Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT

Registrant use Doc. Reference Lev.1 Lev.2 Doc. Rev. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only

4.1 GENERAL REQUIREMENTS Has the organization established, documented, implemented, maintained and continually improved an EMS in accordance with requirements of ISO 14001:2004? Has it determined how it will fulfill these requirements?

Has the organization determined defined and documented the scope of its EMS? Annex: Has the organization: a) established an appropriate environmental policy? b) identified the environmental aspects arising from its past, existing or planned activities, products and services, in order to determine the environmental impacts of significance? c) Identified applicable legal requirements and other requirements to which it subscribes? d) identified priorities and set appropriate environmental objectives and targets?

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Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT
Registrant use Doc. Reference Lev.1 Lev.2 Doc. Rev. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only

e) established a structure and program(s) to implement the policy and achieve objectives and meet targets?

f) facilitated planning, control, monitoring preventive and corrective actions, auditing and review activities to ensure both that the policy is complied with and that the environmental management system remains appropriate? g) is capable of adapting to changes in circumstances?

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Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT
Registrant use Doc. Reference Lev.1 Lev.2 Doc. Rev. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only

4.2 ENVIRONMENTAL POLICY Has the organization's top management defined the organization's environmental policy to ensure this policy: a) Is appropriate to the nature, scale and environmental impacts of its activities, products or services? b) Includes a commitment to continual improvement and prevention of pollution? c) Includes a commitment to comply with relevant environmental legislation and regulations, and with other requirements to which the organization subscribes?

d) Provides the framework for setting and reviewing environmental objectives and targets?

e) Is documented, implemented and maintained and communicated to all employees? f) Is available to the public?

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Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. Reference Lev.2 Doc.1 Lev. Rev. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only Annex: Is the environmental policy defined and approved by the organization's top management? Is the environmental policy sufficiently clear to be capable of being understood by internal and external interested parties? Has the environmental policy been periodically reviewed and revised to reflect changing conditions and information? Is the area of application clearly identifiable? EF5.5-01 Rev 8/29/05 Page 4 of 35 .

Has the organization documented this information and kept it up to date? EF5.1 Lev.1 Environmental Aspects Has the organization established and maintained (a) procedure(s) that: a) identified the "environmental aspects" of its activities. taking into account planned or new developments. or services within the defined scope of the EMS that it can control and those that it can influence.5-01 Rev 8/29/05 Page 5 of 35 .Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. Reference Lev. or new or modified activities. products. products and services? b) Determined those aspects that have or can have significant impact(s) on the environment (i.2 Doc. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only 4.3 PLANNING 4. significant environmental aspects).e.. Rev.3.

Rev.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only Has the organization ensured that the significant environmental aspects are taken into account in establishing. Reference Lev.1 Lev. implementing and maintaining its EMS? EF5.2 Doc.5-01 Rev 8/29/05 Page 6 of 35 .

size. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only Annex: Does the organization consider such environmental aspects as: a) emissions to air b) releases to water c) releases to land d) use of raw materials and natural resources e) use of energy f) energy emitted e. e. heat.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. g) waste and by-products h) physical attributes.g. appearance EF5. Rev. color.1 Lev.5-01 Rev 8/29/05 Page 7 of 35 . vibrations.g.2 Doc. Reference Lev. shape. radiation.

Reference Lev.5-01 Rev 8/29/05 Page 8 of 35 . Rev.1 Lev.2 Doc. implemented an maintained a procedure(s) to: y a) identify and have access to the applicable legal requirements and other requirements to which the organization subscribes related to its environmental aspects y y y b) determine how these requirements apply to its environmental aspects? y y EF5.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only Has the organization established.

5-01 Rev 8/29/05 Page 9 of 35 .2 Doc. Rev. During Contract Review.1 Lev.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only Has the organization ensured that these applicable legal requirements and other requirements to which it subscribes are taken into account in establishing. have the customer environmental requirements been established and communicated to the Safety Director? y EF5. Reference Lev. implementing and maintaining its EMS? y Annex: Has the organization identified the legal requirements that are applicable to its environmental aspects. including: a) national and international requirements? b) state/provincial/departmental legal requirements? c) local government legal requirements.

implemented and maintained a program(s) for achieving its objectives and targets. operational and business requirements. and consistent with the environmental policy.3 Objectives. and the views of interested parties? Has the organization established. Reference Lev. Targets and Programs Has the organization established.2 Doc.3. and continual improvement? Has the organization taken into account the legal requirements and other requirements to which it subscribes and its significant environmental aspects? Has it also considered its technological options.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. where practical. implemented and maintained documented environmental objectives and targets at relevant functions and levels within the organization? Are objectives and targets measurable. including commitments to prevention of pollution.5-01 Rev 8/29/05 Page 10 of 35 . including: EF5. its financial. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only 4. Rev. compliance with applicable legal requirements and other requirements to which the organization subscribes.1 Lev.

Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc.5-01 Rev 8/29/05 Page 11 of 35 . On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only a) designation of responsibility for achieving objectives and targets at relevant functions and levels of the organization? b) The means and time-frame by which they are to be achieved? EF5.1 Lev.2 Doc. Rev. Reference Lev.

Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. where appropriate and practical. consideration of planning. Reference Lev. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only Annex: Are objectives and targets specific and measurable where practical? Do they cover short and long term issues? Does the program(s) include. design.1 Lev.2 Doc. Rev. production. marketing and disposal stages? EF5.5-01 Rev 8/29/05 Page 12 of 35 .

organizational infrastructure. Roles. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only 4.4 IMPLEMENTATION & OPERATION 4.1 Resources.4. including recommendations for improvement? EF5. Responsibility and Authority Has the organization ensured the availability of resources essential to establish. Reference Lev. implement. Rev. responsibilities and authorities been defined. documented and communicated in order to facilitate effective environment management? Has the organization’s top management appointed a specific management representative who irrespective of other responsibilities shall have defined roles. technology and financial resources? Are roles. implemented and maintained in accordance with the requirements of ISO 14001:2004? b) reporting to top management on the performance of the EMS for review. responsibilities and authority for: a) ensuring that EMS is established.1 Lev.5-01 Rev 8/29/05 Page 13 of 35 .2 Doc.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. maintain and improve the EMS? Resources include human resources and specialized skills.

and has it retained associated records? Has the organization identified training needs. Training and Awareness Has the organization ensured that any person(s) performing tasks for it or on its behalf that have the potential to cause a significant environmental impact(s) identified by the organization is (are) competent on the basis of appropriate education. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only 4. associated with its environmental aspects and its environmental management system? Has it provided training or taken other actions to meet these needs and retain associated records? Has the organization established. implemented and maintained a procedure(s) to make persons working for it or on its behalf aware of: EF5.2 Doc.5-01 Rev 8/29/05 Page 14 of 35 . Reference Lev.1 Lev. training or experience.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc.4. Rev.2 Competence.

5-01 Rev 8/29/05 Page 15 of 35 .Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. c) their roles and responsibilities in achieving conformance with the environmental policy and procedures and with the requirements of the environmental management system including emergency preparedness and response requirements. and the environmental benefits of improved personal performance? c) their roles and responsibilities in achieving conformity with the requirements of the EMS? d) the potential consequences of departure from specified procedures? the environmental benefits of improved personal performance.1 Lev. Rev. d) the potential consequences of departure from specified operating procedures? Annex: EF5. Reference Lev.2 Doc. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only a) the importance of conformity wit the environmental policy and procedures and with the requirements of the EMS? b) the significant environmental aspects and related actual or potential impacts associated with their work.

Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc.2 Doc. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only Are those persons whose work could cause significant environmental impact(s) identified by the organization competent to perform the tasks to which they are assigned? Are training needs identified and actions taken to ensure the provision of training? Are all persons aware of the organization's environmental policy and EMS and the environmental aspects of the organization's activities. Rev. Reference Lev. products and services that could be affected by their work? EF5.1 Lev.5-01 Rev 8/29/05 Page 16 of 35 .

Reference Lev. implemented and maintained a procedure(s) for: a) internal communication among the various levels and functions of the organization? b) receiving. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only 4. and has decision been documented? If the decision is to communicate.1 Lev.2 Doc. Rev.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. documenting and responding to relevant communication from external interested parties? Has the organization decided whether to communicate externally about its significant environmental aspects. has the organization established and implemented a method(s) for this external communication? EF5.5-01 Rev 8/29/05 Page 17 of 35 . has the organization established.4.3 Communication With regard to its environmental aspects and environmental management system.

Reference Lev. has the organization taken into consideration the views and information needs of all interested parties? If the organization decides to communicate externally on its environmental aspects. EF5.2 Doc.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. the organization may establish a procedure to do so.1 Lev.5-01 Rev 8/29/05 Page 18 of 35 . On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only Annex: Has the organization implemented a procedure for receiving. documenting and responding to relevant communications from interested parties? When considering external communication about environmental aspects. Rev.

5-01 Rev 8/29/05 Page 19 of 35 .Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc.4. and to provide direction on where to obtain more detailed information on the operation of specific parts of the EMS? EF5.1 Lev. objectives and targets? b) description of the scope of the EMS? c) description of the main elements of the EMS and their interaction and reference to related documents? d) documents. required by this International Standard? e) documents. operation and control of processes that relate to its significant environmental aspects? Annex Is the level of detail of the documentation sufficient to describe the EMS and how its parts work together. Reference Lev.2 Doc. determined by the organization to be necessary to ensure the effective planning. including records. Rev. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only 4.4 Documentation 1 Does the EMS documentation include: a) the environmental policy. including records.

Reference Lev.5 Control of Documents Are documents required by the EMS and by this International Standard controlled? Has the organization established.4.1 Lev.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. implemented and maintained a procedure(s) to: a) approve documents for adequacy prior to issue? b) review and update as necessary and reapprove documents? c) ensure that changes and the current revision status of documents are identified? d) ensure that relevant versions of applicable documents are available at points of use? e) ensure that documents remain legible and readily identifiable? f) ensure that documents of external origin determined by the organization to be necessary for the planning and operation of the environmental management system are identified and their distribution controlled? g) prevent the unintended use of obsolete documents and apply suitable identification to them if they are retained for any purpose? EF5. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only 4.5-01 Rev 8/29/05 Page 20 of 35 .2 Doc. Rev.

Rev.1 Lev.5-01 Rev 8/29/05 Page 21 of 35 . objectives and targets. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only 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? b) stipulating the operating criteria in the procedure(s)? EF5.4.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. implementing and maintaining a documented procedure(s) to control situations where their absence could lead to deviation from the environmental policy. in order to ensure that they are carried out under specified conditions.2 Doc. Reference Lev. by a) establishing.

including contractors? EF5.2 Doc. Reference Lev. implementing and maintaining procedures related to the identified significant environmental aspects of goods and services used by the organization and communicating applicable procedures and requirements to suppliers. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only c) establishing.5-01 Rev 8/29/05 Page 22 of 35 .Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. Rev.1 Lev.

Rev.5-01 Rev 8/29/05 Page 23 of 35 . in order to fulfill the requirements of its environmental policy and meet its objectives and targets? This should include all parts of its operations.1 Lev.2 Doc. Reference Lev. EF5.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. including maintenance activities. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only Annex: Has the organization evaluated those of its operations that are associated with its identified significant environmental aspects and ensure that they are conducted in a way that will control or reduce the adverse impacts associated with them.

revised its emergency preparedness and response procedures. implemented and maintained a procedure(s) to identify potential emergency situations and potential accidents that can have an impact(s) on the environment and how it will respond to them? Has the organization responded to actual emergency situations and accidents and prevented or mitigated associated adverse environmental impacts? Has the organization periodically reviewed and. after the occurrence of accidents or emergency situations? Has the organization also periodically tested such procedures where practicable? EF5.4. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only 4.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc.5-01 Rev 8/29/05 Page 24 of 35 .1 Lev.2 Doc. in particular. Rev.7 Emergency Preparedness and Response Has the organization established. Reference Lev. where necessary.

plans? e) the action(s) required to minimize environmental damage? f) mitigation and response action(s) to be taken for different types of accident or emergency situation? g) the need for a process(es) for post-accident evaluation to establish and implement corrective and preventive actions? EF5. has the organization considered: a) the nature of on-site hazards.1 Lev. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only Annex: In developing its procedure(s). Reference Lev.5-01 Rev 8/29/05 Page 25 of 35 . e..g.2 Doc.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. Rev.flammable liquids. storage tanks and compressed gases. and measures to be taken in the event of spillages or accidental releases? b) the most likely type and scale of an emergency situation or accident? c) the most appropriate method(s) for responding to an accident or emergency situation? d) internal and external comm.

1 Lev.g. Rev. plant.5-01 Rev 8/29/05 Page 26 of 35 . On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only h) periodic testing of emergency response procedure(s)? i) training of emergency response personnel? j) a list of key personnel and aid agencies. fire department.g. railway line)? m) the possibility of mutual assistance from neighboring organizations? EF5.2 Doc. spillage clean-up services)? k) evacuation routes and assembly points? I) the potential for an emergency situation(s) or accident(s) at a nearby facility (e. Reference Lev.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. including contact details (e. road.

1 Monitoring and Measuring Has the organization established.2 Doc.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. Rev. applicable operational controls and conformity with the organization's environmental objectives and targets? EF5.1 Lev.5-01 Rev 8/29/05 Page 27 of 35 .5. on a regular basis. implemented and maintained a procedure(s} to monitor and measure. the key characteristics of its operations that can have a significant environmental impact. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only 4. Reference Lev. Does the procedure(s} include the documenting of information to monitor performance.

On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only Has the organization ensured that calibrated or verified monitoring and measurement equipment is used and maintained and are associated records retained? Annex: When necessary to ensure valid results. EF5.2 Doc.1 Lev.5-01 Rev 8/29/05 Page 28 of 35 . Reference Lev. the basis used for calibration should be recorded. is measuring equipment calibrated or verified at measurement standards traceable to international or national measurement standards? If no such standards exist.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. Rev.

1 or to establish a separate procedure(s).2 Has the organization evaluated compliance with other requirements to which it subscribes? The organization may wish to combine this evaluation with the evaluation of legal compliance referred to in 4. including applicable permits or licenses? Has the organization demonstrated that it has evaluated compliance with the other identified requirements to which it has subscribed? EF5. has the organization established.5. Has the organization kept records of the results of the periodic evaluations? Annex: Has the organization demonstrated that it has evaluated compliance with the legal requirements identified.2. Rev. Reference Lev.1 Consistent with its commitment to compliance.2 Doc.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc.1 Lev. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only 4.2.5.2.5-01 Rev 8/29/05 Page 29 of 35 .5.2 Evaluation of Compliance 4. implemented and maintained a procedure(s) for periodically evaluating compliance with applicable legal requirements? 4.5.

Corrective Action and Preventive Action Has the organization established. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only 4. implemented and maintained a procedure(s) for dealing with actual and potential nonconformity(ies) and for taking corrective action and preventive action? Has the procedure(s) defined requirements for: a) identifying and correcting nonconformity(ies) and taking action(s) to mitigate their environmental impacts? b) investigating nonconformity(ies).5-01 Rev 8/29/05 Page 30 of 35 .1 Lev.2 Doc.3 Nonconformity.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. determining their cause(s) and taking actions in order to avoid their recurrence? c) evaluating the need for action(s) to prevent nonconformity(ies) and implementing appropriate actions designed to avoid their occurrence? d) recording the results of corrective action(s) and preventive action(s) taken? e) reviewing the effectiveness of corrective action(s) and preventive action(s) taken? Are actions taken appropriate to the magnitude of the problems and the environmental impacts encountered? EF5. Rev.5. Reference Lev.

2 Doc. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only Has the organization ensured that any necessary changes are made to EMS documentation? EF5. Reference Lev.1 Lev.5-01 Rev 8/29/05 Page 31 of 35 .Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. Rev.

identifiable and traceable? EF5.5-01 Rev 8/29/05 Page 32 of 35 . On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only 4. protection. Rev.2 Doc. and the results achieved? Has the organization established.5. storage.1 Lev.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc.4 Control of Records Has the organization established and maintained records as necessary to demonstrate conformity to the requirements of its EMS and of this International Standard. Reference Lev. implemented and maintained a procedure(s) for the identification. retrieval. retention and disposal of records? Has records remained legible.

implemented and maintained by the organization. established.5-01 Rev 8/29/05 Page 33 of 35 .1 Lev.2 Doc. frequency and methods? Has the selection of auditors and conduct of audits ensured objectivity and the impartiality of the audit process? EF5. implemented and maintained that address: a) the responsibilities and requirements for planning and conducting audits.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc.5 Internal Audit Has the organization ensured that internal audits of the EMS are conducted at planned intervals to: a) determine whether the EMS conforms to planned arrangements for environmental management including the requirements of this International Standard.5. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only 4. reporting results and retaining associated records? b) the determination of audit criteria. Rev. and has been properly implemented and is maintained? b) provide information on the results of audits to management? Have audit program(s) been planned. Reference Lev. scope. taking into consideration the environmental importance of the operation(s) concerned and the results of previous audits? Have audit procedure(s) been established.

On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only 4. adequacy and effectiveness? Have reviews included assessing opportunities for improvement and the need for changes to the environmental management system. including complaints? c) the environmental performance of the organization? d) the extent to which objectives and targets have been met? e) status of corrective and preventive actions? EF5.1 Lev. Reference Lev.6 Management Review Has top management reviewed the organization's EMS at planned intervals to ensure its continuing suitability.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc.2 Doc. including the environmental policy and environmental objectives and targets? Have records of the management reviews been retained? Does input to management reviews include: a) results of internal audits and evaluations of compliance with legal requirements and with the requirements to which the organization subscribes? b) communication(s) from external interested parties.5-01 Rev 8/29/05 Page 34 of 35 . Rev.

Rev.Organization/Location___Audit Type__ Auditor _ Date __ EMS DOCUMENTATION REVIEW & ON-SITE ASSESSMENT/AUDIT CHECKLIST ISO14001 REQUIREMENT/ELEMENT Registrant use Doc. including developments in legal and other requirements related to its environmental aspects? h) recommendations for improvement? Have the outputs from management reviews included any decisions and actions related to possible changes to environmental policy. targets and other elements of the environmental management system. On site Y/N/NA Y/N/NA Evidence/Comments For Auditor use only f) follow-up actions from previous management reviews? g) changing circumstances. objectives.1 Lev.5-01 Rev 8/29/05 Page 35 of 35 . consistent with the commitment to continual improvement? Annex Has the management review covered the scope of the EMS. although not all elements of the EMS need to be reviewed at once and the review process may take place over a period of time? EF5. Reference Lev.2 Doc.

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