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

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