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

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

4.2 Environmental Policy

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

  C

  NI

  NC

  NA

• Does the EMS Policy satisfy ISO14001 requirements?

  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?

  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?<br>

  C

  NI

  NC

  NA

• Legal Requirements:

• Other Requirements:

4.3.3 Objectives, targets and programme(s)

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

  C

  NI

  NC

  NA

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

  C

  NI

  NC

  NA

• compliance with applicable legal and other requirements?

  C

  NI

  NC

  NA

• its significant environmental Aspects?

  C

  NI

  NC

  NA

• Does the organisation consider its: technological options?

  C

  NI

  NC

  NA

• the views of interested parties?

  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 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

4.4.2 Competence, Training and Awareness

• 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

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

  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

• 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

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

• 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

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

  C

  NI

  NC

  NA

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

  C

  NI

  NC

  NA

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

  C

  NI

  NC

  NA

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

  C

  NI

  NC

  NA

• ensure that documents remain legible and readily identifiable?

  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

• Are procedures established implemented and maintained to ensure that significant environmental aspects, materials, operations, suppliers, including contractors are controlled?

  C

  NI

  NC

  NA

• Are there any concerns or issues which require improvement?

  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

• 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 tested or reviewed 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

• 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 and monitoring retained?

  C

  NI

  NC

  NA

4.5.2 Evaluation of Compliance

• 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

• 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

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

  C

  NI

  NC

  NA

• Has the organization established and maintained records required to demonstrate conformity to the requirements of its EMS and of this International Standard, and the results achieved?<br>

  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

• 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

• 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

• Are management reviews conducted at planned intervals?

  C

  NI

  NC

  NA

• Are records of the management reviews retained?

  C

  NI

  NC

  NA

• Do inputs to management reviews satisfy ISO14001 requirements?<br>

  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