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For 25 + years Software Engineering Process Technology (SEPT) has produced checklists for international standards. They have been produced for Medical Devices, Quality, Security and Software processes. Organizations buy and use these checklists for:

  1. Performing a gap analysis - “Standard requirement” versus “what the organization does”,
  2. Ensuring that all the artifacts that are cited in the standard are addressed,
  3. Providing the traceability by artifact from the standard to a process step,
  4. Demonstrating that the organization was following an international standard in case of litigation,
  5. Reducing cost by purchasing a checklist instead of developing one internally, and
  6. Providing insurance that they have a checklist that is compiled by a company experienced in deciphering international standards and verified by domain experts.

This is a checklist for standard ISO 1400:2015. The purpose of the checklist is to define clearly all the artifacts (policies, procedures, plans, records, documents, audits, or reviews) that the underlying standard calls out. Furthermore, what constitutes physical evidence (Artifacts) to meet the guidance outlined in ISO 14001 is sometimes difficult to identify.  To bridge this gap the author and SEPT experts have identified items of physical evidence called out in the standard based on their knowledge of the document and their experience in the standards field. Each item of physical evidence that was identified by these experts is listed in the checklist as an artifact (policies, procedures, plans, records, documents, audits, or reviews).

The Author has carefully reviewed the document “ISO Standard 14001:2015 Environmental Management – Requirements" and defined the physical evidence required based upon this classification scheme.  SEPT has conducted a second review of the complete list to ensure that the documents’ producers did not leave out a physical piece of evidence that a “reasonable person” would expect to find.  It could certainly be argued that if the document did not call it out then it is not required; however, if the standard was used by an organization to improve its process, then it would make sense to recognize missing documents.  Therefore, there are documents specified in this checklist that are implied by the standard, though not specifically called out in the standard.

This checklist was prepared by analyzing each clause of this document for the key words that signify a:

  • Policy
  • Procedure
  • Plan
  • Records
  • Document (Including Manuals, Reports, and Specifications)
  • Audit
  • Review

This checklist specifies evidence that is unique.  After reviewing the completed document, the second review was conducted from a common sense “reasonable person” approach.  If a document or other piece of evidence appeared to be required, but was not called out in the document, then it is added with an asterisk (*) after its notation in the checklist.  The information was transferred into checklist tables, based on the type of product or evidence.  Required items are denoted by an underline to aid use of the checklist.

When a company is planning to use "ISO 14001:2015 Environmental Management Systems – Requirements" standard, the company should review the evidence checklist.  If the company’s present process does not address an ISO 14001:2015 standard item, then this question should be asked:  Is the evidence item required for the type of business of the company?  If in the view of the company the evidence is not required, the rationale should be documented and inserted in the checklist and Environmental manual.  This rationale should pass “the reasonable person rule.”  If the evidence is required, plans should be prepared to address the missing item(s).

There are artifacts specified in this checklist that are implied by the standard, though not specifically called out in the standard, and they are designated by an asterisk (*) throughout this checklist.

The Author has called out these individual items separately to ensure that the organization does not overlook any facet of physical evidence.  If the organization does not require a separate document, and an item can be a subset of another document or record, then this fact should be denoted in the detail section of the checklist for that item.  This should be done in the form of a statement reflecting that the information for this document may be found in section XX of Document XYZ.  If the organizational requirements do not call for this physical evidence for a particular project, this should also be denoted with a statement reflecting that this physical evidence is not required and why.  The reasons for the evidence not being required should be clearly presented in this statement.  Further details on this step are provided in the Detail Steps section of the introduction.  The size of these documents could vary from paragraphs to volumes.

In total, there are 246 artifacts included in the SEPT ISO 14001 checklist.

All reasonable questions concerning this checklist, or its use, will be addressed free of charge for 60 days from time of purchase, up to a maximum of 4 hours consultation time.

Software Engineering Process Technology (SEPT) makes no warranties implied or stated with respect to this checklist, and it is provided on an “as is” basis.  SEPT will have no liability for any indirect, incidental, special, or consequential damages or any loss of revenue or profits arising under, or with respect to the use of this document.