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  • Policy
    • Verify required policy elements.
    • Verify management commitment.
    • Verify policy implementation by tracing links back to policy statement.
    • Check policy review/revisions.
    • Determine how the policy is communicated.
    • Check if suppliers were notified of policy.
  • Aspects
    • Verify organization has approved procedure to identify aspects.
    • Verify process for identification, ranking of significant aspects.
    • Verify how significant aspects are managed.
    • Verify if appropriate document links are in place.
    • Verify if training needs have been met.
    • Verify objectives and targets.
    • Determine how aspects are communicated.
    • Interview employees for awareness.
  • Regulatory Requirements
    • Verify if requirements are in place.
    • Verify if training has been conducted.
    • Determine if requirements were communicated to employees.
    • Verify accessibility and availablility of the requirements.
  • Objectives and Targets
    • Verify if objectives and targets are consistent with significant aspects and policy.
    • Verify individual roles and responsibilities on objectives and targets are defined.
    • Are objectives specific and measurable?
    • Are timeframes set and met?
    • Process for review and revision.
    • Process for changing target dates.
    • Identify how progress is tracked and communicated to management.
  • Training, Awareness and Competence
    • Verify a training, awareness and competency procedure has been developed.
    • Determine if training needs have been identified.
    • Review supporting documentation.
    • Verify process to review training records to assure required training has been scheduled.
    • Verify employees have received appropriate emergency response training
    • Verify that employees have received policy and procedures training.
    • Interview employees to assure proper understanding.
  • Communication
    • Verify by sampling the process of how information is communicated between various levels and functions.
    • Verify the process for receiving, documenting and responding to external communications.
    • Determine by interviews the raising of employee awareness of 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.
  • Documentation
    • Verify Manual (optional).
    • Verify Procedures.
    • Verify organization charts.
    • Verify the organization has clear documented references to related procedures, work instructions, legal requirements, etc.
    • Verify manual has been reviewed, understood and communicated to employees.
  • Emergency Response and Preparedness
    • Verify organization has appropriate emergency response plans in place.
    • Verify that the plans have a review schedule.
    • 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.
    • Review the organization?s external communication plans for emergency situations.
  • Monitor and Measurement
    • Verify measurement procedure.
    • Verify technical calibrations procedures.
    • Verify regulatory compliance assessments.
    • Verify that the organization submits an operating report.
    • 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.
    • Identify how performance indicators are chosen, reviewed and revised.
    • Ensure that performance indicators are objective, verifiable, reproducible and consistent with the policy.

Internal Audit Checklist
  John F. Smith


on January 1, 2012

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