Internal Audit Checklist 4. Context of the Organization Step 1 of 6 16% Event NameAuditor NameEvent DateEmail 4. CONTEXT OF THE ORGANIZATION4.1 Understanding of the organization and its contextShall Requirements:The organisation shall determine the external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcome(s) of the event sustainability management system.SEMS QUESTION: PLANNING: Issue Identification: The event has a procedure to identify and document internal and external sustainability issues and evaluate their significance with respect to the activities, products and services of the event or the ability of the organisation to meet its intended outcomes. NOTE: This question also covers Clause 4.2 and 6.1.AUDITOR INSTRUCTIONS:This clause requires that both internal and external issues that may be relevant to the organization’s purpose or affect its ability to meet the intended outcomes of the event sustainability management system are determined. This is any internal and external issue that may influence the ability of the organization to meet its sustainability goals and the auditor when undertaken the conformity assessment should consider these issues. For example, the non-‐existence of solutions, a head office corporate policy under which the event has to operate, a climate of unrest in an area, a requirement to have sponsors which may conflict with some of the operational sustainability ambitions etc.CONFORMITY ASSESSMENT: The organization has provided information about the context in which it operates which may influence the uptake of sustainable development principles and its ability to meet the intended outcomes of the management system it is implementing. No, information on organizational context has not been adequately provided. Auditor CommentsThis may include corrective action to be taken. Also include notes on continual improvement to look out for in the next audit. 4. CONTEXT OF THE ORGANIZATION4.2 Understanding the needs and expectations of interested partiesShall Requirements:The organization shall establish, implement and maintain a procedure for the identification of and engagement with interested parties on the identified and emerging sustainable development issues relating to its role in the value chain of events. The organization shall document the outputs from its engagement with interested parties.SEMS QUESTION: PLANNING: Stakeholder Identification and Awareness: The organization has procedures and processes to identify all interested parties/stakeholders in the event sustainability management system and communicates sustainability commitment and/or requirements to them.AUDITOR INSTRUCTIONS:This clause requires the organization to have a procedure for identifying and engaging those who have an interest in the event sustainability management system and to include their needs and expectations into planning and delivery of your event. • Look for a procedure and processes to identify stakeholders and communicate with them. • Review the list of stakeholders they have identified and assess the communications routes they used. You are looking for verbal, written, contractual, newsletters, website info, pdf info sheets, meetings, onsite signage, inductions, surveys, feedback routes, etc. • Look for examples of outcomes of interested party engagement. • View documents uploaded and look at links provided.CONFORMITY ASSESSMENT: The organization has a procedure for identifying interested parties and their needs and expectations The organization has a process to identify stakeholders The organization has a process to map the communications and engagement methods. The organization documents the outcomes of engagement and communications. Documents are missing, see Auditor Comments Auditor CommentsThis may include corrective action to be taken. Also include notes on continual improvement to look out for in the next audit. 4. CONTEXT OF THE ORGANIZATION4.3 Determining the scope of the event sustainability management systemShall Requirements:The organization shall determine the boundaries and applicability of the event sustainability management system to establish its scope.SEMS QUESTION: NOT A SPECIFIC SEMS TOOL QUESTIONS however scope should be included in the both the qualifying questions, event description and freeform text upon setting up the SEMS Tool. Ensure they the organization has written down and has available to the auditor, a description of what the scope is for the management system. AUDITOR INSTRUCTIONS:Ensure information is provided which details the scope of the management system. It must be confirmed in writing in a document. This may be in the policy for example, or as a separate document.CONFORMITY ASSESSMENT: The scope of the management system has been defined. No, the scope has not been adequately defined. Auditor commentsThis may include corrective action to be taken. Also include notes on continual improvement to look out for in the next audit. 4. CONTEXT OF THE ORGANIZATION 4.4 Event sustainability management systemShall Requirements:The organization shall establish, implement, maintain and continually improve an event sustainability management system, including the processes needed and their interactions, in accordance with the requirements of this International Standard.SEMS QUESTION: There is no specific question aligned to this clause of the standard, however the successful completion of the SEMS Tool, and evidence of requirements of a management system, such as documented information, procedures and processes, is acceptable evidence of conformity to the requirements for this clause. Included should be evidence that the management system has been embraced by the organization and will endure. This crosses with Clause 7.3 Awareness.AUDITOR INSTRUCTIONS:This aspect of the standard is achieved through successful completion of the SEMS Tool and evidence that it has been embraced by the organization, sufficient evidence is available across all aspects and that evidence suggests that the implementation of the management system will endure.• View the management system • Ask staff members if they know about the management system, what its requirements are, and why it is valuable. This will then evidence that it is implemented and embraced by the organization.CONFORMITY ASSESSMENT: The organization has established, implemented, maintained and continually improved its event sustainability management system. The management system is not fully in place Auditor CommentsThis may include corrective action to be taken. Also include notes on continual improvement to look out for in the next audit. 4. CONTEXT OF THE ORGANIZATION 4.5 Sustainable development principles, statement of purpose and valuesShall Requirements:The organization shall define its governing principles of sustainable development in the form of a statement of purpose and values. The organization’s governing principles of sustainable development regarding event management shall include, at least, considerations for stewardship, inclusivity, integrity and transparency. The organization shall define and document its primary purpose and values with respect to its activities, products and services that relate specifically to events.SEMS QUESTION: COMMITMENT AND RESOURCING Statement of purposes and values: The organization has a statement of purpose and values defining its governing principles of sustainable development including stewardship, inclusivity, integrity and transparency.AUDITOR INSTRUCTIONS:This clause requires that the organisation must include considerations, at a minimum, in their governing principles of sustainable development, for stewardship, inclusivity, integrity and transparency. • Review documentation and text provided in the freeform box in the SEMS Tool against the relevant question.• Look for a document that lays this out and includes the primary purpose and values of the organization. • This may be embedded in a policy, an annual report, or on the website as a statement. They may also be signed up to accords or protocols, us as the UN Global Compact or other campaigns or pledge style programs.CONFORMITY ASSESSMENT: The organization has formally declared its purpose and values that define its governing principles of sustainable development. There is no, or incomplete evidence for this clause. Auditor Comments:This may include corrective action to be taken. Also include notes on continual improvement to look out for in the next audit.EmailThis field is for validation purposes and should be left unchanged. Back to list of forms