Title Page
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Conducted on
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Prepared by
4.1 - Understanding the Organization and its Context
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Does the organization have a high-level, conceptual understanding of the internal and external issues that can affect, either positively or negatively, its bility to achieve the intended outcomes of its Environmental Management System (EMS)?<br><br>Additional Info:<br>1. Organization’s Issues examples: <br>a. Environmental conditions capable of affecting or being affected by the organization. For example the impacts on / from environmental conditions like climate change, storms and floods, air quality, water quality, land use, existing contamination, natural resource availability, biodiversity, etc. b. External: cultural, social, political, regulatory, financial, economic, natural and competitive issues, whether international, national, regional or local c. Internal: organization’s activities, products, services, strategic direction and capabilities (people, knowledge, processes, systems)<br><br>Details:<br>Describe the process used by client to identify internal and external issues. Reference objective evidence, including examples of these issues.
4.2 - Understanding the needs and expectations of interested parties
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Has the organization adequately determined the interested parties and their requirements relevant to its EMS? Which of these requirements are considered as organization’s compliance obligations?<br><br>Details:<br>Describe the process used by the organization to identify the interested parties. Reference objective evidence, including examples of interested parties and any resulting compliance obligations:
4.3 - Determining the scope of the Environmental Management System
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Has the organization determined the boundaries and applicability of the EMS to establish its scope? Has the organization effectively considered the following prior to <br>determining the scope of the EMS? The extent of organization’s control and influence, l context, external and internal issues, compliance obligations, physical and functional boundaries, activities, products and services? Has the organization made its scope available to all interested parties as documented information?<br><br>
4.4 - Environmental Management System
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While establishing, implementing, maintaining and continually improving the EMS; - Has the organization implemented an EMS, including all required processes, in accordance with the requirements of ISO 14001? - Has the organization considered the knowledge it gained from its context and its interested parties’ requirements?
5.1 - Leadership and Commitment
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How is it evident that Top Management is committed to EMS and shows leadership? <br>a) Is top management demonstrating accountability for the effectiveness of the EMS? <br>b) Are the environmental policy and objectives established, and compatible with the strategic direction and the context of the organization? Is top management involvement evident? <br>c) Does top management ensure that the EMS requirements are integrated into the organization’s business processes? <br>d) Does top management ensure the availability of resources needed for the EMS? <br>e) Does top management communicate the importance of effective environmental management and of conforming to the EMS requirements? <br>f) Does top management ensure that the EMS achieves its intended outcome(s)? <br>g) Does top management direct and support persons to contribute to the effectiveness of the EMS? <br>h) Does top management promote continual improvement? <br>i) Does top management support other relevant management roles to demonstrate their leadership in their areas of responsibility, <br>when applicable?<br><br>Additional Info:<br>Note: Reference to “business” in the 14001 Standard can be interpreted broadly to mean those activities that are core to the purposes of the organization’s existence.
5.2 - Environmental Policy
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Seek objective evidence for top management’s involvement in establishing, implementing and maintaining an environmental policy. <br>a) Is the policy appropriate to the defined scope, purpose, and context of the organization, including the nature, scale and environmental impacts of its activities, products and services? <br>b) Does the policy provide a framework for setting environmental objectives? <br>c) Does the policy include a commitment to protection of the environment, covering prevention of pollution and other specific commitments relevant to the context of the organization? <br>d) Does the policy include a commitment to fulfill the compliance obligations? <br>e) Does the policy include a commitment to Continual improvement of the EMS to enhance environmental performance? Is the policy maintained as documented information? <br>Is the policy communicated within the organization, to all persons doing work (directly or indirectly) under the <br>organization's control? Is the policy made available to interested parties?
5.3 - Organizational Roles, Responsibilities and Authorities
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In order to facilitate effective environmental management; Does top management ensure that the roles and their relevant responsibilities and authorities are assigned and communicated within the organization to ensure that; a) EMS conforms to the requirements of the ISO14001:2015 standard? b) Performance of the EMS, including environmental performance, is reported to top management?
6.1.1 Actions to Address Risks and Opportunities - General
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What process has been developed to identify risks and opportunities? Is it evident that the organization has considered its context, relevant requirements of their relevant interested parties and their defined scope when planning for the EMS? Does the organization maintain documented information on its risks and opportunities, and are the processes needed documented to the extent necessary to be sure they are carried out as planned? <br>Has the organization determined the risks and opportunities that need to be addressed to: give assurance that the EMS can achieve its intended outcome(s)? prevent, or reduce, undesired effects, including the potential for external environmental conditions to affect the <br>organization? achieve continual improvement?
6.1.2 - Environmental Aspects
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Has the organization identified environmental aspects of the activities, products or services under its control / influence? Does the organization’s determination of environmental aspects consider a life cycle perspective? a) Do the identified aspects take into account change? i.e. Planned or new developments and: New or modified activities, products and services b) Do the identified aspects cover abnormal and potential [foreseeable] emergency situations as well as normal situations? Does the organization determine its significant environmental aspects (those aspects that have or can have a significant impact on the environment)? Has the organization communicated its significant environmental aspects among the various levels and functions with the organization? Does the organization maintain documented information of its: Criteria used to determine its significant environmental aspects? Environmental aspects and associated environmental impacts? Significant environmental aspects?
6.1.3 - Compliance Obligations
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Does the organization determine and have access to the compliance obligations related to its environmental aspects? Does the organization determine how its compliance obligations apply to the organization? Does the organization take its compliance obligations into account when establishing, implementing, maintaining and continually improving its environmental management system? Does the organization maintain documented information of its compliance obligations?
6.1.4 - Planning Action
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Has the organization planned to: a) Take actions to address these? Risks and opportunities, Significant environmental aspects and, Compliance obligations b-1) Integrate and implement the actions into its EMS processes or other business processes? b-2) Evaluate the effectiveness of these actions? <br>When planning these actions, does the organization consider its technological options and its financial, operational and business <br>requirements?
6.2.1 - Environmental Objectives and Planning to Achieve Them - Environmental Objectives
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Has the organization established environmental objectives at relevant functions and levels? Has the organization taken into account below issues when establishing environmental objectives? - Significant environmental aspects - Compliance obligations associated with significant environmental aspects. Does the organization consider its risks and opportunities when <br>establishing environmental objectives? <br>a) Are the organization’s environmental objectives consistent with its <br>environmental policy? <br>b) Are the environmental objectives measureable (if practicable)? <br>c) Does the organization monitor the environmental objectives? <br>d) Are the environmental objectives communicated? <br>e) Does the organization update the environmental objectives as appropriate? <br>Does the organization retain documented information on the environmental objectives?
6.2.2 - Planning Actions to Achieve Environmental Objectives
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Has the organization determined below information in its planning to achieve its environmental objectives? a) the activities that will be conducted b) the required resources for those activities c) the responsibilities of persons d) the time frame for these activities to be completed e) How the results will be evaluated? For those measurable environmental objectives; what indicators will be used for monitoring progress? Does the organization consider how the actions to achieve environmental objectives can be integrated into the organization’s business processes?
7.1 - Resources
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Has the organization determined and provided the resources needed for the establishment, implementation, maintenance and continual improvement of the EMS?
7.2 - Competence
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a) How does the organization determine the necessary competence of person(s) doing work under its control that affect its environmental performance? <br>b) How does the organization ensure that persons doing the job are competent? What is the basis for their competency? (e.g. <br>appropriate education, training, or experience) <br>c) How does the organization determine training needs associated with its environmental aspects and it’s EMS?<br>d) How does the organization take actions to acquire the necessary competence, and evaluate the effectiveness of the actions taken <br>(where applicable)? <br>Has the organization retained appropriate documented information <br>as evidence of competence?
7.3 - Awareness
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Are the persons doing work under the organization’s control aware of the organization’s environmental policy, any objectives that are relevant to them, how they are contributing to the effectiveness of the EMS and what the implications are of them not conforming to EMS requirements?
7.4.1 - Communication: General
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Does the organization plan and implement a process for internal and external communications relevant to the EMS, including on what it will communicate, when it will communicate, with whom it will communicate and how it will communicate? Are compliance obligations considered in the organization’s communication planning process? How does the organization ensure that the environmental information (and claims) it communicates is reliable and in line with the EMS? What is the organization’s response process to relevant communications on its EMS? Has the organization retained documented information as evidence of its communications, as appropriate?
7.4.2 - Internal Communication
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a) Is there any process to communicate EMS related information (including updates and changes) to all functions and various levels of the organization? b) Are the persons doing work under organization’s control able to contribute to the EMS and its continual improvement?
7.4.3 - External Communication
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Has the organization established a process to externally communicate information relevant to the EMS?
7.5.1 - Documented Information: General
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Does the organization’s EMS include all documented information required by the ISO 14001:2015 standard, and the information determined by the organization itself as necessary for the effectiveness of the EMS?
7.5.2 - Creating and Updating
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When creating and updating documented information, does the organization ensure that it is appropriately identified and described (e.g. title, date, author, reference number), in an appropriate format (e.g. language, software version, graphics) and on appropriate media (e.g. paper, electronic)? Is the documented information being reviewed and approved for suitability and adequacy?
7.5.3 - Control of Documented Information
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Is the above mentioned documented information (please see 7.5.1.) controlled in order to ensure that it is available where needed and that it is suitable for use? Is it adequately protected against improper use, loss of integrity and loss of confidentiality? For the control of documented information; - Does the organization address distribution, access, retrieval and use of documented information? - Is there a process for control of changes (version control), storage and preservation (including preservation of legibility), retention and disposition of documented information? Has the organization identified and established controls for any documented information of external origin that it considers <br>necessary for the planning and operation of the organizations’ EMS?<br><br>
8.1 - Operational Planning and Control
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In order to meet requirements of EMS and to address the issues determined in 6.1 and 6.2; Does the organization plan, implement and control any processes? Any criteria are established for the processes? <br>In accordance with the above criteria, are controls implemented on the processes, to prevent deviation from the environmental policy, environmental objectives and compliance obligations? <br>Does the organization control planned changes and review the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary? <br>Has the organization ensured that outsourced processes are controlled or influenced? <br>Are the type and degree of control or influence to be applied to these processes are defined within the EMS?<br>To make the control processes consistent with a life cycle perspective, has the organization: <br>a) determined environmental requirements for the procurement of products and services, as appropriate? <br>b) established controls to ensure that environmental requirements are <br>considered in the design process for the development, delivery, use and end-of-life treatment of its products and <br>services, as appropriate? <br>c) communicated relevant environmental requirement(s) to external <br>providers, including contractors? <br>d) considered the need to provide information about potential significant environmental impacts during the delivery of the <br>products or services and during use and end-of-life treatment of the product? <br>Does the organization maintain documented information to the extent necessary to have confidence that the processes have been <br>carried out as planned?<br><br>Additional Info:<br>(6.1: Risks & Opportunities) (6.2: EMS Objectives and Actions to achieve them)
8.2 - Emergency Preparedness and Response
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Has the organization established, implemented and maintained any processes specifying how it will respond to potential environmental emergency situations and potential accidents? a) Is there any mitigation or preventive actions planned to prepare the organization against environmental impacts caused by emergency situations? b) Does the organization respond to actual emergency situations and accidents? <br>c) Are the mitigation/prevention actions (to reduce the consequences of environmental emergency situations), appropriate to the <br>magnitude of the emergency or accident and the potential environmental impact? <br>d) Are these planned response action being tested periodically (when practicable)? <br>e) Are these processes being reviewed and revised periodically? <br>How about after emergency situations or tests? <br>f) Does the organization provide training and information relevant to its emergency preparedness and response to persons working under its control and other relevant interested parties?
9.1.1 - Monitoring, Measurement, Analysis and Evaluation: General
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Is the organization monitoring, measuring, analyzing, and evaluating its environmental performance? a) Has the organization determined what to monitor and measure?<br>b) In order to ensure valid results; has the organization determined the methods for its monitoring, measurement, analysis and <br>evaluation, as applicable? <br>c) Are there any criteria determined by organization against which, it will evaluate its environmental performance, using appropriate <br>indicators? <br>d) Has the organization determined when monitoring and measuring shall be performed? <br>e) Is it determined when the organization shall analyze and evaluate the results from monitoring and measurement? <br>Does the organization ensure that the equipment used for its monitoring and measurement are calibrated, verified and <br>maintained as appropriate? <br>Does the organization evaluate its environmental performance and <br>the effectiveness of the EMS? <br>Does the organization retain appropriate documented information as evidence of the monitoring, measurement, analysis and <br>evaluation results? <br>Is the information relevant to organization’s environmental performance being communicated both internally and externally, as determined by organization’s communication process and as required by its compliance obligations?
9.1.2 - Requirements: Evaluation of Compliance
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Are there any processes planned, implemented and maintained by the organization to evaluate fulfillment of its compliance obligations? a) Is the frequency of compliance evaluation determined by the organization? b) Does the organization evaluate compliance and take action if needed? c) Is the knowledge and understanding of the compliance status, being maintained by the organization? Is the evidence of the compliance evaluation result(s) being retained as documented information by the organization?
9.2.1 - Internal Audit: General
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Does the organization conduct internal audits at planned intervals to provide information on whether the EMS; a) Conforms to the organization’s own requirements for its EMS and the requirements of ISO 14001:2015? b) Is effectively implemented and maintained?
9.2.2 - Internal Audit Program
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Has the organization planned, established, implemented and maintained audit program(s), to include the frequency, methods, responsibilities, planning requirements and reporting of the audits? <br>Does the organization’s internal audit program take into consideration the environmental importance of processes concerned, changes affecting the organization, and the results of <br>previous audits? <br>a) Are the audit criteria and scope defined for each audit? <br>b) Are the objectivity and the impartiality of the audit process ensured during the auditors’ selection and conducting audits? <br>c) Are the results of the audits reported to relevant management? <br>Are the audit results and other evidence of the implementation of the audit program retained as documented information by organization?
9.3 - Management Review
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Has the top management reviewed the organization's EMS, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness? a) Is the status of actions from previous management reviews considered during management review? b) Does the management review consider the changes in: <br>- external and internal issues that are relevant to the EMS? <br>- compliance obligations and other expectations of interested parties? <br>- its significant environmental aspects? <br>? - risks and opportunities? <br>c) Does the management review consider the extent to which objectives have been met? <br>d) Does the management review consider the information on the organization’s environmental performance, including trends in: <br>- nonconformities and corrective actions? <br>- monitoring and measurement results? <br>- compliance obligations fulfillment? <br>- audit results? <br>e) Is adequacy of resources considered in the management review? <br>f) Are the communications from interested parties considered in the management review? Does it also include complaints? <br>g) Does the management review consider opportunities for continual improvement? <br>Do the outputs of the management review include: <br>- conclusions on the continuing suitability, adequacy and effectiveness of the EMS? <br>- decisions related to continual improvement opportunities? <br>- decisions on any need for changes to the environmental management system, including resource needs? <br>- actions if needed, when objectives have not been met? <br>- opportunities to improve integration of the environmental management system with other business processes, if needed <br>- any implications for the strategic direction of the organization? <br>Does the organization retain documented information as evidence of the results of management reviews?
10.1 - General
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Has the organization identified the improvement opportunities and taken necessary actions that will better enable the organization to achieve the intended outcome of its EMS?
10.2 - Nonconformity and Corrective Action
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a) Does the organization react to any occurred nonconformity and, as applicable: - take immediate action to control and correct it? - deal with the consequences, mitigate adverse environmental impacts? <br>b) In order that the nonconformity does not recur or occur elsewhere; has the organization evaluated the need for any action to eliminate the causes of the nonconformity by means of: - reviewing the nonconformity? - determining the causes of the nonconformity? - determining if similar nonconformities exist, or could potentially occur? <br>c) Are corrective actions determined and implemented as needed? <br>d) Does the organization review the effectiveness of any corrective action taken? <br>e) Does the organization make changes to the environmental management system, if necessary? <br>Are corrective actions appropriate to the significance of the effects of the nonconformities encountered, including the environmental impact(s)? <br>Does the organization retain documented information as evidence of: <br>- the nature of the nonconformities and any subsequent actions taken <br>- the results of any corrective action?
10.3 - Continual Improvement
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Does the organization continually improve the suitability, adequacy and effectiveness of the EMS to enhance environmental performance?
