Information
ISO 14001:2015 Internal Audit
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Document No.
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Audit Title
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Prepared by
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Personnel
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Conducted on
4 Context of the organization
4.1 Understanding the Organisation and its Context
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Have you determined external and internal issues that are relevant to your purpose and that affect your ability to achieve the intended outcomes of your environmental management system?
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How do you monitor and review information about these external and internal issues and do they include environmental conditions being affected by or capable of effecting the organisation?
4.2 Understanding the Needs and Expectations of Interested Parties
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Have you determined who are the interested parties that are relevant to the environmental management system?
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Have you determined what the requirements of these interested parties that are relevant to the environmental management system?
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Have you determined what these needs and expectations become your compliance obligations?
4.3 Determining the Scope of the Environmental Management System
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Have you determined the boundaries and applicability of the environmental management system to establish your scope?
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When determining the scope of the environmental management system how did you consider the external and internal issues referred to in 4.1?
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When determining the scope of the environmental management system how did you consider the compliance obligations in 4.2?
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When determining the scope of the environmental management system how did you consider the organizational units, functions and physical boundaries?
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When determining the scope of the environmental management system how did you consider the activities, products and services of the organization?
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When determining the scope of the environmental management system how did you consider Its authority and ability to exercise control and influence?
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Have all activities, product and services been included in the scope been included in the EMS?
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Has the scope been maintained as documented information and is it available to interested parties?
4.4 Environmental Management System
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Have you implemented and have the system in place to maintain and continually improve your environmental management system, including the processes needed and their interactions, in accordance with the requirements of ISO 14001?
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Have you considered the knowledge gained in 4.1 and 4.2 when establishing and maintaining your environmental management system?
5 Leadership
5.1 Leadership and Commitment
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How does top Management demonstrate leadership and commitment with respect to the Environmental Management System by taking accountability for the effectiveness of the environmental management system?
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How does top Management demonstrate leadership and commitment with respect to the Environmental Management System by ensuring that the environmental policy and environmental objectives are established for the environmental management system and are compatible with the context and strategic direction of the organization?
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How does top Management demonstrate leadership and commitment with respect to the Environmental Management System by ensuring the integration of the environmental management system requirements into the organization’s business processes?
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How does top Management demonstrate leadership and commitment with respect to the Environmental Management System by ensuring that the resources needed for the environmental management system are available?
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How does top Management demonstrate leadership and commitment with respect to the Environmental Management System by communicating the importance of effective environmental management and of conforming to the environmental management system requirements?
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How does top Management demonstrate leadership and commitment with respect to the Environmental Management System by ensuring that the environmental management system achieves its intended results?
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How does top Management demonstrate leadership and commitment with respect to the Environmental Management System by directing and supporting persons to contribute to the effectiveness of the environmental management system?
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How does top Management demonstrate leadership and commitment with respect to the Environmental Management System by promoting improvement?
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How does top Management demonstrate leadership and commitment with respect to the Environmental Management System by supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility?
5.2 Environmental Policy
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Have top Management established, implemented and maintained an Environmental Policy that is appropriate to the purpose and context of the organization, including the nature, scale and environmental impacts of its activities, products and services?
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Have top Management established, implemented and maintained an Environmental Policy that provides a framework for setting environmental objectives?
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Have top Management established, implemented and maintained an Environmental Policy that includes a commitment to the protection of the environment, including prevention of pollution and other specific commitments relevant to the context of the organisation?
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Have top Management established, implemented and maintained an Environmental Policy that Includes commitment to fulfill its compliance obligations?
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Have top Management established, implemented and maintained an Environmental Policy that includes a commitment to continual improvement of the environmental management system to enhance environmental performance?
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Is the environmental policy maintained as documented information, communicated within the organisation and available to interested parties?
5.3 Organisational Roles, Responsibilities and Authorities
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Does top management ensure that the responsibilities and authorities for relevant roles are assigned, communicated and understood within the organization?
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Has top management assigned the responsibility and authority for ensuring that the environmental management system conforms to the requirements of ISO 14001?
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Has top management assigned the responsibility and authority for reporting on the performance of the environmental management system including environmental performance to top management?
6 Planning
6.1 Actions to address risks and opportunities
6.1.1 General
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When planning for the environmental management system, have you considered the issues referred to in 4.1, the requirements referred to in 4.2, the scope of the environmental management and determined the risks and opportunities that need to be addressed to give assurance that the environmental management system can achieve its intended outcomes?
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When planning for the environmental management system, have you considered the issues referred to in 4.1, the requirements referred to in 4.2, the scope of the environmental management and determined the risks and opportunities that need to be addressed to prevent or reduce undesired effects, including the potential for external environmental conditions to effect the organisation?
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When planning for the environmental management system, have you considered the issues referred to in 4.1, the requirements referred to in 4.2, the scope of the environmental management and determined the risks and opportunities that need to be addressed to achieve continual improvement?
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Where has the organisation determined potential emergency situations that have an environmental impact and are they included in the scope of the environmental management system?
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Has the organisation documented and maintained information regarding its risks and opportunities that need to be addressed and established the processes needed to address them?
6.1.2 Environmental Aspects
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Has the organisation determined the environmental aspects of its activities, products, and services that it can control and influence and their associated impacts considering the life cycle perspective?
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Do they take into accountant change including planned or new developments and new or modified activities, products and services?
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Do they take into accountant abnormal conditions and reasonably foreseeable emergency situations?
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What criteria has the organisation used to determine those aspects that can have a significant environmental impact and how are these communicated at the various levels within the organisation?
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Are aspects and impacts maintained as documented information including the criteria used to determine significance?
6.1.3 Compliance Obligations
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Has the organisation determined its compliance obligations and have access to the compliance obligations related to its environmental aspects?
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Determined how these compliance obligations apply to the organisation?
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Has the organisation taken into account these compliance obligations when establishing, implementing, maintaining and continually improving its environmental management system?
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Are compliance obligations maintained as documented information?
6.1.4 Planning Action
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Does the organisation take action to address significant environmental aspects and compliance obligations and the risks and opportunities identified in 6.1.1?
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Does the organisation how to integrate and implement the actions into its environmental management system processes or other business processes?
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Have technological options, and financial, operational, and business requirements been taken into account?
6.2 Environmental Objectives and Planning to Achieve Them
6.2.1 Environmental Objectives
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Has your organization established environmental objectives at relevant functions, levels that are needed for the quality management system?
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Are the environmental objectives consistent with the environmental policy?
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Are the environmental objectives measurable (if practicable)?
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Are the environmental objectives monitored?
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Are the environmental objectives communicated?
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Are the environmental objectives updated as appropriate?
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Do you maintain documented information on the environmental objectives?
6.2.2 Planning Actions to Achieve Environmental Objectives
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When planning how to achieve your environmental objectives, has your organization determined what will be done?
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When planning how to achieve your environmental objectives, has your organization determined what resources will be required?
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When planning how to achieve your environmental objectives, has your organization determined who will be responsible?
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When planning how to achieve your environmental objectives, has your organization determined when it will be completed?
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When planning how to achieve your environmental objectives, has your organization determined how the results will be evaluated, including indicators monitoring progress towards achievement of its measurable environmental objectives?
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Have you considered how actions to achieve your environmental objectives can be integrated into your business processes?
7 Support
7.1 Resources
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Has your organization determined and provided the resources needed for the establishment, implementation, maintenance and continual improvement of the environmental management system?
7.2 Competence
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Has your organization determined the necessary competence of person(s) doing work under your control that affects the performance and effectiveness of the environmental management system and its ability to fulfill its compliance obligations?
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Has your organization ensured that these persons are competent on the basis of appropriate education, training, or experience?
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Has your organization determine training needs associated with its environmental aspects and its environmental management system?
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Has your organization where applicable, take actions to acquire the necessary competence, and evaluate the effectiveness of the actions taken?
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Has your organization what documented information is maintained of evidence of competence?
7.3 Awareness
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How does the organization ensure that persons doing work under their control are aware of the environmental policy?
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How does the organization ensure that persons doing work under their control are aware of the significant environmental aspects and related actual or potential impacts associated with their work?
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How does the organization ensure that persons doing work under their control are aware of their contribution to the effectiveness of the environmental management system, including the benefits of enhanced environmental performance?
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How does the organization ensure that persons doing work under their control are aware of the implications of not conforming to the environmental management system requirements including not fulfilling the organisations compliance obligations ?
7.4 Communication
7.4.1
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How have you determined the internal and external communications relevant to the environmental management system, including on what it will communicate?
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How have you determined the internal and external communications relevant to the environmental management system, including when to communicate?
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How have you determined the internal and external communications relevant to the environmental management system, including with whom to communicate?
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How have you determined the internal and external communications relevant to the environmental management system, including how to communicate?
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When establishing its communication processes has the organisation taken account its compliance obligations?
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When establishing its communication processes has the organisation taken account the information communicated is consistent and reliable?
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When establishing its communication processes has the organisation taken account what evidence of communication is maintained as documented information?
7.4.2
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What information is communicated internally and what levels in the organisation is it communicated to?
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Does the communication enable workers to contribute to continual improvement?
7.4.3
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What information is communicated externally regarding the organisations compliance obligations?
7.5 Documented Information
7.5.1
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Does your organization’s environmental management system include documented information required by ISO 14001?
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Does your organization’s environmental management system include documented information determined by the organization as being necessary for the effectiveness of the quality management system?
7.5.2
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When creating and updating documented information, how does your organization ensure appropriate identification and description (e.g. a title, date, author, or reference number)?
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When creating and updating documented information, how does your organization ensure appropriate format (e.g. language, software version, graphics) and media (e.g. paper, electronic)?
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When creating and updating documented information, how does your organization ensure appropriate review and approval for suitability and adequacy?
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How do you ensure documented information required by your environmental management system and by ISO14001 is controlled to ensure it is available and suitable for use, where and when it is needed?
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How do you ensure documented information required by your environmental management system and by ISO14001 is controlled to ensure it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity)?
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For the control of documented information, how does your organization address the following activities, as applicable distribution, access, retrieval and use?
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For the control of documented information, how does your organization address the following activities, as applicable storage and preservation, including preservation of legibility?
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For the control of documented information, how does your organization address the following activities, as applicable control of changes (e.g. version control)?
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For the control of documented information, how does your organization address the following activities, as applicable retention and disposition?
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How do you ensure documented information of external origin is identified and controlled?
8 Operation
8.1 Operational Planning and Control
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Does your organization establish, implement, control and maintain the processes needed to meet the requirements of the environmental management system and to implement the actions determined in Clause 6.1 and 6.2, by establishing operating criteria for the processes?
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Does your organization establish, implement, control and maintain the processes needed to meet the requirements of the environmental management system and to implement the actions determined in Clause 6.1 and 6.2, by establishing operating criteria for implementing control of the processes in accordance with the operating criteria?
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How does your organization control planned changes and review the consequences of unintended changes, including taking action to mitigate any adverse effects, as necessary?
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How does your organization ensure that outsourced processes are controlled?
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Has the extent of the control on outsourced processes been defined in the environmental management system?
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Has the organisation addressed, from a life cycle perspective, appropriate controls regarding environmental requirements within its design process or service?
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Has the organisation addressed environmental requirements for the procurement of products and services?
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Has the organisation addressed communicated its relevant environmental requirements to external providers, including contractors?
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Has the organisation addressed provision of information regarding potential significant environmental impacts associated with transport, delivery use, and end of life treatment and final disposal of its products or services?
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What documented information is maintained that processes have been carried out as planned?
8.2 Emergency Preparedness and Response
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The organisation is required to establish and, implement and maintain processes needed to prepare for and respond to potential emergency situations identified in 6.1.1 and to respond to by planning actions to prevent or mitigate adverse environmental impacts from emergency situations?
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The organisation is required to establish and, implement and maintain processes needed to prepare for and respond to potential emergency situations identified in 6.1.1 and respond to actual emergency situations
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The organisation is required to establish and, implement and maintain processes needed to prepare for and respond to potential emergency situations identified in 6.1.1 and to take action to prevent or mitigate the consequences of emergency situations appropriate to the magnitude of the emergency and the potential environmental impact
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The organisation is required to establish and, implement and maintain processes needed to prepare for and respond to potential emergency situations identified in 6.1.1 and periodically test the planned response where practicable
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The organisation is required to establish and, implement and maintain processes needed to prepare for and respond to potential emergency situations identified in 6.1.1 and periodically review and revise the processes and planned response actions after occurrence or test.
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The organisation is required to establish and, implement and maintain processes needed to prepare for and respond to potential emergency situations identified in 6.1.1 and b) Provide relevant information and training related to emergency preparedness and response to relevant interested parties and workers under your control what documented information is maintained as evidence the processes have been carried out as planned?<br>
9 Performance evaluation
9.1 Monitoring, Measurement, Analysis and Evaluation
9.1.1 General
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How does your organization determine what needs to be monitored and measured?
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How does your organization determine the methods for monitoring, measurement, analysis and evaluation needed to ensure valid results?
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How does your organization determine the criteria against which the organisation will evaluate its environmental performance and appropriate indicators?
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How does your organization determine when the monitoring and measurement shall be performed?
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How does your organization determine when the results from monitoring and measurement shall be analysed and evaluated?
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How does your organization ensure that its measuring and monitoring equipment is appropriately calibrated/verified?
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How does your organization evaluate the performance and the effectiveness of the environmental management system?
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In what form does your organization retain appropriate documented information as evidence of the results and how is this communicated internally and externally?
9.1.2 Evaluation of Compliance
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How does your organization evaluate fulfillment of its compliance obligations?
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Have you determine the frequency that compliance will be evaluated?
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Have you evaluated compliance and take action if needed?
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Have you maintained knowledge and understanding of its compliance status?
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Retain documented information as evidence of the compliance evaluation results?
9.2 Internal Audit
9.2.1 General
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Does your organization conduct internal audits at planned intervals to provide information on whether the environmental management system conforms to the organization’s own requirements for its environmental management system?
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Does your organization conduct internal audits at planned intervals to provide information on whether the environmental management system conforms to the requirements of this International Standard?
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Does your organization conduct internal audits at planned intervals to provide information on whether the environmental management system is effectively implemented and maintained?
9.2.2 Internal Audit Program
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Does your organisation plan, establish, implement and maintain an audit program(s) including the frequency, methods, responsibilities, planning requirements and reporting, which shall take into consideration the environmental importance of the processes concerned, changes affecting the organization, and the results of previous audits?
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Does your organisation define the audit criteria and scope for each audit?
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Does your organisation select auditors and conduct audits to ensure objectivity and the impartiality of the audit process?
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Does your organisation ensure that the results of the audits are reported to relevant management?
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Retain documented information as evidence of the implementation of the audit program and the audit results?
9.3 Management Review
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ISO 14001 requires “Top management shall review the organization’s environmental management system, at planned intervals, to ensure its continuing suitability, adequacy, effectiveness.”
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What format does this review(s) take?
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Is your organizations management review planned and carried out taking into consideration the status of actions from previous management reviews?
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Is your organizations management review planned and carried out taking into consideration changes in:<br>1) External and internal issues that are relevant to the environmental management system?<br>2) The need and expectations of interested parties including compliance obligations<br>3) Its significant environmental aspects<br>4) Risks and opportunities. <br>
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Is your organizations management review planned and carried out taking into consideration the extent to which environmental objectives have been achieved?
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Is your organizations management review planned and carried out taking into consideration information on the organisations 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>
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Is your organizations management review planned and carried out taking into consideration the adequacy of resources?
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Is your organizations management review planned and carried out taking into consideration relevant communication(s) from interested parties including complaints?
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Is your organizations management review planned and carried out taking into consideration opportunities for continual improvement?
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Do the outputs of the management review include decisions and actions related to conclusions on continuing suitability, adequacy, and effectiveness of the environmental management system?
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Do the outputs of the management review include decisions and actions related to decisions related to continual improvement opportunities?
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Do the outputs of the management review include decisions and actions related to decisions related to any need for changes to the environmental management system, including resource needs?
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Do the outputs of the management review include decisions and actions related to actions, if needed, when environmental objectives have not been met?
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Do the outputs of the management review include decisions and actions related to opportunities to improve integration of the environmental management system with other business processes, if needed?
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Do the outputs of the management review include decisions and actions related to in what form does your organization retain documented information as evidence of the results of management reviews?
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Do the outputs of the management review include decisions and actions related to any implications for the strategic direction of the organisation?
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Do the outputs of the management review include decisions and actions related to in what form does your organization retain appropriate documented information as evidence of the results of the management review?
10 Improvement
10.1 General
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Your organization is required to determine and select opportunities for improvement and implement any necessary actions to achieve the intended outcomes of its environmental management system
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How does your system include 9.1 Monitoring, measuring, analysis and evaluation?
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How does your system include 9.2 Internal audit results?
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How does your system include 9.3 Management review?
10.2 Nonconformity and Corrective Action
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When a nonconformity occurs, including any arising from complaints, how does your organization react to the nonconformity and take action to control and correct it?
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When a nonconformity occurs, including any arising from complaints, how does your organization react to the nonconformity and deal with the consequences, including mitigating adverse environmental impacts?
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When a nonconformity occurs, including any arising from complaints, how does your organization evaluate the need for action to eliminate the cause(s) of the nonconformity, in order that it does not recur or occur elsewhere, by reviewing and analysing the nonconformity?
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When a nonconformity occurs, including any arising from complaints, how does your organization evaluate the need for action to eliminate the cause(s) of the nonconformity, in order that it does not recur or occur elsewhere, by determining the causes of the nonconformity?
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When a nonconformity occurs, including any arising from complaints, how does your organization evaluate the need for action to eliminate the cause(s) of the nonconformity, in order that it does not recur or occur elsewhere, by determining if similar nonconformity exist, or could potentially occur?
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When a nonconformity occurs, including any arising from complaints, how does your organization implement any action needed?
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When a nonconformity occurs, including any arising from complaints, how does your organization review the effectiveness of any corrective action taken?
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When a nonconformity occurs, including any arising from complaints, how does your organization make changes to the environmental management system if necessary?
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Does your organization take corrective actions appropriate to the effects of the non-conformities encountered including environmental impact(s)?
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In what form does your organization retain documented information evidence of the nature of the non-conformities and any subsequent actions taken?
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In what form does your organization retain documented information evidence of the results of any corrective action?
10.3 Continual Improvement
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How does your organization continually improve the suitability, adequacy and effectiveness of the environmental management system to enhance environmental performance?
