ISO14001内部审核检查表英文版.docx

ISO14001内部审核检查表英文版.docx

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ISO14001内部审核检查表英文版

ISO14001:

2015

EnvironmentalManagementSystem

AssessmentChecklist

TableofContents

Introduction

EnvironmentalManagementSystemChecklist

[Clause#-Title]Page#

4-Contextoftheorganization4

5-Leadership6

6-Planning8

7-Support10

8-Operation13

9-Performanceevaluation15

10-Improvement18

Introduction

ThisEnvironmentalManagementSystemAssessmentChecklistisatoolforunderstandingrequirementsofIS014001:

2015“EnvironmentaimanagementsystemsRequ-ementswithguidanceforuse”.TheChecklistcoversClauses4-10requirementswithprobingquestionsabouthowanorganizationhasaddressedrequirementsandwhatobjectiveevidenceisavaiiabieinsupportofimpiementation.Theresuitinginformationmaybeheipfuitoidentifyareaswhererequirementsarebeingmetorwheretheremaybegapsinunderstandingortheavaiiabiiityofobjectiveevidence.BeawarethattheCheckiistcouidbeagoodstartingpointforunderstandingthestatusofimpiementationbutisnotintendedtobefuiiycomprehensiveinitsscopebutrathertoprovideguidanceandthoughtprovokingquestions.

TheframeworkusedinthedeveiopmentoftheIS014001:

2015StandardwasbasedonAnnexSLofIS0/IECDirectives,Part1,whichdefinesthebasicprocedures（inciudingciausenumbering）tobeusedinthedesignofnewIS0StandardsandaisowhenIS0Standardsarerevised.AsaresuityouwiiiseethisframeworkhereinIS014001:

2015asweiiothermanagementsystemstandardsastheyuniformiyadoptthisnewhigh-ieveistructure（HLS）.

Ciauses4-10oftheIS014001:

2015Standardcontaintherequirementsthatorganizationsmustmeetpriortoregistration.TheadditionaiciausesintheStandardandtheinformativeAnnexesprovideexpianations,understandingandguidancewhenimpiementingtheserequirements.IS014001:

2015aisohasanupdatediistoftermsanddefinitionswhichareheipfuiinunderstandingrequirementsandexpectations.

EnvironmentaiManagementSystemChecklist

ISO14001:

2015Clause#

EnvironmentaiManagementSystemRequirements

Documented

Information

Referenee

ExplanatoryNotesandComments

4

4-Contextoftheorganization

4.1

Understandingtheorganizationanditscontext

•Haveexternaiandinternalissuesbeenidentifiedthatarerelevant&thataffecttheabilitytoachieveintendedoutcomes?

4.2

Understandingtheneedsandexpectationsofinterestedparties

*Haveinterestedpartiesthatarerelevantbeenidentified?

*Havetheirneedsandexpectationsbeendetermined?

*Areanyoftheseneeds&expectationscomplianeeobligations?

4.3

Determiningthescopeoftheenvironmentalmanagementsystem

*Hastheorganizationdeterminedthescopeandboundariesofthemanagementsystem,considering:

oTheexternalandinternalissues;

oComplianeeobligations;

oOrganizationalunit（s）,functionsand

physicalboundaries;

oItsactivities,productsandservices;oItsauthority&abilitytoexercisecontrol&influenee.

*Isthescopemaintainedasdocumentedinformation?

*Isthescopeavailabletointerestedparties?

4.4

EnvironmentalManagementSystem

*Haveprocessesneededforthe

environmentalmanagementsystembeenidentifiedandtheirinteractionsdefined?

•Isthereevideneeofcontinualimprovement?

Additionalnotes:

ISO14001:

2015Clause#

EnvironmentaiManagementSystemRequirements

DocumentedInformation

Referenee

ExplanatoryNotesandComments

5

5-Leadership

5.1

Leadershipandcommitment

Hastopmanagementdemonstratedleadershipandcommitmentby:

*TakingaccountabilityfortheeffectivenessoftheEMS?

*Establishingthepolicyandobjectivesthatarecompatiblewiththestrategicdirection&

contextoftheorganization?

*EnsuringintegrationoftheEMSrequirementsintobusinessprocesses?

*EnsuringthatresourcesneededfortheEMSareavailable?

*Communicatingtheimportaneeofeffectiveenvironmentalmanagement&ofconformingtotheEMSrequirements?

*EnsuringthattheEMSachievesitsintendedoutcomes?

*Directing&supportingpersonstocontributetotheeffectivenessoftheEMS?

*Promotingcontinualimprovement?

*Supportingotherrelevantmgt.systemrolestodemonstratetheirleadership,asitappliestotheirareasofresponsibility?

5.2

EnvironmentalPolicy

Hastopmanagementestablishedanenvironmentalpolicythat

*Isappropriatetothepurposeandcontextoftheorganization?

*Providesaframeworkforsettingenvironmentalobjectives?

*Includesacommitmenttoprotectionoftheenvironment&otherspecificcommitmentsrelevanttocontext?

*Includesacommitmenttofulfillitscomplianeeobligations?

*Includesacommitmenttocontinualimprovement?

*Ismaintainedasdocumentedinformation?

*Iscommunicatedwithintheorganization?

*Isavailabletointerestedparties?

5.3

Organizationalroles,responsibilitiesandauthorities

Hastopmanagementassuredthatresponsibilitiesandauthoritiesareassignedforrelevantrolesandcommunicatedthiswithintheorganization?

Hastopmanagementassignedtheresponsibilityfor:

*EnsuringthattheEMSconformstorequirementsoftheIS014001:

2015Standard?

*ReportingontheperformaneeoftheEMS,includingenvironmentalperformaneetotopmanagement?

Additionalnotes:

ISO14001:

2015Clause#

EnvironmentaiManagementSystemRequirements

DocumentedInformation

Reference

ExplanatoryNotesandComments

6

6-Planning

6.1

6.1.1

ActionstoaddressrisksandopportunitiesGeneral

Hastheorganizationdeterminedpotentialemergencysituationsthatcouldoccur,withinthescopeofEMS?

Isdocumentedinformationmaintainedofitsrisksandopportunitiesthatneedtobeaddressed?

6.1.2

EnvironmentalAspects

Haveenvironmentalaspectsofactivities,productsandservicesbeendetermined?

Hasalifecycleperspectivebeenconsidered?

Forenvironmentalaspectsthathavebeenidentifiedhaschange,abnormalconditionsandemergencysituationsbeentakenintoaccount?

Havesignificantenvironmentalaspectsbeenidentifiedusingestablishedcriteria?

Havesignificantenvironmentalaspectsbeencommunicated?

Isdocumentedinformationretainedfortheenvironmentalaspectsandimpacts,includingthosethataresignificant?

6.1.3

ComplianeeObligations

Havecomplianeeobligationsrelatedtoenvironmentalaspectsbeendeterminedaswellasaccesstotherequirements?

Isdocumentedinformationretainedofthecomplianceobligations?

6.1.4

PlanningAction

Hastheorganizationplannedactionstoaddress:

*Theidentifiedsignificantenvironmentalaspects?

;

*Itscomplianceobligations?

;

*Itsrisksandopportunitiesidentifiedin6.1.1?

6.2

6.2.1

Environmentalobjectivesandplanningtoachievethem

Environmentalobjectives

Haveenvironmentalobjectivesbeenestablishedtakingintoaccountthesignificantenvironmentalaspects,complianceobligationsandconsidereditsrisksandopportunities?

Aretheenvironmentalobjectives:

*Measurable?

*Monitored?

*Communicated?

*Updated,asappropriate?

*Isdocumentedinformationmaintainedontheenvironmentalobjectives?

6.2.2

Planningactionstoachieveenvironmentalobjectives

Fortheidentifiedenvironmentalobjectiveshastheorganizationdetermined:

•Whatwillbedone?

•Whatresourcesarerequired?

•Whohasresponsibility?

*Whenitwillbecompleted?

*Howresultswillbeevaluated,includingindicatorsformonitoringprogresstowardachievement?

*Hastheorganizationconsideredhowactionstoachieveitsenvironmentalobjectivescanbeintegratedintotheorganizationsbusinessprocesses?

Additionalnotes:

ISO14001:

2015Clause#

EnvironmentaiManagementSystemRequirements

DocumentedInformation

Reference

ExplanatoryNotesandComments

7

7-Support

7.1

Resources

Hastheorganizationdeterminedandprovidedtheresourcesneededfortheestablishment,implementation,maintenanceandcontinualimprovementoftheEMS?

7.2

Competenee

Hastheorganization:

•Determinedthenecessarycompeteneeofpersondoingworkunderitscontrolthataffectsitsenvironmentalperformaneeandabilitytofulfillitscomplianceobligations?

•Ensuredthatthesepersonsarecompetentonthebasisofappropriateeducation,trainingorexperience?

•Determinedtrainingneedsassociatedwithenvironmentalaspects?

7.3

Awareness

Hastheorganizationensuredawarenessofpersonsunderitscontrolof:

*Theenvironmentalpolicy?

*Thesignificantenvironmentalaspectsandpotentialenvironmentalimpactsofpeoplework?

*ThebenefitsofenhancedenvironmentalperformanceandtheimplicationsofnotconformingtoEMSrequirements?

's

7.4

7.4.1

Communication

General

Hastheorganizationestablished,implementedandmaintainedtheprocessesneededforinternalandexternalcommunications,including:

*Whatitwillcommunicate?

*Whenitwillcommunicate?

*Withwhomtocommunicate?

*Howtocommunicate?

Hastheorganizationtakenintoaccountitscomplianceobligationsandthatinformationisreliable?

Hastheorganizationrespondedtorelevantcommunication?

Isdocumentedinformationretainedasevidenceofcommunication?

7.4.2

InternalCommunication

HastheorganizationinternallycommunicatedinformationrelevanttotheEMS?

Hastheorganizationensuredthatc