HES4811
ASSIGNMENT 3 SEMESTER 3 2024
, Assignment 3 (Unique Nr. 799045)
HES4811
Integrated Environmental Management Systems and Auditing
Due Date : 06 October 2023 @ 23h00
100 Marks
This assignment consists of seven (7) pages.
Instructions:
1. Please read the minimum requirements that must be met for all assignments in "Before
you start: Important information" tab at 4. Assessment and 4.1 Formative assessment -
Assignments for this module before completing any of the activities for this assignment.
2. Assignment 3 (three) consist of six (6) Activities and compose a total of 100 marks.
3. This assignment will aid you to achieve Specific outcome 4: Explain the reasons for and
process of Environmental Auditing.
4. Very importantly: you need to include a plagiarism declaration in every assignment.
Please find the “UNISA Plagiarism declaration” template in subfolder Plagiarism and
Referencing of the Additional Sources folder for Module HES4811. NB: 5% will be deducted
from the overall assignment mark if no plagiarism declaration is available.
5. Read the UNISA “Policy for Copyright Infringement and Plagiarism”; the UNISA Library
“Guide to Plagiarism”; Roig (2006) “Guidance on Plagiarism”; and UNISA “Guidelines on
Referencing Techniques” before signing the Plagiarism Declaration. Note: academic
sources include published, peer reviewed journal articles, books, MSc and/or PhD reports.
6. Marks WILL be deducted if no academic sources are used to support your argument
when asked for.
7. For additional 2 bonus marks; please complete the ‘Student evaluation form’
available at the following link https://forms.office.com/r/CMiymdRArm. Add a screenshot of
the completed form after your Question 6 as evidence for the bonus marks.
1
,PROVIDE ANSWERS FOR ALL THE ACTIVITIES.
Activity 3.1 Definitions [5 marks]
3.1.1. Provide the definition of an ‘audit’ as provided in the ISO 14001:2014 standard and critically
evaluate this definition against two other definitions you sourced from the internet for ‘Environmental
Audit’. Include the references to the three definitions in your answer. (3 Marks)
3.1.2. Use the ISO 14001:2015 standard and one (1) web source to explain the terms “Competence” and
“Competent ISO auditor”. (2 Marks)
Activity 3.2 Audit types [15 marks]
An important type of Audit had to be used more extensively during the COVID-19 pandemic and is still
being used, namely ‘Remote Assessment’. Search the International Accreditation Forum’s (IAF) Document
Nr. ‘ID 12:2015 Principles on Remote Assessment’ and do the following:
3.2.1. Provide the definition of ‘Remote Assessment’ and critically compare this to the ISO 14001:2015
definition of ‘audit’. (1 Mark)
3.2.2. Critically argue what type of ‘Environmental Audit’ is a ‘Remote Assessment’ if one considers the
types of Environmental Audits as provided in the guideline of DEAT (2004) ‘Environmental Auditing,
Integrated Environmental Management, Information Series 14, Department of Environmental Affairs and
Tourism (DEAT), Pretoria’. (1 Mark)
3.2.3. Explain in your own words, when remote assessments may be considered [10 Marks] and in what
situations they may be less favourable [3 Marks]. (13 Marks)
Activity 3.3 Audit programme and plans [20 Marks]
3.3.1. Use ISO 19011:2018 as a source to explain the main difference between an audit programme and
an audit plan. (2 Marks)
3.3.2. Through an illustrative diagram, show all steps common to conducting audits as stipulated by ISO
19011:2018. (9 Marks)
3.3.3. Give an in-depth description of the key steps common to all environmental audits. (9 Marks)
2
,Activity 3.4 Principles of auditing and case study [20 Marks]
According to ISO 19011:2018 auditing is characterized by reliance on seven (7) principles.
3.4.1. Explain briefly, why these principles are needed. (1 Mark)
3.4.2. Name the principles and briefly interpret each principle in your own words. (14 Marks)
3.4.3. Read the Centre for Environmental Rights’ (CER) report “Full disclosure”
(https://fulldisclosure.cer.org.za/2019/doc/Full-Disclosure-2019.pdf) and critically discuss which
principles the “Independent auditors” (see pages 8 to 9) did not adhere to. (5 Marks)
Activity 3.5 ISO audit application [33 Marks]
3.5.1. Carefully audit the legitimacy of the following statements made by an organization’s Top
Management and Environmental Manager about the new ISO 14001:2015 standard during an ISO
14001:2015 audit. Determine if each statement is true or false [1 Mark] and give a short explanation of
your answer by referring to the relevant system clause/s [1 Mark] and your explanation of the answer [1
Mark]. (18 Marks)
True/
No. Statement Clause(s) and Explanation
False
Clause: Introduction 04 ‘Plan-Do-Check-
Example: Act model’[1 Mark] state “The basis for
False the approach underlying an environmental
This organisation need to design, management system is founded on the
0 implement and maintain the Plan, Do and [1 concept of Plan-Do-Check-Act (PDCA). The
Check (PDC) model to achieve continual Mark] PDCA model also “provides an iterative
improvement. process used by organisations to achieve
continual improvement”. [1 Mark]
Our organisation need to achieve
enhancement of environmental
a)
performance as the only intended outcome
of the ISO 14001:2015-based EMS.
Our organisation must document the scope
b) of their environmental management
system.
3
, Our organisation use unestablished criteria
to determine those aspects that have or can
c)
have a significant environmental impact,
i.e. significant environmental aspects.
A life cycle perspective is to be applied
when identifying the environmental aspects
d)
associated with its activities, products and
services.
Our organisation shall communicate
relevant environmental performance
e) information internally as identified in its
communication process[es] and as required
by its compliance obligations.
Our organisation may consider
f) understanding its conformance status with
compliance obligations.
3.5.2. Lockdown Safely (Pty) Ltd, an ISO 14001:2015 certified organisation, appoints you to conduct an
audit on the organisations’ existing ISO 14001 environmental policy. Read the policy presented to you
below and write three (3) detailed non-compliances to specific clauses and sub-clauses to ISO 14001:2015.
Note: each non-compliance must fulfil all five (5) elements of a finding required by ISO 19011:2018.
(15 Marks)
Lockdown Safely (Pty) Ltd
ENVIRONMENTAL POLICY
Lockdown (Pty) Ltd recognises the universal right of present and future generations to an environment that
is not harmful to human well-being. We therefore conduct our operations such that we minimise any
potential adverse effects of our process and products. Lockdown (Pty) believes that the best mechanism to
ensure that this right is maintained is through the adoption of practices consistent with the goals of
sustainable development.
In order to execute these goals, all Lockdown (Pty) Ltd business units will conduct their activities within the
following strategy framework:
• Lockdown (Pty) Ltd management will provide the necessary resources to execute this strategy.
• Lockdown (Pty) Ltd will comply with legislation.
• Strive towards the optimal utilisation of resources through the reduction of waste and use of fossil
fuels and the prevention of pollution through the use of renewable, recycled and environmentally
friendly resources.
4
, •Develop an emergency preparedness programme identifying potential environmental risks to
Lockdown (Pty) Ltd operational activities and products with the subsequent implementation and
maintenance of risk mitigation measures.
• Provide appropriate environmental training for all employees and contractors with a view to
achieve the objectives of this policy.
• Actively and openly participate in environmentally related dialogue with all interested and affected
parties, including employees, the government, non-governmental organisations and
representatives from community organisations and will preferentially support and assist
environmentally responsible suppliers of goods and services.
• The Lockdown (Pty) Ltd Environmental Policy is viewed as a dynamic document that will be
reviewed on a regular basis to take cognisance of improved environmental understanding and
practice.
This policy is available to Lockdown (Pty) Ltd employees, regulatory authorities, and the community on
request.
Approved by: Mr Corona
Date: 2021/02/28 (Revision 01)
Example:
Finding No. Clause Finding [must contain time + place + evidence in document+ requirement]
At the time of the documentation audit [1 Mark], no evidence of a revision
JAW01:
5.2: General of the policy was available [1 Mark] to show maintenance of the
Minor
environmental policy [1 Mark]. ISO 14001: 2015 requires “Top
Finding [1 Mark] management shall establish, implement and maintain an environmental
(example)
policy”. [1 Mark]
...01
...02
...03
Activity 3.6 Auditing Certification Authority [7 Marks]
Download and read the Southern African Auditor and Training Certification Authority’s (SAATCA)
“Management System Auditors Criteria” (Available at: http://www.saatca.co.za/wp-
content/uploads/2018/05/CRT-6-9-Criteria-for-Certification-Environmental-Management-System-
Auditor-rev-8.pdf).
3.6.1. List and briefly describe the SAATCA auditor grades. (3 Marks)
5
,3.6.2. By considering your education (see page 9, section 2.3) your work experience (see page 10, section
2.4), your knowledge and skills (see page 11, section 2.5), determine which SAATCA auditor grade you will
be able to qualify for? (4 Marks)
Useful recommended sources: [Note: the below is recommended information but there are many on-
line, published articles that deals with the Environmental Auditing topic. Innovative use of a variety of
“academic” sources will be rewarded and if not used/integrated effectively and critically the student will
be penalized. See also Wessels, 2023 presentation [References] in Additional Resources for further
guidance on resources].
International Standards - accessible through ISO and SABS website and web sources:
• International Organization for Standardization (ISO). 2015. ISO 14001 – Environmental
management systems - Requirements with guidance for use. ISO. Geneva.
• International Organization for Standardization (ISO). 2016. ISO 14004 – Environmental
management systems - General guidelines on implementation. ISO. Geneva. Available at:
https://www.iso.org/obp/ui/#iso:std:iso:14004:ed-3:v1:en
• International Organization for Standardization (ISO). 2018. EN ISO 19011:2018 - Guidelines for
auditing management systems. ISO. Geneva.
• International Organization for Standardization (ISO). 2015. ISO 17021 - Conformity assessment --
Requirements for bodies providing audit and certification of management systems. ISO, Geneva.
Academic sources examples - accessible through Google Scholar [peer reviewed & published: Journal
articles, M and PhD]:
• Adarkwa, S.A. 2016. Environmental audit of small hospitals: a case study at the Aninwaaah
Medical Centre, Emena-Kumas. Master of Science, Kwame Nkrumah University of Science and
Technology, November, 2016.
• Tai, S. and Song, C. 2013. Discussion of Environmental Audits Key Elements and Its Concept.
Business and Management Research, Vol 2, No.1. Available at:
http://dx.doi.org/10.5430/bmr.v2n1p88
• Piek, B. 2019. Evaluating the effectiveness of non-conformance reporting systems of ISO 14001
certification auditing in South Africa: a certification body' perspective. Master’s degree in
Environmental Management at the North-West University. Available at:
http://repository.nwu.ac.za/handle/10394/34133
• Wessels, J.A., Mostert, RCS, and Morrison-Saunders, A. 2018. Occupation to profession: the
need, drivers and course of action for regulating the South African Environmental Control
Officer industry. Journal of Environmental Assessment Policy and Management, Vol. 20, No. 4
(December 2018) 1850011 (28 pages). Available at:
https://www.worldscientific.com/doi/abs/10.1142/S1464333218500114
Web sources
SAATCA:
• http://www.saatca.co.za/
• http://www.saatca.co.za/auditor-registration/auditor-grades/
6
, • http://saatca.co.za/wp-content/uploads/2017/01/SF129-Summary-of-Requirements-for-
SAATCA-Auditor-Registration-Black-White-Rev-6.pdf
• http://www.saatca.co.za/auditor-registration/schemes/
• http://www.saatca.co.za/wp-content/uploads/2018/05/CRT-6-9-Criteria-for-Certification-
Environmental-Management-System-Auditor-rev-8.pdf
TOTAL FOR ASSIGNMENT Three (3) = 100 Marks
© Unisa 2023
<<<END>>>
7
, Activity 3.1 Definitions [5 marks]
3.1.1. Definition of 'Audit' from ISO 14001:2014:
ISO 14001:2014, the international standard for Environmental Management Systems (EMS),
defines an audit as follows:
"A systematic, independent, and documented process for obtaining audit evidence and
evaluating it objectively to determine the extent to which the audit criteria are fulfilled."
Critique of the ISO 14001:2014 Definition:
This ISO 14001:2014 definition of an audit is comprehensive and aligns with the principles of
auditing standards. It highlights key elements of an audit process, including systematic and
independent procedures, documentation, and the objective evaluation of evidence against
established criteria. However, it does not specifically emphasize the environmental aspect of
audits, which may be a limitation for those seeking a more environmentally-focused definition.
Definition of 'Environmental Audit' from Other Sources:
1. The International Organization for Standardization (ISO) defines an environmental audit as:
"A systematic process to determine how well an organization is performing in relation to
environmental regulations, standards, and objectives. It involves evaluating environmental
performance and identifying opportunities for improvement."
2. The Environmental Protection Agency (EPA) defines an environmental audit as: "A
comprehensive review of a facility's operations and practices to assess compliance with
environmental regulations, identify areas of non-compliance, and recommend corrective actions
to achieve compliance."
Comparison:
- The ISO definition of 'audit' is more generic and does not specifically focus on environmental
aspects, while the other two definitions specifically relate to environmental auditing.
- Both external definitions emphasize compliance with environmental regulations and standards,
whereas the ISO definition is more general in terms of "audit criteria."
- The EPA definition explicitly mentions corrective actions as an outcome of an environmental
audit, which is not as explicit in the ISO definition.
