TABLE OF CONTENTS

NUMBER OF CHECKLIST ITEMS BY

CLAUSE/REQUIREMENT IN ANSI/ISO 14001-1996

Number of

Clause/Requirement Checklist Items Page

4.1 GENERAL REQUIREMENTS 0 -

4.2 ENVIRONMENTAL POLICY 9 3

4.3 PLANNING 15

4.3.1 Environmental Aspects 5 6

4.3.2 Legal and Other Requirements 1 8

4.3.3 Objectives and Targets 4 9

4.3.4 Environmental Management Program(s) 5 10

4.4 IMPLEMENTATION AND OPERATION 42

4.4.1 Structure and Responsibility 6 13

4.4.2 Training, Awareness, and Competence 6 15

4.4.3 Communication 4 17

4.4.4 Environmental Management System

Documentation 2 19

4.4.5 Document Control 11 20

4.4.6 Operational Control 9 24

4.4.7 Emergency Preparedness and Response 4 28

4.5 CHECKING AND CORRECTIVE ACTION 40

4.5.1 Monitoring and Measurement 5 30

4.5.2 Nonconformance and Corrective and

Preventive Action 12 32

4.5.3 Records 10 37

4.5.4 Environmental Management System Audit 13 41

4.6 MANAGEMENT REVIEW 10 47

Total Checklist Items 116

STATUS CODE DEFINITIONS

N: Nonconformance. Indicates a nonconformance of the environmental management system to the ISO 14001 Standard. Examples include, but are not limited to, system absences and nonconformance with documented policies, procedures, work instructions, and other defined requirements.

O: Opportunity for Improvement. Indicates a weakness of the environmental management system. This means that the element under consideration may conform to the intent of the ISO 14001 Standard, but has the potential to fail under certain circumstances. Examples include, but are not limited to, system elements which are in place but under-developed and/or misunderstood, as well as other findings of the auditors which may not be specifically required by the ISO 14001 Standard, but undermine the effectiveness of the environmental management system.

C: Conformance. Indicates that the element has been examined under the guidelines of the checklist and that no nonconformances were found. Note, however, that this does not necessarily mean that there are no nonconformances in the environmental management system element, only that none were found under the scope of the examination.

NA: Not Audited/Assessed or Not Applicable. Indicates that the element has not been examined under the scope of the audit or for other reasons which should be documented (e.g., lack of time, not applicable to department, etc.).

NOTE: Noncompliances (i.e., failure to comply with government environmental regulations) are not addressed directly and/or documented in these checklists as audit results. Such noncompliances may be documented on an environmental communication memo and given to management for action.

4.6 MANAGEMENT REVIEW
EMS CHECKLIST QUESTION
(ISO 14001 REQUIREMENT)
AUDITING GUIDELINES / REMARKS & EVIDENCE / STATUS **
1. Does the company’s top management periodically review the entirety of the environmental management system to ensure its continuing suitability, adequacy, and effectiveness?
(Clause 4.6)
Verify that management reviews address:
1. Reviews of environmental objectives, targets, and environmental performance,
2. Findings of EMS audits,
3. An evaluation of EMS effectiveness,
4. An evaluation of the continuing suitability of the EMS considering changing legislation and other requirements, changes in products or activities, advances in science & technology, etc.
2. Have all management personnel with executive responsibility for the environmental management system been directly and actively involved in the management review process?
(Clause 4.6)
Review the records to identify the participants in management reviews and state the evidence.
4.6 MANAGEMENT REVIEW
EMS CHECKLIST QUESTION
(ISO 14001 REQUIREMENT)
AUDITING GUIDELINES / REMARKS & EVIDENCE / STATUS **
3. Do all management personnel understand the purpose and value of the management review?
(Measure of Effectiveness for Clause 4.6)
Interview management personnel to assess their understanding of and commitment to the scope, purpose, and desired results of management reviews.
4. Do all managers involved in the management review have sufficient records, data, and other information to conduct the review effectively?
(Clause 4.6)
Interview personnel to verify that results of audits, appropriate performance indicator data, customer and other external complaints/concerns, and corrective action data are available and considered in management reviews.
5. Do records exist for the management reviews clearly stating who was involved, what factors were considered, what conclusions were reached, and what actions were taken?
(Clause 4.6)
Review records of the latest review to assess these criteria.
4.6 MANAGEMENT REVIEW
EMS CHECKLIST QUESTION
(ISO 14001 REQUIREMENT)
AUDITING GUIDELINES / REMARKS & EVIDENCE / STATUS **
6. Are the management reviews conducted at appropriately defined intervals?
(Clause 4.6)
Assess the appropriateness of the defined intervals considering:
1. The extent to which the EMS is developed and implemented,
2. The significance of potential or actual environmental aspects and impacts.
7. Does the management review address the possible need for changes to policy, objectives, and other elements of the EMS in light of EMS audit results, changing circumstances, and a commitment to continual improvement?
(Clause 4.6)
Review the records from the last management review, looking for these issues on the review agenda and the initiation, completion, and follow-up of appropriate corrective action.
4.6 MANAGEMENT REVIEW
EMS CHECKLIST QUESTION
(ISO 14001 REQUIREMENT)
AUDITING GUIDELINES / REMARKS & EVIDENCE / STATUS **
8. Do the management reviews include an investigation into the extent to which environmental objectives and targets have been met?
(Clause 4.6)
Review the records from the last management review, looking for these issues on the review agenda and the initiation, completion, and follow-up of appropriate corrective action.
9. Do the management reviews include an investigation into concerns communicated by the company’s employees and public constituents?
(Clause 4.6)
Review the records from the last management review, looking for these issues on the review agenda and the initiation, completion, and follow-up of appropriate corrective action.
10. Are necessary corrective actions generated and implemented as a result of the Management Review?
(Clause 4.6)
Interview key management personnel and review the records of the Management Review and resulting corrective actions.