INTERNAL AUDIT

Approval: Tech. Svcs. Dept. Original Issue Date: 01/01/2007 No. ENV-13

Owner: Tech. Svcs. Dept. Revision Date: 07/20/10 Page: 1 of 3

PURPOSE: This procedure provides for conducting periodic audits of the EMS and
associated Environmental Work Instructions. This procedure has been
prepared in accordance with the requirements of ISO 14001, 4.5.5.

SCOPE: This procedure applies to internal and external EMS audits at the
LCSWMA facilities.

REFERENCES: ENV-11 Nonconformity, Corrective and Preventive Action

ENV-13A Internal EMS Audit Program and Schedule
ENV-13B Internal EMS Audit Report Form
ENV-14 Management Review

DEFINITIONS:

1. Procedure
Third Party Audits
1.1 The LCSWMA Environmental Management System is audited for
conformance against ISO 14001 by an accredited registrar.

1.2 Semi-annual surveillance audits are conducted during the 3-year audit
cycle.

1.3 Corrective actions are initiated to address any third party audit findings
requiring follow up based on the registrar’s grading system. Corrective
actions are addressed per the Nonconformity, Corrective Action and
Preventive Action procedure (ENV-11).

Internal EMS Audit

1.4 The Technical Services Department maintains an Internal EMS Audit
Program and Schedule (ENV-13A), which is based on the results of
previous audits and the environmental significance of the activities within
the scope of the audit.

1.5 Internal EMS audits are conducted semi-annually by appropriately trained

internal auditors and/or a qualified auditor(s) external to the organization.
G:\ENV-13, Internal Audit.doc

Description of Revision(s): 01/02/2008; added footer denoting “K” drive for controlled documents; revised

Forms 13A and 13B. 5/12/08; revised Section 1.11 to identify ENV-11 for addressing internal audit findings;

6/3/10 – “K” or “G” drive for controlled documents; 7/20/10 – Rev. Tech Svcs. Dept.;
 INTERNAL AUDIT

Approval: Tech. Svcs. Dept. Original Issue Date: 01/01/2007 No. ENV-13

Owner: Tech. Svcs. Dept. Revision Date: 07/20/10 Page: 2 of 3

The Technical Services Department selects the audit team, ensuring the
independence of the auditors to the activities and functions they audit.

1.6 EMS auditors are deemed to be competent based on one of the following:
 Completion of a LCSWMA EMS-specific internal auditing course, or
 Participation on the audit team in at least one internal audit under
the supervision of a previously qualified auditor.

1.7 A lead auditor is assigned for each audit. The role of the auditor is as
follows:
 Make audit assignments;
 Coordinate the audit schedule with the Facility Manager;
 Ensure the audit is conducted in accordance with the scope and
schedule; and
 Coordinate the preparation of the audit report.

1.8 The findings of the audit report are documented using a standardized
Internal EMS Audit Report Form (ENV-13B).

1.9 The Lead Auditor compiles the report and submits it to the EMS audit
team for review and comment prior to it being issued to Senior
Management as a final report. Senior Management presents the EMS
audit findings to the Executive Director and/or the Board of Directors via
the Management Review process (ENV-14)

1.10 Audit findings are graded using the following grading system:
 Un-graded finding documented evidence of conformance;
 Observation (O), minor improvement note, not indicative of a
system failure;
 Improvement (I), weakness in the EMS that could lead to a non-
conformance; and
 Non-conformance (N), systematic failure of the EMS.

1.11 Internal audit findings are addressed in accordance with the

Nonconformity, Corrective Action and Preventive Action procedure (ENV-
11).
 INTERNAL AUDIT

Approval: Tech. Svcs. Dept. Original Issue Date: 01/01/2007 No. ENV-13

Owner: Tech. Svcs. Dept. Revision Date: 07/20/10 Page: 3 of 3

2. Responsibilities
Technical Services Department
The Senior Manager, Technical Services and/or Environmental
Compliance Manager maintain an audit program and schedule; and select
the audit team.

2.2 Senior Management

Senior Management is responsible for presenting the EMS audit findings
to the Executive Director and/or the Board of Directors.

2.3 Lead Auditor

The Lead Auditor makes audit assignments, coordinates the audit
schedule with the Facility Manager(s), and coordinates the completion of
the audit report.

3. Training
3.1 Training needs will be identified and conducted, if required, in accordance
with ENV-04.

4. Records
4.1 Internal EMS Audit Program and Schedule (ENV-13A)
4.2 Internal EMS Audit Reports (ENV-13B)