ISO 14001 Internal Audit

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Part 1 Section 4.0 Context of the Organization

4.1 Understanding the organization and its context * Have external and internal issues been identified that are relevant and hat affect the ability to achieve intended outcomes
Audit Evidence
4.2 Understanding the needs and expectations of interested parties * Have interested parties that are relevant been identified? * Have their needs and expectations been determined? * Are any of these needs and expectations compliance obligations?
Audit Evidence
4.3 Determining the scope of the environmental management system * Has the organization determined the scope and boundaries of the management system, considering: - The external and internal issues; - Compliance obligations; - Organizational unit(s), functions and physical boundaries; - Its activities, products and services; - Its authority & ability to exercise control & influence. * Is the scope maintained as documented information? * Is the scope available to interested parties?
Audit Evidence
4.4 Environmental Management System * Have processes needed for the environmental management system been identified and their interactions defined? * Is there evidence of continual improvement?
Evidence

Part 2 Section 5.0 Leadership

5.1 Leadership and Commitment * Has top management demonstrated leadership and commitment by: - Taking accountability for the effectiveness of the EMS? - Establishing the policy and objectives that are compatible with the strategic direction & context of the organization? - Ensuring integration of the EMS requirements into business processes? - Ensuring that resources needed for the EMS are available? - Communicating the importance of effective environmental management & of conforming to the EMS requirements? - Ensuring that the EMS achieves its intended outcomes? - Directing & supporting persons to contribute to the effectiveness of the EMS? - Promoting continual improvement? - Supporting other relevant mgt. system roles to demonstrate their leadership, as it applies to their areas of responsibility?
Evidence
5.2 Environmental Policy * Has top management established an environmental policy that: - Is appropriate to the purpose and context of the organization? - Provides a framework for setting environmental objectives? - Includes a commitment to protection of the environment & other specific commitments relevant to context? - Includes a commitment to fulfill its compliance obligations? - Includes a commitment to continual improvement? - Is maintained as documented information? - Is communicated within the organization? - Is available to interested parties?
Evidence
5.3 Organizational Roles, Responsibilities, and Authorities * Has top management assured that responsibilities and authorities are assigned for relevant roles and communicated this within the organization? * Has top management assigned the responsibility for: - Ensuring that the EMS conforms to requirements of the ISO14001:2015 Standard? - Reporting on the performance of the EMS, including environmental performance to top management?
Evidence

Part 3 Section 6.0 Planning

6.1 Actions to Address Risks and Opportunities 6.1.1 General * Has the organization determined potential emergency situations that could occur, within the scope of EMS? * Is documented information maintained of its risks and opportunities that need to be addressed?
Evidence
6.1.2 Environmental Aspects * Have environmental aspects of activities, products and services been determined? * Has a life cycle perspective been considered? * For environmental aspects that have been identified has change, abnormal conditions and emergency situations been taken into account? * Have significant environmental aspects been identified using established criteria? * Have significant environmental aspects been communicated? * Is documented information retained for the environmental aspects and impacts, including those that are significant?
Evidence
6.1.3 Compliance Obligations * Have compliance obligations related to environmental aspects been determined as well as access to the requirements? * Is documented information retained of the compliance obligations?
Evidence
6.1.4 Planning Action * Has the organization planned actions to address: - The identified significant environmental aspects?; - Its compliance obligations?; - Its risks and opportunities identified in 6.1.1?
Evidence
6.2 Environmental Objectives and Planning to Achieve Them 6.2.1 Environmental Objectives * Have environmental objectives been established taking into account the significant environmental aspects, compliance obligations and considered its risks and opportunities? * Are the environmental objectives: - Measurable? - Monitored? - Communicated? - Updated, as appropriate? - Is documented information maintained on the environmental objectives?
Evidence
6.2.2 Planning Actions to Achieve Environmental Objectives * For the identified environmental objectives has the organization determined: - What will be done? - What resources are required? - Who has responsibility? - When it will be completed? - How results will be evaluated, including indicators for monitoring progress toward achievement? - Has the organization considered how actions to achieve its environmental objectives can be integrated into the organizations business processes?
Evidence

Part 4 Section 7.0 Support

7.1 Resources * Has the organization determined and provided the resources needed for the establishment, implementation, maintenance and continual improvement of the EMS?
Evidence
7.2 Competence * Has the organization: - Determined the necessary competence of a person doing work under its control that affects its environmental performance and ability to fulfill its compliance obligations? - Ensured that these persons are competent on the basis of appropriate education, training, or experience? - Determined training needs associated with environmental aspects?
Evidence
7.3 Awareness * Has the organization ensured awareness of persons under its control of: - The environmental policy? - The significant environmental aspects and potential environmental impacts of people’s work? - The benefits of enhanced environmental performance and the implications of not conforming to EMS requirements?
Evidence
7.4 Communication 7.4.1 General * Has the organization established, implemented and maintained the processes needed for internal and external communications, including: - What it will communicate? - When it will communicate? - With whom to communicate? - How to communicate? * Has the organization taken into account its compliance obligations and that information is reliable? * Has the organization responded to relevant communication? * Is documented information retained as evidence of communication?
Evidence
7.4.2 Internal Communication * Has the organization internally communicated information relevant to the EMS? * Has the organization ensured that the communication process enable persons to contribute to continual improvement?
Evidence
7.4.3 External Communication * Has the organization communicated information externally as defined by the organization's communication processes or as required by its compliance obligations?
Evidence
7.5 Documented Information 7.5.1 General * Does the EMS include documented information required by this International Standard? * Documented information determined by the organization to be necessary for the effectiveness of the environmental management system?
Evidence
7.5.2 Creating and updating * Has the organization assured appropriate: - Identification and description of documents? - Format and media (e.g. paper, electronic)? - Review and approval for suitability and adequacy?
Evidence
7.5.3 Control of documented information * Is documented information controlled to ensure: - Availability and suitability for use, where and when it is needed? - Adequate protection? * Have the following requirements been addressed? - Distribution, access, retrieval and use? - Storage and preservation? - Control of changes? - Retention and disposition? * Have documents of external origin been identified and controlled?
Evidence

Part 5 Section 8.0 Operation

8.1 Operational Planning and Control * Have processes been established, implemented, controlled and maintained to meet EMS requirements and to implement actions identified in 6.1 and 6.2 by: - Establishing operating criteria for the processes? - Implementing control of the processes, in accordance with operating criteria? * Have planned changes been controlled and reviewed the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary? * Has the organization ensured that outsourced processes are controlled or influenced? * Has the type and extent of control or influence been defined? * Associated with a life cycle perspective, has the organization: - Established controls to ensure that its environmental requirements are addressed in the design and development process for product or service, considering each stage of its life cycle? - Determined its environmental requirements for the procurement of products and services, as appropriate? - Communicated its relevant environmental requirements to external providers, including contractors? - Considered the need to provide information about potential significant environmental impacts associated with the transportation or delivery, use, end-of-life treatment, and final disposal of its products and services? *Is documented information maintained to have confidence that the processes have been carried out as planned?
Evidence
8.2 Emergency preparedness and response * Has the organization established, implemented and maintained the processes needed to prepare for and respond to potential emergency situations identified in 6.1.1? * Has the organization: - Prepared for response by planning actions to prevent or mitigate adverse environmental impacts from emergency situations? - Responded to actual emergency situations? - Taken action to prevent or mitigate the consequences of an emergency situation, appropriate to the magnitude of the emergency and the potential environmental impacts? - Periodically tested planned response actions? - Periodically reviewed and revised processes and planned response actions, in particular after the occurrence of emergency situations or tests? - Provided relevant information and training related to emergency preparedness and response to relevant interested parties, including persons working under its control? * Has the organization maintained documented information to have confidence that the processes are carried out as planned?
Evidence

Part 6 Section 9.0 Performance Evaluation

9.1 Monitoring, measurement, analysis and evaluation 9.1.1 General * For environmental performance, has the organization determined: - What needs to be monitored and measured? - The methods for monitoring, measurement, analysis, and evaluation to ensure valid results? - The criteria against which the organization will evaluate its environmental performance, and appropriate indicators? - When monitoring and measuring shall be performed? - When the results from monitoring and measurement will be analyzed and evaluated? * Has the organization ensured that calibrated or verified monitoring and measurement equipment is used and maintained? * Has the organization evaluated its environmental performance and the effectiveness of the environmental management system? * Has the organization retained appropriate documented information as evidence of the monitoring, measurement, analysis, and evaluation results?
Evidence
9.1.2 Evaluation of compliance * Has the organization established, implemented and maintained the processes needed to evaluate fulfillment of its compliance obligations, including: - Determining the frequency that compliance will be evaluated? - Evaluating compliance and taking action if needed? - Maintained knowledge and understanding of its compliance status? * Has the organization retained documented information as evidence of the compliance evaluation results?
Evidence
9.2 Internal audit 9.2.1 General * Has the organization conducted internal audits at planned intervals to determine if the environmental management system: - Conforms to its own requirements for environmental management? - Conforms to the requirements of this International Standard? - Is effectively implemented and maintained?
Evidence
9.2.2 Internal Audit Program * Has the organization established, implemented, and maintained an internal audit program, including the frequency, methods, responsibilities, planning requirements, and reporting of its internal audits? * Has the organization taken into consideration the environmental importance of the processes concerned, changes affecting the organization, and results of previous audits? * Has the organization: - Defined the audit criteria and scope for each audit? - Selected auditors and conducted audits to ensure objectivity and impartiality of the audit process? - Ensured that the results of audits are reported to relevant management? * Has the organization retained documented information as evidence of the implementation of the audit program and the audit results?
Evidence
9.3 Management Review * Has top management reviewed the organization’s environmental management system at planned intervals to ensure its continuing suitability, adequacy, and effectiveness? * Have management reviews considered: - The status of actions from previous management reviews? - Changes in: - External and internal issues relevant to the EMS? - The needs and expectations of interested parties, including compliance obligations? - Its significant environmental aspects? - Risks and opportunities? - The extent to which environmental objectives have been achieved? - Information on the organization's environmental performance, including trends in: - Nonconformities and corrective actions? - Monitoring and measurement results? - Fulfillment of its compliance obligations? - Audit results? - Adequacy of resources? - Relevant communications from interested parties, including complaints? - Opportunities for continual improvement? * Have the outputs of the management review process included: - Conclusions on the continuing suitability, adequacy, and effectiveness of the environmental management system? - Decisions related to continual improvement opportunities? - Decisions related to any need for changes to the environmental management system, including resources? - Actions, if needed, when environmental objectives have not been achieved? - Opportunities to improve integration of the environmental management system with other business processes if needed? - Any implications for the strategic direction of the organization? * Has the organization retained documented information as evidence of the results of management reviews?
Evidence

Part 7 Section 10.0 Improvement

10.1 General * Has the organization determined opportunities for improvement and implemented necessary actions to achieve the intended outcome of its environmental management system?
Evidence
10.2 Nonconformity and corrective action * When a nonconformity has occurred has the organization: - Reacted to the nonconformity and, as applicable: - Taken action to control and correct it? - Dealt with the consequences, including mitigating adverse environmental impacts? - Evaluated the need for action to eliminate the causes of the nonconformity, in order that it does not recur or occur elsewhere, by: - Reviewing the nonconformity? - Determining the causes of the nonconformity? - Determining if similar nonconformities exist, or could potentially occur? - Implemented any action needed? - Reviewed the effectiveness of any corrective action taken? - Made changes to the environmental management system, if necessary? * Have corrective actions been appropriate to the significance of the effects of the nonconformities encountered, including the environmental impacts? * Has documented information been retained as evidence of: - The nature of the nonconformities and any subsequent actions taken? - The results of any corrective actions?
Evidence
10.3 Continual Improvement * Has the organization continually improved the suitability, adequacy, and effectiveness of the environmental management system to enhance environmental performance?
Evidence