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Preliminary Audit ISO 14001

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Preliminary Audit ISO 14001

Audit

General

Have they identified the scope of the Environmental Management System?

Describe the scope

What kind of EMS do they want?

Policy

Do they have an Environmental Policy?

Does the policy describe the EMS scope?

Does the policy require obedience to legal and other requirements?

Does the policy require continuous improvement?

Does the policy set objectives and targets?

Does the policy require communication to all on site?

Is the Policy signed by the most senior person on site?

Is the Policy available to the public?

Is a copy of the Policy on display?

Laws

Can they access environmental laws?

Do they have a procedure to identify and disseminate law changes?

Are laws cross referenced to Aspects?

Does a random person know about applicable environmental laws?

Have they done a Legal Compliance Audit?

Aspects

Have they identified their Environmental Aspects?

Are the Aspects reasonable and complete?

Have they identified their significant aspects?

Do they have a procedure to show how they identified and rated their aspects?

Objectives

Do they have a register of Objectives & Targets?

Can they produce a copy of their Objectives and Targets?

Are their targets measurable?

Have they identified steps to reach their targets?

Have they set up persons and time frames to get to their targets?

Have they made progress towards reaching their targets?

Accountabilities

Have they set Environmental Accountabilities?

Have they produced an accountabilities list with persons identified?

Does a random person know their accountabilities?

Have they appointed a person to report to Senior Management?

Procedures

Do they have written Proceduers?

Do they have a manual that identifies how their system works?

Does the manual cover all the requirements of ISO 14001?

Do they have written procedures for parts of their system as required by the Standard?

Training

Have they identified training requirements?

Do they have a training matrix?

Does the training matrix cover all the significant aspects?

Do they have a plan to provide training?

Has everybody been through awareness training?

Monitoring & Measurement

Have they identified measurements that show continuous improvement?

Are charts being prepared?

Copies of charts on notice boards?

Emergencies

Do they have an Emergency Procedure?

Have they trained persons in the emergency procedure?

Are the planning to practice an Emergency?

Records

Do they have a record keeping system?

Do they have a records procedure?

Are files ready for records?

Have they identified how long to keep records?

Management Review

Do they have a procedure for Management Review?

Have they completed at least one Management Review?

Did the Management Review cover all the topics required by the standard?

Auditing

Do they have an internal auditing procedure?

Is there an Auditor training plan?

Do they have an audit list?

Have they completed any internal audits?

Site inspections

Do they have a procedure for site inspections?

Do they have a site inspection list?

Have they done at least one site inspection?

Documentation

Do they have a working document control system?

Do they have a Document Control Procedure?

Does the document control procedure match what is happening?

Corrective & Preventative Action

Do they have a system to control non-conformances?

Is there a register to record non-conformances?

Is here at least one non- conformance?

Are there any completed (signed off) non-conformances?

Communications

Do they have a Communications Procedure?

Does the procedure cover all the required communications?

Dangerous Goods

Dangerous Goods

Do they have Dangerous Goods on site?

Have they identified applicable laws?

Have they notified regulatory agencies?

Have the Dangerous Goods been properly stored?

List deficiencies

Are the Dangerous Goods properly labelled?

Have they conducted a risk assessment for Dangerous Goods?

Have persons who handle Dangerous Goods been trained?

Are correct signs posted on Dangerous Goods stores?

Do they require a Dangerous Goods Manifest?

Has the Manifest been properly generated?

Have they provided copies of the Manifest to regulatory agencies?

Do they have MSDS for all Dangerous Goods?

Are MSDS available to all who handle Dangerous Goods?

Are MSDS less than 5 years old?