ISO 14001 audit checklist

The ISO 14001 standard was developed primarily to provide organisations with a framework for enhanced management control to reduce their environmental impacts. The standard applies to various industries and can be used by any organisation that wants to improve their resource efficiency, reduce waste and drive down costs. ISO 14001 focuses on the process of how a product is produced instead of the product itself.

The standard helps organisations achieve compliance with federal, state and local regulations to maintain a licence to operate. The aim of the standard is to monitor air, water, waste and hazards and record any near misses or incidents. In this article, the ISO 14001 audit checklist is discussed in detail to help organisations plan, monitor and measure their progress. With the help of ISO consulting, you can get to know the ISO 14001 audit checklist.

ISO 14001: 2015 audit importance

Adherence to the standard leads to optimal management of operational risks leading to enhanced economic performance and cleaner environment, improved safety, which in turn impact society at large. To achieve compliance with ISO 14001 standard, organisations need to undergo audits. An audit is used to assess the efficiency and conformance of an organisation’s Environmental Management System (EMS).

During the audit, the environmental policy is assessed, stakeholder appointment is analysed and the organisation’s environmental impacts are identified. The audit also analyses the organisation’s environmental compliance requirements, defined environmental objectives, targets and programmes. In this article, the ISO 14001 audit checklist is discussed in detail to help organisations plan, monitor and measure their progress. We suggest you read the article What is ISO 14001 to get more information.

ISO 14001: 2015 audit checklist

The following checklist uses gap analysis tools to measure the efficiency of the EMS. It is also recommended for both internal and external audits. During an audit, an auditor assesses if the EMS aligns with the ten clauses of ISO 14001 certification. After assessing the scope statement, normative references and terminologies utilised in the implementation of the EMS, the auditor analyses the context of the organisation.

To understand the organisation and its context, the auditor must determine if:

• The organisation has determined external and internal issues that might affect its ability to achieve the intended outcomes.
• How does the organisation monitor and review information about these external and internal issues?
• Has the organisation determined the interested parties that are relevant to the efficiency of its EMS?
• Has the organisation determined the needs and expectations as well as the compliance obligations of the interested parties relevant to the EMS?

Determining the scope

Determining the scope, the auditor must assess if:

• The organisation has established clear and comprehensive boundaries of the EMS in its scope statement.
• The scope has determined the organisational units, functions and physical boundaries.
• Is the scope available to interested parties and maintained as documented information?

Leadership and commitment

Assessing clause five, namely the segment dedicated to leadership and commitment, the auditor must assess if:

• The leaders of the organisation are demonstrating commitment by taking accountability for the effectiveness of its EMS.
• How is the top management ensured that the environmental objectives are established and compatible with the strategic direction of the organisation?
• Has the organisation integrated the requirements of the EMS into the business processes?
• Is the top management ensuring that the resources needed for the EMS are available?
• Is the importance of the effectiveness and conformance of the EMS requirements communicated across the organisation?
• Does the top management direct and support the individuals who contribute towards the effectiveness of the EMS?
• Is the top management promoting continual improvement?
• Is the top management supporting other relevant management roles to demonstrate their leadership as it applies to the areas of responsibility?

Clause six: planning

Similarly, when evaluating clause six, namely the section dedicated to planning, the auditor must assess if:

• The organisation has created plans to prevent or reduce and desired effects, including the potential external
• environmental conditions that might affect the organisation?
• Has the organisation determined potential emergency situations that have an environmental impact?
• Has the organisation documented and maintained information regarding its risk and opportunity management processes?
• Has the organisation considered abnormal conditions and reasonably foreseeable emergency situations that might impact the environment?
• Were organisational changes taken into account, while determining the environmental aspects including planned development, modified activities or new products/services?
• The compliance obligations are being maintained as documented information.
• Has the organisation considered the environmental compliance obligations when establishing, implementing, maintaining and continually improving its EMS?
• How does the organisation evaluate the effectiveness of its actions?
• Has the organisation specified which actions need to be taken to achieve their environmental objectives and how they can be integrated into their business processes?

The support segment

While assessing the support segment, the auditor must assess the resources that the organisation has provided to maintain its EMS, the competence of those individuals that regularly interact with the EMS and the awareness of the employees regarding EMS obligations.

Operational planning and control

While assessing operational planning and control, the auditor must assess how the organisation has implemented controls in accordance with the operating criteria. This includes emergency preparedness and response. The auditor must assess if the organisation periodically reviews and revises the process and planned response actions.

Performance evaluation

While assessing the performance evaluation, the auditor must assess how the organisation monitors, measures, analyses and evaluate its environmental performance. Hence, the auditor must understand how the internal audit program of the organisation is established, implemented and maintained.

The methods, frequency, responsibilities, planning requirements and reporting of the internal audit must be evaluated to understand the scope of the audit.

This allows the auditor to ensure that the organisation maintains continuing suitability, adequacy and effectiveness of its EMS through periodic management reviews.

Lastly, when evaluating the improvement segment, the auditor must assess the necessary actions that the organisation takes to achieve the intended outcomes of its EMS, including dealing with non-conformities and identifying opportunities.