ISO 140001-2004 Checklist

ISO14001 Checklist

This document restates the requirements of ISO 14001 for Environmental Management Systems (EMS) and has been developed to assist ECAAS Assessors and clients.

This checklist presents the requirements of ISO 14001 as questions and can be used as an effective tool for implementing the environmental management system and for self-assessment of the system.

ISO 14001 SELF ASSESSMENT CHECKLIST

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TABLE OF CONTENTS

SCOPE OF CERTIFICATION............................................................................................................ 3

ENVIRONMENTAL POLICY ........................................................................................................... 4

PLANNING ................................................................................................................................. 5 Environmental Aspects................................................................................................................. 5 Legal and Other Requirements.................................................................................................... 5 Objectives and Targets ................................................................................................................. 6 Environmental Management Programmes Objectives and Targets .......................................... 6

IMPLEMENTATION AND OPERATION ........................................................................................... 7 Structure and Responsibility ........................................................................................................ 7 Training, Awareness and Competence........................................................................................ 8 Communication............................................................................................................................. 9 Environmental Management System Documentation ............................................................... 9 Document Control....................................................................................................................... 10 Operational Control .................................................................................................................... 11 Emergency Preparedness and Response .................................................................................. 11

CHECKING AND CORRECTIVE ACTION......................................................................................... 12 Monitoring and Measurement ................................................................................................... 12 Non-conformance and Corrective and Preventive Action ........................................................ 13 Records........................................................................................................................................ 14 Environmental Management System Audit .............................................................................. 15

MANAGEMENT REVIEW............................................................................................................. 16

ISO 14001 CHECKLIST

ISO 14001 REQUIREMENTS COMMENTS ON SYSTEM STATUS

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SCOPE OF CERTIFICATION

What is the scope of environmental management system and what scope is being assessed for certification? Does it include those environmental aspects which you can control or over which you could be expected to have an influence? What is not being included in the scope of certification?

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ENVIRONMENTAL POLICY

Has top management defined the organisation’s environmental policy?

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

b) What commitment does your policy make to continual improvement?

c) What commitment does your policy make to the prevention of pollution?

d) How does the policy include a commitment to comply with relevant environmental legislation and regulations, and with other requirements to which you subscribe (eg Industry guidelines)?

e) Does the policy provide the framework for setting and reviewing environmental objectives and targets?

f) How is the policy documented, implemented and maintained and communicated to all employees?

g) How is the policy available to the public?

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PLANNING

Environmental Aspects

Has your organisation established a procedure(s) to identify the environmental aspects of its activities, products or services that it can control, for example your own operations? Has your organisation established a procedure to identify the environmental aspects of its activities over which it can be expected to have an influence, for example your suppliers and the use and disposal of your own products? How are these procedures maintained? How do you determine which environmental aspects have or can have significant impacts on the environment? How do you ensure that the aspects that you have determined are related to these significant impacts are considered in setting your environmental objectives? How do you keep information on environmental aspects up-to-date?

Legal and Other Requirements

Have you established a procedure to identify and have access to legal, and other requirements to which your organisation subscribes directly applicable to the environmental aspects of its activities, products or services? How is this procedure maintained? How do you make sure you have access to all the legal requirements, including codes of practice, that apply to the environmental aspects of your activities, products and services?

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Objectives and Targets

Has your organisation established documented environmental objectives and targets? How are these divided and appropriate to the functions and levels of the organisation? How are these objectives and targets updated? When setting your objectives and targets how do you consider:

h) your legal and other requirements?

i) your significant environmental aspects?

j) your technological options?

k) your financial, operational and business requirements?

l) the views of interested parties?

How do you determine that the objectives and targets are consistent with the Environmental Policy? How are objectives and targets consistent with a commitment to the prevention of pollution?

Environmental Management Programmes Objectives and Targets

Has your organisation established a programme for achieving its objectives and targets? How do you maintain this programme? Who is responsible at the different levels of your organisation for implementing the programme? What is the timeframe for achieving the different objectives and targets? By what means will the programme be implemented? How do you ensure that the programme is amended, as appropriate, where a project relates to new developments and new or modified activities, products and services?

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IMPLEMENTATION AND OPERATION

Structure and Responsibility

Where are the roles, responsibility and authorities defined and documented? How are these roles communicated in order to facilitate effective environmental management? How does management provide resources essential to the implementation and control of the environmental management system? Resources include:

a) human resources.

b) specialised skills.

c) technology.

d) financial resources

How does your top management appoint (a) specific management representative(s) for EMS? How do the roles of these representatives include the defined roles, responsibilities and authority for:

a) Ensuring that environmental management system requirements are established, implemented and maintained in accordance with ISO 14001?

b) Reporting on the performance of the environmental management system to top management for review and as a basis for improvement of the environmental management system?

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Training, Awareness and Competence

How does the organisation identify training needs? How does your training program require that all personnel whose work may create a significant impact upon the environment, have received appropriate training? Have you established procedures covering training? How do you make your employees or members at each relevant function and level aware of:

a) the importance of conformance with the environmental policy and procedures and with the requirements of the environmental management system?

b) the significant environmental impacts, actual or potential, of their work activities and the environmental benefits of improved personal performance?

c) their roles and responsibilities in achieving conformance with the environmental policy and procedures and with the requirements of the environmental management system including emergency preparedness and response requirements?

d) the potential consequences of departure from specified operating procedures?

How is this procedure maintained? How are those personnel performing the tasks which can cause significant environmental impacts assessed as competent (eg: appropriate education, training and/or experience)?

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Communication

Has your organisation established procedures for communicating information relevant to its environmental management system and environmental aspects? How do you communicate:

a) Internal communication between the various levels and functions of your organisation?

b) Receiving, documenting and responding to relevant communication from external interested parties?

How do you consider processes for external communication on your significant environmental aspects? Has your decision in this regard been documented?

Environmental Management System Documentation

How has your organisation established information, in paper or electronic form, to:

a) describe the core elements of the management system and their interaction?

b) provide direction to related documentation?

How is this maintained?

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Document Control

Has your organisation established procedures for controlling all documents required by this ISO 14001? How do they document:

a) where they can be located?

b) how they are periodically reviewed, revised as necessary and approved for adequacy by authorised personnel?

c) how current versions of relevant documents are made available at all locations where operations essential to the effective functioning of the system are performed?

d) the mechanism by which obsolete documents are promptly removed from all points of issue and points of use or otherwise assured against unintended use?

e) how any obsolete documents retained for legal and/or knowledge preservation purposes are suitably identified?

How is this procedure maintained and updated? How do you ensure that the documentation is legible, dated (with dates of revision) and readily identifiable and maintained in an orderly manner? What retention times have been established for documents? How do procedures and responsibilities established describe the creation and modification of the various types of document? How are these procedures maintained?

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Operational Control

How has your organisation identified those operations and activities that are associated with the identified significant environmental aspects in line with its policy, objectives and targets? How do you plan these activities, including maintenance, in order to ensure that they are carried out under specified conditions that includes:

a) establishing and maintaining documented procedures to cover situations where their absence could lead to deviations from the environmental policy and the objectives and targets?

b) stipulating operating criteria in the procedures?

c) establishing and maintaining procedures related to the identifiable significant environmental aspects of goods and services used by the organisation and communicating relevant procedures and requirements to suppliers and contractors.

Emergency Preparedness and Response

Has your organisation established procedures to identify the potential for and respond to accidents and emergency situations? How do they do this? How do these procedures allow for preventing and mitigating the environmental impacts that may be associated with them? How are these procedures maintained? What review and revision (where necessary) of your emergency preparedness and response procedures occurs, particularly after the occurrence of accidents or emergency situations? Have you periodically tested such procedures (where practicable)?

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CHECKING AND CORRECTIVE ACTION

Monitoring and Measurement

Where has your organisation established 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? How does this procedure include the recording of information to track:

a) performance?

b) relevant operational controls?

c) conformance with the organisation’s objectives and targets?

How is monitoring equipment calibrated and maintained? How do your procedures say calibration records are to be retained. what is your organisation’s documented procedure for periodically evaluating compliance with relevant environmental legislation and regulations? How is this maintained?

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Non-conformance and Corrective and Preventive Action

Where has the organisation established procedures for defining responsibility and authority for:

a) handling and investigating non-conformance?

b) taking action to mitigate any impacts caused?

c) initiating and completing corrective and preventive action?

How is this procedure updated? How do you decide that the corrective or preventive action taken to eliminate the causes of actual and potential nonconformances are appropriate to the magnitude of problems and commensurate with their environmental impact? How do you implement and record any changes in your documented procedures resulting from corrective and preventive action?

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Records

How has your organisation established procedures for the identification, maintenance and disposition of environmental records? How are these updated? Where do these records include training records and the results of audits and reviews? Are the environmental records:

a) legible?

b) identifiable and traceable to the activity, product or service involved?

How do you store the environmental records in such a way that they are readily retrievable and protected against damage, deterioration or loss? What are the retention times for the environmental records that been established and recorded? How are the environmental records maintained, as appropriate:

a) to the system?

b) to the organisation?

c) to demonstrate conformance to the requirements of this standard (here we would require conformance with legislation)?

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Environmental Management System Audit

Has your organisation established (a) program(s) and procedures for periodic environmental management system audits to be carried out? Describe how this will:

a) determine whether or not the environmental management system;

b) conforms to planned arrangements for environmental management including the requirements of this standard;

c) be properly implemented and maintained;

d) provide information on the results of audits to management?

How is this maintained? How is the audit programme, including any schedule, based on the environmental importance of the activity concerned and the results of previous audits? How do the audit procedures cover:

a) the audit scope?

b) Frequency and methodologies?

c) the responsibilities?

d) Requirements for conducting audits and reporting results?

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MANAGEMENT REVIEW

Has your organisation’s top management (at intervals it determines) review the environmental management system, to ensure its continuing suitability, adequacy and effectiveness? Have the intervals been documented? What are the intervals? How does your management review process ensure that the necessary information is collected to allow management to carry out this evaluation? Where is this review documented? Does your management review address the possible need for changes to policy, objectives and other elements of the environmental management system, in the light of environmental management system audit results, changing circumstances and the commitment to continual improvement?

ISO 140001-2004 Checklist

Documents

Transcript of ISO 140001-2004 Checklist