0.checklist, GP3113 ISO 14001 2015 Evaluation

ISO 14001: 2015 Evaluation Audit Checklist
Guidance:
This document is intended to provide structured assistance to highlight the extent to which an organization has in place
procedures and controls covering the requirements of ISO 14001: 2015.
It must be used as part of any of the following activities:
 Needs Analysis (to confirm the level of compliance, or identify an implementation action plan)
 ISO 14001: 2015 Transition Audit process
 ISO 1400:2015 Certification Audit (initial, surveillance, recertification)
This document is part of the audit pack, but must NOT be given to the client.
NOTES:
Only ISO 14001 Lead Auditors who have completed the necessary Auditor Training are permitted to carry out any of the
aforementioned activities. All must have a fully completed GP3112 ISO 14001:2015 Transition Training Form approved by
a Technical Approval Authority and uploaded to AQA.
Guidance and information on the requirements of ISO 14001: 2015 can be found in the auditor training manual available to
all SSC audit personnel.
Client Name: Job No: Audit Date:
Document: GP3113 (Issue 3) Pag 1 / 29

Conforms?
CLAUSE / STANDARD REQUIREMENT NOTES (Comments / Evidences / Audit trails)
YES NO
4 Context of the organization
4.1 Understanding the organization and its context
The organization shall determine external and internal issues that are
relevant to its purpose and that affect its ability to achieve the intended
outcomes of its environmental management system. Such issues shall
include environmental conditions being affected by or capable of
affecting the organization.
4.2 Understanding the needs and expectations of interested parties
The organization shall determine:
a) the interested parties that are relevant to the environmental

management system
b) the relevant needs and expectations (i.e. requirements) of these

interested parties;
c) which of these needs and expectations become its compliance

obligations.
4.3 Determining the scope of the environmental management system

Conforms?
YES NO
The organization shall determine the boundaries and applicability of

the EMS to establish its scope.
When determining this scope, the organization shall consider:
a) the external and internal issues referred to in 4.1;
b) the compliance obligations referred to in 4.2;
c) its organizational units, functions, and physical boundaries;
d) its activities, products and services;
e) its authority and ability to exercise control and influence.
Once the scope is defined, all activities, products and services of the
organization within that scope need to be included in the
environmental management system
The scope shall be maintained as documented information and be

available to interested parties.
4.4 Environmental management system
To achieve the intended outcomes, including enhancing its

environmental performance, the organization shall establish,
implement, maintain and continually improve an environmental
management system, including the processes needed and their

Conforms?
YES NO
interactions, in accordance with the requirements of this International

Standard.
The organization shall consider the knowledge gained in 4.1 and 4.2
when establishing and maintaining the environmental management
system
5 Leadership
5.1 Leadership and commitment
Top management shall demonstrate leadership and commitment with respect to the
EMS by
a) taking accountability for the effectiveness of the environmental

management system;
b) ensuring that the environmental policy and environmental

objectives are established and are compatible with the strategic
direction and the context of the organization;
c) ensuring the integration of the EMS requirements into the

organization’s business processes;
d) ensuring that the resources needed for the EMS are available;
e) communicating the importance of effective environmental

management and of conforming to the EMS requirements;

Conforms?
YES NO
f) ensuring that the EMS achieves its intended outcomes;
g) directing and supporting persons to contribute to the effectiveness

of the environmental management system
h) promoting continual improvement;
i) supporting other relevant management roles to demonstrate their

leadership as it applies to their areas of responsibility
NOTE Reference to “business” in this International Standard can be interpreted broadly to

mean those activities that are core to the purposes of the organization’s existence.
5.2 Environmental policy
Top management shall establish, implement and maintain an environmental policy

that, within the defined scope of its environmental management system:
a) is appropriate to the purpose of the organization, including the

nature, scale and environmental impacts of its activities, products and
services;
b) provides a framework for setting environmental objectives;
c) includes a commitment to the protection of the environment,

including prevention of pollution and others specific commitment(s)
relevant to the context of the organization;

Conforms?
YES NO
NOTE Other specific commitment(s) to protect the environment can include sustainable
resource use, climate change mitigation and adaptation, and protection of biodiversity and
ecosystems
d) includes a commitment to fulfill its compliance obligations;
e) includes a commitment to continual improvement of the EMS to

enhance environmental performance.
The environmental policy shall:
 be maintained as documented information;
 be communicated within the organization
 be available to interested parties.
5.3 Organizational roles, responsibilities and authorities
Top management shall ensure that the responsibilities and authorities

for relevant roles are assigned and communicated within the
organization.
Top management shall assign the responsibility and authority for:
a) ensuring that the EMS conforms to the requirements of this

International Standard;

Conforms?
YES NO
b) reporting on the performance of the environmental management

system, including environmental performance, to top management
6 Planning
6.1 Actions to address risk and opportunities
6.1.1 General
The organization shall establish, implement and maintain the

processes needed to meet the requirements in 6.1.1 and 6.1.4
When planning for the EMS the organization shall consider:
• the issues referred to in 4.1:
• the requirements referred to in 4.2:
• the scope of its environmental management system
and determine the risk and opportunities, related to its

environmental aspects (see 6.1.2), compliance obligations (see
6.1.3) and other issues and requirements, identified in 4.1 and 4.2,
that need to be addressed to:

Conforms?
YES NO
• give assurance that the EMS can achieve it’s intended

outcomes;
• prevent, or reduce, undesired effects, including the potential

for external environmental conditions to affect the
organization;
• achieve continual improvement
Within the scope of the environmental management system, the

organization shall determine potential emergency situations, including
those that can have an environmental impact.
The organization shall maintain documented information of its:
• risk and opportunities that need addressed;
• processes needed in 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 the environmental management system,

the organization shall determine the environmental aspects of its
activities, products and services that it can control and those that it can
influence, and their associated environmental impacts considering a

Conforms?
YES NO
life cycle perspective;
When determining environmental aspects, the organization shall take into account:
a) change, including planned or new developments and new or

modified activities, products and services;
b) abnormal conditions and reasonably foreseeable emergency

situations
The organization shall determine those aspects that have or can have
a significant environment impact, i.e. significant environmental
aspects, by using established criteria.
The organization shall communicate its significant environmental

aspects among the various levels and functions of the organization, as
appropriate.
The organization shall maintain documented information of its:
 environmental aspects and associated environmental impacts;
 criteria used to determine its significant environmental aspects;
 significant environmental aspects.

Conforms?
YES NO
NOTE Significant environmental aspects can result in risk and opportunities associated with
either adverse environmental impacts (threats) or beneficial environmental impacts
(opportunities).
6.1.3 Compliance obligations
The organization shall:
a) determine and have access to the compliance obligations related

to its environmental aspects;
b) determine how these compliance obligations apply to the

organization.
c) take these compliance obligations into account when establishing,

implementing, maintaining and continually improving its
environmental management system.
The organization shall maintain documented information of its

compliance obligations.
NOTE Compliance obligations can result in risks and opportunities to the organization.
6.1.4 Planning Action
The organization shall plan:

Conforms?
YES NO
a) to take action to address its;
1) Significant environmental aspects;
2) Compliance obligations;
3) Risks and opportunities identified in 6.1.1:
how to:
1) Integrate and implement the actions into its EMS processes

(see 6.2 , 7 , 8 and 9.1), or other business processes.
2) Evaluate the effectiveness of these actions (see 9.1)
When planning these actions the organization shall consider it’s

technological options and it’s financial, operational and business
requirements.
6.2 Environmental objectives and planning to achieve them
6.2.1 Environmental objectives
The organization shall establish environmental objectives at relevant

functions and levels taking into account the organization’s significant
environmental aspects and its compliance obligations, and considering
its risks and opportunities.

Conforms?
YES NO
The environmental objectives shall be
a) consistent with the environmental policy;
b) measurable (if practicable);
c) monitored;
d) be communicated;
e) be updated as appropriate.
The organization shall maintain documented information on the

environmental objectives.
6.2.2 Planning actions to achieve environmental objectives
When planning how to achieve its environmental objectives, the organization shall
determine:
a) what will be done;
b) what resources will be required;
c) who will be responsible;
d) when it will be completed;

Conforms?
YES NO
e) how the results will be evaluated, including indicators for

monitoring progress toward achievement of measurable
environmental objectives (see 9.1.1).
The organization shall consider how the actions to achieve its

environmental objectives can be integrated into the organization’s
business processes.
7 Support
7.1 Resources
The organization shall determine and provide the resources needed

for the establishment, implementation, maintenance and continual
improvement of the environmental management system.
7.2 Competence
a) determine the necessary competence of person(s) doing work

under its control that affects its environmental performance
and its ability to fulfill 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 its environmental


Conforms?
YES NO
aspects and its environmental management system
d) where applicable, take actions to acquire the necessary

competence, and evaluate the effectiveness of the actions
taken.
NOTE Applicable actions can include, for example, the provision of training to, the mentoring of,
or the re-assignment of currently employed persons; or the hiring or contracting of competent
persons.
The organization shall retain appropriate documented information as

evidence of competence.
7.3 Awareness
The organization shall ensure that persons doing work under the organization’s
control are aware of
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 the environmental

management system, including the benefits of enhanced
environmental performance;

Conforms?
YES NO
d) the implications of not conforming with the EMS requirements

including not fulfilling the organization’s compliance obligations.
7.4 Communication
7.4.1 General
The organization shall establish, implement and maintain the process(es) needed for
internal and external communications relevant to the environmental management
system, including:
a) on what it will communicate;
b) when to communicate;
c) with whom to communicate;
d) how to communicate.
When establishing its communications process, the organization shall:
 take into account its compliance obligations;
 ensure that environmental information communicated is

consistent with information generated within the environmental

Conforms?
YES NO
management system, and is reliable.
The organization shall respond to relevant communications on its

environmental management system.
The organization shall retain documented information as evidence of

its communications, as appropriate.
7.4.2 Internal communication
a) internally communicate information relevant to the

environmental management system, among the various levels
and functions of the organization, including changes to the
environmental management system, as appropriate;
b) ensure its communication process(es) enable(s) persons

doing work under the organization's control to contribute to
continual improvement.
7.4.3 External communication
The organization shall externally communicate information relevant to

the environmental management system, as established by the
organization’s communication process(es) and as required by its
compliance obligations.

Conforms?
YES NO
7.5 Documented information
7.5.1 General
The organization’s EMS shall include:
a) documented information required by this International Standard;
b) documented information determined by the organization as being

necessary for the effectiveness of the environmental management
system.
NOTE The extent of documented information for an EMS can differ from one organization to
another due to:
 the size of organization and its type of activities, processes, products and services;
 the need to demonstrate fulfillment of its compliance obligations;
 the complexity of processes and their interactions;
 the competence of persons doing work under the organization´s control.
7.5.2 Creating and updating
When creating and updating documented information the organization shall ensure
appropriate:

Conforms?
YES NO
a) identification and description (e.g. a title, date, author, or reference

number);
b) format (e.g. language, software version, graphics) and media (e.g.

paper, electronic);
c) review and approval for suitability and adequacy.
7.5.3 Control of documented information
Documented information required by the EMS and by this International Standard shall
be controlled to ensure:
a) it is available and suitable for use, where and when it is needed;
b) it is adequately protected (e.g. from loss of confidentiality, improper

use, or loss of integrity).
For the control of documented information, the organization shall

address the following activities, as applicable:
 distribution, access, retrieval and use;
 storage and preservation, including preservation of legibility;
 control of changes (e.g. version control);
 retention and disposition.
Documented information of external origin determined by the


Conforms?
YES NO
organization to be necessary for the planning and operation of the

EMS shall be identified, as appropriate, and controlled.
NOTE Access can imply a decision regarding the permission to view the documented
information only, or the permission an d authority to view and change the documented
information.
8 Operation
8.1 Operational planning and control
The organization shall establish, implement, control and maintain the processes
needed to meet EMS requirements, and to implement the actions identified in 6.1 and
6.2, by:
 establishing operating criteria for the process(es);
 implementing control of the process(es), in accordance with

the operating criteria
NOTE Controls can include engineering controls and procedures. Controls can be
implemented following a hierarchy (e.g. elimination, substitution, administrative) and can be
used individually or in combination.
The organization shall control planned changes and review the

consequences of unintended changes, taking action to mitigate any
adverse effects, as necessary.

Conforms?
YES NO
The organization shall ensure that outsourced processes are

controlled or influenced. The type and extent of control or influence to
be applied to these processes shall be defined within the EMS.
Consistent with a life cycle perspective, the organization shall:
a) establish controls to ensure that environmental requirement(s) is

(are) considered in the design and development process for the
product or service considering each life cycle stage;
b) determine environmental requirement(s) for the procurement of

products and services, as appropriate;
c) communicate relevant environmental requirement(s) to external

providers, including contractors;
d) consider the need to provide information about potential significant

environmental impacts associated with the transportation or
delivery of the products or services and during use and end-of-life
treatment and final disposition of its products and services.
The organization shall 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

Conforms?
YES NO
The organization shall establish implement and maintain the

process(es) needed to prepare for and respond to potential emergency
situations identified in 6.1.1.
a) prepare and respond by planning action to prevent or mitigate

adverse environmental impacts from emergency situations
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, where

practicable;
e) periodically review and revise the process(es) and planned

response actions, where necessary, revise the procedure, 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.

Conforms?
YES NO
The organization shall maintain documented information to the extent

necessary to have confidence that the process(es) is (are) carried out
as planned.
9 Performance evaluation
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General
The organization shall monitor, measure, analyse and evaluate its

environmental performance.
The organization shall 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 the organization will evaluate its

environmental performance and appropriate indicators;
d) when the monitoring and measuring shall be performed;
e) when the results from monitoring and measurement shall be

analyzed and evaluated.

Conforms?
YES NO
The organization shall ensure that calibrated or verified monitoring and

measurement equipment is used and maintained as appropriate.
The organization shall evaluate its environmental performance and the

effectiveness of the EMS.
The organization shall communicate relevant environmental

performance information both internally and externally, as identified in
its communication process(es) and as required by its compliance
obligations
The organization shall retain appropriate documented information as

evidence of the monitoring, measurement, analysis and evaluation
results.
9.1.2 Evaluation of compliance
The organization shall establish implement and maintain the

process(es) needed to evaluate fulfillment of its compliance
obligations.
a) determine the frequency that compliance will be evaluated;
b) evaluate compliance and take action if needed;

Conforms?
YES NO
c) maintain knowledge and understanding of its compliance status.

the compliance evaluation result(s).
9.2 Internal audit
9.2.1 General
The organization shall conduct internal audits at planned intervals to

provide information on whether the EMS:
a) conforms to:
1) the organization’s own requirements for its EMS;
2) the requirements of this International Standard;
b) is effectively implemented and maintained.
9.2.2 Internal audit Program
The organization shall establish, implement and maintain (an) internal

audit programme(s), including the frequency, methods, responsibilities,
planning requirements and reporting of its internal audits.
When establishing the internal audit program, the organization shall

take into consideration the environmental importance of the processes

Conforms?
YES NO
concerned, changes affecting the organization and the results of

previous audits;
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.

the implementation of the audit programme and the audit results.
9.3 Management review
Top management shall review the organization's environmental

management system, at planned intervals, to ensure its continuing
suitability, adequacy and effectiveness.
The management review shall include consideration of:
a) the status of actions from previous management reviews;
b) changes in:

Conforms?
YES NO
1) external and internal issues that are relevant to the EMS;
2) the needs and expectations of interested parties, including

compliance obligations;
3) its significant environmental aspects
4) risk and opportunities;
c) the extent to which environmental objectives have been achieved;
d) information on the organization’s environmental performance,

including trends in:
1) nonconformities and corrective actions;
2) monitoring and measurement results;
3) fulfillment of its compliance obligations;
4) audit results;
e) adequacy of resources;
f) relevant communication(s) from external interested parties, including

complaints

Conforms?
YES NO
g) opportunities for continual improvement;
The outputs of the management review shall include:
 conclusions on the continuing suitability, adequacy and

effectiveness of the EMS;
 decisions related to continual improvement opportunities;
 decisions related to any need for changes to the EMS, including

resources;
 actions if needed, when environmental objectives have not been

met;
 opportunities to improve integration of the EMS with other

business processes, if needed
 any implications for the strategic direction of the organization

the results of management reviews.

Conforms?
YES NO
10 Improvement
10.1 General
The organization shall identify opportunities for improvement (see 9.1,

9.2 and 9.3) and implement necessary action to achieve the intended
outcomes of its EMS
10.2 Nonconformity and corrective action
When a nonconformity occurs, the organization shall:
a) react to the nonconformity and, as applicable:
1) take action to control and correct it;
2) deal with the consequences including mitigating adverse

environmental impacts;
b) evaluate the need for action to eliminate the causes of the

nonconformity, in order that it does not recur or occur elsewhere, by:
1) reviewing the nonconformity;
2) determining the causes of the nonconformity;
3) determining if similar nonconformities exist, or could potentially

occur;

Conforms?
YES NO
c) implement any action needed;
d) review the effectiveness of any corrective action taken;
e) make changes to the environmental management system, if

necessary.
Corrective actions shall be appropriate to the significance of the effects

of the nonconformities encountered, including the environmental
impact(s).
The organization shall retain documented information as evidence of:
 the nature of the nonconformities and any subsequent actions

taken;
 the results of any corrective action.
10.3 Continual improvement
The organization shall continually improve the suitability, adequacy

and effectiveness of the EMS to enhance environmental performance.

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ISO 14001: 2015 Evaluation Audit Checklist

Client Name: Job No: Audit Date:

Document: GP3113 (Issue 3) Pag 1 / 29

4 Context of the organization

4.1 Understanding the organization and its context

4.2 Understanding the needs and expectations of interested parties

The organization shall determine:

a) the interested parties that are relevant to the environmental

b) the relevant needs and expectations (i.e. requirements) of these

c) which of these needs and expectations become its compliance

4.3 Determining the scope of the environmental management system

Client Name: Job No: Audit Date:

Document: GP3113 (Issue 3) Pag 2 / 29

The organization shall determine the boundaries and applicability of

When determining this scope, the organization shall consider:

a) the external and internal issues referred to in 4.1;

b) the compliance obligations referred to in 4.2;

c) its organizational units, functions, and physical boundaries;

d) its activities, products and services;

e) its authority and ability to exercise control and influence.

The scope shall be maintained as documented information and be

4.4 Environmental management system

To achieve the intended outcomes, including enhancing its

Document: GP3113 (Issue 3) Pag 3 / 29

interactions, in accordance with the requirements of this International

5.1 Leadership and commitment

a) taking accountability for the effectiveness of the environmental

b) ensuring that the environmental policy and environmental

c) ensuring the integration of the EMS requirements into the

e) communicating the importance of effective environmental

Client Name: Job No: Audit Date:

Document: GP3113 (Issue 3) Pag 4 / 29

f) ensuring that the EMS achieves its intended outcomes;

g) directing and supporting persons to contribute to the effectiveness

h) promoting continual improvement;

i) supporting other relevant management roles to demonstrate their

NOTE Reference to “business” in this International Standard can be interpreted broadly to

5.2 Environmental policy

Top management shall establish, implement and maintain an environmental policy

a) is appropriate to the purpose of the organization, including the

b) provides a framework for setting environmental objectives;

c) includes a commitment to the protection of the environment,

Client Name: Job No: Audit Date:

Document: GP3113 (Issue 3) Pag 5 / 29

d) includes a commitment to fulfill its compliance obligations;

e) includes a commitment to continual improvement of the EMS to

The environmental policy shall:

 be maintained as documented information;

 be communicated within the organization

 be available to interested parties.

5.3 Organizational roles, responsibilities and authorities

Top management shall ensure that the responsibilities and authorities

Top management shall assign the responsibility and authority for:

a) ensuring that the EMS conforms to the requirements of this

Client Name: Job No: Audit Date:

Document: GP3113 (Issue 3) Pag 6 / 29

b) reporting on the performance of the environmental management

6.1 Actions to address risk and opportunities

The organization shall establish, implement and maintain the