Audit Criteria ISO-14001 (2004)

Contents
Contents............................................................................................................................................................................................1
Purpose 1
Section 1 Environmental Policy (4.2)................................................................................................................................................2
Section 2 Environmental Aspects (4.3.1)...........................................................................................................................................2
Section 3 Legal and Other Requirements (4.3.2)................................................................................................................................3
Section 4 Objectives and Targets (4.3.3)............................................................................................................................................3
Section 5 Environmental Programs and Operational Controls (4.3.3, 4.4.6, 4.5.1)................................................................................4
Section 6 Resources, Roles, Responsibilities and Authority (4.4.1)......................................................................................................5
Section 7 Competence, Training and Awareness (4.4.2)......................................................................................................................5
Section 8 Communication, Documentation & Document Control (4.4.3, 4.4.4, 4.4.5)...........................................................................6
Section 9 Emergency Preparedness and Response (4.4.7)...................................................................................................................7
Section 10 Monitoring and Measurement (4.5.1)................................................................................................................................7
Section 11 Compliance Status (4.5.2)................................................................................................................................................7
Section 12 Nonconformity, Corrective Action and Preventive Action (4.5.3)........................................................................................8
Section 13 Control of Records (4.5.4)...............................................................................................................................................8
Section 14 Internal EMS Audit Program (4.5)....................................................................................................................................9
Section 15 Internal EMS Audit Procedure (4.5.5)...............................................................................................................................9
Section 16 Management Review (4.6)...............................................................................................................................................9

Purpose
The purpose of this document is to provide the criteria for the internal audit of the Environmental Management System (EMS) implemented at the
City of Norman.

Findings categories:

Major nonconformance: A significant number of minor findings against one element of the EMS. Entire element of the EMS is either missing
or severely deficient.
Minor nonconformance: A single nonconformance against an element of the EMS.
Opportunity for improvement (OFI): Though not a nonconformance, the EMS would be improved by addressing this observation.

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Section 1 Environmental Policy
No. Requirement Finding Relevant Documents Observations
1 Verify that the environmental policy is
appropriate to the nature, scale and
environmental impacts of the organization.
2 Verify that the environmental policy is dated
and subscribed by top management.
3 Verify that persons working for or on behalf of
the organization have received the
environmental policy.
4 Verify that the environmental policy is
available to the public.
5 Does the Environmental Policy contain terms
that can be used as the basis for setting
objectives and targets?
6 Does the policy contain basic commitments to
comply with legal and other requirements, to
continually improve the EMS and to employ
pollution prevention?

Section 2 Environmental Aspects

No. Requirement Finding Relevant Documents Observations
1 Verify that the organization has established and
maintains a procedure for identifying its
environmental aspects and determining which
ones are significant.
2 Verify that the organization has followed the
procedure.
3 Does the Aspects Procedure provide for new
activities and other changes?
4 Verify that the organization has identified and
documented its own activities, products and
services within the scope of its EMS that result
in environmental interactions
5 In selecting those activities, products and

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No. Requirement Finding Relevant Documents Observations
services, has the organization considered
whether it can either control or influence their
environmental interactions?

Section 3 Legal and Other Requirements

No. Requirement Finding Relevant Documents Observations
1 Verify that the organization has established and
maintains a procedure to identify legal and
other requirements that are applicable to the
aspects of its activities, products, and services.
2 Verify that the organization maintains
documentation of applicable legal and other
requirements for each of its aspects.
3 Are the legal and other requirements reflected
in the appropriate EMP?

Section 4 Objectives and Targets

No. Requirement Finding Relevant Documents Observations
1 Verify that the organization has established and
maintains a procedure for setting objectives
and targets for its EMS.
2 Verify that the objectives and targets are
consistent with the commitments in the
environmental policy, including compliance,
pollution prevention and continual
improvement.
3 Verify that the objectives and targets
established take into account the significant
aspects and legal and other requirements
previously identified.
4 Verify that the organization has established
performance indicators (measures) for
monitoring progress towards achieving its
objectives and targets.

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No. Requirement Finding Relevant Documents Observations
5 Verify that any existing views of interested
parties were considered when setting objectives
and targets.
6 Verify that technological options, financial,
operational, and organizational requirements
were considered in setting objectives and
targets, as applicable.

Section 5 Environmental Programs and Operational Controls

No. Requirement Finding Relevant Documents Observations
1 Verify that the organization has established and
maintains environmental management
programs (EMPs) and operational controls
(OCs).
2 Verify that EMPs have been updated to account
for organizational changes, if any.
3 Are targets and performance indicators
sufficiently detailed, quantified and measurable
to permit monitoring of progress?
4 Does the information in each EMP show the
links between objectives and targets,
performance indicators, tasks, roles and
responsibilities, and competencies?
5 Have the roles, responsibilities and
accountabilities defined in the EMPs been
communicated to relevant parties?
6 Is there proper declaration of competence for
those named in the EMP?
7 Verify that the information in the EMP was
generated in accordance with directions in the
EMS Procedures.
8 Verify that operational controls are included in
the EMP for all the activities, products and
services related to the significant aspects.
9 Verify that operational controls are being
monitored and maintained.

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Section 6 Resources, Roles, Responsibilities and Authority
No. Requirement Finding Relevant Documents Observations
1 Verify that roles, responsibilities and
accountabilities for tasks and functions related
to the EMS implementation and maintenance
are established and clearly communicated. (See
EMPs, OCs, Procs)
2 Verify that the organization has formally
designated an EMS Management
Representative (Coordinator).

Section 7 Competence, Training and Awareness

No. Requirement Finding Relevant Documents Observations
1 Verify that those associated with significant
aspects have been properly declared competent
to fulfill their EMS roles and responsibilities.
(See EMPs, OCs.)
2 Verify that the organization maintains a
procedure to ensure awareness of the
importance of conformity with the
environmental policy; the significant
environmental aspects of work and activities;
roles and responsibilities in achieving
conformity; and potential consequences of
deviation from specified procedures

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No. Requirement Finding Relevant Documents Observations
3 Verify that personnel understand the basic
concept of an EMS (e.g., structure, awareness,
participation)
What are some elements of an EMS
How does it relate to own work
What significant environmental
aspects do they interact with
What is the purpose of EMPs
What is the purpose of procedures
What is in the Policy?
4 Has awareness training been made available to
all in the organization?

Section 8 Communication, Documentation & Document Control

No. Requirement Finding Relevant Documents Observations
1 Verify that the organization has established a
procedure(s) for internal communications
regarding environmental aspects and the EMS
2 Verify that communications (internally and
with suppliers and contractors, and responding
to external interested parties) is being done in
accordance with procedures.
3 Verify that EMS documentation includes:
The environmental policy
Objectives and targets
Scope of the EMS
Description of the main elements of
the EMS
Documents and other records relevant
the effective functioning of the EMS
4 Verify that EMS documents are controlled:
Locatable, periodically reviewed, approved,
removed when obsolete, and available where
needed for effective EMS functioning.

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Section 9 Emergency Preparedness and Response
No. Requirement Finding Relevant Documents Observations
1 Verify that the organization has established and
maintains procedures to identify and manage
potential emergency situations and accidents.
2 Verify that the organization has established and
follows its procedure(s) to periodically review,
test and revise its emergency response
procedures.

Section 10 Monitoring and Measurement

No. Requirement Finding Relevant Documents Observations
1 Verify that the organization has established and
maintains a procedure(s) to monitor and
measure the key characteristics of its
organization that can have a significant
environmental impact.
2 Verify that the procedure(s) includes provisions
for documenting information in order to
monitor performance and conformity with
objectives and targets.
3 Verify that the organization uses and maintains
equipment its equipment to monitor and
measure and that associated records are
retained.

Section 11 Compliance Status

No. Requirement Finding Relevant Documents Observations
1 Verify that the organization has established and
maintains a procedure for conducting periodic
compliance status checks.
2 Verify by sampling that compliance status is
being monitored as intended in the procedure.

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Section 12 Nonconformity, Corrective Action and Preventive Action
No. Requirement Finding Relevant Documents Observations
1 Verify that the organization has established and
maintains a procedure for addressing actual
and potential nonconformities and for taking
corrective and preventive action.
2 Verify by sampling that the procedure defines
requirements for:
Identifying and correcting
nonconformities
Investigating and determining root
causes
Evaluating the need for taking action
Recording the results of actions taken
Reviewing the effectiveness of actions
taken

Section 13 Control of Records

No. Requirement Finding Relevant Documents Observations
1 Verify that the organization has established and
maintains a procedure for identifying, storing,
protecting, retrieving, retaining and disposing
of records.
2 Verify that records are legible, identifiable, and
traceable.

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Section 14 Internal EMS Audit Program
No. Requirement Finding Relevant Documents Observations
1 Does the Audit Program provide for effective,
reliable, periodic EMS audits?
2 Does the Audit Program allot resources for
EMS audits?
3 Is there a schedule or frequency for EMS
audits?
4 Verify that internal EMS auditors have been
selected.
5 Verify that audit team members have been
properly declared competent to conduct such
audits.

Section 15 Internal EMS Audit Procedure

No. Requirement Finding Relevant Documents Observations
1 Verify that the organization has established and
maintains a procedure for conducting periodic
internal EMS audits.
2 Have audits been done in accordance with the
procedure? See records for:
Audit plans
Audit criteria
Audit reports (findings and
conclusions, corrective and preventive
action)

Section 16 Management Review

No. Requirement Finding Relevant Documents Observations
1 Verify that the EMS Coordinator has provided
top management with all the necessary
information for the management review. This
includes:

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No. Requirement Finding Relevant Documents Observations
EMS Audit results
Communication(s) from external
interested parties, including complaints
The environmental performance of the
organization
Progress towards achievement of
objectives and targets
Regulatory compliance status
Status of corrective and preventive
actions
Follow-up actions from previous audits
Changing circumstances, including
developments in legal and other
requirements related to its
environmental aspects, and
Recommendations for improvement
2 Verify that the management review procedure
provides for management decisions and actions
for the continual improvement of the EMS.
3 Verify that top management made proper
determinations in their management review.
4 Verify the implementation status of all follow-
up actions resulting from the management
review.

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