ISO 14001 4 Context of the organisation 4.1 Understanding the organisation and its context Question: Yes/No: Reference/Link: Yes/No: Reference/Link: Yes/No: Reference/Link: Yes/No: Reference/Link: Yes/No: Reference/Link: Are you able to show the way that your company identifies external and internal issues that are relevant to your organisation’s purpose and your ability to achieve the intended outcomes of your environmental management system? 4.2 Understanding the needs and expectations of interested parties Question: Has your organisation determined: a) The interested parties that are relevant to the EMS? b) The relevant needs and expectations of these interested parties? c) Which of these needs and expectations it chooses to accept and so they become part of the compliance obligations that your company subscribes to? 4.3 Determining the scope of the environmental management system Question: Does your organisation’s EMS scope clearly define the boundaries and applicability? When determining scope, did your organisation consider: a) The external and internal issues identified in response clause 4.1? b) The compliance obligations identified in response to clause 4.2? Improving performance, reducing risk c) Your organisational units, functions and physical boundaries? d) Your activities, products and services? e) Your authority and ability to exercise control and influence over outsourced processes? Once your scope has been defined, did you make sure that all activities, products and services within that scope were included in your EMS? Can you demonstrate that your organisation has documented the scope and made it available to all interested parties? 4.4 Environmental management system Question: Has your organisation got a simple way to describe the interactions between the processes of your EMS? Can you show how your organisation considered the knowledge gained when implementing clauses 4.1 and 4.2 when establishing and maintaining your EMS? 5. Leadership 5.1 Leadership and commitment Question: Website: www.cawconsultancy.co.uk Blog: http://craigwillettstheisoandbusinessexpert.weebly.com/ Responsibility can be delegated but Accountability cannot. Do top management take accountability for the effectiveness of your EMS? Website: www.cawconsultancy.co.uk Blog: http://craigwillettstheisoandbusinessexpert.weebly.com/ Were your environmental policy and objectives set by top management and are they compatible with the strategic direction and context of your organisation? Do top management ensure that your EMS requirements are integrated into your business processes? Are the resources needed for your EMS made available by top management? Do top management communicate the importance of effective environmental management and conforming to the EMS? Do top management ensure your EMS achieves its intended outcomes? Are employees encouraged to contribute to the effectiveness of your EMS? Is continual improvement of your EMS promoted by top management? Do top management support other management roles related to the EMS? 5.2 Environmental Policy Question: Yes/No: Reference/Link: Yes/No: Reference/Link: Yes/No: Reference/Link: Can you clearly see how your environmental policy is appropriate to the purpose and context of your organisation, including the nature, scale and environmental impacts of your activities, products and services? Does your policy provide a framework for setting environmental objectives? Does your policy include a commitment to the protection of the environment relevant to the context of your organisation? Does your policy include a commitment to fulfil its compliance obligations? Does your policy include a commitment to continual improvement of your EMS? Does your policy include a commitment to enhance your environmental performance? 5.3 Organisational roles, responsibilities and authorities Question: Are roles and responsibilities assigned by top management and communicated within your organisation? Have people been assigned to report to top management on the EMS’s performance? 6. Planning 6.1 Actions to address risks and opportunities Question: 6.1.1 General When planning for your EMS, does your organisation consider: a) The issues that you identified when you addressed clause 4.1? b) The requirements of the interested parties that you determined when you addressed clause 4.2? c) The scope of your EMS as determined when you addressed the requirements of clause 4.3? d) The risks and opportunities related to your environmental aspects? Website: www.cawconsultancy.co.uk Blog: http://craigwillettstheisoandbusinessexpert.weebly.com/ e) Your compliance obligations? f) The risks and opportunities identified that need to be addressed to give assurance that your EMS can achieve its intended outcomes? g) How to prevent, or reduce, undesired effects, including the potential for external environmental conditions that may affect your organisation? h) How to achieve continual improvement? Within the scope of your EMS, does your organisation determine potential emergency situations, including those that may have an environmental impact? Does your organisation document: a) The risks and opportunities that need to be addressed? b) The processes needed as a result of considering the clauses 6.1.1 to 6.1.4 to the extent necessary to have confidence they are carried out as planned? 6.1.2 Environmental aspects Within the defined scope of your EMS, does your organisation identify the environmental aspects of its activities, products and services that it can control? Within the defined scope of your EMS, does your organisation identify the environmental aspects of its activities, products and services that it can influence? Do you understand how to take into account the life-cycle perspective of your activities, products and services? When determining environmental aspects, does your organisation take into account: a) Change, including planned or new developments and new or modified activities, products or services? b) Abnormal conditions and reasonably foreseeable emergency situations? Does your organisation use clear criteria for determining those aspects that can have a significant environmental impact? Does your organisation document its: Environmental aspects and associated environmental impacts? The criteria used to determine its significant environmental aspects? Significant environmental aspects? 6.1.3 Compliance obligations Does your organisation: Determine and have access to the compliance obligations related to its environmental aspects? Determine how these compliance obligations apply to your organisation? Take these compliance obligations into account when establishing, implementing, maintaining and continually improving your EMS? Does your organisation keep its compliance obligations in documented form? 6.1.4 Planning action Does your organisation plan to take actions in order to address its: Website: www.cawconsultancy.co.uk Blog: http://craigwillettstheisoandbusinessexpert.weebly.com/ a) Significant environmental aspects? b) Compliance obligations? c) Risks and opportunities identified in 6.1.1? Does your organisation plan how to: a) Integrate and implement the actions into your EMS processes or other business processes? b) Evaluate the effectiveness of these actions? When planning these actions, does your organisation consider its technological options and its financial, operational and business requirements? 6.2 Environmental objectives and planning to achieve them Question: Yes/No: Reference/Link: Yes/No: Reference/Link: 3.2.1 Environmental objectives Have you established, at the relevant levels within your organisation, environmental objectives that take into account your environmental aspects, compliance obligations and identified risks and opportunities? Are your environmental objectives: a) Consistent with the environmental policy? b) Measurable? c) Monitored? d) Communicated? e) Updated as appropriate? f) Documented? 3.2.2 Planning actions to achieve environmental objectives When planning how to achieve your organisation’s objectives, do you determine: a) What will be done? b) What resources will be required? c) Who will be responsible? d) When it will be completed? e) How the results will be measured and evaluated, including indicators for monitoring progress? Does your organisation consider how actions to achieve its environmental objectives can be integrated into your organisation’s business processes? 7. Support 7.1 Resources Question: Website: www.cawconsultancy.co.uk Blog: http://craigwillettstheisoandbusinessexpert.weebly.com/ Does your organisation determine and provide the resources needed for the establishment, implementation, maintenance and continual improvement of the EMS? 7.2 Competence Question: Yes/No: Reference/Link: Yes/No: Reference/Link: Does your organisation: a) Determine the necessary competence of person(s) doing work under its control that affects its environmental performance and its ability to fulfil its compliance obligations? b) Ensure that these persons are competent on the basis of appropriate education, training or experience? c) Determine training needs associated with your organisation’s environmental aspects and EMS? d) Take actions to acquire the necessary competence and evaluate the effectiveness of the actions that it took? Does your organisation retain appropriate documented information as evidence of competence? 7.3 Awareness Question: Does your organisation ensure that persons doing work under your organisation’s control are aware of the following: a) The environmental policy? b) The significant environmental aspects and related actual or potential environmental impacts associated with their work? c) Their contribution to the effectiveness of your EMS, including the benefits of enhanced environmental performance? d) The implications of not conforming with your EMS requirements, including not fulfilling your organisation’s compliance obligations? 7.4 Communication Question: Yes/No: Reference/Link: 7.4.1 General Does your organisation establish, implement and maintain the processes needed for internal and external communications relevant to your EMS, including: a) What your organisation will communicate? b) When to communicate it? c) With whom to communicate? d) How to communicate? When establishing your organisation’s communication processes, does it: a) Take into account its compliance obligations? b) Ensure that the environmental information communicated is consistent with information generated within the EMS and is reliable? Website: www.cawconsultancy.co.uk Blog: http://craigwillettstheisoandbusinessexpert.weebly.com/ Does your organisation respond to relevant communications on your EMS? Does your organisation retain documented information as proof of its communications? 7.4.2 Internal communications Does your organisation: a) Internally communicate information relevant to your EMS among the various levels and function of your organisation, including changes to the EMS? b) Ensure its communication processes enables persons doing work under your organisation’s control to contribute to continual improvement? 7.4.3 External communications Does your organisation externally communicate information relevant to your EMS, as established by your organisation’s communication processes and as required by its compliance obligations? 7.5 Documented information Question: Yes/No: Reference/Link: 7.5.1 General Does your organisation’s EMS include: a) The documented information that this standard asks for? b) The documented information that your organisation has decided it needs to ensure that the EMS is effective? 7.5.2 Creating and updating When creating and updating documented information, does your organisation ensure that it is appropriately: a) Identified and described? b) Formatted? c) Reviewed and approved for suitability and adequacy? 7.5.3 Control of documented information Is your organisation’s documented information (as required by your EMS and by the standard) controlled to ensure that it is: a) Available and suitable for use, where and when it is needed? b) Adequately protected? For the control of documented information, does your organisation address the following: Distribution, access, retrieval and use? Storage and preservation, including preservation of legibility? Retention and disposition? Is any documented information from outside your company, that you have determined to be necessary for the planning and operation of your EMS, identified and controlled? Website: www.cawconsultancy.co.uk Blog: http://craigwillettstheisoandbusinessexpert.weebly.com/ 8 Operation 8.1 Operational planning and control Question: Yes/No: Reference/Link: Yes/No: Reference/Link: Does your organisation establish, implement, control and maintain the processes needed to meet your EMS requirements and implement the actions identified in clauses 6.1 and 6.2 by: a) Establishing operating criteria for the processes? b) Implementing control of the processes, in accordance with the operating criteria? Can your organisation show that any planned changes happen in a controlled way and that the consequences of any unintended changes are reviewed, taking action to mitigate any adverse effects, as necessary? Does your organisation ensure that outsourced processes are controlled or influenced? Does your organisation define the type and extent of control or influence to be applied to the outsourced processes within your EMS? Consistent with the life-cycle perspective, does your organisation: a) Establish controls to ensure its environmental requirements are addressed in the design and development process for the product or service, considering each stage of its life cycle? b) Determine its environmental requirements for the procurement of products and services? c) Communicate its relevant environmental requirements to external providers, including contractors? d) Consider the need to provide information about potential significant environmental impacts associated with the transportation of delivery, use, end-of-life treatment and final disposal of its products or services? Does your organisation maintain documented information to the extent necessary to have confidence that the processes have been carried out as planned? 8.2 Emergency preparedness and response Question: Does your organisation establish, implement and maintain the processes needed to prepare for and respond to potential emergency situations identified in clause 6.1.1? Does your organisation: a) Prepare to respond to potential emergency situations by planning actions to prevent or mitigate adverse environmental impact? b) Respond to actual emergency situations? c) Take action to prevent or mitigate the consequences of emergency situations, appropriate to the magnitude of the emergency and the potential environmental impact? d) Periodically test the planned response actions? e) Periodically review and revise the processes and planned response actions, in particular after the occurrence of emergency situations or tests? f) Provide relevant information and training related to emergency preparedness and response, as appropriate, to relevant interested parties, including persons working under its control? g) Maintain documented information to the extent necessary to have confidence that the processes are carried out as planned? Website: www.cawconsultancy.co.uk Blog: http://craigwillettstheisoandbusinessexpert.weebly.com/ 9 Performance evaluation 9.1 Monitoring, measurement, analysis and evaluation Question: Yes/No: Reference/Link: Yes/No: Reference/Link: 9.1.1 General Does your organisation monitor, measure, analyse and evaluate its environmental performance? Does your organisation determine: a) What needs to be monitored and measured? b) The methods for monitoring, measurement, analysis and evaluation, as applicable, to ensure valid results? c) The criteria against which your organisation will evaluate its environmental performance and appropriate indicators? d) When the monitoring and measurement shall be analysed and evaluated? Does your organisation ensure that calibrated or verified monitoring and measurement equipment is used and maintained? Does your organisation evaluate its environmental performance and the effectiveness of your EMS? Does your organisation communicate relevant environmental performance information both internally and externally, as identified in its communication processes and as required by its compliance obligations? Does your organisation retain appropriate documented information as evidence of the monitoring, measurement, analysis and evaluation results? 9.1.2 Evaluation of compliance Does your organisation establish, implement and maintain the processes needed to evaluate fulfilment of its compliance obligations? Does your organisation: a) Determine the frequency that compliance will be evaluated? b) Evaluate compliance and take action if needed? c) Maintain knowledge and understanding of its compliance status? Does your organisation retain documented information as evidence of the compliance evaluation results? 9.2 Internal audit Question: 9.2.1 General Does your organisation conduct internal audits at planned intervals to provide information on whether the EMS: a) Conforms to your organisation’s own requirements for its EMS? b) Conforms to the requirements of the standard? c) Is effectively implemented and maintained? Website: www.cawconsultancy.co.uk Blog: http://craigwillettstheisoandbusinessexpert.weebly.com/ 9.2.2 Internal audit programme Does your organisation establish, implement and maintain an internal audit programme, including the frequency, methods, responsibilities, planning requirements and reporting of its internal audits? When establishing the internal audit programme, does your organisation take into consideration the environmental importance of the processes concerned, changes affecting the organisation and the results of previous audits? Does your organisation: a) Define the audit criteria and scope for each audit? b) Select auditors and conduct audits to ensure objectivity and the impartiality of the audit process? c) Ensure that the results of the audits are reported to relevant management? d) Retain documented information as evidence of the implementation of the audit programme and the audit results? 9.3 Management review Question: Yes/No: Reference/Link: Do top management review your organisation’s EMS, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness? Does your management review include consideration of: a) The status of action from previous management reviews? b) Changes in external and internal issues that are relevant to your EMS? c) Changes in the needs and expectations of interested parties, including compliance obligations? d) Changes in its significant environmental aspects? e) Changes in the risks and opportunities? f) The extent to which environmental objectives have been achieved? g) Information on the organisation’s environmental performance? h) Trends in nonconformities and corrective actions? i) Trends in monitoring and measurement results? j) Trends in fulfilment of its compliance obligations? k) Trends in audit results? l) The adequacy of resources? m) Relevant communications from interested parties, including complaints? n) Opportunities for continual improvement? Do the outputs of the management review include: a) Conclusions on the continuing suitability, adequacy and effectiveness of your EMS? Website: www.cawconsultancy.co.uk Blog: http://craigwillettstheisoandbusinessexpert.weebly.com/ b) Decisions related to continual improvement opportunities? c) Decisions related to any need for changes to your EMS, including resources? d) Actions, if needed, when environmental objectives have not been achieved? e) Opportunities to improve integration of your EMS with other business processes, if needed? f) Any implications for the strategic direction of the organisation? Does your organisation retain documented information as evidence of the results of management reviews? 10 Improvement 10.1 General Question: Yes/No: Reference/Link: Yes/No: Reference/Link: Yes/No: Reference/Link: Does your organisation determine opportunities for improvement and implement necessary action to achieve the intended outcomes of your EMS? 10.2 Nonconformity and corrective action Question: When a nonconformity occurs, does your organisation: a) React and take action to control and correct it? b) Deal with the consequences, including mitigating adverse environmental impacts? c) Evaluate the need for action to eliminate the cause of the nonconformity, so that it does not recur or occur elsewhere, by: 1) reviewing nonconformity? 2) determining the causes of the nonconformity? 3) determining if similar nonconformities exist, or could potentially occur? d) implement any action needed? e) review the effectiveness of any corrective action taken? f) make changes to your EMS, if necessary? Are corrective actions appropriate to the significance of the effects of the non conformities encountered, including the environmental impacts? Does your organisation retain documented information as evidence of: a) the nature of the nonconformities and any subsequent actions taken? b) the results of any corrective action? 10.3 Continual improvement Question: Website: www.cawconsultancy.co.uk Blog: http://craigwillettstheisoandbusinessexpert.weebly.com/ Does your organisation continually improve the suitability, adequacy and effectiveness of your EMS to enhance environmental performance? Website: www.cawconsultancy.co.uk Blog: http://craigwillettstheisoandbusinessexpert.weebly.com/
