Professional Documents
Culture Documents
Refs Com
Requirements What to look for and how Auditor notes and evidence
pl
Sections 4.4, 4.5, and 4.6 are not included in the Demo file
4.1 General requirements
4.1 Is the EMS established, This catch-all question can only be answered
documented, implemented, at the end of the whole audit. Typically, if
maintained, and continually there is a noncompliance here, there must
improved in accordance with ISO be other major noncompliances somewhere
else in the system. If so, reference them in
14001 requirements? 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 Is the policy addressing the most important
the environmental policy? and severe environmental impacts (e.g. is
Is it appropriate to the nature, nontrivial)?
scale and environmental Are there explicit commitments to continual
impacts of the organization’s improvement? How are commitments to the
activities, products and prevention of pollution articulated? Are any
services? specific types of pollution named?
Does it include a commitment Are there explicit commitments to comply
to continual improvement and with legal requirement? Are there any other
prevention of pollution? requirements to which the organization
subscribes (for example, industry
Does it include a commitment guidelines)?
to comply with legal
requirements and with other Are the policy goals sufficiently specific, so
that particular objectives can be set for
requirements to which the
achieving these goals? Is there a clear
organization subscribes? relationship between the objectives and
Does it provide the framework targets set by the organization and its
for setting environmental environmental policy?
objectives and targets?
How is the policy documented? Is it
Is it documented, implemented authorized and/or approved by top
and maintained? management? Is the policy regularly
Is it communicated to all reviewed (management reviews)?
ISO 14001:2004 INTERNAL AUDIT CHECKLIST Doc: EF-55-03-3 Revision: A Pg. 2 of 5
Refs Com
Requirements What to look for and how Auditor notes and evidence
pl
4.3 Planning
4.3.1 Environmental aspects
4.3.1 Is there a documented procedure Who is responsible for identifying
to identify environmental aspects environmental aspects (team, individual)?
of the organization’s activities, Are there instructions/training explaining
products and services that the how to do it? How is it ensured that
environmental aspects are also identified for
organization controls and those planned or new activities, products and
that it can influence? services?
Does the procedure consider How many aspects have been identified? Is
planned or new developments, or it a broad pool of aspects that covers all
new or modified activities, activities, products and services? Are there
products and services? included ‘external’ aspects that the
organization can influence
Are environmental aspects (purchased/subcontracted products and
identified? services)?
How are aspects documented?
Refs Com
Requirements What to look for and how Auditor notes and evidence
pl
4.3.2 Are the legal and other How are legal and other requirements
requirements taken into account accounted for in the EMS (could be the
in establishing, implementing environmental policy, significant aspects,
and maintaining the EMS? objectives, programs, performance
monitoring, management reviews, etc.)?
Refs Com
Requirements What to look for and how Auditor notes and evidence
pl
Refs Com
Requirements What to look for and how Auditor notes and evidence
pl