the employment site/customer/supplier as soon as possible in order to facilitate co‐operation on continuous improvement.

Auditors may feel the need to separately report to the audit requestor in the event that, for example, the auditor has:

• information that is too sensitive for the audit report itself;


• commentary/insight on the attitude of management towards the non‐compliances or where management was obstructive to the audit process;

• concerns about the possibility of falsified records.

The process for reporting such information should be agreed between the audit requestor and the auditor in advance of the audit.

This type of reporting may not be appropriate where the audit requestor is the employment site itself.

*Photographs should only be taken with the permission of the employment site as they may contain or reveal confidential information.

APPENDIx 5: GSCP REFERENCE ENvIRONmENTAL AUDIT REPORT


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2. REFEREnCE AUdIT REPoRT

2.1 General information

1.0 Employment site contact details:

Name:

Address:

Country:

Telephone:

Fax/email:

GPS cordinates:

Is this site in an Export Processing zone (EPz)*? yes ❒ No ❒

1.1 Audit date(s):

1.2 Report issue date:

1.3 Audit type: Initial Follow‐up

Full Audit Partial Audit

Announced Semi‐announced Unannounced

1.4 Audit conducted by: Auditing Company (please provide name below)

Retailer brand owner Purchaser nGo Union Multiple parties. If yes, please list.

1.5 Audit personnel (please specify the names and titles of the auditors and worker interviewers who conducted the audit)

Name: Title:

Name: Title:

Name: Title:

Name: Title:

1.6 Time in and time out: In: Out:

1.7 Previous audit details (if any): • Audited conducted by:

• Audit date:

• Audit type:

* “Industrial zones with special incentives set up to attract foreign investors, in which imported materials undergo some degree of processing before being re‐exported” (Ilo, 2007)

…



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system• Audited conducted by:

• Audit date:

• Audit type:

• Audited conducted by:

• Audit date:

• Audit type:

1.8 Supplier name:

1.9 main employment site contact: Name:

Position:

Telephone:

1.10 Name and job title of employment site representative who signed the summary of findings and corrective actions

Name: Title:

1.11 Audits results reviewed by employment site management?

yes No

1.12 Audit report author:

1.13 Audit report reviewer:

1.14 General remarks:

…




ental Pre-Audit Em



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2.2 Employment site information

2.2.1 Production systems and processes

2.1.1 Industry sector:

2.1.2 Principal products:

2.1.3 main export markets:

2.1.4 main production processes (e.g. Stitching, labelling, injection, moulding, baking, harvesting, dyeing etc.):

2.1.5 main production equipment:

2.1.6 main raw materials used:

2.1.7 List of hazardous chemicals used employment site:

2.2.2 Audit overview and history

2.2.1 Applicable environment-related code of conduct, if appropriate

2.2.2 Was a perimeter survey undertaken? If Yes, please detail the results

yes No

2.2.3 Were any alert notifications issued as part of this audit?If yes, how many?

yes No



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

2.3 Reporting templateThe audit report includes ‘Findings’ and ‘Evidence’ columns as per the example below for each of the 11 Performance Areas against which the audit was conducted. For follow‐up audits, the report issued should be an updated version of the original report, with all new issues and updates to previous issues clearly highlighted. An example of how to include follow‐up information in the audit report template is shown below.

FINDING(Summary of requirement, plus description of the finding,

details of the management position, any management involvement and element of the law that has been violated)

EvIDENCE(A description of the evidence observed and related to the audit check guidelines. Please indicate the type of evidence

listed e.g. worker interview, documentary, observational)

e.g. Waste ManagementSite was not in possession of appropriate waste permit.

Follow up 01/06/09 – Site obtained relevant permit from local authority.

documentaryno permit available.Management InterviewSite management not aware of requirement.

Follow-up 01/06/09 – DocumentaryCopy of permit sent to auditor.

Follow up 01/06/09 – New IssueWaste managementSite management has not communicated requirements of permit to relevant site personnel.

Follow up 01/06/09 – New issuemanagement Interviewsmanagement reported that it has scheduled a half day awareness raising session on requirements of the new waste permit.

The tables below present the findings of the audit against each of the GSCP Environmental Reference Requirement. At level 1 non‐compliances are categorised into Critical, Major and Minor non‐compliances, together with an indication as to where these represent non‐compliances with legal requirements. in case legal requirements do not exist in the site’s country of operations, these reference requirements can be used as reference and also as parameters against which non compliances can be identified.

For level 2 and level 3, the tables state whether a particular requirement has been ‘met’ or ‘not met’. There is then a summary of good practices identified. Each section is completed with an overall summary statement in relation to which level the auditor believes the site has achieved.

Definitions and examples of non-compliances:

A non‐compliance is a specific breach of the standard or code against which the employment site was audited.

In relation to level 1 Requirements, a non‐compliance is categorised as a:

• minor non‐compliance;

• major non‐compliance; or

• critical non‐compliance.

The Audit Report records whether the non‐compliance identified is a non‐compliance with specific legal requirements.

minor

• basic environmental management structure and defined management responsibilities are in place, however, this is not documented;

• site has identified and is managing its potentially significant aspects and impacts but has not documented this process/the results;

• relevant inventory/register established in relation to a particular Performance Area, but not actively maintained;

• an occasional or isolated compliance issue e.g. missing records/documentation in relation to permit/consent/licence requirements;

• the site has a mechanism to remain up to date with applicable local legal requirements, but has not documented this process;

• an issue which presents a risk to the environment (low risk) (either on‐site or the surrounding areas);

• site has a procedure to ensure that external third parties utilised by the site for environmental matters (e.g. waste removal/disposal) are appropriately licensed, but has not documented this process;




ental Pre-Audit Em



ental Audit Checks


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• occasional or isolated instances of missing monitoring/performance data (that is not a legal requirement).

major

• basic management structure/defined management responsibilities not in place, either in relation to overall environmental management or particular Performance Area;

• site has identified that it has potentially significant environmental aspects/impacts, but has not acted on this information;

• site is not aware of its legal requirements in relation to a particular performance area;

• site has no mechanism for remaining up to date with applicable legal requirements;

• site not aware of relevant permit/licence/consent/exemption requirements;

• breaches of legislation or permit/licence/consent requirements which represents risk of moderate harm to the environment e.g. exceedance of wastewater discharge limits, exceedance of air emission limit concentration, etc;

• a systemic breach or violation of a legal requirement;

• a breach of a legal requirement or environmental permit/licence/consent which is considered likely to attract regulator intervention;

• site has not confirmed that all external third parties utilised by the site for environmental matters (e.g. waste removal/ disposal) are appropriately licensed;

• relevant inventory/register not established in relation to a particular Performance Area;

• consumption/generation data not collected in relation to a particular Performance Area that is relevant to the site;

• site has not provided identified and/or provided training to employees on environmental matters which represent a serious or significant impact to the environment.

Critical

• an environmental aspect which represents imminent risk of serious or significant impact to the environment (e.g. major damage to a local ecosystem, closure of a potable water abstraction point, known on-site or off-site impact to soil, groundwater or surface water);

• site has identified that a permit/licence/consent/exemption is required, but has not obtained it;

• relevant inventory/register not established in relation to a particular Performance Area, which has the potential to result in non-compliance with permit/licence/consent requirements or which results in mis-management of environmental matters with the potential for significant impact to the environment;

• site currently under threat of prosecution, fine and/or enforcement in relation to an environmental issue;

• an attempt to pervert the course of the audit through fraud, coercion, deception or interference;

• a systemic violation of a legal requirement that has attracted (or could likely attract) regu lator intervention (e.g. continued illegal disposal of waste materials, either on-site or off-site);

• auditors denied access or obstructed from conducted from conducting a proper audit;

• non-operation of critical abatement equipment e.g. air emission scrubber, incineration unit, etc;

• evidence of the deliberate provision of false information to auditors or regulators so as to disguise non-compliances with permit/licence/consent requirements;

• performance or monitoring data manipulated or misreported to intentionally mislead regulators;

• a major non-compliance from a previous audit that has not been addressed or for which no significant improvement has been made by the time of a follow up audit, and which has increased the level of environmental risk, e.g. of causing incidents;

• site knowingly utilises illegal/unlicensed external third parties in relation to environmental matters (e.g. waste removal/disposal).

Critical non-compliances should trigger an alert notification [see Section 4.5].

• An Observation

/ a possible issue which could develop into a non-compliance if action is not taken by the Employment Site (i.e. a potential non-compliance).

/ an issue, on which the auditor has some evidence to indicate that it may be present, but is not confirmed by more than one data point.

/ an opportunity for improvement e.g. how the employment site can meet the requirements of the next performance level.

• Good Practice

/ an innovative or novel approach to managing environmental issues in relation to a particular Performance Area.

Level 2 and Level 3 findings

The GSCP Environmental Reference Requirements at levels 2 and 3 are intended to drive performance improvement. As such, the auditor should record only whether the Employment Site has met or not met a particular Requirement, as well as observations and examples of good practice. Where the auditor identifies that a Requirement is not met, they should provide a short description as to why.

Appendix 5: GSCp RefeRenCe enviRonmentAL Audit RepoRt

enviRonmentAL Audit pRoCeSS & methodoLoGy RefeRenCe tooLS - nOvEmbER 2010

GSC

p Re

fere

nce

envi

ronm

enta

l pre

-Aud

it em

ploy

men

t Site

pro

file

G

SCp

Refe

renc

e en

viro

nmen

tal A

udit

Chec

ks

G

SCp

Refe

renc

e en

viro

nmen

tal A

lert

noti

ficati

on

GSC

p Re

fere

nce

envi

ronm

enta

l Aud

it Re

port

GSC

p Re

fere

nce

envi

ronm

enta

l Sum

mar

y of

fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCp

Refe

renc

e en

viro

nmen

tal S

uppl

emen

tary

Aud

it in

form

ation

GSC

p Re

fere

nce

envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

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Au

dit o

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dices

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ssessmen

t system

3. R

EFER

EnCE

AU

dIT

REP

oRT

by

PERF

oRM

An

CE A

REA

S

1.0

ENv

IRO

Nm

ENTA

L m

AN

AG

EmEN

T Sy

STEm

S

repo

rt

LEv

EL 1

Non

-Com

plia

nce

Type

Pl

ease

tick

one

col

umn

and

also

not

e

if it

is a

lega

l iss

ue?

Obs

erva

tion

?Fi

ndin

gSu

mm

ary

of re

quire

men

t, p

lus

desc

ripti

on

of th

e fin

ding

and

ele

men

t of t

he la

w

that

has

bee

n vi

olat

ed)

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es.

Plea

se in

dica

te th

e ty

pe o

f evi

denc

e

liste

d e.

g. w

orke

r in

terv

iew

, do

cum

enta

ry, o

bser

vatio

nal)

Criti

cal

maj

orm

inor

lega

l Is

sue?

❒❒

❒❒

❒

…




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stem

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Envi

ronm

enta

l man

agem

ent S

yste

m (E

mS)

is e

stab

lishe

d, d

ocum

ente

d,

impl

emen

ted,

mai

ntai

ned

and

conti

nual

ly re

view

ed/i

mpr

oved

The

EmS

incl

udes

:•

envi

ronm

enta

l Pol

icy;

• pl

anni

ng: e

nviro

nmen

tal r

isk

asse

ssm

ent,

setti

ng o

bjec

tives

an

d ta

rget

s;•

impl

emen

tatio

n an

d op

erati

on: o

pera

tiona

l pro

cedu

res;

ad

equa

te tr

aini

ng; d

ocum

enta

tion

and

its c

ontr

ol;

• ch

ecki

ng: m

onito

ring

and

mea

sure

men

t, a

udit

and

insp

ectio

ns;

• m

anag

emen

t Rev

iew

.

❒❒

Info

rmati

on o

n en

viro

nmen

tal p

erfo

rman

ce is

mad

e av

aila

ble

to

app

ropr

iate

inte

rnal

and

ext

erna

l sta

keho

lder

s

(ple

ase

refe

r to

the

guid

ance

sec

tion

for d

etai

led

defin

ition

)❒

❒

LEv

EL 3

Forw

ard

look

ing

envi

ronm

enta

l str

ateg

y to

dri

ve le

adin

g pr

acti

ce❒

❒

Envi

ronm

enta

l man

agem

ent a

nd e

nvir

onm

enta

l per

form

ance

targ

ets

ar

e de

sign

ed to

impr

ove

or s

usta

in th

e en

viro

nmen

t and

loca

l eco

syst

em,

or g

loba

l whe

n ap

prop

riat

e❒

❒

Proa

ctive

eng

agem

ent

wit

h re

leva

nt s

take

hold

ers

to a

chie

ve s

igni

fican

t pe

rfor

man

ce im

prov

emen

t❒

❒

Whe

re re

leva

nt, c

omm

itm

ent t

o vo

lunt

ary

stan

dard

s❒

❒

…

…



GSC

P Re

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G

SCP

Refe

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G

SCP

Refe

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viro

nmen

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lert

Noti

ficati

on

GSC

P Re

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nce

Envi

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enta

l Aud

it Re

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GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

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Fin

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s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

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uppl

emen

tary

Aud

it In

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GSC

P Re

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Envi

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f Ass

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intr

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it req

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Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

envi

ronm

enta

l man

agem

ent s

yste

ms:

❒

Lev

el 1

not

ach

ieve

d

❒ L

evel

1

❒ L

evel

2

❒ L

evel

3

Not

e to

aud

itor

: If t

his

repo

rt re

late

s to

a fo

llow

-up

audi

t, th

en p

leas

e co

py th

e ta

bles

from

abo

ve a

nd re

plic

ate

here

wit

h th

e fin

ding

s pr

esen

ted

as p

er th

e te

mpl

ate

on p

age

5.

…




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2.0

ENER

Gy

USE

, TR

AN

SPO

RT

AN

D G

REE

Nh

OU

SE G

ASE

S (G

hG

S)

repo

rt

LEv

EL 1

Non

-Com

plia

nce

Type

Pl

ease

tick

one

col

umn

and

also

not

e

if it

is a

lega

l iss

ue?

Obs

erva

tion

?Fi

ndin

gSu

mm

ary

of re

quire

men

t, p

lus

desc

ripti

on

of th

e fin

ding

and

ele

men

t of t

he la

w

that

has

bee

n vi

olat

ed)

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es.

Plea

se in

dica

te th

e ty

pe o

f evi

denc

e

liste

d e.

g. w

orke

r in

terv

iew

, do

cum

enta

ry, o

bser

vatio

nal)

Criti

cal

maj

orm

inor

lega

l Is

sue?

❒❒

❒❒

❒

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

and

audi

t ene

rgy

us

e an

d G

hG

em

issi

ons

as p

er th

e si

te E

mS

❒❒

Ener

gy c

onsu

mpti

on a

nd g

reen

hous

e ga

s em

issi

ons

(incl

udin

g

on-s

ite

vehi

cle

emis

sion

s) a

re m

ade

avai

labl

e to

app

ropr

iate

inte

rnal

an

d ex

tern

al s

take

hold

ers

❒❒

Rene

wab

le e

nerg

y us

e ta

rget

s an

d G

hG

em

issi

on re

ducti

on ta

rget

s (n

orm

alis

ed) a

re e

stab

lishe

d/re

view

ed a

t lea

st o

n an

ann

ual b

asis

to

dri

ve c

onti

nuou

s im

prov

emen

t❒

❒

Dem

onst

rabl

e re

ducti

on in

ene

rgy

(nor

mal

ised

; ple

ase

refe

r

to t

he g

uida

nce

secti

on fo

r fu

rthe

r de

finiti

on)

❒❒

Targ

ets

incl

ude

on-s

ite

vehi

cle

emis

sion

s re

ducti

on, w

hich

are

revi

ewed

on

an

annu

al b

asis

to d

rive

con

tinu

ous

impr

ovem

ent

❒❒

LEv

EL 3

Lead

ing

prac

tice

mec

hani

sms

in p

lace

to re

duce

gre

enho

use

gas

(Gh

G)

inte

nsit

y (f

or fu

rthe

r de

finiti

on p

leas

e re

fer

to t

he g

uida

nce

secti

on)

❒❒

Use

of e

nerg

y so

urce

s w

ith

low

er G

hG

inte

nsit

y❒

❒

• En

ergy

con

sum

ption

leve

l is

sust

aina

ble

with

in a

vaila

bilit

y

of lo

cal e

nerg

y re

sour

ces

❒❒

• d

emon

stra

ble

achi

evem

ent o

f str

etch

ing

ener

gy a

nd fu

el e

ffici

ency

an

d G

hG

em

issi

on ta

rget

s be

yond

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

❒❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n id

enti

fyin

g w

ays

to re

duce

Gh

G e

mis

sion

s❒

❒

Carb

on a

ccou

nting

in b

usin

ess

syst

em

❒❒

Spec

ifica

tion

of t

he m

ost e

nvir

onm

enta

lly e

ffici

ent c

ombi

nati

ons

of

veh

icle

type

s, fu

els

and

tech

nolo

gies

for

dist

ribu

tion

flee

t❒

❒

Fuel

con

sum

ption

and

veh

icle

em

issi

on re

ducti

on ta

rget

s ar

e re

view

ed

on a

n an

nual

bas

is to

dri

ve c

onti

nuou

s im

prov

emen

t for

the

enti

re fl

eet

❒❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

ener

gy u

se, t

rans

port

and

Gre

enho

use

Gas

es (G

hG

):

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

and

audi

t ene

rgy

us

e an

d G

hG

em

issi

ons

as p

er th

e si

te E

mS

❒❒

Ener

gy c

onsu

mpti

on a

nd g

reen

hous

e ga

s em

issi

ons

(incl

udin

g

on-s

ite

vehi

cle

emis

sion

s) a

re m

ade

avai

labl

e to

app

ropr

iate

inte

rnal

an

d ex

tern

al s

take

hold

ers

❒❒

Rene

wab

le e

nerg

y us

e ta

rget

s an

d G

hG

em

issi

on re

ducti

on ta

rget

s (n

orm

alis

ed) a

re e

stab

lishe

d/re

view

ed a

t lea

st o

n an

ann

ual b

asis

to

dri

ve c

onti

nuou

s im

prov

emen

t❒

❒

Dem

onst

rabl

e re

ducti

on in

ene

rgy

(nor

mal

ised

; ple

ase

refe

r

to t

he g

uida

nce

secti

on fo

r fu

rthe

r de

finiti

on)

❒❒

Targ

ets

incl

ude

on-s

ite

vehi

cle

emis

sion

s re

ducti

on, w

hich

are

revi

ewed

on

an

annu

al b

asis

to d

rive

con

tinu

ous

impr

ovem

ent

❒❒

LEv

EL 3

Lead

ing

prac

tice

mec

hani

sms

in p

lace

to re

duce

gre

enho

use

gas

(Gh

G)

inte

nsit

y (f

or fu

rthe

r de

finiti

on p

leas

e re

fer

to t

he g

uida

nce

secti

on)

❒❒

Use

of e

nerg

y so

urce

s w

ith

low

er G

hG

inte

nsit

y❒

❒

• En

ergy

con

sum

ption

leve

l is

sust

aina

ble

with

in a

vaila

bilit

y

of lo

cal e

nerg

y re

sour

ces

❒❒

• d

emon

stra

ble

achi

evem

ent o

f str

etch

ing

ener

gy a

nd fu

el e

ffici

ency

an

d G

hG

em

issi

on ta

rget

s be

yond

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

❒❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n id

enti

fyin

g w

ays

to re

duce

Gh

G e

mis

sion

s❒

❒

Carb

on a

ccou

nting

in b

usin

ess

syst

em

❒❒

Spec

ifica

tion

of t

he m

ost e

nvir

onm

enta

lly e

ffici

ent c

ombi

nati

ons

of

veh

icle

type

s, fu

els

and

tech

nolo

gies

for

dist

ribu

tion

flee

t❒

❒

Fuel

con

sum

ption

and

veh

icle

em

issi

on re

ducti

on ta

rget

s ar

e re

view

ed

on a

n an

nual

bas

is to

dri

ve c

onti

nuou

s im

prov

emen

t for

the

enti

re fl

eet

❒❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

ener

gy u

se, t

rans

port

and

Gre

enho

use

Gas

es (G

hG

):

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem

3.0

WaT

er U

Se

repo

rt

LEv

EL 1

Non

-Com

plia

nce

Type

Pl

ease

tick

one

col

umn

and

also

not

e

if it

is a

lega

l iss

ue?

Obs

erva

tion

?Fi

ndin

gSu

mm

ary

of re

quire

men

t, p

lus

desc

ripti

on

of th

e fin

ding

and

ele

men

t of t

he la

w

that

has

bee

n vi

olat

ed)

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es.

Plea

se in

dica

te th

e ty

pe o

f evi

denc

e

liste

d e.

g. w

orke

r in

terv

iew

, do

cum

enta

ry, o

bser

vatio

nal)

Criti

cal

maj

orm

inor

lega

l Is

sue?

❒❒

❒❒

❒

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

and

audi

t wat

er

cons

umpti

on a

s pe

r th

e si

te E

mS

❒❒

Wat

er c

onsu

mpti

on d

ata

are

mad

e av

aila

ble

to re

leva

nt in

tern

al

and

exte

rnal

sta

keho

lder

s ❒

❒

Wat

er c

onsu

mpti

on e

ffici

ency

targ

ets

are

revi

ewed

on

an a

nnua

l bas

is

to d

rive

con

tinu

ous

impr

ovem

ent

❒❒

Dem

onst

rabl

e ac

hiev

emen

t of w

ater

effi

cien

cy ta

rget

s (n

orm

alis

ed)

❒❒

LEv

EL 3

Whe

re re

leva

nt, w

ater

con

sum

ption

leve

l is

sust

aina

ble

wit

hin

loca

l ec

osys

tem

lim

its

and

wat

er c

atch

men

t are

a❒

❒

Inve

stiga

tion

of a

nd u

se, i

f rel

evan

t, o

f alt

erna

tive

wat

er s

ourc

es

wit

h lo

wer

eco

syst

em im

pact

❒❒

Dem

onst

rabl

e ac

hiev

emen

t of s

tret

chin

g w

ater

effi

cien

cy ta

rget

s be

yond

re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

acti

ce❒

❒

Lead

ing

prac

tice

wat

er e

ffici

ency

mec

hani

sms

in p

lace

, inc

ludi

ng re

-use

, re

cove

ry a

nd re

cycl

ing

❒❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n

to im

prov

e w

ater

effi

cien

cy❒

❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

wat

er u

se:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

and

audi

t wat

er

cons

umpti

on a

s pe

r th

e si

te E

mS

❒❒

Wat

er c

onsu

mpti

on d

ata

are

mad

e av

aila

ble

to re

leva

nt in

tern

al

and

exte

rnal

sta

keho

lder

s ❒

❒

Wat

er c

onsu

mpti

on e

ffici

ency

targ

ets

are

revi

ewed

on

an a

nnua

l bas

is

to d

rive

con

tinu

ous

impr

ovem

ent

❒❒

Dem

onst

rabl

e ac

hiev

emen

t of w

ater

effi

cien

cy ta

rget

s (n

orm

alis

ed)

❒❒

LEv

EL 3

Whe

re re

leva

nt, w

ater

con

sum

ption

leve

l is

sust

aina

ble

wit

hin

loca

l ec

osys

tem

lim

its

and

wat

er c

atch

men

t are

a❒

❒

Inve

stiga

tion

of a

nd u

se, i

f rel

evan

t, o

f alt

erna

tive

wat

er s

ourc

es

wit

h lo

wer

eco

syst

em im

pact

❒❒

Dem

onst

rabl

e ac

hiev

emen

t of s

tret

chin

g w

ater

effi

cien

cy ta

rget

s be

yond

re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

acti

ce❒

❒

Lead

ing

prac

tice

wat

er e

ffici

ency

mec

hani

sms

in p

lace

, inc

ludi

ng re

-use

, re

cove

ry a

nd re

cycl

ing

❒❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n

to im

prov

e w

ater

effi

cien

cy❒

❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

wat

er u

se:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem

4.0

WA

STEW

ATER

/ E

FFLU

ENT

repo

rt

LEv

EL 1

Non

-Com

plia

nce

Type

Pl

ease

tick

one

col

umn

and

also

not

e

if it

is a

lega

l iss

ue?

Obs

erva

tion

?Fi

ndin

gSu

mm

ary

of re

quire

men

t, p

lus

desc

ripti

on

of th

e fin

ding

and

ele

men

t of t

he la

w

that

has

bee

n vi

olat

ed)

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es.

Plea

se in

dica

te th

e ty

pe o

f evi

denc

e

liste

d e.

g. w

orke

r in

terv

iew

, do

cum

enta

ry, o

bser

vatio

nal)

Criti

cal

maj

orm

inor

lega

l Is

sue?

❒❒

❒❒

❒

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

was

tew

ater

effl

uent

as

per

the

sit

e Em

S❒

❒

Basi

c on

-site

was

tew

ater

trea

tmen

t in

plac

e to

ach

ieve

impr

ovem

ents

in

was

tew

ater

qua

lity

or c

onne

ction

to o

ff-si

te w

aste

wat

er tr

eatm

ent s

yste

m❒

❒

Regu

lar w

aste

wat

er q

ualit

y te

sting

/ m

onito

ring

is u

nder

take

n to

ens

ure

ongo

ing

com

plia

nce

with

per

mitt

ed e

fflue

nt li

mits

and

as

per t

he s

ite’s

EmS

❒❒

Was

tew

ater

qua

lity

data

are

mad

e av

aila

ble

to re

leva

nt in

tern

al a

nd

exte

rnal

sta

keho

lder

s❒

❒

Was

tew

ater

qua

lity

and

volu

me

impr

ovem

ent t

arge

ts a

re re

view

ed

on a

n an

nual

bas

is to

dri

ve c

onti

nuou

s im

prov

emen

t❒

❒

Dem

onst

rabl

e im

prov

emen

t in

was

tew

ater

qua

lity

❒❒

LEv

EL 3

Was

tew

ater

effl

uent

qua

lity

and

disc

harg

e vo

lum

e ar

e su

stai

nabl

e

in th

e co

ntex

t of l

ocal

rece

ptor

s an

d ec

osys

tem

lim

its

❒❒

Lead

ing

prac

tice

was

tew

ater

trea

tmen

t in

plac

e❒

❒

Lead

ing

prac

tice

mec

hani

sms

in p

lace

to im

prov

e qu

alit

y of

was

tew

ater

di

scha

rged

to lo

cal e

nvir

onm

ent,

incl

udin

g re

use

of g

rey

wat

er❒

❒

Dem

onst

rabl

e ac

hiev

emen

t of s

tret

chin

g w

aste

wat

er e

fflue

nt q

ualit

y im

prov

emen

t and

vol

ume

redu

ction

targ

ets

(nor

mal

ised

) bey

ond

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

❒❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n

to im

prov

e w

aste

wat

er e

fflue

nt q

ualit

y❒

❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

was

tew

ater

/effl

uent

:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

was

tew

ater

effl

uent

as

per

the

sit

e Em

S❒

❒

Basi

c on

-site

was

tew

ater

trea

tmen

t in

plac

e to

ach

ieve

impr

ovem

ents

in

was

tew

ater

qua

lity

or c

onne

ction

to o

ff-si

te w

aste

wat

er tr

eatm

ent s

yste

m❒

❒

Regu

lar w

aste

wat

er q

ualit

y te

sting

/ m

onito

ring

is u

nder

take

n to

ens

ure

ongo

ing

com

plia

nce

with

per

mitt

ed e

fflue

nt li

mits

and

as

per t

he s

ite’s

EmS

❒❒

Was

tew

ater

qua

lity

data

are

mad

e av

aila

ble

to re

leva

nt in

tern

al a

nd

exte

rnal

sta

keho

lder

s❒

❒

Was

tew

ater

qua

lity

and

volu

me

impr

ovem

ent t

arge

ts a

re re

view

ed

on a

n an

nual

bas

is to

dri

ve c

onti

nuou

s im

prov

emen

t❒

❒

Dem

onst

rabl

e im

prov

emen

t in

was

tew

ater

qua

lity

❒❒

LEv

EL 3

Was

tew

ater

effl

uent

qua

lity

and

disc

harg

e vo

lum

e ar

e su

stai

nabl

e

in th

e co

ntex

t of l

ocal

rece

ptor

s an

d ec

osys

tem

lim

its

❒❒

Lead

ing

prac

tice

was

tew

ater

trea

tmen

t in

plac

e❒

❒

Lead

ing

prac

tice

mec

hani

sms

in p

lace

to im

prov

e qu

alit

y of

was

tew

ater

di

scha

rged

to lo

cal e

nvir

onm

ent,

incl

udin

g re

use

of g

rey

wat

er❒

❒

Dem

onst

rabl

e ac

hiev

emen

t of s

tret

chin

g w

aste

wat

er e

fflue

nt q

ualit

y im

prov

emen

t and

vol

ume

redu

ction

targ

ets

(nor

mal

ised

) bey

ond

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

❒❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n

to im

prov

e w

aste

wat

er e

fflue

nt q

ualit

y❒

❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

was

tew

ater

/effl

uent

:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem

5.0

emiS

Sio

nS

To a

ir

5.1

Gen

eral

repo

rt

LEv

EL 1

Non

-Com

plia

nce

Type

Pl

ease

tick

one

col

umn

and

also

not

e

if it

is a

lega

l iss

ue?

Obs

erva

tion

?Fi

ndin

gSu

mm

ary

of re

quire

men

t, p

lus

desc

ripti

on

of th

e fin

ding

and

ele

men

t of t

he la

w

that

has

bee

n vi

olat

ed)

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es.

Plea

se in

dica

te th

e ty

pe o

f evi

denc

e

liste

d e.

g. w

orke

r in

terv

iew

, do

cum

enta

ry, o

bser

vatio

nal)

Criti

cal

maj

orm

inor

lega

l Is

sue?

❒❒

❒❒

❒

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

emis

sion

s to

air

as

per

the

site

Em

S❒

❒

Regu

lar

air

emis

sion

s qu

alit

y te

sting

/mon

itor

ing

is u

nder

take

n

to e

nsur

e on

goin

g co

mpl

ianc

e w

ith

perm

itted

lim

its

❒❒

Air

em

issi

ons

qual

ity

data

are

mad

e av

aila

ble

to re

leva

nt in

tern

al

and

exte

rnal

sta

keho

lder

s❒

❒

Air

qua

lity

impr

ovem

ent t

arge

ts a

re re

view

ed o

n an

ann

ual b

asis

to

dri

ve c

onti

nuou

s im

prov

emen

t❒

❒

Dem

onst

rabl

e re

ducti

on in

em

issi

ons

to a

ir (n

orm

alis

ed)

❒❒

LEv

EL 3

Emis

sion

s to

air

are

sus

tain

able

wit

hin

loca

l eco

syst

em li

mit

s❒

❒

Lead

ing

prac

tice

aba

tem

ent t

echn

olog

ies

in p

lace

to m

inim

ise

emis

sion

s to

air

or

effor

ts to

redu

ce e

mis

sion

s at

sou

rce

❒❒

Dem

onst

rabl

e ac

hiev

emen

t of s

tret

chin

g ai

r qu

alit

y im

prov

emen

t tar

gets

be

yond

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

❒❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n to

re

duce

em

issi

ons

to a

ir❒

❒

Add

ition

al a

nd p

roac

tive

em

issi

ons

mon

itor

ing

perf

orm

ed

❒❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

emis

sion

s to

air,

gen

eral

:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

emis

sion

s to

air

as

per

the

site

Em

S❒

❒

Regu

lar

air

emis

sion

s qu

alit

y te

sting

/mon

itor

ing

is u

nder

take

n

to e

nsur

e on

goin

g co

mpl

ianc

e w

ith

perm

itted

lim

its

❒❒

Air

em

issi

ons

qual

ity

data

are

mad

e av

aila

ble

to re

leva

nt in

tern

al

and

exte

rnal

sta

keho

lder

s❒

❒

Air

qua

lity

impr

ovem

ent t

arge

ts a

re re

view

ed o

n an

ann

ual b

asis

to

dri

ve c

onti

nuou

s im

prov

emen

t❒

❒

Dem

onst

rabl

e re

ducti

on in

em

issi

ons

to a

ir (n

orm

alis

ed)

❒❒

LEv

EL 3

Emis

sion

s to

air

are

sus

tain

able

wit

hin

loca

l eco

syst

em li

mit

s❒

❒

Lead

ing

prac

tice

aba

tem

ent t

echn

olog

ies

in p

lace

to m

inim

ise

emis

sion

s to

air

or

effor

ts to

redu

ce e

mis

sion

s at

sou

rce

❒❒

Dem

onst

rabl

e ac

hiev

emen

t of s

tret

chin

g ai

r qu

alit

y im

prov

emen

t tar

gets

be

yond

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

❒❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n to

re

duce

em

issi

ons

to a

ir❒

❒

Add

ition

al a

nd p

roac

tive

em

issi

ons

mon

itor

ing

perf

orm

ed

❒❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

emis

sion

s to

air,

gen

eral

:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem

5.0

emiS

Sio

nS

To a

ir

5.2

Ozo

ne D

eple

ting

Sub

stan

ces

(OD

S)

repo

rt

LEv

EL 1

Non

-Com

plia

nce

Type

Pl

ease

tick

one

col

umn

and

also

not

e

if it

is a

lega

l iss

ue?

Obs

erva

tion

?Fi

ndin

gSu

mm

ary

of re

quire

men

t, p

lus

desc

ripti

on

of th

e fin

ding

and

ele

men

t of t

he la

w

that

has

bee

n vi

olat

ed)

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es.

Plea

se in

dica

te th

e ty

pe o

f evi

denc

e

liste

d e.

g. w

orke

r in

terv

iew

, do

cum

enta

ry, o

bser

vatio

nal)

Criti

cal

maj

orm

inor

lega

l Is

sue?

❒❒

❒❒

❒

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Proa

ctive

OD

S le

ak d

etec

tion

and

mai

nten

ance

of O

DS-

cont

aini

ng

equi

pmen

t ❒

❒

Targ

ets

in p

lace

to p

hase

-out

use

of s

peci

fic t

ypes

of O

DS,

suc

h as

CFC

s,

halo

ns, T

CE, C

Cl4

in li

ne w

ith

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

❒❒

Dem

onst

rabl

e re

ducti

on, c

ontr

ol a

nd s

ubsti

tuti

on o

f OD

S ❒

❒

LEv

EL 3

Com

plet

e ph

ase-

out

of a

ll O

DS

(bey

ond

lega

l req

uire

men

ts)

❒❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

Ozo

ne D

eple

ting

Sub

stan

ces

(OD

S):

❒

Lev

el 1

not

ach

ieve

d

❒ L

evel

1

❒ L

evel

2

❒ L

evel

3

…



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Proa

ctive

OD

S le

ak d

etec

tion

and

mai

nten

ance

of O

DS-

cont

aini

ng

equi

pmen

t ❒

❒

Targ

ets

in p

lace

to p

hase

-out

use

of s

peci

fic t

ypes

of O

DS,

suc

h as

CFC

s,

halo

ns, T

CE, C

Cl4

in li

ne w

ith

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

❒❒

Dem

onst

rabl

e re

ducti

on, c

ontr

ol a

nd s

ubsti

tuti

on o

f OD

S ❒

❒

LEv

EL 3

Com

plet

e ph

ase-

out

of a

ll O

DS

(bey

ond

lega

l req

uire

men

ts)

❒❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

Ozo

ne D

eple

ting

Sub

stan

ces

(OD

S):

❒

Lev

el 1

not

ach

ieve

d

❒ L

evel

1

❒ L

evel

2

❒ L

evel

3

…




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem

6.0

Wa

STe

ma

na

Gem

enT

repo

rt

LEv

EL 1

Non

-Com

plia

nce

Type

Pl

ease

tick

one

col

umn

and

also

not

e

if it

is a

lega

l iss

ue?

Obs

erva

tion

?Fi

ndin

gSu

mm

ary

of re

quire

men

t, p

lus

desc

ripti

on

of th

e fin

ding

and

ele

men

t of t

he la

w

that

has

bee

n vi

olat

ed)

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es.

Plea

se in

dica

te th

e ty

pe o

f evi

denc

e

liste

d e.

g. w

orke

r in

terv

iew

, do

cum

enta

ry, o

bser

vatio

nal)

Criti

cal

maj

orm

inor

lega

l Is

sue?

❒❒

❒❒

❒

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

was

te g

ener

ation

, st

orag

e, t

rans

port

ation

, and

dis

posa

l as

per

the

site

Em

S, in

clud

ing

was

te m

inim

isati

on a

udit

and

con

side

rati

on o

f was

te h

iera

rchy

pri

ncip

les

❒❒

Eval

uati

on o

f was

te m

anag

emen

t co

ntra

ctor

s (s

uita

bilit

y, d

ispo

sal/

trea

tmen

t met

hods

)❒

❒

Enga

gem

ent w

ith

supp

liers

to id

enti

fy w

aste

avo

idan

ce/

redu

ction

/ re

cycl

ing/

reus

e op

port

uniti

es❒

❒

Segr

egati

on o

f was

te s

trea

ms

in li

ne w

ith

reco

gnis

ed in

tern

ation

al

stan

dard

pra

ctice

❒❒

mon

itor

ing

and

mea

sure

men

t of w

aste

gen

erat

ed a

nd re

cycl

ed, w

ith

data

ava

ilabl

e to

rele

vant

inte

rnal

and

ext

erna

l sta

keho

lder

s❒

❒

Was

te re

ducti

on a

nd re

cycl

ing

targ

ets

are

revi

ewed

at l

east

on

an a

nnua

l ba

sis

to d

rive

con

tinu

ous

impr

ovem

ent.

❒❒

Dem

onst

rabl

e w

aste

redu

ction

(nor

mal

ised

) ❒

❒

LEv

EL 3

Was

te d

ispo

sal m

etho

d an

d vo

lum

e is

sus

tain

able

wit

hin

loca

l ope

rati

ng

envi

ronm

ent a

nd a

vaila

bilit

y of

was

te tr

eatm

ent a

nd d

ispo

sal f

acili

ties

❒❒

Lead

ing

prac

tice

s in

pla

ce to

min

imis

e re

sour

ce/v

irgi

n m

ater

ial u

se

and

achi

eve

was

te re

ducti

on/r

ecyc

ling/

ener

gy fr

om w

aste

❒

❒

Dem

onst

rabl

e ac

hiev

emen

t of s

tret

chin

g w

aste

redu

ction

/rec

yclin

g ta

rget

s be

yond

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

❒❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n

to id

enti

fy w

aste

avo

idan

ce/r

educ

tion

/rec

yclin

g/re

use/

ener

gy fr

om

was

te m

easu

res

❒❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

was

te m

anag

emen

t:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

was

te g

ener

ation

, st

orag

e, t

rans

port

ation

, and

dis

posa

l as

per

the

site

Em

S, in

clud

ing

was

te m

inim

isati

on a

udit

and

con

side

rati

on o

f was

te h

iera

rchy

pri

ncip

les

❒❒

Eval

uati

on o

f was

te m

anag

emen

t co

ntra

ctor

s (s

uita

bilit

y, d

ispo

sal/

trea

tmen

t met

hods

)❒

❒

Enga

gem

ent w

ith

supp

liers

to id

enti

fy w

aste

avo

idan

ce/

redu

ction

/ re

cycl

ing/

reus

e op

port

uniti

es❒

❒

Segr

egati

on o

f was

te s

trea

ms

in li

ne w

ith

reco

gnis

ed in

tern

ation

al

stan

dard

pra

ctice

❒❒

mon

itor

ing

and

mea

sure

men

t of w

aste

gen

erat

ed a

nd re

cycl

ed, w

ith

data

ava

ilabl

e to

rele

vant

inte

rnal

and

ext

erna

l sta

keho

lder

s❒

❒

Was

te re

ducti

on a

nd re

cycl

ing

targ

ets

are

revi

ewed

at l

east

on

an a

nnua

l ba

sis

to d

rive

con

tinu

ous

impr

ovem

ent.

❒❒

Dem

onst

rabl

e w

aste

redu

ction

(nor

mal

ised

) ❒

❒

LEv

EL 3

Was

te d

ispo

sal m

etho

d an

d vo

lum

e is

sus

tain

able

wit

hin

loca

l ope

rati

ng

envi

ronm

ent a

nd a

vaila

bilit

y of

was

te tr

eatm

ent a

nd d

ispo

sal f

acili

ties

❒❒

Lead

ing

prac

tice

s in

pla

ce to

min

imis

e re

sour

ce/v

irgi

n m

ater

ial u

se

and

achi

eve

was

te re

ducti

on/r

ecyc

ling/

ener

gy fr

om w

aste

❒

❒

Dem

onst

rabl

e ac

hiev

emen

t of s

tret

chin

g w

aste

redu

ction

/rec

yclin

g ta

rget

s be

yond

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

❒❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n

to id

enti

fy w

aste

avo

idan

ce/r

educ

tion

/rec

yclin

g/re

use/

ener

gy fr

om

was

te m

easu

res

❒❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

was

te m

anag

emen

t:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem

7.0

POLL

UTI

ON

PR

EvEN

TIO

N /

hA

zAR

DO

US

AN

D P

OTE

NTI

ALL

y h

AzA

RD

OU

S SU

BST

AN

CES

repo

rt

LEv

EL 1

Non

-Com

plia

nce

Type

Pl

ease

tick

one

col

umn

and

also

not

e

if it

is a

lega

l iss

ue?

Obs

erva

tion

?Fi

ndin

gSu

mm

ary

of re

quire

men

t, p

lus

desc

ripti

on

of th

e fin

ding

and

ele

men

t of t

he la

w

that

has

bee

n vi

olat

ed)

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es.

Plea

se in

dica

te th

e ty

pe o

f evi

denc

e

liste

d e.

g. w

orke

r in

terv

iew

, do

cum

enta

ry, o

bser

vatio

nal)

Criti

cal

maj

orm

inor

lega

l Is

sue?

❒❒

❒❒

❒

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce fo

r po

lluti

on p

reve

ntion

an

d to

redu

ce th

e po

tenti

al fo

r po

lluti

on in

cide

nts

as p

er th

e si

te E

mS

❒❒

Ded

icat

ed s

ite

emer

genc

y re

spon

se te

am in

pla

ce to

dea

l wit

h po

lluti

on

inci

dent

s❒

❒

Regu

lar

prac

tice

dri

lls a

re c

arri

ed o

ut fo

r po

lluti

on in

cide

nts

❒❒

Targ

ets

are

revi

ewed

on

an a

nnua

l bas

is to

redu

ce th

e us

e of

haz

ardo

us

subs

tanc

es, m

inim

ise

asso

ciat

ed r

isks

and

sub

stitu

te w

ith

non-

haza

rdou

s al

tern

ative

s w

here

pos

sibl

e❒

❒

Whe

re re

leva

nt, s

peci

fic p

ollu

tion

pre

venti

on m

echa

nism

s ar

e co

nsid

ered

in

agr

icul

tura

l pro

ducti

on, i

nclu

ding

opti

mis

ation

of a

gric

hem

ical

s in

put

❒❒

Dem

onst

rabl

e re

ducti

on in

haz

ardo

us s

ubst

ance

s us

e (n

orm

alis

ed)

and

min

imis

ation

of a

ssoc

iate

d ri

sks,

as

appr

opri

ate

❒❒

LEv

EL 3

‘zer

o po

lluti

on in

cide

nt’ t

arge

t and

pol

icy

in p

lace

❒❒

Det

aile

d po

lluti

on p

reve

ntion

insp

ecti

ons

are

cond

ucte

d❒

❒

Prom

ote

the

use

of n

on-h

azar

dous

and

non

-tox

ic a

lter

nati

ve s

ubst

ance

s❒

❒

Dem

onst

rabl

e ac

hiev

emen

t of s

tret

chin

g ha

zard

ous

subs

tanc

e re

ducti

on/

subs

titu

tion

targ

ets

beyo

nd re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

acti

ce❒

❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n

to im

prov

e ha

zard

ous

subs

tanc

e us

e ❒

❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

pollu

tion

pre

venti

on/h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

s:

❒

Lev

el 1

not

ach

ieve

d

❒ L

evel

1

❒ L

evel

2

❒ L

evel

3

…



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce fo

r po

lluti

on p

reve

ntion

an

d to

redu

ce th

e po

tenti

al fo

r po

lluti

on in

cide

nts

as p

er th

e si

te E

mS

❒❒

Ded

icat

ed s

ite

emer

genc

y re

spon

se te

am in

pla

ce to

dea

l wit

h po

lluti

on

inci

dent

s❒

❒

Regu

lar

prac

tice

dri

lls a

re c

arri

ed o

ut fo

r po

lluti

on in

cide

nts

❒❒

Targ

ets

are

revi

ewed

on

an a

nnua

l bas

is to

redu

ce th

e us

e of

haz

ardo

us

subs

tanc

es, m

inim

ise

asso

ciat

ed r

isks

and

sub

stitu

te w

ith

non-

haza

rdou

s al

tern

ative

s w

here

pos

sibl

e❒

❒

Whe

re re

leva

nt, s

peci

fic p

ollu

tion

pre

venti

on m

echa

nism

s ar

e co

nsid

ered

in

agr

icul

tura

l pro

ducti

on, i

nclu

ding

opti

mis

ation

of a

gric

hem

ical

s in

put

❒❒

Dem

onst

rabl

e re

ducti

on in

haz

ardo

us s

ubst

ance

s us

e (n

orm

alis

ed)

and

min

imis

ation

of a

ssoc

iate

d ri

sks,

as

appr

opri

ate

❒❒

LEv

EL 3

‘zer

o po

lluti

on in

cide

nt’ t

arge

t and

pol

icy

in p

lace

❒❒

Det

aile

d po

lluti

on p

reve

ntion

insp

ecti

ons

are

cond

ucte

d❒

❒

Prom

ote

the

use

of n

on-h

azar

dous

and

non

-tox

ic a

lter

nati

ve s

ubst

ance

s❒

❒

Dem

onst

rabl

e ac

hiev

emen

t of s

tret

chin

g ha

zard

ous

subs

tanc

e re

ducti

on/

subs

titu

tion

targ

ets

beyo

nd re

cogn

ised

inte

rnati

onal

sta

ndar

d pr

acti

ce❒

❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n

to im

prov

e ha

zard

ous

subs

tanc

e us

e ❒

❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

pollu

tion

pre

venti

on/h

azar

dous

and

pot

enti

ally

haz

ardo

us s

ubst

ance

s:

❒

Lev

el 1

not

ach

ieve

d

❒ L

evel

1

❒ L

evel

2

❒ L

evel

3

…




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem

8.0

ma

Jor

inCi

Den

T m

an

aG

emen

T

repo

rt

LEv

EL 1

Non

-Com

plia

nce

Type

Pl

ease

tick

one

col

umn

and

also

not

e

if it

is a

lega

l iss

ue?

Obs

erva

tion

?Fi

ndin

gSu

mm

ary

of re

quire

men

t, p

lus

desc

ripti

on

of th

e fin

ding

and

ele

men

t of t

he la

w

that

has

bee

n vi

olat

ed)

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es.

Plea

se in

dica

te th

e ty

pe o

f evi

denc

e

liste

d e.

g. w

orke

r in

terv

iew

, do

cum

enta

ry, o

bser

vatio

nal)

Criti

cal

maj

orm

inor

lega

l Is

sue?

❒❒

❒❒

❒

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

emer

genc

y re

spon

se

as p

er t

he s

ite

EmS

❒❒

Redu

ction

in p

oten

tial

occ

urre

nce

and

impa

cts

of m

ajor

inci

dent

s

(e.g

. exp

losi

ons,

fire

s, m

ajor

spi

lls e

tc.)

❒❒

Regu

lar

Qua

ntita

tive

Ris

k A

sses

smen

t (Q

RA) r

evie

ws

❒❒

maj

or in

cide

nts

repo

rted

to re

leva

nt s

take

hold

ers

❒❒

Ded

icat

ed s

ite

emer

genc

y re

spon

se te

am in

pla

ce❒

❒

Regu

lar

prac

tice

dri

lls a

re c

arri

ed o

ut fo

r al

l em

erge

ncy

scen

ario

s❒

❒

LEv

EL 3

zero

maj

or in

cide

nt’ t

arge

t and

pol

icy

in p

lace

❒❒

Proa

ctive

eng

agem

ent w

ith

loca

l com

mun

ity

to e

nsur

e aw

aren

ess

of

ris

ks o

f maj

or in

cide

nts

and

emer

genc

y re

spon

se p

roce

dure

s❒

❒

Loca

l com

mun

ity

is in

volv

ed in

sit

e’s

emer

genc

y re

spon

se d

rill

and

has

been

con

tact

ed b

y th

e em

erge

ncy

resp

onse

team

, as

rele

vant

❒❒

Lead

ing

prac

tice

mec

hani

sms

in p

lace

to re

duce

ris

k of

maj

or in

cide

nts

e.g.

pro

cess

cha

nges

❒❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

maj

or in

cide

nt m

anag

emen

t:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

emer

genc

y re

spon

se

as p

er t

he s

ite

EmS

❒❒

Redu

ction

in p

oten

tial

occ

urre

nce

and

impa

cts

of m

ajor

inci

dent

s

(e.g

. exp

losi

ons,

fire

s, m

ajor

spi

lls e

tc.)

❒❒

Regu

lar

Qua

ntita

tive

Ris

k A

sses

smen

t (Q

RA) r

evie

ws

❒❒

maj

or in

cide

nts

repo

rted

to re

leva

nt s

take

hold

ers

❒❒

Ded

icat

ed s

ite

emer

genc

y re

spon

se te

am in

pla

ce❒

❒

Regu

lar

prac

tice

dri

lls a

re c

arri

ed o

ut fo

r al

l em

erge

ncy

scen

ario

s❒

❒

LEv

EL 3

zero

maj

or in

cide

nt’ t

arge

t and

pol

icy

in p

lace

❒❒

Proa

ctive

eng

agem

ent w

ith

loca

l com

mun

ity

to e

nsur

e aw

aren

ess

of

ris

ks o

f maj

or in

cide

nts

and

emer

genc

y re

spon

se p

roce

dure

s❒

❒

Loca

l com

mun

ity

is in

volv

ed in

sit

e’s

emer

genc

y re

spon

se d

rill

and

has

been

con

tact

ed b

y th

e em

erge

ncy

resp

onse

team

, as

rele

vant

❒❒

Lead

ing

prac

tice

mec

hani

sms

in p

lace

to re

duce

ris

k of

maj

or in

cide

nts

e.g.

pro

cess

cha

nges

❒❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

maj

or in

cide

nt m

anag

emen

t:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem

9.0

CON

TAm

INAT

ED L

AN

D/S

OIL

AN

D G

RO

UN

DW

ATER

PO

LLU

TIO

N P

REv

ENTI

ON

repo

rt

LEv

EL 1

Non

-Com

plia

nce

Type

Pl

ease

tick

one

col

umn

and

also

not

e

if it

is a

lega

l iss

ue?

Obs

erva

tion

?Fi

ndin

gSu

mm

ary

of re

quire

men

t, p

lus

desc

ripti

on

of th

e fin

ding

and

ele

men

t of t

he la

w

that

has

bee

n vi

olat

ed)

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es.

Plea

se in

dica

te th

e ty

pe o

f evi

denc

e

liste

d e.

g. w

orke

r in

terv

iew

, do

cum

enta

ry, o

bser

vatio

nal)

Criti

cal

maj

orm

inor

lega

l Is

sue?

❒❒

❒❒

❒

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

cont

amin

ated

soi

l an

d gr

ound

wat

er a

s pe

r th

e si

te E

mS

❒❒

Qua

litati

ve, d

esk-

base

d (a

s ap

prop

riat

e) s

oil a

nd g

roun

dwat

er r

isk

asse

ssm

ent c

ompl

eted

incl

udin

g:❒

❒

a. A

ll po

tenti

al c

urre

nt a

nd h

isto

rica

l on‐

site

sou

rces

of p

oten

tial s

oil

and

grou

ndw

ater

impa

ct❒

❒

b. A

ll po

tenti

al c

urre

nt a

nd h

isto

rica

l off‐

site

sou

rces

of p

oten

tial s

oil

and

grou

ndw

ater

impa

ct❒

❒

c. M

appi

ng o

f all

rece

ptor

s an

d pa

thw

ays

❒❒

d. A

sses

smen

t of r

isk

of s

oil a

nd g

roun

dwat

er im

pact

❒❒

All

acti

ons

com

plet

ed fo

llow

ing

resu

lts

for

soil

and

grou

ndw

ater

ris

k as

sess

men

t, e

.g. a

nd a

s re

quir

ed:

❒❒

a. F

ocus

ed P

hase

II in

vesti

gatio

n❒

❒

b. A

ppro

pria

te a

nd e

ffici

ent r

emed

iatio

n of

soi

l and

/or

grou

ndw

ater

co

ntam

inati

on p

erfo

rmed

❒

❒

Any

soi

l and

gro

undw

ater

con

tam

inati

on is

com

mun

icat

ed to

rele

vant

st

akeh

olde

rs, a

s re

quir

ed❒

❒

LEv

EL 3

‘zer

o co

ntam

inati

on’ t

arge

t an

d po

licy

in p

lace

❒❒

Proa

ctive

man

agem

ent o

f soi

l and

gro

undw

ater

qua

lity

❒❒

Lead

ing

prac

tice

tech

niqu

es in

pla

ce to

pre

vent

furt

her/

futu

re s

oil

and/

or g

roun

dwat

er c

onta

min

ation

and

in re

lati

on to

rem

edia

tion

❒❒

Proa

ctive

eng

agem

ent w

ith

stak

ehol

ders

in th

e lo

cal c

omm

unit

y to

en

sure

aw

aren

ess

of p

oten

tial

soi

l and

/or

grou

ndw

ater

con

tam

inati

on❒

❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n in

re

lati

on to

the

pre

venti

on a

nd m

anag

emen

t of s

oil a

nd g

roun

dwat

er

cont

amin

ation

❒❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

cont

amin

ated

land

/soi

l and

gro

undw

ater

pol

luti

on p

reve

ntion

:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

cont

amin

ated

soi

l an

d gr

ound

wat

er a

s pe

r th

e si

te E

mS

❒❒

Qua

litati

ve, d

esk-

base

d (a

s ap

prop

riat

e) s

oil a

nd g

roun

dwat

er r

isk

asse

ssm

ent c

ompl

eted

incl

udin

g:❒

❒

a. A

ll po

tenti

al c

urre

nt a

nd h

isto

rica

l on‐

site

sou

rces

of p

oten

tial s

oil

and

grou

ndw

ater

impa

ct❒

❒

b. A

ll po

tenti

al c

urre

nt a

nd h

isto

rica

l off‐

site

sou

rces

of p

oten

tial s

oil

and

grou

ndw

ater

impa

ct❒

❒

c. M

appi

ng o

f all

rece

ptor

s an

d pa

thw

ays

❒❒

d. A

sses

smen

t of r

isk

of s

oil a

nd g

roun

dwat

er im

pact

❒❒

All

acti

ons

com

plet

ed fo

llow

ing

resu

lts

for

soil

and

grou

ndw

ater

ris

k as

sess

men

t, e

.g. a

nd a

s re

quir

ed:

❒❒

a. F

ocus

ed P

hase

II in

vesti

gatio

n❒

❒

b. A

ppro

pria

te a

nd e

ffici

ent r

emed

iatio

n of

soi

l and

/or

grou

ndw

ater

co

ntam

inati

on p

erfo

rmed

❒

❒

Any

soi

l and

gro

undw

ater

con

tam

inati

on is

com

mun

icat

ed to

rele

vant

st

akeh

olde

rs, a

s re

quir

ed❒

❒

LEv

EL 3

‘zer

o co

ntam

inati

on’ t

arge

t an

d po

licy

in p

lace

❒❒

Proa

ctive

man

agem

ent o

f soi

l and

gro

undw

ater

qua

lity

❒❒

Lead

ing

prac

tice

tech

niqu

es in

pla

ce to

pre

vent

furt

her/

futu

re s

oil

and/

or g

roun

dwat

er c

onta

min

ation

and

in re

lati

on to

rem

edia

tion

❒❒

Proa

ctive

eng

agem

ent w

ith

stak

ehol

ders

in th

e lo

cal c

omm

unit

y to

en

sure

aw

aren

ess

of p

oten

tial

soi

l and

/or

grou

ndw

ater

con

tam

inati

on❒

❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n in

re

lati

on to

the

pre

venti

on a

nd m

anag

emen

t of s

oil a

nd g

roun

dwat

er

cont

amin

ation

❒❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

cont

amin

ated

land

/soi

l and

gro

undw

ater

pol

luti

on p

reve

ntion

:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire


intr

od

uct

ion

Au

dit

req

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tA

ud

it e

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on

Pr

ePA

rAt

ion

A

ud

it o

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Glo

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APP

end

ices

ris

k A

sses

smen

t sy

stem

10.0

LA

ND

USE

AN

D B

IOD

IvER

SITy

repo

rt

LEv

EL 1

Non

-Com

plia

nce

Type

Pl

ease

tick

one

col

umn

and

also

not

e

if it

is a

lega

l iss

ue?

Obs

erva

tion

?Fi

ndin

gSu

mm

ary

of re

quire

men

t, p

lus

desc

ripti

on

of th

e fin

ding

and

ele

men

t of t

he la

w

that

has

bee

n vi

olat

ed)

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es.

Plea

se in

dica

te th

e ty

pe o

f evi

denc

e

liste

d e.

g. w

orke

r in

terv

iew

, do

cum

enta

ry, o

bser

vatio

nal)

Criti

cal

maj

orm

inor

lega

l Is

sue?

❒❒

❒❒

❒

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

land

use

and

bi

odiv

ersi

ty a

s pe

r th

e si

te E

mS

❒❒

In a

gric

ultu

ral p

rodu

ction

, pro

acti

ve m

anag

emen

t to

mai

ntai

n so

il fe

rtilit

y, a

void

soi

l ero

sion

and

pro

mot

e so

il an

d bi

odiv

ersi

ty re

cove

ry

❒❒

Whe

re a

ppro

pria

te, d

emon

stra

ble

impr

ovem

ent

in la

nd u

se a

nd

biod

iver

sity

per

form

ance

incl

udin

g de

fore

stati

on, r

ehab

ilita

tion

an

d co

nser

vati

on a

ctivi

ties

❒❒

LEv

EL 3

Land

use

is s

usta

inab

le w

ithi

n lo

cal e

cosy

stem

con

text

❒❒

Lead

ersh

ip ro

le in

bio

dive

rsit

y co

nser

vati

on, f

or e

xam

ple

part

ners

hip

wit

h re

leva

nt lo

cal o

rgan

isati

ons

❒❒

Lead

ing

prac

tice

mec

hani

sms

in p

lace

to p

rom

ote

biod

iver

sity

an

d le

adin

g pr

acti

ce la

nd m

anag

emen

t❒

❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n

to im

prov

e la

nd u

se a

nd b

iodi

vers

ity

perf

orm

ance

, wit

hin

and

beyo

nd

site

bou

ndar

ies

❒❒

Dem

onst

rabl

e ac

hiev

emen

t of

str

etch

ing

targ

ets

beyo

nd re

cogn

ised

in

tern

ation

al s

tand

ard

prac

tice

❒

❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

land

use

and

bio

dive

rsit

y:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

land

use

and

bi

odiv

ersi

ty a

s pe

r th

e si

te E

mS

❒❒

In a

gric

ultu

ral p

rodu

ction

, pro

acti

ve m

anag

emen

t to

mai

ntai

n so

il fe

rtilit

y, a

void

soi

l ero

sion

and

pro

mot

e so

il an

d bi

odiv

ersi

ty re

cove

ry

❒❒

Whe

re a

ppro

pria

te, d

emon

stra

ble

impr

ovem

ent

in la

nd u

se a

nd

biod

iver

sity

per

form

ance

incl

udin

g de

fore

stati

on, r

ehab

ilita

tion

an

d co

nser

vati

on a

ctivi

ties

❒❒

LEv

EL 3

Land

use

is s

usta

inab

le w

ithi

n lo

cal e

cosy

stem

con

text

❒❒

Lead

ersh

ip ro

le in

bio

dive

rsit

y co

nser

vati

on, f

or e

xam

ple

part

ners

hip

wit

h re

leva

nt lo

cal o

rgan

isati

ons

❒❒

Lead

ing

prac

tice

mec

hani

sms

in p

lace

to p

rom

ote

biod

iver

sity

an

d le

adin

g pr

acti

ce la

nd m

anag

emen

t❒

❒

Enga

gem

ent w

ith

appr

opri

ate

stak

ehol

ders

dow

n th

e va

lue

chai

n

to im

prov

e la

nd u

se a

nd b

iodi

vers

ity

perf

orm

ance

, wit

hin

and

beyo

nd

site

bou

ndar

ies

❒❒

Dem

onst

rabl

e ac

hiev

emen

t of

str

etch

ing

targ

ets

beyo

nd re

cogn

ised

in

tern

ation

al s

tand

ard

prac

tice

❒

❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

land

use

and

bio

dive

rsit

y:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem

11.0

nU

iSa

nCe

S

repo

rt

LEv

EL 1

Non

-Com

plia

nce

Type

Pl

ease

tick

one

col

umn

and

also

not

e

if it

is a

lega

l iss

ue?

Obs

erva

tion

?Fi

ndin

gSu

mm

ary

of re

quire

men

t, p

lus

desc

ripti

on

of th

e fin

ding

and

ele

men

t of t

he la

w

that

has

bee

n vi

olat

ed)

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es.

Plea

se in

dica

te th

e ty

pe o

f evi

denc

e

liste

d e.

g. w

orke

r in

terv

iew

, do

cum

enta

ry, o

bser

vatio

nal)

Criti

cal

maj

orm

inor

lega

l Is

sue?

❒❒

❒❒

❒

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

nuis

ance

s (in

clud

ing

odou

r, no

ise,

vis

ual a

nd g

ener

al h

ouse

keep

ing)

and

com

plai

nts

as p

er

the

site

Em

S❒

❒

Impa

cts

and

com

plai

nts

data

are

mad

e av

aila

ble

to re

leva

nt in

tern

al

and

exte

rnal

sta

keho

lder

s❒

❒

Impa

cts

and

com

plai

nts

redu

ction

targ

ets

are

revi

ewed

on

an a

nnua

l ba

sis

to d

rive

con

tinu

ous

impr

ovem

ent

❒❒

Dem

onst

rabl

e re

ducti

on in

nui

sanc

e im

pact

s an

d co

mpl

aint

s❒

❒

LEv

EL 3

zero

com

plai

nts’

targ

et a

nd p

olic

y in

pla

ce❒

❒

Proa

ctive

eng

agem

ent w

ith

loca

l com

mun

ity/

sta

keho

lder

s to

redu

ce

impa

cts

❒❒

Lead

ing

prac

tice

mec

hani

sms

in p

lace

to e

nsur

e re

ducti

on o

f im

pact

s

e.g.

pro

cess

cha

nges

❒

❒

Dem

onst

rabl

e ac

hiev

emen

t of

str

etch

ing

perf

orm

ance

targ

ets

beyo

nd

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

❒❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

nuis

ance

s:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

LEv

EL 2

Requ

irem

ent

met

not

m

etO

bser

vati

on?

Evid

ence

(A d

escr

iptio

n of

the

evid

ence

obs

erve

d

and

rela

ted

to th

e au

dit c

heck

gui

delin

es)

Form

al s

yste

ms

and

proc

esse

s in

pla

ce to

man

age

nuis

ance

s (in

clud

ing

odou

r, no

ise,

vis

ual a

nd g

ener

al h

ouse

keep

ing)

and

com

plai

nts

as p

er

the

site

Em

S❒

❒

Impa

cts

and

com

plai

nts

data

are

mad

e av

aila

ble

to re

leva

nt in

tern

al

and

exte

rnal

sta

keho

lder

s❒

❒

Impa

cts

and

com

plai

nts

redu

ction

targ

ets

are

revi

ewed

on

an a

nnua

l ba

sis

to d

rive

con

tinu

ous

impr

ovem

ent

❒❒

Dem

onst

rabl

e re

ducti

on in

nui

sanc

e im

pact

s an

d co

mpl

aint

s❒

❒

LEv

EL 3

zero

com

plai

nts’

targ

et a

nd p

olic

y in

pla

ce❒

❒

Proa

ctive

eng

agem

ent w

ith

loca

l com

mun

ity/

sta

keho

lder

s to

redu

ce

impa

cts

❒❒

Lead

ing

prac

tice

mec

hani

sms

in p

lace

to e

nsur

e re

ducti

on o

f im

pact

s

e.g.

pro

cess

cha

nges

❒

❒

Dem

onst

rabl

e ac

hiev

emen

t of

str

etch

ing

perf

orm

ance

targ

ets

beyo

nd

reco

gnis

ed in

tern

ation

al s

tand

ard

prac

tice

❒❒

Exam

ples

of g

ood

prac

tice

iden

tifie

d

(ple

ase

prov

ide

a sh

ort d

escr

iptio

n of

the

good

pra

ctice

mea

sure

iden

tified

)

Sum

mar

y: o

vera

ll le

vel a

chie

ved

for

nuis

ance

s:

❒ L

evel

1 n

ot a

chie

ved

❒

Lev

el 1

❒

Lev

el 2

❒

Lev

el 3

…




ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem

4. on-SITE PICTURES

Auditors should include relevant photos that were taken as part of the audit in this section of the audit report. Relevant photos may include general pictures of the employment site – such as pictures of the employment site or pictures of the production floor, or they may be specific to the details of the audit report – such as a picture of a non‐compliance, observation or best practice.

The suggested photos below are examples, and the auditor should include all relevant photos.

Photo Photo Photo

Outside view of employment site buildings Employment site entrance Processes

Photo Photo Photo

Waste skips Chemical storage cupboard Above ground storage tank

Photo Photo Photo

non-compliance 1 Observation 1 Best Practice 1

Photo Photo Photo



GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

Fin

ding

s an

d Co

rrec

tive

Acti

ons

G

SCP

Refe

renc

e En

viro

nmen

tal S

uppl

emen

tary

Aud

it In

form

ation

GSC

P Re

fere

nce

Envi

ronm

enta

l Sel

f Ass

essm

ent Q

uesti

onna

ire


intr

od

uctio

nA

ud

it req

uest

Au

dit ex

ecutio

nPr

ePAr

Ation

Au

dit o

utPu

tsG

lossA

ry

APPen

dices

risk A

ssessmen

t system

aPPenDix 6

GSCP Reference Environmental Supplementary Audit Information

This tool forms part of the GSCP set of reference tools designed to provide a common interpretation of local and international environmental standards and requirements and environmental reference codes (if available and applicable). The Environmental Reference Requirements reflect a common understanding of good environmental practice and are applicable to all raw material processing, agricultural, manufacturing and logistics sites in the supply chain. The Environmental Reference Requirements provide a model for a site in the supply chain to demonstrate

continuous improvement in its environmental performance from basic compliance to leading‐edge performance (across three defined ‘levels’ for eleven different performance areas).


SUPPlEMEnTARy AUdIT REPoRT

Auditors may feel the need to produce a separate, supplementary report for the audit requestor containing:

• information too sensitive for the audit report;


• attitude of management towards the non‐compliances or the audit process as a whole.

Supplementary reports may be appropriate:

• if workers appear to be under undue pressure from management on the day of audit;

• if management was obstructive or reluctant to accept findings and the need for remediation;

• where the auditor has concerns about the possibility of falsified records;

• where sensitive issues could not be discussed during the closing meeting because of a potential risk to workers’ wellbeing.


ental Pre-Audit Em



ental Audit Checks


ental Alert N

otification


ental Audit Report



udit Information


ental Summ



ental Self Assessm

ent Questionnaire


intr

od

uct

ion

Au

dit

req

ues

tA

ud

it e

xec

uti

on

Pr

ePA

rAt

ion

A

ud

it o

utP

uts

Glo

ssA

ry

APP

end

ices

ris

k A

sses

smen

t sy

stem

APPENDIx 6: GSCP REFERENCE ENvIRONmENTAL SUPPLEmENTARy AUDIT INFORmATION


Reference environmental supplementary audit information

AREA OF CONCERN (description of the issue, who was involved or effected

and its potential consequences)

EvIDENCE / OBSERvATIONS (a description of the evidence

observed)

relaTeD ENvIRONmENTAL

STanDarD or leGal REQUIREmENT

GSC

P Re

fere

nce

Envi

ronm

enta

l Pre

-Aud

it Em

ploy

men

t Site

Pro

file

G

SCP

Refe

renc

e En

viro

nmen

tal A

udit

Chec

ks

G

SCP

Refe

renc

e En

viro

nmen

tal A

lert

Noti

ficati

on

GSC

P Re

fere

nce

Envi

ronm

enta

l Aud

it Re

port

GSC

P Re

fere

nce

Envi

ronm

enta

l Sum

mar

y of

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aPPenDix 7

GSCP Reference Summary of Environmental Findings and Corrective Actions



The reference Summary of Environmental Findings and Corrective Actions has been designed to provide a structure to the audit team’s findings and help the audit team develop a corrective action plan and structure a closing meeting.

Audit requestors (companies and/or individuals) may take a number of different approaches with respect to corrective actions, for example:

• require auditors solely to identify corrective actions and require the employment site to develop the corrective action plan following the audit; or

• require auditors to identify evidence‐based findings and work with the employment site to develop a corrective action plan; or

• require auditors to identify evidence‐based findings, develop the appropriate corrective action and agree with the employment site on their follow‐up.

however, reference is made here to both ‘findings and corrective actions’ on the understanding that the identification of corrective actions may be required.

The Summary of Findings and Corrective Actions template includes:

• audit findings: Summary of non compliances, good practice, and evidence found;

• classification of non compliances;

• reference to the applicable code of conduct and/or law which has been contravened;

• recommended corrective actions: Auditors suggestion on how the audit findings can be resolved;

• person/party responsible for corrective action;

A noTE on CoRRECTIvE ACTIonS


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• verification method:

/ a desk-based follow up may be used to verify corrective actions for minor non-compliances but provide less assurance than a follow-up audit. Desk-based verification should check corrective actions through photos, copies of certificates, invoices, etc. submitted by the employment site. Desk-based follow-up cannot be used where actions need to be verified through worker testimony;

/ follow-up audits are recommended for critical or major non-compliances or when corrective actions can be evaluated only through interviews and extensive documentation reviews (see section 5.4 of the reference audit process);

• timescale for completion: The amount of time required for the issue to be closed. The time allocated for corrective actions to be completed should be appropriate, realistic and timely.

The Summary of Findings and Corrective Actions should:

• be clearly described and written in both English and the language spoken by the employment site management;

• be distributed as follows:

/ a signed copy for the employment site manager;

/ a signed copy retained by the auditor together with other audit documentation;

/ a hard or soft copy to the audit requestor.

nb: Where employment site representatives are unwilling to sign an English language copy of the Summary of Findings and Corrective Actions, the auditor should still sign their English language copy and should indicate that they have witnessed the representative’s signature on the copy signed by management.

appendix 7: GScp reference environmental Summary of findinGS and corrective actionS

EnvironmEntal audit ProcEss & mEthodology rEfErEncE tools - novEmbEr 2010

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REFEREnCE SUMMARy oF EnvIRonMEnTAl FIndInGS And CoRRECTIvE ACTIonS

1. Employment site and auditor details

Employment site name: Audit requestor:

Employment site address: Auditor name and organisation:

Employment site representative (name and position): Audit date:

Time in:

Time out:

APPENDIx 7: GSCP REFERENCE ENvIRONmENTAL SUmmARy OF FINDINGS AND CORRECTIvE ACTIONS



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The GSCP is facilitated byThe Consumer Goods Forum

22/24 rue du Gouverneur Gal Eboué92130 Issy‐les‐Moulineaux

France

www.gscpnet.com [email protected]

reference environmental audit process & methodology · 2020-02-07 · 04_global social...

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