ISO-14001   AUDIT CHECKLISTS & GUIDELINES     Environmental Strategic Planning

Does the organization have a strategic planning process?

Does the strategic planning process involve all responsible parties?

Is the strategic plan linked to the policies and objectives of the organization?

Is there a process for periodic reviews of the plan? 

 Environmental Policy 

Does your organization have an environmental policy?

Does the policy reflect the organization’s values and guiding principles?

Has the environmental policy been approved by the Board of Directors or other governing body and has someone been identified and given the authority to oversee and implement the policy?

Does the policy drive the setting of environmental objectives and targets?

Does the policy guide the organization towards monitoring best available technology and management practices ?

Does the policy support continual improvement?

Does the policy state the organization’s commitment to monitor, and meet or exceed the legal requirements and to address the expectations of its interested parties?

Are the policy and the environmental performance to the organization effectively communicated to both internal and external interested parties?

Is there defined environmental policy in the company and approved by top management?

Is the environmental policy updated at regular intervals (for example within the scope of environmental management reviews)?

Does the environmental policy include the commitment to keep all legal and applicable environmental regulations?

Is the environmental policy publicly available?

Are persons in charge / employees of the whole organization informed about the environmental Policy (for example through in-house newsmagazine, bulletin, company, meetings)?

Does the policy provide framework for setting and reviewing objectives, Targets and EMP?

Does the environmental policy plan continuous improvement of the environmental protection (management) within the organization?

Does the environmental policy commit to saving of resources (in relation to energy, raw materials, water) and to waste reduction (for example through recycling and waste re-utilization )?

  

  Environmental Aspects And Evaluations Of Associated Environmental Impacts

Is there a system in place to address the risk identification process?

Have potential environmental aspects of the organization’s activities, products, and services been identified?

Has the likelihood of occurrence been evaluated?

Have the consequences been evaluated?

Do the organization’s objectives and targets reflect the results of the evaluation and prioritization of environmental impacts?

Is there a process in place to identify environmental aspects and evaluate environmental impacts of new activities, products and services?

 

  Environmental Objectives And Targets  

Are objectives and targets set within the context of the policy?

Are objectives and targets set considering environmental impacts of an organization’s activities, products and services?

Are objectives and targets regularly revised to reflect desired improvements in environmental performance ?

Are there specific and measurable environmental objectives & targets?

Is the improvement of  current environmental protection considered within these objectives?

Are environmental objectives defined and available for all levels of the organization?

Do the environmental objectives comply with the environmental policy?

Are the objectives formulated quantitatively and accompanied by a time limit through target?

Are new environmental objectives defined in connection with new developments, new or revised products and services?

Does the organization provide resources (Personnel, money, time and organization) in order to reach the environmental objectives?

Do procedures and correction measures apply in case of non-conformities of deviations from environmental objectives and targets? Are these reviewed by Top Management?

  Environmental Management Program (EMP) 

Does the organization have a process for developing programs to meet targets?

Do these programs address the issues of resources, responsibility, timing, priority?

Is the environmental program fully integrated with the policies and strategic plan?

Is the EMP monitored on an ongoing basis?

Does a written, organization-specific environmental program exists which states how to achieve defined environmental objectives targets?

Does the environmental program implement the environmental policy and continuous improvement of organisations’ environmental protection effectively?

Does the environmental program describe/define how and when to achieve the environmental objectives and related responsibilities?

Does the environmental program reflect the results of environmental audits ?

Is the environmental program subject to revisions, checks, and in case of deviations, subject to defined corrective actions?

Are there procedures for adaptation of environmental programs in connection with new development, production or service changes?

 

  Human, Physical And Financial Resources  

How does the organization identify and allocate the human, technical and financial resources necessary to meet its objectives and targets?

Does the organization have a process to evaluate the environmental needs (human, technical, financial) associated with capital projects?

Are procedures developed track the costs and benefits (Return on investment) of environmental activities ?

 

  Accountability And Responsibility  

Are the responsibilities and accountability of key personnel who manage, perform and verify work affecting the environment, defined and documented?

Do these personnel

Provide sufficient training, resources and personnel for implementation ?

Ø        Initiate action to ensure compliance with environmental policy ?

Ø        Anticipate, identify and record any environmental problems ?

Ø        Initiate, recommend, or provide solutions to those problems through designated channels ?

Ø        Verify the implementation of such solution ?

Ø        Control further activities until any environmental deficiency or unsatisfactory condition has been corrected ?

Ø        Act appropriately in emergency situations ?

Ø        Understand the consequences of non-compliance and accountability that applies to them ?

 

  Knowledge, Skills, And Training  Ø        Does the organisation identify environmental training needs ?Ø        Are the training needs of specific job functions analyzed ? Ø        Is training program developed and reviewed regularly ?Ø        Does this process include documentation and evaluation ? 

  EMS Documentation  Ø        environmental procedures identified, documented, and communicated ?Ø        Does the organisation have a permanent reference to the existence, implementation and

maintenance of the EMS /Ø        If EMS documentation integrated with existing documents where appropriate ? 

  Review Of The EMS  Ø        Are there periodic reviews of the EMS ?Ø        Are the appropriate people involved for the review of the EMS and follow-up ? 

  EMS Records And Information Management  Ø        Does the organisation have the environmental information it needs to manage effectively ?Ø        Does the organisation have the capability to identify and track key indicators of performance

and other data necessary to achieve its objectives and better MIS ? 

  Corrective And Preventive Action And Continual Improvement  Ø        Does the organisation have a process to identify the corrective and preventive action and

improvement ?Ø        Does the organisation verify that corrective and preventive actions and improvements are

effective and timely ? 

  Communication And Reporting  Ø        Is there a process for communication of environmental performance ?Ø        Are measurements and results from EMS verification and management review communicated to

all appropriate people in the Organization ?Ø        Are internal communications adequate to support continual improvement  around environmental

management issues?Ø        Is there a procedure for external communication ? 

  Measuring And Monitoring  Ø        Is environmental performance regularly mentioned ?Ø        Have specific performance measures and indicators been established which are related to your

objectives and targets ?Ø        Are there control processes in place to regularly calibrate the sample measuring and monitoring

equipment? Now the detailed questions for auditing EMS are discussed and these typical checklists are designed element and sub-element wise which would help auditor in auditing the system effectively. 

  Site Description  Ø        What is the type of ownership of the company and the companies which are in operation (at the

site) within the audit scope )incl. Foreign companies) ? Ø        Are there water environments (sea, receiving body of water etc.) ?

Ø        Is the audit site located very close to or within an environmental protection area (national reserve /national park, landscape protection area, water protection area ) ?

Ø        Is a list of production materials which are used at the audit site available ?Ø        Is there a summary list describing kind and quantity of  raw materials, by-products, intermediate

products, and waste are stored at the site ?Ø        Is there a list for movable or unmovable goods (for example : production equipment, car, fleet

etc.) at the site ?Ø        Are other than the recent use of the site documented or known ?Ø        Does contamination of soil and / or ground water etc. remain from this use ?Ø        Do outside storage facilities, waste handling area, or waste dump site belong to the audit site ?  

  Investigation And Evaluation Of Environmental Impacts  Ø        Are procedures defined for identification and documentation of  environmental impacts resulting

from : ·          Controlled and uncontrolled emission into atmosphere ·          Controlled and uncontrolled emission into water and sewers·          Handling of solid and other waste, especially hazardous waste·          Contamination of soil·          Consumption of soil, water, fuel, energy and raw material·          Emission of heat, noise, adour, dust , vibration or optical impact·          Effects on environmental rectors and on eco-systems Ø        Is there a procedure for compiling and maintaining a list of environmental effects of the

company ?Ø        Does this list (based on normal operating conditions) pay attention to :·          Start-up and completion of operations·          Nonconforming processes and emergency situations·          Effects of earlier and/or planned operations at the site(s)·          Other effects on environmental sectors especially eco-systems ? Ø        Is the top management informed about environmental data ? Is this data distributed in the

company and evaluated in management reviews ? 

  Environmental Management System  Ø        Is there an organisation chart for the company ? ·          Does the organisation chart include all organisational units and all persons in charge for

operations relevant to the environment ?·          Are the managers of the whole organisations and each person in charge listed ? Ø        Is a management representative for EMS nominated by top management with responsibility and

authority ?Ø        Does personnel who controls the EMS have organisational independence and authority to :·          Order preventive measures·          Recommend or order problem solutions·          Supervise corrective measures Ø        Based on legal requirements are their any persons in charge for control of :·          Waste and emissions to air·          Emergency situations           waste water·          Hazardous (flammable, high pressure & poisonous) goods·          Radiation protection ? Ø        Are the responsibilities and authorities for all employees, who manage, supervise or execute

activities with possible environmental impact defined ? Ø        Are suitable resources and qualified personnel for the above mentioned tasks available ?  

EMS documentation Ø        Has the organisation implemented an EM system and is it documented in paper or electronic

form ?

Ø        Is the scope of the EM system defined and documented clearly in relation to the site, factory, and production unit etc?

Ø        Does the EMS documentation include additional procedures like :Ø        Procedures, WI, Test Instruction and other internal Standards ? 

Preventive measures Ø        Are pollution prevention measures defined, (e.g. establishment of environmental work group)

aiming to minimise the risks of negative impact on the environment ?Ø        Is there any system for collecting internal improvement proposals ? 

EMS planning Ø        Shall environmental issues be considered planned and systematically during new product or

service developments ?Ø        Do these EM plans attention to all phases of a lifecycle that the product or service passes

through, as :·          Development, procurement and production·          Distribution, product use or service performance·          Recycling, disposal ? 

Internal Environmental Audits General procedure (preparation, auditing, corrective actions) Ø        Is there a defined procedure for the planning and performance of environmental audits ?Ø        Does this procedure include·          Collection of necessary information for auditing ·          Definition of audit procedures ·          Definition of acceptance criteria for measures which apply in case of deviations from EMS

requirements·          Re-evaluation of information derived from former audits, in case the procedures used in the past

were found not effective? Ø        Are audit findings documented ?Ø        Is the establishment of a deviation coupled with the implementation of corrective action such

as :·          Finding the cause of the deviation·          Formulate corrective action plan and its implementation·          Introduction of suitable procedures to ensure the effectiveness of preventive measures taken ·          documentation of changes to procedures, which are resulting from corrective measures Ø        Are reports of environmental audits established and do these reports include :·          Audit scope and objectives and audit plans·          Names of audited companies, tested organisational units and audit team, etc.·          List of reference documents / audit programme·          Deviation reports(s) / NCRs·          Establishment of achieved compliance with environmental policy and environmental objectives·          Assessment of suitability of the EM system to achieve defined environmental objectives·          Distribution list for audit reports ?·          Does the interval for environmental audits depend on :·          The impacts of each operation on the environment·          The result of preceding environmental audits ? 

Personnel and resources for internal environmental auditing Ø        Is qualified personnel for preparation and for performing the audit as well as necessary

resources available?Ø        Are environmental auditors sufficiently independent from departments or operations audited, so

that they can produce a neutral and objective evaluation ?Ø        Do auditors have sufficient knowledge and experience (e.g. according to ISO 14012) in relation

to :·          Audited activities·          EM system ·          Environmental legislation·          Technical environmental protection ?

 Ø        Is the environmental audit planned to ensure :·          That suitable resources (financial, technical and personnel) are available for the audit·          The understanding of the roles and assignments by all people concerned (auditors, company

representative, personnel)·          That auditors are familiar with the EMS and the results of former environmental audits ? 

Audited areas / organisational units Ø        Does the audit cover all departments involved according to their environmental impacts ? 

Objectives of internal   environmental audits  Ø        Do related audit procedures ensure continuous checking of requirements defined in :·          Environmental policy·          Environmental objectives·          Environmental program and EMS ? Ø        Is the scope and frequently of each environmental audit defined in relation to:·          Activities to be audited ·          Relevant environmental regulations (internal, legal) ? Ø        Are the following production specific aspects considered during an environmental audit :·          Evaluation, control, reduction of impacts of operations considered on different environmental

segments such as water, soil, air and noise·          Management, saving, selection, storage and transportation of materials, especially hazardous

materials, avoidance, recycle, reduction and transportation of waste ·          Procedures related to the selection of new and improvement of existing production facilities ·          Product planning (design, packaging, transportation, usage and disposal)·          Environmental protection by contractors, subcontractors, and suppliers·          Prevention and limitation of the impacts of emergency in relation to the environment as well as

emergency preparedness and planning·          Information of the public about ecological effects of products and processes from the

organisation Ø        Does the environmental audit consider :·          Checking of operating conditions and environmental protection equipment ·          Checking if the  documents relevant for organistional units are available , known and adhered to

in practice and interview·          Inspection of documents, which are important for the evaluation of environmental protection

achievements.·          Investigation whether environmental regulation applicable to the organisation is followed    

Management review Ø        Is the suitability of the EMS evaluated regularly by top management based on :  ·          Reports of previous environmental audits·          Analysed and condensed environmental data·          Proposals of environmental working groups ·          Implemented corrective measures and complaints ·          Possible improvement measures, change in legislation·          Records and consequences of any accident / incidents·          Compliance to obj, targets and EMP Ø        Are corrective measures traceable to management review decision ?Ø        Does the management review contain evaluations about  the overall performance of the EM

system ?Ø        Does the management review effect the updating of : ·          Environmental policy and objectives·          Environmental programs·          EM system  

Ø        Are the results of management reviews and measures derived form it documented ? 

  Document Control  

External documentation and requirements Ø        Is there a register of legal or comparable requirements to which the organisation subscribes

relevant to the organisation and its activities, as :·          Laws and regulations·          Agreements with public authorities·          Industry codes of practice·          Non-regulatory guidelines Ø        Is the competence and responsibility for the actualisation of this register defined ?Ø        Is the competence and responsibility for purchasing / acquisition of new or revised documents

defined ?Ø        Is there a suitable procedure, which assures that the organisation receives continuous

information about newly published or revised documents ?Ø        Are newly purchased and/or revised documents distributed according to a distribution list ? 

Internal EM documentation Ø        Is a suitable procedure for production, test release, distribution of EM documents defined ?Ø        Is this register / database regularly updated ?Ø        Does a distribution list for this register exists ?Ø        Are the documents (also new and revised documents ) distributed according to a distribution list

/Ø        Does the defined procedure assure. that internal documents with current revision status are

available where  Ø        respective relevant operations are performed ?Ø        Is it assured that documents are checked by qualified employees in regular interval s and

revised if necessary ?Ø        Is it assured that obsolete documents are withdrawn or marked accordingly ?Ø        Are retention periods defined for all documents ?Ø        Is the defined storage time adhered to ? 

Training Ø        Are the procedures and responsibility for qualification of personnel defined ?Ø        Is the training need assessed regularly ?Ø        Are the training measures defined and documented with responsibility ?Ø        Does the training include :Ø        Principle of company’s environmental policy essentials of the EM systemØ        Information about relevant environmental objectivesØ        Awareness of all employees in relation to impacts to their operations on the environment and

the advantage of improved personnel performance for the environmentØ        Roles and responsibility of employees in order to fulfil environmental policy and environmental

objectivesØ        Distribution of knowledge about possible results in case of non-compliance with defined

procedures or work instructionsØ        Are there special professional requirements for employees who carry out environmentally

relevant tasks ?Ø        Are new employees informed about potential environmental impacts of their work ?Ø        Is document of training imparted available ?Ø        Are employees informed regularly about issues related to the environment ? 

Measurement And Records Of Environmental Data 

General Ø        Are procedures for measurement, recording and distribution of all environmentally relevant data

described ? 

Measurement plan Ø        Does the measurement and recording of environmental data follow the defined measurement

plan ?

Ø        Are the procedures for the preparation and distribution of measurement plans defined ?Ø        Do measurement plans include the necessary information as :·          Responsible organisational units·          Measurement scope (based on the statistical methods)·          Location of measurement ·          Measurement procedure and equipment·          Kind of measurement records·          Handling of samples ? 

  Measurement equipment Ø        With respect to test  equipment, are procedures defined for : * Procurement            * incoming inspection* Registration (based on summary list, test material, inventory card, etc.)* Marking (based on test material inventory No.)* Control         * calibration* Calibrating instruction with defined measurement deviation* International standards        * repair* Handling of defective measurement equipment 

Nonconformance Ø        Are procedures defined for handling of deviations against :·          Environmental policy, objective and EMP·          EMS and Legal requirements ? Ø        Are all detected deviations subject to classification and evaluation ?Ø        Is the information (which is derived from classification and evaluation of deviations) considered

within :·          Management review·          Environmental policy, EMP and EMS 

Environmental Management Records Ø        Is there a procedure, that maintain all records capable to demonstrate the EM effectiveness and

stored in a suitable form?Ø        Do these records include :·          Audit reports, corrective measures, (environmental statements), management reviews·          Statements about possible deviation against correction guidelines in relation to environmental

goals·          Information about accidents·          Information about complaints and follow up·          Information about suppliers and contractors ·          Environmental related procurement and contracting records·          Inspection and maintenance records·          Environmental related product characteristics·          Surveillance dates·          Training records ? Ø        Does the procedure for archiving records guarantee that all records :·          Are long-term readable·          Are stored safely·          Can be retrieved easily ?  

Corrective And Preventive Action 

General  ·          Is there a defined procedure for issuing, introduction, and performance of corrective actions ? 

Understanding of failure and corrective measures 

Ø        Is there a procedure based on systematic failure recording and analysis ?Ø        Are the cause of failures investigated systematically and completely ?Ø        Is it checked before the planning of corrective action, if deviation caused are inherent to the

EMS ?Ø        Does the procedure for corrective action planning include surveillance during implementation of

the corrective action? Ø        Does the planning of corrective measures ensure that :·          The deviation is corrected as soon as possible ·          A recurrence is avoided·          The effectiveness is assessed ?   Ø        Are the corrective measures only considered complete when :·          The effect of corrective action is proved·          The objective of the corrective action is achieved·          The related procedures, documents, and records are changed ?   

  Contract Review  This section is not the direct extract from ISO 14001. Corrective actions are economically most effective of the deviations caused within the management system are evaluated at an early stage as possible. Organisations may therefore benefit from implementing such procedures. Ø        Does the procedure for contract review contain regulations which assure that company contain

regulations which assure that company specific environmental objectives are not violated by current quotations or orders ?

Ø        Does a contract review procedure co-ordinate all departments involved ?Ø        Are limiting conditions in relation to the environment considered suitable within the contracts ?Ø        Are received orders compared with the quotation regarding environmentally relevant clauses ?Ø        Are contract changes subject to additional reviews ?Ø        In case of customer supplied products, is there evaluation if the integration of  this product or

service does not violate environmental objectives ? 

  Product Development  Ø        Is environmental protection considered adequately within development of new products and

product design maintenance?Ø        Are suitable procedures for evaluation of newly developed/revised products defined and are the

environmental goals and environmental policy of the company considered ? Ø        Is this evaluation documents ?Ø        Are the following environmental protection issues considered during product development : * Design                                        * transportation* Production                                  * usage* Storage                                       * recycling* Packaging                                   * final disposal? Ø        Are environmental management programs set up in connection with new developments

(products, service or technologies?)Ø        Is the result of product development tested and evaluated for its environmental effects ?Ø        Is there a defined procedure which plans testing and evaluating all environmental effects of :·          Introduction of new technologies·          Change of present production method·          New procurement/reconstruction of production plant·          Implementation of any developmental scheme ?   

  Procurement/ Role of Contractors  Ø        Is  there a defined procedure for procurement of products, production facilities, materials,

service etc.?Ø        Does this procedure include the requirement that suppliers and contractors comply with

environmental protection requirements (environmental protection by supplier evaluation)?

Ø        Is environmental protection considered as a selection criterion for suppliers and contractorsØ        Are external or internal environmental criteria catalogues considered when purchasing

products ?Ø        Is there a procedure for updating these environmental criteria catalogues ?Ø        Is procurement of production facilities subject to and approval procedure with regard to

environmental compatibility ?Ø        Are services purchased checked for environmental effects and is it guaranteed that services

don’t violate environment objectives ? 

  Production  Ø        Does the selection of new and revision of present production methods follow a defined

procedure and is environmental protection suitably considered ?Ø        Are there evaluations with regards to single production sections, considering :·          Effects on environment·          Compliance with environmental policy and environmental objectives ? Ø        Are defined and implemented procedures and work instructions for all production sections

available, in which is described how the operation/process should be operated ?Ø        Are there rules for inspection, maintenance and repair defined for production facilities at which

environmental aspects must be considered ?Ø        Is there procedures which guarantee that all deviation from defined process parameters (normal

operation conditions) are recorded and evaluated by the competent personnel ? 

  Storage , Packaging And Transportation  General

 Ø        Are procedures defined for storage, packaging, and transportation?Ø        Before introduction of new storage, packaging and transportation methods, are the methods

evaluated with regard to environmental impacts?Ø        Is there an evaluation of the possibilities for the reduction of packaging material with the use of

recyclable packaging material?Ø        Are internal/external storage places equipped with safety installations to prevent negative

environmental impacts in case of fire and other emergency situations?Ø        Does this equipment comply with legal or comparable requirements? Ø        Is it assured that employee responsible for transportation and storage know and keep applicable

safety regulations?Ø        Are marking, transportation, storage, operation, packaging and disposal clearly regulated for all

listed hazardous materials?Ø        Are procedures and responsibilities defined for recording and evaluation of incidents in relation

to storage, packaging and transportation?Ø        Are regulations for transportation of hazardous goods which are kept outside of  the 

organisation’s site exist? 

  Assessment Of Environmental Data  Ø        Are procedures defined for continuous evaluation of :·          Energy, raw material and space consumption ·          Waste water ‘produced’, exhaust gases and waste volume·          Other effects on environment for example through the preparation of registers and balances

(input-output balance, establishment of environmental impacts?) Ø        Are this procedures suitable for the comprehensive evaluation in relation to continuous

reduction / avoidance of effects on the environment?  

  Risk Management  Ø        Is there an assessment potential environmental risk of at the site?Ø        Are emergency plans defined and available and :·          Are they sufficient with regards to the actual requirements and mock drills done·          Is the emergency plan distributed according to a distribution list at the site or within the

relevant organisational  units·          Are the employees educated systematically and regularly in the field? 

Ø        Does a procedure require to implement emergency plan as well as further possible improvements (e.g. via environmental circles) ?

 

Waste Management Ø        Is a waste management plan (WMP) defined which covers the total the total site or all relevant

organisational units? Is this WMP regularly updated?Ø        Does the WMP include :·          Clear statement about volume, origin, and disposal of waste·          Definition of type of wastes, which may result from abnormal operating conditions or

emergencies·          Definition of waste-types which are subject to special legal controls·          Statement about which waste is recycled summary overview of type and amount of waste that

facilities / units produce? Ø        Has there already been a continuous reduction of waste volume / hazardous material in the past

(for example resulting from WMP)? Ø        Are future measures planned for continuous reduction/avoidance of waste volume or hazardous

material in waste (for example based on WMP) ?Ø        Does the WMP also consider take back schemes for products and its recycling or disposal?Ø        Have all employees been motivated waste reduction ?     

 External Communication 

Contract with authorities Ø        Is there a procedure for information of authorities in case of :·          Facility operation approvals·          Reports to be submitted (based on environmental legislation)·          Environmentally relevant incidents? 

Customer information Ø        Is there a procedure for information about products and production methods? 

Other public communication Ø        Is there a procedure for handling complaints about environmental impacts from neighbours or

environmental organisations?Ø        Is there a procedure for information of the public in case of abnormal operation conditions or

emergencies?              ChList-ISO14001.doc