Environmental Management System (EMS)

Environmental Procedure Internal EMS Audit & Evaluation of Compliance

Title
Reference
Version
Sheet
Issue Date
Issued By
Approved By

Internal EMS Audit & Evaluation of

Compliance
EP-12
1
1 of 6
10 October 2013
Environmental Systems Manager
Head of Corporate Assets

Environmental Procedure Internal EMS Audit & Evaluation of Compliance, Version 1

EP-12: 10 October 2013

1.0

SCOPE
The purpose of the internal EMS audits is to evaluate the
compliance of the Natural Resources Wales (NRW)
Environmental Management System (EMS), with particular
regard to the key NRW EMS documents against the
requirements of the ISO14001 environmental standard and
with applicable legal and other requirements.

2.0

RESPONSIBILITIES

2.1

The Environmental Systems Manager (ESM):

Issue internal audit programme
Ensure auditors are properly trained and qualified
Report audit findings and Nonconformities to Leadership
Team
Lead Environmental EMS Auditor:
Ensure audits are completed according to audit
programme and that the relevant audit records are
maintained
Ensure nonconformities are followed up and corrective
or preventative action is taken.
Internal EMS Auditors:
To carry out audits as directed by Lead Environmental
Auditor
Head of Corporate Assets
Review audit findings and Nonconformity reports and
provide resources to complete corrective actions.

3.0

RELATED DOCUMENTS
EMS Internal Audit Log
EMS Internal Audit Report Form
EMS Internal Audit Non Conformance Report Form

Environmental Procedure Internal EMS Audit & Evaluation of Compliance, Version 1

EP-12: 10 October 2013

4.0

PROCEDURE

4.1

Audit Categories
1. Management System & Documentation Audit
2. Operational Control, Legal & Other Compliance Audit

4.2

Management System & Documentation Audit

4.2.1

The management system and relevant documentation will be

audited at least 1/year by a trained auditor.

4.2.2

These audits will check compliance of the EMS system and

related documentation against the ISO14001 environmental
standard.

4.3

Operational Control, Legal & Other Compliance Audits

4.3.1

Audit Criteria

4.3.2

The requirements of the ISO14001 standard

NRW EMS documents and procedures
Previous audit findings and non conformances
Assessment of operational control
Compliance with legal and other requirements

Audit Scope
Evaluate compliance and conformance of the key NRW EMS
documents against the requirements of the ISO14001
environmental standard and applicable legal and other
requirements.

4.3.3

Audit Frequency
All locations within the scope of the EMS will be audited at
least 1/year by a nominated trained auditor who has no direct
responsibility for that site.

Environmental Procedure Internal EMS Audit & Evaluation of Compliance, Version 1

EP-12: 10 October 2013

4.3.4

Audit Method
The audit methodology will make use of interviews, guided
walkabouts, and document review. Audit reporting and
planning is the responsibility of the Lead Auditor.
Confidentiality, impartiality and objectivity will be maintained at
all times within the Team. Plan, Execute, Record, and Close
(PERC) is the recognised audit approach and method
structure of the audit.

4.4

Auditor Training
Auditors will be appropriately trained. If specialist skills and/or
knowledge are required for the successful completion of an
audit, the auditor will enlist appropriate assistance.

4.5

Audit Arrangements

4.5.1

Audits will be carried out in accordance with the audit

programme.

4.5.2

The ESM will nominate an auditor and issue the auditor with a
unique audit reference number. The ESM will provide contact
details and any previous audit reports and nonconformities
relevant to the site.

4.5.3

The nominated auditor should contact the site and agree an

audit date at least one week in advance.

4.5.4

A blank EMS Internal Audit Report Form template is available

which may be used as an audit checklist.

Environmental Procedure Internal EMS Audit & Evaluation of Compliance, Version 1

EP-12: 10 October 2013

4.6

Audit Reports

4.6.1

The audit findings will be recorded on the EMS Internal Audit

Report Form.

4.6.2

The findings are categorised as O.K., Observation and NonConformance. The findings should be documented and be
traceable throughout the audit process.

4.6.3

The completed Audit Report forms and any NCRs should be

completed by the auditor within two weeks of the audit and
sent to the relevant staff. A copy should also be retained by
the auditor.

4.7

Nonconformity

4.7.1

Any Nonconformity with NRW Environmental Policy,

procedures or environmental legislation and others will be
recorded as a Nonconformance. Repeated occurrence of
Environmental Incidents may also be recorded as a
Nonconformance.

4.7.2

Nonconformances will be recorded on the EMS Internal Audit

Nonconformance Report Form.

4.7.3

The Nonconformance and any corrective action should be

agreed with the person responsible for the area or activity
concerned at the time of the audit.
A time period should also be agreed and recorded on when
any corrective actions should be completed.

4.7.4

The Lead Environmental EMS Auditor and the Internal EMS

Auditors are responsible for closing out the Nonconformance
Reports. If Nonconformances are not closed out in a timely
manner the issue will be escalated to the Head of Corporate
Services.

Environmental Procedure Internal EMS Audit & Evaluation of Compliance, Version 1

EP-12: 10 October 2013

4.8

Management Review
The audit results and any Nonconformances will be reported
quarterly to the Head of Corporate Assets. They will also be
reported at the EMS Directors Team Management Review
meeting.

Environmental Procedure Internal EMS Audit & Evaluation of Compliance, Version 1

EP-12: 10 October 2013