Clause /

Requirements – IS/ISO 14001:2004

Process/Function

A B C

/ CHECKLIST FOR EMS

Findings

C - Conformity N - Non-conformity
X - Not applicable XX – Not assessed
A / B / C / Comments/Remarks
4.1 /
EMS established and maintained
-How long it is operational
-Scope of EMS defined and documented
4.2 /
Environmental Policy
-Defined by top management
-Includes commitment to continual improvement
-Includes commitment to legal and other requirements related to environmental aspects
-Displayed
-Communicated
-Awareness
-Implemented at all levels
-How made available to public
4.3
4.3.1 /
Planning
Environmental Aspects
-Identified
-Evaluated for significance
-No. of significant aspects
-Documented and kept up to date
-Significant aspects considered for implementing EMS
4.3.2 /
Legal and other Requirements
-identified
-have access
-linkages with aspects
-considered for implementing EMS
4.3.3 / Objectives, Targets and Programmes
-established, maintained & documented
-No. of objectives, targets and Programmes
-Consistent with Environmental Policy and legal requirements
-Consideration of:
-Financial/operational/business requirements
-Views of interested parties
-Availability of programmes to achieve objectives and targets of relevant functions/levels
-responsibility, resources and time frame specified
Auditee (Organization)
M/s
/ Sign. of
Auditor
Doc: MSC-F6.4-22(EMS) Date : JUL 2007 Approved by : ADG
Issue: 01 Page: 1 of 6
Clause /

Requirements – IS/ISO 14001:2004

Process/Function

A B C

/ CHECKLIST FOR EMS

Findings

C - Conformity N - Non-conformity
X - Not applicable XX – Not assessed
A / B / C / Comments/Remarks
4.4
4.4.1 / Implementation and Operation
Resources, roles, responsibility and authority
- Roles, Responsibilities and Authorities
- defined
- documented
- communicated
- Resources allocated (human, financial, technical, organization infrastructure)
- MR appointed by top management
- MR has defined roles, responsibility and authority for:
- ensuring establishment, implementation and maintenance of EMS
-reporting performance and recommendations for improvement of EMS to top management
4.4.2 /
Competence, Training, Awareness
-Identification of training needs related to aspects & its EMS
-EMS awareness & policy training
-Emergency preparedness
-Skill/competence training
-Roles/responsibilities
-Evaluation of training
-Training of contractors, suppliers
-Training calendar
-External Trainings
-Maintenance of associated records
4.4.3 /
Communication
-Mode of internal communication
-Handling of external communications
-Decision on external communication of significant aspects and documenting its decision
-Suggestion scheme/complaint register
Auditee (Organization)
M/s
/ Sign. of
Auditor
Doc: MSC-F6.4-22(EMS) Date : JUL 2007 Approved by : ADG
Issue: 01 Page: 2 of 6
Clause /

Requirements – IS/ISO 14001:2004

Process/Function

A B C

/ CHECKLIST FOR EMS

Findings

C - Conformity N - Non-conformity
X - Not applicable XX – Not assessed
A / B / C / Comments/Remarks
4.4.4 /
Documentation
-paper form or electronic form
-core elements including policy, objectives & targets and their interaction addressed
-Description of scope & EMS
-List of available documents, including records
-linkage with other management system
-master list of all documents
4.4.5 /
Control of documents
-proper document control procedures
-Approved, reviewed, updated and re-approved
-availability at pertinent location
-Identification & control of documents of external origin
-removal of obsolete documents
-if retained, how identified
4.4.6 /

Operational Control

- operations or activity related with significant environmental aspects identified and documented procedure available
- operating criteria specified
- goods and services covered by the procedure
- suppliers and contractors apprised of procedures
- procedures implemented
4.4.7 / Emergency preparedness and response
-potential emergencies and accidentsidentified
-system for response and equipment availability
-disaster management plan
-mock-drills & evaluation
- review after accidents/ emergencies
Auditee (Organization)
M/s
/ Sign. of
Auditor
Doc: MSC-F6.4-22(EMS) Date : JUL 2007 Approved by : ADG
Issue: 01 Page: 3 of 6
Clause /

Requirements – IS/ISO 14001:2004

Process/Function

A B C

/ CHECKLIST FOR EMS

Findings

C - Conformity N - Non-conformity
X - Not applicable XX – Not assessed
A / B / C / Comments/Remarks
4.5
4.5.1 / CheckingMonitoring & Measurement-Any measuring or monitoring activity
-key characteristics identified
-periodicity for measurement
-calibration of instruments & retaining associated records
4.5.2 / Evaluation of compliance
-monitoring of legal & other requirements
-Evaluation of compliance to legal & other requirements
-Availability of records of results of periodic evaluation
4.5.3 / Non-Conformity, Corrective Action & Preventive Action
-handling & investigating actual and potential non-conformities
-Corrective and Preventive Action, who is authorized
-Recording the results of corrective & preventive actions taken
-Reviewing the effectiveness
4.5.4 / Control of records
-List of records & theirretention period
-Identifiable
-Traceable to the activity
-Retrievability
-Protected against damage, deterioration and loss
-Master list of records
- Disposal of records
Auditee (Organization)
M/s
/ Sign. of
Auditor
Doc: MSC-F6.4-22(EMS) Date : JUL 2007 Approved by : ADG
Issue: 01 Page: 4 of 6
Clause /

Requirements – IS/ISO 14001:2004

Process/Function

A B C

/ CHECKLIST FOR EMS

Findings

C - Conformity N - Non-conformity
X - Not applicable XX – Not assessed
A / B / C / Comments/Remarks
4.5.5 /
Internal audits
-Whether procedure cover planning of internal audit
-Whether audits are based on Status and importance of activity audit plan/schedule
-frequency
-who carries out audit
-no. of trained auditors including lead auditors
-how trained
-whether results are recorded and by whom
-communicated to auditee
-results of audit available in the Deptt.
-verification of corrective actions
-non-conformances cleared
-results of internal audit referred to management
4.6 / Management Review
-chaired by whom
-periodicity
-proper agenda circulated
-contents of agenda
-minutes prepared and circulated
-commitment to continual improvement
Auditee (Organization)
M/s
/ Sign. of
Auditor
Doc: MSC-F6.4-22(EMS) Date : JUL 2007 Approved by : ADG
Issue: 01 Page: 5 of 6
Clause

(as applicable, if any)

/

Requirements – IS/ISO 14001:2004

Process/Function

/ OBSERVATIONS FOR EMS

OBSERVATIONS

/ Comments/Remarks
Auditee (Organization)
M/s
/ Sign. of
Auditor
Doc: MSC-F6.4-22(EMS) Date : JUL 2007 Approved by : ADG
Issue: 01 Page: 6 of 6