ISO14001:2004 System Audit Checklist

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Audit Preparation

• Review corrective actions for previous IA findings

  C

  NI

  NC

  NA

• Review corrective actions for previous EA findings

  C

  NI

  NC

  NA

• Review corrective actions for any customer complaints

  C

  NI

  NC

  NA

• Review corrective actions for any customer audit findings

  C

  NI

  NC

  NA

4.1 General Requirements

• Has the environmental management system (EMS), in accordance with the requirements of this International Standard, been: established?

  C

  NI

  NC

  NA

• documented?

  C

  NI

  NC

  NA

• implemented?

  C

  NI

  NC

  NA

• maintained?

  C

  NI

  NC

  NA

• continually improved?

  C

  NI

  NC

  NA

• Has the organization determined how it will fulfill these requirements?

  C

  NI

  NC

  NA

• Has the organization defined and documented the scope of its EMS?

  C

  NI

  NC

  NA

4.2 Environmental Policy

• Has top management defined the organization's environmental policy?

  C

  NI

  NC

  NA

• Has top management ensured that, within the defined scope of its EMS, the environmental policy: is appropriate to the nature, scale and environmental impacts of its activities, products and services?

  C

  NI

  NC

  NA

• includes a commitment to continual improvement and prevention of pollution?

  C

  NI

  NC

  NA

• includes a commitment to comply with applicable legal requirements and with other requirements to which the organization subscribes which relate to its environmental aspects?

  C

  NI

  NC

  NA

• provides the framework for setting and reviewing environmental objectives and targets?

  C

  NI

  NC

  NA

• is documented, implemented and maintained?

  C

  NI

  NC

  NA

• is communicated to all persons working for or on behalf of the organization?

  C

  NI

  NC

  NA

• is available to the public?

  C

  NI

  NC

  NA

4.3.1 Environmental Aspects

• Has the organization established, implemented and maintained procedures: to identify the environmental aspects of its activities, products and services within the defined scope of the EMS that it can control and those that it can influence taking into account planned or new developments, or new or modified activities, products and services?

  C

  NI

  NC

  NA

• to determine those aspects that have or can have significant impact(s) on the environment (i.e. significant environmental aspects).

  C

  NI

  NC

  NA

• Has the organization documented this information and kept it up to date?

  C

  NI

  NC

  NA

• Has the organization ensured that the significant environmental aspects are taken into account in establishing, implementing and maintaining its EMS?

  C

  NI

  NC

  NA

4.3.2 Legal & Other Requirements

• Has the organization established and maintained a procedure to identify and have access to legal and other requirements to which the organization subscribes, that are applicable to the environmental aspects of its activities, products or services?<br>

  C

  NI

  NC

  NA

• Legal Requirements:

• Other Requirements:

• Has the organization ensured that these applicable legal requirements and other requirements to which the<br>organization subscribes are taken into account in establishing, implementing and maintaining its EMS?

  C

  NI

  NC

  NA

4.3.3 Objectives, targets and programme(s)

• Has the organization established, implemented and maintained documented environmental objectives and targets, at relevant functions and levels within the organization?

  C

  NI

  NC

  NA

• Are the objectives and targets measurable and consistent with the environmental policy?

  C

  NI

  NC

  NA

• including the commitments to: prevention of pollution?

  C

  NI

  NC

  NA

• compliance with applicable legal requirements?

  C

  NI

  NC

  NA

• other requirements to which the organization subscribes?

  C

  NI

  NC

  NA

• continual improvement?

  C

  NI

  NC

  NA

• When establishing and reviewing its objectives and targets, Does the organization take into account: the legal requirements?

  C

  NI

  NC

  NA

• other requirements to which the organization subscribes?

  C

  NI

  NC

  NA

• its significant environmental Aspects?

  C

  NI

  NC

  NA

• Does the organisation consider its: technological options?

  C

  NI

  NC

  NA

• its financial, operational and business requirements?

  C

  NI

  NC

  NA

• the views of interested parties?

  C

  NI

  NC

  NA

• Does the organization establish, implement and maintain a programme for achieving its objectives and targets? <br>

  C

  NI

  NC

  NA

• Does the programme include: designation of responsibility for achieving objectives and targets at relevant functions and levels of the organization?

  C

  NI

  NC

  NA

• the means and time-frame by which they are to be achieved?

  C

  NI

  NC

  NA

4.4.1 Roles, Responsibilities and Authority

• Has management ensured the availability of resources essential to establish, implement, maintain and improve the EMS including: Human resources and specialized skills?

  C

  NI

  NC

  NA

• organizational infrastructure?

  C

  NI

  NC

  NA

• technology and financial resources?

  C

  NI

  NC

  NA

• Has management defined roles, responsibilities and authorities?

  C

  NI

  NC

  NA

• Are they documented and communicated in order to facilitate effective environmental management?

  C

  NI

  NC

  NA

• Has the organization's top management appointed a specific management representative(s) ?

  C

  NI

  NC

  NA

• Does the management representative have defined roles, responsibilities and authority for: ensuring that an EMS is established, implemented and maintained in accordance with the requirements of this International Standard?<br>

  C

  NI

  NC

  NA

• reporting to top management on the performance of the EMS for review, including recommendations for improvement?

  C

  NI

  NC

  NA

4.4.2 Competence, Training and Awareness

• Has the organization ensured that any person(s) performing tasks for it or on its behalf that have the potential to cause a significant environmental impact(s) identified by the organization is (are) competent on the basis of appropriate:<br>education?<br>training?<br>experience?

  C

  NI

  NC

  NA

• Has the organisation retained these associated records?

  C

  NI

  NC

  NA

• Has the organization identified training needs associated with its environmental aspects and its EMS?<br>

  C

  NI

  NC

  NA

• Has the organization provided training or take other action to meet these needs?

  C

  NI

  NC

  NA

• Has the organisation retained these associated records?

  C

  NI

  NC

  NA

• Has the organization established, implemented and maintained a procedure to make persons working for it or on its behalf aware of: the importance of conformity with the environmental policy and procedures and with the requirements of the EMS?

  C

  NI

  NC

  NA

• the significant environmental aspects and related actual or potential impacts associated with their work, and the environmental benefits of improved personal performance?

  C

  NI

  NC

  NA

• their roles and responsibilities in achieving conformity with the requirements of the EMS?

  C

  NI

  NC

  NA

• the potential consequences of departure from specified procedures?

  C

  NI

  NC

  NA

4.4.3 Communication

• Has the organization established, implemented and maintained a procedure for: internal communication among the various levels and functions of the organization?

  C

  NI

  NC

  NA

• receiving, documenting and responding to relevant communication from external interested parties?

  C

  NI

  NC

  NA

• Has the organization decided whether to communicate externally about its significant environmental aspects?<br>

  C

  NI

  NC

  NA

• Has the organisation retained a record of this decisions?

  C

  NI

  NC

  NA

• If the decision is to communicate, has the organization established and implement a method(s) for this external communication?

  C

  NI

  NC

  NA

4.4.4 Documentation

• Does the EMS documentation include: the environmental policy, objectives and targets?

  C

  NI

  NC

  NA

• description of the scope of the EMS?

  C

  NI

  NC

  NA

• description of the main elements of the EMS and their interaction, and reference to related documents?

  C

  NI

  NC

  NA

• documents, including records, required by this International Standard?

  C

  NI

  NC

  NA

• documents, including records, determined by the organization to be necessary to ensure the effective planning, operation and control of processes that relate to its significant environmental aspects?

  C

  NI

  NC

  NA

4.4.5 Control of Documents

• Are documents required by the EMS and by this International Standard controlled?

  C

  NI

  NC

  NA

• Are records considered a special type of document?

  C

  NI

  NC

  NA

• Are records controlled in accordance with the requirements given in 4.5.4?

  C

  NI

  NC

  NA

• Has the organization established, implemented and maintained a procedure to: approve documents for adequacy prior to issue?

  C

  NI

  NC

  NA

• review and update as necessary and re-approve documents?

  C

  NI

  NC

  NA

• ensure that changes and the current revision status of documents are identified?

  C

  NI

  NC

  NA

• ensure that relevant versions of applicable documents are available at points of use?

  C

  NI

  NC

  NA

• ensure that documents remain legible and readily identifiable?

  C

  NI

  NC

  NA

• ensure that documents of external origin determined by the organization to be necessary for the planning and operation of the EMS are identified and their distribution controlled?

  C

  NI

  NC

  NA

• g) prevent the unintended use of obsolete documents and apply suitable identification to them if they are retained for any purpose?

  C

  NI

  NC

  NA

4.4.6 Operational control

• Has the organization identified and planned those operations that are associated with the identified significant environmental aspects consistent with its environmental policy, objectives and targets, in order to ensure that they are carried out under specified conditions, by:<br><br>establishing, implementing and maintaining a documented procedure(s) to control situations where their absence could lead to deviation from the environmental policy, objectives and targets?<br>

  C

  NI

  NC

  NA

• stipulating the operating criteria in the procedure(s)?

  C

  NI

  NC

  NA

• establishing, implementing and maintaining procedures related to the identified significant environmental aspects of goods and services used by the organization and communicating applicable procedures and requirements to suppliers, including contractors?

  C

  NI

  NC

  NA

4.4.7 Emergency preparedness and response

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

  C

  NI

  NC

  NA

• Including how it will respond to them?

  C

  NI

  NC

  NA

• Has the organization responded to actual emergency situations and accidents and prevented or mitigated<br>associated adverse environmental impacts?

  C

  NI

  NC

  NA

• Has the organization periodically reviewed and, where necessary, revised its emergency preparedness and response procedures?

  C

  NI

  NC

  NA

• In particular, after the occurrence of accidents or emergency situations?

  C

  NI

  NC

  NA

• Has the organization periodically tested such procedures where practicable?

  C

  NI

  NC

  NA

4.5.1 Monitoring and measurement

• Has the organization established, implemented and maintained a procedure(s) to monitor and measure, on a regular basis, the key characteristics of its operations that can have a significant environmental impact?

  C

  NI

  NC

  NA

• Do the procedure(s) include the: documenting of information to monitor performance?

  C

  NI

  NC

  NA

• applicable operational controls?

  C

  NI

  NC

  NA

• conformity with the organization's environmental objectives and targets?

  C

  NI

  NC

  NA

• Has the organization ensured that calibrated or verified monitoring and measurement equipment is used and<br>maintained?<br>

  C

  NI

  NC

  NA

• Are associated records of calibrations retained?

  C

  NI

  NC

  NA

4.5.2 Evaluation of Compliance

• Has the organization established, implement and maintained a procedure(s), consistent with its commitment to compliance, for periodically evaluating compliance with applicable legal requirements?

  C

  NI

  NC

  NA

• Does the organization keep records of the results of the periodic evaluations?

  C

  NI

  NC

  NA

• Does the organization evaluate compliance with other requirements to which it subscribes?<br>

  C

  NI

  NC

  NA

• Does the organization combine this evaluation with the evaluation of legal compliance referred to in or to establish a separate procedure(s)?

  C

  NI

  NC

  NA

• Does the organization keep records of the results of the periodic evaluations?

  C

  NI

  NC

  NA

4.5.3 Nonconformity, corrective action and preventive action

• Has the organization established, implemented and maintained a procedure(s) for dealing with actual and potential nonconformity(ies) and for taking corrective action and preventive action.

  C

  NI

  NC

  NA

• Does the procedure(s) define requirements for: identifying and correcting nonconformity(ies) and taking action(s) to mitigate their environmental impacts?

  C

  NI

  NC

  NA

• investigating nonconformity(ies), determining their cause(s) and taking actions in order to avoid their recurrence?

  C

  NI

  NC

  NA

• evaluating the need for action(s) to prevent nonconformity(ies) and implementing appropriate actions designed to avoid their occurrence?

  C

  NI

  NC

  NA

• recording the results of corrective action(s) and preventive action(s) taken?

  C

  NI

  NC

  NA

• reviewing the effectiveness of corrective action(s) and preventive action(s) taken.

  C

  NI

  NC

  NA

• Are actions taken appropriate to the magnitude of the problems and the environmental impacts encountered?

  C

  NI

  NC

  NA

• Does the organization ensure that any necessary changes are made to EMS<br>Documentation?<br>

  C

  NI

  NC

  NA

4.5.4 Control of Records

• Does the organization establish and maintain records as necessary to demonstrate conformity to the requirements of its EMS and of this International Standard, and the results achieved?<br>

  C

  NI

  NC

  NA

• Has the organization established, implemented and maintained a procedure(s) for the: identification of records?

  C

  NI

  NC

  NA

• storage of records?

  C

  NI

  NC

  NA

• protection of records?

  C

  NI

  NC

  NA

• retrieval of records?

  C

  NI

  NC

  NA

• retention of records?

  C

  NI

  NC

  NA

• disposal of records?

  C

  NI

  NC

  NA

• Are records legible?<br>

  C

  NI

  NC

  NA

• Are records identifiable?

  C

  NI

  NC

  NA

• Are records traceable?

  C

  NI

  NC

  NA

4.5.5 Internal Audit

• Does the organization ensure that internal audits of the EMS are conducted at planned intervals <br>

  C

  NI

  NC

  NA

• to determine whether the EMS: conforms to planned arrangements for environmental management including the requirements of this International Standard?

  C

  NI

  NC

  NA

• has been properly implemented and is maintained?

  C

  NI

  NC

  NA

• provides information on the results of audits to management?

  C

  NI

  NC

  NA

• Are audit programme(s): planned?<br>

  C

  NI

  NC

  NA

• established?

  C

  NI

  NC

  NA

• implemented?

  C

  NI

  NC

  NA

• maintained?

  C

  NI

  NC

  NA

• taking into consideration the environmental importance of the operation(s) concerned and the results of previous audits?

  C

  NI

  NC

  NA

• Have audit procedure(s) been established, implemented and maintained that address: the responsibilities and requirements for planning and conducting audits, reporting results and retaining associated records?

  C

  NI

  NC

  NA

• the determination of audit criteria, scope, frequency and methods.

  C

  NI

  NC

  NA

• Does the selection of auditors and conduct of audits ensure objectivity and the impartiality of the audit process?

  C

  NI

  NC

  NA

4.6 Management review

• Does management review the organization's EMS?<br>

  C

  NI

  NC

  NA

• Are management reviews conducted at planned intervals?

  C

  NI

  NC

  NA

• Do they ensure continuing suitability, adequacy and effectiveness of the EMS?

  C

  NI

  NC

  NA

• Do reviews include: assessing opportunities for improvement and the need for changes to the EMS?<br>

  C

  NI

  NC

  NA

• including the environmental policy and environmental objectives and targets?

  C

  NI

  NC

  NA

• Are records of the management reviews retained?

  C

  NI

  NC

  NA

• Do inputs to management reviews include: results of internal audits and evaluations of compliance with legal requirements and with other requirements to which the organization subscribes?<br>

  C

  NI

  NC

  NA

• communication(s) from external interested parties, including complaints?

  C

  NI

  NC

  NA

• the environmental performance of the organization?

  C

  NI

  NC

  NA

• the extent to which objectives and targets have been met?

  C

  NI

  NC

  NA

• status of corrective and preventive actions?

  C

  NI

  NC

  NA

• follow-up actions from previous management reviews?

  C

  NI

  NC

  NA

• changing circumstances, including developments in legal and other requirements related to its environmental aspects?

  C

  NI

  NC

  NA

• recommendations for improvement?

  C

  NI

  NC

  NA

• Do the outputs from management reviews include any decisions and actions related to possible changes to environmental policy, objectives, targets and other elements of the EMS, consistent with the commitment to continual improvement?

  C

  NI

  NC

  NA