.

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

1

Enquiry/Investigation
Has the organization established an environment system and has it been maintained?

Comment

Is the environmental management system structured according to the requirements of the DIN EN ISO 14001?

Is the environmental management system suitable to promote the process of the continual improvement of the environmental performance of the organization?

Form # qf 171-02rev.a

1 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

4

Enquiry/Investigation
Does any declaration exist which has been signed by the top management and defines the companys environmental?

Comment

Is the environmental policy appropriate to the nature, scale and environmental impacts of its activities, products or services?

Does the environmental policy include a commitment - to comply with relevant legislation and regulations and other requirements ? - to continual improvement of the environmental performance - to prevent pollution ?

Form # qf 171-02rev.a

2 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

7

Enquiry/Investigation
Have environmental objectives and targets based on the environmental policy been defined and the extent to which hey have been met evaluated?

Comment

Has the environmental policy been communicated to all employees?

Is the environmental policy available to the public?

10

Has the environmental policy been phrased in such a manner that it is understandable to internal and external interested parties?

11

Is the environmental policy periodically reviewed and, where necessary, revised?

Form # qf 171-02rev.a

3 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

12

Enquiry/Investigation
Has the environmental policys scope of application 1 been defined?

Comment

Form # qf 171-02rev.a

4 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

13

Enquiry/Investigation
Is a procedure established and maintained to identify the environmental aspects of - activities, - products or - services that the organization can control and over which it can be expected to have an influence ?

Comment

14

Does this procedure take into account - emissions2 - releases to water - sewage - waste management - contamination of land - impact on communities - use of raw materials and natural resources3 - specific local environmental issues - past activities/ contaminated areas - handling of environmental relevant substances - conceptions for engineering and construction

15

Are those aspects determined, which have or can have a significant impact on the environment?

Form # qf 171-02rev.a

5 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

16

Enquiry/Investigation
Were these aspects taken into account when the environmental objectives and targets were established?

Comment

17

Is the information required in this respect kept up-to-date?

18

Was an initial environmental review performed?

19

Did this review include - recording of all requirements from legal stipulations, - identification of significant environmental aspects - review of the existing environmental management practices and procedures, - evaluation of feedback from the investigation of previous incidents, - possible consequences of operating conditions which deviate from standard operating conditions ?

Form # qf 171-02rev.a

6 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

20

Enquiry/Investigation
Has a procedure been established and maintained to identify and have access to legal and other environmental protection requirements to which the organization subscribes? (as well mandatory as voluntary )

Comment

21

If applicable, have - industry codes of practice, - agreements with public authorities, - non-regulatory guidelines been taken into account ?

22

Have environmental objectives and targets been established, documented and maintained?

23

In this context, have all organizational functions and levels related to the organizations environmental performance been taken into account?

Form # qf 171-02rev.a

7 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

24

Enquiry/Investigation
When the objectives and targets were established, were - the relevant legal and other requirements, - all environmental aspects, - technological options, - the best available technology, - financial, operational and business requirements, - the points of view of interested parties taken into account ?

Comment

25

Are the objectives and targets consistent with the environmental policy, including the commitment to prevention of pollution?

26

Have the objectives and targets been phrased concretely enough and/ or quantified, and have time limits for their satisfaction been set?

27

Have programmers been established to achieve the environmental objectives and targets and are they maintained?

Form # qf 171-02rev.a

8 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

28

Enquiry/Investigation
Do these programmers include - designation of responsibility for achieving objectives and targets at each relevant function and level of the organization, - the means , personnel and timeframe by which they are to be achieved ?

Comment

29

Are programmers related to projects which lead to new developments and new or modified activities, products or services constantly up-dated and where necessary amended to meet the applicable environmental management requirements?

30

Are the - planning - design, - material selection, purchase, and use, - production processes - marketing - product use - product disposal phases considered in this context ?

Form # qf 171-02rev.a

9 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

31

Enquiry/Investigation
Have roles, responsibilities and authorities been defined, documented and communicated for all activities which are necessary to maintain the environmental management system?

Comment

32

Does the top management provide sufficient - human and other resources, - staff with specialized skills, - appropriate technology, - the required financial means for the implementation and control of the environmental management system?

33

Has the top management appointed a management representative for the environmental management system?

34

Has the environmental management representative the responsibility and authority for: - ensuring that environmental management system requirements are established, implemented and maintained in accordance with the ISO 14001 and - reporting on the performance of the environmental management system to top management for review and as a basis for Form # qf 171-02rev.a 10 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item Enquiry/Investigation

Improvement of the environmental management system?

Comment

35

Have these responsibilities and authorities been defined in job profiles and have they been considered in the companys organization chart?

36

Have the responsibilities and authorities of other employees and/or, where applicable, of contractors individuals entrusted with important taste and functions in the environmental management system2) been defined and , where applicable considered in the companys organizational chart ?

37

Are the needs for internal and external training regularly identified?

38

Has it been ensured that all employees whose work may create a significant impact upon the environment receive appropriate training?

Form # qf 171-02rev.a

11 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

39

Enquiry/Investigation
Have all employees, whose work may create a significant impact upon the environment, the appropriate competence As well as the experience required performing this work?

Comment

40

Have all employees in the organization been sufficiently informed of and received the necessary training in environmental management system requirements and the impact of their work regarding - the importance of environmental policy and environmental management system, - the impacts of their activities and the influence of improved personal performance - the roles and responsibilities regarding environmental policy and environmental management systems - the potential consequences of deviations from specified operating procedures ?

Form # qf 171-02rev.a

12 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

41

Enquiry/Investigation
Has the internal communication between the various levels and functions the organization been established which deals with the organizations environmental aspects and its environmental management system?

Comment

42

Have procedures been established and authorized persons designated for receiving, documenting and responding to relevant communication or complaints as well as for the review of qualified objections by external interested parties?

43

Has a procedure been defined which regulates external communications about the organizations significant environmental aspects?

44

Have procedures and responsibilities been defined which regulate communication with the authorities in the case of - licensing procedures, - conformance with reporting regulations - environmentally relevant events

Form # qf 171-02rev.a

13 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

45

Enquiry/Investigation
Have the environmental management system requirements and their mutual interaction been described?

Comment

46

Has the environmental management system documentation been enforced as a binding provision?

47

Does the description include all core elements of the environmental management system?

48

Is information on related documentation (process information, organizational charts, internal standards and operating procedures, emergency plans) provided which includes more details on the functioning of specific parts of the environmental management system?

49

In this context, are cases also taken into account in which the absence of documented procedures may result in deviations from the environmental policy?

Form # qf 171-02rev.a

14 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

50

Enquiry/Investigation
Are other management systems applied in the organization and are connections to these systems pointed out?

Comment

51

Have procedures for controlling all necessary documents been established?

52

Do these procedures include requirements to ensure that - all documents are legible, - all documents are identified and can be categorized, - documents are drawn up, reviewed and approved by authorized personnel, - the current versions of relevant documents are available, - obsolete documents are removed or specially identified, - obsolete documents are retained for a certain period of time , - the documents are available wherever they are necessary for an effective handling of the environmental management system?

53

Have procedures been established to ensure that external documents are up-to-date and are known in all parts of the organization which are concerned by these documents?

Form # qf 171-02rev.a

15 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

54

Enquiry/Investigation
Have the processes and activities associated with the identified significant environmental aspects been identified and documented? - Purchasing of raw materials and processing materials, - Purchasing of services, - Purchasing of facilities and production equipment, - Contract review, - Marketing / customer service - Design - Production /maintenance - Tests and inspections - Control of inspection, measuring and test equipment - Logistics / transport - Storage - Waste treatment - Handling of supplied products

Comment

55

Has it been ensured that these activities are performed under specified condition and have procedures on action to be taken in the case of deviations from proper operation been taken into account?

Purchasing of raw materials and processing materials including supplier evaluation Purchasing of services including supplier evaluation

Form # qf 171-02rev.a

16 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

-

Enquiry/Investigation
Purchasing of facilities and production equipment 1)

Comment

Contract review 2)

Marketing/customer service 3)

Design 4)

Production / maintenance 5)

Logistics / transport 1)

Form # qf 171-02rev.a

17 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

-

Enquiry/Investigation
Storage 2)

Comment

Waste treatment 3)

Handling of supplied products 4)

56

Have situations been taken into account where the absence of procedures could lead to a deviation from the environmental policy and the environmental objectives and targets?

57

Are operating criteria included in these procedures?

58

Have identifiable significant environmental aspects of goods and services used by the organization been taken into account?

59

Have suppliers and contractors been informed about the relevant procedures and requirements of the environmental management system?

Form # qf 171-02rev.a

18 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

60

Enquiry/Investigation
Have procedures been established and maintained to: - identify potential for accidents - respond adequately to accidents and emergencies, - prevent and mitigate any environmental impact that may be associated therewith ? Are these procedures periodically reviewed and tested for their effectiveness, and, if necessary, revised?

Comment

61

62

Was an environmental risk assessment performed?

63

Has it been ensured that requirements made by the authorities are taken into account when the emergency plans are drawn up and updated?

64

Has cooperation with the authorities been regulated?

65

Has cooperation with external service organizations been regulated?

Form # qf 171-02rev.a

19 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

66

Enquiry/Investigation
Have procedures been established for the information of the public?

Comment

67

Have procedures been established and documented to periodically measure and monitor the key characteristics of operations and activities that can have a significant impact on the environment?

68

Do the procedures include regulations on: - recording of information to track performance, - relevant operational control systems - conformance with the organizations objectives and targets ? Is the equipment used for measurement and monitoring maintained and calibrated?

69

70

Are specific measurement requirements1) taken into account, if necessary?

71

Are the results of the maintenance and the monitoring recorded and retained?

Form # qf 171-02rev.a

20 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

72

Enquiry/Investigation
Have responsibilities, authorities and procedures been defined for the investigation of cases of nonconformances and for corrective action? Have responsibilities, authorities and procedures been defined for initiating and completing corrective and preventive action?

Comment

73

74

Do the procedures include requirements with respect to: - identifying the cause of the nonconformance, - carrying out measures to mitigate environmental impacts caused, - identifying and implementing the necessary corrective action, - implementing or modifying control mechanisms by which a renewed nonconformance shall be prevented, - recording of any changes in written procedures resulting from corrective action ?

75

Are the established corrective and preventive action appropriate?

Form # qf 171-02rev.a

21 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

76

Enquiry/Investigation
Have changes in the documented procedures resulting from corrective and preventive action been recorded and the records retained?

Comment

77

Has a procedure for the identification, maintenance and disposition of environmental records been established?

78

Do theses procedures take the following aspects into account? - information on applicable environmental laws and other requirements - complaint records - training and instruction records - information about stages of production - product information - inspection, maintenance and calibration records - pertinent contractor and supplier information - incident reports - information on emergency preparedness and response - records of significant environmental aspects - audit results - results of management reviews - results of environmental reviews - dealing with service companies

Form # qf 171-02rev.a

22 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

79

Enquiry/Investigation
Are these records identifiable and traceable to the activity, product or service involved?

Comment

80

Are the records, legible, readily retrievable and protected from damage, deterioration or loss?

81

Have the retention times and locations of the records been defined?

82

Have programmers and procedures been established for carving out internal environmental management system audits?

Form # qf 171-02rev.a

23 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

83

Enquiry/Investigation
Are internal environmental management system audits planned?

Comment

84

Are audits performed according to the planned arrangements?

85

Are the results of previous audits taken into account for audit planning and conducting?

86

Is the environmental relevance of the activity concerned taken into account in planning and conducting audits? Have the responsibilities and requirements been established for the directing and conducting of audits, reporting and the definition and monitoring of prescribed measures? Has the qualification for the auditors been defined? Have auditors been appointed?

87

88

89

Form # qf 171-02rev.a

24 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

90

Enquiry/Investigation
Has the impartiality and objectivity of auditors been ensured?

Comment

91

Does the organizations top management review and evaluate the environmental management system to ensure that it is still suitable, adequate and effective?

92

Are these reviews and evaluations carried out at fixed intervals?

93

Are all environmental management system elements considered in the review?

94

Has it been ensured that the top management is provided with the information needed to review and evaluate the environmental management system, such as - results form audits, - the extent to which objectives and targets have been met, - lists on energy and raw material consumption - information about other environmental aspects, - lists of environmental data ?

Form # qf 171-02rev.a

25 of 26

RAWDATAIN WATER BOTTLING Co

Internal Audit Checklist

Audit Scope: EMS Auditor: Date: Item

95

Enquiry/Investigation
Is the following taken into consideration at reviewing and evaluating: - the possible need for changing to the policy, the objective and other elements - the changing circumstances, - the concerns amongst relevant interested parties and the commitment to continual improvement ?

Comment

96

Are the results of review and evaluation documented?

97

Are the necessary measures, defined in the results of review and evaluation procedures documented and their implementation followed up?

Form # qf 171-02rev.a

26 of 26