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ISO 14001:2004 INTERNAL AUDIT CHECKLIST

Issued by: EH&S Date: 00-00-00 Revision: A EF-55-03-3

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Requirements What to look for and how Auditor notes and evidence
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Sections 4.4, 4.5, and 4.6 are not included in the Demo file
4.1 General requirements
4.1 Is the EMS established, This catch-all question can only be answered
documented, implemented, at the end of the whole audit. Typically, if
maintained, and continually there is a noncompliance here, there must
improved in accordance with ISO be other major noncompliances somewhere
else in the system. If so, reference them in
14001 requirements? the ‘Auditor Notes’ field.

4.1 Is the scope of the EMS defined? Does the EMS apply to the entire
organization and all its activities? Are any
operating units, locations, or activities
excluded? Are these exclusions, if any,
documented? Are the exclusions reasonable
and justified?
4.2 Environmental Policy
4.2 Has the top management defined Is the policy addressing the most important
the environmental policy? and severe environmental impacts (e.g. is
 Is it appropriate to the nature, nontrivial)?
scale and environmental Are there explicit commitments to continual
impacts of the organization’s improvement? How are commitments to the
activities, products and prevention of pollution articulated? Are any
services? specific types of pollution named?
 Does it include a commitment Are there explicit commitments to comply
to continual improvement and with legal requirement? Are there any other
prevention of pollution? requirements to which the organization
subscribes (for example, industry
 Does it include a commitment guidelines)?
to comply with legal
requirements and with other Are the policy goals sufficiently specific, so
that particular objectives can be set for
requirements to which the
achieving these goals? Is there a clear
organization subscribes? relationship between the objectives and
 Does it provide the framework targets set by the organization and its
for setting environmental environmental policy?
objectives and targets?
How is the policy documented? Is it
 Is it documented, implemented authorized and/or approved by top
and maintained? management? Is the policy regularly
 Is it communicated to all reviewed (management reviews)?
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Requirements What to look for and how Auditor notes and evidence
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persons working for or on How is the policy communicated to


behalf of the organization? personnel? Is it also communicated to
 Is it available to the public? relevant agents, subcontractors, and other
external personnel? Is the policy explained?
How?
How the policy is made available to the
public (internet, displayed in lobby)?

4.3 Planning
4.3.1 Environmental aspects
4.3.1 Is there a documented procedure Who is responsible for identifying
to identify environmental aspects environmental aspects (team, individual)?
of the organization’s activities, Are there instructions/training explaining
products and services that the how to do it? How is it ensured that
environmental aspects are also identified for
organization controls and those planned or new activities, products and
that it can influence? services?
Does the procedure consider How many aspects have been identified? Is
planned or new developments, or it a broad pool of aspects that covers all
new or modified activities, activities, products and services? Are there
products and services? included ‘external’ aspects that the
organization can influence
Are environmental aspects (purchased/subcontracted products and
identified? services)?
How are aspects documented?

4.3.1 Is there a documented procedure Is there a documented method for


to determine aspects that have determining significance of environmental
or can have significant impacts aspects (risk analysis)? Is it objective? Are all
on the environment (significant aspects considered? Is there a provision for
reevaluating significance of aspects in light
environmental aspects)? of new developments?
How many significant aspects have been
identified? How are they documented?

4.3.1 Are significant environmental Is there a clear relationship between


aspects taken into account in significant aspects and the environmental
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Requirements What to look for and how Auditor notes and evidence
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establishing, implementing and policy? Are significant aspects taken into


maintaining the EMS? account when setting environmental
objectives and targets? Is there a system for
monitoring environmental performance with
regard to significant aspects?
4.3.2 Legal and other requirements
4.3.2 Is there a documented procedure Is there a list, matrix, etc. of applicable legal
to identify and ensure access to requirements? How is it determined which
the applicable legal requirements requirements apply (checklist, expert input,
and other requirements to which etc.)? Who is responsible for determining
which requirements apply? How the list is
the organization subscribes? kept up to date (periodical review)?
Does the procedure determine Are there any other requirements to which
how these requirements apply to the organization subscribes (agreements,
the environmental aspects? contracts, codes of practice, etc.)?
What is the link between legal and other
requirements and environmental aspects?
Are there examples of any specific
significant environmental aspects that
correspond to specific legal and other
requirements?

4.3.2 Are the legal and other How are legal and other requirements
requirements taken into account accounted for in the EMS (could be the
in establishing, implementing environmental policy, significant aspects,
and maintaining the EMS? objectives, programs, performance
monitoring, management reviews, etc.)?

4.3.3 Objectives, targets and programs


4.3.3 Are there documented, How are objectives and targets
implemented and maintained documented? How many objectives and
environmental objectives and targets are currently established and are
targets? actively implemented (pursued)? Do all
relevant functions and levels participate in
Are they established at all achieving objectives? Are there any
relevant functions and levels organizational units, functions or levels
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Requirements What to look for and how Auditor notes and evidence
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within the organization? excluded? Why?


Are objectives and targets Which specific objectives relate to
consistent with the prevention of pollution and to compliance
environmental policy, including with legal and other requirements? Are
objectives and targets aiming to improve
the commitments to: environmental control, management and/or
 Prevention of pollution; performance (objective to maintain
 Compliance with legal and performance at current level is also OK)?
other requirements, and; Are environmental targets measurable?
 Continual Improvement? When not obvious, are there instructions
Are objectives and targets explaining how to measure status and
measurable (where practical)? progress? Are there any objectives that
cannot be measured? How are the targets
defined? How is it determined whether the
target has been achieved?

4.3.3 In the process of establishing and Who establishes environmental objectives?


reviewing objectives and targets How, and how often are objectives
is there a due consideration of: reviewed? Is the top management actively
involved in setting and reviewing
 Legal and other requirements; environmental objectives? Do
 Significant environmental (management) personnel responsible for
aspects; setting and reviewing environmental
 Technological options; objectives have access to information
related to legal and other requirements;
 Financial, operational and
significant environmental aspects;
business requirements; and technology and technical issues; financial,
 Views of interested parties? operational and business requirements; and
views of interested parties? How is this
information provided? How is it ensured that
the information is current?

4.3.3 Are there established, For each environmental objective, is there a


implemented and maintained program for achieving the objective? Does it
programs for achieving designate a person/function for
objectives and targets? implementing and achieving the objective?
Is it clear what means and methods shall be
Do these programs define the used to achieve the objective? Is there a
 responsibility, timeframe for achieving it? Is progress
 means, and ; toward achieving the objective measured at
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Requirements What to look for and how Auditor notes and evidence
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 time-frame intermediate stages? How is it determined


for achieving objectives and that the objective has been achieved? Are
targets? those programs documented? How?
Are the programs amended (as appropriate)
to include new projects, activities and
developments?
Sections 4.4, 4.5, and 4.6 are not included in the Demo file

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