Internal ISO 14001:2015 Audit

• Conducted on

  Date

• Prepared by

• Location
  Address

Clause 4 Context of the Organisation.

4.1 Understanding the organisation

• Have external and internal issues, with regards to the environment, been identified that are relevant to the business?

  Yes

  No

• Were these issues and any recent changes been discussed at a senior level?

  Yes

  No

• Add evidence of the discussion of issues at a senior level.

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

4.2 Understanding the needs of interested parties.

• Has senior management identified interested parties and their requirements with regards to the environment?

  Yes

  No

• Add evidence of the discussion of issues at a senior level.

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

4.3 Determining Scope.

• Has the business scope been reviewed within the last 12 months?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the discussion of issues at a senior level.

4.4 Environment Management System

• Does the a top level business overview determine the business process and including inputs, processes and outputs?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the discussion of issues at a senior level.

Clause 5 Leadership

5.1 Leadership and Commitment

• Provide examples of how the management has demonstrated involvement with the Environment management system.

  Low level

  Moderate Level

  High Level

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide examples how the management demonstrates a commitment to reducing their impact on the environment.

  Low level

  Moderate Level

  High Level

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

5.2 Communicating the Policy

• Is the Environment policy integrated across multiple standards?

  Yes

  No

• Which standards are integrated? (add evidence of most current version)

  Select 📋 ISO 9001:2015 (Quality) 🌳 ISO 14001:2015 (Environment) 👷🏽 ISO 45001:2018 (Health and Safety) Other

  • 📋 ISO 9001:2015 (Quality)
  • 🌳 ISO 14001:2015 (Environment)
  • 👷🏽 ISO 45001:2018 (Health and Safety)
  • Other

• Please specify the other standard integrated into this policy

• Is it approved by senior management?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the discussion of issues at a senior level.

• Is the current policy available to stakeholders?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the availability of the policy.

• Which policies are available?

  Select 📋 ISO 9001:2015 (Quality) 🌳 ISO 14001:2015 (Environment) 👷🏽 ISO 45001:2018 (Health and Safety) Other

  • 📋 ISO 9001:2015 (Quality)
  • 🌳 ISO 14001:2015 (Environment)
  • 👷🏽 ISO 45001:2018 (Health and Safety)
  • Other

• Please expand on the response 'other'

• Does this cover the scope of this audit?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Are the separate policies approved by senior management?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the discussion of policies at a senior level.

• Are the current policies available to stakeholders?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the availability of the policies.

5.3 Organisational Roles

• Is there a company organisational chart available?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the organisational chart.

Clause 6 Planning

6.1 Actions to address risk and opportunities

• Have the risks to the business been identified in the business continuity plan for the facility?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the business continuity plan.

• Has the plan been tested within the last two years?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the business continuity plan test

• Have branch opportunities been identified via the business KPI's or via a SWOT analysis?

  Yes

  No

• Add evidence of the business KPI's and/ or SWOT analysis

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Have all the environmental impacts of the companies activities been recorded on the Aspects and Impacts Register, including Normal, Abnormal and Emergency situations within?

  Yes

  No

  Not in audit scope

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of at least three impacts identified by the business

• Compliance obligations - Has the environmental legal register been reviewed to ensure compliance and has identified any actions?<br>

  Yes

  No

  Not in audit scope

• Add evidence demonstrating at least three relevant pieces of legislation identified by the business and how they comply

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

Clause 6.2 Objectives and planning

• Has the business completed the requirements for reporting business objectives?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• How are the objectives reviewed and communicated?

  Select Regular staff meetings Annual report Website/ Internal intranet Newsletters Social media Other

  • Regular staff meetings
  • Annual report
  • Website/ Internal intranet
  • Newsletters
  • Social media
  • Other

• Please specify how the objectives are reviewed and communicated

Clause 6.3 Planning of Changes

• Provide an example of how the business has recently managed change with environmental context e.g. refurbishment programme, customer requirements changes, new approval of an external provider

Clause 7 Support

7.1 Resources

• People - Are there sufficient and suitably trained staff members within the facility in order to adequately process the requirements of the business?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence a sample of relevant training records

• Infrastructure - Are the facilities, equipment and IT systems suitable to operate effectively?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence and images to demonstrate the suitable infrastructure

• Environment for the operation - Is the environment and work culture suitable for productive working.

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence and images to demonstrate the suitable infrastructure

• Organisational Knowledge - Have the operators' job descriptions taken into consideration the requirements of the role?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of job descriptions and knowledge requirements to carry out the role.

• How does the business obtain information regarding the customer's future requirements with regards to the environment?

  Select No monitoring of Customer satisfaction Customer meetings Customer surveys Customer feedback Other

  • No monitoring of Customer satisfaction
  • Customer meetings
  • Customer surveys
  • Customer feedback
  • Other

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of how the customer's future requirements are considered

• Please specify how the business obtains information regarding customers future requirements (include evidence)

7.2 Competence

• Do the staff members have the education, training or experience deemed necessary to fulfil their job role.

  Yes

  No

• Is there a program to enhance the staff members competence level?

  Yes

  No

7.3 Awareness

• Are staff members aware of the environment policy? Are they aware of current branch KPI's and their contribution towards it? Are they aware of the latest outcomes to an incident investigation?

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

7.4 Communication

• How is the Internal workforce communicated with regards to the environmental aspects of the business?

  Select There is no communication internally Employee representataive meetings Social Media Newsletters Internal Intranet Notice boards Other

  • There is no communication internally
  • Employee representataive meetings
  • Social Media
  • Newsletters
  • Internal Intranet
  • Notice boards
  • Other

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of internal communication

• Please specify other methods internal workforce is communicated with (include evidence)

• How are external stakeholders communicated with regards to the environmental aspects of the business?

  Select There is no external communication Website Social Media Marketing newsletter/ e-mails Other

  • There is no external communication
  • Website
  • Social Media
  • Marketing newsletter/ e-mails
  • Other

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of external communication

• Please specify other methods external stakeholders are communicated with (include evidence)

7.5 Documented Information

• Creating and Updating - Are documents created using standardised, controlled templates?.

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of templates and their method of control

• Control of Documents - Are the documents controlled in a manner that can not be edited by unapproved personnel?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of controlled documents

• Retention of Documents - Is document retention managed relevant to the process?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

Clause 8 Operation

8.1 Operational Planning and Control

• Are there processes available to meet the requirements of the services provided by the business?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the business processes

• 🌳 Are processes consistent with a life cycle perspective?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the business process including life cycle perspective

• This should include goods and services that have been outsourced. Controls and influences can extend to waste disposal, transportation for delivery/collection, use and end of life treatment.

8.2 Emergency Preparedness and Response.

• Is the emergency contact list available and complete?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Is the evacuation plan available and displayed ?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Is the Fire risk assessment suitable and sufficient and considers environmental impact in the case of an emergency?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• When was the last emergency situation at the facility? Was this recorded?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• When was the last evacuation drill completed and recorded?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Are the spill kits suitable and checked?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Is there adequate first aiders and fire wardens within the facility - demonstrate evidence of training?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Is there a loss of containment risk of chemicals and or hazardous materials being stored/ handled?

  Yes

  No

  Not in audit scope

• When was the last spill drill completed and recorded?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Was the last emergency drill reviewed? What were the results?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Which staff are trained as the spill team? How are emergency situations communicated to visitors?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

Clause 9 Performance Evaluation

9.1 Monitoring, measurements, analysis and evaluation

• General - Can the business demonstrate recent KPI results?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence demonstrating the latest KPI results

• 📋 Customer Satisfaction - Does the business monitor customer satisfaction?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence demonstrating how customer satisfaction is monitored

• How is customer satisfaction monitored?

  Select No monitoring of Customer satisfaction Customer meetings Customer surveys Customer feedback Other

  • No monitoring of Customer satisfaction
  • Customer meetings
  • Customer surveys
  • Customer feedback
  • Other

• Evaluation of compliance - Can the business demonstrate specific environmental legal requirements, e.g. utilities measuring, waste management, permits/ licences.

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence demonstrating how environmental compliance is being monitored

• Analysis and evaluation - How has the business reacted to Environmental KPI/ OKR/ objective results?

  Select No reaction Celebrated success Reviewed targets Identified cause of inadequate performance Identified and acted upon inadequate performance Other

  • No reaction
  • Celebrated success
  • Reviewed targets
  • Identified cause of inadequate performance
  • Identified and acted upon inadequate performance
  • Other

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence demonstrating how the business has reacted to

• Please describe how the business has reacted to the KPI/ OKR/ Objective results

• Add evidence demonstrating how environmental compliance is being monitored

9.2 Internal Audit

• Has the audit schedule been followed? Have the results documented, recorded and communicated to management?

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Does an internal audit schedule exist?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Has the schedule been followed?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Have the results from the internal audits been communicated with relevant parties?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

9.3 Management Review

• General - Has there been a senior management meeting that discussed QSHE aspects as required on the ISO standards?

  Select Yes No

  • Yes
  • No

• When was the last senior management meeting attended by QSHE? Have minutes been recorded?

  Yes

  No

  Not in audit scope

• Please add evidence of the adgenda

• When was the last senior management meeting attended by QSHE?

  Date

• Are minutes of the meeting available?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Please add minutes as evidence

• Management review outputs - What opportunities for improvement, changes to the MS or resource were identified?

Clause 10 Improvement

• General - What environmental opportunities have been identified that require improvement to improve customer satisfaction, address future needs etc.

• Non-conformity and corrective action - Is there a relevant non-conformance process available?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Demonstrate the last non-conformance and the investigation, closure and improvement processes

• Continual Improvement - Provide evidence of an example of continual improvement within the business - process updates, environmental improvements etc.

Signature of Auditor

• Name and signature of the auditor

  Sign