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ISO 14001 AuditRequirements ChecklistRequirements vs Auditors AssessmentThis checklist is an example of the type of content available whenchoosing MyActiv templates to build your management systemin Activ. Activ is a fully cloud-based system offering a range ofmodules that support your business operations.From legal compliance to supplier management, Activ is an idealtool for any business looking to document and improve theirbusiness operations and to comply with ISO standards.www.myactiv.co.uk
ClausesUnderstanding the organisation and its context4.1Auditors will seek evidence that the organisation has identified relevantinternal and external issues and is reviewing them at periodic intervals (e.g. atmanagement reviews).Understanding the needs and expectations of relevant interested partiesAuditors will seek evidence that the organisation has been through a process4.2initially to identify these groups, and then to identify their requirements thatare relevant to their environmental management system. They will also checkthat this process is revisited periodically because the relevant requirements ofrelevant interested parties may change over time.4Determining the scope of the environmental management system4.3Auditors will seek to verify that the organisation’s scope exists as documentedinformation. They will look for evidence that it has been produced inconsideration of the organisation’s context, products and services.Environmental management system and its processesAuditors will look for evidence that a process-based management system exists4.4and that all the processes needed and their interactions are clearly identified.They will also look to verify that any improvement opportunities are beingexploited to improve the system and any documentation relating to it is beingkept up to date.Improve all aspects of your management system at www.myactiv.co.uk
ClausesLeadership and commitment5.1Auditors will seek evidence that top management has a “hands on” approachto the management and implementation of their environmental managementsystem.Environmental PolicyAuditors will seek evidence that top management have participated in thecreation of the environmental policy and are reviewing and maintaining it.55.2Auditors will check that the policy is appropriate to the organisation’s context,purpose and strategic direction and that it contains the commitments listedabove. They will also seek evidence that the organisation’s environmentalobjectives are consistent with the policy and that the policy has been endorsedby top management.Organisational roles, responsibilities and authoritiesAuditors will seek evidence that the organisation’s people have not only been5.3advised of their responsibilities and authorities, but that they understand howit affects the environmental management system and what it is intended toachieve.Improve all aspects of your management system at www.myactiv.co.uk
ClausesActions to address risks and opportunities6.1.1Auditors will seek evidence that confirms that an organisation has a methodologyin place that enables them to effectively identify risks and opportunities, andimplements plans to mitigate/exploit them.Environmental aspects6.1.2Auditors will assess if the organisation has implemented a systematic and wideranging approach to identifying, assessing and communicating its environmentalaspects.6.1Determination of legal requirements and other requirementsAuditors will test whether all relevant requirements have been identified and6.1.3that documented information on them is available. They will also assess howeffective the processes are at keeping the organisation up to date with changes torequirements.Planning action6.1.3Auditors will check the documentation available relating to the plans in place andassess whether they take into account the requirements of the clause.Environmental objectivesAuditors will verify that objectives have been established that satisfy these6.2.1requirements. These will assess whether the objectives are proportionate tothe scale, complexity and nature of the organisation and the current level ofenvironmental performance that it has achieved.6.2Planning to achieve environmental objectives6.2.2Auditors will look for evidence that effective planning is taking place to supportthe achievement of the organisation’s environmental objectives and that thoseplans are available as documented information.Improve all aspects of your management system at www.myactiv.co.uk
Clauses7.1Resources7.1.1Auditors will assess how the organisation has assessed its resource needs andwhether it has, or is, taking appropriate actions to provide those.Competence7.1Auditors will review competence information available for the specified roles7.2.1within the organisation, together with the criteria identified and maintained.Auditors will check that organisations have taken or are taking appropriate stepsto close any competency gaps identified.Awareness7.3Auditors will test the organisation’s workers’ level of awareness of the7.3.1environmental management system, hazards and risks relevant to them,environmental performance and incident investigations undertaken and theirfindings.Communication - General7.4.1Auditors will assess communication processes established against therequirements above and verify that appropriate records are retained.7.4Internal communication7.4.2Auditors will assess communication processes established against therequirements above and verify that appropriate records are retained.Documented information - GeneralAuditors will assess whether the extent of the documented information created,7.5.1maintained and retained is appropriate to the size of the organisation, the typeof activities and processes it undertakes, the products and services it offers, theenvironmental legal and other requirements applicable to it, and the complexityof its processes.7.5Creating and updating documented information7.5.2Auditors review the procedures, processes and tools employed to comply withthese requirements and sample different types of documented information totest their effectiveness.Control of documented information7.5.3Auditors review the procedures, processes and tools employed to comply withthese requirements, and sample different types of documented information totest their effectiveness.Improve all aspects of your management system at www.myactiv.co.uk
ClausesOperational planning and controlAuditors will assess whether the organisation has designed and implemented8.1appropriate controls for its environmental processes and review what evidenceis available to confirm that those controls are effective. They may also test theeffectiveness of a sample of controls.8Emergency preparedness and response8.2Auditors will review the documented information available and assess theextent to which the processes have been implemented and comply with therequirements above.Improve all aspects of your management system at www.myactiv.co.uk
ClausesMonitoring, measurement, analysis and performance evaluation9.1.2Auditors will review the documented information available and assess theextent to which the processes have been implemented and comply with therequirements above.9.1Evaluation of complianceAuditors will review the documented information available and assess the9.1.2extent to which the processes have been implemented and comply with therequirements above. They will also check the robustness of the complianceevaluations undertaken.Internal audit – GeneralAuditors will review the timing of audits to assess whether they are done in9.2.1accordance with a plan. They will also check the audit criteria, scope andmethodology applied to test whether the audits are assessing the requirementsabove.9.2Internal audit programmeAuditors will review the documented information relating to audit programmes9.2.2and audits undertaken. The basis of the audit programme will be tested againstcriteria above. Individual audits will be sampled and tested against the criteriaabove.Management review9.3Auditors will check the documented information available relating to the9.3.1management reviews and potentially discuss the process with those involved.From this information they will assess the process employed against the criteriaabove.Improve all aspects of your management system at www.myactiv.co.uk
ClausesImprovement - General10.1Auditors will make an overall assessment of the degree to which themanagement system is being improved in addition to exploring areas of potentialimprovement with a sample of processes and activities.Nonconformity and corrective actionAuditors will check the documented information available relating to incidents1010.2and nonconformities and potentially discuss the process with those involved.From this information they will assess the process employed against the criteriaabove.Continual improvementAuditors will check the documented information available relating to incidents10.3and nonconformities and potentially discuss the process with those involved.From this information they will assess the process employed against the criteriaabove.Improve all aspects of your management system at www.myactiv.co.uk
ISO 14001 Audit Requirements Checklist Requirements vs Auditors Assessment This checklist is an example of the type of content available when choosing MyActiv templates to build your management system in Activ. Activ is a fully cloud-based system offering a range of modules that support your business operations. From legal compliance to supplier management, Activ is an ideal tool for any .
