ISO 14001:2004 INTERNAL AUDIT CHECKLIST

4.1       General requirements
4.1	Is the EMS established, documented, implemented, maintained, and continually improved in accordance with ISO 14001 requirements?	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.
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 the environmental policy? §  Is it appropriate to the nature, scale and environmental impacts of the organization’s 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?	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)?
4.3       Planning
4.3.1    Environmental aspects
4.3.1	Is there a documented procedure to identify environmental aspects of the organization’s 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? Are environmental aspects identified?	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?
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    Legal and other requirements
4.3.2	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?	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?
4.3.2	Are the legal and other requirements taken into account in establishing, implementing and maintaining the EMS?	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.)?
4.3.3    Objectives, targets and programs
4.3.3	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)?	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?
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?	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?
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 for achieving objectives and targets?	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 projects, activities and developments?
Sections 4.4, 4.5, and 4.6 are not included in the Demo file