Internal Audit Checklist (Page 3 of 6) in pdf

Verify employees whose work may impact have been trained on consequences of

deviating from procedure

Verify employees have been made aware of aspects and significant aspects of

their department and the benefits of following approved EMS procedures

4.4.3 Communication

Verify by sampling the process of how EMS information is communicated

between various levels and functions

Verify by sampling, the process for receiving, documenting and responding to

external communications from interested parties (regulators, customers, public

etc.)

Determine by interviews the raising of employee awareness of EMS policies,

objectives and targets and improvement programs

Determine how the department communicates results of audits and management

review to employees

Have department provide evidence of external communication to the public

Review examples of how the organization determines to communicate its

significant aspects (note only states to consider and record, not necessarily

communicate to outside parties.)

4.4.4 Documentation

Verify EMS Manual (optional)

Verify EMS Procedures

Verify meeting (steering committee, EMS team) meeting records

Verify Environmental Directory (optional)

Verify EMS organization charts

Verify the organization has clear documented references to related EMS

procedures, work instructions, legal requirements, etc.

Verify manual has been reviewed, understood and communicated to employees

(awareness training)

Trace through sample of documents, ensuring that referenced documents exist and

are readily available

4.4.5 Document Control

Determine document control procedure or process clearly established

responsibility for creation and modification of various types of EMS documents

Check EMS organizational chart and job descriptions for those responsibilities

and roles governing review, approval, revision and distribution of documents

Verify that documents have proper revision status, approval, signature, effective

date and appropriate links to related documents

Verify a master list exists to identify all controlled documents

Verify the department has appropriate retention schedules

Verify there is a well defined system to indicate the names and locations of all

holders of controlled documents

Verify that documentation essential to operations (linked to aspects and impacts)

is available to employees in those locations

Internal Audit Checklist Page 3