Checklist – ISO 14001:2015 audit
Audit your Environmental Management System for compliance with the ISO 14001:2015 standard. Check that your EMS complies with ISO standards.
1) General requirements
1.1 Has the organization established and maintained an environmental management system consistent with the requirements contained in ISO 14001?
2) Environmental Policy
2.1 Has top management defined the organization’s environmental policy?
2.2 Is the environmental policy appropriate to the nature, scale and environmental impacts of the organization’s activities, products or services?
2.3 Does the environmental policy include a commitment to continuous improvement and pollution prevention?
2.4 Does the environmental policy include a commitment to comply with relevant environmental legislation and regulations and with other requirements that the organization subscribes to?
2.5 Does the environmental policy provide a framework for setting and reviewing environmental objectives and targets?
2.6 Is the environmental policy documented, implemented, maintained and communicated to all employees?
2.7 Is the environmental policy available to the public?
3) PLANNING Environmental aspects
3.1 Has the organization established and maintained procedure(s) to identify the environmental aspects of its activities, products or services that it can control and over which it is expected to have influence?
3.2 Has the organization determined which of its aspects have a significant impact on the environment?
3.3 Has the organization ensured that its related significant aspects and impacts are considered when setting its environmental objectives?
3.4 Does the organization periodically update the information on its significant aspects and impacts?
4) Legal and other requirements
4.1 Has the organization established and maintained a procedure to identify and have access to the legal and other requirements that the organization subscribes to, that are applicable to the environmental aspects of its activities, products or services?
5) Objectives and goals
5.1 Has the organization established and maintained documented environmental objectives and targets, at every relevant function and level within the organization?
5.2 Has the organization, when setting and reviewing its objectives, considered: Legal and other requirements? Its significant environmental aspects? Your technology options? Your financial, operational and business requirements? The opinions of the interested parties?
5.3 Are the organization’s objectives and goals consistent with its environmental policy, including a commitment to pollution prevention?
6) Environmental management program(s)
6.1 Has the organization established and maintained environmental management programs to achieve its objectives and goals?
6.2 Do environmental management programs designate responsibility for achieving objectives and goals at each relevant function and level of the organization?
6.3 Do the environmental management programs define the means and the time in which they must be achieved?
6.4 Are environmental management programs reviewed and modified when appropriate if new or modified activities, products or services are implemented in the organization?
7) Implementation and Operation Structure and responsibility
7.1 Has the organization defined, documented and communicated the roles, responsibilities and authorities to facilitate effective environmental management? How do you do this?
7.2 Has the management provided the essential resources for the implementation and control of the environmental management system?
7.3 Do resources include human resources and specialized skills, technology, and financial resources?
7.4 Has the organization’s top management appointed specific management representative(s) who, irrespective of other responsibilities, have defined roles, responsibilities and authority to: Ensure that the environmental management system (EMS) requirements ) are established, implemented and maintained in accordance with this International Standard. Report on the performance of the EMS to senior management for review and as a basis for improvement of the EMS.
8) Training, awareness and competence
8.1 Has the organization identified the training needs of all staff whose work may have a significant impact on the environment? How do you do this?
8.2 Has the organization established and maintained a procedure to make its employees in each relevant function aware of:
8.3 The importance of compliance with environmental policy and procedures and environmental management system (EMS) requirements?
8.4 The significant actual or potential environmental impacts of your work activities and the environmental benefits of improved personal performance?
8.5 Your roles and responsibilities for achieving compliance with environmental policy and procedures and EMS requirements, including emergency preparedness and response requirements?
8.6 The possible consequences of deviation from the specified operating procedure?
8.7 How does the organization ensure that personnel performing tasks that may cause significant environmental impacts are competent on the basis of appropriate education, training and/or experience?
9.1 Regarding its environmental aspects and environmental management system, the organization has established and maintained procedures to ensure: Internal communication between the different levels and functions of the organization? Receive, document and respond appropriately to relevant communications from external stakeholders?
9.2 Has the organization considered its process(es) for external communication about its significant environmental aspects and recorded its decision?
10) Documentation of the environmental management system
10.1 Has the organization established and maintained information in paper or electronic format to: Describe the core elements of the management system and their interaction? Do you provide instructions for related documentation?
11) Documents control
11.1 Has the organization established and maintained procedures to control all documents required by this International Standard to ensure:
11.2 Can they be located?
11.3 Are they reviewed periodically, revised as necessary, and approved for adequacy by authorized personnel?
11.4 Are current versions of relevant documents available at all locations where operations are essential for the effective functioning of the environmental management system?
11.5 Are obsolete documents promptly removed from all points of issue and use, or otherwise secured against unintended use?
11.6 Are obsolete documents kept for legal and/or knowledge preservation purposes adequately identified?
11.7 Are the organization’s documents legible, dated (with revision dates) and easily identifiable, maintained in an orderly manner and retained for a specified period?
11.8 Has the organization established and maintained procedures and responsibilities regarding the creation and modification of the different types of documents?
12) operational control
12.1 Has the organization identified those operations and activities that are associated with the significant environmental aspects identified in line with its policy, objectives and goals?
12.2 Has the organization planned these activities, including maintenance, to ensure that they are carried out under specified conditions by: Establishing and maintaining documented procedures to cover situations where their absence could lead to deviations from the environmental policy and the objectives and goals? Does it stipulate operating criteria in the procedures? Establishing and maintaining procedures related to the identifiable significant environmental aspects of the goods and services used by the organization and communicating the relevant procedures and requirements to suppliers and contractors?
13) Preparation and answer to the emergencies
13.1 Has the organization established and maintained procedures to identify and respond to potential accidents and emergency situations, and to prevent and mitigate any environmental impacts that may be associated with them?
13.2 Has the organization reviewed and revised, where necessary, its emergency preparedness and response procedure, particularly after the occurrence of accidents or emergency situations?
13.3 Has the organization periodically tested such procedures when feasible?
14) Verification and corrective action Monitoring and measurement
14.1 Has the organization established and maintained documented procedures to regularly monitor and measure key characteristics of its operations and activities that may have a significant impact on the environment?
14.2 Does monitoring and measurement include the recording of information to track performance, relevant operational controls, and conformance to the organization’s environmental goals and objectives?
14.3 Does the organization calibrate equipment and maintain records in accordance with organization procedures?
14.4 Has the organization established and maintained a documented procedure to periodically assess compliance with relevant environmental laws and regulations?
15) Non-conformity and corrective and preventive actions
15.1 Has the organization established and maintained procedures to define the responsibility and authority to handle and investigate the nonconformity, take action to mitigate the impacts caused, and to initiate and complete corrective and preventive actions?
15.2 When corrective and preventive actions are taken to eliminate the causes of actual and potential nonconformities, are they adequate to the magnitude of the problems and proportional to the environmental impact found?
15.3 Has the organization implemented and recorded changes to documented procedures as a result of corrective and preventive actions?
16.1 Has the organization established and maintained procedures for the identification, maintenance and disposal of environmental records, including: Training records? The results of the audits (EMS audits)? The results of the reviews (Management Reviews)?
16.2 Are the organization’s records legible, identifiable and traceable to the activity, product or service involved?
16.3 Are environmental records stored and maintained in such a way that they are easily retrievable and protected against damage, deterioration or loss?
16.4 Are record retention times established and recorded?
16.5 Are records maintained, as appropriate to the system and organization, to demonstrate conformance to the requirements of this International Standard?
17) Audit of the environmental management system
17.1 Has the organization established and maintained program(s) and procedure(s) to conduct periodic audits of the environmental management system in order to: – Determine whether or not the environmental management system conforms to planned environmental management arrangements, including the requirements of this International —Standard and has it been properly implemented and maintained? Do you provide information on the results of audits to management?
17.2 Is the organization’s audit program, including any schedule, based on the environmental significance of the activity in question and the results of previous audits?
17.3 Does the audit procedure cover the scope, frequency, and methodologies of the audit, as well as the responsibilities and requirements for conducting audits and reporting the results?
18) Management review
18.1 Does the organization’s top management, at determined intervals, review the environmental management system to ensure its continued suitability and effectiveness?
18.2 Does the management review process ensure that the necessary information is collected to enable management to carry out this assessment?
18.3 Are management reviews documented?
18.4 Does each management review address the possible need for changes to the policy, objectives and other elements of the environmental management system, in light of: the results of the environmental management system audit? Changing circumstances? Commitment to continuous improvement?
Name and Signature