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

EnvironmentalManagementSystemAssessmentChecklist

TableofContents

Introduction

EnvironmentalManagementSystemChecklist

[Clause#-Title]Page#

Introduction

ThisEnvironmentalManagementSystemAssessmentChecklistisatoolforunderstandingrequirementsofISO14001:

2015“Environmentalmanagementsystems–Requirementswithguidanceforuse”.TheChecklistcoversClauses4-10requirementswithprobingquestionsabouthowanorganizationhasaddressedrequirementsandwhatobjectiveevidenceisavailableinsupportofimplementation.Theresultinginformationmaybehelpfultoidentifyareaswhererequirementsarebeingmetorwheretheremaybegapsinunderstandingortheavailabilityofobjectiveevidence.BeawarethattheChecklistcouldbeagoodstartingpointforunderstandingthestatusofimplementationbutisnotintendedtobefullycomprehensiveinitsscopebutrathertoprovideguidanceandthoughtprovokingquestions.

TheframeworkusedinthedevelopmentoftheISO14001:

2015StandardwasbasedonAnnexSLofISO/IECDirectives,Part1,whichdefinesthebasicprocedures（includingclausenumbering）tobeusedinthedesignofnewISOStandardsandalsowhenISOStandardsarerevised.AsaresultyouwillseethisframeworkhereinISO14001:

2015aswellothermanagementsystemstandardsastheyuniformlyadoptthisnewhigh-levelstructure（HLS）.

Clauses4-10oftheISO14001:

2015Standardcontaintherequirementsthatorganizationsmustmeetpriortoregistration.TheadditionalclausesintheStandardandtheinformativeAnnexesprovideexplanations,understandingandguidancewhenimplementingtheserequirements.ISO14001:

2015alsohasanupdatedlistoftermsanddefinitionswhicharehelpfulinunderstandingrequirementsandexpectations.

EnvironmentalManagementSystemChecklist

ISO14001:

2015

Clause#

EnvironmentalManagementSystemRequirements

Documented

Information

Reference

ExplanatoryNotesandComments

4

4-Contextoftheorganization

4.1

Understandingtheorganizationanditscontext

∙Haveexternalandinternalissuesbeenidentifiedthatarerelevant&thataffecttheabilitytoachieveintendedoutcomes?

4.2

Understandingtheneedsandexpectationsofinterestedparties

∙Haveinterestedpartiesthatarerelevantbeenidentified?

∙Havetheirneedsandexpectationsbeendetermined?

∙Areanyoftheseneeds&expectationscomplianceobligations?

4.3

Determiningthescopeoftheenvironmentalmanagementsystem

∙Hastheorganizationdeterminedthescopeandboundariesofthemanagementsystem,considering:

oTheexternalandinternalissues;

oComplianceobligations;

oOrganizationalunit（s）,functionsandphysicalboundaries;

oItsactivities,productsandservices;

oItsauthority&abilitytoexercisecontrol&influence.

∙Isthescopemaintainedasdocumentedinformation?

∙Isthescopeavailabletointerestedparties?

4.4

EnvironmentalManagementSystem

∙Haveprocessesneededfortheenvironmentalmanagementsystembeenidentifiedandtheirinteractionsdefined?

∙Isthereevidenceofcontinualimprovement?

Additionalnotes:

ISO14001:

2015

Clause#

EnvironmentalManagementSystemRequirements

Documented

Information

Reference

ExplanatoryNotesandComments

5

5-Leadership

5.1

Leadershipandcommitment

Hastopmanagementdemonstratedleadershipandcommitmentby:

∙TakingaccountabilityfortheeffectivenessoftheEMS?

∙Establishingthepolicyandobjectivesthatarecompatiblewiththestrategicdirection&contextoftheorganization?

∙EnsuringintegrationoftheEMSrequirementsintobusinessprocesses?

∙EnsuringthatresourcesneededfortheEMSareavailable?

∙Communicatingtheimportanceofeffectiveenvironmentalmanagement&ofconformingtotheEMSrequirements?

∙EnsuringthattheEMSachievesitsintendedoutcomes?

∙Directing&supportingpersonstocontributetotheeffectivenessoftheEMS?

∙Promotingcontinualimprovement?

∙Supportingotherrelevantmgt.systemrolestodemonstratetheirleadership,asitappliestotheirareasofresponsibility?

5.2

EnvironmentalPolicy

Hastopmanagementestablishedanenvironmentalpolicythat

∙Isappropriatetothepurposeandcontextoftheorganization?

∙Providesaframeworkforsettingenvironmentalobjectives?

∙Includesacommitmenttoprotectionoftheenvironment&otherspecificcommitmentsrelevanttocontext?

∙Includesacommitmenttofulfillitscomplianceobligations?

∙Includesacommitmenttocontinualimprovement?

∙Ismaintainedasdocumentedinformation?

∙Iscommunicatedwithintheorganization?

∙Isavailabletointerestedparties?

5.3

Organizationalroles,responsibilitiesandauthorities

Hastopmanagementassuredthatresponsibilitiesandauthoritiesareassignedforrelevantrolesandcommunicatedthiswithintheorganization?

Hastopmanagementassignedtheresponsibilityfor:

∙EnsuringthattheEMSconformstorequirementsoftheISO14001:

2015Standard?

∙ReportingontheperformanceoftheEMS,includingenvironmentalperformancetotopmanagement?

Additionalnotes:

ISO14001:

2015

Clause#

EnvironmentalManagementSystemRequirements

Documented

Information

Reference

ExplanatoryNotesandComments

6

6-Planning

6.1

6.1.1

Actionstoaddressrisksandopportunities

General

Hastheorganizationdeterminedpotentialemergencysituationsthatcouldoccur,withinthescopeofEMS?

Isdocumentedinformationmaintainedofitsrisksandopportunitiesthatneedtobeaddressed?

6.1.2

EnvironmentalAspects

Haveenvironmentalaspectsofactivities,productsandservicesbeendetermined?

Hasalifecycleperspectivebeenconsidered?

Forenvironmentalaspectsthathavebeenidentifiedhaschange,abnormalconditionsandemergencysituationsbeentakenintoaccount?

Havesignificantenvironmentalaspectsbeenidentifiedusingestablishedcriteria?

Havesignificantenvironmentalaspectsbeencommunicated?

Isdocumentedinformationretainedfortheenvironmentalaspectsandimpacts,includingthosethataresignificant?

6.1.3

ComplianceObligations

Havecomplianceobligationsrelatedtoenvironmentalaspectsbeendeterminedaswellasaccesstotherequirements?

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:

2015

Clause#

EnvironmentalManagementSystemRequirements

Documented

Information

Reference

ExplanatoryNotesandComments

7

7-Support

7.1

Resources

Hastheorganizationdeterminedandprovidedtheresourcesneededfortheestablishment,implementation,maintenanceandcontinualimprovementoftheEMS?

7.2

Competence

Hastheorganization:

∙Determinedthenecessarycompetenceofpersondoingworkunderitscontrolthataffectsitsenvironmentalperformanceandabilitytofulfillitscomplianceobligations?

∙Ensuredthatthesepersonsarecompetentonthebasisofappropriateeducation,trainingorexperience?

∙Determinedtrainingneedsassociatedwithenvironmentalaspects?

7.3

Awareness

Hastheorganizationensuredawarenessofpersonsunderitscontrolof:

∙Theenvironmentalpolicy?

∙Thesignificantenvironmentalaspectsandpotentialenvironmentalimpactsofpeople’swork?

∙ThebenefitsofenhancedenvironmentalperformanceandtheimplicationsofnotconformingtoEMSrequirements?

7.4

7.4.1

Communication

General

Hastheorganizationestablished,implementedandmaintainedtheprocessesneededforinternalandexternalcommunications,including:

∙Whatitwillcommunicate?

∙Whenitwillcommunicate?

∙Withwhomtocommunicate?

∙Howtocommunicate?

Hastheorganizationtakenintoaccountitscomplianceobligationsandthatinformationisreliable?

Hastheorganizationrespondedtorelevantcommunication?

Isdocumentedinformationretainedasevidenceofcommunication?

7.4.2

InternalCommunication

HastheorganizationinternallycommunicatedinformationrelevanttotheEMS?

Hastheorganizationensuredthatcommunicationprocessenablepersonstocontributetocontinualimprovement?

7.4.3

ExternalCommunication

Hastheorganizationcommunicatedinformationexternallyasdefinedbytheorganizationscommunicationprocessesorasrequiredbyitscomplianceobligations?

7.5

7.5.1

Documentedinformation

General

DoestheEMSincludedocumentedinformationrequiredbythisInternationalStandard?

Documentedinformationdeterminedbytheorganizationtobenecessaryfortheeffectivenessoftheenvironmentalmanagementsystem?

7.5.2

Creatingandupdating

Hasthe