Title Page
-
Enter Audit Reference from planner
-
Location of Audit
-
Conducted on
-
Auditor (s)
-
Auditees
Audit Scope & Criteria
-
Audit Scope [The audit scope generally includes a description of the physical locations, organizational units, activities and processes, as well as the time period covered]
-
Audit Criteria [Audit criteria examples: ISO requirement (9001, 14001, 18001, 39001, 50001), Statutory or Regulatory Requirement, Organization Process/Policies/Procedures, etc. Customer Requirement]
-
Introduction:
This report relates to an Internal Management System assessment undertaken by a Schneider Electric internal auditor to confirm continued compliance with the requirements of the Schneider Electric Energy Management System (EnMS) and ISO 50001.
The purpose of this audit report is to provide a complete, accurate, concise and clear record of the audit undertaken.
The audit will follow the question set listed below.
The Audit findings may result in the recording of Non-compliance conditions or Opportunities for improvement.
Non-compliance Conditions relate to areas where Schneider Electric procedures, instructions, process guides etc. are not properly implemented and are indicated within the report.
Opportunities for Improvement are actions which are strongly urged to be implemented in the interest of good management practices but which are not to be considered as conditions that may affect Schneider Electric Ltd - continued registration.
The following specific points arising from previous audits will be reviewed as part of the ongoing audit surveillance:
• Past Non-Conformances
• Past Opportunities for Improvements
• Past Observations -
Confirm previous report reviewed and comment on any items raised.
Nonconformity, Corrective Action and Preventative Action
-
What is the process for managing non-compliances’ from internal audits?
-
Review previous compliance audit performance
-
Check the status of previous audit results and review the performance for closing of OFIs and NCRs.
-
Evaluate at least one NCR and confirm the action that was agreed still applies.
Any other comments to be recorded?
Clause 4.1 - General Requirements
-
Is there a documented EMS in place?
-
Does the EMS clearly define the scope and boundaries?
-
Is the EMS current and reviewed at regular intervals?
Clause 4.2 – Environmental Policy
-
Is there an Environmental Policy, approved by Senior<br>Management, in place?
-
Is the Policy documented, current and reviewed at regular<br>intervals?
-
Is the Policy appropriate to the nature, scale and environmental<br>impacts of the businesses’ activities, products and services?
-
Does the Policy include a commitment to continual improvement<br>and prevention of pollution?
-
Does the Policy include a commitment to comply with applicable<br>legal requirements and other requirements?
-
Does the Policy provide a framework for setting and reviewing<br>environmental objectives and targets?
-
Is the Policy documented, current and reviewed at regular<br>intervals?
-
How is the Policy communicated both internally and externally?
-
Are staff on-site aware of the environmental policy? eg can they<br>give an outline of what the policy states.
Clause 4.3 – Planning
-
Is there a Procedure in place to identify the environmental aspects<br>of the businesses’ activities, products and services?
-
Is the Procedure documented, current and reviewed at regular<br>intervals?
-
Does the Procedure identify how to determine those aspects that<br>have or can have significant impact on the environment?
-
Is there a Register of environmental aspects?
-
How is the significance of environmental aspects determined?
-
Is the Register documented, current and reviewed at regular<br>intervals?
-
What controls are put in place to manage significant environmental aspects?
-
Are positive impacts identified on the aspects register?
-
How are significant environmental aspects communicated to the<br>site?
-
Is there a Procedure in place to identify the applicable legal and<br>other requirements relating to the businesses’ environmental<br>aspects?
-
Is the Procedure documented, current and reviewed at regular<br>intervals?
-
What is the process to determine which legal and other requirements are applicable to the businesses’ environmental aspects?
-
What controls are in place to ensure compliance with relevant legal requirements?
-
Are Senior Management on-site aware of the legal requirements<br>for the site?
-
Are there documented environmental objectives and targets in<br>place?
-
Where are these environmental objectives and targets documented?
-
Are the environmental objectives and targets current and<br>reviewed at regular intervals?
-
Are objectives measurable and devolved?
Clause 4.4 – Implementation and operation
-
What resources are in place to ensure that the EMS is implemented, maintained and continually improved?
-
What is the organisational structure of the resource?
-
Are the roles, responsibilities and competency of these resources<br>documented and communicated?
-
Are the records above current and reviewed at regular intervals?
-
Has Senior Management appointed a Management<br>Representative to ensure the EMS is implemented and<br>maintained?
-
Does the Management Representative report to Senior<br>Management on the performance of the EMS including<br>recommendations for improvement?
-
Check - Are Site Management Aware of the set objectives and<br>targets for the site? Are they aware of YTD performance?
-
What procedure is in place to ensure that any person performing tasks that have the potential to cause a significant environmental impact are competent?
-
How are the training needs for any person performing tasks that have the potential to cause a significant environmental impact identified?
-
Is there a Training Plan in place? Is this up updated?
-
Are the procedures and any associated records with the above<br>current and reviewed at regular intervals?
-
Check- Ask to see training records for 3 individuals and compare these against what is recorded in the training plan.
-
What procedure is in place to communicate the business’s EMS and environmental aspects?
-
Is the procedure current and reviewed at regular intervals?
-
How is the business’s EMS and environmental aspects communicated within the business?
-
How is the business’s EMS and environmental aspects communicated to interested external parties?
-
Check- Are staff aware of the environmental aspects register, are<br>they aware of performance against KPI’s
-
What documentation comprises the EMS?
-
Are all Policies, Procedures, Forms and Records current and<br>regularly reviewed?
-
How are the EMS documents controlled?
-
How do you ensure that any EMS documents: are Approved prior to issue
-
How do you ensure that any EMS documents are Reviewed and updated as necessary?
-
How do you ensure that any EMS documents are the current Revision Status?
-
How do you ensure that any EMS documents are correct Revision is available at point of use?
-
How do you ensure that any EMS documents of External origin where applicable are controlled?
-
Check -Is there a documented, document control procedure in<br>place?
-
What procedures are in place to identify activities that have the potential to cause a significant environmental impact and and how to mitigate or prevent adverse environmental impacts?
-
What procedures are in place to identify activities that have the potential to cause a significant environmental impact?
-
Are the Procedures documented, current and reviewed at regular<br>intervals?
-
Is there a Procedure in place for “Emergency preparedness and<br>response”
-
Is the Procedure documented, current and reviewed at regular<br>intervals?
-
When were the Procedures last tested? Ask to see the records
-
Where there any areas for improvement following the last test?
Clause 4.5 – Checking
-
Is there a Procedure in place for Monitoring and Measurement?
-
Is the Procedure documented, current and reviewed at regular<br>intervals?
-
What is the process for monitoring and measurement?
-
How do you monitor environmental performance
-
Is environmental performance documented, current and reviewed<br>at regular intervals?
-
What are the current performance targets and objectives?
-
How do you ensure that any calibrated or verified monitoring and measuring equipment remains accurate and calibrated?
-
What records are kept to ensure that any calibrated or verified monitoring and measuring equipment remains accurate and calibrated?
-
Are these records documented, current and reviewed at regular<br>intervals?
-
Is there a Procedure in place for Evaluation of Compliance?
-
Is the Procedure documented, current and reviewed at regular<br>intervals?
-
How do you evaluate Compliance?
-
How often do you evaluate compliance?
-
What records are kept to record the periodic evaluations?
-
Are these records documented, current and reviewed at regular<br>intervals?
-
Check – Are Staff aware of their roles in ensuring compliance?
-
Is there a Procedure in place for dealing with nonconformities<br>corrective actions and preventative actions?
-
Is the Procedure documented, current and reviewed at regular<br>intervals?
-
What is the process for identifying nonconformities and taking actions to mitigate their environmental impacts?
-
What is the process for determining the causes of nonconformities and taking actions in order to avoid their recurrence?
-
What is the process for recording the results of corrective actions and preventative actions taken?
-
What is the process for reviewing the effectiveness of corrective actions and preventative actions taken?
-
What records are kept to record nonconformities, corrective actions and preventative actions?
-
Are these records documented, current and reviewed at regular<br>intervals?
-
What Records are kept to record and demonstrate conformity to the EMS?
-
Are these records documented, current and reviewed at regular<br>intervals?
-
Is there a Records Register giving details of all Records kept?
-
Are the records legible, identifiable and traceable?
-
Is there a Procedure in place for Internal Audits?
-
Is the Procedure documented, current and reviewed at regular<br>intervals?
-
Is their an Audit Programme in place?
-
Is the Audit Programme documented, current and reviewed at<br>regular intervals?
-
Is there a process in place to determine the frequency of Audits?
-
Is the Audit Programme current, up to date and being<br>implemented in a timely manner?
-
Are Audits being documented in accordance with the EMS?
-
Are the Auditors carrying out the Audits impartial?
-
Are the Auditors carrying out the Audits competent?
-
Check – What continuous improvement actions have been taken following audits. Have these been cascaded across the site/ business?
Clause 4.6 – Management Review
-
Is there a Procedure in place for Management Reviews?
-
Is the Procedure documented, current and reviewed at regular<br>intervals?
-
What is the process for determining the frequency of Management Reviews?
-
Who are the attendees of Management Reviews?
-
What items are covered in the Agenda for the Management review?
-
What records are kept to record Management Reviews?
-
Are these records documented, current and reviewed at regular intervals?
-
Are actions identified in the Management Reviews closed out in a timely manner
-
Check -Are actions from the minutes from the UK Management Review cascaded to site and vice versa?
Additional Checks – Site Inspection
-
Is there a Procedure in place for Waste Management?
-
What types of waste are produced on site?
-
What records are kept to record waste handling and transfer?
-
Are these records documented, current and reviewed at regular<br>intervals?
Chemical Handling and Storage
-
Is there a Procedure in place for Chemical Handling and Storage
-
What chemicals are used at site?
-
Are COSHH or Safety Data Sheets available?
-
Are spill kits located where there is a risk of spillage?
-
Have people handling chemicals been trained to handle and clean<br>up spillage of chemicals?
-
What records are kept to record chemical handling and storage?
-
Are these records documented, current and reviewed at regular<br>intervals?
Oil Handling and Storage
-
Is there a Procedure in place for Oil Handling and Storage?
-
Is the Procedure documented, current and reviewed at regular<br>intervals?
-
-
Are COSHH or Safety Data Sheets available?
-
Are spill kits located where there is a risk of spillage?
-
Are records documented, current and reviewed at regular<br>intervals?
Contractor Induction
-
Is there a Procedure in place for Contactor Induction?
-
Is the Procedure documented, current and reviewed at regular<br>intervals?
-
What is the Contractor Induction process and associated documentation?
-
What records are kept to record Contractor Induction?
-
Are these records documented, current and reviewed at regular<br>intervals?
NCR & OFI's
-
Please indicate nature of any findings
NCR & OFI's
-
Please indicate nature of any findings
NCR & OFI's
-
Please indicate nature of any findings
NCR & OFI's
-
Please indicate nature of any findings
NCR & OFI's
-
Please indicate nature of any findings
Sign Off
-
The Audit has been completed and this report is an accurate reflection of the Audit.<br><br>The detail has been discussed and agreed as accurate by the Auditee.
-
Add signature
-
Add signature
