INTERNAL AUDIT TEMPLATE

ISO14000/OHSAS18000EH&S REVIEW

FINAL REPORT

Prepared by:

(Insert Signature Here)

______

TABLE OF CONTENTS

SectionPage Number

INTRODUCTION AND AUDIT SCOPE2
PRIOR AUDIT FOLLOW UP3
GENERAL INFORMATION4
INTERNAL AUDIT FINDINGS6
CORRECTIVE ACTION REQUESTSATTACH
GENERAL OBSERVATION7
AUDIT CONCLUSION7
REPLY REQUEST7

INTRODUCTION and AUDIT SCOPE

This audit included a review of (Insert location/facility name here)operations relative to ISO14000 requirements (ISO14001-2004 Environmental Management Systems - Specification with Guidance for Use). All elements of ISO14001’s EMS requirements were appropriately considered. Also included within this review was the facility’s conformance with all applicable health and safety requirements, including OHSAS 18000 requirements (OHSAS18001:1999 Occupational Health and Safety Management Systems – Specification). Snap-on’s Environmental, Hygiene and Safety Management System Manual of Practice is the authoritative set of documents describing the Corporation's requirements for conformance with ISO14000 and OHSAS 18000. The current audit assessed the auditee’s EH&SMS conformance relative to the Manual. The review included various discussions with personnel both in and outside of the area under audit. Documentation was reviewed as appropriate.

It is the auditee’s responsibility to maintain ongoing conformance with the requirements of the International Standard(s).

Note that ISO assessments are, by nature, of short duration and utilize restricted sampling techniques. As such, the absence of comments on any system element or area should not be construed as indicating strict and complete compliance with the requirements of the applicable International Standard.

The contents of this report, including any notes taken during the interviewing process will be treated in strictest confidence and will not be disclosed to any party outside of Snap-on Incorporated without written consent of auditee personnel or Corporate management.

The detailed findings of this audit are presented in the following nonconformity records.

PRIOR AUDIT FOLLOW UP

(Insert Prior Audit Follow up Notes Here)

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GENERAL INFORMATION

In order to facilitate the auditee’s understanding of Snap-on’s environmental, health and safety management system, the following information is presented.

1. Snap-on Corporate personnel have prepared the EH&S Manual of Practice that establishes worldwide policy in all environmental and safety areas. The first part of this manual defines the scope of Snap-on’s operations, details environmental and safety aspects and impacts, and generally addresses all elements of ISO14001 and OHSAS 18001. This portion of the manual is the highest level document in the EH&S management system and is analogous to a quality manual in an ISO9000 management system. Since it applies to all locations within Snap-on Incorporated, auditees do not have to prepare this level of documentation. However, now that the Snap-on EH&S management system is externally certified under a Corporate umbrella program it is more important than ever that each auditee be very familiar with this part of the Manual of Practice.

2. The next level of documentation is the SEQ standards found in Appendix A of the Manual of Practice. These standards detail the regulatory and other internal Snap-on requirements for environmental and safety practices. All Snap-on Incorporated locations must comply with all of the standards or parts of standards that apply to them. Since these standards apply worldwide, auditees do not have to prepare this level of documentation.

3. Each facility within the Snap-on family must be familiar with the EH&S Manual of Practice’s requirements and then do the following:

  • Decide what applies; what programs are needed at each facility.
  • Prepare written programs (controlled documents) that satisfy regulatory and Corporate requirements and are appropriate for the scope of the facility in question. These programs or policies will define the operational practices in place at the facility level. (See existing program examples; Contact Corporate personnel for advice as needed).
  • Conduct your programs as written as part of your normal operations. This includes performing all required training as outlined in the Manual of Practice (SEQ64.02, Schedule A or A-1).
  • Provide for proper recordkeeping so that all critical records demonstrating the performance of EH&S practices are identified and safeguarded in designated locations for the mandated retention times.

4. Documented programs must be physically maintained with the following in mind.

  • All programs / policies must show evidence of a biennial review. As needed, evidence must also exist for any revisions done. These requirements can be shown in a Review / Revision Log that is part of each program document. Information that can be included is the date of the review or revision as well as a brief statement as to what changed. Approval signatures must be included either in the logs or elsewhere in the documents.
  • Biennial reviews must be carefully done by the person responsible for that plan, and take into account the Corporate SEQ Standards, applicable regulations, and the current procedures actually established and functioning at the facility.

5. Many needed programs have associated training requirements. All training should be documented in a consistent manner. Training documentation must include:

  • A written annual schedule of all required training.
  • A mechanism to identify the training needs of each employee. The exact method used for this is up to the auditee, but a spreadsheet-based record with employees down one column and training topics across the top is one simple method that could be chosen. An “x” in a cell would indicate that the training is not applicable for the employee, a blank cell would indicate that the training is needed but not yet received, and a date would indicate when the training was actually received.
  • Each training course should be conducted according to a written agenda.
  • Employees receiving training should sign in to prove attendance.
  • Documentation should readily provide the answer to who has received a specific training course AND what any given individual has been trained in. Dates on which training was obtained would be entered in to the spreadsheet noted above. This would be input from the sign-in sheets. The spreadsheet would then clearly show who missed certain training, that is, the need (blank cell) would still be shown on the spreadsheet instead of a training received date.
  • Make-up training, or an acceptable alternative, must be documented for any employee who missed a scheduledtraining event.

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INTERNAL AUDIT FINDINGS

The Internal Audit Findings (nonconformances) of the assessment are summarized below against the applicable standard. Findings are identified by date and are numbered consecutively.

The specific findings and other detailed information appear in the attached corrective action reports. These findings are referenced in the following table. Additional comments may also appear within the findings and are designated as such.

General observations not requiring a corrective action response follow the Findings Summary.

Findings Summary:

(Insert Audit Findings Here – Example of Format Below)

SEQ
Number / SEQ Name / # of
Findings / Yr. – Mo. - #
SEQ64.01 / General Standard on Employee Safety and Health Program / 1 / E05-7-1
SEQ64.02 / Employee Training Program / 1 / E05-7-2 +
SEQ64.71 / Machine Safety / 1 / E05-7-3 +
MOP 4.4.5 / Document Control / 1 / E05-7-4

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GENERAL OBSERVATIONS – NO CORRECTIVE ACTION RESPONSE REQUIRED

(Insert General Observations Here – Example of Format Below)

1. A new confined space assessment in conjunction with an outside service was in progress during the audit.

2. It is recommended that if pretreatment test results are outside of stated parameters but acceptable to run as is without action, that a note be made on the test sheet indicating approval to run.

3. Both the PPE policy and safety shoe policy mandate use of steel-toed safety shoes. There are composite toed shoes available that meet the same ANSI requirements, and likely will meet CSA requirements as well. As these shoes are lighter in weight than steel toed shoes and may be of benefit to individuals with foot problems, it is recommended that the policy be changed to allow for their use if CSA requirements are met.

AUDIT CONCLUSION

(Insert Audit Conclusion Here)

REPLY REQUEST

The lead auditor requests that a Corrective Action Plan be submitted for each nonconformity. The Plan(s) should clearly specify the root cause of the nonconformity, what will be done, whowill be responsible, and also provide estimated completion dates. This response is due to the lead auditor within thirty (30) days of the issuance of the final report.

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