ISO 14001:2008 Environment Management Systems

• Audit Title

• Document No.

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

1.0 Scope Of Certification

• What Is the scope of the environment management system (EMS) and is the scope appropriate for the organization?

  Yes

  No

  N/A

• Does the organisation have a current Environment Management Plan and is?

  Yes

  No

  N/A

• Enter the date of the last review.

  Date

• Is the scope of the EMS clearly documented, clearly defined and include aspects that are achievable?

  Yes

  No

  N/A

• Are there aspects of the company activities that are excluded from the EMS scope that the company could control? Are reasons for exclusion acceptable?

  Yes

  No

  N/A

2.0 Normative References - Clause numbering only.

3.0 Terms and Definitions - Please reference ISO 14001 Standard for definitions. (3.1 to 3.20)

4.1 General Requirements

• Has the organisation established, documented, implemented, maintained and continually improved an environmental management system in accordance with AS/NZS ISO 14001:2004?

  Yes

  No

  N/A

4.2 Environmental Policy

• Has (top) management defined the organisations environmental policy and is it documented and current (< 12 months)

  Yes

  No

  N/A

• What is the date of the last Environment policy review? (Must be < 12 months)

  Date

• Is the policy consistent with the scope of the EMS?

  Yes

  No

  N/A

• Is the environmental policy appropriate to the nature, scale and environmental impact of the company activities and size?

  Yes

  No

  N/A

• Does the EMS policy commit the organisation to continuous improvement?

  Yes

  No

  N/A

• Does the EMS policy commit the organisation to pollution prevention?

  Yes

  No

  N/A

• Has the organisation committed itself to the relevant legislation and does it show compliance?

  Yes

  No

  N/A

• Has the organisation committed itself to the relevant regulations, standards,codes of practise and other industry guidelines?

  Yes

  No

  N/A

• Does the policy document, implement, maintain and communicate to all persons?

  Yes

  No

  N/A

• Is the policy available to the general public and the community?

  Yes

  No

  N/A

4.3 Planning

4.3.1 Environmental Aspects

• Has the company established and maintained a procedure to identify environmental aspects of the company activities and services that are within the scope of the company EMP that are controllable by the organisation?

  Yes

  No

  N/A

• Does the EMS procedures include any planning for new developments, activities or services?

  Yes

  No

  N/A

• How does the company determine environmental risks and are they assessed and documented?<br>

  Yes

  No

  N/A

• Does the procedure consider significant environmental aspects of company activities and are they assessed and documented?

  Yes

  No

  N/A

• Is the organisation environment procedure maintained?

  Yes

  No

  N/A

• What is the last review date of the Environmental procedure?

  Date

• Are the environmental aspects documented and kept up to date?

  Yes

  No

  N/A

4.3.2 Legal and Other Requirements

• Has a procedure been established and implemented to identify and provide access to legal and other industry requirements for identifiable environmental industry aspects?

  Yes

  No

  N/A

• Is the procedure maintained?

  Yes

  No

  N/A

• Describe how the organisation maintains access to all legal requirements, regulations, codes of practises that apply to the environmental aspects of your industry?

  Yes

  No

  N/A

• Do the procedures determine how the legal and other requirements apply to the environmental aspects of the company activities?

  Yes

  No

  N/A

• Are legal requirements taken into account when establishing, implementing and maintaining the EMP?

  Yes

  No

  N/A

• Is the responsible person for identifying and determining legal and other requirements competent to undertake the task?

  Yes

  No

  N/A

• Do the requirements above include objectives, monitoring and measuring, training and auditing etc?

  Yes

  No

  N/A

4.3.3 Objectives, Targets & Programmes

• Has the organisation established, implemented and maintained documented environmental objectives and targets?

  Yes

  No

  N/A

• Have these been established at all relevant levels within the organisation?

  Yes

  No

  N/A

• Has the organisation established, implemented and maintained a programme for achieving its objectives and targets?

  Yes

  No

  N/A

• Are objectives and targets measurable and consistent with the environment policy, legal & other requirements, the prevention of pollution and the continual improvement of processes?

  Yes

  No

  N/A

• Are the objectives and targets consistent with all legal and other requirements for significant environmental aspects?

  Yes

  No

  N/A

• Does the organisation consider technological, financial, operational and business aspects including the views of other parties?

  Yes

  No

  N/A

• Who is responsible for the implementation of environmental programmes?

  Yes

  No

  N/A

• Have time-frames for achieving environmental objectives and targets been established?

  Yes

  No

  N/A

• How does the organisation ensure programmes are monitored and amended if required?

  Yes

  No

  N/A

4.4 Implementation and Operation

4.4.1 Resources, Roles, Responsibility and Authority.

• Are the roles, responsibilities and authorities documented and communicated to achieve effective environmental management?

  Yes

  No

  N/A

• Do management provide resources essential to establish, implement, maintain and improve environmental management systems? Consider human resources, specialised skills, organisational infrastructure, technology and financial resources.

  Yes

  No

  N/A

• Has a specific representative been appointed to manage the environmental management system?

  Yes

  No

  N/A

• Does the representatives defined roles include the responsibility and authority to ensure the environment manage system requirements are established, implemented and maintained in accordance with ISO 14001:2004?

  Yes

  No

  N/A

• Does the representative roles include reporting on environmental management systems performance providing monitoring, reporting and recomendations for improvement?

  Yes

  No

  N/A

• Has a top level management environmental management systems meeting occurred in the past 12 months?

  Yes

  No

  N/A

4.4.2 Competence, Training and Awareness

• Does the organisation ensure that all persons within the organisation are competent to undertake all tasks that can cause significant environmental impacts? (Including contractors, labour hire and casual employees)

  Yes

  No

  N/A

• Does the organisation retain competency records?

  Yes

  No

  N/A

• How does the organisation identify training needs associated with the significant environmental aspects and the environmental management system?

  Yes

  No

  N/A

• Have training needs been achieved and are records maintained and retained?

  Yes

  No

  N/A

• Have procedures been established, implemented and maintained to ensure that all employees (and others) are aware of the importance of conformity with the environment policy and procedures requirements of the organisation environmental management system?

  Yes

  No

  N/A

• Have procedures been established, implemented and maintained to ensure that all employees (and others) are aware of the importance of the significant environmental aspects and related actual or potential impacts associated with the organisations work activities and the environmental benefits of improving personal performances?

  Yes

  No

  N/A

• Have procedures been established, implemented and maintained to ensure that all employees (and others) are aware of their roles and responsibilities to achieve conformity with the requirements of the environmental manage system?

  Yes

  No

  N/A

• Have procedures been established, implemented and maintained to ensure that all employees (and others) are aware of the potential consequences of departing from the specified operating procedures?

  Yes

  No

  N/A

4.4.3 Communication

• Has the organisation provided for internal communication between the various levels of company personnel and functions of the organisation complying fully with the company's environment management system?

  Yes

  No

  N/A

• Does the organisation also respond to external environmental communications from individuals, the community or other external interested parties?

  Yes

  No

  N/A

• Has the organisation communicated externally about its significant environment aspects and management practises?

  Yes

  No

  N/A

• Has the organisation documented external communications on environmental aspects and has the organisation established and implemented methods for this communication?

  Yes

  No

  N/A

4.4.4 Documentation

• Does the organisation's environmental management system documentation include an environmental policy, objectives and targets?

  Yes

  No

  N/A

• Does the organisation's environmental management system documentation include a descriptive scope of the environmental management system?

  Yes

  No

  N/A

• Does the organisation's environmental management system documentation include a description of the main elements of the environmental management system, their interaction and reference to other documents?

  Yes

  No

  N/A

• Does the organisation's environmental management system documentation include documents and records required by the standard?

  Yes

  No

  N/A

• Does the organisation's environmental management system documentation include documents and records necessary for effective environmental planning, operation and control of processes related to significant environmental aspects of the organisation?

  Yes

  No

  N/A

• How are the above maintained?

  Yes

  No

  N/A

4.4.5 Control of Documents

• Has the organisation established, implemented and maintained a procedure for controlling all documents required by ISP 14001:2008?

  Yes

  No

  N/A

• Does the procedure include the identity of who approves documentation for adequacy before their issued?

  Yes

  No

  N/A

• Does the procedure include how documentation is periodically reviewed, updated and re-approved as required?

  Yes

  No

  N/A

• Does the procedure include how changes are revised and given status identification?

  Yes

  No

  N/A

• Does the procedure include how current versions of updated documents are issued and made available for use?

  Yes

  No

  N/A

• Does the procedure include how the legibility and identification of the documents is ensured?

  Yes

  No

  N/A

• Does the procedure include how external documents are determined by the organisation?

  Yes

  No

  N/A

4.4.6 Operational Control

• Has the organisation identified and planned for operations that are associated with identified significant environmental aspects that are aligned with the organisational policy, objectives and targets?

  Yes

  No

  N/A

• Have these activities been planned to include maintenance ensuring that they are established, implemented and maintained so as not to deviate from the organisations environmental policy, objectives and targets?

  Yes

  No

  N/A

• Are operational activities stipulated within the procedure?

  Yes

  No

  N/A

• Have these activities been planned to include maintenance ensuring that they are established, implemented and maintained ensuring that identified significant environmental aspects of goods and services are communicated to suppliers and contractors?

  Yes

  No

  N/A

4.4.7 Emergency Preparedness and Response

• Has the organisation established, implemented and maintained a procedure to identify the potential emergency situations and potential accidents that can have an impact on the environment?

  Yes

  No

  N/A

• Have significant environmental aspects been considered in the emergency preparedness and response procedures?

  Yes

  No

  N/A

• Does the procedure cover organisational response to emergency and accidental situations?

  Yes

  No

  N/A

• How do organisational procedures prevent and mitigate adverse environmental impacts that may be associated with actual emergency situations and accidents?

  Yes

  No

  N/A

• How does the organisation review and revise emergency preparedness and response procedures especially following an accident or emergency situation?

  Yes

  No

  N/A

• Have emergency and response procedures been tested for effectiveness if practicable?

  Yes

  No

  N/A

4.5 Checking

4.5.1 Monitoring and Measurement

• Has the organisation established, implemented and maintained procedures to monitor and measure regularly the key characteristics of operations that may have a significant impacts on the environment?

  Yes

  No

  N/A

• How does the procedure determine the recording of monitoring information on performances, operational controls and conformity with organisational environmental objectives and targets?

  Yes

  No

  N/A

• Are monitoring and measuring equipment calibrated, verified and maintained and how?

  Yes

  No

  N/A

• Are calibration or verification records retained by the organisation?

  Yes

  No

  N/A

4.5.2 Evaluation of Compliance

• 4.5.2.1 Has the organisation established, implemented and maintained a procedure for periodical evaluation of compliance with all applicable leganl and other industry requirements?

  Yes

  No

  N/A

• Are the record results of periodical evaluations maintained?

  Yes

  No

  N/A

• 4.5.2.2 Has the organisation evaluated compliance including legal compliance under the same or various procedures?

  Yes

  No

  N/A

4.5.3 Non-Conformity, Corrective and Preventative Action

• Has the organisation established, implemented and maintained procedures for dealing with actual or potential non-conformities or corrective and preventative action(s)?

  Yes

  No

  N/A

• Does the procedure identify and correct non-conformities and take action to mitigate resultant environmental impacts?

  Yes

  No

  N/A

• Do the procedures define investigative requirements for non-conformaties, determining root causes and the action to avoid recurrence?

  Yes

  No

  N/A

• Does the procedure define evaluation actions to be considered when trying to prevent non-conformaties, and implement the appropriate actions?

  Yes

  No

  N/A

• Does the procedure define records of the results of corrective and preventative actions taken?

  Yes

  No

  N/A

• Does the procedures determine the review of the effectiveness of corrective and preventative actions?

  Yes

  No

  N/A

• Are the responsibilities and authorities for this process defines in procedures?

  Yes

  No

  N/A

• How are these relevant procedures updated?

  Yes

  No

  N/A

• How are actions decided when eliminating the cause of actual or potential non-conformities in determining the appropriate magnitude of response and the possible environmental impacts encountered?

  Yes

  No

  N/A

• How are changes made in the environment management system documentation?

  Yes

  No

  N/A

4.5.4 Control of Records

• Has the organisation established, implemented and maintained procedures for the identification, storage, protection, retrieval, retention and disposal of environmental records?

  Yes

  No

  N/A

• How are these records updated?

  Yes

  No

  N/A

• Do the records include those that are necessary to demonstrate conformity to the requirements of the standard and include records of competence, training and awareness, communication, legal and other industry compliance evaluation, monitoring and measuring, corrective and preventative action, internal audits and management reviews?

  Yes

  No

  N/A

• Are records legible, identifiable and traceable?

  Yes

  No

  N/A

• Are environmental record stored appropriately for ready retrieval protected from damage, deterioration or loss?

  Yes

  No

  N/A

4.5.5 Internal Audit

• Has the organisation planned, established, implemented and maintained a program of internal audits as per procedures?

  Yes

  No

  N/A

• Do these internal audits determine if the environment management system conforms to planned arrangements for environmental management and have they been implemented and maintained as per the 14001 standard.

  Yes

  No

  N/A

• Does the audit program take into account the environmental importance of operational concerns and the results of previous audits?

  Yes

  No

  N/A

• How does the organisation provide information on the results of audits to management?

  Yes

  No

  N/A

• Does the audit procedure include responsibilities and reguirements for planning and conducting audits, reporting the results and retaining all associated records?

  Yes

  No

  N/A

• Does the audit procedure include the determination of audit criteria, scope, frequency and method of audits?

  Yes

  No

  N/A

• Does the selection of auditor and the conduct of the audit ensure objectivity and impartiality of the audit process?<br><br>How?

  Yes

  No

  N/A

• How is the auditor competency determined?

  Yes

  No

  N/A

4.6 Management Review

• Has top management at planned intervals reviewed the environmental management system to ensure suitability, adequacy and effectiveness?

  Yes

  No

  N/A

• Does the management review include assessing opportunities for improvement and possibly any need to make changes to the Environment Management System, including changes to policy and targets?

  Yes

  No

  N/A

• Do the inputs to management reviews include the results from internal audits and evaluations of compliance legally and otherwise?

  Yes

  No

  N/A

• Do the management review include communication from external parties, including complaints?

  Yes

  No

  N/A

• Does the management review consider environmental performance of the organisation?

  Yes

  No

  N/A

• Does the management review consider the extent to which objectives and targets have been met within the organisation?

  Yes

  No

  N/A

• Does the management review consider the status of environmental corrective and preventative actions?

  Yes

  No

  N/A

• Does the management review follow up on previous actions from previous reviews?

  Yes

  No

  N/A

• Does the environmental management review include changing circumstances including developments in legal and other requirements related to environmental aspects?

  Yes

  No

  N/A

• Does the environmental management review provide the opportunity for make recommendations for organisational environmental improvements?

  Yes

  No

  N/A

• Do environmental management reviews include decisions and actions encouraging change to policy, objectives, targets and other aspects of the environmental management system consistent with continual improvement?

  Yes

  No

  N/A

• Are management reviews recorded, documented and retained for annual review?

  Yes

  No

  N/A

• Enter the date this audit was completed.

  Date

• Enter print date:

  Date

• Signature of Auditor

  Sign

• Signature of Company Representative/General Manager

  Sign

• Date of management and auditor signatures:

  Date