ISO14001-EMS Self-Assessment Checklist PDF

BMS-ASIA-ANZ-FORMS-MARKETING-EMS Self-Assessment Checklist
EMS Self-Assessment Checklist
Revision 1 (January 2014)
ISO 14001:2004
Environmental Management Systems (EMS)
Self-Assessment Checklist
This document restates the requirements of ISO 14001:2004 for Environmental Management
Systems (EMS) and has been developed to assist BSI and its clients in the assessment of
environmental management systems for compliance with ISO 14001:2004.
This checklist presents the requirements of ISO 14001:2004 as questions and can be used as an
effective tool for implementing the environmental management system and for self-assessment of
the system.
Page 1 of 21

Contents
SCOPE OF CERTIFICATION............................................................................................................................................ 3
ENVIRONMENTAL POLICY ............................................................................................................................................. 4
PLANNING .......................................................................................................................................................................... 5
OBJECTIVES, TARGETS & PROGRAMMES........................................................................................................................................ 7
IMPLEMENTATION AND OPERATION ......................................................................................................................... 9
RESOURCES, ROLES, RESPONSIBILITY & AUTHORITY ...................................................................................................................... 9
COMPETENCE, TRAINING AND AWARENESS................................................................................................................................... 10
COMMUNICATION ....................................................................................................................................................................... 11
DOCUMENTATION SYSTEM .......................................................................................................................................................... 12
CONTROL OF DOCUMENTS........................................................................................................................................................... 13
OPERATIONAL CONTROL ............................................................................................................................................................. 14
EMERGENCY PREPAREDNESS AND RESPONSE ............................................................................................................................... 15
CHECKING AND CORRECTIVE ACTION .................................................................................................................... 16
MONITORING AND MEASUREMENT .............................................................................................................................................. 16
Evaluation of compliance ............................................................................................................................................. 16
NON-CONFORMITY, CORRECTIVE & PREVENTIVE ACTION ............................................................................................................ 17
CONTROL OF RECORDS............................................................................................................................................................... 18
INTERNAL AUDIT ........................................................................................................................................................................ 19
MANAGEMENT REVIEW ............................................................................................................................................................... 20
Page 2 of 21

ISO 14001: 2004 REQUIREMENTS
COMMENTS ON SYSTEM STATUS
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?
Is the scope of the environmental management
system defined and documented within the
organizations environmental management system
(EMS) documentation?
Are there activities that are excluded from the
scope of the environmental management system
and are the reasons for exclusion acceptable?
Page 3 of 21

ENVIRONMENTAL POLICY
Has top management defined the organizations
environmental policy?
a)
b)
c)
d)
e)
f)
g)
h)
Is the policy consistent with the scope of the

environmental management system?
Is the policy appropriate to the nature, scale
and environmental impacts of your activities,
products or services?
What commitment does your policy make to
continual improvement?
What commitment does your policy make to
the prevention of pollution?
How does the policy include a commitment to
comply with relevant environmental legislation
and regulations, and with other requirements
to which you subscribe that relate to your
environmental aspects (eg Industry
guidelines)?
Does the policy provide the framework for
setting and reviewing environmental objectives
and targets?
How is the policy documented, implemented
and maintained and communicated to all
persons?
How is the policy available to the public?
Page 4 of 21

PLANNING
Environmental Aspects
Has the organization established, implemented and
maintained a procedure to identify the
environmental aspects of activities, products or
services that are within the scope of its EMS, and
that:
(i)
(ii)
it can control
over which it can be expected to
have an influence
Does this include planned or new developments, or

new or modified activities, products and services?
How does the procedure determine those aspects
that have or can have significant impacts on the
environment? (ie. Are details of assessment
methodology included).
Are the details of these assessments documented?
Are significant aspects considered throughout all of
the EMS processes (eg. documentation,
communication, emergency preparedness and
response, internal audits)?
Is the procedure(s) maintained?
How is the information on the environmental
aspects documented and kept up to date?
Page 5 of 21

Legal and Other Requirements

Has a procedure been established and
implemented to identify and have access to
applicable legal and other requirements (eg.
National Packaging Covenant, Greenhouse
Challenge) which your organization subscribes to
that are directly applicable to the identified
environmental aspects?
How is this procedure maintained?
How do you ensure that you have access to all of
the legal requirements, including codes of practice,
that apply to the environmental aspects of your
activities, products and services?
Does the procedure determine how the legal and
other requirements apply to the environmental
aspects?
Are the legal and other requirements taken into
account in establishing, implementing and
maintaining the EMS (eg. objectives, monitoring
and measuring, training, auditing etc)?
Is the person responsible for identifying and
determining how the legal and other requirements
apply competent to undertake the task?
Note: it does not imply that a legal qualification is

necessary.
Page 6 of 21

Objectives, Targets & Programmes

Has your organization established, implemented
and maintained documented environmental
objectives and targets?
Have these been established at relevant functions
and levels within the organization?
Has your organization established, implemented &
maintained a programme(s) for achieving its
Are the objectives and targets measurable (where
practical) and are they consistent with the
following:
environmental policy ?
legal and other requirements ?
prevention of pollution ?
continual improvement ?
When setting your objectives and targets how do
you consider:
legal and other requirements?

significant environmental aspects?
How do you consider:
technological options?
financial, operational and business
requirements?
the views of interested parties?
Page 7 of 21

Who is responsible at the different levels of your

organization for implementing the programme(s)?
What are the means and timeframes for achieving
the different objectives and targets?
How does the organization ensure that
programme(s) are amended as a result of new
developments, new or modified activities, products
and services?
Page 8 of 21

IMPLEMENTATION AND OPERATION

Resources, roles, responsibility & authority
How are the roles, responsibility and authorities
defined and documented and communicated in
order to achieve effective environmental
management?
How does management provide resources essential
to establish, implement, maintain and improve the
Do these resources include:
a)
b)
c)
d)
e)
human resources?
specialised skills?
organizational infrastructure?
technology?
financial resources?
Has the top management appointed a specific

management representative(s) for the
Do the roles of the representative(s) include the
defined roles, responsibilities and authority for:
f)
Ensuring that environmental management

system requirements are established,
implemented and maintained in accordance
with ISO 14001:2004?
Reporting on the performance of the
environmental management system to top
management including recommendations for
improvement?
Page 9 of 21

Competence, training and awareness

How does your organization ensure that all
persons working for them, or on their behalf (eg.
staff, contractors, shift workers, casual staff,

labour hire etc), are competent to undertake the
tasks that can cause significant environmental
impacts?
Note: Assessment of competence can be on the

basis of appropriate education, training and/or
experience.
Has the organization retained competency
records?
How does the organization identify training needs
associated with the significant environmental
aspects and the environmental management
system?
Has training, or other actions required to meet
these needs been delivered, and associated
records retained?
Has a procedure(s) been established, implemented
and maintained to ensure that the people working
for, or on behalf of your organization are aware of:
a)
the importance of conformity with the

environmental policy and procedures and with
the requirements of the environmental
management system?
Page 10 of 21

b) the significant environmental aspects and

related actual or potential impacts associated
with their work activities and the
environmental benefits of improved personal
performance?
c) their roles and responsibilities in achieving
conformity with the requirements of the
environmental management?
d) the potential consequences of departure from
specified operating procedures?
Communication
As relevant to its Environmental Aspects and
Environmental Management System, has your
organization established, implemented and
maintained procedure(s) for:
Internal communication between the

various levels and functions of your
organization?
Receiving, documenting and responding to
relevant communication from external
interested parties?
Has the organization decided whether to

communicate externally about its significant
environmental aspects?
Has your decision in this regard been documented?
If the decision has been made to communicate this
information, has the organization established and
implemented the method(s) for this
communication?
Page 11 of 21

Documentation System
Does your organizations environmental
management system documentation include:
the environmental policy, objectives and
targets?
a description of the scope of the environmental
management system?
a description of the main elements of the
environmental management system, their
interaction and reference to related
documents?
documents and records required by the
Standard?
Documents, including records, necessary for
the effective planning, operation and control of
processes related to its significant aspects?
How is this maintained?
Page 12 of 21

Control of documents
and maintained a procedure(s) for controlling all
documents required by this ISO 14001?
Does the procedure address:
(a) Who approves the documents for adequacy
before they are issued?
(b) how they are periodically reviewed, updated
and re-approved as necessary?
(c) how changes and the current revision status
are identified?
(d) How current versions of relevant documents
are made available at points of use?
(e) How the legibility and identification of the
documents is ensured?
(f) How external documents, as determined by the
organization for effective planning and
operation of the environmental management
system are identified and controlled?
(g) How to prevent obsolete documents against
unintended use, and apply suitable
identification to them if they are retained for
any purpose?
Page 13 of 21

Operational Control
How has your organization identified and planned
those operations that are associated with the
identified significant environmental aspects in line
with its policy, objectives and targets?
How have these activities been planned, including
maintenance, in order to ensure that they are
carried out under specified conditions that
includes:
e)
Establishing, implementing and maintaining

documented procedures to cover situations
where their absence could lead to deviations
from the environmental policy and the
(b) stipulating operating criteria in the procedures?
(c) Establishing, implementing and maintaining
procedures related to the identified significant
environmental aspects of goods and services
used by the organization and communicating
applicable procedures and requirements to
suppliers and contractors.
Page 14 of 21

Emergency Preparedness and Response

and maintained a procedure(s) to identify the
potential emergency situations and potential accidents that can have an impact on the
environment?
Are significant environmental aspects considered in
the emergency preparedness and response
procedure(s)?
Does the procedure(s) cover how the organization
will respond to these situations?
How do these procedures allow for the prevention
and mitigation of the adverse environmental
impacts that may be associated with actual
emergency situations and accidents?
How does the organization periodically review and
revise its emergency preparedness and response
procedures, particularly after the occurrence of
accidents or emergency situations?
Have you periodically tested such procedures
(where practicable)?
Page 15 of 21

CHECKING AND CORRECTIVE ACTION

Monitoring and Measurement
and maintained a procedure(s) to monitor and
measure, on a regular basis, the key
characteristics of its operations that can have a
significant impact on the environment?
How does this procedure include the recording of
information to monitor:
(a) performance?
(b) relevant operational controls?, and
(c) conformity with the organizations
environmental objectives and targets?
How is monitoring and measuring equipment
calibrated or verified and maintained?
Are calibration or verification records retained?.
Evaluation of compliance
and maintained a procedure(s) for periodically
evaluating its compliance with the applicable legal
and other requirements?
Are the records of the results of these periodic
evaluations maintained?
Page 16 of 21

Non-conformity, Corrective & Preventive

Action
Has the organization established, implemented and
maintained a procedure(s) for :
(a) dealing with actual and potential nonconformities, and
(b) corrective and preventive action?
Do the procedures defined requirements for:
(a) identifying and correcting non-conformities
and taking action to mitigate the resulting
environmental impacts?
(b) Investigating the non-conformities,
determining their causes and take action to
avoid their recurrence?
(c) Evaluating the need for actions to be taken to
prevent non-conformities, and implementing
appropriate actions?
(d) Recording the results of corrective and
preventive actions taken?
(e) Reviewing the effectiveness of corrective and
preventive actions?
Are the responsibilities and authorities for this
process defined?
How is the procedure updated?
How do you decide that the action(s) taken to
eliminate the causes of actual and potential nonconformities are appropriate to the magnitude of
the problem(s) and the environmental impact(s)
encountered?
How do you ensure that changes (if any) are made
in the environmental management system
documentation?
Page 17 of 21

Control of Records
and maintained procedures for the identification,
storage, protection, retrieval, retention and
disposal of environmental records?
How are these updated?
Do these records include those that are necessary
to demonstrate conformity to the requirements of
the standard and include (for example), records of:
(a) competence, training & awareness?
(b) communication?
(c) evaluation of compliance with legal and other
requirements?
(d) monitoring and measurement?
(e) corrective & preventive action?
(f) Internal audits?
(g) Management review?
Are the records legible, identifiable and traceable ?
How do you store the environmental records in
such a way that they are readily retrievable and
protected against damage, deterioration or loss?
Page 18 of 21

Internal Audit
Has your organization planned, established,
implemented and maintained a programme and
procedure(s) for periodic internal audits to be
conducted?
Do these internal audits determine whether or not
the environmental management system:
(a) conforms to planned arrangements for
environmental management including the
requirements of this standard, and
(b) has been properly implemented and
maintained?
How does the audit programme take into
consideration the environmental importance of the
operations concerned, and the results of previous
audits?
How does the organization provide information on
the results of audits to management?
Does the audit procedure cover:
(a) the responsibilities and requirements for
planning and conducting audits, reporting
results and retention of associated records?
(b) The determination of audit criteria, scope,
frequency and methods?
How does the selection of auditors and the
conduct of audits ensure objectivity and
impartiality of the audit process?
How is auditor competency determined?
Page 19 of 21

Management Review
Has your organizations top management (at
planned intervals) reviewed the environmental
management system, to ensure its continuing
suitability, adequacy and effectiveness?
Does the review include assessing opportunities for
improvement and the need for changes to the
Environmental Management System, including the
environmental policy and targets?
Do the inputs to management review include:
(a) results from internal audits and evaluations of
compliance with legal and other requirements?
(b) Communication from external parties, including
complaints?
(c) The environmental performance of the
organization?
(d) The extent to which the objectives and targets
have been met?
(e) The status of corrective and preventive action
(f) Follow-up actions from previous management
reviews
Page 20 of 21

(g) Changing circumstances, including

developments in legal and other requirements
related to its environmental aspects, and
(h) Recommendations for improvement?
Do the outputs from the management review
include decisions and actions related to possible
changes to the environmental policy, objectives,
targets and other elements of the environmental
management system, consistent with the
commitment to continual improvement?
Are the records of the management reviews
retained?
Page 21 of 21

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BMS-ASIA-ANZ-FORMS-MARKETING-EMS Self-Assessment Checklist

EMS Self-Assessment Checklist

Revision 1 (January 2014)

BMS-ASIA-ANZ-FORMS-MARKETING-EMS Self-Assessment Checklist

Revision 1 (January 2014)

BMS-ASIA-ANZ-FORMS-MARKETING-EMS Self-Assessment Checklist

Revision 1 (January 2014)

ISO 14001: 2004 REQUIREMENTS

COMMENTS ON SYSTEM STATUS

BMS-ASIA-ANZ-FORMS-MARKETING-EMS Self-Assessment Checklist

Revision 1 (January 2014)

ISO 14001: 2004 REQUIREMENTS

COMMENTS ON SYSTEM STATUS

Is the policy consistent with the scope of the

BMS-ASIA-ANZ-FORMS-MARKETING-EMS Self-Assessment Checklist

Revision 1 (January 2014)

ISO 14001: 2004 REQUIREMENTS

COMMENTS ON SYSTEM STATUS

Does this include planned or new developments, or

BMS-ASIA-ANZ-FORMS-MARKETING-EMS Self-Assessment Checklist

Revision 1 (January 2014)

ISO 14001: 2004 REQUIREMENTS

COMMENTS ON SYSTEM STATUS

Legal and Other Requirements

Note: it does not imply that a legal qualification is

BMS-ASIA-ANZ-FORMS-MARKETING-EMS Self-Assessment Checklist

Revision 1 (January 2014)

ISO 14001: 2004 REQUIREMENTS

COMMENTS ON SYSTEM STATUS

Objectives, Targets & Programmes

legal and other requirements?

How do you consider:

BMS-ASIA-ANZ-FORMS-MARKETING-EMS Self-Assessment Checklist

Revision 1 (January 2014)

Who is responsible at the different levels of your

BMS-ASIA-ANZ-FORMS-MARKETING-EMS Self-Assessment Checklist

Revision 1 (January 2014)

ISO 14001: 2004 REQUIREMENTS

COMMENTS ON SYSTEM STATUS

IMPLEMENTATION AND OPERATION

Has the top management appointed a specific

Ensuring that environmental management

BMS-ASIA-ANZ-FORMS-MARKETING-EMS Self-Assessment Checklist

Revision 1 (January 2014)

ISO 14001: 2004 REQUIREMENTS

COMMENTS ON SYSTEM STATUS

Competence, training and awareness

staff, contractors, shift workers, casual staff,

Note: Assessment of competence can be on the

the importance of conformity with the

BMS-ASIA-ANZ-FORMS-MARKETING-EMS Self-Assessment Checklist

Revision 1 (January 2014)

b) the significant environmental aspects and

Internal communication between the

Has the organization decided whether to

BMS-ASIA-ANZ-FORMS-MARKETING-EMS Self-Assessment Checklist

Revision 1 (January 2014)

ISO 14001: 2004 REQUIREMENTS

COMMENTS ON SYSTEM STATUS