IGD 1017: Internal Audit

1.0

PURPOSE




This IGD provides guidance with respect to the periodic internal audit of our ESOHMS. This document applies to our personnel and those working on behalf of the government who are primarily responsible for the development, maintenance, and deployment of ESOHMS. This document addresses internal audits of the ESOHMS, as distinguished from initial verification of conformance and surveillance audits by a third party (external audit).



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2.0

PROCESS






2.1

ESOHMS Internal Audit Scope/Planning





The internal audit of the ESOHMS shall be performed to demonstrate that the:





a)

Defined procedures and processes are being followed and meet the requirements of DLA Strategic Materials





b)

Elements of the ESOHMS have been properly implemented and maintained.





The scope of the ESOHMS Internal Audit shall include a review of documents contained in the ESOHMS Manual and the following, as applicable:





a)

Operations and Logistics Storage Manual





b)

DoD/DLA policies





c)

Depot memoranda





d)

Any issues identified by DLA Strategic Materials





2.2

Auditor





The EMR or designee is responsible for ESOHMS Internal Audits.





2.3

Auditor Qualification

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Audit teams shall include the EMR or an environmental protection specialist (or contractors) with experience working under, or auditing, an EMS.





2.4

Audit Frequency





A complete internal audit of all elements of the ESOHMS will be conducted annually at each staffed Depot. Selected elements of the ESOHMS may be undertaken more frequently at the discretion of DLA Strategic Materials by internal assessments. Internal audits will be identified in the ESOH Annual Plan. Auditors and the dates are also identified in the Annual ESOH Plan.





2.5

Methodology





The ESOHMS audit process shall consist of programmatic reviews of the elements identified in the ESOHMS audit scope, and shall consider:





a)

All environmental procedures contained in the ESOHM Manual and  the importance of these operations





b)

Field reviews of operational controls





c)

Reviews of records and document controls, including previous reviews





Applicable Depot managers shall respond to any findings or recommendations as appropriate within the period agreed upon with the auditor and /or EMR.





2.6

Reporting





The audit shall result in a written report that identifies the audit participants, the methodology applied, the nature of any findings, and recommendations for corrective/preventative actions. The EMR receives the audit report and assigns responsibility for responding to findings in accordance with IGD 1015.  The responses to any findings or recommendations will be separately tracked (see IGD 1015).





The corrective actions will be completed by the applicable Depot manager or person designated by the EMR and  reported to Management's ESOHMS Representative and the Chief, Operations Division for review and tracking. The Control Objectives Manager tracks completion of the audit on the monthly Management Control Plan Summary.





2.7

Records





All records, work papers and audit reports shall constitute the complete audit file.

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