Document Name: Internal Audit Procedure
Document Reference: PROC_02
Creation date:
Approved by:
Revision date:
Person responsible
Location of document:
Signed:
Relating documents:
Environmental Policy
Aspects and Impacts Register
Objectives and Targets
Legal Register
STEM Assessment Forms
Organisational procedures
Author:
Revision #:
Internal Audit Procedure
1.
Purpose
To describe the process for internal audits in order to:
1. Check compliance against:
a) Environmental Policy
b) All legislation including that identified in the STEM Legal Register
c) STEM Assessment criteria
d) Objectives and targets set in STEM Silver
e) Procedures and policies put in place in order to minimise negative impacts
2. Identify best practice and recommendations for improvement
3. Provide information of the results of audits to management
To describe how internal audits will be carried, when and by whom.
2.
Scope
This procedure shall cover the audit scope, frequency and methodologies, as well as the
responsibilities and requirements for conducting audits and reporting results.
3.
Cross Reference
Environmental Policy
Aspects and Impacts Register
Objectives and Targets
Legal Register
STEM Assessment Forms
Organisational procedures
4
4.1
Procedure
The audit programme is described below:
Site
Office A
4.2
Audit frequency
Audit annually
Responsibility
Facilities Manager
Audits will be carried out by:
All personnel are aware of the requirements of STEM and understand the legislation that
the organisation needs to comply to.
4.3
Audit results will be reported to management through the Management Review Procedure. These
results will also be communicated to responsible staff members who can carry out the corrective
action.
Audits will be carried out using the Audit Checklist in Appendix 1.
Appendix 1 - Audit Checklist
Auditor
Date of audit
Site
No. of people on site
Contact name of site
Contact number
Is the site owned by organisation?
Non-conformances from last audit
Circumstances of building/site i.e. owned, leased from, client
site, etc.
Notes
Energy Consumption
Does the site have a current Energy Performance
Certificate (EPC) or Display Energy Certificate
(DEC)?
(Required for all buildings with floor area over
1000m2 and over 1 year old, newer buildings
need an EPC). Check expiry date.
If yes, is an A3 copy displayed at the building
entrance?
Is the building energy efficient?
(use EPC or DEC if available, also check site
contact awareness and visible signs such as
double glazing, well fitted windows, etc)
Are there any energy saving devices on site? E.g.
zoned lighting, localised heating controls
What electricity contract is it on?
What gas/heating oil contract is it on?
Is electricity and gas monitored?
If yes, what trends are evident? Has this resulted
in any action?
Water Consumption / Pollution
Is water use monitored (accessible meter?)
Are there any water saving devices in place?
e.g. urinal controls, percussion taps, dual flush
toilets, rainwater harvesting/water butts/water
hippos
Is there a site drainage plan showing where foul
water and surface water drains are?
(Knowledge required for vehicle washing /
pollution incidents)
Is there any vehicle washing on site?
If yes, are there interceptors to collect run-off? If
there are, go to next question.
If yes, and run off goes into a foul drain, a permit
is required from the water company.
If run off goes into surface water drain, this
practice is illegal and should be stopped.
Are any interceptors on site regularly
checked/cleaned out?
(Interceptors trap unwanted waste such as oil,
chemicals, or solids)
Are any chemicals/oils washed down the foul
sewer?
If yes, has the water company given discharge
consent?
Oil Storage (only applicable to sites with oil storage)
For any oil storage tanks on site check:

Bund is in good condition/leak proof

Check quantity gauge readable

Visible signs of leaks/spills

Any maintenance/ tank integrity checks
undertaken in last 12 months?
If site has an oil storage tank, is the site contact
aware of the emergency response plan?
If no, show them our procedure.
Relevant safety / clean up materials are
available close to the storage vessel and fully
stocked. e.g. Oil spill kit, granules

Are staff trained how to used these? (NB:
even after a spill kit is applied the waste
should still be treated as hazardous waste)
Other Hazardous Materials
If any chemicals are used on site (e.g.
for cleaning or handyman tasks) a
COSHH register should be available
(check for the info below for one or two
products used on site):

Safety data sheet

Risk assessment for activities,
including information on storage and
disposal.
N.B.: Recommend to store in locked
cleaning cupboard or locked outside
store. Also applies to contracted
cleaning companies.
Are all hazardous materials (E.g. fuel
oils, chemicals) stored away from
surface water drains?
If not what protection measures are in
place?
Is there any air conditioning at the site?
If yes, and system holds more than 3kg
of refrigerant check for annual
maintenance records.
Note refrigerant gas in system if known,
e.g. R22
Any recommendations from
maintenance/service company that
replacement refrigerant is required?
Is this being carried out?
If system is rated higher than 12kW
(energy use) maintenance should
include an energy performance check
Waste
Does the site produce more than 500kg
of hazardous waste per year?
If yes, then they must be registered with
the Environment Agency.
Does the site have available 2 years (3
years for hazardous) worth of Duty of
Care waste transfer documentation
available for each waste stream?
NB: Check that WTNs are fully
complete. Please refer to specific
guidelines on waste record keeping to
check these are completed correctly.
Site Practices
Are there sufficient recycling facilities? Are
they clearly signposted for staff and
customers?
Is there evidence that computers,
equipment and lights are off when not
required?
Is use of natural daylight maximised?
Is print/copier paper a minimum of 80%
recycled content?
Is paper usage monitored?
Can all printers print double sided?
If yes, this is the default setting?
As part of staff inductions is there a section
on environmental awareness?
(online training, location of recycling bins,
waste hierarchy etc?)
Is there an environment awareness notice
board?
(Environment policy, building energy data
displayed?)
Travel
Does the location have a travel plan, or
have they carried out a Travel Audit or
Commuter Survey?
If yes, are the recommendations being
auctioned?
Are staff made aware of travel options
available to/from work and meetings?
(Public transport, car sharing, etc)
Are teleconferencing/videoconferencing
facilities available, communicated and
encouraged?
Emergency Response
Are all staff aware of how to respond to an
emergency situation which could have a
major environmental impact i.e. aware of
the Emergency Response Plan? (could be
significant chemical spill, flooding etc.)
Emergency Testing (Documents must verify frequency of testing / drills)
Has a fire risk assessment been
completed for the building? Has it been
reviewed in the last year?
Are fire alarms tested on a regular
basis?
(On a weekly basis recommended)
Are fire drills conducted at least once a
year?
If only once, recommend more
frequently.
Are fire extinguishers tested annually?
Are all materials stored appropriately
to minimise risk of fire? E.g. outside
waste bins are not placed against the
building (arson risk)
Strategic Planning
Has your team assessed the risks and
opportunities facing your service from
climate change and severe weather?
If yes, do they have access to any plan?
Have any actions been completed or are
any planned?
Complaints and Compliments
Is there a process for recording
environmental complaints or
compliments?
Biodiversity
Are there any habitats/features that
can support wildlife (biodiversity) on
site? E.g. ponds, bird boxes, hedgerows,
natural areas
Other Comments
Report Summary
REPORT
Non-conformance summary (List all the Non-Conformances (NC) identified above)
Recommendations for Improvement (List all the Recommendations For Improvement (RFI) identified
above)
Good Practice to highlight (List all the Good Practice (GP) identified above)
END