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14001:2016 / 45001:2018 Internal Audit
4.0 Context of the organization
4.1 Understanding the organization and its context
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The organization shall determine external and internal issues that are relevant to its purpose and<br>that affect its ability to achieve the intended outcomes of its environmental management system. Such<br>issues shall include environmental conditions being affected by or capable of affecting the organization.
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4.2 Understanding the need and expectation of workers and other interested parties
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14001<br>The organization shall determine:<br>a) the interested parties that are relevant to the environmental management system;<br>b) the relevant needs and expectations (i.e. requirements) of these interested parties;<br>c) which of these needs and expectations become its compliance obligations. <br>45001<br>The organization shall determine:<br>a) the other interested parties, in addition to workers, that are relevant to the OH&S<br>management system;<br>b) the relevant needs and expectations (i.e. requirements) of workers and other interested parties;<br>c) which of these needs and expectations are, or could become, legal requirements and other<br>requirements
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4.3 Determine the scope of the environmental management system
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14001<br>The organization shall determine the boundaries and applicability of the environmental management<br>system to establish its scope.<br>When determining this scope, the organization shall consider:<br>a) the external and internal issues referred to in 4.1;<br>b) the compliance obligations referred to in 4.2;<br>c) its organizational units, functions and physical boundaries;<br>d) its activities, products and services;<br>e) its authority and ability to exercise control and influence.<br><br>Once the scope is defined, all activities, products and services of the organization within that scope<br>need to be included in the environmental management system.<br>The scope shall be maintained as documented information and be available to interested parties.
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4.3 Determining the scope of the OH&S management system
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The organization shall determine the boundaries and applicability of the OH&S management system to<br>establish its scope. When determining this scope, the organization shall:<br>a) consider the external and internal issues referred to in 4.1;<br>b) take into account the requirements referred to in 4.2;<br>c) take into account the planned or performed work-related activities.<br><br>The OH&S management system shall include the activities, products and services within the<br>organization's control or influence that can impact the organization's OH&S performance.<br><br>The scope shall be available as documented information
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4.4 Environmental management system
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To achieve the intended outcomes, including enhancing its environmental performance, the organization<br>shall establish, implement, maintain and continually improve an environmental management system,<br>including the processes needed and their interactions, in accordance with the requirements of this<br>International Standard.<br><br>The organization shall consider the knowledge gained in 4.1 and 4.2 when establishing and maintaining<br>the environmental management system.
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4.4 OH&S management system
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The organization shall establish, implement, maintain and continually improve an OH&S management<br>system, including the processes needed and their interactions, in accordance with the requirements of<br>this document.
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5.0 Leadership 14001 / 45001 Leadership and worker participation
5.1 Leadership and commitment
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14001<br>Top management shall demonstrate leadership and commitment with respect to the environmental<br>management system by:<br>a) taking accountability for the effectiveness of the environmental management system;<br>b) ensuring that the environmental policy and environmental objectives are established and are<br>compatible with the strategic direction and the context of the organization;<br>c) ensuring the integration of the environmental management system requirements into the<br>organization's business processes;<br>d) ensuring that the resources needed for the environmental management system are available;<br>e) communicating the importance of effective environmental management and of conforming to the<br>environmental management system requirements;<br>f) ensuring that the environmental management system achieves its intended outcomes;<br>g) directing and supporting persons to contribute to the effectiveness of the environmental<br>management system;<br>h) promoting continual improvement;<br>i) supporting other relevant management roles to demonstrate their leadership as it applies to their<br>areas of responsibility.<br><br>Note Reference to "business" in this International Standard can be interpreted broadly to mean those<br>activities that are core to the purposes of the organization's existence.<br><br>45001<br>Top management shall demonstrate leadership and commitment with respect to the OH&S<br>management system by:<br>a) taking overall responsibility and accountability for the prevention of work-related injury and ill<br>health, as well as the provision of safe and healthy workplaces and activities;<br>b) ensuring that the OH&S policy and related OH&S objectives are established and are compatible<br>with the strategic direction of the organization;<br>c) ensuring the integration of the OH&S management system requirements into the organization's<br>business processes;
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5.2 Environmental Policy
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Top management shall establish, implement and maintain an environmental policy that, within the<br>defined scope of its environmental management system:<br><br>a) is appropriate to the purpose and context of the organization, including the nature, scale and<br>environmental impacts of its activities, products and services;<br>b) provides a framework for setting environmental objectives;<br>c) includes a commitment to the protection of the environment, including prevention of pollution and<br>other specific commitment(s) relevant to the context of the organization;<br>NOTE: Other specific commitment(s) to protect the environment can include sustainable resource use,<br>climate change mitigation and adaptation, and protection of biodiversity and ecosystems.<br>d) includes a commitment to fulfil its compliance obligations;<br>e) includes a commitment to continual improvement of the environmental management system to enhance environmental performance.<br>The environmental policy shall:<br>- be maintained as documented information;<br>- be communicated within the organization;<br>- be available to interested parties.
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5.2 OH&S Policy
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Top management shall establish, implement and maintain an OH&S policy that:<br>a) includes a commitment to provide safe and healthy working conditions for the prevention of work-<br>related injury and ill health and is appropriate to the purpose, size and context of the organization<br>and to the specific nature of its OH&S risks and OH&S opportunities;<br>b) provides a framework for setting the OH&S objectives;<br>c) includes a commitment to fulfil legal requirements and other requirements;<br>d) includes a commitment to eliminate hazards and reduce OH&S risks (see 8.1.2);<br>e) includes a commitment to continual improvement of the OH&S management system;<br>f) includes a commitment to consultation and participation of workers, and, where they exist,<br>workers' representatives.<br>The OH&S policy shall:<br>- be available as documented information;<br>- be communicated within the organization;<br>- be available to interested parties, as appropriate;<br>- be relevant and appropriate.
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5.3 Organizational roles, responsibilities and authorities
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14001<br>Top management shall ensure that the responsibilities and authorities for relevant roles are assigned<br>and communicated within the organization.<br>Top management shall assign the responsibility and authority for:<br>a) ensuring that the environmental management system conforms to the requirements of this<br>International Standard;<br>b) reporting on the performance of the environmental management system, including environmental<br>performance, to top management.<br><br>45001<br>Top management shall ensure that the responsibilities and authorities for relevant roles within<br>the OH&S management system are assigned and communicated at all levels within the organization and maintained as documented information. Workers at each level of the organization shall assume responsibility for those aspects of the OH&S management system over which they have control.<br><br>NOTE: While responsibility and authority can be assigned, ultimately top management is still accountable for<br>the functioning of the OH&S management system.<br><br>Top management shall assign the responsibility and authority for:<br>a) ensuring that the OH&S management system conforms to the requirements of this document;<br>b) reporting on the performance of the OH&S management system to top management.
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5.4 Consultation and participation of workers (45001:2018)
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The organization shall establish, Implement and maintain a process[es) for consultation and<br>participation of workers at all applicable levels and functions, and, where they exist, workers"<br>representatives, in the development, planning implementation, performance evaluation and actions for<br>Improvement of the OH&S management system.<br>The organization shall:<br>a) provide mechanisms, time, training and resources necessary for consultation and participation;<br>NOTE 1 Worker representation can be a mechanism for consultation and participation<br>b) provide timely access to clear, understandable and relevant information about the OH&S<br>management system;<br>c) determine and remove obstacles or barriers to participation and minimize those that cannot be removed;<br><br>NOTE 2 Obstacles and barriers can Include failure to respond to worker Inputs or suggestions, language or literacy barriers, reprisal or threats of reprisal and policies or practices that discourage or penalize worker participation<br><br>d) emphasize the consultation of non-managerial workers on the following:<br> 1) determining the needs and expectations of Interested parties (see 4.2):<br> 2) establishing the OH&S policy (see 5.2):<br> 3) assigning organizational roles, responsibilities and authorities, as applicable (see 5.3):<br> 4) determining how to fulfil legal requirements and other requirements (see 6.1.3);<br> 5) establishing OH&S objectives and planning to achieve them (see 6.2):<br> 6) determining applicable controls for outsourcing, procurement and contractors (see 8.1.4):<br> 7) determining what needs to be monitored, measured and evaluated (see 2.1):<br> 8) planning, establishing, implementing and maintaining an audit programme(s) (see 22.2):<br> 9) ensuring continual improvement (see 10.3):<br><br>emphasize the participation of non-managerial workers in the following:<br> 1) determining the mechanisms for their consultation and participation;<br> 2) identifying hazards and assessing risks and opportunities (see 6.1.1 and 6.1.2):<br> 3) determining actions to eliminate hazards and reduce OH&S risks (see 6.1.4):<br> 4) determining competence requirements, training needs, training and evaluating training (see 72):<br> 5) determining what needs to be communicated and how this will be done (see 2.4]:<br> 6) determining control measures and their effective implementation and use (see 8.1, 8.13 and 8.2)<br> 7) Investigating incidents and nonconformities and determining corrective actions (see 10.2).<br><br>NOTE 3 Emphasizing the consultation and participation of non-managerial workers is intended to apply to<br>persons carrying out the work activities, but la net intended to exclude, for example, managers who are impacted<br>by work activities or other factors in the organization.<br><br>NOTE 4 It is recognized that the provision of training at no cost to workers and the provision of training during<br>working hours, where possible, can remove significate barriers to worker participation.
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6.0 Planning
6.1 Actions to address risk and opportunities
6.1.1 General
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14001<br>The organization shall establish, implement and maintain the process(es) needed to meet the<br>requirements in 6.1.1 to 6.1.4.<br>When planning for the environmental management system, the organization shall consider:<br>a) the issues referred to in 4.1;<br>b) the requirements referred to in 4.2;<br>c) the scope of its environmental management system; and determine the risks 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:<br>- give assurance that the environmental management system can achieve its intended outcomes;<br>- prevent or reduce undesired effects, including the potential for external environmental conditions to affect the organization;<br>-achieve continual improvement.<br><br>Within the scope of the environmental management system, the organization shall determine potential<br>emergency situations, including those that can have an environmental impact.<br><br>The organization shall maintain documented information of its:<br>- risks and opportunities that need to be addressed;<br>- process(es) needed in 6.1.1 to 6.1.4, to the extent necessary to have confidence they are carried<br>out as planned.<br><br>45001<br>When planning for the OH&S management system, the organization shall consider the issues referred<br>to in 4.1 (context), the requirements referred to in 4.2 (interested parties) and 4.3 (the scope of its<br>OH&S management system) and determine the risks and opportunities that need to be addressed to:<br>a) give assurance that the OH&S management system can achieve its intended outcome(s);<br>b) prevent, or reduce, undesired effects;<br>c) achieve continual improvement.<br><br>When determining the risks and opportunities for the OH&S management system and its intended<br>outcomes that need to be addressed, the organization shall take into account:<br>- hazards (see 6.1.2.1);<br>- OH&S risks and other risks (see 6.1.2.2);<br>- OH&S opportunities and other opportunities (see 6.1.2.3);<br>- legal requirements and other requirements (see 6.1.3).<br><br>The organization, in its planning process(es), shall determine and assess the risks and opportunities<br>that are relevant to the intended outcomes of the OH&S management system associated with changes<br>in the organization, its processes or the OH&S management system. In the case of planned changes,<br>permanent or temporary, this assessment shall be undertaken before the change is implemented<br>(see 8.1.3).<br><br>The organization shall maintain documented information on:<br>- risks and opportunities;<br>- the process(es) and actions needed to determine and address its risks and opportunities (see 6.1.2<br>to 6.1.4) to the extent necessary to have confidence that they are carried out as planned.
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6.1.2 - 14001 - Environmental aspects
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Within the defined scope of the environmental management system, the organization shall determine<br>the environmental aspects of its activities, products and services that it can control and those that it<br>can influence, and their associated environmental impacts, considering a life cycle perspective.<br><br>When determining environmental aspects, the organization shall take into account:<br>a) change, including planned or new developments, and new or modified activities, products and<br>services;<br>b) abnormal conditions and reasonably foreseeable emergency situations.<br><br>The organization shall determine those aspects that have or can have a significant environmental<br>impact, i.e. significant environmental aspects, by using established criteria.<br>The organization shall communicate its significant environmental aspects among the various levels and functions of the organization, as appropriate.<br>The organization shall maintain documented information of its:<br>- environmental aspects and associated environmental impacts;<br>- criteria used to determine its significant environmental aspects;<br>- significant environmental aspects.<br><br>Note: Significant environmental aspects can result in risks and opportunities associated with either adverse environmental impacts (threats) or beneficial environmental impacts (opportunities).<br>
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6.1.2 - 45001 Hazard identification and assessment of risks and opportunities
6.1.2.1 Hazard Identification
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The organization shall establish, implement and maintain a process(es) for hazard identification that is<br>ongoing and proactive. The process(es) shall take into account, but not be limited to:<br>a) how work is organized, social factors (including workload, work hours, victimization, harassment<br>and bullying), leadership and the culture in the organization;<br><br>b) routine and non-routine activities and situations, including hazards arising from:<br> 1) infrastructure, equipment, materials, substances and the physical conditions of the workplace;<br> 2) product and service design, research, development, testing, production, assembly, construction,<br>service delivery, maintenance and disposal;<br> 3) human factors;<br> 4) how the work is performed;<br>c) past relevant incidents, internal or external to the organization, including emergencies, and<br>their cause;<br>d) potential emergency situations;<br>e) people, including consideration of:<br> 1) those with access to the workplace and their activities, including workers, contractors, visitors and other persons;<br> 2) those in the vicinity of the workplace who can be affected by the activities of the organization;<br> 3) workers at a location not under the direct control of the organization;<br>f) other issues, including consideration of:<br> 1) the design of work areas, processes, installations, machinery/equipment, operating procedures and work organization, including their adaptation to the needs and capabilities of the workers involved;<br> 2) situations occurring in the vicinity of the workplace caused by work-related activities under the control of the organization;<br> 3) situations not controlled by the organization and occurring in the vicinity of the workplace<br>that can cause injury and ill health to persons in the workplace;<br>g) actual or proposed changes in organization, operations, processes, activities and the OH&S management system (see 8.1.3);<br>h) changes in knowledge of, and information about, hazards.
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6.1.2.2 Assessment of OH&S risks and other risks to the OH&S management system
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The organization shall establish, implement and maintain a process(es) to:<br>a) assess OH&S risks from the identified hazards, while taking into account the effectiveness of existing controls;<br>b) determine and assess the other risks related to the establishment, implementation, operation and maintenance of the OH&S management system.<br><br>The organization's methodology(ies) and criteria for the assessment of OH&S risks shall be defined with respect to their scope, nature and timing to ensure they are proactive rather than reactive and are used in a systematic way. Documented information shall be maintained and retained on the methodology(ies) and criteria.
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6.1.2.3 Assessment of OH&S opportunities and other opportunities for the OH&S management system
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The organization shall establish, implement and maintain a process(es) to assess:<br>a) OH&S opportunities to enhance OH&S performance, while taking into account planned changes to the organization, its policies, its processes or its activities and:<br> 1) opportunities to adapt work, work organization and work environment to workers;<br> 2) opportunities to eliminate hazards and reduce OH&S risks;<br>b) other opportunities for improving the OH&S management system.<br><br>NOTE OH&S risks and OH&S opportunities can result in other risks and other opportunities for the organization.
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6.1.3 - 14001 - Compliance Obligations
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The organization shall:<br>a) determine and have access to the compliance obligations related to its environmental aspects;<br>b) determine how these compliance obligations apply to the organization;<br>c) take these compliance obligations into account when establishing, implementing, maintaining and continually improving its environmental management system.<br><br>The organization shall maintain documented information of its compliance obligations.<br><br>NOTE: Compliance obligations can result in risks and opportunities to the organization.<br>
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6.1.3 - 45001 -Determination of legal requirements and other requirements
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The organization shall establish, implement and maintain a process(es) to:<br>a) determine and have access to up-to-date legal requirements and other requirements that are applicable to its hazards, OH&S risks and OH&S management system;<br>b) determine how these legal requirements and other requirements apply to the organization and what needs to be communicated;<br>c) take these legal requirements and other requirements into account when establishing, implementing, maintaining and continually improving its OH&S management system.<br><br>The organization shall maintain and retain documented information on its legal requirements and other requirements and shall ensure that it is updated to reflect any changes.<br><br>NOTE Legal requirements and other requirements can result in risks and opportunities for the organization.
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6.1.4 Planning action
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14001<br>The organization shall plan:<br>a) to take actions to address its:<br> 1) significant environmental aspects;<br> 2) compliance obligations;<br> 3) risks and opportunities identified in 6.1.1;<br>b) how to:<br> 1) integrate and implement the actions into its environmental management system processes (see 6.2, Clause 7, Clause 8 and 9.1), or other business processes;<br> 2) evaluate the effectiveness of these actions (see 9.1).<br><br>When planning these actions, the organization shall consider its technological options and its financial,<br>operational and business requirements.<br><br>45001<br>The organization shall plan:<br>a) actions to:<br> 1) address these risks and opportunities (see 6.1.2.2 and 6.1.2.3);<br> 2) address legal requirements and other requirements (see 6.1.3);<br> 3) prepare for and respond to emergency situations (see 8.2);<br>b) how to:<br> 1) integrate and implement the actions into its OH&S management system processes or other business processes;<br> 2) evaluate the effectiveness of these actions.<br><br>The organization shall take into account the hierarchy of controls (see 8.1.2) and outputs from the OH&S management system when planning to take action.<br>
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6.2 Environmental objectives and planning to achieve them
6.2.1 Environmental objectives
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The organization shall establish environmental objectives at relevant functions and levels, taking into<br>account the organization's significant environmental aspects and associated compliance obligations, and considering its risks and opportunities.<br>The environmental objectives shall be:<br>a) consistent with the environmental policy;<br>b) measurable (if practicable);<br>c) monitored;<br>d) communicated;<br>e) updated as appropriate.
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6.2.2 Planning actions to achieve environmental objectives
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When planning how to achieve its environmental objectives, the organization shall determine:<br>a) what will be done;<br>b) what resources will be required;<br>c) who will be responsible;<br>d) when it will be completed;<br>e) how the results will be evaluated, including indicators for monitoring progress toward achievement of its measurable environmental objectives (see 9.1.1).<br><br>The organization shall consider how actions to achieve its environmental objectives can be integrated<br>into the organization's business processes.
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6.2 OH&S objectives and planning to achieve them
6.2.1 OH&S Objectives
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The organization shall establish OH&S objectives at relevant functions and levels in order to maintain<br>and continually improve the OH&S management system and OH&S performance (see 10.3).<br>The OH&S objectives shall:<br>a) be consistent with the OH&S policy;<br>b) be measurable (if practicable) or capable of performance evaluation;<br>c) take into account:<br> 1) applicable requirements;<br> 2) the results of the assessment of risks and opportunities (see 6.1.2.2 and 6.1.2.3);<br> 3) the results of consultation with workers (see 5.4) and, where they exist, workers' representatives;<br>d) be monitored;<br>e) be communicated;<br>f) be updated as appropriate.
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6.2.2 Planning to achieve OH&S objectives
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When planning how to achieve its OH&S objectives, the organization shall determine:<br>a) what will be done;<br>b) what resources will be required;<br>c) who will be responsible;<br>d) when it will be completed;<br>e) how the results will be evaluated, including indicators for monitoring;<br>f) how the actions to achieve OH&S objectives will be integrated into the organization's business processes.<br><br>The organization shall maintain and retain documented information on the OH&S objectives and plans<br>to achieve them.
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7.0 Support
7.1 Resources
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14001<br>The organization shall determine and provide the resources needed for the establishment,<br>implementation, maintenance and continual improvement of the environmental management system.<br>45001<br>The organization shall determine and provide the resources needed for the establishment,<br>implementation, maintenance and continual improvement of the OH&S management system.
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7.2 14001 Competence
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The organization shall:<br>a) determine the necessary competence of person(s) doing work under its control that affects its<br>environmental performance and its ability to fulfil its compliance obligations;<br>b) ensure that these persons are competent on the basis of appropriate education, training or experience;<br>c) determine training needs associated with its environmental aspects and its environmental<br>management system;<br>d) where applicable, take actions to acquire the necessary competence, and evaluate the effectiveness<br><br>NOTE The organization shall retain appropriate documented information as evidence of competence.<br>of the actions taken.<br><br>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.
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7.2 45001 Competence
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The organization shall:<br>a) determine the necessary competence of workers that affects or can affect its OH&S performance;<br>b) ensure that workers are competent (including the ability to identify hazards) on the basis of appropriate education, training or experience;<br>c) where applicable, take actions to acquire and maintain the necessary competence, and evaluate the effectiveness of the actions taken;<br>d)retain appropriate documented information as evidence of competence.<br><br>NOTE Applicable actions can include, for example, the provision of training to, the mentoring of, or the re-<br>assignment of currently employed persons, or the hiring or contracting of competent persons.
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7.3 14001 Awareness
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The organization shall ensure that persons doing work under the organization's control are aware of:<br>a) the environmental policy;<br>b) the significant environmental aspects and related actual or potential environmental impacts associated with their work;<br>c) their contribution to the effectiveness of the environmental management system, including the benefits of enhanced environmental performance;<br>d) the implications of not conforming with the environmental management system requirements,<br>including not fulfilling the organization's compliance obligations.
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7.3 45001 Awareness
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Workers shall be made aware of:<br>a) the OH&S policy and OH&S objectives;<br>b) their contribution to the effectiveness of the OH&S management system, including the benefits of improved OH&S performance;<br>c) the implications and potential consequences of not conforming to the OH&S management system<br>requirements;<br>d) incidents and the outcomes of investigations that are relevant to them;<br>e) hazards, OH&S risks and actions determined that are relevant to them;<br>f) the ability to remove themselves from work situations that they consider present an imminent and serious danger to their life or health, as well as the arrangements for protecting them from undue consequences for doing so.
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7.4 Communication
7.4.1 - 14001 General
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The organization shall establish, implement and maintain the process(es) needed for internal and<br>external communications relevant to the environmental management system, including:<br>a)on what it will communicate;<br>b) when to communicate;<br>c) with whom to communicate;<br>d) how to communicate.<br><br>When establishing its communication process(es), the organization shall:<br>- take into account its compliance obligations;<br>- ensure that environmental information communicated is consistent with information generated within the environmental management system, and is reliable.<br><br>The organization shall respond to relevant communications on its environmental management system.<br>The organization shall retain documented information as evidence of its communications, as appropriate.
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7.4.1 - 45001 General
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The organization shall establish, implement and maintain the process(es) needed for the internal external communications relevant to the OH&S management system, including determining:<br>a) on what it will communicate;<br>b) when to communicate;<br>c) with whom to communicate:<br> 1) internally among the various levels and functions of the organization;<br> 2) among contractors and visitors to the workplace;<br> 3) among other interested parties;<br>d) how to communicate.<br><br>The organization shall take into account diversity aspects (e.g. gender, language, culture, lite disability) when considering its communication needs.<br><br>The organization shall ensure that the views of external interested parties are considered in establishing its communication process(es).<br>When establishing its communication process(es), the organization shall:<br>- take into account its legal requirements and other requirements;<br>- ensure that OH&S information to be communicated is consistent with information generated within the OH&S management system, and is reliable.<br><br>The organization shall respond to relevant communications on its OH&S management system.<br><br>The organization shall retain documented information as evidence of its communications, as<br>appropriate.
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7.4.2 - 14001 Internal communication
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The organization shall:<br>a) internally communicate information relevant to the environmental management system among<br>the various levels and functions of the organization, including changes to the environmental<br>management system, as appropriate;<br>b) ensure its communication process(es) enable(s) persons doing work under the organization's<br>control to contribute to continual improvement.
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7.4.2 - 45001 Internal communication
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The organization shall:<br>a) internally communicate information relevant to the OH&S management system among the various<br>levels and functions of the organization, including changes to the OH&S management system, as<br>appropriate;<br>b) ensure its communication process(es) enables workers to contribute to continual improvement.
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7.4.3 - 14001 External communication
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The organization shall externally communicate information relevant to the environmental management<br>system, as established by the organization's communication process(es) and as required by its<br>compliance obligations.
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7.4.3 - 45001 External communication
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The organization shall externally communicate information relevant to the OH&S management system,<br>as established by the organization's communication process(es) and taking into account its legal<br>requirements and other requirements.
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7.5 Documented information
7.5.1 14001 General
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The organization's environmental management system shall include:<br><br>a) documented information required by this International Standard;<br>b) documented information determined by the organization as being necessary for the effectiveness<br>of the environmental management system.<br><br>NOTE<br>The extent of documented information for an environmental management system can differ from one organization to another due to<br>- the size of organization and its type of activities, processes, products and services;<br>- the need to demonstrate fulfilment of its compliance obligations;<br>- the complexity of processes and their interactions;<br>- the competence of persons doing work under the organization's control.
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7.5.1 45001 General
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The organization's OH&S management system shall include:<br>a) documented information required by this document;<br>b) documented information determined by the organization as being necessary for the effectiveness<br>of the OH&S management system.<br><br>NOTE The extent of documented information for an OH&S management system can differ from one organization<br>to another due to:<br>- the size of organization and its type of activities, processes, products and services;<br>- the need to demonstrate fulfilment of legal requirements and other requirements;<br>- the complexity of processes and their interactions;<br>- the competence of workers.
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7.5.2 - 14001 / 45001 Creating and updating
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When creating and updating documented information, the organization shall ensure appropriate:<br>a) identification and description (e.g. a title, date, author, or reference number);<br>b) format (e.g. language, software version, graphics) and media (e.g. paper, electronic);<br>c) review and approval for suitability and adequacy.
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7.5.3 - 14001 / 45001 Control of documented information
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14001<br>Documented information required by the environmental management system and by this International<br>Standard shall be controlled to ensure:<br>a) it is available and suitable for use, where and when it is needed;<br>b) it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity).<br><br>For the control of documented information, the organization shall address the following activities<br>as applicable:<br>- distribution, access, retrieval and use;<br>- storage and preservation, including preservation of legibility;<br>- control of changes (e.g. version control);<br>- retention and disposition.<br><br>Documented information of external origin determined by the organization to be necessary for the<br>planning and operation of the environmental management system shall be identified, as appropriate,<br>and controlled.<br><br>NOTE 1 Access can imply a decision regarding the permission to view the documented information only, or<br>the permission and authority to view and change the documented information.<br><br>45001 <br>NOTE 2 Access to relevant documented information includes access by workers, and, where they exist, workers'<br>representatives.
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8.0 Operation
8.1 - 14001 Operational planning and control
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The organization shall establish, implement, control and maintain the processes needed to meet<br>environmental management system requirements, and to implement the actions identified in 6.1 and<br>6.2, by:<br><br>- establishing operating criteria for the process(es);<br>- implementing control of the process(es), in accordance with the operating criteria.<br><br>NOTE Controls can include engineering controls and procedures. Controls can be implemented following a<br>hierarchy (e.g. elimination, substitution, administrative) and can be used individually or in combination.<br><br>The organization shall control planned changes and review the consequences of unintended changes,<br>taking action to mitigate any adverse effects, as necessary.<br>The organization shall ensure that outsourced processes are controlled or influenced. The type and<br>extent of control or influence to be applied to the process(es) shall be defined within the environmental<br>management system.<br><br>Consistent with a life cycle perspective, the organization shall:<br>a) establish controls, as appropriate, to ensure that its environmental requirement(s) is (are) addressed<br>in the design and development process for the product or service, considering each life cycle stage;<br>determine its environmental requirement(s) for the procurement of products and services, as<br>appropriate;<br>b) communicate its relevant environmental requirement(s) to external providers, including contractors;<br>consider the need to provide information about potential significant environmental impacts<br>associated with the transportation or delivery, use, end-of-life treatment and final disposal of its<br>products and services.<br>c) communicate its relevant environmental requirement(s) to external providers, including contractors;<br>d) consider the need to provide information about potential significant environmental impacts<br>associated with the transportation or delivery, use, end-of-life treatment and final disposal of its<br>products and services.<br><br>The organization shall maintain documented information to the extent necessary to have confidence<br>that the processes have been carried out as planned.
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8.1 - 45001 Operation planning and control
8.1.1 - 45001 - General
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The organization shall plan, implement, control and maintain the processes needed to meet requirements of the OH&S management system, and to implement the actions determined in Clause 6, by:<br>a) establishing criteria for the processes;<br>b) implementing control of the processes in accordance with the criteria;<br>c) maintaining and retaining documented information to the extent necessary to have confidence that the processes have been carried out as planned;<br>d) adapting work to workers.<br><br>At multi-employer workplaces, the organization shall coordinate the relevant parts of the OH&S<br>management system with the other organizations.
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8.1.2 - 45001 - Eliminating hazards and reducing OHS risks
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The organization shall establish, implement and maintain a process(es) for the elimination of hazards and reduction of OH&S risks using the following hierarchy of controls:<br>a) eliminate the hazard;<br>b) substitute with less hazardous processes, operations, materials or equipment;<br>c) use engineering controls and reorganization of work;<br>d)use administrative controls, including training;<br>e) use adequate personal protective equipment.<br><br>NOTE In many countries, legal requirements and other requirements include the requirement that personal<br>protective equipment (PPE) is provided at no cost to workers.
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8.1.3 - 45001 - Management of change
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The organization shall establish a process(es) for the implementation and control of planned temporary<br>and permanent changes that impact OH&S performance, including:<br>a) new products, services and processes, or changes to existing products, services and<br>processes, including:<br>- workplace locations and surroundings;<br>- work organization;<br>- working conditions;<br>- equipment;<br>- work force;<br>b) changes to legal requirements and other requirements;<br>c) changes in knowledge or information about hazards and OH&S risks;<br>d) developments in knowledge and technology.<br><br>The organization shall review the consequences of unintended changes, taking action to mitigate any<br>adverse effects, as necessary.<br><br>NOTE Changes can result in risks and opportunities.
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8.1.4 - 45001 - Procurement
8.1.4.1 45001 General
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The organization shall establish, implement and maintain a process(es) to control the procurement of products and services in order to ensure their conformity to its OH&S management system.
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8.1.4.2 45001 Contractors
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The organization shall coordinate its procurement process(es) with its contractors, in order to identify<br>hazards and to assess and control the OH&S risks arising from:<br>a) the contractors' activities and operations that impact the organization;<br>b) the organization's activities and operations that impact the contractors' workers;<br>c) the contractors' activities and operations that impact other interested parties in the workplace.<br><br>The organization shall ensure that the requirements of its OH&S management system are met by<br>contractors and their workers. The organization's procurement process(es) shall define and apply<br>occupational health and safety criteria for the selection of contractors.<br><br>NOTE It can be helpful to include the occupational health and safety criteria for the selection of contractors in<br>the contractual documents.
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8.1.4.3 45001 Outsourcing
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The organization shall ensure that outsourced functions and processes are controlled. The organization<br>shall ensure that its outsourcing arrangements are consistent with legal requirements and other requirements and with achieving the intended outcomes of the OH&S management system. The type and degree of control to be applied to these functions and processes shall be defined within the OH&S<br>management system.<br><br>NOTE Coordination with external providers can assist an organization to address any impact that outsourcing<br>has on its OH&S performance.
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8.2 - 14001 - 45001 - Emergency preparedness and response
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The organization shall establish, implement and maintain a process(es) needed to prepare for and<br>respond to potential emergency situations, as identified in 6.1.2.1, including:<br>a) establishing a planned response to emergency situations, including the provision of first aid;<br>b) providing training for the planned response;<br>c) periodically testing and exercising the planned response capability;<br>d) evaluating performance and, as necessary, revising the planned response, including after testing and, in particular, after the occurrence of emergency situations;<br>e) communicating and providing relevant information to all workers on their duties and responsibilities;<br>f) communicating relevant information to contractors, visitors, emergency response services, government authorities and, as appropriate, the local community;<br>g) taking into account the needs and capabilities of all relevant interested parties and ensuring their involvement, as appropriate, in the development of the planned response.<br>The organization shall maintain and retain documented information on the process(es) and on the plans for responding to potential emergency situations.
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9.0 Performance evaluation
9.1 Monitoring, measure, analysis and performance evaluation
9.1.1 - 14001 General
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14001 The organization shall monitor, measure, analyze 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. 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 environmental management system. 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.
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9.1.1 - 45001 General
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The organization shall establish, implement and maintain a process(es) for monitoring, measurement,<br>analysis and performance evaluation.<br>The organization shall determine:<br>a) what needs to be monitored and measured, including:<br> 1) the extent to which legal requirements and other requirements are fulfilled;<br> 2) its activities and operations related to identified hazards, risks and opportunities;<br> 3) progress towards achievement of the organization's OH&S objectives;<br> 4) effectiveness of operational and other controls;<br>b) the methods for monitoring, measurement, analysis and performance evaluation, as applicable, to<br>ensure valid results;<br>c) the criteria against which the organization will evaluate its OH&S performance;<br>d) when the monitoring and measuring shall be performed;<br>e) when the results from monitoring and measurement shall be analyzed, evaluated and communicated.<br><br>The organization shall evaluate the OH&S performance and determine the effectiveness of the OH&S<br>management system.<br><br>The organization shall ensure that monitoring and measuring equipment is calibrated or verified as<br>applicable, and is used and maintained as appropriate.<br><br>NOTE There can be legal requirements or other requirements (e.g. national or international standards)<br>concerning the calibration or verification of monitoring and measuring equipment.<br><br>The organization shall retain appropriate documented information:<br>- as evidence of the results of monitoring, measurement, analysis and performance evaluation;<br>- on the maintenance, calibration or verification of measuring equipment.
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9.1.2 - 14001 Evaluation of compliance
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The organization shall establish, implement and maintain the process(es) needed to evaluate fulfilment of its compliance obligations. The organization shall: a) determine the frequency that compliance will be evaluated; b) evaluate compliance and take action if needed; c) maintain knowledge and understanding of its compliance status. The organization shall retain documented information as evidence of the compliance evaluation result(s).
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9.1.2 - 45001 Evaluation of compliance
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The organization shall establish, implement and maintain a process(es) for evaluating compliance with<br>legal requirements and other requirements (see 6.1.3).<br><br>The organization shall:<br>a) determine the frequency and method(s) for the evaluation of compliance;<br>b) evaluate compliance and take action if needed (see 10.2);<br>c) maintain knowledge and understanding of its compliance status with legal requirements and other<br>requirements;<br>d) retain documented information of the compliance evaluation result(s).
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9.2 Internal audit
9.2.1 - 14001 General
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The organization shall conduct internal audits at planned intervals to provide information on whether<br>the environmental management system:<br>a) conforms to:<br> 1) the organization's own requirements for its environmental management system;<br> 2) the requirements of this International Standard;<br>b) is effectively implemented and maintained.
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The organization shall conduct internal audits at planned intervals to provide information on whether<br>the OH&S management system:<br>a) conforms to:<br> 1) the organization's own requirements for its OH&S management system, including the OH&S<br> policy and OH&S objectives;<br> 2) the requirements of this document;<br>b) is effectively implemented and maintained.
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9.2.1 - 45001 General
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The organization shall conduct internal audits at planned intervals to provide information on whether<br>the environmental management system:<br>a) conforms to:<br> 1) the organization's own requirements for its environmental management system;<br> 2) the requirements of this International Standard;<br>b) is effectively implemented and maintained.
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9.2.2 - 14001 Internal audit programme
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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 programme, the organization shall take into consideration the environmental importance of the processes concerned, changes affecting the organization and the results of previous audits. The organization shall: 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 organization shall retain documented information as evidence of the implementation of the audit programme and the audit results.
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9.2.2 - 45001 Internal audit programme
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The organization shall:<br>a) plan, establish, implement and maintain an audit programme(s) including the frequency, methods, responsibilities, consultation, planning requirements and reporting, which shall take into consideration the importance of the processes concerned and the results of previous audits;<br>b) define the audit criteria and scope for each audit;<br>c) select auditors and conduct audits to ensure objectivity and the impartiality of the audit process;<br>d) ensure that the results of the audits are reported to relevant managers; ensure that relevant audit results are reported to workers, and, where they exist, workers' representatives, and other relevant interested parties;<br>e) take action to address nonconformities and continually improve its OH&S performance (see Clause 10);<br>f) retain documented information as evidence of the implementation of the audit programme and the audit results.<br><br>NOTE For more information on auditing and the competence of auditors, see ISO 19011.
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9.3 - 14001 Management review
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Top management shall review the organization's environmental management system, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness.<br>The management review shall include consideration of:<br>a) the status of actions from previous management reviews;<br>b) changes in:<br> 1) external and internal issues that are relevant to the environmental management system;<br> 2) the needs and expectations of interested parties, including compliance obligations;<br> 3) its significant environmental aspects;<br> 4) risks and opportunities;<br>c) the extent to which environmental objectives have been achieved;<br>d) information on the organization's environmental performance, including trends in:<br> 1) nonconformities and corrective actions;<br> 2) monitoring and measurement results;<br> 3) fulfilment of its compliance obligations;<br> 4) audit results;<br>e) adequacy of resources;<br>f) relevant communication(s) from interested parties, including complaints;<br>g) opportunities for continual improvement.<br><br>The outputs of the management review shall include:<br>- conclusions on the continuing suitability, adequacy and effectiveness of the environmental management system;<br>- decisions related to continual improvement opportunities;<br>- decisions related to any need for changes to the environmental management system, including<br>resources;<br>- actions, if needed, when environmental objectives have not been achieved;<br>- opportunities to improve integration of the environmental management system with other business<br>processes, if needed;<br>- any implications for the strategic direction of the organization.
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9.3 - 45001 Management review
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Top management shall review the organization's OH&S management system, at planned intervals, to<br>ensure its continuing suitability, adequacy and effectiveness.<br>The management review shall include consideration of:<br><br>a) the status of actions from previous management reviews;<br>b) changes in external and internal issues that are relevant to the OH&S management system, including:<br> 1) the needs and expectations of interested parties;<br> 2) legal requirements and other requirements;<br> 3) risks and opportunities;<br>c) the extent to which the OH&S policy and the OH&S objectives have been met;<br>d) information on the OH&S performance, including trends in:<br> 1) incidents, nonconformities, corrective actions and continual improvement;<br> 2) monitoring and measurement results;<br> 3) results of evaluation of compliance with legal requirements and other requirements;<br> 4) audit results;<br> 5) consultation and participation of workers;<br> 6) risks and opportunities;<br>e) adequacy of resources for maintaining an effective OH&S management system;<br>f) relevant communication(s) with interested parties;<br>g) opportunities for continual improvement.<br><br>The outputs of the management review shall include decisions related to:<br>- the continuing suitability, adequacy and effectiveness of the OH&S management system in achieving its intended outcomes;<br>- continual improvement opportunities;<br>- any need for changes to the OH&S management system;
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10.0 Improvement
10.1 General
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14001<br>The organization shall determine opportunities for improvement (see 9.1, 9.2 and 9.3) and implement<br>necessary actions to achieve the intended outcomes of its environmental management system.<br><br>45001<br>The organization shall determine opportunities for improvement (see Clause 9) and implement<br>necessary actions to achieve the intended outcomes of its OH&S management system.
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10.2 - 14001 Nonconformity and corrective action
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When a nonconformity occurs, the organization shall:<br>a) react to the nonconformity and, as applicable:<br> 1) take action to control and correct it;<br> 2) deal with the consequences, including mitigating adverse environmental impacts;<br>b) evaluate the need for action to eliminate the causes of the nonconformity, in order that it does not<br>recur or occur elsewhere, by:<br> 1) reviewing the nonconformity;<br> 2) determining the causes of the nonconformity;<br> 3) determining if similar nonconformities exist, or could potentially occur;<br>c) implement any action needed;<br>d) review the effectiveness of any corrective action taken;<br>e) make changes to the environmental management system, if necessary.<br><br>Corrective actions shall be appropriate to the significance of the effects of the nonconformities<br>encountered, including the environmental impact(s).<br><br>The organization shall retain documented information as evidence of:<br>- the nature of the nonconformities and any subsequent actions taken;<br>- the results of any corrective action.<br>
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10.2 - 45001 Incident, Nonconformity and corrective action
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The organization shall establish, implement and maintain a process(es), including reporting,<br>investigating and taking action, to determine and manage incidents and nonconformities.<br>When an incident or a nonconformity occurs, the organization shall:<br>a) react in a timely manner to the incident or nonconformity and, as applicable:<br> 1) take action to control and correct it;<br> 2) deal with the consequences;<br>b) evaluate, with the participation of workers (see 5.4) and the involvement of other relevant interested parties, the need for corrective action to eliminate the root cause(s) of the incident or nonconformity, in order that it does not recur or occur elsewhere, by:<br> 1) investigating the incident or reviewing the nonconformity;<br> 2) determining the cause(s) of the incident or nonconformity;<br> 3) determining if similar incidents have occurred, if nonconformities exist, or if they could potentially occur;<br>c) review existing assessments of OH&S risks and other risks, as appropriate (see 6.1);<br>d) determine and implement any action needed, including corrective action, in accordance with the<br>hierarchy of controls (see 8.1.2) and the management of change (see 8.1.3);<br>assess OH&S risks that relate to new or changed hazards, prior to taking action;<br>review the effectiveness of any action taken, including corrective action;<br>g) make changes to the OH&S management system, if necessary.<br>Corrective actions shall be appropriate to the effects or potential effects of the incidents or nonconformities encountered.<br><br>The organization shall retain documented information as evidence of:<br>- the nature of the incidents or nonconformities and any subsequent actions taken;<br>- the results of any action and corrective action, including their effectiveness.<br><br>The organization shall communicate this documented information to relevant workers, and, where they exist, workers' representatives, and other relevant interested parties.<br><br>NOTE The reporting and investigation of incidents without undue delay can enable hazards to be eliminated and associated OH&S risks to be minimized as soon as possible.<br>
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10.3 - 14001 Continual improvement
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The organization shall continually improve the suitability, adequacy and effectiveness of the<br>environmental management system to enhance environmental performance.
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10.3 - 45001 Continual improvement
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The organization shall continually improve the suitability, adequacy and effectiveness of the OH&S<br>management system, by:<br>a) enhancing OH&S performance;<br>b) promoting a culture that supports an OH&S management system;<br>c) promoting the participation of workers in implementing actions for the continual improvement of<br>the OH&S management system;<br>d) communicating the relevant results of continual improvement to workers, and, where they exist,<br>workers' representatives;<br>e) maintaining and retaining documented information as evidence of continual improvement.
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Complies with the requirements of 14001 ?
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Complies with the requirements of 45001 ?
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