ISO 14001 checklist for your environmental management system

ISO 14001:2015 follows the high level structure used by most management system standards. The requirements sit in clauses 4 to 10, so a checklist grouped by clause matches the order in which a reviewer reads your system. The four lists below follow that order.

Each point names the evidence a company usually has: a register, a record, a signed document. If you can show it in a few minutes, tick it. If you have to explain it from memory, the point is still open. Numbering restarts in every list.

ISO 14001 is a management system standard. It sets no emission limits. It asks you to know your environmental impacts, to know your legal duties and to show that you act on both.

• ISO 14001 requirements in detail
• ISO for small and medium businesses

These clauses decide what the system covers and who answers for it. In a small company, the owner or managing director is usually the person who has to be visible here.

1. 01

   The scope is defined

   You state which sites, activities and products the system covers. Evidence: a one-page scope statement.

2. 02

   Internal and external issues are known

   You have listed what affects your environmental performance, such as regulation, customer demands, neighbours or energy prices. Evidence: a short context analysis, dated and reviewed.

3. 03

   Interested parties and their expectations are listed

   Authorities, customers, insurers, neighbours and staff each expect something. Evidence: a table of parties and requirements.

4. 04

   An environmental policy exists

   It commits to protecting the environment, to meeting legal obligations and to continual improvement. Evidence: a policy signed by top management, available to staff.

5. 05

   Roles are assigned

   Someone is named to report on how the system performs. Evidence: an organisation chart or job descriptions with environmental duties.

6. 06

   Management takes part

   The owner decides on objectives and resources, not only the environmental officer. Evidence: meeting minutes with decisions.

Clause 6 is where most small companies find gaps. The central document is the register of environmental aspects, the places where your activities touch air, water, soil, energy or waste. The table shows how its entries look.

The register is only useful if you also decide which aspects are significant and say why.

1. 01

   Aspects register

   All activities, products and services are assessed. Evidence: the register, with date and author.

2. 02

   Significance criteria

   You apply stated criteria, such as scale, frequency or legal relevance. Evidence: a column in the register that shows the rating.

3. 03

   Compliance obligations

   Laws, permits and customer commitments that apply to you are recorded, with the person who monitors each one. Evidence: an obligations register with permit dates.

4. 04

   Risks and opportunities

   You have considered what could go wrong and what could improve. Evidence: a short list linked to the aspects and obligations.

5. 05

   Objectives with targets

   Each objective is measurable, has an owner and a deadline. Evidence: an objectives plan, for example a cut in waste per production unit.

Here the system meets the shop floor. A reviewer wants to see that staff know what the policy means for their work and that significant aspects are controlled in practice.

1. 01

   Competence is recorded

   People whose work affects significant aspects are trained or experienced. Evidence: training records, certificates for handling hazardous substances.

2. 02

   Awareness exists

   Staff know the policy and how their work affects the environment. Evidence: induction material, toolbox talks, notices at waste stations.

3. 03

   Documented information is controlled

   Documents carry a version and an approval, and old copies are withdrawn. Evidence: a document list or a controlled folder.

4. 04

   Operational controls cover significant aspects

   Instructions exist where their absence could lead to impact, such as waste sorting, storage of chemicals or refuelling. Evidence: work instructions, checklists, signage.

5. 05

   Suppliers and contractors know your requirements

   Waste carriers and service providers are told what you expect. Evidence: contract clauses, supplier questionnaire, disposal certificates.

6. 06

   Emergency preparedness is planned and tested

   You have thought through spills, fire and escaping substances. Evidence: an emergency plan, spill kits in place, a drill record.

These clauses produce the records a customer audit or a purchasing department asks for first. A system with no measured results is a set of intentions.

1. 01

   Performance is monitored

   You measure what matters, such as energy, water, waste volumes and fuel. Evidence: meter readings, waste invoices, a simple yearly table.

2. 02

   Compliance is evaluated

   You check at planned intervals that obligations are met. Evidence: a dated record with findings and follow-up.

3. 03

   An internal audit has taken place

   Someone independent of the audited area reviewed the system. Evidence: an audit plan and report.

4. 04

   Management review is documented

   Top management reviewed results, audit findings and the need for change. Evidence: minutes with decisions.

5. 05

   Nonconformities are handled

   A spill, a missed permit date or a failed target leads to a cause analysis and a corrective action. Evidence: a corrective action log.

6. 06

   Improvement is visible

   Objectives are renewed and results move in the right direction. Evidence: year on year figures and updated objectives.

The Zertify self-assessment for ISO 14001 has 34 yes/no questions. Fourteen are mandatory requirements of the standard and must all be answered yes. Of the other 20, at least 14 need a yes to pass. Your open checklist points show where you would currently answer no.

There is no on-site audit. The certificate is issued by G6 Agency AG under licence from SICE, and SICE reviews every assessment before issue. After you pass and pay, the certificate arrives within 4 hours. Every certificate has a number and a QR code, so a customer can check it on the public verification page.

The price is CHF 699 (€699) in the first year, then CHF 469 (€469) per year including the yearly online re-audit. The certificate is valid for 3 years. The subscription renews yearly and you can cancel it in your customer account to the end of the current year. You need no account to buy.

The classic route with an on-site audit by a certification body is the other option. The guide compares both routes.

• Start the free self-assessment
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