Internal Audit Checklist (Page 6 of 6) in pdf

Does the organization have a procedure for storage of various records including

electronic

4.5.3 EMS Audits

Remain within the scope of the audit

Remain objective

Gather objective evidence to draw conclusions

Document audit results

Interpret policies and procedures and determine conformance with the standard

Develop an audit schedule (annually)

Train audit team (document training)

Develop audit plan

Schedule audit and necessary resources- meeting room, appropriate people are

available, etc.

Conduct opening meeting-

Tour facility- to gain understanding of facility (if auditor doesn’t know facility

operations)

Perform Audit

Auditors meet to discuss preliminary results- group should reach consensus on

findings, if consensus not reached, then lead auditor makes the call

Conduct closeout meeting – discuss audit results objectively ie, strengths,

weaknesses, non-conformances- this is not a discussion.

Issue audit report – as discussed in close out meeting (can document potential

non-conformance discussions with notes and understandings stating what, who,

why…and correction) (Should have some way to follow up with regulatory non-

compliance issues)

Review previous audit report and check on status of any previous findings. Note;

findings not corrected can be considered a major deficiency

Check for corrective action status including any Incident Reviews

Assure Environmental Compliance Inspections have been conducted

Interview a variety of employees to assure the EMS is understood and that

commitment to the EMS is in place

4.6

Management Review

Verify that management reviews have been scheduled and conducted according to

plan

Look for management review actions and assure they have been completed

Verify Management Review Agenda should includes status of objectives and

targets, corrective and preventive actions, audit reports, interested party issues,

regulatory compliance, suitability of the EMS and need for any changes

End of Checklist

Internal Audit Checklist Page 6