H&S - Internal audit - SK UK 14001 2015 Internal Management Systems Audit Template (3)

• Prepared by

• PLANT

• Date

  Date

• Attendance List:

• signature of auditor

  Sign

Understanding the Organisation and its context

• Is the context of the site in place?

  Yes

  No

  N/A

Understanding the needs and expectations of interested parties

• Has the site determined interested parties that are relevant to the EMS?

  Yes

  No

  N/A

• Has the site determined interested parties’ needs and expectations?

  Yes

  No

  N/A

• Determined which need/expectations/requirements are its compliance obligations

  Yes

  No

  N/A

Determining the scope of the EMS

• Is there a clearly defined scope considering the life cycle?

  Yes

  No

  N/A

• In the scope has there been consideration of:

• External and internal issues

  Yes

  No

  N/A

• Compliance obligations

  Yes

  No

  N/A

• Smurfit Kappa’s functions and boundaries

  Yes

  No

  N/A

• Activities, products and services

  Yes

  No

  N/A

• Authority and ability to exercise control and influence

  Yes

  No

  N/A

EMS

• Is there a copy of the Site’s EMS manual? Where is it stored? How is it controlled?

  Yes

  No

  N/A

Leadership and Commitment

• Is there evidence for accountability in the EMS?

  Yes

  No

  N/A

• How are the environmental policy and objectives established?

• Is there evidence of environmental being considered in everyday business strategy?

  Yes

  No

  N/A

• How are sufficient resources being made available?

• How has the importance of the EMS and policy been communicated out?

• Is there evidence of EMSC meetings?

  Yes

  No

  N/A

• How are senior management supporting people to contribute to the effectiveness of the EMS - evidence of training?

• Evidence of continual improvement?

  Yes

  No

  N/A

• What examples are there of senior management supporting other management under their responsibility?

Environmental Policy

• Where can the environmental policy be found? How is it controlled?

• How and when is the policy available to colleagues?

• How and when is the policy available to Contractors

• How and when is the policy available to Other third parties, e.g. General public

• Is the policy appropriate to the purpose and context of the organisation?

  Yes

  No

  N/A

• Does the Environmental Policy provide a framework for setting and reviewing environmental objectives and targets?

  Yes

  No

  N/A

• Does the Environmental Policy include a commitment to continual improvement and the prevention of pollution?

  Yes

  No

  N/A

• Does the Environmental Policy Include a commitment to comply with relevant legislation and regulations, and with other requirements applicable to the business?

• Does the Environmental Policy Include a commitment to continual improvement?

Organisational Roles, Responsibilities and Authorities

• Is there an EMSC formed of senior management?

  Yes

  No

  N/A

• Have the roles of employees relevant to the Environmental Management System been defined, documented and communicated?

  Yes

  No

  N/A

• Are the EMSC meeting/senior management review minutes communicating the performance of the EMS?

  Yes

  No

  N/A

General

• Has the site considered internal and external issues?

  Yes

  No

  N/A

• Needs and expectations of interested parties

  Yes

  No

  N/A

• The scope of the EMS

  Yes

  No

  N/A

• Have risks and opportunities relating to the environmental aspects been determined?

  Yes

  No

  N/A

• Are compliance obligations and other issues addressed?

  Yes

  No

  N/A

• Have potential emergency situations been determined?

  Yes

  No

  N/A

• Is there documentation of risks and opportunities that need to be addressed and processes needed to the extent necessary to have confidence they are carried out as planned?

  Yes

  No

  N/A

Environmental Aspects

• Have the environmental aspects been defined?

  Yes

  No

  N/A

• Has change been accounted for in the aspects?

  Yes

  No

  N/A

• Have abnormal and foreseeable emergency situations been accounted for in the aspects?

  Yes

  No

  N/A

• Has a criteria been established for assessing the risk of each aspect?

  Yes

  No

  N/A

• Is there documentation of?

• Environmental aspects and associated environmental impacts

  Yes

  No

  N/A

• Criteria used to determine its significant environmental aspects

  Yes

  No

  N/A

• Significant environmental aspects

  Yes

  No

  N/A

Compliance Obligations

• Does the site have access to the latest legal compliance register?

  Yes

  No

  N/A

• Does the site have an evaluation of legal and other requirements?

  Yes

  No

  N/A

• Are the compliance obligations taken into account in the EMS?

  Yes

  No

  N/A

Planning Action

• Has the site planned to address significant environmental aspects? Compliance obligations? Risks and opportunities?

  Yes

  No

  N/A

• Has the site planned how to integrate and implement the actions into its EMS processes and other business processes?

  Yes

  No

  N/A

• Has the site planned how to evaluate the effectiveness of the actions?

  Yes

  No

  N/A

Environmental Objectives

• Are objectives consistent with the environmental policy?

  Yes

  No

  N/A

• Are objectives specific, measurable, attainable, relevant and time specific?

  Yes

  No

  N/A

• Measurable?

  Yes

  No

  N/A

• Monitored?

  Yes

  No

  N/A

• Communicated?

  Yes

  No

  N/A

• Updated?

  Yes

  No

  N/A

• Documented?

  Yes

  No

  N/A

Planning Actions to Achieve Environmental Objectives

• Relating to the environmental objectives, has the site determined:

• What will be done and how actions to achieve can be integrated into the overall business process

• What resources will be required

• Who will be responsible

• When the objective will be completed

• How the results shall be evaluated

Resources

• Have appropriate and sufficient resource been provided to establish and maintain the Environmental Management System?

  Yes

  No

  N/A

Competence

• Has the site determined the necessary competence of colleagues and contractors?

  Yes

  No

  N/A

• Where relevant, are colleagues and contractors competent on the basis of training or experience?

  Yes

  No

  N/A

• Have the environmental training needs of employees been identified?

  Yes

  No

  N/A

• Has training been given to the employees whose function may have a significant impact on the environment?

  Yes

  No

  N/A

• Are employees assessed in their competency in environmental practice?

  Yes

  No

  N/A

Awareness

• How and are all colleagues and contractors aware of:

• The environmental policy

• Significant environmental aspects and related actual or potential environmental impacts associated with their work

• Their contribution to the effectiveness of the EMS, including the benefits of enhanced environmental performance

• The implications of not conforming with the EMS requirements, including not fulfilling the organisation’s compliance obligations

Communication

• Regarding communications, has the site outlined:

• What it communicates

  Yes

  No

  N/A

• When to communicate

  Yes

  No

  N/A

• With who to communicate

  Yes

  No

  N/A

• How to communicate

  Yes

  No

  N/A

• Has the site responded to relevant communications on its EMS?

  Yes

  No

  N/A

• Has the site retained documented information as evidence of its communication?

  Yes

  No

  N/A

• Are there established procedures for communicating the Environmental Management system aspects between the various levels of the business?

  Yes

  No

  N/A

• Is there a system in place for receiving, documenting and responding to relevant communications from external, interested parties?

  Yes

  No

  N/A

Documented Information

• Has the organisation established documentation that describes the core elements of its Environmental Management System and points the auditor to related documentation?

  Yes

  No

  N/A

• Is there documented information regarding:

• Size of the organisation

  Yes

  No

  N/A

• Types of activities, processes, products and services

  Yes

  No

  N/A

• The need to demonstrate fulfilment of its compliance obligations

  Yes

  No

  N/A

• Complexity of processes and their interactions

  Yes

  No

  N/A

• Competence of colleagues and contractors

  Yes

  No

  N/A

• Does all EMS specific documentation contain:

• Identification and description

  Yes

  No

  N/A

• Review and suitability for adequacy

  Yes

  No

  N/A

• Has the format and media of the specific EMS documentation been specified?

  Yes

  No

  N/A

• Is the EMS documentation available for use?

  Yes

  No

  N/A

• Is the EMS documentation adequately protected?

  Yes

  No

  N/A

• Has the EMS documentation been backed up recently?

  Yes

  No

  N/A

Emergency Preparedness and Response

• Has the site prepared for emergency situations?

  Yes

  No

  N/A

• And taken into consideration preventing and mitigating adverse environmental impacts

  Yes

  No

  N/A

• Has the site responded to any actual emergencies and have they been documented appropriately?

  Yes

  No

  N/A

• Has the site tested the planned response actions?

  Yes

  No

  N/A

• Has the site reviewed and revised where necessary the processes in an emergency scenario?

  Yes

  No

  N/A

• Is there appropriate information relating to emergency preparedness and response to colleagues and third parties?

  Yes

  No

  N/A

General

• Has the site determined what environmental aspects shall be monitored and measured?

  Yes

  No

  N/A

• Has the method of measurement been established?

  Yes

  No

  N/A

• Have a criteria and appropriate indicators been established?

  Yes

  No

  N/A

• What is the frequency of monitoring and measuring?

• How and when are the results analysed?

• Is relevant monitoring equipment suitably maintained and calibrated?

  Yes

  No

  N/A

• Have records been retained of this calibration and maintenance processes?

  Yes

  No

  N/A

• Have the results of monitor and measuring been communicated out to colleagues and relevant third parties?

  Yes

  No

  N/A

• Has documentation been retained of the monitoring, measuring and results?

  Yes

  No

  N/A

Evaluation of Compliance

• Has a procedure been established, implemented and maintained for periodic evaluation of compliance to applicable legal compliance and other requirements?

  Yes

  No

  N/A

• When does the site evaluate compliances?

• How does the site take action if needed?

• How does the site maintain knowledge and understanding of its compliance status?

Internal Audit

• Does the site have an audit schedule for systems, legal, document control, duty of care (waste) and EMS monitoring audits?

  Yes

  No

  N/A

• Has the audit schedule been kept up to date?

  Yes

  No

  N/A

• Have audit criteria and scopes been defined?

  Yes

  No

  N/A

• How does the site ensure objectivity in the auditing?

• How are the results of the audit reported to the relevant management teams?

• How and are the audits documented?

Management Review

• Has a senior management review been scheduled?

  Yes

  No

  N/A

• Has a senior management review taken place and minuted?

  Yes

  No

  N/A

• Has a review of the previous EMSC meetings and senior management reviews taken place?

  Yes

  No

  N/A

• In EMSC meeting/senior management reviews has there been consideration of:

• External and internal issues relevant to the EMS

  Yes

  No

  N/A

• Needs and expectations of interested parties

  Yes

  No

  N/A

• Compliance Obligations

  Yes

  No

  N/A

• Significant environmental aspects

  Yes

  No

  N/A

• Risks and opportunities

  Yes

  No

  N/A

• And decisions made on changes to the EMS?

  Yes

  No

  N/A

• Has the extent of what environmental objectives have been achieved been considered and actions where they have not been achieved?

  Yes

  No

  N/A

• In EMSC meeting/senior management reviews has there been consideration of:

• Non conformities and corrective actions

  Yes

  No

  N/A

• Monitoring and measurement results

  Yes

  No

  N/A

• Fulfilment of its compliance obligations

  Yes

  No

  N/A

• Audit results

  Yes

  No

  N/A

• Has a review of the adequacy of resources taken place including decisions in changes to the EMS?

  Yes

  No

  N/A

• Has a review of relevant communications (Inc. complaints) from interested parties taken place?

  Yes

  No

  N/A

• Have continual improvements been considered including decisions that have been made?

  Yes

  No

  N/A

• Including opportunities to improve integration of the EMS with other business processes?

  Yes

  No

  N/A

• Has a conclusion on the continuing suitability, adequacy and effectiveness of the EMS be created?

  Yes

  No

  N/A

• Including any implications for the strategic direction of the Site?

  Yes

  No

  N/A

Non Conformity and Corrective Action

• Has the site reacted to non-conformities?

  Yes

  No

  N/A

• Have they taken and implemented action to correct it

  Yes

  No

  N/A

• Have they dealt with the consequences including mitigating adverse environmental impacts

  Yes

  No

  N/A

• Post NC, has the site evaluated the need for action to eliminate the cause of the non-conformity so that it does not happen again/ will not potentially happen again?

  Yes

  No

  N/A

• Has the site reviewed corrective action taken to ensure it is appropriate to the NC and has worked?

  Yes

  No

  N/A

Continual Improvement

• Is there evidence that the site has aimed to continually improve the suitability, adequacy and effectiveness of the EMS to enhance environmental performance?

  Yes

  No

  N/A