APPENDIX F: SAMPLE PROCEDURE FOR INTERNAL EMS AUDIT
Purpose
To define the process and responsibilities for planning, conducting, reporting and following up internal EMS audits at Eco-Friendly Inc (EFI).
Responsibilities
Manager < > has the overall responsibility for:
• Planning internal EMS audits;
• Ensuring auditor competency and independence;
• Designating auditors for specific audits;
• Ensuring regulatory compliance is also audited;
• Monitoring how audits are conducted; and
• Following up and reporting the results of audits to senior management.
Procedure
Planning
1. All departments of EFI shall be audited against all elements of the Standard at least once a year. Additional audits may be scheduled considering the environmental significance of activities and the results of previous audits.
2. Manager < > shall prepare an audit plan for each audit and communicate it to the auditors and auditees at least three weeks before the audit.
3. The audit plan defines:
3.1. The audit scope and criteria;
3.2. The audit team members and functions to be audited;
3.3. Audit dates, times and any other requirements; and
3.4. Responsibilities for writing the audit report and taking follow-up actions.
Responsibilities/qualifications
4. Manager < > shall nominate a lead auditor and at least one additional auditor as the audit team for each audit. The auditors would be considered suitable to conduct an internal EMS audit if they meet the following conditions:
4.1. They meet auditor competence requirements defined in the training procedure of EFI.
4.2. They are independent of the activity and/or department being audited.
4.3. They have participated in at least two audits as an observer auditor.
Internal EMS audit process
5. EMS audits will be conducted primarily through interviews, observing physical conditions and checking documents and records.
6. The audit team will conduct short opening and closing meetings with the departmental head of the area that is being audited to explain the scope and methodology of the audit.
7. Auditors will document nonconformities and hand them over to the management of the area under audit. A copy of the nonconformity report is given to Manager < > to record and follow up.
8. Responsibility for determining root cause(s) and taking corrective actions will reside with the functional area managers where findings occurred. Management representatives should be requested to coordinate where required.
9. The lead auditor (unless otherwise specified by Manager < >) should follow up to ensure that the corrective actions are completed by the agreed-upon dates. The EMS audit is closed once establishing that the corrective actions are fully implemented and effective.
Audit report
10. When the audit is complete, the lead auditor will complete the audit report and make it available to Manager < > and the relevant functional area manager.
Audit as input to the management review
11. Manager < > shall present the results of the audit and the status of the corrective actions to the top management of EFI as input for the management review process. Any nonconformities that have not been fully implemented will continue to be monitored, and a status report will be provided until the corrective action is fully implemented.
Records
Records that must be kept include:
• An audit plan;
• Audit nonconformity reports; and
• The audit report.