ISO 14001 – EMS – CHECK LIST

Clause Requirements of ISO

Standa
rd
4.1 General Requirements
Has the company established an EMS?
4.2 Environmental Policy
Has the top management defind its environmental Policy?
4.2 a Is the policy appropriate to the nature, scale and environmental impacts of the organization?
Is the policy periodically reviewed and revised to reflect the changing conditions and information
concerning the nature, scale and environmental impacts of its activities, products and services?
Are the areas of application of the policy clearly identifiable?
4.2 b Does the environmental policy include a commitment to continual improvement and prevention of
pollution?
4.2 c Does the environmental policy include a commitment to comply with relevant environmental legislation
and regulations, and to other requirements to which the organization subscribe?
4.2 d Does the environmental policy provide the framework for setting and reviewing of environmental
objectives and targets?
Is the policy sufficiently clear to be capable of being understood by interested parties, including those
responsible for reviewing environmental targets and objectives?
4.2 e Is the environmental policy documented, implemented, and maintained and communication to all
employees?
Are all the new employees issued with a copy of the environmental policy?
4.2 f Is the environmental policy available to the public? Are amendments or modifications to the policy also
made available to the public?
4.3 Planning
Environmental Aspects
4.3.1 Is there a procedure to identify environmental aspects of the activities, services and products over which
it has control and to determine the actual or potential significant impacts on the environment?
4.3.1.2 If the organization doesn’t have an existing management system, did it establish its current position with
regard to the environment by means of a review.
A review is not an auditable requirement, but should be reviewed as per 4.3.1.3, 4.3.1.4, 4.3.1.5, 4.3.1.6

4.3.1.3 Did the review cover the following four key areas?
a) Legislative and regulatory requirements
b) Identification of significant environmental aspects
c) Examination of all existing environmental management practices and procedures
d) Evaluation of feed back from the investigation of previous incidents
In all cases, was consideration given to normal and abnormal operating conditions and to potential
emergency conditions within the work area?
4.3.1.4 Did the process to identify the significant environmental aspects associated with the activities of NFCL,
Kakinada consider:
i) Air emissions
ii) Release to water
iii) Waste management
iv) Land contamination
v) Use of raw materials and national resources
 vi) Other environmental and community issues
In all cases, was consideration given to normal and abnormal operating conditions and to potential
emergency conditions, potential significant impacts associated with reasonably foreseeable or
emergency situations?
4.3.1.5 Is the information kept up-to-date?
4.3.1.6 Are aspects related to the significant impacts considered in setting environmental objectives?
4.3.2 Legal and other requirements
Is there a procedure to systematically identify all new legal requirements that apply to be activities of
NFCL, Kakinada?
4.3.2.1 Does the procedure ensure access to all existing, new legal requirements that apply to the activities of
NFCL, Kakinada?
4.3.2.2 Does the procedure ensure identification, access and updating of other non-regulatory requirements to
which the NFCL subscribes?
4.3.3 Objectives and Targets
4.3.3.1 Have environmental Objectives and Targets been established and documented?

4.3.3.2 Have Environmental Objectives and Targets been developed at each relevant function and level within
the organization?
4.3.3.4 Are objectives and targets consistent with the Environmental Policy and reflect a commitment to
pollution prevention?
4.3.3.5 Has the organization taken into consideration, when establishing (and reviewing) its objectives legal and
other requirements, technological options, financial, operational and business requirements as well as
the views of interested parties?

4.3.4 Environmental Management Programmes

4.3.4.1 Has an Environmental Management Programme for achieving the objectives and targets been
established and is it maintained?
4.3.4.2 Does the programme identify the personnel responsible for implementing the Environmental policy and
who is responsible for achieving the objectives and targets at each relevant function and level within the
organization?
4.3.4.3 Does the programme include the means available (e.g. financial, physical or human resources) by which
the organization shall achieve its objectives and targets?
4.3.4.4 Does the programme have a clear time frame which identifies what will be done or achieved by when
and how?
4.3.4.5 Is the Enviornmental Management Programme amended, where relevant, to ensure that it will be
applied to new development and new or modified activities, products or services?
4.3.4.6 Does the Environmental Management Programme include Environmental Reviews for new activities?
4.4 IMPLEMENTATION AND OPERATION
4.4.1 Structure and Responsibility
4.4.1.1 Have roles, responsibility and authorities been defined, documented and communicated?
4.4.1.2 Have top management appointed (a) specific Environmental Management Representative(s)?
4.4.1.3 Has the representative(s) a defined role, responsibility and authority for ensuing that the requirements of
the environmental Management System are established, implemented and maintained in accordance
with the ISO 14001 standard and for reporting performance of the Environmental Management to top
management?
4.4.1.4 Have the roles, responsibilities, and authorities of other operational management and staff functions for
implementing the various elements of the Environmental Management System been identified,
 documented and communicated to personnel in order to facilitate management?
4.4.1.5 Does the Environmental Management representative report on the performance of the Environmental
Management System to top management? Are these reports used by top management to review the
Environment System and the basis for its improvement?
4.4.1.6 Does management provide the resources essential to the implementation and control of the
Environmental Management System?

4.4.2 Training, Awareness and Competence

4.4.2.1 Have all training needs been identified?
4.4.2.2 Have all personnel whose work may create a significant impact upon the environment received
appropriate environmental training, including contractors?
4.4.2.3 Do procedures exist to ensure that employee or members at each relevant function and level are aware
of the importance of conformance with the environmental policy and procedures and the Environmental
Management System?
4.4.2.4 Do procedures exist to ensure that all employees are made aware of significant Environmental Impacts,
actual or potential, of their work activities and the Environmental benefits of improved personal
performance?
4.4.2.5 Do procedures exist to ensure that all employees are made aware of their roles and responsibilities in
achieving conformance with the Environmental Policy and Procedures and with the requirements of the
Environmental System?
4.4.2.6 Do procedures exist to ensue that all employees are made aware of the potential consequences of
departure from specified operating procedures?
4.4.2.7 Has it been established that personnel performing tasks, which may cause significant Environmental
Impacts have the required competence, determined on the basis of appropriate education, training and/or
experience?
4.4.3 Communications
4.4.3.1 Have appropriate procedures been established for internal and external communications regarding the
Environmental Aspects and the Environmental Management System?
4.4.3.2 Have procedures been established for internal communications between the various levels and functions
of the organization?
4.4.3.3 Have procedures been established for receiving, documenting and responding to relevant
communications from external interested parties on its Environmental Management System?
4.4.3.4 Has the organization considered the various possible processes for external communication on its
significant Environmental Aspects and recorded its decision in this regard?
4.4.3.5 Are these procedures reviewed and adapted to changing circumstances and perceptions?
4.4.4 Environmental Management System Documentation
4.4.4.1 Is there documentation, which describes the Environmental Management System?
4.4.4.3 Have the interactions between the core elements of the Environmental Management System been
described and documented in paper or electronic form?

4.4.4.4 Does this documentation provide direction on where to find or classify related Environmental
Documentation?
4.4.5 Document Control
4.4.5.1 Are document control procedures established and maintained for controlling all documents required by
ISO 24002 in order to ensure that they can be located?
4.4.5.2 Do procedures exist to ensure that all documentation is periodically reviewed and revised as necessary,
and approved for adequacy by authorized personnel?
4.4.5.3 Do procedures exist to ensure that current legible versions of relevant documents are available at all
 locations where operations essential to the effective functioning of the system are performed?
4.4.5.4 Do procedures exist to exist to ensure that obsolete documents are promptly removed from all points of
issue and all points of use, or otherwise assured against unintended use?
4.4.5 Do procedures exist to ensure that any obsolete documents retained for legal and/or knowledge
preservation purposes are suitable identified?
4.4.6 Operational Control
4.4.6.1 Have the operations and activities that are related to the significant Environmental Aspects of the
organization been identified and documented?
4.4.6.2 Have situations requiring documented procedures to ensure compliance with policy and attainment of
objectives and targets been identified?
4.4.6.3 Have such operations and activities been planned in such a way as to ensure they are carried out under
specified conditions?
4.4.6.4 Having documented procedures been established for all the operations and activities, including
maintenance, stipulation operating criteria?
4.4.6.5 Have documented procedures been established for goods and services used by the organization that are
related to the significant Environmental Aspects?
4.4.6.6 Are relevant procedures communicated to suppliers and contractors?
4.4.6.7 Are all procedures reviewed periodically and adapted when necessary?
4.4.7 Emergency Preparedness and Response
4.4.7.1 Have procedures been established to identify the potential for and to respond to environmental
incidents, accidents and emergency situations?
4.4.7.2 Do the procedures also focus on preventing and mitigating the Environmental Impacts that may be
associated with accidents or emergency situations?

4.4.7.3 Are the procedures periodically reviewed and revised where necessary?
4.4.7.4 After the occurrence of accidents or emergency situations are the procedures reviewed and where
necessary revised to prevent a re-occurrence?
4.4.7.5 Are tests of emergency response procedures regularly (i.e., periodically) carried out and have specific
procedures been developed and implemented for the review of such tests?
4.5 CHECKING AND CORRECTIVE ACTION
4.5.1 Monitoring and measurement
4.5.1.1 Have procedures been established for monitoring and measuring on a regular basis the key
characteristics of the operations and activities that can have a significant Environmental Impact?
4.5.1.2 Do the procedures specify the recording of information to track performance, relevant operational
controls and conformance with the organization’s objectives and targets?
4.5.1.3 Is monitoring equipment calibrated and maintained and are the records of this process retained
according to the organization’s procedures?
4.5.1.4 Are there established documented procedures for the periodic evaluation of compliance with relevant
Environmental Legislation and Regulations?
4.5.1.5 Do procedures include measures to identify and document the relevant regulatory requirements with
which all activities, products or services must comply?
4.5.1.6 Do procedures establish the periodicity with which such evaluations must be conducted? Are results of
such evaluations documented and reported to management?
4.5.2 Non-conformance and Corrective and Preventive Action
4.5.2.1 Are procedures established and documented for defining responsibility and authority for handling and
investigating incidents of non-conformance?
4.5.2.2 Are procedures established and documented for defining responsibility and authority to taking action to
mitigate any impacts caused by non-conformance and for initiating and completing corrective and
 preventive action?
4.5.2.3 Are corrective or preventive measures taken to eliminate the causes of actual and potential non-
conformance always appropriate to the magnitude of problems and commensurate with the
Environmental Impact encountered?
4.5.2.4 Are changes in the written operating procedures resulting from corrective and preventive action
implemented and recorded?

4.5.3 Records
4.5.3.1 Have procedures for the identification, maintenance and disposition of Environmental Records been
established and maintained?
4.5.3.2 Are there Environmental Records as for a minimum for:
 Training
 Internal Audits Results
 Management Reviews
 The extent to which planned objectives and targets have been met
 Incident Reports
 Records of complaints
 Pertinent contractor and supplied information
 Calibration, Inspection and Maintenance Records
 Process Information
 Product Information
 Records of significant Environmental Aspects
 Information on applicable Environmental Law or Regulations
 Records of emergency preparedness and response
4.5.3.3 Are the Environmental Records legible, identifiable and traceable to the activity, product or service
involved?
4.5.3.4 Are the Environmental Records stored and maintained in such a way that they are readily retrievable and
protected against damage deterioration or loss?
4.5.3.5 Are the retention times of the various Environmental Records established and recorded?
4.5.3.6 Are all records required to demonstrate conformity to this standards (including regulatory compliance)
maintained?
4.5.4 Environmental Management System Audit
4.5.4.1 Has a programme and procedures for conducting Environmental Management Audits been established?
4.5.4.2 Does the audit programme determine whether or not the Environmental Management System conforms
to planned arrangements for Environmental Management and whether or not the Environmental
Management System has been properly implemented and maintained?
4.5.4.3 Do the procedures ensure that information on the results of the audits is provided to management
appropriate levels?
4.5.4.4 Is the audit programme, including frequency of audits, based on the environmental importance of the
activity concerned and the results of previous audits?
4.5.4.6 Are audits conducted by competent personnel who are impartial and objective?

4.6 MANAGEMENT REVIEW

4.6.1 Are the intervals at which top management will review the
Environmental Management System defined?
4.6.2 Are the results, observations, conclusions and recommendations of
the review process documented for necessary action?
4.6.3 Is the review of the policy, objectives and procedures carried out by
the level of management who defined them?
4.6.4 Does the review include:
 Results of internal/external audits
 The extent to which objectives and targets have been met
 Changing circumstances that might necessitate the possible
needs for changes to policy, objectives or elements of the
Environmental Management System
 Concerns from relevant interested parties
4.6.5 Does the review ensure the continuing suitability, effectiveness and
adequacy of the Environmental Management System?
4.6.6 Does the review address the company’s commitment to continual
improvement?

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