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Integrated Standard Solutions(ISS)
شركـة الحلـول القيـاسية المتكـاملة
ISO 14001 ChecklistsISO 14001 Checklists
Checklist Instructions Checklist Instructions
The ISO 14001 Checklist is intended to assist in determining the company’s level of compliance to the requirements of ISO 27001 standards. In order to conduct the self assessment please carefully follow the following instructions:-Communicate throughout the organization that an assessment will be conducted, and why. Inform all parties involved in the assessment process in order to gather all the needed information to complete the checklist (It is impossible to conduct the assessment single-handedly).Go through the checklist, and prepare a local checklist of items you need to verify in each functional area.Work through each requirement mentioned in the check list by selecting GREEN, ORANGE, RED as appropriate having in mind the following:Green: Requirements are fully met /Exist with an evidence of compliance to support it. Orange: Requirements are partially met / Some evidences are in place / Requirements are not fully implemented by staff. Red: Requirements are not met / Does not exist. N/A: Requirements are not applicable to the company’s operations (Only available on relevant questions). Enter type of evidence to support each requirement in the appropriate column. It is permissible (and likely) for the same evidence to be used to demonstrate compliance to more than one requirement. Note: If the result is red or orange, an action plan should be established in order to fulfill the ISO 27001 Standards.
The ISO 14001 Checklist is intended to assist in determining the company’s level of compliance to the requirements of ISO 27001 standards. In order to conduct the self assessment please carefully follow the following instructions:-Communicate throughout the organization that an assessment will be conducted, and why. Inform all parties involved in the assessment process in order to gather all the needed information to complete the checklist (It is impossible to conduct the assessment single-handedly).Go through the checklist, and prepare a local checklist of items you need to verify in each functional area.Work through each requirement mentioned in the check list by selecting GREEN, ORANGE, RED as appropriate having in mind the following:Green: Requirements are fully met /Exist with an evidence of compliance to support it. Orange: Requirements are partially met / Some evidences are in place / Requirements are not fully implemented by staff. Red: Requirements are not met / Does not exist. N/A: Requirements are not applicable to the company’s operations (Only available on relevant questions). Enter type of evidence to support each requirement in the appropriate column. It is permissible (and likely) for the same evidence to be used to demonstrate compliance to more than one requirement. Note: If the result is red or orange, an action plan should be established in order to fulfill the ISO 27001 Standards.
Clause
4
4.1
4.2
4.2a
4.2b
4.2c
4.2d
4.2e
4.2f
4.3
4.3.1
4.3.1a
4
4.3.1a
4.3.1b
4.3.2
4.3.2a
4.3.2b
4.3.3
4
4.3.3
4.3.3a
4.3.3b
4.4
4.4.1
4.4.2
4
4.4.2
4.4.3
4.4.4
4
4.4.4
4.4.5
4.4.5a
4.4.5b
4.4.5c
4.4.5d
4.4.5e
4.4.5f
4.4.5g
4.4.6
4.4.6a
4.4.6b
4.4.6c
4.4.7
4
4.4.7
4.5
4.5.1
4.5.2
4.5.2.1
4.5.2.2
4.5.3
4.5.3a
4.5.3b
4.5.3c
4.5.3d
4.5.3e
4.5.4
4
4.5.4
4.5.5
4.5.5a
4.5.5a1
4.5.5a2
4.5.5b
4.6
4
4.6
4.6a
4.6b
4.6c
4.6d
4.6e
4.6f
Results
Totals
Status
Assessment indicates full compliance with ISO 14001 Requirements
RequirementGeneral Requirements
Has the scope of the EMS been defined and documented?
Environmental Policy
Has the Environmental Policy been defined by Top Management?
Is the Environmental Policy:-
- appropriate to the nature of the organisation's activities, products and services?
- appropriate to the scale of the organisation's activities, products and services?
- appropriate to the environmental impacts of the organisation's activities, products and services?
Does the policy include a clear commitment to continual improvement?
Does the policy include a clear commitment to the prevention of pollution?
Does the policy include a commitment to comply with legal requirements?
Does the policy provide a framework for setting and reviewing environmental objectives and targets?
Is the Environmental Policy:-
- documented?
- implemented?
- maintained?
Is the Environmental Policy:-
- communicated to all staff?
- communicated to temporary staff?
Planning
Environmental Aspects
Does a documented procedure exist to:-
- identify the environmental aspects of its activities -
- identify the environmental aspects of its products -
- identify the environmental aspects of its services -
within the scope of the EMS that it can control and/ or influence?
Does this procedure take into account:-
- planned developments?
- new developments?
- existing activities?
- new activities?
- modifications to activities?
Has the organisation determined how it will establish, document, implement, maintain and continually improve its EMS in accordance with the requirements of ISO14001?
Does the policy include a clear commitment to comply with other requirements to which it subscribes which relate to its environmental impacts?
- communicated to subcontractors working on behalf of the company? (An alternative document consistent with pertinent sections of the policy is acceptable)
- existing products?
- new products/
- existing services?
- new services?
Have the environmental aspects been documented?
Is there a process whereby the organisation ensures the environmental aspects are up to date?
Legal and other requirements
Does a documented procedure exist to:-
- identify applicable legal requirements?
- identify other requirements to which the organisation subscribes and which relate to its environmental aspects?
- enable access to these requirements?
- determine how these requirements apply to its environmental aspects?
Air Legislation
Chemicals Legislation
Conservation Legislation
Energy Legislation
Land Legislation
Noise and Statutory Nuisance Legislation
Pollution Prevention & Control (PPC) Legislation (including IPC)
Plant Protection Legislation
Radioactive Substances Legislation
Waste Legislation
Water Legislation
Future English Legislation
Some International Legislation Sources
Is a process in place to ensure the organisation is compliant with pending legislation within prescribed timescales?
Objectives, targets and programmes
Does this procedure (or another procedure) enable the organisation to determine those aspects which have, or could have a significant impact on the environment (consider both positive and negative impacts)?
Does the organisation have a process to ensure significant environmental impacts are taken into account in establishing, implementing and maintaining the EMS?
Does the organisation have a process to ensure these requirements are taken into account in establishing, implementing and maintaining the EMS?
Has consideration been given to the following legislatory aspects? (Note:- In each case a link will enable acesss to lists of UK English legislation on www.netregs.gov.uk and from there to the legislation itself on the office of public sector information website, www.opsi.gov.uk; please note that although information on these sites is regularly updated, it is advisable not to rely on it as continually up to date)
Is a process in place to ensure the organisation has access to up to date legislation/ requirements and pending future changes?
Have environmental objectives been established and documented throughout the organisation?
Is the means by which they will be achieved established?
Is the time frame in which they will be achieved established?
Are objectives and targets consistent with the Environmental Policy?
Are objectives and targets measurable (at least in most of the cases)?
Do the objectives clearly demonstrate a commitment to continual improvement?
Do the objectives clearly demonstrate that the following have been taken into account in their establishment and review:-
- legal requirements?
- other requirements?
- significant environmental aspects?
- technological options?
- financial, operational and business requirements?
- views of interested parties?
Implementation and operation
Resources, roles, responsibility and authority
Are the resources required to establish, implement, maintain and improve the EMS available?
Do these resources include:-
- human resources?
- specialised skills?
- organisational infrastructure?
- technology?
- financial resources?
Has a management representative been appointed?
Does the MR's responsibility include:-
- ensuring that the EMS is established, implemented and maintained in accordance with BS EN ISO14001:2004?
- reporting to top management in the performance of the EMS?
- reporting to top management on recommendations for improvement of the EMS?
Competence, training and awareness
Is a documented procedure in place to ensure personnel are aware of:-
- the importance of conformity with the Environmental Policy?
- the importance of conformity with Environmental Procedures?
- the importance of conformity with the requirements of the EMS?
- the significant environmental aspects associated with their work?
- potential impacts of their work?
- actual impacts of their work?
Is a plan in place for how each of these objectives will be achieved, with responsibilities assigned to relevant functions within the organisation?
Are the roles, responsibilities and authorities relarted to the EMS documented and communicated throughout the organisation?
- environmental benefits they can realise through improved personal performance?
- their roles and responsibility in achieving conformity with the requirements of the EMS?
- potential consequences arising from deviation to procedures?
Does this procedure cover:-
- permanent staff?
- temporary staff?
- contractors?
- identification of training needs associated with environmental aspects and the EMS?
Are records of competence, training and awareness maintained?
Communication
Have communication procedures been established for:-
- internal communication between the various levels and functions of the organisation?
- receiving, documenting and responding to relevant communication from external interested parties?
Has a documented decision been been made to communicate externally about significant environmental aspects?
If applicable, are methods for this communication established?
Documentation
Does the EMS documentation include:-
- environmental policy?
- objectives and targets?
- scope of the EMS?
- description of the main elements of the EMS?
- interaction of the various elements of the EMS?
- reference to related documents?
- site plans?
- documents required by ISO14001:-
- Procedure(s) for identification of environmental aspects?
- Procedure(s) for identification of legal and other requirements?
- Procedure(s) for competence, training and awareness?
- Procedure(s) for internal and external communication?
- Procedure(s) for the control of documents?
- Operational control procedures?
- Emergency preparedness and response procedures?
- Monitoring and Measurement procedures?
- Procedure(s) for evaluation of compliance to legal and other requirements?
- Non conformity, corrective and preventive action procedure(s)?
- Control of records procedure(s)?
- Internal Audit procedure(s)?
- records required by ISO14001:-
- records of EMS related communication to and from external parties?
- records demonstrating compliance to legal and other requirements?
- records of compentence, training and awareness?
- records of calibration of monitoring and measurement equipment?
- records of evaluation of compliance with legal and other requirements?
- records of non conformities and corrective/ preventive action?
- records of internal audits?
- records of management review meetings?
Control of documents
Does a documented procedure exist for the control of documents?
Does the procedure include the following elements:-
- approval of documents for adequacy prior to use?
- review of documents?
- update of documents?
- re - approval of documents?
- identification of changes?
- revision status?
- ensuring that relevant documentation is available at the point of use?
- ensuring that documentation remains legible and readily identifiable?
- identification and control of the distribution of documents of external origin?
- prevention of use of obsolete documents and identification of retained obsolete documentation?
Does the procedure cover the following documentation?
- environmental policy?
- objectives and targets?
- scope of the EMS?
- description of the main elements of the EMS?
- interaction of the various elements of the EMS?
- reference to related documents?
- documented procedures?
- site plans?
Operational control
Have all operations associated with significant environmental aspects been identified?
In each case, have specified operating conditions been established for these operations?
In each case, have documented operating procedures been developed and implemented?
Does the documentation stipulate the operating criteria?
Is there a process for communication of applicable procedures to suppliers?
Is there a process for communication of applicable procedures to contractors?
Emergency Preparedness and response
Have procedures been developed and implemented related to the identified significant aspects of goods and services used by the organisation?
Are procedures in place to identify potential emergency situations or accidents which would impact the environment?
Are procedures in place to respond to such situations?
Do these procedures ensure action is taken to prevent or mitigate any adverse environmental impacts?
Are processes in place for the periodic review and revision as neccesary of emergency procedures?
Are periodic test plans for emergency procedures in place?
Checking
Monitoring and Measurement
Have the key characteristics related to the significant environmental impacts been identified?
Have procedures been put in place to monitor and measure these characteristics?
Are calibration or verification records maintained?
Evaluation of compliance
Is a procedure in place for the periodic evaluation of compliance with legal requirements?
Are records of evaluations maintained?
Are records of evaluations maintained?
Nonconformity, corrective and preventive action
Is a procedure in place for dealing with actual and potential nonconformities?
Does this procedure include, or make reference to, the corrective and preventive action procedures?
Does the procedure define the requirements for:-
- identification and correction of nonconformities?
- implementation of immediate actions to contain the problem and prevent or mitigate environmental impacts?
- investigation of non conformities?
- identification of causes of nonconformities?
- implementation of actions to prevent recurrence of nonconformities?
- identification of potential nonconformities?
- evaluating the need for, and implementing actions to prevent potential nonconformities?
- recording corrective and preventive actions taken and their results?
- reviewing the effectiveness of corrective and preventive actions taken?
Does the procedure ensure that changes to EMS documentation are made where required?
Control of Records
Is a documented procedure in place to cover the control of the following records:-
Are processes in place for the review and revision as neccesary of emergency procedures after testing or live invocation of emergency procedures?
Do these test plans ensure response equipment is in sufficient order and sufficiently accessible for effective use in a live invocation?
Where monitoring and measurement devices are used, is an effective system in place to ensure calibration or verification of such devices?
Is a procedure in place for the periodic evaluation of compliance with other requirements to which the organisation subscribes?
Does the procedure ensure that action taken in any case is appropriate to the nature and magnitude of the actual or potential problems encountered?
- records of EMS related communication to and from external parties?
- records demonstrating compliance to legal and other requirements?
- records of compentence, training and awareness?
- records of calibration of monitoring and measurement equipment?
- records of evaluation of compliance with legal and other requirements?
- records of non conformities and corrective/ preventive action?
- records of internal audits?
- records of management review meetings?
Does this procedure explain the requirements for:-
- identification of records?
- storage of records?
- protection of records from theft, damage, deterioration, unauthorised disposal or tampering?
- retrieval of records?
- retention timescales?
- disposal of records?
Are records known to be:-
- legible?
- identifiable?
- traceable?
Internal Audit
Are audit procedures in place?
Do audit procedures address the responsibilities and requirements for the planning of audits?
Do audit procedures address the responsibilities and requirements for the conduct of audits?
Do audit procedures address responsibilities and requirements for reporting the results of audits?
Is the retention of audit records addressed within the procedures?
Do audit procedures address the determination of the criteria and scope of each audit?
Do audit procedures address the frequency of each audit?
Do audit procedures address the methods of execution of each audit?
Do audit procedures ensure the selection of auditors will ensure the objectivity and impartiality of the audit process?
Do audit procedures ensure the conduct of audits will ensure the objectivity and impartiality of the audit process?
Do procedures ensure audits are conducted at planned intervals?
Do audits determine:-
- conformity of EMS to planned arrangements?
- conformity of EMS to ISO14001?
- proper implementation and maintenance of the EMS?
Are audit results, or appropriate information on audit results communicated to management?
Management Review
Are management reviews planned and conducted at intervals of not more than one year?
Do management reviews assess the ongoing:-
- suitability
- adequacy
- effectiveness
of the EMS?
Does the review process include:-
- assessment of opportunities for improvement?
- need for changes to the EMS?
- need for changes to the Environmental Policy?
- need for changes to the Environmental objectives and targets?
Does the review process ensure the availability of the following inputs:-
- results of audits?
- results of evaluation with legal requirements?
- results of evaluation with other requirements to which the organisation subscribes?
- communication from external interested parties?
- complaints?
- environmental performance of the organisation?
- the extent to which objectives and targets have been met?
- status of corrective and preventive actions?
- follow up actions from previous management reviews?
- developments in legal requirements?
- developments in other requirements?
- other changes in circumstances?
- recommendations for improvement?
Do the review outputs include and decisions or actions related to:-
- changes to the Environmental Policy?
- changes to objectives and targets?
- changes to the EMS?Do the review outputs clearly demonstrate the commitment to continual improvement?
Results Total Questions
Total Answered
Red Total
Orange Total
Green Total
Non Applicable
Status
Assessment indicates full compliance with ISO 14001 Requirements
Status Evidence of ComplianceGeneral Requirements
GreenProcedure
Green Procedure
Environmental PolicyGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen
Procedure
Green ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen
Procedure
Planning
Environmental AspectsGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen Procedure
Green ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen
Procedure
Green ProcedureGreen ProcedureGreen
Procedure
Legal and other requirementsGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen
Procedure
Green
Procedure
Green ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen
Procedure
Green ProcedureGreen ProcedureGreen
Procedure
Objectives, targets and programmes
Green ProcedureGreen
Procedure
Green ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen Procedure
Implementation and operation
Resources, roles, responsibility and authorityGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen
Procedure
Green ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen Procedure
Competence, training and awarenessGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen Procedure
Green ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen Procedure
CommunicationGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen Procedure
DocumentationGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen Procedure
Green ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen Procedure
Control of documentsGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen Procedure
Operational controlGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen
Procedure
Green ProcedureGreen ProcedureGreen Procedure
Green ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen
Procedure
Green ProcedureGreen
Procedure
CheckingGreen ProcedureGreen ProcedureGreen ProcedureGreen
Procedure
Green Procedure
Evaluation of complianceGreen ProcedureGreen ProcedureGreen
Procedure
Green Procedure
Nonconformity, corrective and preventive actionGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen
Procedure
Green Procedure
Control of RecordsGreen Procedure
Green ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen Procedure
Internal AuditGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen Procedure
Management ReviewGreen ProcedureGreen Procedure
Green ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen ProcedureGreen Procedure
Results 264264
00
2640
Complaint
Assessment indicates full compliance with ISO 14001 Requirements
