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    Iso 4001

    Uploaded by

    Yenny Kusuma Dewi
    This document is an internal audit checklist for ISO 14001:2004 environmental management systems. It contains questions to evaluate whether an organization's EMS meets the requirements of ISO 14001 in key areas such as environmental policy, planning, implementation and operation, checking and corrective action, and management review. The checklist examines whether the EMS scope is defined, the environmental policy addresses commitments and impacts, environmental aspects and legal requirements are identified, objectives and targets are established and programs developed to achieve them. It provides guidance on what auditors should look for in documentation, procedures, and implementation to determine compliance with ISO 14001.

    Copyright:

    © All Rights Reserved
    Download as DOCX, PDF, TXT or read online from Scribd

    Iso 4001

    Uploaded by

    Yenny Kusuma Dewi
    345 views4 pages
    This document is an internal audit checklist for ISO 14001:2004 environmental management systems. It contains questions to evaluate whether an organization's EMS meets the requirements of ISO 14001 in key areas such as environmental policy, planning, implementation and operation, checking and corrective action, and management review. The checklist examines whether the EMS scope is defined, the environmental policy addresses commitments and impacts, environmental aspects and legal requirements are identified, objectives and targets are established and programs developed to achieve them. It provides guidance on what auditors should look for in documentation, procedures, and implementation to determine compliance with ISO 14001.

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    audit mandiri ISO 14001

    Original Title

    iso 4001

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    This document is an internal audit checklist for ISO 14001:2004 environmental management systems. It contains questions to evaluate whether an organization's EMS meets the requirements of ISO 14001 in key areas such as environmental policy, planning, implementation and operation, checking and corrective action, and management review. The checklist examines whether the EMS scope is defined, the environmental policy addresses commitments and impacts, environmental aspects and legal requirements are identified, objectives and targets are established and programs developed to achieve them. It provides guidance on what auditors should look for in documentation, procedures, and implementation to determine compliance with ISO 14001.

    Copyright:

    © All Rights Reserved
    Download as DOCX, PDF, TXT or read online from Scribd
    Download as docx, pdf, or txt
    345 views4 pages

    Iso 4001

    Uploaded by

    Yenny Kusuma Dewi
    This document is an internal audit checklist for ISO 14001:2004 environmental management systems. It contains questions to evaluate whether an organization's EMS meets the requirements of ISO 14001 in key areas such as environmental policy, planning, implementation and operation, checking and corrective action, and management review. The checklist examines whether the EMS scope is defined, the environmental policy addresses commitments and impacts, environmental aspects and legal requirements are identified, objectives and targets are established and programs developed to achieve them. It provides guidance on what auditors should look for in documentation, procedures, and implementation to determine compliance with ISO 14001.

    Copyright:

    © All Rights Reserved
    Download as DOCX, PDF, TXT or read online from Scribd
    Download as docx, pdf, or txt
    of 4

    ISO 14001:2004 INTERNAL AUDIT CHECKLIST

    Issued by: EH&S


    Refs

    Requirements

    Date: 00-00-00
    What to look for and how

    Sections 4.4, 4.5, and 4.6 are not included in the Demo file
    4.1
    General requirements
    4.1

    4.1

    4.2
    4.2

    4.3

    Is the EMS established, documented,


    implemented, maintained, and continually
    improved in accordance with ISO 14001
    requirements?
    Is the scope of the EMS defined?

    This catch-all question can only be answered at the end of the


    whole audit. Typically, if there is a noncompliance here, there
    must be other major noncompliances somewhere else in the
    system. If so, reference them in the Auditor Notes field.
    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?

    Environmental Policy
    Has the top management defined the
    environmental policy?
    Is it appropriate to the nature, scale and
    environmental impacts of the organizations
    activities, products and services?
    Does it include a commitment to continual
    improvement and prevention of pollution?
    Does it include a commitment to comply
    with legal requirements and with other
    requirements to which the organization
    subscribes?
    Does it provide the framework for setting
    environmental objectives and targets?
    Is it documented, implemented and
    maintained?
    Is it communicated to all persons working
    for or on behalf of the organization?
    Is it available to the public?

    Planning

    Is the policy addressing the most important and severe


    environmental impacts (e.g. is nontrivial)?
    Are there explicit commitments to continual improvement?
    How are commitments to the prevention of pollution
    articulated? Are any specific types of pollution named?
    Are there explicit commitments to comply with legal
    requirement? Are there any other requirements to which the
    organization subscribes (for example, industry guidelines)?
    Are the policy goals sufficiently specific, so that particular
    objectives can be set for achieving these goals? Is there a
    clear relationship between the objectives and targets set by
    the organization and its environmental policy?
    How is the policy documented? Is it authorized and/or
    approved by top management? Is the policy regularly
    reviewed (management reviews)?
    How is the policy communicated to personnel? Is it also
    communicated to 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)?

    Revision: A
    Compl

    EF-55-03-3
    Auditor notes and evidence

    ISO 14001:2004 INTERNAL AUDIT CHECKLIST


    Refs

    4.3.1
    4.3.1

    Requirements

    What to look for and how

    Environmental aspects
    Is there a documented procedure to identify
    environmental aspects of the organizations
    activities, products and services that the
    organization controls and those that it can
    influence?
    Does the procedure consider planned or new
    developments, or new or modified activities,
    products and services?

    Who is responsible for identifying environmental aspects


    (team, individual)? Are there instructions/training explaining
    how to do it? How is it ensured that environmental aspects are
    also identified for planned or new activities, products and
    services?
    How many aspects have been identified? Is it a broad pool of
    aspects that covers all activities, products and services? Are
    there included external aspects that the organization can
    influence (purchased/subcontracted products and services)?
    How are aspects documented?

    Are environmental aspects identified?


    4.3.1

    Is there a documented procedure to determine


    aspects that have or can have significant
    impacts on the environment (significant
    environmental aspects)?

    Is there a documented method for determining significance of


    environmental aspects (risk analysis)? Is it objective? Are all
    aspects considered? Is there a provision for reevaluating
    significance of aspects in light of new developments?
    How many significant aspects have been identified? How are
    they documented?

    4.3.1

    Are significant environmental aspects taken


    into account in establishing, implementing and
    maintaining the EMS?

    Is there a clear relationship between significant aspects and


    the environmental policy? Are significant aspects taken into
    account when setting environmental objectives and targets? Is
    there a system for monitoring environmental performance with
    regard to significant aspects?

    4.3.2
    4.3.2

    Legal and other requirements


    Is there a documented procedure to identify
    and ensure access to the applicable legal
    requirements and other requirements to which
    the organization subscribes?
    Does the procedure determine how these
    requirements apply to the environmental
    aspects?

    4.3.2

    Are the legal and other requirements taken


    into account in establishing, implementing and
    maintaining the EMS?

    Is there a list, matrix, etc. of applicable legal requirements?


    How is it determined which requirements apply (checklist,
    expert input, etc.)? Who is responsible for determining which
    requirements apply? How the list is kept up to date (periodical
    review)?
    Are there any other requirements to which the organization
    subscribes (agreements, 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?

    How are legal and other requirements accounted for in the


    EMS (could be the environmental policy, significant aspects,
    objectives, programs, performance monitoring, management
    reviews, etc.)?

    Doc: EF-55-03-3
    Compl

    Revision: A
    Auditor notes and evidence

    Pg. 2 of 4

    ISO 14001:2004 INTERNAL AUDIT CHECKLIST


    Refs

    4.3.3
    4.3.3

    Requirements

    What to look for and how

    Objectives, targets and programs


    Are there documented, implemented and
    maintained environmental objectives and
    targets?
    Are they established at all relevant functions
    and levels within the organization?
    Are objectives and targets consistent with the
    environmental policy, including the
    commitments to:
    Prevention of pollution;
    Compliance with legal and other
    requirements, and;
    Continual Improvement?
    Are objectives and targets measurable (where
    practical)?

    4.3.3

    In the process of establishing and reviewing


    objectives and targets is there a due
    consideration of:
    Legal and other requirements;
    Significant environmental aspects;
    Technological options;
    Financial, operational and business
    requirements; and
    Views of interested parties?

    4.3.3

    Are there established, implemented and


    maintained programs for achieving objectives
    and targets?
    Do these programs define the
    responsibility,
    means, and ;
    time-frame

    How are objectives and targets documented? How many


    objectives and targets are currently established and are
    actively implemented (pursued)? Do all relevant functions and
    levels participate in achieving objectives? Are there any
    organizational units, functions or levels excluded? Why?
    Which specific objectives relate to prevention of pollution and
    to compliance with legal and other requirements? Are
    objectives and targets aiming to improve environmental
    control, management and/or performance (objective to
    maintain performance at current level is also OK)?
    Are environmental targets measurable? When not obvious,
    are there instructions explaining how to measure status and
    progress? Are there any objectives that cannot be measured?
    How are the targets defined? How is it determined whether
    the target has been achieved?

    Who establishes environmental objectives? How, and how


    often are objectives reviewed? Is the top management actively
    involved in setting and reviewing environmental objectives?
    Do (management) personnel responsible for setting and
    reviewing environmental objectives have access to
    information related to legal and other requirements; significant
    environmental aspects; technology and technical issues;
    financial, operational and business requirements; and views of
    interested parties? How is this information provided? How is it
    ensured that the information is current?

    For each environmental objective, is there a program for


    achieving the objective? Does it designate a person/function
    for implementing and achieving the objective? Is it clear what
    means and methods shall be used to achieve the objective? Is
    there a timeframe for achieving it? Is progress toward
    achieving the objective measured at intermediate stages?
    How is it determined that the objective has been achieved?
    Are those programs documented? How?
    Are the programs amended (as appropriate) to include new

    Doc: EF-55-03-3
    Compl

    Revision: A
    Auditor notes and evidence

    Pg. 3 of 4

    ISO 14001:2004 INTERNAL AUDIT CHECKLIST


    Refs

    Requirements
    for achieving objectives and targets?

    What to look for and how


    projects, activities and developments?

    Sections 4.4, 4.5, and 4.6 are not included in the Demo file

    Doc: EF-55-03-3
    Compl

    Revision: A
    Auditor notes and evidence

    Pg. 4 of 4

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