Generic ISO 14001 EMS Templates User

Manual
Appendix 3
EMS Implementation Checklist
4.2 Environmental policy
Requirements
Conformity
Y N N!
1. Has the organization defined and documented its environmental policy?
2. Is the environmental policy based on:
Significant environmental aspects?
Corporate policy?
. Is the policy appropriate to the organization!s activities and their
potential environmental impacts?
". #oes the policy include commitments to:
Continual improvement
$revention of pollution
Comply %ith environmental legislation and other re&uirements to %hich
the company subscribes
'. #oes the policy provide a frame%or( for setting environmental
ob)ectives and targets?
*. Is the policy documented+ implemented+ maintained and communicated
to all persons %or(ing for or on behalf of the organisation?
,. Is the policy available to the public?
4.".# Environmental aspects
Requirements
Conformity
Y N N!
1. Has a procedure been established+ implemented and maintained to
identify the environmental aspects of its current and relevant past
activities?
2. Have aspects related to potential significant environmental aspects
been considered in establishing and implementing the -.S?
. Have aspects having legal and/or regulatory reporting+ monitoring or
operational re&uirements been identified as 0significant1 aspects?
". 2re the follo%ing environmental aspects considered in sufficient detail?
2ir emission
3aste%ater effluent
3aste management
Soil pollution
4a% material and natural resource usage
Hazardous and to5ic material
Impact on %ell being 6e.g. noise+ smell+ heat+ landscape+ protection7
8tility+ energy and resource
9ther environmental specific issues on site such as house(eeping+
storage+ areas+ piping
September 2::' $age 2 ; 1 4ev; d'
Generic ISO 14001 EMS Templates User
Manual
Appendix 3
4.".# Environmental aspects
Requirements
Conformity
Y N N!
'. 2re the follo%ing operational aspects considered?
<ormal operating conditions
2bnormal operating conditions 6e.g. start up and shut do%n conditions+
maintenance+ incidents7
#evelopment of ne% or modified processes+ products or services
2ctual and potential emergency conditions and accidents
*. Have significant aspects been identified?
,. 2re the significance evaluation criteria reasonable and ade&uate?
=. 2re all significant environmental aspects controlled by ob)ectives+
targets+ and programmes+ procedures or monitoring?
>. Have indirect aspects such as the follo%ing considered?
Supplier evaluation
Subcontractors on site
?ransportation
$roducts and service related impacts
1:. Have environmental aspects identified and evaluated for planned or
ne% developments+ or ne% or modified activities+ products and
services ?
4.".2 $e%al an& other requirements
Requirements
Conformity
Y N N!
1. Has a procedure been developed and implemented to identify
applicable regulatory+ legal and other re&uirements?
2. 2re current copies of all applicable regulatory and other re&uirements
accessible to personnel as necessary?
. Have all further agreements the organization needs to fulfill been
integrated in the procedure?
@usiness related agreements
2greements %ith public authorities
Auideline other than legal re&uirements 6e.g. company policy+ industry
codes and practices+ etc.7
". 2re the follo%ing licenses+ permits and approvals available to
demonstrate full legal compliance?
Bicenses of %aste collectors
2ir emission permits
3aste%ater discharge permits
$ermits and licenses related to dangerous goods
-nvironmental fees+ e.g. %aste%ater discharge fee
September 2::' $age 2 ; 2 4ev; d'
Generic ISO 14001 EMS Templates User
Manual
Appendix 3
4.".2 $e%al an& other requirements
Requirements
Conformity
Y N N!
4egistration at authorities 6e.g. %aste%ater discharge+ air emission
inspection7
4."." '()ectives* tar%ets an& pro%rammes
Requirements
Conformity
Y N N!
1. Have environmental ob)ectives and targets been established at each
relevant function and level in the organization?
2. 2re ob)ectives and targets documented?
. 2re ob)ectives and targets specific+ measurable+ concrete and
understandable?
". #o the ob)ectives and targets ta(e into consideration of the follo%ings?
?he compliance %ith the relevant legislation and other re&uirements
?he significant environmental aspects
?he criteria for selection of ade&uate technology+ financial operation
and business re&uirements
?he vie%s of interested parties
'. 2re the ob)ectives and targets consistent %ith the follo%ing?
-nvironmental policy
?he commitment for prevention of pollution
?he commitment for continual improvement of the environmental
performance 6%here applicable7
*. Has an environmental performance evaluation system been established
to periodically revie% the achievement of the ob)ectives and targets?
,. 2re evaluation criteria or meeting records available to determine %hat
significant environmental aspects become ob)ectives and targets?
=. Have programmes for the achievement of environmental ob)ectives and
targets been established and implemented?
>. Have responsibilities been assigned for programmes at each
appropriate function and level?
1:.
11. #o the programmes include the follo%ing elements?
#esignation of responsibility for achieving ob)ectives and targets at
each relevant function and level of the organization
?he means and time;frame by %hich the programmes are to be
achieved
2re the programmes+ %here appropriate+ revised and amended to apply
to ne% development+ ne% or modified activities+ products or services
September 2::' $age 2 ; 4ev; d'
Generic ISO 14001 EMS Templates User
Manual
Appendix 3
4.4.# Resources* roles* responsi(ility an& authority
Requirements
Conformity
Y N N!
1. Is an organization chart available?
2. Have responsibilities and authorities for environmental management
been defined and documented?
. Has a .anagement 4epresentative been assigned?
". Have the roles+ responsibilities+ and authorities for the .anagement
4epresentative been defined?
'. 2re the re&uired resources 6e.g. personnel+ technology+ finance7 for
implementation and control of the environmental management system
provided by management?
*. #oes the personnel appointed in environmental management have the
re&uired competence?
4.4.2 Competence* trainin%* an& a+areness
Requirements
Conformity
Y N N!
1. Have training needs been identified?
2. 2re all personnel+ %hose %or( can cause significant environmental
impacts+ competent on the basis of education+ training and or
e5perience?
. Have procedures been established to assure all persons %or(ing for or
on behalf of the company are a%are of the -nvironmental $olicy+ actual
and potential impacts and their responsibilities?
". Has the organization ensured that personnel performing environmental
specific tas(s have the re&uired (no%ledge 6e.g. education+ training
e5perience7?
'. #oes the communication process ensure that business partners+
suppliers and contractors are a%are of the relevant re&uirements of the
organizationCs -.S?
*. #o the contractors %or(ing on site have the re&uisite (no%ledge and
s(ills or have been trained to perform the %or( in an environmental
responsible manner?
,. 2re training records+ certificates and licenses available to demonstrate
the competence?
4.4." Communication
Requirements
Conformity
Y N N!
1. 2re procedures maintained for communication of environmental issues
bet%een various levels of the organization?
2. 2re procedures maintained for receiving+ documenting and responding
to communications from e5ternal interested parties?
September 2::' $age 2 ; " 4ev; d'
Generic ISO 14001 EMS Templates User
Manual
Appendix 3
4.4." Communication
Requirements
Conformity
Y N N!
. Has the organization recorded its policy and/or processes for e5ternal
communications on its significant environmental aspects?
4.4.4 ,ocumentation
Requirements
Conformity
Y N N!
1. Have the core elements of the -.S and their interaction been
described in paper or electronic form?
2. #oes documentation of core -.S elements provide direction to related
documentation?
. 2re the follo%ing -.S documents documented :
; policy+ ob)ectives D targets+ scope of the -.S
4.4.- Control of &ocuments
Requirements
Conformity
Y N N!
1. 2re procedures maintained to ensure periodic revie% and appropriate
revision of all re&uired documents?
2. 2re current versions of all re&uired documents available at all essential
locations?
. 2re obsolete documents promptly removed or other%ise assured
against unintended use?
". Is all documentation legible+ readily retrievable and identifiable+ and
revision level or date identified?
'. Have procedures been established for the creation modification and
appropriate approval of the various types of documents?
4.4.. 'perational control
Requirements
Conformity
Y N N!
1. 2re activities associated %ith significant environmental aspects planned
and carried out under specified conditions?
2. Have documented procedures been established+ implemented and
maintained for operations associated %ith significant environmental
aspects+ policy+ ob)ectives and targets?
. Have+ during development of the documented procedure+ the follo%ing
elements considered?
2ctivities %here their absence could cause deviation from
environmental policy+ ob)ectives and targets
Stipulating operating criteria and limits for control of the important
activity characteristics
September 2::' $age 2 ; ' 4ev; d'
Generic ISO 14001 EMS Templates User
Manual
Appendix 3
4.4.. 'perational control
Requirements
Conformity
Y N N!
Control processes of significant environmental aspects of products and
services
4elease of ne% or modified processes and products
". 2re+ during the development of the documented procedures+ other
indirect impacts considered?
'. Have procedures been established relating to the significant
environmental aspects of materials and services purchased and used
by the organization?
*. Have procedures been established to communicate relevant
procedures and/or re&uirements+ regarding environmental aspects of
purchased products or services+ to suppliers and subcontractors?
4.4./ Emer%ency prepare&ness an& response
Requirements
Conformity
Y N N!
1. Have procedures been implemented to identify the potential for and
respond to accidents and emergencies?
2. Have procedures been established to prevent and mitigate impacts of
accidents and emergencies?
. 2re emergency procedures tested %here practicable?
". 2re emergency plans available? 2re procedures defined to ensure that
environmental impacts of accidents and emergency situations are
mitigated?
'. 2re the responsibility defined to revie% and revise+ %here necessary+
the emergency preparedness and response procedures?
4.-.# Monitorin% an& measurement
Requirements
Conformity
Y N N!
1. Have procedures been documented and implemented to monitor (ey
characteristics of operations that can have significant impacts?
2. Has any environmental performance indicator that relates to ob)ectives
and targets been established?
. 2re records available to trac( performance and conformity %ith
ob)ectives and targets?
". 2re all monitoring e&uipment appropriately maintained and calibrated?
4.-.2 Evaluation of compliance
Requirements
Conformity
Y N N!
1. 2re documented procedures established+ implemented and maintained
to periodically evaluate compliance %ith relevant environmental
September 2::' $age 2 ; * 4ev; d'
Generic ISO 14001 EMS Templates User
Manual
Appendix 3
4.-.2 Evaluation of compliance
Requirements
Conformity
Y N N!
legislation and other re&uirements?
2. Has monitoring and measuring data been recorded to evaluate the
compliance %ith relevant environmental legislation and other
re&uirements?
4.-." Nonconformity* corrective action an& preventive action
Requirements
Conformity
Y N N!
1. Have procedures been established to define the responsibility for
handling+ investigating and controlling+ and mitigating nonconformity?
2. 2re corrective and preventive actions timely+ appropriate and
effective?
. 2re procedures changed and/or updated as a result of corrective
action and preventive action?
". #oes the procedure include the fact that complaints from interested
parties are to be integrated in the process?
4.-.4 Control of Recor&s
Requirements
Conformity
Y N N!
1. Have procedures been implemented to identify maintenance and
disposal of environmental records?
2. 2re environmental records legible+ readily retrievable+ protected against
damage?
. Have retention times been specified?
". #o the records include the follo%ings:
?raining records
2udit results
.anagement revie% records
Information on applicable environmental la%s and other re&uirements
Inspection+ maintenance and calibration records
Information on emergency preparedness and response
Information on significant environmental aspects and associated
impacts
$ermits
.onitoring data
#etails of nonconformity+ incidents+ complaints and follo%;up actions
Contractors and suppliers records
$rocess and product information
September 2::' $age 2 ; , 4ev; d'
Generic ISO 14001 EMS Templates User
Manual
Appendix 3
4.-.- Internal au&it
Requirements
Conformity
Y N N!
1. Have internal audit procedures been developed and implemented?
2. 2re audit fre&uencies and topics based on the environmental
importance of the activity concerned and the results of prior audits?
. #o audit procedures cover ho% results are reported and ho% results are
provided to management?
". #o audit procedures ade&uately define scope+ fre&uency+ methods and
responsibilities?
'. Has the audit system been fully and effectively implemented?
*. #o audit reports and records indicate a reliable system %hich can be
used as a tool in the third party audit process?
,. 2re the auditors conducting the audits competent and in a position to
conduct the audits ob)ectively and impartially?
4.. Mana%ement revie+
Requirements
Conformity
Y N N!
1. #o periodic management revie%s ta(e place to ensure the continuing
suitability and effectiveness of the -.S?
2. #oes management revie% result in changes as appropriate to the
policy+ ob)ectives+ targets etc.?
. 2re management revie%s records retained ?
". 2re the revie%s carried based on the follo%ing documents or
information?
2udit results reports
-valuations of compliance %ith legal re&uirements and other
re&uirements to %hich the company subscribes
2chievement of environmental management system ob)ectives and
targets
Communications and complaints from relevant interested parties
?he environmental performance of the organization
Status of corrective and preventive actions
Eollo%;up actions from previous management revie%s
Changing circumstances+ including developments in legal and other
re&uirements related to its environmental aspects+ and
4ecommendations for improvement
September 2::' $age 2 ; = 4ev; d'