ISO 14001:2015 RE-CERTIFICATION AUDIT

Organisation Assessed

Date Of Review

Assessor

Organisation Representative

Time Of Arrival

Time Of Departure

RECOMMENDATION FOLLOWING AUDIT

For internal use only

Approved by:

Name:

Signature

Note!
It must be remembered that any audit is a snapshot of the activities of the company with regards to
its compliance to the Standard at the time of the Audit.
Absence of comment does not imply that other non conformances are not present which may be
identified at subsequent internal or external audits.
The following comments and recommendations are to clarify the discussions and evidence observed
through the Internal Review. They are to be agreed with the company, as the minimum action plan,
and progress will be discussed at the next review

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 ISO 14001:2015 RE-CERTIFICATION AUDIT

Opening Meeting:

Audit outcome:

Closing Meeting:

Assessor Name:

Date: RelatedFindings

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 ISO 14001:2015 RE-CERTIFICATION AUDIT

Audit Findings Summary please ensure that the previous summary is inserted here and updated from prior
audit.
Mandatory (M)
/ Improvement
AGREED CORRECTIVE ASSIGNED DUE EVIDENCE OF
DATE FINDINGS STATUS CLAUSE (I) / Non
ACTION TO BY CLOSURE Conformance
(NC)

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ISO 14001:2015 RE-CERTIFICATION AUDIT

ORGANISATION DATA
Director / Top Level Management Personnel

General Management Structure & Numbers

System Documentation & Structure

Premises Location & Size

Plant or Equipment

Type of Customer & Number

Rate of Customer Complaints

Product or Service

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ISO 14001:2015 RE-CERTIFICATION AUDIT

DOCUMENTATION SUBMITTED FOR REVIEW

Yes/N
Documented evidence Comments
o

Environmental Policy

Environmental Aspects

Compliance obligations

Environmental Objectives & Programmes

Competence and Awareness records

Emergency Preparedness & Response plans

Internal Audit results

Management Review Records

Other Documents Comments

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 ISO 14001:2015 RE-CERTIFICATION AUDIT
COMPLIANT COMMENTS/
CLAUSE EVIDENCE
Y/N RECOMMENDATIONS
4. Context
4.1 Has the organisation determined its
external/internal issues?
4.2 Has the organisation determined the
needs and expectations of interested
parties?
4.3 Has the organisation determined the
scope of the management system?
Has the Organisation defined and
documented its Environmental Policy?
5. Leadership
5.1 How does top management
demonstrate leadership and
commitment?
5.2 Environmental policy
Does the policy include commitments
to:
1. Continual improvement?
2. Prevention of pollution?
3. Compliance

How is the Policy communicated to all

persons working for or on behalf of the
Organisation?
Is the Policy available to interested
parties?
5.3 Organisational roles,
responsibilities and authorities
How are responsibilities and roles
assigned and communicated?
Who is responsible for ensuring the
management system conforms to this
standard?
Who is responsible for reporting on the
performance of the system and is top
management included within this
process.
6. Planning
6.1.1 Have risks and opportunities been
identified and documented?
6.1.2 Environmental aspects
Have significant aspects and those
having legal and/or regulatory reporting,
monitoring or operational requirements
been identified and documented?
Are the following Environmental
Aspects considered in sufficient
detail?

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COMPLIANT COMMENTS/
CLAUSE EVIDENCE
Y/N RECOMMENDATIONS

1. Air emission?
2. Wastewater effluent?
3. Waste management?
4. Soil pollution?
5. Raw material and natural resource
usage?
6. Hazardous and toxic material?
7. Impact on well-being (e.g. noise, smell,
heat, landscape, protection)?
8. Utility, energy and resource?
9. Other environmental specific issues on
site such as housekeeping, storage
areas, air conditioning?

Are the following Operational Aspects

considered?

1. Normal operating conditions?

2. Abnormal operating
conditions/emergencies (e.g. start up
and shut down conditions, maintenance,
incidents)?
3. Development of new or modified
processes, products or services?

6.1.3 Compliance obligations

Has the organisation determined its
compliance obligations related to its
aspects?
Are they documented?
Are current copies of all applicable
regulatory and other requirements
accessible to personnel as necessary?
Where applicable, are the following
licenses, permits and approvals
available to demonstrate full legal
compliance?
1. Licenses of waste collectors, including
Waste Transfer and/or Consignment
Notes?
2. Air emission permits?
3. Wastewater discharge permits?
4. Permits and licenses related to
dangerous goods?
5. Environmental fees, e.g. wastewater
discharge fee?
6. Registration at authorities (e.g.
wastewater discharge, air emission
inspection)?
6.2 Objectives and plans to achieve
them
Have Environmental Objectives been
documented and established?
Are they measurable, monitored,
communicated and updated?
Are they time bound?
Are Objectives set at each appropriate
function and level of the organisation
and integrated into day to day activities?
7 Support

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COMPLIANT COMMENTS/
CLAUSE EVIDENCE
Y/N RECOMMENDATIONS
7.1 Resources
Are the required resources (e.g.
personnel, technology, and finance) for
implementation and control of the
Environmental Management System
provided by Management?
Have responsibilities and authorities for
Environmental Management been
defined and documented?
7.2 /7.3 Competence/Awareness
Has the Organisation identified
competency needs of the persons doing
work under its control as they relate to
the Environmental Management
System, and compliance obligations?
How do they ensure these persons are
competent?
Have procedures been established to
ensure all persons working for or on
behalf of the company are aware of the
Environmental Policy, actual and
potential impacts of their actions on the
environment and their responsibilities
within the Environmental Management
System?
7.4 Communication
Are procedures maintained for internal
communication of environmental issues
between various levels of the
Organisation?
Has the Organisation recorded its Policy
regarding external communications?
7.5 Documented information
How is documented information
controlled?
8 Operational Control
Have processes been established,
implemented and maintained for
operations associated with significant
environmental aspects, policy and
objectives?
Is there documented information
available to confirm that these
processes have been carried out as
planned?
Are outsourced processes controlled or
influenced and how?
Life cycle perspective;
Are environmental requirements
addressed within the design and
development process?
Are the environmental
requirements for the
procurement of products and
services determined?
Are environmental

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COMPLIANT COMMENTS/
CLAUSE EVIDENCE
Y/N RECOMMENDATIONS
communicated to external
providers including contractors?
Information provided about
potential significant
environmental impacts
associated within transportation,
delivery, use, end of life
treatment and final disposal?
Is there documented information
available to confirm that operational
processes have been carried out as
planned?
8.2 Emergency Preparedness and
Response
Have procedures been implemented to
identify the potential for and response to
accidents and emergencies?
Are emergency plans available to
ensure that Environmental Impacts or
.
accidents and emergency situations are
mitigated?
Are emergency procedures tested
where practicable? Evidence?
How often are emergency procedures
reviewed? Are they reviewed after
accidents or emergency situations?
Is there documented information
available to confirm that operational
processes have been carried out as
planned?
9 Performance evaluation
Has the organisation determined a
process for the monitoring, measuring,
analysing and evaluating its
environmental performance?
What criteria is used to evaluate
environmental performance?
Is all monitoring and measuring
equipment appropriately maintained and
calibrated?
Is there documented information
available to confirm that performance
evaluation has been carried out as
planned?
9.1.2 Evaluation of Compliance
Are processes established, implemented
and maintained to periodically evaluate
compliance with relevant Environmental
Legislation and other requirements?
Are records of evaluation maintained?
9.2 Internal audit programme
Has an internal audit programme been
established?
Is it being implemented?
Are audit results available and
evaluated?
9.3 Management Review

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COMPLIANT COMMENTS/
CLAUSE EVIDENCE
Y/N RECOMMENDATIONS
Do periodic Management Review
Meetings take place to ensure the
continuing suitability and effectiveness
of the Environmental Management
System?
Are Management Reviews records
retained?
Is the agenda provided followed?
10 Improvement
10.2 Non conformity and corrective
action
Are non conformances identified?
Is corrective action undertaken?
Are actions taken to prevent a
reoccurrence?
Is trend analysis undertaken?
Are records kept?
10.3 Continual improvement
What evidence is there of continual
improvement of the managements
system end environmental
performance?

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ISO 14001:2015 RE-CERTIFICATION AUDIT

Audit Checklist Internal Use Only

Please ensure that the following checklist is completed.
This will ensure any actions from the visit are completed where necessary.
This will also ensure we are aware of any possible issues may arise which
could require a training or service visit need.

Is the client adhering to the mandatory clauses of the standard?

Do they understand the principles of the ISO standard/s?
Office action:
If NO add to-do for the Manager for the next working day Contact regarding Mandatory
Clauses/Principles of ISO See Audit Checklist
Are they interested in any other Standards?
If so please specify:
Office action:
If required add to-do for Group CRD CUSTOMER SERVICE: Client Interested In XXX
Would the client like to take part in a testimonial or case study opportunity can we
contact them about this?
i.e. Have the clients mentioned specific benefits they have achieved with the
standard, e.g. cost savings, improvements to their services etc.
Office action:
If so supply add details on to Buddy add to-do for Marketing for the next working day
TESTIMONIAL / CASE STUDY AGREED PLEASE CONTACT
Are the logos included on the clients website and linked to ours?
Office action:
If required add to-do for Marketing for the next working day CUSTOMER SERVICE:
Contact Client Re Logos and/or Links
Do they require any Vehicle decals, if so how many need to be sent?
Office action:
If required add to-do for Group CRD for the next working day CUSTOMER SERVICE:
Send Decals
Has there been any significant changes to the business e.g. Staff turnover,
redundancies, change of scope, loss or increase to tenders or business.
Office action:
If required add to-do for Group CRD for the next working day CUSTOMER SERVICE:
Changes to client per checklist
Any other information for reference or action required?

Any new parking/directions information?

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ISO 14001:2015 RE-CERTIFICATION AUDIT

Office Action:
Add into Buddy field accordingly.

Key
Office Use Only

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