Information
ISO 14001:2015 Internal Audit
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Site
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Prepared by
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Interviewed
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Conducted on
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Document number ( e.g. EMS-22-11-W5)
4 Context of the organization
4.1 Understanding the Organisation and its Context
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Has the Facility determined external and internal issues that can affect the environmental management system?
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How does the Facility monitor and review information about these external and internal issues?
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Does the Facility consider environmental conditions being affected by or capable of affecting the organisation?
4.2 Understanding the Needs and Expectations of Interested Parties
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Has the Organization determined who are the interested parties that are relevant to the environmental management system?
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Has the Organization determined what the requirements of these interested parties are relevant to the environmental management system?
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Has the Organization determined what these needs and expectations become your compliance obligations?
4.3 Determining the Scope of the Environmental Management System
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Have you determined the boundaries and applicability of the environmental management system to establish your scope?
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When determining the scope of the environmental management system how did you consider the external and internal issues?
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When determining the scope of the environmental management system how did you consider the compliance obligations?
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When determining the scope of the environmental management system how did you consider the activities, products and services of the organization?
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Have all activities, product and services been included in the scope been included in the EMS?
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Has the scope been maintained as documented information and is it available to interested parties?
4.4 Environmental Management System
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Have you implemented and have the system in place to maintain and continually improve your environmental management system, including the processes needed and their interactions, in accordance with the requirements of ISO 14001?
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Have you considered the knowledge gained in 4.1 and 4.2 when establishing and maintaining your environmental management system?
Any other comments - additional NCR or OFI (if more than 1 raised for a section)
5 Leadership
5.1 Leadership and Commitment
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How does top Management demonstrate leadership and commitment with respect to the Environmental Management System?
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How does top Management ensures that the environmental policy and environmental objectives are established for the environmental management system and are compatible with the context and strategic direction of the organization?
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How does top Management demonstrate leadership and commitment with respect to the Environmental Management System by ensuring that the resources needed for the environmental management system are available?
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How does top Management demonstrate leadership and commitment with respect to the Environmental Management System by communicating the importance of effective environmental management and of conforming to the environmental management system requirements?
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How does top Management demonstrate leadership and commitment with respect to the Environmental Management System by ensuring that the environmental management system achieves its intended results?
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How does top Management demonstrate leadership and commitment with respect to the Environmental Management System by promoting improvement?
5.2 Environmental Policy
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Have top Management established, implemented and maintained an Environmental Policy that is appropriate to the purpose and context of the organization, including the nature, scale and environmental impacts of its activities, products and services?
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Have top Management established, implemented and maintained an Environmental Policy that includes a commitment to the protection of the environment, including prevention of pollution and other specific commitments relevant to the context of the organisation?
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Have top Management established, implemented and maintained an Environmental Policy that Includes commitment to fulfill its compliance obligations?
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Have top Management established, implemented and maintained an Environmental Policy that includes a commitment to continual improvement of the environmental management system to enhance environmental performance?
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Is the environmental policy maintained as documented information, communicated within the organisation and available to interested parties?
5.3 Organisational Roles, Responsibilities and Authorities
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Does top management ensure that the responsibilities and authorities for relevant roles are assigned, communicated and understood within the organization?
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Has top management assigned the responsibility and authority for ensuring that the environmental management system conforms to the requirements of ISO 14001?
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Has top management assigned the responsibility and authority for reporting on the performance of the environmental management system including environmental performance to top management?
Any other comments - additional NCR or OFI (if more than 1 raised for a section)
6 Planning
6.1 Actions to address risks and opportunities
6.1.1 General
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During planning, did organisation considered the external and internal issues and the interested parties requirements, the scope of the environmental management and determined the risks and opportunities that need to be addressed to give assurance that the environmental management system can achieve its intended outcomes?
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During planning, did organization determined the risks and opportunities that need to be addressed to prevent or reduce undesired effects, including the potential for external environmental conditions to effect the organisation?
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Where has the organisation determined potential emergency situations that have an environmental impact and are they included in the scope of the environmental management system?
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Has the organisation documented and maintained information regarding its risks and opportunities that need to be addressed and established the processes needed to address them?
6.1.2 Environmental Aspects
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Has the organisation determined the environmental aspects of its activities, products, and services that it can control and influence and their associated impacts considering the life cycle perspective?
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Do they take into accountant change including planned or new developments and new or modified activities, products and services?
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Do they take into accountant abnormal conditions and reasonably foreseeable emergency situations?
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What criteria has the organisation used to determine those aspects that can have a significant environmental impact and how are these communicated at the various levels within the organisation?
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Are aspects and impacts maintained as documented information including the criteria used to determine significance?
6.1.3 Compliance Obligations
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Has the organisation determined its compliance obligations and have access to the compliance obligations related to its environmental aspects?
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Determined how these compliance obligations apply to the organisation?
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Has the organisation taken into account these compliance obligations when establishing, implementing, maintaining and continually improving its environmental management system?
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Are compliance obligations maintained as documented information?
6.1.4 Planning Action
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Does the organisation take action to address significant environmental aspects and compliance obligations and the risks and opportunities identified?
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Does the organisation how to integrate and implement the actions into its environmental management system processes or other business processes?
6.2 Environmental Objectives and Planning to Achieve Them
6.2.1 Environmental Objectives
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Has your organization established environmental objectives at relevant functions, levels that are needed for the quality management system?
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Are the environmental objectives consistent with the environmental policy?
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Are the environmental objectives measurable (if practicable)?
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Are the environmental objectives monitored?
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Are the environmental objectives communicated?
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Are the environmental objectives updated as appropriate?
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Do you maintain documented information on the environmental objectives?
6.2.2 Planning Actions to Achieve Environmental Objectives
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When planning how to achieve your environmental objectives, has your organization determined what will be done, resource required, responsibilities, due dates?
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When planning how to achieve your environmental objectives, has your organization determined how the results will be evaluated, including indicators monitoring progress towards achievement of its measurable environmental objectives?
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Have you considered how actions to achieve your environmental objectives can be integrated into your business processes?
Any other comments - additional NCR or OFI (if more than 1 raised for a section)
7 Support
7.1 Resources
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Has your organization determined and provided the resources needed for the establishment, implementation, maintenance and continual improvement of the environmental management system?
7.2 Competence
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Has your organization determined the necessary competence of person(s) doing work under your control that affects the performance and effectiveness of the environmental management system and its ability to fulfill its compliance obligations?
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Has your organization ensured that these persons are competent on the basis of appropriate education, training, or experience?
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Has your organization determine training needs associated with its environmental aspects and its environmental management system?
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Has your organization where applicable, take actions to acquire the necessary competence, and evaluate the effectiveness of the actions taken?
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Has your organization what documented information is maintained of evidence of competence?
7.3 Awareness
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How does the Facility ensure that persons doing work under their control are aware of the environmental policy?
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How does the Facility ensure that the workers are aware of the significant environmental aspects and related actual or potential impacts associated with their work?
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How does the Facility ensure that contractors are aware of the significant environmental aspects and related actual or potential impacts associated with their work?
7.4 Communication
7.4.1
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How has the Facility determined the internal and external communications relevant to the environmental management system, including on what it will communicate?
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When establishing its communication processes has the organisation taken account its compliance obligations?
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When establishing its communication processes has the organisation taken account the information communicated is consistent and reliable?
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When establishing its communication processes has the organisation taken account what evidence of communication is maintained as documented information?
7.4.2
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Does the organization have a methodology to communicate internally?
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What information is communicated internally?
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Does the communication enable workers to contribute to continual improvement?
7.4.3
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What information is communicated externally regarding the organisations compliance obligations?
7.5 Documented Information
7.5.1
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Has it been identified the required documented information by ISO 14001 and for the environmental management system?
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Does your organization’s environmental management system include documented information determined by the organization as being necessary for the effectiveness of the quality management system?
7.5.2
When creating and updating documented information, how does your organization ensure appropriate:
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Identification and description (e.g. a title, date, author, or reference number)?
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Review and approval for suitability and adequacy?
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Format (e.g. language, software version, graphics) and media (e.g. paper, electronic)?
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Review and approval for suitability and adequacy?
How do you ensure documented information required by your environmental management system and by ISO14001:
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Is controlled to ensure it is available and suitable for use, where and when it is needed?
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Is controlled to ensure it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity)?
For the control of documented information, how does your organization address the following activities, as applicable:
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distribution, access, retrieval and use?
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storage and preservation, including preservation of legibility?
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control of changes (e.g. version control)?
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retention and disposition?
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How do you ensure documented information of external origin is identified and controlled?
Any other comments - additional NCR or OFI (if more than 1 raised for a section)
8 Operation
8.1 Operational Planning and Control
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Have the processes necessary to meet the requirements of the environmental management system been identified?
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Have the criteria for the operation of the processes been established?
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Are outsourced processes controlled?
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Have the environmental requirements been defined for the purchase of products or contracting of services?
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Have relevant requirements been communicated to external providers?
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Has the organisation addressed communicated its relevant environmental requirements to external providers, including contractors?
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Has the organisation addressed provision of information regarding potential significant environmental impacts associated with transport, delivery use, and end of life treatment and final disposal of its products or services?
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Has the organisation addressed, from a life cycle perspective, appropriate controls regarding environmental requirements within its design process or service?
8.2 Emergency Preparedness and Response
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Have the necessary processes been established to prepare for and respond to potential emergency situations?
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Are there planned measures for the prevention and mitigation of adverse environmental impacts caused by emergency situations?
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Are measures planned for responses to emergency situations?
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Is there any kind of environmental drill?
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Is communication with stakeholders considered when appropriate?
Any other comments - additional NCR or OFI (if more than 1 raised for a section)
9 Performance evaluation
9.1 Monitoring, Measurement, Analysis and Evaluation
9.1.1 General
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How does the Facility determine what needs to be monitored and measured?
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How does your organization determine when the monitoring and measurement shall be performed?
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Is the measuring equipment adequately calibrated or verified?
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Is the information relevant to the performance of the environmental management system (environmental indicators) communicated internally or externally?
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How is this information retained?
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How does your organization evaluate the performance and the effectiveness of the environmental management system?
9.1.2 Evaluation of Compliance
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How does your organization evaluate fulfillment of its compliance obligations?
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Have you determine the frequency that compliance will be evaluated?
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Have you evaluated compliance and take action if needed?
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Have you maintained knowledge and understanding of its compliance status?
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Retain documented information as evidence of the compliance evaluation results?
9.2 Internal Audit
9.2.1 General
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Are internal audits carried out in a planned manner?
9.2.2 Internal Audit Program
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Does your organisation define the audit criteria and scope for each audit?
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Is the competence of internal auditors guaranteed?
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Is the audit scope and methods appropriate to assess the effectiveness of the environmental management system?
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Does your organisation ensure that the results of the audits are reported to relevant management?
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Are the necessary actions taken to solve the breaches detected in the internal audits?
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Are documents retained as evidence of the implementation of the audit program and the audit results?
9.3 Management Review
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ISO 14001 requires “Top management shall review the organization’s environmental management system, at planned intervals, to ensure its continuing suitability, adequacy, effectiveness.”
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What format does this review(s) take?
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Is your organizations management review planned and carried out taking into consideration the status of actions from previous management reviews?
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Is your organizations management review planned and carried out taking into consideration changes in:<br>1) External and internal issues that are relevant to the environmental management system?<br>2) The need and expectations of interested parties including compliance obligations<br>3) Its significant environmental aspects<br>4) Risks and opportunities. <br>
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Is your organizations management review planned and carried out taking into consideration the extent to which environmental objectives have been achieved?
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Is your organizations management review planned and carried out taking into consideration information on the organisations environmental performance, including trends in:<br>1. Nonconformities and corrective actions<br>2. Monitoring and measurement results<br>3. Fulfilment of its compliance obligations<br>4. Audit results<br>
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Is your organizations management review planned and carried out taking into consideration the adequacy of resources?
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Do the outputs of the management review include decisions and actions related to conclusions on continuing suitability, adequacy, and effectiveness of the environmental management system?
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Do the outputs of the management review include decisions and actions related to decisions related to continual improvement opportunities?
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Do the outputs of the management review include decisions and actions related to decisions related to any need for changes to the environmental management system, including resource needs?
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Do the outputs of the management review include decisions and actions related to actions, if needed, when environmental objectives have not been met?
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Do the outputs of the management review include decisions and actions related to opportunities to improve integration of the environmental management system with other business processes, if needed?
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Do the outputs of the management review include decisions and actions related to in what form does your organization retain documented information as evidence of the results of management reviews?
Any other comments - additional NCR or OFI (if more than 1 raised for a section)
10 Improvement
10.1 General
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Your organization is required to determine and select opportunities for improvement and implement any necessary actions to achieve the intended outcomes of its environmental management system
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How does your system include 9.1 Monitoring, measuring, analysis and evaluation?
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How does your system include 9.2 Internal audit results?
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How does your system include 9.3 Management review?
10.2 Nonconformity and Corrective Action
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How does your organization react to the nonconformity and take action to control and correct it?
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How does your organization react to the nonconformity and deal with the consequences, including mitigating adverse environmental impacts?
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How does your organization evaluate the need for action to eliminate the cause(s) of the nonconformity, in order that it does not recur or occur elsewhere, by reviewing and analysing the nonconformity?
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When a nonconformity occurs, including any arising from complaints, how does your organization evaluate the need for action to eliminate the cause(s) of the nonconformity, in order that it does not recur or occur elsewhere, by determining if similar nonconformity exist, or could potentially occur?
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How does your organization implement any action needed?
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How does your organization review the effectiveness of any corrective action taken?
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How does your organization make changes to the environmental management system if necessary?
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Does your organization take corrective actions appropriate to the effects of the non-conformities encountered including environmental impact(s)?
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In what form does your organization retain documented information evidence of the nature of the non-conformities and any subsequent actions taken?
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In what form does your organization retain documented information evidence of the results of any corrective action?
10.3 Continual Improvement
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How does your organization continually improve the suitability, adequacy and effectiveness of the environmental management system to enhance environmental performance?
