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Audit_Protocol_ISO 14001.xls - Geosearch

VIEWS: 47 PAGES: 42

									                             INDEX - ISO 14001
4.1. General requirements
4.2. Environmental Policy
4.3. Planning
      4.3.1. Environmental Aspects
      4.3.2. Legal and other requirements
      4.3.3. Objectives, targets and programme(s)
4.4. Implementation and operation
      4.4.1. Resources, roles, responsibility and authority
      4.4.2. Competence, training and awareness
      4.4.3. Communication
      4.4.4. Documentation
      4.4.5. Control of documents
      4.4.6. Operational control
      4.4.7. Emergency preparedness and response
4.5. Checking
      4.5.1. Monitoring and measurement
      4.5.2. Evaluation of compliance
      4.5.3. Nonconformity, corrective and preventative action
      4.5.4. Control of records
      4.5.5. Internal audit
4.6. Management review
                                                                        ISO 14001
4. Environmental Management System Requirements
4.1. General Requirements
Description                                                                                  Compliant?
1. Has the organisation established, documented, maintained and continuously improved
an Environmental Management System (EMS) in accordance with this standard.                       Compliant   Non-Compliant   N/A

Comments:




2. Has the organisation determined how it will fulfil the above requirements.                    Compliant   Non-Compliant   N/A

Comments:




3. Has the organisation defined and documented the scope of its (EMS).                           Compliant   Non-Compliant   N/A

Comments:




4. Is there an intention to obtain certification/registration against the ISO 14001 STD?         Compliant   Non-Compliant   N/A

Comments:




5. Has the strategic and competitive benefit of ISO 14001 certification been explained and
                                                                                                 Compliant   Non-Compliant   N/A
realised?
Comments:




6. Is there an understanding that use of the best available technology is required?              Compliant   Non-Compliant   N/A

Comments:




7. Is there insurance cover taken out for unexpected Environmental risk?                         Compliant   Non-Compliant   N/A

Comments:




8. Is section 24 of the Bill of Rights been understood at management level?                      Compliant   Non-Compliant   N/A

Comments:




9. Is management familiar with global environmental impacts and the need for ongoing
                                                                                                 Compliant   Non-Compliant   N/A
sustainable development?
Comments:
4. Environmental Management System Requirements
4.1. General Requirements
Description                                                                                 Compliant?
10. Have protocols such as the Kyoto protocol been explained and the types of air
                                                                                                Compliant   Non-Compliant   N/A
pollution that are a cause of concern?
Comments:




11. Is there an understanding of the Basel convention objectives and the need for Tran's
                                                                                                Compliant   Non-Compliant   N/A
boundary waste management?
Comments:




12. Are the causes and impact of Global Warming fully explained and understood?                 Compliant   Non-Compliant   N/A

Comments:




13. Is the need for and the principle of "Sustainable development" been explained and
                                                                                                Compliant   Non-Compliant   N/A
understood at all organisational levels?
Comments:




14. Has an integrated system with other ISO/OHSAS standards been considered by
                                                                                                Compliant   Non-Compliant   N/A
management?
Comments:




15. Has an integrated system with the organisations existing operational management
                                                                                                Compliant   Non-Compliant   N/A
systems been considered?
Comments:




16. Is there awareness that Health & Safety and Environmental legislation may link or
                                                                                                Compliant   Non-Compliant   N/A
overlap in certain areas? MHI's for example.
Comments:




17. Is there awareness that site significant aspects must be controlled internally by an
                                                                                                Compliant   Non-Compliant   N/A
organisation and should not be allowed to escape/contaminate externally?
Comments:




18. Is there an organisational understanding and awareness of the "prevention principle"?       Compliant   Non-Compliant   N/A

Comments:
4. Environmental Management System Requirements
4.1. General Requirements
Description                                                                                  Compliant?
19. Is there an organisational understanding and awareness of the "precautionary
                                                                                                 Compliant   Non-Compliant   N/A
principle"?
Comments:




20. Is there an organisational understanding and awareness of the "cradle to grave
                                                                                                 Compliant   Non-Compliant   N/A
principle"?
Comments:




21. Have any past, present acquisitions or divestitures taken place which may have
                                                                                                 Compliant   Non-Compliant   N/A
environmental impairment implications?
Comments:




22. Has a "Due diligence" audit been conducted by any party in respect of acquisitions &
                                                                                                 Compliant   Non-Compliant   N/A
divestitures?
Comments:




23. Has the remediation cost implication of past or present pollution been considered by
                                                                                                 Compliant   Non-Compliant   N/A
the organisation?
Comments:




24. Have all past, present & potential or future significant environmental impacts been
                                                                                                 Compliant   Non-Compliant   N/A
analysed for organisational control?
Comments:




25. Is there an open and documented line of communication available between the
                                                                                                 Compliant   Non-Compliant   N/A
organisation and the local surrounding communities?
Comments:




26. Are any of the business units or sites locations known to be environmentally sensitive
                                                                                                 Compliant   Non-Compliant   N/A
in any way? Small on site wetland?
Comments:




27. Is there a clear understanding of when EIA's are expected to be initiated and carried
                                                                                                 Compliant   Non-Compliant   N/A
out?
Comments:
4. Environmental Management System Requirements
4.1. General Requirements
Description                                                                                 Compliant?
28. Is there awareness that the completion of an EIA does not imply automatic project
                                                                                                Compliant   Non-Compliant   N/A
approval? EIA's allow for informed decisions.
Comments:




29. Is there documented input and participation from all interested and affected parties?       Compliant   Non-Compliant   N/A

Comments:




30. Have diverse geographical, cultural and social conditions of surrounding communities
                                                                                                Compliant   Non-Compliant   N/A
been considered?
Comments:




31. Is there a clear commitment to sustainable environmental management from top
                                                                                                Compliant   Non-Compliant   N/A
management and at all level and functions within the organisation?
Comments:




32. Is there awareness that effective environmental management entails a balance of
                                                                                                Compliant   Non-Compliant   N/A
socio-economic needs?
Comments:




33. Is the organisation able to demonstrate all environmental performance to authorities,
                                                                                                Compliant   Non-Compliant   N/A
auditors, interested & affected parties and others?
Comments:




34. Are processes, materials or products used of which the primary focus is aimed at
                                                                                                Compliant   Non-Compliant   N/A
eliminating, reducing or controlling pollution?
Comments:




35. Have business activities which may impact on the environment and potential
                                                                                                Compliant   Non-Compliant   N/A
reparation thereof been budgeted for?
Comments:




36. Has a budget been analysed, approved and allocated for the running of an
                                                                                                Compliant   Non-Compliant   N/A
Environmental Management System?
Comments:
4. Environmental Management System Requirements
4.1. General Requirements
Description                                                                                Compliant?
37. Are alternative products and materials which enhance a sustainable environment being
                                                                                               Compliant   Non-Compliant   N/A
investigated, purchased and utilised on site?
Comments:




38. Have opportunities for pollution prevention and reduction of impacts on site been
                                                                                               Compliant   Non-Compliant   N/A
clearly identified and implemented?
Comments:




39. Is there an awareness of the benefit of clean development mechanisms (CDM's) and
                                                                                               Compliant   Non-Compliant   N/A
proposed certified emission reductions (CER's)?
Comments:




4. Environmental Management System Requirements
4.2. Environmental Policy
Description                                                                                Compliant?

1. Has an Environmental Policy been defined, made available and displayed publicly?            Compliant   Non-Compliant   N/A

Comments:




2. Does the organisation acknowledge the need for "sustainable development?"                   Compliant   Non-Compliant   N/A

Comments:




3. Have employees at all levels been asked to give their inputs when developing the
                                                                                               Compliant   Non-Compliant   N/A
"environmental policy?"
Comments:




4. Were interested, effected and other parties' opinions required or considered when
                                                                                               Compliant   Non-Compliant   N/A
developing the policy?
Comments:




5. Is the policy appropriate to the nature and scale of the organisations activities and
                                                                                               Compliant   Non-Compliant   N/A
impacts?
Comments:
4. Environmental Management System Requirements
4.2. Environmental Policy
Description                                                                                     Compliant?

6. Has the policy included a commitment to - social responsibility? Sustainable
development? Legal compliance? Continuous improvement? Prevention of pollution?                     Compliant   Non-Compliant   N/A
Training? Control of significant impacts? Review of objectives and targets/And other critical
environmental concerns?
Comments:




4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                                     Compliant?
1. Has a documented procedure/s been established and maintained for identifying
                                                                                                    Compliant   Non-Compliant   N/A
aspects?
Comments:




2. Have the significant impacts been considered in setting objectives?                              Compliant   Non-Compliant   N/A

Comments:




3. Has a documented audit been carried out to establish all significant aspects on (and
                                                                                                    Compliant   Non-Compliant   N/A
adjacent to) the site?
Comments:




4. Is there awareness that aspects need not only be negative but there are also positive
                                                                                                    Compliant   Non-Compliant   N/A
aspects, such as planting suitable trees? This should also be recognised and recorded?
Comments:




5. Are the impacts of adverse environmental activities, products & services controlled by
                                                                                                    Compliant   Non-Compliant   N/A
the organisation?
Comments:




6. Have documented audits and environmental risk assessment been conducted on site for
                                                                                                    Compliant   Non-Compliant   N/A
all identified significant aspects/impacts?
Comments:




7. Has control of the main or most significant aspects/impacts been reflected in the
                                                                                                    Compliant   Non-Compliant   N/A
environmental policy?
Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                                    Compliant?


8. Are MSDS developed and issued to relevant staff and waste disposal contractors for all
                                                                                                   Compliant   Non-Compliant   N/A
waste, waste compounds and effluent discharged and removed from site?
Comments:




9. Are the MSDS developed around the most hazardous elements in the waste, waste
                                                                                                   Compliant   Non-Compliant   N/A
compounds and effluent removed from site?
Comments:




10. Are there any sources or amounts of pollution being emitted to the air and atmosphere
                                                                                                   Compliant   Non-Compliant   N/A
from site activities?
Comments:




11. Are the various point sources and other forms of pollution and discharge clearly
                                                                                                   Compliant   Non-Compliant   N/A
identified, managed and documented on site? Visual from chimney stacks perhaps?
Comments:




12. Are there any non point sources of pollution or discharge identified on site and are
                                                                                                   Compliant   Non-Compliant   N/A
they managed adequately?
Comments:




13. Have any fugitive emissions or other forms of pollution or releases been identified on
                                                                                                   Compliant   Non-Compliant   N/A
site?
Comments:




14. Is a list of environmental "Scheduled processes" available on site and readily available
                                                                                                   Compliant   Non-Compliant   N/A
for reference?
Comments:




15. Have sources of air pollution or other been clearly identified against and from the list
                                                                                                   Compliant   Non-Compliant   N/A
of "Scheduled processes?"
Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                                    Compliant?


16. Has contact been initiated with the Chief Air Protection Officer (CAPCO) with regard to
                                                                                                   Compliant   Non-Compliant   N/A
obtaining permits for identified "Scheduled processes?"
Comments:




17. Have provisional atmospheric emission permits been granted?                                    Compliant   Non-Compliant   N/A

Comments:




18. Have permanent atmospheric emission permits been granted?                                      Compliant   Non-Compliant   N/A

Comments:




19. Is there awareness that future air emissions may be regulated by the Local Authority
                                                                                                   Compliant   Non-Compliant   N/A
through a licensing system?
Comments:




20. Are the emissions to atmosphere measured and analysed by an Approved Inspection
                                                                                                   Compliant   Non-Compliant   N/A
Authority (AIA), with written reports issued and reviewed by management?
Comments:




21. Is emission performance and pollution charted and documented in a formal report for
                                                                                                   Compliant   Non-Compliant   N/A
management ro review and record?
Comments:




22. Is the emission report acted upon urgently when considering legal and business
                                                                                                   Compliant   Non-Compliant   N/A
implications resulting from pollution?
Comments:




23. Are potential air pollution emissions diluted and perhaps diluted before stack discharge
                                                                                                   Compliant   Non-Compliant   N/A
measurement/monitoring access points?
Comments:




24. Are potential and polluted air emissions visible to the naked eye during daylight hours?
                                                                                                   Compliant   Non-Compliant   N/A
(Example visible Nitrous oxide plume)
Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                                  Compliant?


25. Are potential and polluted air emissions discharged to the atmosphere at night? (When
                                                                                                 Compliant   Non-Compliant   N/A
they are not readily visible)?
Comments:




26. Are there any air scrubbers installed on site and are they efficient (within design
                                                                                                 Compliant   Non-Compliant   N/A
parameters) and maintained with service records?
Comments:




27. Is the scrubber wash solution effective, effluent neutralised, managed and discharged
                                                                                                 Compliant   Non-Compliant   N/A
to environmental standards?
Comments:




28. Is there awareness that various point and polluted air streams combining into a single
                                                                                                 Compliant   Non-Compliant   N/A
discharge stack may create a hazardous or explosive mixture?
Comments:




29. Is discharge dust from all dust collectors chemically analysed at a laboratory and
                                                                                                 Compliant   Non-Compliant   N/A
disposed of to environmental standards at an approved waste facility?
Comments:




30. Is any air pollution emission being sucked or drawn into site offices by air
                                                                                                 Compliant   Non-Compliant   N/A
conditioners?
Comments:




31. Is an incinerator used on site that emits smoke/fume this creating a potential source
                                                                                                 Compliant   Non-Compliant   N/A
of air pollution?
Comments:




32. Are there records of materials that are incinerated with volumes and masses charted
                                                                                                 Compliant   Non-Compliant   N/A
and documented?
Comments:




33. Are there MSDS for materials incinerated and are solid or other elements or metals
                                                                                                 Compliant   Non-Compliant   N/A
recovered and disposed of to standard?
Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                                 Compliant?


34. Has the necessary permits for an incinerator air emissions been applied for from
                                                                                                Compliant   Non-Compliant   N/A
CAPCO?
Comments:




35. Does the incinerator stack height comply with environmental standards in respect of
                                                                                                Compliant   Non-Compliant   N/A
discharge heights for smoke?
Comments:




36. Are there any site activities undertaken that may create sources of soil pollution?         Compliant   Non-Compliant   N/A

Comments:




37. Is there any form of pollution identified from the previous occupation of the site by
                                                                                                Compliant   Non-Compliant   N/A
other organisations/manufacturers?
Comments:




38. Is environmental sustainability taken into consideration when planning any land use?        Compliant   Non-Compliant   N/A

Comments:




39. Were any old transformers or electrical equipment stripped on site with possible
                                                                                                Compliant   Non-Compliant   N/A
release of PCB's to soil or water sources?
Comments:




40. Are pesticides or week killers used on site and are they adequately controlled?             Compliant   Non-Compliant   N/A

Comments:




41. Are there any underground storage tanks in use or abandoned storage tanks?                  Compliant   Non-Compliant   N/A

Comments:




42. Are the underground storage tanks controlled and tested and are there planned
                                                                                                Compliant   Non-Compliant   N/A
maintenance schedules?
Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                                   Compliant?


43. Is organisational water consumption carefully managed with consumption quantities
                                                                                                  Compliant   Non-Compliant   N/A
and cost charted and reported to management?
Comments:




44. Is the site or premises located above any identified or known aquifers/water sources?         Compliant   Non-Compliant   N/A

Comments:




45. Are there any existing borehole water sources on site?                                        Compliant   Non-Compliant   N/A

Comments:




46. Have permits been applied for, for new boreholes if such water sources are planned to
                                                                                                  Compliant   Non-Compliant   N/A
be used?
Comments:




47. Are there any potential wetland areas identified on site and are they protected?              Compliant   Non-Compliant   N/A

Comments:




48. Is there any pollution or washing discharge to storm water drains on site?                    Compliant   Non-Compliant   N/A

Comments:




49. Has the piping discharge points from storm water drains off site been identified for
                                                                                                  Compliant   Non-Compliant   N/A
control and local community health management?
Comments:




50. Do the storm water drains on site discharge into local dams or wetlands where local
                                                                                                  Compliant   Non-Compliant   N/A
communities and others may draw drinking or wash water?
Comments:




51. Is there a water pipe and storm water pipe reticulation drawing available showing
                                                                                                  Compliant   Non-Compliant   N/A
clearly the location of all underground sewerage pipes and points of access for monitoring?
Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                                    Compliant?


52. Is there any process effluent or other type of effluent generated and contained on
                                                                                                   Compliant   Non-Compliant   N/A
site?
Comments:




53. Have municipal by-laws been obtained from the local authority and complied with in
                                                                                                   Compliant   Non-Compliant   N/A
respect of site effluent control?
Comments:




54. Are the effluent streams analysed for constituents (heavy metals, PH, etc) regularly
                                                                                                   Compliant   Non-Compliant   N/A
and a lab report issued with results charted and acted upon?
Comments:




55. Has the risk of effluent leaching to soil from sumps and containment systems and
                                                                                                   Compliant   Non-Compliant   N/A
points, etc been assessed and corrective action implemented and taken where necessary?
Comments:




56. Does the effluent contain heavy metals, a PH imbalance or suspended solids?                    Compliant   Non-Compliant   N/A

Comments:




57. Does the effluent get treated and neutralised on site before disposal or removal?              Compliant   Non-Compliant   N/A

Comments:




58. Have permits been granted for discharge to sewer from the local authority?                     Compliant   Non-Compliant   N/A

Comments:




59. Is there a sewer pipe reticulation drawing available showing clearly the location of all
                                                                                                   Compliant   Non-Compliant   N/A
underground sewerage pipes and points of access, monitoring and discharge?
Comments:




60. Are old and used engine, gearbox oils, hydraulic, other oils and similar removed from
                                                                                                   Compliant   Non-Compliant   N/A
site and disposed of at an approved recycling or reclamation organisation?
Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                                   Compliant?


61. Are all contractors EHS impacting activities controlled to the same level and extent as
                                                                                                  Compliant   Non-Compliant   N/A
the organisations EHS impacting activities?
Comments:




62. Is any dust or nuisance generated on site from construction or upgrading activities?          Compliant   Non-Compliant   N/A

Comments:




63. Is noise generated from any machinery, contractor project work or other site
                                                                                                  Compliant   Non-Compliant   N/A
activities?
Comments:




64. Have site external and internal noise levels been measured and has action been taken
                                                                                                  Compliant   Non-Compliant   N/A
to attenuate noise that is above regulated standards or when Complaints are received?
Comments:




65. Have excessive external and internal noise levels been measured by an AIA or
specialist and been documented, charted and acted upon by the responsible site                    Compliant   Non-Compliant   N/A
personnel?
Comments:




66. Are the following principles practiced & recognised? - "Cradle to grave principle?"
Prevention, Elimination, Reduction, Re-use, Recycle, Third party use, Neutralisation, Safe        Compliant   Non-Compliant   N/A
disposal, Responsible care.
Comments:




67. Have approved and industry recognised waste contractors been appointed in writing?            Compliant   Non-Compliant   N/A

Comments:




68. Are the waste disposal site contractors and the waste disposal transport contractor two
                                                                                                  Compliant   Non-Compliant   N/A
different business organisations?
Comments:




69. Are waste transportation and disposal permits obtained, filed and available on site for
                                                                                                  Compliant   Non-Compliant   N/A
audit or inspection?
Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                                   Compliant?


70. Has a documented waste disposal contract/agreement been entered into between
                                                                                                  Compliant   Non-Compliant   N/A
parties (consignor and consignee) for disposal at the approved disposal site?
Comments:




71. Has a documented waste disposal contract/agreement been entered into between
                                                                                                  Compliant   Non-Compliant   N/A
consignor and consignee's for transport of waste to the waste disposal site?
Comments:




72. Has the contract been approved and edited by a suitably knowledgeable attorney?               Compliant   Non-Compliant   N/A

Comments:




73. Are approved waste disposal sites being used for the various waste streams that have
                                                                                                  Compliant   Non-Compliant   N/A
to be disposed off site?
Comments:




74. Is the waste being analysed at the waste disposal site for the consignee's record
                                                                                                  Compliant   Non-Compliant   N/A
purposes as well? Have they a laboratory?
Comments:




75. Are waste disposal contractors and disposal sites being audited regularly to applicable
                                                                                                  Compliant   Non-Compliant   N/A
auditing standards?
Comments:




76. Are audits carried out iro SANS Standards, such as ISO 14001, 9001, the OHS Act and
                                                                                                  Compliant   Non-Compliant   N/A
OHSAS 18001 on waste disposal contractors, their disposal sites and waste transporters?
Comments:




77. Are waste disposal manifests and disposal notes/certificates being issued by the waste
disposal contractor/consignee for every load, multi load, with type of waste and effluent,        Compliant   Non-Compliant   N/A
weight and load recorded and charted?
Comments:




78. Are the waste disposal manifests and records issued to the organisation, filed and
                                                                                                  Compliant   Non-Compliant   N/A
available for view onsite by an auditor?
Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                                Compliant?


79. Are loads weighed/measured and recorded at an on site weighbridge before leaving
                                                                                               Compliant   Non-Compliant   N/A
site?
Comments:




80. Is the consignee vehicle inspected on site for display of the necessary dangerous
                                                                                               Compliant   Non-Compliant   N/A
goods transport signage? (Road Traffic Act)
Comments:




81. Has the consignee vehicle the necessary spill clean up and containment kit (sand,
                                                                                               Compliant   Non-Compliant   N/A
bags, etc) located on board?
Comments:




82. Has the organisation got the necessary HAZCHEM response team emergency numbers
                                                                                               Compliant   Non-Compliant   N/A
documented and readily available in case of an off site spill?
Comments:




83. Is the route planned and is the organisation aware of the route that will be used by
                                                                                               Compliant   Non-Compliant   N/A
the consignee's waste transport vehicle?
Comments:




84. Are MSDS being produced and documented for spent, mixed waste, waste compounds
                                                                                               Compliant   Non-Compliant   N/A
and effluent streams?
Comments:




85. Has the consignee vehicle got the necessary TREM cards, MSDS and the spill
                                                                                               Compliant   Non-Compliant   N/A
containment procedure available on board?
Comments:




86. Has the consignee vehicle always got the necessary required Fire Extinguishers in/or
                                                                                               Compliant   Non-Compliant   N/A
on the vehicle i.e. when spent flammable liquids are being transported for disposal?
Comments:




87. Are audits carried out on waste disposal vehicles and waste site routes?                   Compliant   Non-Compliant   N/A

Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                                 Compliant?


88. Are vehicles or multi waste vehicles contaminated at other sites/premises coming into
                                                                                                Compliant   Non-Compliant   N/A
the organisations site/premises?
Comments:




89. Do you know if vehicles and multi waste vehicles are cleaned and decontaminated
                                                                                                Compliant   Non-Compliant   N/A
before coming into the organisations site?
Comments:




90. Do you know if effluent tankers/tarps/containers are cleaned & decontaminated before
                                                                                                Compliant   Non-Compliant   N/A
coming onto site?
Comments:




91. Are dangerous goods and substances being managed iro SANS codes of practice? i.e.
                                                                                                Compliant   Non-Compliant   N/A
SANS 10228 & 10229
Comments:




92. Have all waste streams been identified and dedicated bins/sumps been provided for
                                                                                                Compliant   Non-Compliant   N/A
interim storage and containment?
Comments:




93. Is trans boundary waste managed in accordance with the principles and required
                                                                                                Compliant   Non-Compliant   N/A
documents? (Refer to the Basel convention?)
Comments:




94. Are there external skips/internal wheelie bins for general waste?                           Compliant   Non-Compliant   N/A

Comments:




95. Are there external skips/internal wheelie bins provided for canteen waste?                  Compliant   Non-Compliant   N/A

Comments:




96. Are there external skips/internal wheelie bins provided for metal waste?                    Compliant   Non-Compliant   N/A

Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                               Compliant?


97. Are there external skips/internal wheelie bins provided for building rubble waste?        Compliant   Non-Compliant   N/A

Comments:




98. Are there external skips/internal wheelie bins provided for broken glass?                 Compliant   Non-Compliant   N/A

Comments:




99. Are there external skips/internal wheelie bins provided for recyclable plastic?           Compliant   Non-Compliant   N/A

Comments:




100. Are there external skips/internal wheelie bins provided for recyclable paper?            Compliant   Non-Compliant   N/A

Comments:




101. Are there external skips/internal wheelie bins provided for fluorescent tubes?           Compliant   Non-Compliant   N/A

Comments:




102. Are there sealable containers for asbestos waste?                                        Compliant   Non-Compliant   N/A

Comments:




103. Are there sealable containers for spent HCS waste?                                       Compliant   Non-Compliant   N/A

Comments:




104. Are there sealable containers for flammable waste?                                       Compliant   Non-Compliant   N/A

Comments:




105. Have any off site parties been notified of the potential hazards from the waste or
                                                                                              Compliant   Non-Compliant   N/A
clothing they may handle? (Waste disposers, Dry cleaners, Contractors, etc)
Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                                     Compliant?


106. Is electricity usage being monitored from electricity generated, Local Authority
                                                                                                    Compliant   Non-Compliant   N/A
invoices, accounts and information?
Comments:




107. Is electricity generated and the usage thereof recorded, charted and monitored?                Compliant   Non-Compliant   N/A

Comments:




108. Is the consumption of energy/raw material/fuel sources i.e. inputs and outputs
charted, on a single chart/page for ease of review by management? (Typical executive                Compliant   Non-Compliant   N/A
summary?
Comments:




109. Is there an awareness of how much energy, water, etc may go into the manufacture
of individual products, processes and are charts kept? (Consider the cost per single and            Compliant   Non-Compliant   N/A
assembled articles manufactured)
Comments:




110. Is there an awareness of how much energy is used, waste water produced etc that
                                                                                                    Compliant   Non-Compliant   N/A
may be utilised during the manufacture of individual products and processes?
Comments:




111. Is power factor correction analysed, implemented and utilised with equipment
                                                                                                    Compliant   Non-Compliant   N/A
installed for all relevant electrical machinery?
Comments:




112. Are all forms of energy and lighting that is not required to be switched on and utilised
                                                                                                    Compliant   Non-Compliant   N/A
on a daily basis, being switched off or shutdown when no in use?
Comments:




113. Has the statutory risk assessment that is required by OHS Act MHI regulations been
                                                                                                    Compliant   Non-Compliant   N/A
carried out by AIA?
Comments:




114. Has the emergency/disaster recovery plan required by the OHS Act MHI regulation
                                                                                                    Compliant   Non-Compliant   N/A
been developed and drawn up?
Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                                 Compliant?

115. Have copies of the Risk assessment and emergency/disaster plan been submitted to
the Dept. of Labour and the Local Authority for consideration, approval and record              Compliant   Non-Compliant   N/A
purposes?
Comments:




116. Are dangerous substances and HCS storage requirements carried out in accordance to
                                                                                                Compliant   Non-Compliant   N/A
the standards? (Check SANS standards?)
Comments:




117. Are 3 levels of containment available? i.e. spill/drip trays, storage bunds and
                                                                                                Compliant   Non-Compliant   N/A
catchment sumps for fire hose/HCS effluent water?
Comments:




118. Has spillage containment, neutralising media and control been provided for all
                                                                                                Compliant   Non-Compliant   N/A
potential spills that can occur on site? (Peat sorb, sand bags, spades, shovels, etc)
Comments:




119. Are HCS storage facilities external to the plant or if located internally, are there
                                                                                                Compliant   Non-Compliant   N/A
suitable fire walls, doors and sprinklers, etc provided? (Check SANS standards)
Comments:




120. Is proper segregation of dangerous and hazardous chemicals and substances in
                                                                                                Compliant   Non-Compliant   N/A
storage being carried out to "best practice?" (Refer to chemical segregation charts)
Comments:




121. Is there a helipad n site and has a risk assessment of the helipad been conducted?         Compliant   Non-Compliant   N/A

Comments:




122. Would there be the risk for local communities if there was a helicopter incident and
                                                                                                Compliant   Non-Compliant   N/A
aviation fuel spillage?
Comments:




123. Is there a general awareness of the direction on site, from which prevailing winds
                                                                                                Compliant   Non-Compliant   N/A
occur?
Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                                 Compliant?


124. Has the CAA or Local Authority given approval for the construction of a helipad?           Compliant   Non-Compliant   N/A

Comments:




125. Are there still sources of asbestos or asbestos compounds installed or used on site?
                                                                                                Compliant   Non-Compliant   N/A
(Old buildings fascia boards, etc)
Comments:




126. Have the site asbestos products or usage been recorded on a written inventory?             Compliant   Non-Compliant   N/A

Comments:




127. Is the asbestos being handled and disposed of when required in accordance with the
                                                                                                Compliant   Non-Compliant   N/A
OHS Act Asbestos regulations?
Comments:




128. Does any release of asbestos dust into the environment or water sources/systems
                                                                                                Compliant   Non-Compliant   N/A
pose a pollution threat? (Ref to the provisions of applicable legislation, OHS Act, etc)
Comments:




129. Have all exposed asbestos products, usage or compounds been encapsulated by paint
                                                                                                Compliant   Non-Compliant   N/A
or other suitable approved types of coating?
Comments:




130. Is asbestos disposal being undertaken by an approved asbestos contractor/AIA?              Compliant   Non-Compliant   N/A

Comments:




131. Is the adequate and correct asbestos signage being used on containers and vehicles?        Compliant   Non-Compliant   N/A

Comments:




132. How are medical wastes, gloves, used syringes and needles, etc, from the medical
                                                                                                Compliant   Non-Compliant   N/A
centre/sick by being controlled, handled and disposed of?
Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.1. Environmental aspects
Description                                                                                       Compliant?


133. I all HBA in transit being properly contained and controlled in terms of the OHS Act
                                                                                                      Compliant   Non-Compliant   N/A
HBA Regulations so as not to spread any contamination from the work place?
Comments:




134. Are there colour coded containers for transporting HBA and are they clearly marked
                                                                                                      Compliant   Non-Compliant   N/A
with biohazard signs?
Comments:




135. Has the driver of the vehicle been trained and equipped with a certificate in the
                                                                                                      Compliant   Non-Compliant   N/A
applicable emergency procedures?
Comments:




136. Is all HBA destined for disposal being properly disposed of in terms of the ECA so that
                                                                                                      Compliant   Non-Compliant   N/A
it does not cause hazard inside or outside of the site concerned?
Comments:




137. Has the "Indicative list of incidents" been noted? Ref OHS Act RHBA Annexure A                   Compliant   Non-Compliant   N/A

Comments:




4. Environmental Management System Requirements
4.3. Planning
4.3.2. Legal and other requirements
Description                                                                                       Compliant?
1. Has a procedure been established and maintained to identify legal and other
                                                                                                      Compliant   Non-Compliant   N/A
requirements pertaining to the environment?
Comments:




2. Does the procedure endorse all organisational activities, products and services and the
                                                                                                      Compliant   Non-Compliant   N/A
legal requirements of each?
Comments:




3. Is there a source of identification and access to the very latest environmental legislation?       Compliant   Non-Compliant   N/A

Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.2. Legal and other requirements
Description                                                                                   Compliant?


4. Is there an organisational awareness that legislation is getting increasingly stringent?       Compliant   Non-Compliant   N/A

Comments:




5. Are Government gazetted environmental related topics read by the relevant persons?             Compliant   Non-Compliant   N/A

Comments:




6. Is there a means and source of access for persons to all forms of National legislation,
                                                                                                  Compliant   Non-Compliant   N/A
Government Gazettes & documents on site?
Comments:




7. Is there access to all the relevant (Note relevant) Environmental Acts on site?                Compliant   Non-Compliant   N/A

Comments:




8. Is a copy of the OHS Act readily available on site for use by all employees?                   Compliant   Non-Compliant   N/A

Comments:




9. Is there access to all the relevant Provincial legislation on site?                            Compliant   Non-Compliant   N/A

Comments:




10. Is there access to all the relevant (Note relevant) Local Authority by-laws on site?          Compliant   Non-Compliant   N/A

Comments:




11. Is there access to all the relevant SANS Standards on site?                                   Compliant   Non-Compliant   N/A

Comments:




12. Is there access to all the relevant Government Gazettes on site?                              Compliant   Non-Compliant   N/A

Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.3. Objectives, targets and programme(s)
Description                                                                                 Compliant?


13. Is there access to all the relevant environmental Websites on site?                         Compliant   Non-Compliant   N/A

Comments:




1. Are organisational objectives & targets set and documented for each level & function?        Compliant   Non-Compliant   N/A

Comments:




2. Have objectives been developed as well which expand on statements of intent made in
                                                                                                Compliant   Non-Compliant   N/A
the environmental policy?
Comments:




3. Are legal and other requirements considered when setting objectives and targets?             Compliant   Non-Compliant   N/A

Comments:




4. Are significant environmental aspects considered when setting objectives & targets?          Compliant   Non-Compliant   N/A

Comments:




5. Are significant aspect/risk assessments considered in setting objectives & targets?          Compliant   Non-Compliant   N/A

Comments:




6. Are technological options considered in setting objectives & targets? (i.e. BPEO and
                                                                                                Compliant   Non-Compliant   N/A
BATNEEC)
Comments:




7. Are financial requirements, resources, organisational and departmental budgets
                                                                                                Compliant   Non-Compliant   N/A
considered when setting objectives and targets?
Comments:




8. Are operational requirements considered carefully when setting objectives and targets?       Compliant   Non-Compliant   N/A

Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.3. Objectives, targets and programme(s)
Description                                                                                   Compliant?


9. Are business and public image requirements considered when setting objectives and
                                                                                                  Compliant   Non-Compliant   N/A
targets?
Comments:




10. Are the views of interested and affected parties considered when setting objectives and
                                                                                                  Compliant   Non-Compliant   N/A
targets?
Comments:




11. Do the objectives and targets include a commitment to pollution prevention?                   Compliant   Non-Compliant   N/A

Comments:




12. Are objectives and targets consistent with the environmental policy?                          Compliant   Non-Compliant   N/A

Comments:




13. Are there established and maintained organisational environmental programmes
                                                                                                  Compliant   Non-Compliant   N/A
(EMP's) for achieving the objectives and targets?
Comments:




14. Has organisational responsibility been designated for achieving objectives and targets
                                                                                                  Compliant   Non-Compliant   N/A
at each relevant function and level?
Comments:




15. Has the means and time-frame by which they are to be achieved and completed been
                                                                                                  Compliant   Non-Compliant   N/A
provided and set?
Comments:




16. Are EIA's carried out before projects relating to new developments and expansions are
                                                                                                  Compliant   Non-Compliant   N/A
initiated or begun? (Ref EIA requirements)
Comments:




17. Are EIA's carried out before projects relating to new or modified activities, products
                                                                                                  Compliant   Non-Compliant   N/A
and services are initiated or begun?
Comments:
4. Environmental Management System Requirements
4.3. Planning
4.3.3. Objectives, targets and programme(s)
Description                                                                                 Compliant?


18. Are environmental management programmes (EMP's) developed for such projects?                Compliant   Non-Compliant   N/A

Comments:




4. Environmental Management System Requirements
4.4. Implementation and operation
4.4.1. Resources, roles, responsibility and authority
Description                                                                                 Compliant?
1. Has a specialist and dedicated EMS "Management representative/s" been designated
and appointed who has a defined role, responsibility and authority for managing and             Compliant   Non-Compliant   N/A
controlling the site EMS?
Comments:




2. Is there an appointment made for someone to completely administer all clerical aspects
related to the EMS? (Perhaps the ISO 9001 documentation control person can be used for          Compliant   Non-Compliant   N/A
record keeping and control desposition?)
Comments:




3. Have departmental Environmental Champions been appointed and given the necessary
                                                                                                Compliant   Non-Compliant   N/A
training? (For each department)
Comments:




4. Can the EMS representative/s be able to ensure that the EMS is established,
                                                                                                Compliant   Non-Compliant   N/A
implemented and maintained to the ISO Std?
Comments:




5. Can the EMS representative/s be able to report on the performance of the EMS to board
                                                                                                Compliant   Non-Compliant   N/A
level/top management for review?
Comments:




6. Can the EMS representative/s be able to report on the performance of the EMS as a
                                                                                                Compliant   Non-Compliant   N/A
basis for improvement of the EMS?
Comments:




7. Have roles, responsibilities and authorities been defined for all relevant personnel?        Compliant   Non-Compliant   N/A

Comments:
4. Environmental Management System Requirements
4.4. Implementation and operation
4.4.1. Resources, roles, responsibility and authority
Description                                                                                   Compliant?


8. Have all roles, responsibilities and authorities been communicated organisationally to
                                                                                                  Compliant   Non-Compliant   N/A
ensure effective environmental control and management?
Comments:




9. Has management provided essential resources and a financial budget for the
                                                                                                  Compliant   Non-Compliant   N/A
implementation and control of the EMS?
Comments:




10. Do the resources include human resources, specialised skills, technology, financial and
                                                                                                  Compliant   Non-Compliant   N/A
budgetary provisions and means?
Comments:




4. Environmental Management System Requirements
4.4. Implementation and operation
4.4.2. Competence, training and awareness
Description                                                                                   Compliant?
1. Has a procedure/s been established and maintained for identifying and implementing of
                                                                                                  Compliant   Non-Compliant   N/A
training, awareness and competence?
Comments:




2. Does the procedure ensure that employees are aware of the importance of conforming
                                                                                                  Compliant   Non-Compliant   N/A
to the EMS legislation and requirements?
Comments:




3. Does the procedure ensure that employees are aware of the importance of conforming
                                                                                                  Compliant   Non-Compliant   N/A
to the site environmental procedures?
Comments:




4. Does the procedure ensure that employees are aware of the importance of conforming
                                                                                                  Compliant   Non-Compliant   N/A
to and implementing the environmental policy.
Comments:




5. Does the procedure ensure that employees are aware of the significant impacts, actual
                                                                                                  Compliant   Non-Compliant   N/A
and potential? (Note significant impacts)
Comments:
4. Environmental Management System Requirements
4.4. Implementation and operation
4.4.2. Competence, training and awareness
Description                                                                                  Compliant?


6. Does the procedure ensure employees are aware of their work activities and the benefits
                                                                                                 Compliant   Non-Compliant   N/A
of improved performance?
Comments:




7. Does the procedure ensure employees are aware of their responsibility and role in
                                                                                                 Compliant   Non-Compliant   N/A
achieving conformance with the policy?
Comments:




8. Does the procedure ensure employees are aware of their responsibility and role in
                                                                                                 Compliant   Non-Compliant   N/A
achieving conformance with procedures?
Comments:




9. Does the procedure ensure employees are aware of their responsibility and role in
                                                                                                 Compliant   Non-Compliant   N/A
achieving conformance with the EMS?
Comments:




10. Does the procedure ensure awareness of achieving conformance with
                                                                                                 Compliant   Non-Compliant   N/A
emergency/disaster preparedness and response plan?
Comments:




11. Does the procedure ensure employees are aware of consequences of departure from
                                                                                                 Compliant   Non-Compliant   N/A
specified operating procedures, etc?
Comments:




12. Is there an appointed training and skills development facilitator (SDF) for the site?        Compliant   Non-Compliant   N/A

Comments:




13. Does the environmental and other training comply with all the requirements of the
                                                                                                 Compliant   Non-Compliant   N/A
NQF, SAQA and related bodies?
Comments:




14. Are personnel performing tasks that may impact the environment and are they certified
                                                                                                 Compliant   Non-Compliant   N/A
competent iro education, training and/or experience?
Comments:
4. Environmental Management System Requirements
4.4. Implementation and operation
4.4.2. Competence, training and awareness
Description                                                                                 Compliant?


15. Has the organisation identified the training needs to ensure competent management
                                                                                                Compliant   Non-Compliant   N/A
and maintenance of the environmental requirements and related site concerns?
Comments:




16. Have all personnel whose work impacts on the environment been competently and
                                                                                                Compliant   Non-Compliant   N/A
effectively trained to relevant standards?
Comments:




17. Have all employees been trained with regard to basic or other environmental standard?       Compliant   Non-Compliant   N/A

Comments:




18. Have all contractors been trained with regard to basic or other environmental
                                                                                                Compliant   Non-Compliant   N/A
standard?
Comments:




19. Has ISO 14001 and environmental awareness training been carried out for
                                                                                                Compliant   Non-Compliant   N/A
departmental Environmental champions?
Comments:




20. Has ISO 14001 Standard requirements and implementation training been carried out
                                                                                                Compliant   Non-Compliant   N/A
for relevant employees and management?
Comments:




4. Environmental Management System Requirements
4.4. Implementation and operation
4.4.3. Communication
Description                                                                                 Compliant?
1. Has a procedure/s been established and maintained with regard to environmental
                                                                                                Compliant   Non-Compliant   N/A
aspects, impacts and the EMS?
Comments:




2. Does the procedure show how to establish & maintain communication between the
                                                                                                Compliant   Non-Compliant   N/A
various levels and functions of personnel?
Comments:
4. Environmental Management System Requirements
4.4. Implementation and operation
4.4.3. Communication
Description                                                                                Compliant?


3. Does the procedure show how to receive, document and respond to relevant external
                                                                                               Compliant   Non-Compliant   N/A
interested and affected parties if necessary?
Comments:




4. Is there a procedure for external communication of significant impacts and records of
                                                                                               Compliant   Non-Compliant   N/A
such decisions if necessary?
Comments:




5. Is there clear communication with management of results obtained throughout the
                                                                                               Compliant   Non-Compliant   N/A
different functions of the EMS?
Comments:




6. Have all employees been included in communication? (Notice boards)                          Compliant   Non-Compliant   N/A

Comments:




7. Have all contractors been included in communication? (Induction Training)                   Compliant   Non-Compliant   N/A

Comments:




8. Have interested and affected parties been included in communication?                        Compliant   Non-Compliant   N/A

Comments:




9. Have all modes of communication on site been identified and utilised fully?                 Compliant   Non-Compliant   N/A

Comments:
4. Environmental Management System Requirements
4.4. Implementation and operation
4.4.4. Documentation
Description                                                                                  Compliant?
1. Is documentation established and maintained in paper form? i.e. at least one or perhaps
                                                                                                 Compliant   Non-Compliant   N/A
two hard copy files available? (EMS manual)
Comments:




2. Is a network/electronic documentation and communication system established and
                                                                                                 Compliant   Non-Compliant   N/A
maintained to all relevant departments?
Comments:




3. Does the paperwork or electronic form include the core elements of EMS and their
                                                                                                 Compliant   Non-Compliant   N/A
interaction?
Comments:




4. Does the paperwork or electronic form provide the necessary direction and cross
                                                                                                 Compliant   Non-Compliant   N/A
referencing to related EMS documentation?
Comments:




4. Environmental Management System Requirements
4.4. Implementation and operation
4.4.5. Control of documents
Description                                                                                  Compliant?
1. Has a procedure/s been established & maintained for controlling all documents required
                                                                                                 Compliant   Non-Compliant   N/A
by this ISO 14001 standard?
Comments:




2. Is there an index of all the documents related to the EMS available on site? (Placed in
                                                                                                 Compliant   Non-Compliant   N/A
front of the manuals or electronic system)
Comments:




3. Does the procedure indicate how and where documents can be located? (Filing system)           Compliant   Non-Compliant   N/A

Comments:




4. Is it indicated how documents are periodically reviewed, revised and approved for
                                                                                                 Compliant   Non-Compliant   N/A
adequacy by authorised personnel?
Comments:
4. Environmental Management System Requirements
4.4. Implementation and operation
4.4.5. Control of documents
Description                                                                                 Compliant?


5. Is it indicated how to ensure that relevant documents are stamped and that controlled
                                                                                                Compliant   Non-Compliant   N/A
current versions are available at all applicable workstations and locations?
Comments:




6. Are these documents available at all locations where operations to the effective
                                                                                                Compliant   Non-Compliant   N/A
functioning of the EMS are performed?
Comments:




7. Are obsolete documents promptly removed from all points of issue and use or otherwise
                                                                                                Compliant   Non-Compliant   N/A
assured against unintended use?
Comments:




8. Are obsolete documents retained for legal, continuous improvement and/or knowledge
                                                                                                Compliant   Non-Compliant   N/A
preservation purposes, suitably identified and filed for traceability purposes?
Comments:




9. Is documentation legible, dated, including dates of revision and readily identifiable?       Compliant   Non-Compliant   N/A

Comments:




10. Is documentation maintained in an orderly manner and retained for a specific period?        Compliant   Non-Compliant   N/A

Comments:




11. Are procedures and responsibilities established and maintained concerning the
                                                                                                Compliant   Non-Compliant   N/A
creation, drafting and modification of documents?
Comments:




12. Are environmental committee meetings held with discussions, actions and completion
                                                                                                Compliant   Non-Compliant   N/A
dates minuted and records kept for audit and inspection purposes?
Comments:
4. Environmental Management System Requirements
4.4. Implementation and operation
4.4.6. Operational control
Description                                                                                   Compliant?
1. Are production and process operations and activities that are associated with identified
                                                                                                  Compliant   Non-Compliant   N/A
significant environmental aspects identified?
Comments:




2. Are operations and activities that are associated with significant aspects in line with
                                                                                                  Compliant   Non-Compliant   N/A
policy, objectives and targets?
Comments:




3. Are activities planned to ensure they are carried out under specified conditions by
                                                                                                  Compliant   Non-Compliant   N/A
establishing documented procedures?
Comments:




4. Are activities planned to ensure they are carried out under specified conditions by
                                                                                                  Compliant   Non-Compliant   N/A
maintaining documented procedures?
Comments:




5. Is plant maintenance planned to ensure that it is carried out under specified conditions
                                                                                                  Compliant   Non-Compliant   N/A
by establishing documented procedures?
Comments:




6. Is plant maintenance planned to ensure that it is carried out under specified conditions
                                                                                                  Compliant   Non-Compliant   N/A
by maintaining documented procedures?
Comments:




7. Do the procedures cover situations where their absence could lead to deviations from
                                                                                                  Compliant   Non-Compliant   N/A
environmental policy?
Comments:




8. Do the procedures cover situations where their absence could lead to deviations from
                                                                                                  Compliant   Non-Compliant   N/A
objectives and targets?
Comments:




9. Has operational control criteria been stipulated in all relevant procedures?                   Compliant   Non-Compliant   N/A

Comments:
4. Environmental Management System Requirements
4.4. Implementation and operation
4.4.6. Operational control
Description                                                                                     Compliant?
10. Are activities planned for establishing and maintaining procedures related to significant
                                                                                                    Compliant   Non-Compliant   N/A
aspects of goods and services used by the organisation?
Comments:




11. Are activities planned for establishing and maintaining procedures related to
                                                                                                    Compliant   Non-Compliant   N/A
communicating procedures and requirements to suppliers and contractors?
Comments:




4. Environmental Management System Requirements
4.4. Implementation and operation
4.4.7. Emergency preparedness and response
Description                                                                                     Compliant?
1. Has a procedure/s been established and maintained to identify potential for and
                                                                                                    Compliant   Non-Compliant   N/A
response to environmental accidents, spills and emergency situations?
Comments:




2. Has a procedure/s been established & maintained for preventing or mitigating the
                                                                                                    Compliant   Non-Compliant   N/A
environmental impacts that may be associated with them?
Comments:




3. Are emergency preparedness and response procedures reviewed, revised and updated
                                                                                                    Compliant   Non-Compliant   N/A
particularly after accidents, spills and emergency situations have occurred?
Comments:




4. Are emergency preparedness and response procedures and related equipment
                                                                                                    Compliant   Non-Compliant   N/A
periodically tested and maintained where practicable?
Comments:




5. Has an external disaster management plan been discussed, developed and implemented
                                                                                                    Compliant   Non-Compliant   N/A
with the local authority approval and input?
Comments:




6. Are emergency evacuation preparedness and response procedures for employees and
                                                                                                    Compliant   Non-Compliant   N/A
personnel periodically tested where practicable? (Perhaps 6 monthly drills)
Comments:
4. Environmental Management System Requirements
4.4. Implementation and operation
4.4.7. Emergency preparedness and response
Description                                                                                 Compliant?


7. Is adequate provision and financial resources been provided for Fire Prevention
                                                                                                Compliant   Non-Compliant   N/A
equipment and related response activities on site?
Comments:




4. Environmental Management System Requirements
4.5. Checking
4.5.1. Monitoring and measurement
Description                                                                                 Compliant?
1. Has a procedure/s been established and maintained to regularly monitor and measure,
                                                                                                Compliant   Non-Compliant   N/A
key characteristics of site operations that can have a significant impact?
Comments:




2. Does the procedure include information to track performance, relevant operational
                                                                                                Compliant   Non-Compliant   N/A
controls and conformance to the objectives and targets?
Comments:




3. Is monitoring equipment calibrated and maintained with the process records retained in
                                                                                                Compliant   Non-Compliant   N/A
accordance with the organisational procedures? (SANS ISO Standard)
Comments:




4. Is an internal audit procedure established and maintained for periodically evaluating
                                                                                                Compliant   Non-Compliant   N/A
compliance with relevant environmental legislation and regulations?
Comments:




5. Are waste and pollution statistics charted, documented and monitored daily with trend
                                                                                                Compliant   Non-Compliant   N/A
lines clearly indicated?
Comments:




6. Is waste and pollution disposal carried out with masses, volumes and disposal dates,
                                                                                                Compliant   Non-Compliant   N/A
etc, recorded?
Comments:




7. Are leading and lagging indicators with trend lines charted and shown for
                                                                                                Compliant   Non-Compliant   N/A
implementation of continuous improvement?
Comments:
4. Environmental Management System Requirements
4.5. Checking
4.5.1. Monitoring and measurement
Description                                                                                Compliant?


8. Is continuous improvement documented and managed from indicator performance?                Compliant   Non-Compliant   N/A

Comments:




4. Environmental Management System Requirements
4.5. Checking
4.5.2. Evaluation of compliance
Description                                                                                Compliant?
1. Is there a procedure for periodic evaluation of compliance with applicable legal
                                                                                               Compliant   Non-Compliant   N/A
requirements relating to shift or daily work?
Comments:




2. Is there a procedure for periodic evaluation of compliance with applicable legal
                                                                                               Compliant   Non-Compliant   N/A
requirements relating to ongoing objectives?
Comments:




3. Is there a procedure for periodic evaluation of compliance with other requirements to
                                                                                               Compliant   Non-Compliant   N/A
which the organisation subscribes?
Comments:




4. Are these procedures combined with the evaluation of legal compliance procedure?            Compliant   Non-Compliant   N/A

Comments:




5. Are there written records available daily for the periodic evaluations undertaken?          Compliant   Non-Compliant   N/A

Comments:




6. Has training and competence been implemented to ensure that persons are able to
                                                                                               Compliant   Non-Compliant   N/A
evaluate compliance daily and regularly?
Comments:




7. Has evaluation of compliance personnel been identified at every work station where
                                                                                               Compliant   Non-Compliant   N/A
processes impact on the environment?
Comments:
4. Environmental Management System Requirements
4.5. Checking
4.5.2. Evaluation of compliance
Description                                                                                  Compliant?


8. Have all the necessary equipment and documents been arranged before planned
                                                                                                 Compliant   Non-Compliant   N/A
evaluation of compliance is undertaken?
Comments:




9. Has a documented pre-evaluation meeting and discussion been arranged with all
                                                                                                 Compliant   Non-Compliant   N/A
interested and effected employees?
Comments:




10. Does the evaluation of compliance focus on obtaining accurate documented evidence
                                                                                                 Compliant   Non-Compliant   N/A
so that corrective action cam be implemented?
Comments:




11. Are previous evaluation and audit results taken into consideration to establish trends
                                                                                                 Compliant   Non-Compliant   N/A
and corrective action to be taken?
Comments:




12. Has a documented post evaluation meeting and discussion on corrective action
                                                                                                 Compliant   Non-Compliant   N/A
initiatives taken place?
Comments:




13. Are the results of evaluations of compliance reported to all relevant persons and
                                                                                                 Compliant   Non-Compliant   N/A
records of all documentation available for auditing?
Comments:




14. Has a follow up and feedback meeting taken place for all significant deviations that
                                                                                                 Compliant   Non-Compliant   N/A
were identified for corrective action?
Comments:




15. Have all actions taken iro evaluation of compliance been documented and kept on
                                                                                                 Compliant   Non-Compliant   N/A
record for record and auditing purposes?
Comments:
4. Environmental Management System Requirements
4.5. Checking
4.5.3. Nonconformity, corrective and preventative action
Description                                                                                   Compliant?
1. Has a procedure/s been established and maintained for defining responsibility and
                                                                                                  Compliant   Non-Compliant   N/A
authority for handling and investigating non-conformances?
Comments:




2. Has a procedure/s been established and maintained for taking action to mitigate impacts
                                                                                                  Compliant   Non-Compliant   N/A
caused and initiating and completing corrective and preventative action?
Comments:




3. Is corrective or preventative action that is taken to eliminate the causes of actual and
                                                                                                  Compliant   Non-Compliant   N/A
potential non-conformances appropriate to the magnitude of the occurrence/problem?
Comments:




4. Is corrective or preventative action that is taken to eliminate the causes of actual and
                                                                                                  Compliant   Non-Compliant   N/A
potential non-conformances commensurate with the environmental impact encountered?
Comments:




5. Are all changes implemented and recorded in the documents and procedures i.e.
                                                                                                  Compliant   Non-Compliant   N/A
resulting from preventative and corrective action?
Comments:




4. Environmental Management System Requirements
4.5. Checking
4.5.4. Control of records
Description                                                                                   Compliant?
1. Has a procedure/s been established and maintained for the identification, maintenance
                                                                                                  Compliant   Non-Compliant   N/A
and disposal of environmental records?
Comments:




2. Do these records include training records and the results of audits and reviews?               Compliant   Non-Compliant   N/A

Comments:




3. Are the environmental records traceable to the product, activity and service involved?         Compliant   Non-Compliant   N/A

Comments:
4. Environmental Management System Requirements
4.5. Checking
4.5.4. Control of records
Description                                                                                   Compliant?


4. Are environmental records stored and maintained for an adequate time and in such a
                                                                                                  Compliant   Non-Compliant   N/A
way that they are readily retrievable and protected against damage, deterioration and loss?
Comments:




5. Are retention times clearly established, adhered to and recorded?                              Compliant   Non-Compliant   N/A

Comments:




6. Are records maintained as appropriate to the system and to the organisation to
                                                                                                  Compliant   Non-Compliant   N/A
demonstrate conformance to the requirements of the ISO 14001 standard?
Comments:




7. Is all environmental information kept up-to-date on a daily basis and as required?             Compliant   Non-Compliant   N/A

Comments:




8. Is general environmental correspondence kept on record for audit and inspection?               Compliant   Non-Compliant   N/A

Comments:




4. Environmental Management System Requirements
4.5. Checking
4.5.5. Internal audit
Description                                                                                   Compliant?
1. Has a procedure/s and programme been established and maintained for the periodic
                                                                                                  Compliant   Non-Compliant   N/A
internal and external environmental system audits to be carried out?
Comments:




2. Do the audits determine whether or not the EMS conforms to the requirements of the
                                                                                                  Compliant   Non-Compliant   N/A
ISO 14001 standard and the planned arrangements for management of the standard?
Comments:




3. Do the audits determine whether or not the EMS has been properly implemented and
                                                                                                  Compliant   Non-Compliant   N/A
maintained?
Comments:
4. Environmental Management System Requirements
4.5. Checking
4.5.5. Internal audit
Description                                                                               Compliant?


4. Is information and reports on the results of audits provided to and reviewed by
                                                                                              Compliant   Non-Compliant   N/A
organisational management?
Comments:




5. Are the audit programme and schedules based on the environmental importance of the
                                                                                              Compliant   Non-Compliant   N/A
activity concerned and the results of previous audits?
Comments:




6. Do the audit procedures cover the audit scope frequencies and methodologies so as to
                                                                                              Compliant   Non-Compliant   N/A
be comprehensive?
Comments:




7. Do the audit procedures cover the persons, responsibilities and requirements for
                                                                                              Compliant   Non-Compliant   N/A
conduction audits and reporting results so as to be comprehensive?
Comments:




8. Have any environmental audits been carried out by an internal audit system?                Compliant   Non-Compliant   N/A

Comments:




9. Have any environmental audits been carried out by an external audit team?                  Compliant   Non-Compliant   N/A

Comments:




10. Was the overall environmental performance clearly identified by the audit?                Compliant   Non-Compliant   N/A

Comments:




11. Is current environmental performance meeting legal and policy requirements?               Compliant   Non-Compliant   N/A

Comments:
4. Environmental Management System Requirements
4.6. Management review

Description                                                                               Compliant?
1. Has a procedure/s and programme been established and maintained for the periodic
                                                                                              Compliant   Non-Compliant   N/A
internal and external environmental system audits to be carried out?
Comments:




2. Do the audits determine whether or not the EMS conforms to the requirements of the
                                                                                              Compliant   Non-Compliant   N/A
ISO 14001 standard and the planned arrangements for management of the standard?
Comments:




3. Do the audits determine whether or no the EMS has been properly implemented and
                                                                                              Compliant   Non-Compliant   N/A
maintained?
Comments:




4. Is information and reports on the results of audits provided to and reviewed by the
                                                                                              Compliant   Non-Compliant   N/A
organisational management?
Comments:




5. Are the audit programme and schedules based on the environmental importance of the
                                                                                              Compliant   Non-Compliant   N/A
activity concerned and the results of previous audits?
Comments:




6. Do the audit procedures cover the audit scope frequencies and methodologies so as to
                                                                                              Compliant   Non-Compliant   N/A
be comprehensive?
Comments:




7. Do the audit procedures cover the persons, responsibilities and requirements for
                                                                                              Compliant   Non-Compliant   N/A
conducting audits and reporting results so as to be comprehensive?
Comments:




8. Have any environmental audits been carried out by an internal audit team?                  Compliant   Non-Compliant   N/A

Comments:




9. Have any environmental audits been carried out by an external audit team?                  Compliant   Non-Compliant   N/A

Comments:
4. Environmental Management System Requirements
4.6. Management review

Description                                                                       Compliant?

10. Was the overall environmental performance clearly identified by the audit?        Compliant   Non-Compliant   N/A

Comments:




11. Is current environmental performance meeting legal and policy requirements?       Compliant   Non-Compliant   N/A

Comments:

								
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