Internal Audit Checklist (Page 5 of 6) in pdf

Verify that the organization submits an operating report (on an established

frequency) which provides data on its operations and the status of its objectives

and targets and performance indicators

Verify key monitoring equipment has been identified and is calibrated and

maintained

Verify a system identifying the frequency, means and methods of calibration are

in place

Verify that calibration records are maintained and have appropriate links and

identification numbers

Identify how performance indicators are chosen, reviewed and revised

Ensure that performance indicators are objective, verifiable, reproducible and

consistent with the EMS policy

Verify that a schedule of regulatory compliance inspections is in place and

inspections are performed and documented

Have the organization discuss the process used to address noncompliance

conditions

* not required to have separate procedures but recommended

4.5.2 Nonconformance and Corrective and Preventive Action

Determine process used in investigating EMS non-conformance

Determine process used for mitigation on non-conformance

Verify procedure (process) addresses means for identifying the root cause and

implementing effective corrective actions (CA’s)

Review any open and completed CA’s and ensure action plans have been

developed, followed and closed out as scheduled

Determine if there is evidence of lack of understanding or commitment on the part

of department management or their staff regarding corrective or preventive action

Determine if corrective or preventive actions implemented are appropriate to

magnitude of the problem and resolve the environmental impact from re-occuring

Verify that corrective actions are recorded and presented to management for

review

Verify there is a process to track the status of corrective or preventive actions

4.5.3 Records

Verify the organization has identified the required records for implementation and

operation of the EMS

Verify the person responsible for EMS records maintenance, control and disposal

of records

Verify that records are readily available and identifiable (proper ID numbers)

Ensure a records retention schedule has been developed and implemented

Check to see if records are indexed, filed, stored and maintained to provide secure

storage

Examine and evaluate a variety of records (including training) when auditing each

EMS functional area

Check for a master log (EMS Directory) of EMS records

Internal Audit Checklist Page 5