ISO 14001:2015 Audit Checklist

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Introduction

• Please complete all sections starting immediately below. This internal self-assessment will evaluate the compliance of your Environmental Management System with ISO 14001:2015. Remember to attach evidence to items where required, and to sign off and complete this assessment at the end.

4.1 General requirements

• Has the organisation established and maintained an environmental management system consistent with the requirements contained in ISO 14001?

  Compliant

  Minor N/C

  Major N/C

• Does the EMS focus on enhancement of Environmental performance?

  Compliant

  Minor N/C

  Major N/C

• Does the EMS detail how it will fulfil compliance obligations?

  Compliant

  Minor N/C

  Major N/C

• Does the EMS inform on how it aims to achieve environmental objectives?

  Compliant

  Minor N/C

  Major N/C

4.2 Environmental Policy

• Has a suitable and sufficient Environmental Policy been created?

  Compliant

  Minor N/C

  Major N/C

• Has the Environmental Policy been created, defined and approved by top management?<br>

  Compliant

  Minor N/C

  Major N/C

• Is the environmental policy appropriate to the nature, scale, and environmental impacts of the organisation’s activities and services?<br>

  Compliant

  Minor N/C

  Major N/C

• Does the environmental policy include a commitment to continual improvement and prevention of pollution?<br>

  Compliant

  Minor N/C

  Major N/C

• Does the environmental policy include a commitment to comply with relevant environmental legislation and regulations?<br>

  Compliant

  Minor N/C

  Major N/C

• Does the environmental policy provide a framework for setting and reviewing environmental objectives and targets?<br>

  Compliant

  Minor N/C

  Major N/C

• Is the environmental policy documented and sufficiently stored?

  Compliant

  Minor N/C

  Major N/C

• Is there evidence to show that environmental policy is implemented across the business?

  Compliant

  Minor N/C

  Major N/C

• Is the environmental policy maintained and reviewed yearly?

  Compliant

  Minor N/C

  Major N/C

• Has the environmental policy been communicated across the organisation?

  Compliant

  Minor N/C

  Major N/C

• Is the environmental policy available to interested parties?

  Compliant

  Minor N/C

  Major N/C

4.3 PLANNING

4.3.1 Environmental aspects

• Has the organisation established and maintained a procedure to identify the environmental aspects of its activities & services that it can control and over which it can be expected to have an influence?<br>

  Compliant

  Minor N/C

  Major N/C

• Has the organisation determined which of its aspects have a significant impact on the environment?<br>

  Compliant

  Minor N/C

  Major N/C

• Has the organization ensured that its aspects and related significant impacts are considered in setting its environmental objectives?<br>

  Compliant

  Minor N/C

  Major N/C

• Is there evidence to show that any impact to the environment, whether adverse or beneficial, is considered and controlled?

  Compliant

  Minor N/C

  Major N/C

• Does the organisation periodically update information regarding its aspects and significant impacts (or as and when changes occur) ?

  Compliant

  Minor N/C

  Major N/C

4.3.2 Legal and other requirements

• Has the organisation established and maintained a procedure to identify and/or have access to legal and other mandatory requirements to which are applicable to the environmental aspects of the organisation?

  Compliant

  Minor N/C

  Major N/C

4.3.3 Objectives and targets

• Has the organisation established and maintained documented environmental objectives and targets, at each relevant function and level within the organisation?<br>

  Compliant

  Minor N/C

  Major N/C

• When establishing and reviewing its objectives, has the legal and other mandatory requirements been considered?<br><br>

  Compliant

  Minor N/C

  Major N/C

• When establishing and reviewing its objectives, has the significant environmental aspects been considered?

  Compliant

  Minor N/C

  Major N/C

• When establishing and reviewing its objectives, has the technological options been considered?

  Compliant

  Minor N/C

  Major N/C

• When establishing and reviewing its objectives, has its financial, operational, and business requirements been considered?<br>

  Compliant

  Minor N/C

  Major N/C

• When establishing and reviewing its objectives, have the views of interested parties been considered?

  Compliant

  Minor N/C

  Major N/C

• Are the organisation’s objectives and targets consistent with its environmental policy?

  Compliant

  Minor N/C

  Major N/C

• Do the organisations objectives include the commitment to the prevention of pollution?

  Compliant

  Minor N/C

  Major N/C

• Is there evidence to show that objectives for pollution reduction are being implemented?

  Compliant

  Minor N/C

  Major N/C

4.3.4 Environmental management program (Roles & Responsibilities)

• Has the organisation established and maintained an environmental management program for achieving its objectives and targets?<br>

  Compliant

  Minor N/C

  Major N/C

• Does the environmental management program designate responsibility for achieving objectives and targets at each relevant function and/or level of the organisation?<br>

  Compliant

  Minor N/C

  Major N/C

• Does the environmental management program set time scales & systems of work by which they are to be achieved?<br>

  Compliant

  Minor N/C

  Major N/C

• Is the environmental management program reviewed and changed when appropriate if new or modified activities or services are implemented in the organisation?

  Compliant

  Minor N/C

  Major N/C

• Has relevant planning taken place, to ensure that progress towards achievement of the environmental objectives will be monitored?

  Compliant

  Minor N/C

  Major N/C

4.4 Implementation and Operation

4.4.1 Structure and responsibility

• Has the organisation defined, documented, and communicated the roles, responsibilities, and authorities to implement effective environmental management?<br>

  Compliant

  Minor N/C

  Major N/C

• Is there evidence to show that the communication & documentation of roles and responsibilities are effective for implementation?

  Compliant

  Minor N/C

  Major N/C

• Has management provided resources essential to the implementation and control the environmental management system?<br>

  Compliant

  Minor N/C

  Major N/C

• Do the resources for implementation of the EMS include human resources, specialised skills, technology, financial<br>resources etc?<br>

  Compliant

  Minor N/C

  Major N/C

• Has the organisation appointed a specific management representative who irrespective of other responsibilities, has defined roles, responsibilities, and authority to:<br>Ensure that the EMS requirements are established, implemented, and maintained in accordance to 14001?<br>

  Compliant

  Minor N/C

  Major N/C

• Has the organisation appointed a specific management representative who irrespective of other responsibilities, has defined roles, responsibilities, and authority to:<br>Report on the performance of the EMS to top management for review and as a basis for improvement of the EMS?

  Compliant

  Minor N/C

  Major N/C

4.4.2 Training, awareness and competence

• Has the organisation identified the training needs for all personnel whose work may create a significant impact upon the environment?<br>

  Compliant

  Minor N/C

  Major N/C

• Is there evidence to show that organisation have assessed the competence of personnel performing tasks which can cause significant environmental impacts (competent on the basis of appropriate education, training, and/or experience) ?

  Compliant

  Minor N/C

  Major N/C

• Where applicable, is there evidence to show that the organisation will take action to acquire necessary competence/training needs?

  Compliant

  Minor N/C

  Major N/C

• Has the organisation established that employees at each relevant function are aware of the importance of conformance with the environmental policy, procedures and requirements of the EMS?<br>

  Compliant

  Minor N/C

  Major N/C

• Has the organisation established that employees at each relevant function are aware of the significant environmental impacts (actual or potential), of their work activities and the environmental benefits of improved personal performance?<br>

  Compliant

  Minor N/C

  Major N/C

• Has the organisation established that employees at each relevant function are aware of their roles and responsibilities in achieving conformance with the environmental policy, procedures and requirements of the EMS?<br>

  Compliant

  Minor N/C

  Major N/C

• Has the organisation established that employees at each relevant function are aware of emergency preparedness and response requirements?

  Compliant

  Minor N/C

  Major N/C

• Has the organisation established that employees at each relevant function are aware of the potential consequences/implications of failure to comply with environmental procedures etc? <br>

  Compliant

  Minor N/C

  Major N/C

4.4.3 Communication

• With regards to its environmental management system, has the organisation established and maintained procedures to ensure internal communication between the various levels and functions of the organisation?

  Compliant

  Minor N/C

  Major N/C

• Has the organisation considered its process for external communication on its significant environmental aspects and recorded its decision?

  Compliant

  Minor N/C

  Major N/C

• Has the organisation considered a process for receiving, documenting, and responding to relevant communication from external interested parities?

  Compliant

  Minor N/C

  Major N/C

4.4.4 Environmental management system documentation

• Has the organisation documented in paper or electronic form, the information required by 14001?

  Compliant

  Minor N/C

  Major N/C

• Has the organisation documented in paper or electronic form the information determined necessary for the effectiveness of the EMS?

  Compliant

  Minor N/C

  Major N/C

4.4.5 Document control

• Has the organisation established and maintained procedures for controlling all documents?

  Compliant

  Minor N/C

  Major N/C

• Is all documented information available and suitable for use, as and when it is needed? <br>

  Compliant

  Minor N/C

  Major N/C

• Is all documented information periodically reviewed, revised as necessary, and approved for adequacy by authorised personnel?<br>

  Compliant

  Minor N/C

  Major N/C

• Have all obsolete/outdated documents been archived and removed from all points of issue and points of use?<br>

  Compliant

  Minor N/C

  Major N/C

• Have all obsolete/outdated documents that may have been retained for legal and/or knowledge preservation purposes, been suitably identified (to ensure no one is using out of date documents)? <br>

  Compliant

  Minor N/C

  Major N/C

• Is all documented information legible, dated (including dates of revision)?<br>

  Compliant

  Minor N/C

  Major N/C

• Is all documented information maintained and ordered, using appropriate identification and description (such as title, reference number) to aid in document control?

  Compliant

  Minor N/C

  Major N/C

• Has the organisation established and maintained procedures and responsibilities with regards to the creation and modification of the various types of documents?

  Compliant

  Minor N/C

  Major N/C

• Is all documented information suitably stored and adequately protected from loss of confidentiality, improper use etc?

  Compliant

  Minor N/C

  Major N/C

4.4.6 Operational control

• Has the organisation identified its operations and activities that are associated with the identified environmental aspects in line with its policy, objectives, and targets?<br>

  Compliant

  Minor N/C

  Major N/C

• Has the organisation established operating criteria for the processes needed to meet EMS requirements?

  Compliant

  Minor N/C

  Major N/C

• Has the organisation implemented effective control measures of these processes in accordance with operating criteria?

  Compliant

  Minor N/C

  Major N/C

• Is there evidence to show that controls have been considered in the design and development process of activities/services to ensure its environmental requirements are addressed?

  Compliant

  Minor N/C

  Major N/C

• Is there evidence to show that environmental requirements have been considered throughout procurement of products or services?

  Compliant

  Minor N/C

  Major N/C

• Is there evidence to show that potential environmental impacts from transportation, delivery, use, end-of-life treatment and final disposal of products/services are considered and relevant information can be provided?

  Compliant

  Minor N/C

  Major N/C

• Have the operating criteria and controls been sufficiently documented?

  Compliant

  Minor N/C

  Major N/C

4.4.7 Emergency preparedness and response

• Has the organisation established and maintained procedures to identify potential for and respond to accidents and emergency situations?<br>

  Compliant

  Minor N/C

  Major N/C

• Has the organisation established and maintained procedures to take action to prevent or mitigate the consequences of emergency situations?

  Compliant

  Minor N/C

  Major N/C

• Has the organisation reviewed and revised, where necessary, its emergency preparedness and response procedure, in particular, after the occurrence of accidents or emergency situations?<br>

  Compliant

  Minor N/C

  Major N/C

• Has the organisation periodically tested such procedures where practicable?

  Compliant

  Minor N/C

  Major N/C

• Has the organisation provided relevant information and training related to emergency preparedness and response?

  Compliant

  Minor N/C

  Major N/C

4.5 Checking and Corrective Action

4.5.1 Monitoring and measurement

• Has the organisation established and maintained documented procedures to monitor and measure, on a regular basis, the key characteristics of its operations and activities that can have a significant impact on the environment?<br>

  Compliant

  Minor N/C

  Major N/C

• Have the methods for monitoring, measurement, analysis and evaluation been established to ensure valid results?<br>

  Compliant

  Minor N/C

  Major N/C

• Has the organisation established criteria against which the organisation will evaluate its environmental performance, and appropriate indicators?

  Compliant

  Minor N/C

  Major N/C

• Have timescales been set to establish when the monitoring and measuring will be performed and when the results will be analysed and/or evaluated?

  Compliant

  Minor N/C

  Major N/C

• Does the organisation calibrate equipment and maintain records?<br>

  Compliant

  Minor N/C

  Major N/C

4.5.2 Nonconformance and corrective and preventive action

• Has the organisation established and maintained procedures for defining responsibility and authority when handling and investigating non conformance? <br>

  Compliant

  Minor N/C

  Major N/C

• Has the organisation established and maintained procedures for defining responsibility and authority when taking action to mitigate any impacts caused, and for initiating and completing corrective and preventive action?

  Compliant

  Minor N/C

  Major N/C

• Is there evidence to show that the organisation maintains knowledge and understanding of its compliance status?<br>

  Compliant

  Minor N/C

  Major N/C

• Has the organisation implemented and recorded any changes in the documented procedures resulting from corrective and/or preventive action?

  Compliant

  Minor N/C

  Major N/C

4.5.3 Records

• Has the organisation established and maintained procedures for the identification, maintenance, and disposition of environmental records, including, Training records?

  Compliant

  Minor N/C

  Major N/C

• Has the organisation established and maintained procedures for the identification, maintenance, and disposition of environmental records, including: The results of audits (EMS audits)?

  Compliant

  Minor N/C

  Major N/C

• Has the organisation established and maintained procedures for the identification, maintenance, and disposition of environmental records, including: The results of reviews (Management Reviews)?

  Compliant

  Minor N/C

  Major N/C

• Are the organisation’s records legible, identifiable, and traceable to the activity or service involved?<br>

  Compliant

  Minor N/C

  Major N/C

• Are the environmental records stored and maintained in such a way that they are readily retrievable and protected against damage, deterioration, or loss?<br>

  Compliant

  Minor N/C

  Major N/C

• Are records maintained, as appropriate to the system and to the organisation, to demonstrated conformance to the requirements of 14001?

  Compliant

  Minor N/C

  Major N/C

4.5.4 Environmental management system audit

• Has the organisation conducted internal audits at planned intervals to provide information on whether the EMS conforms to the companies own requirements, and those of the International standard? <br><br>

  Compliant

  Minor N/C

  Major N/C

• Is the implementation of the internal audit process effectively implemented and maintained?

  Compliant

  Minor N/C

  Major N/C

• Does the organisation’s audit programme, consider the environmental importance of the activity concerned, changes affecting the organisation and the results of previous audits?<br>

  Compliant

  Minor N/C

  Major N/C

• Does the internal audit programme establish the audit scope, frequency, and methodologies, as well as the responsibilities and requirements for conducting audits and reporting results?

  Compliant

  Minor N/C

  Major N/C

4.6 Management Review

• Does the organisation’s top management review the environmental management system at determined intervals to ensure its continuing suitability and effectiveness?<br>

  Compliant

  Minor N/C

  Major N/C

• Do the management reviews consider the status of actions from previous management reviews?

  Compliant

  Minor N/C

  Major N/C

• Does the management review process ensure that the necessary information is collected to allow management to carry out this evaluation?<br>

  Compliant

  Minor N/C

  Major N/C

• Are the management reviews documented?<br>

  Compliant

  Minor N/C

  Major N/C

• Does each management review consider and implement decisions made for continual improvement opportunities? <br>

  Compliant

  Minor N/C

  Major N/C

• Does each management review consider any need for changes to the EMS, including resources?

  Compliant

  Minor N/C

  Major N/C

• Does each management review discuss whether any actions are needed, if environmental objectives have not been achieved?

  Compliant

  Minor N/C

  Major N/C

• Does each management review discuss opportunities to improve integration of the environmental management system with other business processes if needed?

  Compliant

  Minor N/C

  Major N/C

• Does each management review consider any implications for the strategic direction of the organisation?

  Compliant

  Minor N/C

  Major N/C

• When reviewing the EMS, is there evidence to show that the organisation continually improve the suitability, adequacy and effectiveness of the EMS to enhance environmental performance?

  Compliant

  Minor N/C

  Major N/C

Sign Off

• I, the undersigned, confirm this audit took place and was completed accurately.

• Full name and signature of auditor

  Sign