Checklists

Environmental Management Systems (EMS)
Level 5

Checklists

Unit 6
Auditing the EMS

The purpose of the checklist is to help the auditor achieve the objectives and cover the scope of the audit. It can be thought of as an aide memoire for the auditor, and is basically of list of questions to ask the auditee and records to check during the audit.

Some points to remember in drawing up a checklist include:

Used closed questions on the checklist, i.e. those that can be answered with a yes or no
Use questions which arise from reading the procedure, for e.g. if the procedure reads waste consignment must be filed in the main office, the obvious question to include in the checklist is are waste consignment notes filed in the main office?
Write down the sample size that was seen, i.e. if training records were being checked, the auditor might note that records all personnel records, June to Sept 1998 checked.
If the checklist is later going to be used by another auditor or by the auditor himself/herself, then it is important the checklist is legible.

INTERNAL AUDIT CHECKLIST

PROCEDURE No: EP 02 TITLE: Environmental aspects ISSUE No: 1

AUDIT DATE: 13/1/99 AUDITOR: AKP

SHEET No. 1 OF 2

ITEM
No. REQUIREMENT COMPLIANCE
YES/NO COMMENTS/REMARKS

1 Is the procedure up-to-date? Yes

2 Is the procedure complete? Yes

3 Is the register of environmental effects available? Yes On computer and in EMS manual

4 Are all specified activities covered by the register? Yes

5 Is consideration given to:
actual and potential impacts
all operating conditions
Yes May need to give more consideration to emergencies at neighbouring chemical company

6 Are all effects assessed for significance using the flow chart? Yes

7 Are effects evaluated to determine how significant they are? Yes

8 Are significant effects communicated to the MD? Yes MD informed through management review, otherwise by memo

9 Are significant impacts included in the improvement programme and objectives and targets set? (check management review minutes) No Targets not yet set

10 Is the register signed and dated? No Not signed or dated, no issues no.

11 Is a copy of the register available on the envionmental notice board? No Register not complete so not available on notice board

12 Are periodic reviews of the register undertaken? Yes Has been reviewed at management review but no targets were set