Internal Audit Checklist (Page 4 of 6) in pdf

Verify that obsolete or invalid EMS documents are promptly removed and

appropriately marked.

Have the department explain this process

Check to see if they have established an obsolete file folder or location

Check for documents (historical) retained for knowledge preservation are so

marked

Check for evidence that EMS documents (in use) do not have hand written

changes or revisions

Verify that EMS documentation is periodically reviewed and maintained- have

the department explain this process

4.4.6 Operational Control

Verify operation and maintenance activities that can have significant impact have

been identified and that associated work instructions have been prepared

Interview key personnel and look for evidence of a systematic approach to the

identification of the aspects and impacts of the organizations activities

Verify that documented work instructions are in place to manage the significant

aspects

Verify that those persons who can have adverse impact have received the

appropriate training and there is documented evidence they are competent to

perform associated task

Verify that sufficient organizational controls are in place and are maintained to

ensure that the significant aspects are managed to prevent adverse impacts.

Check for evidence to suggest that equipment/procedures (or lack thereof) in the

work environment is not suitable/suitable to achieve the defined targets and

objectives

Verify procedures/plans address such issues as emergency organization and

responsibilities, listing of key personnel, details of emergency equipment/services

available, internal and external communication plans, actions to be taken for

different types of emergencies or incidents, information on hazardous materials,

training programs and testing procedures (start-up or shut-down procedures

during emergency events if tied to significant aspects)

4.4.7 Emergency Response and Preparedness

Verify organization has appropriate emergency response plans in place

Verify that the plans have a review schedule and their is documented evidence of

reviews, particularly after occurrence of an accident or emergency situations

Verify that employees have received appropriate emergency response training

Verify that the organization has an emergency drill schedule and has documented

evidence of drills conducted (where practicable)

Review the organization’s external communication plans for emergency situations

4.5.1 Monitor and Measurement

Verify EMS measurement procedure*

Verify technical calibrations procedures*

Verify regulatory compliance assessments*

Internal Audit Checklist Page 4