EMS Internal Audit Protocol: Management Level (2) DO [BAC-ENV-FRM-11]

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PROTOCOL 2 – DO: USING THE PDCA AUDIT PROTOCOLS – GUIDANCE NOTES

MANAGEMENT LEVEL - ROLES, RESPONSIBILITY AND SUPPORT

1. Has BAC defined the roles and responsibilities necessary to facilitate effective environmental management?
2. Has BAC management assigned responsibility and authority for ensuring the EMS conforms to ISO14001?
3. Has BAC management assigned responsibility and authority for reporting on the performance of the EMS to top management?
4. How does BAC communicate these roles and responsibilities to the relevant personnel?
5. Does management ensure that resources are available to establish, implement and maintain the EMS?
6. Are resources, roles and responsibilities periodically reviewed?

1. Have competency requirements been defined?
2. Is there a process to ensure persons are competent on the basis of education, training or experience?
3. Does BAC retain training records?
4. Does BAC periodically review its environmental training needs?
5. Does BAC ensure all persons are made aware of the Environmental Policy?
6. Does training ensure that employees are aware of the potentially significant environmental aspects associated with their work?
7. Are BAC personnel made aware of how they can contribute to the effectiveness of the management system & implications of non-conformance?
8. Is there any ongoing awareness provided?
9. Are relevant contractors and suppliers made aware of the following?<br>•The environmental policy<br>•Environmental risks associated with their work<br>•How they can contribute to the effectiveness of the EMS<br>•Implications of not conforming to the EMS of compliance obligations.

1. Has BAC implemented and maintained processes for internal communication with regard to its environmental management system including what, when, with, how, who it will communicate?
2. Has BAC implemented and maintained processes for, documenting and responding to relevant communication from external parties with regard to its environmental management system including what, when, with, how, who it will communicate?
3. Has BAC documented its decision regarding whether it will communicate externally about its significant environmental aspects/risks?
4. When establishing its communication processes has BAC taken into account its compliance obligations?

1. Has BAC implemented a document control process?
2. Does documentation have a unique document number and revision status?
3. Is there a sign-off process for approval of new documents and revisions and is evidence retained?
4. Has the BAC identified who can approve documentation?
5. Does BAC have a standard document control format/template?
6. Does the document control procedure(s) include roles and responsibilities for periodically reviewing, updating and re-approving as necessary all documents required by the EMS?
7. Does the document control procedure include the processes for preventing the use of obsolete documents and how obsolete documents are identified?
8. Does the document control procedure include the process for control of documents of external origin which are necessary for the planning and operation of the EMS?
9. Are management system records protected?
10. Has BAC defined retention periods for management system documentation?

1. Has the BAC identified potential environmental incidents?
2. Has the BAC implemented a emergency response processes?
3. Is the Emergency Response processes easily accessible in the event of an environmental incident?
4. Does BAC provide information and training related to emergency preparedness and response?
5. Does the BAC review its emergency response documentation periodically, and in particular following an incident?
6. Does the BAC periodically test its emergency preparedness and response procedures?

1. Has BAC identified its minimum controls required for operations associated with the identified significant environmental aspects?
2. Has BAC established operating instructions/procedures to manage the environmental aspects/risks of these operations?
3. Does the operating documentation cover the significant environmental aspects/risk of goods and services used by the organisation?
4. Does the BAC communicate the relevant operating documentation to external service providers where required?
5. Are external service providers selected by a predefined criteria?
6. Does BAC influence their external service providers to meet the environmental objectives and policy commitments?
7. How do ensure the supplied product or service has met requirements?
8. If the product or service is being provided directly to the customer, how do you ensure it meets requirements?
9. Does BAC evaluate the performance of their external service providers?
Assessment Results Summary

Sign-off