ISO14001内部审核检查表英文版.docx

1、ISO14001内部审核检查表英文版ISO14001:2015Environmental Management SystemAssessment ChecklistTable of ContentsIntroductionEnvironmental Management System ChecklistClause # - Title Page #4- Context of the organization 45- Leadership 66- Planning 87- Support 108- Operation 139- Performance evaluation 1510- Impro

2、vement 18IntroductionThis Environmental Management System Assessment Checklist is a tool for understanding requirements of IS014001:2015 “ Environmentai management systems Requ-ements with guidance for use”. The Checklist covers Clauses 4-10 requirements with probing questions about how an organizat

3、ion has addressed requirements and what objective evidence is avaiiabie in support of impiementation. The resuiting information may be heipfui to identify areas where requirements are being met or where there may be gaps in understanding or the avaiiabiiity of objective evidence. Be aware that the C

4、heckiist couid be a good starting point for understanding the status of impiementation but is not intended to be fuiiy comprehensive in its scope but rather to provide guidance and thought provoking questions.The framework used in the deveiopment of the IS014001:2015 Standard was based on Annex SL o

5、f IS0/IEC Directives, Part 1, which defines the basic procedures (inciuding ciause numbering) to be used in the design of new IS0 Standards and aiso when IS0 Standards are revised. As a resuit you wiii see this framework here in IS014001:2015 as weii other management system standards as they uniform

6、iy adopt this new high-ievei structure (HLS).Ciauses 4-10 of the IS014001:2015 Standard contain the requirements that organizations must meet prior to registration. The additionai ciauses in the Standard and the informative Annexes provide expianations, understanding and guidance when impiementing t

7、hese requirements. IS014001:2015 aiso has an updated iist of terms and definitions which are heipfui in understanding requirements and expectations.En vir onmen tai Man ageme nt System ChecklistISO14001:2015 Clause #En viro nmen tai Man ageme nt System Requireme ntsDocume ntedIn formati onRefere nee

8、Expla natory Notes and Comme nts44 - Con text of the orga ni zati on4.1Understanding the organization and its con text Have exter nai and internal issues bee n ide ntified that are releva nt & that affect the ability to achieve inten ded outcomes?4.2Un dersta nding the n eeds and expectatio ns of in

9、 terested parties*Have in terested parties that are releva nt bee n ide ntified?*Have their n eeds and expectati ons bee n determ in ed?*Are any of these n eeds & expectati ons complia nee obligati ons?4.3Determi ning the scope of the en vir onmen tal man ageme nt system*Has the orga ni zati on dete

10、rm ined the scope and bou ndaries of the man ageme nt system, con sideri ng:o The exter nal and internal issues;o Complia nee obligati ons;o Orga ni zati onal un it(s), fun cti ons andphysical bou ndaries;o Its activities, products and services; o Its authority & ability to exercise con trol & in fl

11、ue nee.*Is the scope maintained as docume nted in formati on?*Is the scope available to in terested parties?4.4En vir onmen tal Man ageme nt System*Have processes n eeded for theen vir onmen tal man ageme nt system bee n identified and their interactions defined?Is there evide nee of con ti nual imp

12、roveme nt?Additi onal no tes:ISO14001:2015 Clause #En viro nmen tai Man ageme nt System Requireme ntsDocume nted In formati onRefere neeExpla natory Notes and Comme nts55 - Leadership5.1Leadership and commitme ntHas top man ageme nt dem on strated leadership and commitme nt by:*Taking accou ntabilit

13、y for the effective ness of the EMS?*Establish ing the policy and objectives that are compatible with the strategic directi on &con text of the orga ni zati on?*En suri ng in tegrati on of the EMS requireme nts into bus in ess processes?*En suri ng that resources n eeded for the EMS are available?*C

14、ommu ni cati ng the importa nee of effective en vir onmen tal man ageme nt & of con form ing to the EMS requireme nts?*En suri ng that the EMS achieves its inten ded outcomes?*Direct ing & support ing pers ons to con tribute to the effective ness of the EMS?*Promoti ng con ti nual improveme nt?*Supp

15、ort ing other releva nt mgt. system roles to dem on strate their leadership, as it applies to their areas of resp on sibility?5.2En vir onmen tal PolicyHas top man ageme nt established an en viro nmen tal policy that*Is appropriate to the purpose and con text of the orga ni zati on?*Provides a frame

16、work for sett ing en vir onmen tal objectives?*In cludes a commitme nt to protecti on of the en vir onment & other specific commitme nts releva nt to con text?*In cludes a commitme nt to fulfill its complia nee obligati ons?*In cludes a commitme nt to con ti nual improveme nt?*Is mai ntai ned as doc

17、ume nted in formati on?*Is commu ni cated within the orga ni zati on?*Is available to in terested parties?5.3Orga ni zati onal roles, resp on sibilities and authoritiesHas top man ageme nt assured that resp on sibilities and authorities are assig ned for releva nt roles and commu ni cated this withi

18、 n the orga ni zati on?Has top man ageme nt assig ned the resp on sibility for:*En suri ng that the EMS con forms to requirements of the IS014001:2015 Standard?*Report ing on the performa nee of the EMS, in cludi ng en viro nmen tal performa nee to top man ageme nt?Additi onal no tes:ISO14001:2015 C

19、lause #En viro nmen tai Man ageme nt System Requireme ntsDocume nted In formati onRefere nceExpla natory Notes and Comme nts66 - Pla nning6.16.1.1Actions to address risks and opport un ities Gen eralHas the organization determined potential emergency situati ons that could occur, with in the scope o

20、f EMS? Is documented information maintained of its risks and opportu nities that n eed to be addressed?6.1.2En viro nmen tal AspectsHave en viro nmen tal aspects of activities, products and services bee n determ in ed?Has a life cycle perspective bee n con sidered?For environmental aspects that have

21、 been identified has cha nge, abn ormal con diti ons and emerge ncy situati ons bee n take n into accou nt?Have significant environmental aspects been identified using established criteria?Have sig nifica nt en viro nmen tal aspects bee n commu ni cated?Is documented information retained for the en

22、viro nmen tal aspects and impacts, in cludi ng those that are sig nifica nt?6.1.3Complia nee Obligati onsHave complia nee obligati ons related to en viro nmen tal aspects bee n determ ined as well as access to the requireme nts?Is documented information retained of the compliance obligati ons?6.1.4P

23、la nning Actio nHas the orga ni zati on pla nned acti ons to address:*The ide ntified sig nifica nt en vir onmen tal aspects?;*Its complia nce obligati on s?;*Its risks and opportunities identified in 6.1.1?6.26.2.1En viro nmen tal objectives and pla nning to achieve themEn viro nmen tal objectivesH

24、ave en viro nmen tal objectives bee n established tak ing into accou nt the sig nifica nt en vir onmen tal aspects, compliance obligations and considered its risks and opportu nities?Are the en viro nmen tal objectives:*Measurable?*Mon itored?*Commu ni cated?*Updated, as appropriate?*Is docume nted

25、in formatio n mai ntai ned on the en vir onmen tal objectives?6.2.2Pla nning acti ons to achieve en vir onmen tal objectivesFor the identified environmental objectives has the orga ni zati on determ in ed:What will be done?What resources are required?Who has resp on sibility?*When it will be complet

26、ed?*How results will be evaluated, in clud ing indicators for monitoring progress toward achieveme nt?*Has the orga ni zati on con sidered how acti ons to achieve its en viro nmen tal objectives can be in tegrated into the orga ni zati ons bus in ess processes?Additi onal no tes:ISO14001:2015 Clause

27、 #En viro nmen tai Man ageme nt System Requireme ntsDocume nted In formati onRefere nceExpla natory Notes and Comme nts77 - Support7.1ResourcesHas the organization determined and provided the resources n eeded for the establishme nt, impleme ntati on, maintenance and contin ual improvement of the EM

28、S?7.2Compete neeHas the orga ni zati on:Determ ined the n ecessary compete nee of pers on doing work un der its con trol that affects its en viro nmen tal performa nee and ability to fulfill its compliance obligations?En sured that these pers ons are compete nt on the basis of appropriate educati on

29、, training or experie nce?Determ ined trai ning n eeds associated with en vir onmen tal aspects?7.3Aware nessHas the orga ni zati on en sured aware ness of pers ons un der its con trol of:*The en viro nmen tal policy?*The sig nifica nt en viro nmen tal aspects and pote ntial en viro nmen tal impacts

30、 of people work?*The ben efits of enhan ced en viro nmen tal performa nce and the implicatio ns of not conforming to EMS requireme nts?s7.47.4.1Communi cati onGen eralHas the orga ni zati on established, impleme nted and maintained the processes n eeded for internal and exter nal commu ni cati ons,

31、in cludi ng:*What it will commu ni cate?*When it will commu ni cate?*With whom to commu ni cate?*How to commu ni cate?Has the organization taken into account its compliance obligations and that information is reliable?Has the orga ni zati on resp on ded to releva nt commu ni cati on?Is docume nted in formati on reta ined as evide nce of commu ni cati on?7.4.2Internal Communi cati onHas the organization internally communicated in formatio n releva nt to the EMS?Has the orga ni zati on en sured that c