With the state's further clarification of environmental monitoring rights of environmental protection administrative departments at all levels, and the gradual improvement of technical supervision departments' requirements for the qualification of environmental monitoring institutions, environmental monitoring institutions at all levels pay more and more attention to internal audit. Because grass-roots environmental monitoring institutions have many practical problems, such as heavy tasks, weak hardware, small staffing, large proportion of seconded personnel and so on. To ensure the quality of monitoring, it is necessary to start with the mechanism and system to improve the overall ability of grass-roots environmental monitoring institutions.
1, Frequently Asked Questions on Internal Audit of Grass-roots Environmental Monitoring Institutions
1. 1 The contents of the quality manual, procedure documents and work instructions are divorced from the actual work and even lack of guiding significance.
The quality management system documents of grass-roots monitoring institutions are formulated and implemented in accordance with the Administrative Measures for Accreditation of Inspection and Testing Institutions issued by AQSIQ (Order 163) (hereinafter referred to as the Administrative Measures) and the Evaluation Criteria for Accreditation and Interpretation of Inspection and Testing Institutions issued by CNCA (No.201633) (hereinafter referred to as the Evaluation Criteria). Quality management system documents include quality manuals, program documents, work instructions and various record forms.
The quality manual is a programmatic document of the quality system, which needs to explain the quality policy of environmental monitoring and is a long-term document. Basic monitoring stations can basically cover all the elements of evaluation criteria when compiling quality manuals. However, due to the poor consideration of quality factors such as field sampling and laboratory testing, the management elements can not be well integrated with the technical conditions of monitoring experiments, which makes the content of the quality manual empty and impractical.
Program documents are documents that specify the standard methods and processes used in field sampling, laboratory testing and report preparation. , and need to be concise, accurate and operable. The program files of grass-roots monitoring stations are not detailed enough to completely contain specific requirements such as what needs to be done, how to do it, who will do it, how to control quality and how to record it [1].
The work instruction is a supplement to the program document, which guides the work activities of specific departments or posts. Its focus is to describe the actual operation process. No matter who operates, he can finish the work accurately, quickly, safely and with good quality and quantity according to the work instruction. Therefore, work instructions need to be more detailed, applicable and clear. In recent years, in order to meet the needs of environmental protection work, the Ministry of Environmental Protection has promulgated a series of new standards, and the operating procedures of grass-roots monitoring stations have been slow to respond to them, resulting in many doubts and difficulties in standardizing the operation of the new standards in the application process.
1.2 The internal audit plan is a mere formality, and the internal audit report is for inspection only.
Internal audit is mainly to verify whether the quality management system can continuously meet the relevant requirements of management measures and evaluation criteria, and can be effectively implemented, maintained and improved. The difficulty of internal audit lies in finding problems in a targeted manner [2]. However, there are also many problems in internal audit: first, the laboratory has experienced many external audits, which leads to the fatigue of relevant personnel [3], the internal audit system and efficiency are not improved enough, and the laboratory capacity is not improved enough; Second, the quality of internal auditors is not high, and they can't fully master the skills and methods of internal audit. Because of the feelings and interests of colleagues, it is impossible to audit objectively, impartially and independently. Third, the laboratory quality management system of some grass-roots monitoring institutions is not mature, which leads to the lack of cooperation between the audited departments. In view of the above reasons, internal audit
1.3 The staffing, actual number and quality of personnel do not match the quality objectives of the laboratory.
Grass-roots monitoring institutions are limited by staffing problems, and the whole institution has fewer personnel. At the same time, some staff are seconded to other departments, and the number of people actually engaged in laboratory work in the whole monitoring institution is even smaller. However, the daily monitoring task is heavy, the quality management knowledge of the monitoring personnel is less trained, and the quality awareness is weak, which can not ensure the quality of the laboratory well.
1.4 All kinds of monitoring tasks are similar in process and lack of pertinence.
Grass-roots monitoring stations mainly provide monitoring data for environmental authorities and basic services for environmental management. The monitoring plan is made according to the requirements of superiors and environmental authorities. The monitoring process is fixed and the monitoring factors are fixed, which easily leads to the lack of pertinence and completeness of monitoring indicators, and some environmental monitoring indicators are repetitive and unrepresentative, which cannot accurately reflect the actual environmental conditions of local or related enterprises.
2. Cause analysis
2. 1 Laboratories have different understandings of internal audit, and their status is not high.
According to the requirements of management measures and evaluation criteria, internal audit can continuously promote the effectiveness and richness of quality management system, find weak links in daily monitoring, promote continuous error correction and improvement, and make quality management more and more perfect. Internal audit is a feedback mechanism for the top managers of monitoring institutions, a guarantee for high-quality monitoring data, and a very powerful tool for organizations to improve their management system. Organizing and managing the internal audit process is the key factor to ensure the effectiveness of the quality management system.
Grass-roots monitoring institutions can't look at internal audit from the perspective of ensuring quality management, but can only do it as their annual routine work. Even some monitoring institutions can't fully guarantee to carry out internal audit once a year, and only when the external audit is carried out will they suddenly supplement the internal audit data.
2.2 The leaders did not pay enough attention, especially the leaders of administrative departments.
The internal audit of environmental monitoring involves many functional departments such as site and analysis room, and the support of leaders is the key to carry out this work [4]. The leaders of some monitoring institutions did not take internal audit as an opportunity to improve the quality of environmental monitoring, and organized the necessary human, financial and material resources during the audit process. They just called a few relevant departments to go through the motions simply and made corresponding records to cope with the external audit, which greatly reduced the internal audit work.
2.3 The quality of quality management personnel needs to be further improved.
Internal audit is a procedural and technical work. Grasping the standards can not only rely on the efforts of auditors, but also require auditors to master certain audit skills and have excellent abilities to meet the requirements of internal audit work [5]. The quality and ability of internal auditors are the basis and guarantee of effective internal audit. The laboratory must establish system guarantee to improve the quality and ability of internal auditors to ensure the quality of follow-up internal audit.
Most internal auditors in grass-roots monitoring institutions are transferred from experimental analysis, on-site monitoring and other posts, or hold two posts at the same time, and the number of certified personnel is insufficient, resulting in relatively simple business knowledge and low proficiency in professional knowledge, unable to master certain auditing skills and unable to find problems in all links in a limited time, resulting in low internal audit quality.
3. Discussion on countermeasures
3. 1 define the functional orientation of the laboratory, and formulate quality manuals, program documents and work instructions according to the function and task nature.
The quality management system documents should be written and done consistently, and the actual operation of the documents should be carried out according to this requirement, and the operation results should be recorded according to the provisions of the documents. An effective set of quality management system documents is the iron camp.
3.2 Strengthen publicity, improve and unify the understanding of internal audit.
Grass-roots environmental monitoring institutions should take quality management as an important task, publicize the environmental quality management system documents, the latest laws, regulations and industry standards to all employees, understand the personal responsibilities and tasks in the quality management system, improve the understanding of internal audit work, form everyone's participation, and promote the effective operation of the laboratory quality management system.
3.3 Strengthen training to improve the overall quality of the laboratory.
The quality of laboratory personnel is the key to the quality system. With the continuous updating of laboratory equipment, the overall quality of laboratory personnel needs to be continuously improved. First, through external training, seminars organized by the unit, self-study, mutual exchanges, internships and other ways to continuously improve the quality; Secondly, the management system is constantly improved to mobilize the enthusiasm and enthusiasm of all staff, thus greatly improving the overall quality of the laboratory.
4. Summary
Effective internal audit work carried out by grass-roots environmental monitoring institutions can continuously improve the quality of environmental monitoring and the management level of laboratories. Through the development of internal audit, the laboratory's infrastructure construction, monitoring and testing level, staffing and quality have been comprehensively improved, and environmental monitoring has rules to follow, scientific methods and accurate results, which can better serve the government's environmental management.
refer to
[1] Teng Ling Kai. On the establishment and operation of quality management system in environmental monitoring laboratory [J]. Green Science and Technology, 2016 (14):168-169
[2] Xin Xu. On how to carry out internal audit in laboratories [J]. Modern Measurement and Experimental Management, 20 10(2):46-47.
Deng Xiuyan, Lin Chongchang, Wu Canbin. Common problems and countermeasures of laboratory internal audit [J]. China Journal of Health Inspection Technology, 2015 (8):1277-1279.
[4] Xie Ping. Analysis on how to improve the internal audit quality of environmental monitoring stations [J]. Environmental Research and Monitoring, 2016,29 (2): 9 ~11
[5] Roman. Analysis of Laboratory Internal Audit [J]. Guide to Science and Technology Economy, 2017 (11): 241
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