GP3101 ISO 14001 - 2004 Checklist

Audit Checklist - ISO 14001:2004
Guidance to auditor(s)
This document is intended to provide structured assistance to conduct the audit. To fit that purpose it contains
key questions related to each standard clause. It shall not to be part of the audit report.
Clause
Details
Notes
4.2
Has the organisation (top management) defined and documented its

environmental policy?
4.2a
Is the policy appropriate to the organisations activities and their potential

environmental impacts (nature & scale)?
4.2b
Does the policy include commitments to continual improvement and

prevention of pollution?
4.2
Have methods been established to monitor continual improvement and

prevention of pollution?
4.2c
Does the policy commit to compliance with environmental legislation and

regulations?
4.2d
Does the policy identify any other requirements to which the organisation
subscribes (& commit to comply)?
4.2e
Does the policy provide a framework for (setting &) reviewing

environmental objectives and targets?
4.2f
Has policy been communicated and implemented (documented &

maintained) to all persons working for or on behalf of the organization
4.2g
Is policy available to the public?
4.3.1
Does the organisation have a procedure to identify the appropriate

environmental aspects of its activities products & services, which it can
control or influence?
4.3.1
Does the aspects evaluation process take into account planned or new
developments, new or modified activities, products and services?
4.3.1
Does the aspects evaluation lead to logical conclusions regarding

significance?
Is information relating to environmental aspects kept up to date?
4.3.1
4.3.1
Have significant environmental aspects been considered in developing

and maintaining the EMS?
Have aspects having legal and/or regulatory reporting, monitoring or
operational requirements been identified as significant aspects?
(Not required by standard but may be a good practice to ensure control.)
4.3.2
Has a procedure been developed and implemented to identify applicable

regulatory, legal and other requirements?
4.3.2
Has the organisation determined how identified legal & other

requirements apply to its environmental aspects?
4.3.2
Are current copies of all applicable regulatory and other requirements

accessible to personnel as necessary?
4.3.3
Have environmental objectives and targets been established at each

relevant function and level in the organisation?
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Clause
Details
Notes
4.3.3
Are Objectives and Targets documented?
4.3.3
Have programmes for the achievement of environmental objectives and

targets been established and implemented?
Are programmes updated?
4.3.3
Have responsibilities been assigned for environmental management

programmes at each appropriate function and level?
(Do programs include means and time-frame for achieving?)
4.4.1
4.4.1
Have responsibilities and authorities for environmental management been

defined and documented (& communicated)?
Has a Management Representative been assigned?
(Have essential resources been provided by management?)
4.4.1
Have the roles, responsibilities, and authorities for the Management

Representative been defined?
4.4.2
Are any person(s) working for or on behalf of the organisation, who can
cause significant environmental impacts, competent on the basis of
education, training and or experience?
4.4.2
Have procedures been established to assure all employees are aware of

the Environmental Policy (importance of conformance, consequences of
departure), actual and potential impacts and their responsibilities?
4.4.2
Have procedures been established to assure all employees are aware of

the Environmental Policy (importance of conformance, consequences of
departure), actual and potential impacts and their responsibilities?
4.4.3
Are procedures maintained for communication of environmental issues

between various levels of the organisation?
4.4.3
Are procedures maintained for receiving, documenting and responding to

communications from external interested parties?
4.4.3
Has the organisation recorded its decision on external communications on

its significant environmental aspects?
4.4.4
Have the main elements of the EMS, and their interaction, been described
in paper or electronic form?
4.4.4
Does documentation of main EMS elements provide direction to related

documentation?
4.4.5a/b Is there a procedure for controlling documents?

Do procedures include approval of, and reviewing and updating of
documents?
4.4.5c
Are changes to documents and current revision status identified?
4.4.5d
Are current versions of all required documents available at all essential

locations?
4.4.5e Is all documentation legible, readily identifiable?

4.4.5f
Document:
Are relevant documents of external origin identified and their distribution

controlled?
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Clause
Details
Notes
4.4.5g
Are obsolete documents promptly removed or otherwise protected from

unintended use?
4.4.6
Are activities associated with significant environmental aspects planned

and carried out under specified conditions?
Have documented procedures been established for operations associated

4.4.6a with significant environmental aspects, where their absence could lead to
a deviation from policy and objectives and targets?
4.4.6b Are operating criteria stipulated in the procedures?
4.4.6c
Have procedures been established relating to the significant

environmental aspects of materials and services purchased and used by
the organisation?
4.4.6c
Are procedures in place to communicate relevant procedures and/or

requirements, regarding significant environmental aspects of purchased
products or services, to suppliers including contractors?
4.4.7
Have procedures been implemented to identify the potential for and

respond to accidents and emergencies?
4.4.7
Are procedures in place to prevent and mitigate impacts of accidents and

emergencies?
4.4.7
Are emergency preparedness and response procedures reviewed and

revised as appropriate (in particular after an occurrence)?
4.4.7
Are emergency procedures tested where practicable?
4.5.1
Are there procedures for monitoring key characteristics of operations that

can have significant impacts?
4.5.1
Are records available to track performance and conformance with

objectives and targets?
4.5.1
Is all monitoring equipment appropriately maintained and calibrated or

verified (& records of this process maintained)?
4.5.2
Is there a procedure for periodically evaluating compliance with legal and

regulatory requirements?
Are records of these evaluations kept?
4.5.2
Has the organisation fully evaluated its compliance with legal and
regulatory requirements and implemented corrective action where
necessary?
4.5.2
Does the organisation evaluate its compliance with other requirements to

which it subscribes
Are records of these evaluations kept?
4.5.3
Are there procedures for identifying and correcting nonconformities and

mitigating any environmental impacts
4.5.3
Are the causes of any nonconformities investigated and corrective and

preventive actions timely, appropriate and effective?
4.5.3
Are the results of corrective and preventive actions recorded?

Is the effectiveness of corrective and preventive actions reviewed?
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Clause
Details
Notes
4.5.4
Have procedures been implemented for identification, maintenance,

disposal and retention of environmental records?
4.5.4
Are environmental records legible, readily retrievable, protected and

traceable?
4.5.4
Are there sufficient records to demonstrate conformance to the

requirements of this standard?
4.5.5
Have internal EMS audit procedures been developed and implemented?
4.5.5a
Do internal audits determine whether the EMS conforms to planned

arrangements & has been properly implemented & maintained?
4.5.5
Are audit frequencies and topics based on the environmental importance

of the activity concerned and the results of prior audits?
4.5.5b
Do audit procedures cover how results are reported and how results are
provided to management?
4.5.5
Do audit procedures adequately define scope, frequency, methods and

responsibilities?
4.5.5
Does the selection of auditors and performance of audits ensure that the
audit process is impartial and objective?
Has the audit system been fully and effectively implemented?
Do audit reports and records indicate a reliable system which can be used
as a tool in the third party audit process?
4.6
Do periodic management reviews take place to ensure the continuing

suitability, adequacy and effectiveness of the EMS?
Are the reviews undertaken by top management?
Do management review inputs include
Internal audits
Compliance with legal & other requirements
External communications
environmental performance
Complaints
Follow up from previous reviews
Recommendations for improvement
Developments in legal requirements
4.6
Does management review result in changes as appropriate to the policy,

objectives, targets & other elements of the EMS? etc.
4.6
Are management reviews documented?
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ISO-14001:2004 Aspect Review Checklist

Activity:
Bldg./Facility:
Operational Control
Monitoring & Meas.
Responsibility
Criteria
Calib
Communication
Procedure:
Training
Documented? Y
Activity:
Records
Policy?
Legal/Reg. Req? Y
Bldg./Facility:
Operational Control
Monitoring & Meas.
Responsibility
Criteria
Calib
Communication
Procedure:
Training
Documented? Y
Activity:
Records
Policy?
Legal/Reg. Req? Y
Bldg./Facility:
Operational Control
Monitoring & Meas.
Responsibility
Criteria
Communication
Procedure:
Calib
Records
Training
Documented? Y
Policy?
Legal/Reg. Req? Y
Comments:
Document:
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Audit Checklist - ISO 14001:2004

Has the organisation (top management) defined and documented its

Is the policy appropriate to the organisations activities and their potential

Does the policy include commitments to continual improvement and

Have methods been established to monitor continual improvement and

Does the policy commit to compliance with environmental legislation and

Does the policy provide a framework for (setting &) reviewing

Has policy been communicated and implemented (documented &

Is policy available to the public?

Does the organisation have a procedure to identify the appropriate

Does the aspects evaluation lead to logical conclusions regarding

Have significant environmental aspects been considered in developing

Has a procedure been developed and implemented to identify applicable

Has the organisation determined how identified legal & other

Are current copies of all applicable regulatory and other requirements

Have environmental objectives and targets been established at each

Audit Checklist - ISO 14001:2004

Are Objectives and Targets documented?

Have programmes for the achievement of environmental objectives and

Have responsibilities been assigned for environmental management

Have responsibilities and authorities for environmental management been

Have the roles, responsibilities, and authorities for the Management

Have procedures been established to assure all employees are aware of

Have procedures been established to assure all employees are aware of

Are procedures maintained for communication of environmental issues

Are procedures maintained for receiving, documenting and responding to

Has the organisation recorded its decision on external communications on

Does documentation of main EMS elements provide direction to related

4.4.5a/b Is there a procedure for controlling documents?

Are changes to documents and current revision status identified?

Are current versions of all required documents available at all essential

4.4.5e Is all documentation legible, readily identifiable?

Are relevant documents of external origin identified and their distribution

Audit Checklist - ISO 14001:2004

Are obsolete documents promptly removed or otherwise protected from

Are activities associated with significant environmental aspects planned

Have documented procedures been established for operations associated

Have procedures been established relating to the significant

Are procedures in place to communicate relevant procedures and/or

Have procedures been implemented to identify the potential for and

Are procedures in place to prevent and mitigate impacts of accidents and

Are emergency preparedness and response procedures reviewed and

Are emergency procedures tested where practicable?

Are there procedures for monitoring key characteristics of operations that

Are records available to track performance and conformance with

Is all monitoring equipment appropriately maintained and calibrated or

Is there a procedure for periodically evaluating compliance with legal and

Does the organisation evaluate its compliance with other requirements to

Are there procedures for identifying and correcting nonconformities and

Are the causes of any nonconformities investigated and corrective and

Are the results of corrective and preventive actions recorded?

Audit Checklist - ISO 14001:2004

Have procedures been implemented for identification, maintenance,

Are environmental records legible, readily retrievable, protected and

Are there sufficient records to demonstrate conformance to the

Have internal EMS audit procedures been developed and implemented?

Do internal audits determine whether the EMS conforms to planned

Are audit frequencies and topics based on the environmental importance