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  ISO Standards  >  ISO 14001 Audit and Checklist

ISO 14001 Audit and Checklist

iso 14001 checklist

Simplify your path to compliance with ISO 14001 Audit and Checklist tools from ComplianceQuest

Streamline your environmental management audits, identify gaps, and ensure compliance with ease. Empower your team to drive sustainability, reduce risks, and meet ISO 14001 standards efficiently—all in one centralized solution.

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iso 14001 checklist

What is the ISO 14001 standard?

ISO 14001 was developed primarily to assist companies with a framework for better management control to reduce their environmental impacts. It applies to various industries, including aerospace and defense, automotive, consumer packaged goods, general manufacturing, hi-tech, and life sciences. It can be used by any organization that wants to improve resource efficiency, reduce waste, and drive down costs. ISO 14001 focuses on:

  • The process of how a product is produced rather than the product itself.
  • Compliance with federal, state, and local regulations to maintain a license to operate.
  • Monitoring air, water, waste, and hazards and recording any near misses or incidents.
  • Managing operational risks and the impact on economic performance and reputation and environmental, safety, and society outcomes.

What are the principles of the ISO 14001 standard?

The main principle of ISO 14001 is to assist companies in continually improving their environmental performance while complying with any applicable legislation. Using ISO 14001 can provide assurance to the management and the employees as well as external stakeholders that environmental impact is being measured and improved on. ISO 14001 can also be integrated with other management functions and assists companies in meeting their environmental and economic goals.

iso 14001 checklist principles

What are the ISO 14001 requirements?

In order to be recognized for the Environmental Management System (EMS) and ISO 14001 certification, there are various requirements that need to be met. They are:

  • Defined environmental policy
  • Stakeholder appointment for EMS coordination
  • Communication within the organization
  • Identification of the organization’s environmental impacts
  • Environment compliance requirements
  • Defined environmental objectives, targets, and programs
  • Plan to monitor and measure progress
  • EMS performance audit
  • Continuous improvement
iso 14001 requirements

How can a company get ISO 14001 certified?

In order to be ISO 14001 certified, a company must:

  • Identify legal EMS requirements

  • Define EMS scope, including the environmental policy and environmental aspects

  • Establish EMS procedures and processes to ensure consistency that will help prevent negative environmental impacts and improve response to emergency situations

  • Document implemented EMS procedures and processes to prevent environmental damage

  • Perform employee training and awareness to explain the purpose of EMS and how it will be incorporated

  • Choose a certification body to audit EMS processes for compliance with ISO 14001 requirements and evaluate the system for its effectiveness

  • Operate the EMS and maintain records that will be needed during an audit to show that the processes meet the requirements defined

  • Perform internal audits to make sure that the processes are functioning well. The audit will also help fix any problems that may arise

  • Conduct management review for continued maintenance of the EMS

  • Implement corrective action by finding the root cause of any problems found during measurements, internal audits or management review, and take corrective action

  • The certification audit is divided into two stages. Stage 1 involves the certification body reviewing the documentation to verify if all the necessary requirements of the ISO 14001 standard are met. Stage 2 has the certification body auditors performing the on-site audit, reviewing the records accumulated by operating EMS processes, including records of internal audits, management review, and corrective actions. After this audit, a report detailing their findings is issued and if the EMS is effective and in compliance with the ISO 14001 requirements. The auditors will make a recommendation for certification if all requirements are met.

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What is an EMS audit?

The Environmental Management System (EMS) audit is conducted as a comparison of actual conditions to expected conditions to determine whether it is in conformance or not. The audit determines if the implemented EMS adheres to the requirements of ISO 14001 standard and has the provision for continual improvement. An EMS audit helps the organization in different ways as listed below:

  • Confirms that the organization understands the EMS policy to be implemented
  • Provides a structured means to identify deficiencies in the system and provision for corrective action and follow up to confirm its effectiveness
  • Helps highlight system weaknesses to prevent its effect on environmental performance
  • Creates a convenient framework to investigate operations in a particular area
  • Improves employee commitment and motivation
iso 14001 ems audit
iso 14001 audit

What is an ISO 14001 Audit?

An ISO 14001 audit is an integral part of the ISO 14001 Environmental Management System (EMS) implementation. ISO 14001 audit involves an independent, systematic, objective, and documented process to gather facts that help identify areas for improvement and ensure that the organization incorporates the best practice processes that protect the environment.

What are the different types of ISO 14001 audits?

Primarily there are two types of ISO 14001 audit: internal and external

CAPA raised per Year

Performed within the organization, the internal audit is a self-examination of the implemented EMS. The audit prepares the EMS for external audit and finally ISO 14001 certification. This audit is done to ensure conformity, evaluate EMS effectiveness, and identify areas of improvement

CAPA raised per Year

To become ISO 14001 certified, the organization must complete the external certification audit. Certification audit involves two stages — documentation review by the certification body and on-site audit to evaluate internal audits, management review, and corrective actions performed on the new EMS



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What is the purpose of ISO 14001 audit?

Conducting regular ISO 14001 EMS and processes audits will help:

  • Ensure that the EMS remains ISO 14001 compliant
  • Verify that the organization takes suitable action to meet the ISO standard
  • Address any issues related to the ISO 14001 framework
  • Identify ways to improve implementation of the standard
iso 14001 audit purpose
iso 14001 checklist importance

What is the importance of ISO 14001 checklists?

An ISO 14001 checklist is used during EMS audit to check for compliance with ISO 14001:2015. This ISO 14001 checklist ensures that the current EMS meets all the required ISO standards. An ISO 14001 checklist is important as it:

  • Helps meet compliance requirements of the ISO 14001 standard
  • Records the steps of the EMS implementation process
  • Acts as a supporting document for internal and external audit
  • Supports the on-going efforts to use, modify, and update ISO 14001 mandated guidelines

Strategies for a Successful ISO 14001 Audit: Key Insights for Preparation and Success

Achieving ISO 14001 certification requires a well-thought-out strategy, and a successful audit is built on thorough preparation and an in-depth understanding of the standard’s requirements. Here are strategies to help your organization navigate the ISO 14001 audit with confidence:

  • Define the Audit Scope Clearly: Ensure a comprehensive understanding of the relevant ISO 14001 sections and their interconnections.

  • Appointing a Competent Audit Team: Appoint a cross-functional team with expertise in environmental management systems for a thorough review.

  • Conduct a Mock Audit for Readiness: Simulate the audit process to identify gaps and prepare your team for real-world scenarios.

  • Establish Robust Document Control: Implement a user-friendly, auditable document management system with effective version control.

  • Adopt a Proactive CAPA Approach: Integrate corrective and preventive actions into daily operations to reduce environmental incidents.

How to write a non conformance report
  • Leverage Data for Monitoring and Measurement: Utilize KPIs and regular data tracking to ensure compliance and assess EMS performance.

  • Perform Regular Internal Audits: Conduct systematic, impartial audits to maintain compliance and identify areas for improvement.

  • Cultivate a Strong Environmental Culture: Promote continuous environmental awareness through training and recognition of employee efforts.

  • Engage in Transparent Communication with Auditors: Foster open, clear dialogue with auditors to ensure a smooth and effective audit process.

  • Utilize Audit Findings for Strategic Improvement: View audit results as valuable insights for continuous enhancement of your EMS.

  • Clear and Detailed Description: Provide a clear and detailed description of the nonconformance. Include relevant information such as the product or process, location, date, and specific deviations from quality standards or requirements.

  • Root Cause Analysis: Conduct a thorough investigation to identify the root cause of the nonconformance. Clearly explain why and how the nonconformance occurred.

  • Define the Audit Scope Clearly: Ensure a comprehensive understanding of the relevant ISO 14001 sections and their interconnections.

  • Conduct a Mock Audit for Readiness: Simulate the audit process to identify gaps and prepare your team for real-world scenarios.

  • Establish Robust Document Control: Implement a user-friendly, auditable document management system with effective version control.

  • Adopt a Proactive CAPA Approach: Integrate corrective and preventive actions into daily operations to reduce environmental incidents.

  • Leverage Data for Monitoring and Measurement: Utilize KPIs and regular data tracking to ensure compliance and assess EMS performance.

  • Perform Regular Internal Audits: Conduct systematic, impartial audits to maintain compliance and identify areas for improvement.

  • Cultivate a Strong Environmental Culture: Promote continuous environmental awareness through training and recognition of employee efforts.

  • Engage in Transparent Communication with Auditors: Foster open, clear dialogue with auditors to ensure a smooth and effective audit process.

  • Utilize Audit Findings for Strategic Improvement: View audit results as valuable insights for continuous enhancement of your EMS.

Great product, support, and people to work with!

We have rolled-out CQ across our company to automate various elements of QMS requirements such as Document Management, Complaints, Non-conformances, Corrective Action (8D and A3), Supplier Management and Audit Management. We have been using the software for more than 2 years. We are glad to see how well the system is being used across the company. We have several thousand users on the system currently and working to scale the usage further. CQ solution has been configured to meet our needs, works elegantly across languages, across time zones, and business verticals. With integration between CQ and SAP to exchange critical data, the process automation provides a lot of productivity.

CQ configuration team and support have worked hard to ensure that our needs continue to be met. They consistently go above and beyond. We cannot be more pleased with our use of CQ QMS capabilities and would definitely recommend to anyone who is looking for a modern cloud based EQMS solution especially if you want a scalable EQMS solution.

Lia Budiman,
Solution Consultant,

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What are the features of ComplianceQuest’s Environmental Management Solution (EMS)?

A smart environmental management system such as CQ can be used to:

iso 14001 ensure environment quality

Ensure accountability at every stage of the environment quality process

With role-based notifications and workflows, ComplianceQuest helps build a no-excuses culture of quality and compliance. CQ’s EMS creates automated workflows that notify the right people at the correct times to ensure smooth management of EMS processes from start to finish.

iso 14001 audit checklist saves time

Save time by eliminating duplicate data entry or lost paper forms

Smart EMS removes the need for physical forms. Complete quality tasks irrespective of where you are as ComplianceQuest’s Environmental Management Software can be accessed using any device – computer, tablet, or smartphone – from anywhere.

iso 14001 checklist start to finish

Setup from start to finish in months, not years

ComplianceQuest EMS is a flexible and robust solution that can be set up in a few months, not years

iso 14001 audit improves trust

Improve trust and security

ComplianceQuest is built 100% native on the industry-leading Salesforce Lightning Platform. With ComplianceQuest, businesses get the power of Salesforce wrapped into an EHSQ solution tailored specifically to the organization. The applications benefit from Salesforce.com’s trusted security, always-on availability, performance at scale, global data centers, and enterprise compliance.

  • iso 14001 ensure environment quality

    Ensure accountability at every stage of the environment quality process

    With role-based notifications and workflows, ComplianceQuest helps build a no-excuses culture of quality and compliance. CQ’s EMS creates automated workflows that notify the right people at the correct times to ensure smooth management of EMS processes from start to finish.

  • iso 14001 audit checklist saves time

    Save time by eliminating duplicate data entry or lost paper forms

    Smart EMS removes the need for physical forms. Complete quality tasks irrespective of where you are as ComplianceQuest’s Environmental Management Software can be accessed using any device – computer, tablet, or smartphone – from anywhere.

  • iso 14001 checklist start to finish

    Setup from start to finish in months, not years

    ComplianceQuest EMS is a flexible and robust solution that can be set up in a few months, not years

  • iso 14001 audit improves trust

    Improve trust and security

    ComplianceQuest is built 100% native on the industry-leading Salesforce Lightning Platform. With ComplianceQuest, businesses get the power of Salesforce wrapped into an EHSQ solution tailored specifically to the organization. The applications benefit from Salesforce.com’s trusted security, always-on availability, performance at scale, global data centers, and enterprise compliance.

The ISO 14001 Audit and Checklist from ComplianceQuest helps you meet the compliance requirements of the ISO 14001 standard and provide assurance to management, employees, and external stakeholders that environmental impact is being measured and improved

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Frequently Asked Questions

  • ComplianceQuest – Enterprise Quality, Safety and Environmental Management Software (QHSE) is an integrated cloud-based solution that provides the capabilities to meet ISO 14001 for environmental safety. CQ helps companies with capturing and reporting on environmental audits and incidents anywhere, anytime. It can help identify, analyze, monitor and mitigate existing and potential hazards and risks including assigning CAPAs and tracking them to completion. Environmental, safety, and hazard documentation is easily accessible and available for employee training, competency and certification.

    • Understand the company’s processes and their impacts on the environment to mitigate the risks.

    • CQ’s intelligence reports help meet ambitious environmental objectives through a thorough analysis of all environmental aspects and impacts aimed at reducing these adverse impacts.

    • Track, monitor, and report sustainability metrics to achieve sustainability goals.

    • Provide staff with a simple mobile-ready tool to report environmental spills and releases and what immediate actions were taken to mitigate the results.

    • Quickly and easily manage a centralized database of all organizational permits, including identified prerequisites and clauses using CQ’s permit management tool to ensure compliance.

    • Automate the notice of violation reporting and allow for easy identification of the specific regulatory publication that is of issue, the associated investigations, corrective actions, and mitigation plans to minimize the potential social and financial impact.

    • Integrate with STP or ENHESA to maintain a regulatory content library that would be applicable for different locations.

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