ISO 14001 Environmental Management Self Audit Checklist

This template is designed to be used to perform a self-audit in accordance with requirements of ISO 14001:2015 for environmental management systems (EMS).

Requirements are presented in the form of tasks with form fields to record various information about the status of each of the 10 high level clauses as outlined in the Annex SL standard for management systems:

1. Scope
2. Normative references
3. Terms and definitions
4. Context of the organisation
5. Leadership
6. Planning
7. Support
8. Operation
9. Performance evaluation
10. Improvement

These clauses are then further broken down into the Plan, Do, Check, or Act segments of the PDCA cycle.

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

Self-auditing can help to define a high-level overview of an organization’s performance, and determine the effectiveness (or not) of its various management systems.

What’s more, it can help to identify problem areas and successfully apply principles of continuous improvement.

Self-auditing is best used as a tool to discover the potential opportunities for innovation and continuous improvement; it is not a replacement for a 3rd party CB (Certified Body) audit and will not necessarily result in an ISO certification.

This checklist was designed to factor in repeat audits, so that continuous improvement principles could be applied over the course of multiple audits, with each successive audit contributing to the inputs of the next.

The framework outlined in this checklist can be used as is, or edited and customized to suit your specific needs.

Guidelines for success

In order to maximise the success of the organization, consider the following audit guidelines:

• Prioritizing and fulfilling the needs and expectations of interested parties
• Establishing and maintaining beneficial relationships with relevant interested parties where possible, and constantly seeking to develop new beneficial relationships.
• Utilizing policies, strategies, and objectives to further business goals
• Effectively and efficiently managing resources with regard to business processes
• Adequately collecting and assessing metrics of performance within the organization
• Constantly seeking to identify and implement improvements across the organization
• Enforcing a company culture based on trust, transparency, and worker empowerment

Performance can be reviewed against the criteria outlined here and in this checklist, ultimately identifying current “maturity” levels with the goal of outlining strengths, weaknesses, risks, and opportunities.

Additional resources

For more ISO-related templates for various management systems (quality management, environmental management, etc.) we have the following resources available for you to use:

• ISO 9000 Structure Template
• ISO 9000 Marketing Procedures
• ISO 14001 EMS Structure Template
• ISO 14001 EMS Mini-Manual Procedures

How Process Street works

Process Street is a tool for managing and running processes in an organization. 

With Process Street, you can quickly and easily create, edit and deploy your processes.

Using the form fields below, record some basic details about the audit, including details of who is to perform the audit, reasoning for the audit, audit start date, and any additional notes.

The results of this internal audit can be reviewed and approved by the relevant personnel. Enter the details of the personnel tasked with audit review and approval below.

Using the form fields below, record your assessment of the EMS scope.

Using the form fields below, record your assessment of the environmental policy.

Using the form fields below, record your assessment of the environmental aspects of planning.

Consider whether the organization has established, implemented and maintained a procedure to identify the environmental aspects of activities, products or services that are within the scope of its EMS.

This will include environmental aspects that:

Consider whether or not this includes planned or new developments, or new or modified activities, products and services.

Consider how the procedure determines those aspects that have or can have significant impacts on the environment (ie. are details of assessment methodology included?).

For each of the procedures included in the EMS, ensure the following has been adequately considered:

Using the form fields below, record your assessment of legal and regulatory requirements.

Consider whether a procedure been established and implemented to identify and have access to
applicable legal and other requirements (eg. National Packaging Covenant, Greenhouse Challenge) which the organization subscribes to that are directly applicable to the identified environmental aspects.

Using the form fields below, record your assessment of environmental objectives, targets, and strategies.

Consider whether the organization has established, implemented and maintained documented environmental objectives and targets.

Consider whether the organization established, implemented & maintained a strategy for achieving its objectives and targets.

Ensure that objectives and targets are measurable (where practical) and that they are they consistent with the following:

Also assess the following:

Using the form fields below, record your assessment of resources, roles, responsibility, and authority.

When assessing resources, be sure to consider the following:

Assess whether the roles of the EMS representative include the defined roles, responsibilities and authority for:

Using the form fields below, record details of your assessment of employee competence, training, and awareness.

Consider whether or not a procedure has been established, implemented and maintained to ensure that the people working for, or on behalf of your organization are aware of:

Using the form fields below, record your assessment of communication of and within the context of the EMS.

Firstly, as relevant to the EMS, has the organization established, implemented and maintained procedure(s) for:

Using the form fields below, record your assessment of documentation systems.

To begin with, consider how the organization’s environmental management system documents the following:

Using the form fields below, record your assessment of control of documents in the EMS.

Consider how SOPs for control of documents account for:

Using the form fields below, record your assessment of operational control.

Consider how operational activities are planned in order to ensure that they are carried out under specified conditions such as:

Using the form fields below, record your assessment of emergency preparedness and response.

Consider how the organization has established, implemented and maintained a procedure(s) to identify the potential emergency situations and potential accidents that can have an impact on the environment

Using the form fields below, record your assessment of monitoring and measurements.

Consider how this procedure monitors the following:

Using the form fields below, record your assessment of compliance.

Using the form fields below, record your assessment of non-conformity, corrective, and preventative action.

Consider whether the organization has established, implemented and maintained a procedure(s) for the following:

Consider whether the procedures define requirements for:

Using the form fields below, record your assessment of control of records.

Consider whether or not these records include those that are necessary to demonstrate conformity to the requirements of the standard and include (for example), records of:

Using the form fields below, record your assessment of the procedure for conducting an internal audit.

Consider if these internal audits determine whether or not the environmental management system:

Does the audit procedure cover:

Using the form fields below, record your assessment of management review.

Consider whether the inputs to management review include:

Use this section to summarize recommendations for improvement of the organization’s operations based on the understanding of the maturity levels across different areas of the organization.

Use the file upload or website link form field below to attach or link to a more comprehensive set of recommendations, if applicable.

The results from this IS0 14001 Environmental Management Self Audit Checklist must be reviewed and approved by the assigned personnel, as per the next Approval task.

Approval of these results is a stop task, meaning completion of this checklist is not possible until the audit results have been approved.

Audit completed by: {{form.Auditor_first_name}} {{form.Auditor_second_name}}

Commencing: {{form.Start_date}}

Scope

EMS scope:

Scope of EMS: {{form.Scope_of_EMS}}

Scope being assessed for certification: {{form.Scope_being_assessed_for_certification}}

Scope includes environmental aspects out of company’s control: {{form.Scope_includes_environmental_aspects_out_of_company’s_control?}}

Scope adequately defined within EMS documentation: {{form.Scope_adequately_defined_within_EMS_documentation?}}

Additional processes excluded from scope: {{form.Additional_processes_excluded_from_scope}}

Reasons for exclusion: {{form.Reasons_for_exclusion}}

Comments on EMS scope: {{form.Comments_on_EMS_scope}}

Environmental policy

Definition of environmental policy: 

Policy consistent with EMS scope: {{form.Policy_consistent_with_EMS_scope?}}

Policy appropriate to the nature of company activities: {{form.Policy_appropriate_to_the_nature_of_company_activities?}}

How is policy committed to continuous improvement: {{form.How_is_policy_committed_to_continuous_improvement?}}

How is policy committed to prevention of pollution: {{form.How_is_policy_committed_to_prevention_of_pollution?}}

How is policy committed to comply with relevant environmental legislation: {{form.How_is_policy_committed_to_comply_with_relevant_environmental_legislation?}}

How are environmental objectives and targets set and reviewed: {{form.How_are_environmental_objectives_and_targets_set_and_reviewed?}}

How is the policy documented: {{form.How_is_the_policy_documented?}}

How is policy available to the relevant interested parties: {{form.How_is_policy_available_to_the_relevant_interested_parties?}}

Plan

Environmental aspects of planning:

Inclusive of planned or new developments: {{form.Inclusive_of_planned_or_new_developments?}}

How is the extent of environmental impact assessed: {{form.How_is_the_extent_of_environmental_impact_assessed?}}

Assessments of environmental impacts documented: {{form.Assessments_of_environmental_impacts_documented?}}

How are environmental impacts documented: {{form.How_are_environmental_impacts_documented?}}

Procedure for assessing environmental aspects maintained: {{form.Procedure_for_assessing_environmental_aspects_maintained?}}

Legal and regulatory requirements:

Process exists for identifying and implementing regulatory requirements: {{form.Process_exists_for_identifying_and_implementing_regulatory_requirements?}}

Outline procedure for identifying/implementing regulatory requirements: {{form.Outline_procedure_for_identifying/implementing_regulatory_requirements}}

How is regulatory identification/implementation process maintained: {{form.How_is_regulatory_identification/implementation_process_maintained?}}

Environmental aspects considered when identifying regulatory requirements: {{form.Environmental_aspects_considered_when_identifying_regulatory_requirements?}}

{{form.Regulatory_requirements_considered_when_designing,_implementing,_and_maintaining_EMS?}}:

Person responsible for identifying and determining impact of regulatory requirements competent: {{form.Person_responsible_for_identifying_and_determining_impact_of_regulatory_requirements_competent?}}

Objectives, targets, and strategies:

Environmental objectives and targets established: {{form.Environmental_objectives_and_targets_established?}}

Environmental objectives and targets implemented: {{form.Environmental_objectives_and_targets_implemented?}}

Environmental objectives and targets maintained: {{form.Environmental_objectives_and_targets_maintained?}}

Have these been established at relevant functions and levels within the organization: {{form.Have_these_been_established_at_relevant_functions_and_levels_within_the_organization?}}

Strategy established for reaching objectives: {{form.Strategy_established_for_reaching_objectives?}}

Comments on strategic establishment: {{form.Comments_on_strategic_establishment}}

Strategy implemented for reaching objectives: {{form.Strategy_implemented_for_reaching_objectives?}}

Strategy maintained for reaching objectives: {{form.Strategy_maintained_for_reaching_objectives?}}

Comments on strategic maintenance: {{form.Comments_on_strategic_maintenance}}

How are legal and other requirements considered: {{form.How_are_legal_and_other_requirements_considered?}}

How are significant environmental aspects considered: {{form.How_are_significant_environmental_aspects_considered?}}

How are technological options considered: {{form.How_are_technological_options_considered?}}

How are financial, operational, and business requiremnets options considered: {{form.How_are_financial,_operational,_and_business_requiremnets_options_considered?}}

How are the views of interested parties considered: {{form.How_are_the_views_of_interested_parties_considered?}}

Who is responsible for implementing which strategies: {{form.Who_is_responsible_for_implementing_which_strategies?}}

What are the means of achieving different objectives: {{form.What_are_the_means_of_achieving_different_objectives?}}

What are the timeframes of achieving different objectives: {{form.What_are_the_timeframes_of_achieving_different_objectives?}}

How does the organization ensure that strategies are updated as a result of new developments: {{form.How_does_the_organization_ensure_that_strategies_are_updated_as_a_result_of_new_developments?}}

Do

Resources, roles, responsibility, and authority:

How are roles, responsibility and authorities defined, documented and communicated: {{form.How_are_roles,_responsibility_and_authorities_defined,_documented_and_communicated?}}

How does management determine allocation of resources: {{form.How_does_management_determine_allocation_of_resources?}}

Has a specific management representative for the EMS been assigned: {{form.Has_a_specific_management_representative_for_the_EMS_been_assigned?}}

Comments on EMS representative: {{form.Comments_on_EMS_representative}}

Competence, training, and awareness:

How is worker competence assessed: {{form.How_is_worker_competence_assessed?}}

Has the organization retained competency records: {{form.Has_the_organization_retained_competency_records?}}

How does the organization identify training requirements for the EMS: {{form.How_does_the_organization_identify_training_requirements_for_the_EMS?}}

Has training been delivered, and associated records retained: {{form.Has_training_been_delivered,_and_associated_records_retained?}}

Comments on worker competency, training, and awareness: {{form.Comments_on_worker_awareness}}

Communication:

Are environmental aspects communicated externally: {{form.Are_environmental_aspects_communicated_externally?}}

Has this decision been documented: {{form.Has_this_decision_been_documented?}}

Has the method of communication of environmental aspects been standardized: {{form.Has_the_method_of_communication_of_environmental_aspects_been_standardized?}}

Comments on EMS communication: {{form.Comments_on_EMS_communication}}

Documentation systems:

How is the documentation system maintained: {{form.How_is_the_documentation_system_maintained?}}

Comments on the documentation system(s): {{form.Comments_on_the_documentation_system(s)}}

Control of documents:

Is there a standardized procedure for controlling all documents in the EMS: {{form.Is_there_a_standardized_procedure_for_controlling_all_documents_in_the_EMS?}}

Comments on control of documents: {{form.Comments_on_control_of_documents}}

Operational control:

How are operations identified and planned in the context of the EMS: {{form.How_are_operations_identified_and_planned_in_the_context_of_the_EMS?}}

Comments on operational control: {{form.Comments_on_operational_control}}

Emergency preparedness and response:

Does a procedure exist for identifying potential emergency situations: {{form.Does_a_procedure_exist_for_identifying_potential_emergency_situations?}}

Are environmental aspects considered in the emergency preparedness and response procedure(s): {{form.Are_environmental_aspects_considered_in_the_emergency_preparedness_and_response_procedure(s)?}}

Does the procedure(s) cover how the organization will respond to these situations: {{form.Does_the_procedure(s)_cover_how_the_organization_will_respond_to_these_situations?}}

How do these procedures account for adverse environmental impacts of emergency situations: {{form.How_do_these_procedures_account_for_adverse_environmental_impacts_of_emergency_situations?}}

How are emergency preparedness and response procedures reviewed: {{form.How_are_emergency_preparedness_and_response_procedures_reviewed?}}

Are these procedures periodically tested: {{form.Are_these_procedures_periodically_tested?}}

Comments on emergency preparedness and response: {{form.Comments_on_emergency_preparedness_and_response}}

Check/Study

Monitoring and measurements:

Is there a procedure(s) to monitor and measure environmental impacts: {{form.Is_there_a_procedure(s)_to_monitor_and_measure_environmental_impacts?}}

How is monitoring and measuring equipment calibrated, verified, and maintained: {{form.How_is_monitoring_and_measuring_equipment_calibrated,_verified,_and_maintained?}}

Are calibration or verification records retained: {{form.Are_calibration_or_verification_records_retained?}}

Comments on monitoring and measurements: {{form.Comments_on_monitoring_and_measurements}}

Compliance:

Does the organization have a procedure(s) for compliance evaluation: {{form.Does_the_organization_have_a_procedure(s)_for_compliance_evaluation?}}

Are the records of the results of these periodic evaluations maintained: {{form.Are_the_records_of_the_results_of_these_periodic_evaluations_maintained?}}

Comments on compliance: {{form.Comments_on_compliance}}

Non-conformity, corrective, and preventative action:

Are the responsibilities and authorities for this process defined: {{form.Are_the_responsibilities_and_authorities_for_this_process_defined?}}

How is the procedure updated: {{form.How_is_the_procedure_updated?}}

How are decisions made regarding action taken to eliminate causes of non-conformity, etc: {{form.How_are_decisions_made_regarding_action_taken_to_eliminate_causes_of_non-conformity,_etc?}}

How are changes such as corrective and preventative action documented in the EMS: {{form.How_are_changes_such_as_corrective_and_preventative_action_documented_in_the_EMS?}}

Comments on non-conformity, corrective, and preventative action: {{form.Comments_on_non-conformity,_corrective,_and_preventative_action}}

Control of records:

Is there a standardized process for updating environmental records: {{form.Is_there_a_standardized_process_for_updating_environmental_records?}}

How are environmental records updated and disposed of: {{form.How_are_environmental_records_updated_and_disposed_of?}}

Are the records legible, identifiable and traceable: {{form.Are_the_records_legible,_identifiable_and_traceable?}}

How are environmental records stored: {{form.How_are_environmental_records_stored?}}

Comments on control of records: {{form.Comments_on_control_of_records}}

Procedures for internal audit:

Is there a standardized process for internal audits: {{form.Is_there_a_standardized_process_for_internal_audits?}}

How are previous audits integrated into current strategies: {{form.How_are_previous_audits_integrated_into_current_strategies?}}

How does the organization provide information on the results of audits to management: {{form.How_does_the_organization_provide_information_on_the_results_of_audits_to_management?}}

How are auditors selected in an objective and impartial manner: {{form.How_are_auditors_selected_in_an_objective_and_impartial_manner?}}

How is auditor competency determined: {{form.How_is_auditor_competency_determined?}}

Comments on internal audit procedures: {{form.Comments_on_internal_audit_procedures}}

Act

Management review:

Is the EMS regularly reviewed by management: {{form.Is_the_EMS_regularly_reviewed_by_management?}}

Does the review include assessing opportunities for improvement: {{form.Does_the_review_include_assessing_opportunities_for_improvement?}}

Are the records of the management reviews retained: {{form.Are_the_records_of_the_management_reviews_retained?}}

Comments on management review: {{form.Comments_on_management_review}}

Audit overview:

Describe the maturity level of the organization: {{form.Describe_the_maturity_level_of_the_organization}}

Identify the strengths of the organization: {{form.Identify_the_strengths_of_the_organization}}

Identify the areas for improvement based on maturity scores: {{form.Identify_the_areas_for_improvement_based_on_maturity_scores}}

Recommendations summary: {{form.Recommendations_summary}}

• Parse Training – ISO 14001 Requirements with Guidance for Use
• Stefan Larsson – ISO 14001:2015
• Springer – ISO 9001, ISO 14001, and New Management Standards
• 9001 Academy- How to integrate ISO 9001, ISO 14001 and ISO 45001?
• 14001 Academy – ISO 14001:2015 vs. ISO 9001:2015 matrix
• 14001 Academy – Case study for ISO 14001:2015 transition in a construction company
• 14001 Academy – Clause-by-clause explanation of ISO 14001:2015
• ISO Committee – Mapping ISO 14001:2015 and ISO 14001:2004

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