Title Page
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Site conducted
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Section
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Date:
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Audit Team #
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Auditors:
5 LEADERSHIP
5.1 Leadership and commitment (How is it evident that Top Management is committed to EMS and shows leadership?)
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1. How does management direct & support personnel in the organization to contribute to the effectiveness of the EMS?
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Objective Evidence/Notes
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2. Has top management taken accountability for the effectiveness of the EMS? Accountability includes a basic understanding of the EMS processes and outputs.
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The next few questions consider the awareness of top management:
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3. Are they aware of Aspects Process and Significant Aspects?
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Objective Evidence/Notes
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4. Are they aware of Environmental Objectives (Is top management involvement evident?)
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Objective Evidence/Notes
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5. Are they aware of Environmental Performance Metrics?
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Objective Evidence/Notes
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6. Are they aware of basic understanding of compliance obligations?
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Objective Evidence/Notes
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7. Are they aware of aspects within their areas of responsibility?
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Objective Evidence/Notes
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8. Are they aware of environmental policy and how it applies to their operations?
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Objective Evidence/Notes
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9. Are the environmental policy and objectives established, and compatible with the strategic direction and the context of the organization?
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Objective Evidence/Notes
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10. Does top management communicate the importance of effective environmental management and of conforming to the EMS requirements?
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Objective Evidence/Notes
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11. How does management ensure that the EMS is continually improving & achieving its intended outcomes?
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Objective Evidence/Notes
5.2 Environmental policy (Seek objective evidence for top management’s involvement in establishing, implementing and maintaining an environmental policy)
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1. Is the policy appropriate to the defined scope, purpose, and context of the organization, including the nature, scale and environmental impacts of its activities, products and services?
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Objective Evidence/Notes
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2. Is the policy strategic when setting objectives? Does the policy provide a framework for setting environmental objectives?
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Objective Evidence/Notes
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3. Is the policy proactive by including a commitment to the protection of the environment?
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Objective Evidence/Notes
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4. Does the policy fulfill compliance obligations & to continually improve the EMS?
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Objective Evidence/Notes
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5. Is the policy maintained as documented information?
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Objective Evidence/Notes
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6. Is the policy communicated within the organization, to all persons doing work (directly or indirectly) under the organization's control?
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Objective Evidence/Notes
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7. Is the policy available to interested parties?
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Objective Evidence/Notes
5.3 Environmental management system (Focus on processes versus procedures)
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1. How do you ensure that the EMS is achieving its intended outcomes?
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Objective Evidence/Notes
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2. Is someone assigned to report on the performance of the EMS to top management? Who is responsible?
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Objective Evidence/Notes
5.4 Environmental management system
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1. Has there been a review of the EMS by top management?
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Objective Evidence/Notes
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Is this audit complete?
