ISO 14001 internal audit checklist

Has the organisation identified the internal and external issues that affect its environmental management system, including environmental conditions that affect it or are affected by it, and are these reviewed?

Evidence: Context analysis with review date; reference to local conditions such as water stress, heat, air quality or ecology

Has the organisation decided whether climate change is a relevant issue for its environmental management system, and recorded the reasoning?

Evidence: Context analysis naming climate change and the conclusion; links to aspects, risks and objectives where relevant

Are relevant interested parties identified with their needs and expectations, including climate-related ones, and is it clear which have been adopted as compliance obligations?

Evidence: Interested parties register; link to the legal and other requirements register

Is the scope documented, taking account of the organisation's authority and ability to exercise control and influence, and does it include all activities, products and services within the boundary?

Evidence: Scope statement; site list; certificate scope; no unjustified exclusion of activities with significant aspects

Is the environmental management system established with its processes and their interactions, and does it run in practice as described?

Evidence: Process map or manual; sample of records from each process

Can top management show they take accountability for the effectiveness of the system, and that the policy and objectives fit the strategic direction and context?

Evidence: Interview with top management; business plan references to environmental objectives

Are environmental requirements built into business processes such as capital approval, procurement and design, and are resources made available?

Evidence: Capex approval forms with environmental criteria; budget lines; procurement procedure

Does top management communicate why effective environmental management matters and support other managers to show leadership in their areas?

Evidence: Leadership messages; site visits by management; staff interviews

Does the policy fit the organisation's purpose and context, give a framework for objectives, and commit to protecting the environment including prevention of pollution, fulfilling compliance obligations and continual improvement?

Evidence: Signed, dated policy checked against each required commitment

Is the policy maintained as documented information, communicated within the organisation and available to interested parties?

Evidence: Policy on website, notice boards and induction; staff can explain it

Are responsibilities and authorities for the system assigned and communicated, including reporting on environmental performance to top management?

Evidence: Organisation chart; job descriptions; appointment of system owner

Has the organisation determined the risks and opportunities related to its aspects, compliance obligations and context that need to be addressed, including potential emergency situations?

Evidence: Risk and opportunity register linked to aspects, legal register and context

Are the environmental aspects of activities, products and services that the organisation can control or influence identified, together with their impacts, covering normal, abnormal and emergency conditions?

Evidence: Aspects and impacts register covering every site and activity, including abnormal conditions such as start-up, shutdown and maintenance

Does the aspects identification take a life cycle perspective, considering the stages the organisation can control or influence, such as raw material sourcing, design, transport, use and end-of-life treatment?

Evidence: Aspects register entries for upstream and downstream stages; procurement and design aspects

Are criteria set for determining significant aspects, applied consistently, recorded, communicated, and updated when there are planned changes or new developments?

Evidence: Significance criteria; scored register; records of re-evaluation after changes

Has the organisation identified and got access to the compliance obligations related to its aspects (laws, permits, licences, and voluntary commitments) and determined how they apply?

Evidence: Legal and other requirements register with applicability notes; permits and licences with expiry dates; update mechanism

Are actions planned to address significant aspects, compliance obligations and risks and opportunities, integrated into the system's processes and evaluated for effectiveness, considering technology options and financial and operational requirements?

Evidence: Action plans traceable to significant aspects and risks; evidence of completion and review

Are environmental objectives set at relevant functions and levels, consistent with the policy, measurable where practicable, monitored, communicated and updated, taking account of significant aspects and compliance obligations?

Evidence: Objectives register with baselines, targets and current status

For each objective, is it defined what will be done, with what resources, who is responsible, when it will be completed, how results are evaluated (with indicators), and how the actions fit into business processes?

Evidence: Environmental programmes; progress reports

Are the resources needed for the system determined and provided, including people, infrastructure, technology and finance?

Evidence: Budget; staffing; equipment such as spill kits, treatment plant and monitoring instruments

Are competence needs defined for people whose work affects environmental performance or compliance, including training needs linked to aspects, and is training effectiveness evaluated?

Evidence: Competence matrix; training records for waste handlers, chemical storekeepers and plant operators; effectiveness checks

Are people aware of the policy, the significant aspects and impacts of their own work, their contribution to the system and the consequences of not meeting requirements, including compliance obligations?

Evidence: Interviews with operators and contractors; induction and toolbox talk records

Are internal and external communications planned (what, when, with whom, how), taking compliance obligations into account, and is the information communicated reliable and consistent with the system?

Evidence: Communication procedure or matrix; regulatory submissions

Is relevant information communicated across levels and functions, and can people working for the organisation contribute suggestions for improvement?

Evidence: Meeting minutes; notice boards; suggestion records

Is relevant information communicated externally as planned and as required by compliance obligations, and are external communications such as complaints received and answered?

Evidence: Regulator correspondence; environmental reports; complaint log and responses

Does the system include the documented information required by the standard and the documented information the organisation has decided it needs?

Evidence: Master list of documents and records

Are documents identified, in a suitable format and media, and reviewed and approved before issue?

Evidence: Document control procedure; approval history; revision status

Is documented information available where needed, protected, and controlled for distribution, storage, changes and retention, including external documents such as permits?

Evidence: Spot checks at point of use; retention schedule; external documents register

Are operating criteria set and processes controlled for activities linked to significant aspects, such as waste segregation, chemical storage, wastewater, emissions and energy use?

Evidence: Operational control procedures; site observation of waste areas, bunds and drains; operating logs

Are planned changes controlled and the consequences of unintended changes reviewed, with action taken to mitigate any adverse effects?

Evidence: Change records with environmental review; investigation of unplanned changes

Are outsourced processes controlled or influenced, with the type and extent of control defined in the system?

Evidence: Contracts for waste collection, maintenance and cleaning with environmental requirements; contractor monitoring records

Consistent with a life cycle perspective, are environmental requirements addressed in design and development, and determined for the procurement of products and services?

Evidence: Design review records with environmental criteria; purchasing specifications; supplier questionnaires

Are relevant environmental requirements communicated to external providers including contractors, and is information provided on significant impacts linked to transport, delivery, use, end-of-life treatment and disposal?

Evidence: Contractor induction; permit-to-work conditions; product information or take-back arrangements

Is the organisation prepared to respond to potential environmental emergencies (spills, fires, leaks, releases), with planned actions to prevent or mitigate impacts proportionate to the scale of the emergency?

Evidence: Emergency response plans; spill kits checked on site; firewater containment arrangements

Are response actions tested periodically where practicable, reviewed after drills and real emergencies, and are relevant people, including contractors, trained and informed?

Evidence: Drill records and debriefs; plan revisions; training records

Has the organisation decided what to monitor and measure, the methods, the criteria and indicators, and when results are analysed, and does it retain the results?

Evidence: Monitoring plan; emission, effluent, waste and resource use data; environmental KPIs

Is monitoring and measuring equipment calibrated or verified and used and maintained as appropriate?

Evidence: Calibration certificates for flow meters, stack monitors and noise meters; accredited laboratory reports

Is environmental performance and the effectiveness of the system evaluated, and is information on performance communicated internally and externally as required?

Evidence: Performance reports; trend charts against objectives; published reports where required

Is compliance with each obligation evaluated at a set frequency, with action taken where needed, and does the organisation keep up-to-date knowledge of its compliance status?

Evidence: Compliance evaluation records for each obligation; permit condition checks; actions on any gaps

Are internal audits carried out at planned intervals to check that the system conforms to the organisation's own requirements and the standard and is effectively implemented and maintained?

Evidence: Audit reports covering the full scope over the cycle

Does the audit programme consider the environmental importance of processes, changes affecting the organisation and previous results; are auditors objective and impartial; and are results reported to relevant management?

Evidence: Audit programme; auditor independence; audit plans; findings reported

Does top management review the system at planned intervals, considering previous actions, changes in context, aspects, compliance obligations and risks, achievement of objectives, environmental performance, compliance evaluation results, audit results, resources, communications from interested parties and improvement opportunities?

Evidence: Management review minutes checked against each required input

Do the outputs include conclusions on the continuing suitability, adequacy and effectiveness of the system, decisions on improvement, changes and resources, actions where objectives were missed, and any implications for strategic direction?

Evidence: Minutes with decisions, owners and dates; follow-up at the next review

Does the organisation determine and act on opportunities for improvement to achieve the intended outcomes of the system?

Evidence: Improvement projects; reductions in waste, water or energy intensity

When a nonconformity occurs, does the organisation control and correct it, deal with the consequences including mitigating environmental impacts, find the root cause, check for similar cases, take action, and review its effectiveness?

Evidence: Corrective action records with root cause; environmental incident reports; effectiveness checks

Is documented information retained on the nature of nonconformities, the actions taken and the results of corrective action?

Evidence: Nonconformity and corrective action log

Does the organisation continually improve the suitability, adequacy and effectiveness of the system to enhance environmental performance?

Evidence: Year-on-year performance trends; management review decisions implemented