Scheduling: This submenu is where all tasks requiring the completion of at least one checklist are created (although a schedule can be created without a checklist as well). Schedules can be a one-time compliance audit, a recurrent monthly inspection or some other task for which you want to record results using a checklist (a checklist template must be created before a checklist can be scheduled). Schedules can be used for internal or external evaluations, and you can relate one or more checklist templates to a single set of EMS items (locations, practices, or equipment). A schedule can be quite complex, involving multiple inspectors or auditors and multiple checklist templates over multiple time intervals. Once a schedule is submitted, the assigned inspectors or auditors will receive email notifications of their new scheduled items.

Each scheduled item will appear on their Tasks grid. For example, a schedule for one year’s worth of monthly tank inspections using a single checklist template for 50 tanks will result in 12 scheduled items appearing in the inspector’s Tasks grid – one for each month. Each scheduled item will contain a grid of the 50 tanks with an inspection checklist for each tank. You must click on each checklist to record inspection results for the respective tank. Once submitted, each checklist is stored in the Completed Checklists submenu.

Completed Checklists: All completed checklists are stored in this submenu and can be queried by organization, checklist template, media, EMS object, completion date, assigned auditor/inspector, and by number of comments included in the checklist. Completed checklists can also be accessed via the location, practice, or equipment profiles in the EMS Data submenu under EMS (for those that are related to EMS items). Once in a completed checklist form, a finding can be spawned from any of the checklist questions (refer to Section 4.2.5).

Findings: Both findings and observations are created and tracked in the Findings submenu.Findings can be spawned from an existing checklist that is associated with a schedule or created as a standalone (not related to an EMSWeb scheduled assessment). Either way, the process begins by selecting the type of form most appropriate for the type of evaluation that led to the finding. Although the forms all look alike, the number of required fields will vary. Once the finding form is complete and submitted, the finding goes through an assignment, a resolution, and a closure phase.

The finding’s Lead POC (from the corresponding schedule) or the POC (from a standalone finding) is alerted and ensures the finding is named, assigned to a Finding POC (typically a Media Manager that is in charge of ensuring the finding is resolved), and determines if a POAM or formal review is required. Depending on the type of evaluation that led to the finding, a POAM may be required as well as recording your Corrective and Preventive Actions (CAPA) as part of the resolution phase. A formal review is available before the finding is closed, which is required by the lead auditor for external compliance audits. When the finding is ready for closure, the organization’s Lead POC is alerted and ensures the finding is closed or reassigned (if not properly resolved). Findings can also be spawned directly from the checklist form after it has been saved at least once. A finding link will appear next to every question on the checklist. Clicking on a finding link next to the question will open up a new window and a finding form where relevant data from the checklist and any comments entered for the question will be automatically transferred to the form.

Checklist Creator: This is where all checklist templates are created. Checklist templates have headers and footers that can be customized and any question created can be edited and organized as you see fit. Extensive alerts can be assigned based on the answers given per question or for the entire template upon submission of the completed checklist. For example, an alert can be assigned to the template with the following criteria: send me an email when any question is answered “No” or when the third question is answered “Yes.” There are three types of templates: General, Compliance Audit, and EMS. All three templates provide a comment field for each question, but differ in the structure of the question and the types of answers. The General Template contains a simple text field for your question and a section header (you can divide questions into different sections within a checklist). Checklist questions will be numerically ordered. Possible answers for each question are “Yes,” “No,” and “N/A.” The Compliance Audit Template is perhaps the most complex and was designed to accept imports from ListBuilder (Team Guide; ListBuilder custom manuals are imported to EMSWeb on a periodic basis as checklists). Section headers, Item ID, Citation Code, Reference Details, and the text of the question are all fields used in the checklist. The Item ID appears to the left of each question on the checklist form and the available answers are “Compliant,” “Noncompliant,” and “N/A.” The EMS Template is similar to the General Template except for the addition of an Item ID (typically the ISO 14001 element number) and the “Conform,” “Nonconform,” and “N/A” answers.