Internal Audit Proc

COMPANY NAME Environmental Procedure
Internal Audit (EP-09)

Revision No. : 1 Date : DD MM YYYY Prepared by : Approved by :
Revision History Revision Date Description Sections Affected Revised By Approved By
COMPANY NAME
Internal Audit
Procedure Number : EP-09 Revision Number : 1 Date : DD-MM-YYYY
1.0
Purpose This procedure describes the methods for planning and conducting internal audits to verify that COMPANY NAMEs activities are in compliance with its EMS and to determine if the EMS has been implemented properly.
2.0
Scope This procedure applies to areas covered in the scope of the EMS.
3.0
Reference Documents Section 4.5.5, EMS Manual EP-07 ISO 19011 Auditing Enquiry / Complaint / Nonconformity Handling Guidelines for Quality and Environmental Management Systems
4.0
Definitions EMR EMS Committee EMS Audit CAR NC Environmental Management Representative Environmental Management System Committee Environmental Management System Audits Corrective Action Report Nonconformity
5.0 5.1
Responsibility Top Management The (Top Management) shall approve the audit plans, ensure that audit results are reviewed during management review meetings, and recommend EMS improvement actions based on the audit results.
5.2
Environmental Management Representative The EMR shall prepare the audit plans, coordinate internal audits, review the audit results and ensure that corrective actions, if any, are taken by the relevant parties.
5.3 5.4
Internal Auditor Auditors shall conduct the audit activities as assigned by the EMR. Function / Departmental Manager The Function / Departmental Managers shall assist the audit activities as required, review audit results and respond to NC as required.
6.0 6.1 6.1.1
Procedure Audit Planning The EMR shall prepare an Audit Plan (Appendix 1), which specifies the audit schedule, the scopes of audit and allocation of auditors. The audit plan shall be
Page 2
COMPANY NAME
Internal Audit
approved by the (Top Management). The schedule shall be planned so that all EMS elements and all BUSINESS ACITIVTIES are covered at least once a year. The audit frequency shall also be based on the environmental importance of the activities concerned and the results of previous audits. 6.1.2 For each audit, the EMR shall assign auditors who are independent from the areas / functions to be audited. All auditors shall be qualified on the receipt of EMS auditing training. Audit Preparation The auditor shall contact the auditee informally to arrange a convenient time and date to discuss the scope of the audit. The auditor shall prepare an Audit Checklist (EFEP09-02) for the areas to be audited (checklist for reference is available from EMR / Intranet) and blank CAR Forms (EF-EP07-01) for the audit. Conducting Audit All audit findings (strengths and weaknesses) are documented on the Audit Checklist. When a NC is found, the auditors shall report the details of NC on the CAR Form and inform the auditees the summary findings and observations. (For use of CAR Form, refer to EP-07 Enquiry / Complaint / Nonconformity Handling). Reporting and Follow-ups The EMR shall maintain and update the CAR Status Log, which records all the CARs received. The auditee shall identify the causes of NC and decide the appropriate corrective and preventive actions to be implemented, the responsible person and the expected completion date for rectifying the NC. The responsible auditor shall verify the CAR(s) until all outstanding items are closed. All CAR satisfactory closed out are sent to the (Top Management) for endorsement and maintained as EMS records. Review of Audit Results The EMR shall summarize the audit results in an Internal Audit Report (Appendix 3) for review at the Management Review. The audit results shall form the basis to identify and recommend EMS improvement actions. 7.0 Records Record Description Audit Plan (EF-EP09-01) Completed Audit Checklist (EF-EP09-02) Completed CAR Forms (EFEP07-01) CAR Status Log (EF-EP07-02) Internal Audit EP09-03) Report (EFEMR EMR EMR 3 years 3 years 3 years Record Location/ Retention Responsibility EMR EMR Minimum Retention Time 3 years 3 years
6.2 6.2.1
6.3 6.3.1 6.3.2
6.4 6.4.1 6.4.2
6.4.3 6.4.4 6.5
Page 3
COMPANY NAME
Internal Audit
8.0
Appendix Appendix 1 : Audit Plan (EF-EP09-01) Appendix 2 : Audit Checklist (EF-EP09-02) Appendix 3 : Internal Audit Report (EF-EP09-03)
Page 4
COMPANY NAME
Audit Plan
Lead Auditor Audit Team Member Target Date
Form Number : EF-EP09-01 Revision Number : 1 Date : DD-MM-YYYY
Area / Function to be Audited
ISO 14001 Clauses
Special Instructions
EP-09 Appendix 1
Page 5
COMPANY NAME Audit Location: Auditee(s) : Reference Documents:
Audit Checklist
Auditor(s) :
Date of Audit :
Reference ISO 14001 clause : Results OK NC N/A Remarks
Item
Description
O.K. = Meets Requirement Findings :
NC = Nonconformity / Need Improvement
N/A=Not applicable
EP-09 Appendix 2
Page 6
COMPANY NAME
Internal Audit Report
Document Number : Prepared by : 1. Background : (Audit objectives and scope)
Report Date :
2. Audit Planning :
(Audit schedule, Audit team members)
3. Audit Results :
(summarize the audit findings, total number of CAR issued and descriptions of NC)
4. Recommendations / Comments :
(results analysis, strength and weakness improvement measures recommended)
identified
and
EP-09 Appendix 3
Page 7

Internal Audit Proc

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COMPANY NAME Environmental Procedure

Internal Audit (EP-09)

Revision History Revision Date Description Sections Affected Revised By Approved By

Procedure Number : EP-09 Revision Number : 1 Date : DD-MM-YYYY

6.0 6.1 6.1.1

Procedure Number : EP-09 Revision Number : 1 Date : DD-MM-YYYY

6.3 6.3.1 6.3.2

6.4 6.4.1 6.4.2

6.4.3 6.4.4 6.5

Procedure Number : EP-09 Revision Number : 1 Date : DD-MM-YYYY

Form Number : EF-EP09-01 Revision Number : 1 Date : DD-MM-YYYY

Area / Function to be Audited

ISO 14001 Clauses

COMPANY NAME Audit Location: Auditee(s) : Reference Documents:

Form Number : EF-EP09-02 Revision Number : 1 Date : DD-MM-YYYY

Reference ISO 14001 clause : Results OK NC N/A Remarks

O.K. = Meets Requirement Findings :

NC = Nonconformity / Need Improvement

Internal Audit Report

Form Number : EF-EP09-03 Revision Number : 1 Date : DD-MM-YYYY

Document Number : Prepared by : 1. Background : (Audit objectives and scope)

(Audit schedule, Audit team members)

(results analysis, strength and weakness improvement measures recommended)

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