ISO14001 Preliminary Audit

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

General

• Have they identified the scope of the Environmental Management System?

• Describe the scope

• What kind of EMS do they want?

  based on ISO 14001

  self certified

  externally certified

Policy

• Do they have an Environmental Policy?

• Does the policy describe the EMS scope?

  Yes

  No

  N/A

• Does the policy require obedience to legal and other requirements?

  Yes

  No

  N/A

• Does the policy require continuous improvement?

  Yes

  No

  N/A

• Does the policy set objectives and targets?

  Yes

  No

  N/A

• Does the policy require communication to all on site?

  Yes

  No

  N/A

• Is the Policy signed by the most senior person on site?

  Yes

  No

  N/A

• Is the Policy available to the public?

  Yes

  No

  N/A

• Is a copy of the Policy on display?

  Yes

  No

  N/A

Laws

• Can they access environmental laws?

• Do they have a procedure to identify and disseminate law changes?

  Yes

  No

  N/A

• Are laws cross referenced to Aspects?

  Yes

  No

  N/A

• Does a random person know about applicable environmental laws?

  Yes

  No

  N/A

• Have they done a Legal Compliance Audit?

  Yes

  No

  N/A

Aspects

• Have they identified their Environmental Aspects?

• Are the Aspects reasonable and complete?

  Yes

  No

  N/A

• Have they identified their significant aspects?

  Yes

  No

  N/A

• Do they have a procedure to show how they identified and rated their aspects?

  Yes

  No

  N/A

Objectives

• Do they have a register of Objectives & Targets?

• Can they produce a copy of their Objectives and Targets?

  Yes

  No

  N/A

• Are their targets measurable?

  Yes

  No

  N/A

• Have they identified steps to reach their targets?

  Yes

  No

  N/A

• Have they set up persons and time frames to get to their targets?

  Yes

  No

  N/A

• Have they made progress towards reaching their targets?

  Yes

  No

  N/A

Accountabilities

• Have they set Environmental Accountabilities?

• Have they produced an accountabilities list with persons identified?

  Yes

  No

  N/A

• Does a random person know their accountabilities?

  Yes

  No

  N/A

• Have they appointed a person to report to Senior Management?

  Yes

  No

  N/A

Procedures

• Do they have written Proceduers?

• Do they have a manual that identifies how their system works?

  Yes

  No

  N/A

• Does the manual cover all the requirements of ISO 14001?

  Yes

  No

  N/A

• Do they have written procedures for parts of their system as required by the Standard?

  Yes

  No

  N/A

Training

• Have they identified training requirements?

• Do they have a training matrix?

• Does the training matrix cover all the significant aspects?

  Yes

  No

  N/A

• Do they have a plan to provide training?

  Yes

  No

  N/A

• Has everybody been through awareness training?

  Yes

  No

  N/A

Monitoring & Measurement

• Have they identified measurements that show continuous improvement?

• Are charts being prepared?

  Yes

  No

  N/A

• Copies of charts on notice boards?

  Yes

  No

  N/A

Emergencies

• Do they have an Emergency Procedure?

• Have they trained persons in the emergency procedure?

  Yes

  No

  N/A

• Are the planning to practice an Emergency?

  Yes

  No

  N/A

Records

• Do they have a record keeping system?

• Do they have a records procedure?

  Yes

  No

  N/A

• Are files ready for records?

  Yes

  No

  N/A

• Have they identified how long to keep records?

  Yes

  No

  N/A

Management Review

• Do they have a procedure for Management Review?

• Have they completed at least one Management Review?

  Yes

  No

  N/A

• Did the Management Review cover all the topics required by the standard?

  Yes

  No

  N/A

Auditing

• Do they have an internal auditing procedure?

• Is there an Auditor training plan?

  Yes

  No

  N/A

• Do they have an audit list?

  Yes

  No

  N/A

• Have they completed any internal audits?

  Yes

  No

  N/A

Site inspections

• Do they have a procedure for site inspections?

• Do they have a site inspection list?

  Yes

  No

  N/A

• Have they done at least one site inspection?

  Yes

  No

  N/A

Documentation

• Do they have a working document control system?

• Do they have a Document Control Procedure?

  Yes

  No

  N/A

• Does the document control procedure match what is happening?

  Yes

  No

  N/A

Corrective & Preventative Action

• Do they have a system to control non-conformances?

• Is there a register to record non-conformances?

  Yes

  No

  N/A

• Is here at least one non- conformance?

  Yes

  No

  N/A

• Are there any completed (signed off) non-conformances?

  Yes

  No

  N/A

Communications

• Do they have a Communications Procedure?

• Does the procedure cover all the required communications?

  Yes

  No

  N/A

Dangerous Goods

• Do they have Dangerous Goods on site?

• Have they identified applicable laws?

  Yes

  No

  N/A

• Have they notified regulatory agencies?

  Yes

  No

  N/A

• Have the Dangerous Goods been properly stored?

• List deficiencies

• Are the Dangerous Goods properly labelled?

  Yes

  No

  N/A

• Have they conducted a risk assessment for Dangerous Goods?

  Yes

  No

  N/A

• Have persons who handle Dangerous Goods been trained?

  Yes

  No

  N/A

• Are correct signs posted on Dangerous Goods stores?

  Yes

  No

  N/A

• Do they require a Dangerous Goods Manifest?

• Has the Manifest been properly generated?

  Yes

  No

  N/A

• Have they provided copies of the Manifest to regulatory agencies?

  Yes

  No

  N/A

• Do they have MSDS for all Dangerous Goods?

• Are MSDS available to all who handle Dangerous Goods?

  Yes

  No

  N/A

• Are MSDS less than 5 years old?

  Yes

  No

  N/A