ISO 14001:2015 Internal Audit

YEAR 2023

Plant Name : O-I Indonesia

Date Created : 19 Aug 2023
Version : 00

Criteria/Objective Evidence Area Compliance Finding Action

Clause No. ISO 14001 : 2015 Requirement Evidence PIC Due Date Status Remark
(Guidance for Auditor) Responsibility (C/NC) (If any)

4 Context of Organization
4.1 Understanding the organisation and its context

Evidence needs to be obtained to provide

Does the organisation have a high-level, conceptual understanding
of the internal and external issues1 that can affect, either positively or
4.1 1 HR/HSE
negatively, its ability to achieve the intended outcomes of its
Environmental Management System (EMS)?
4.2 Understanding the needs and expectations of interested parties
assurance that organizations will regularly or as
necessary review and update their external and internal
issues. Some sources could be:
C
Business Strategy Plan; Environmental Plan;
Information provided on the organization’s website;
Annual reports;
Management meeting minutes; Procedure; and
List of external and internal environmental issues &
conditions.

Although not specifically required, objective evidence

Has the organization adequately determined the interested parties and
4.2 1 their requirements relevant to its EMS? Which of these requirements
are considered as organization’s compliance obligations?
4.3 Determining the scope of the Environmental management system
could be a list or matrix of the interested parties, their
corresponding needs and expectations, and indication of
which of these accepted as compliance obligations. HSE C
“Compliance obligations” include:
 All relevant legal requirements
 All requirements imposed by upper levels in the
organization (for example corporate requirements)
 All relevant requirements of relevant interested parties
that the organization decides to comply with, whether
contractually (customers) or voluntarily (environmental
commitments).

Auditors will need to verify that the organization’s

scope has been established in consideration of
organization’s boundaries and applicability of the
Has the organization determined the boundaries and EMS. There is now essentially a process by which a
4.3 1 HSE C
applicability of the EMS to establish its scope? scope must be determined; simply declaring a
fenceline scope and excluding product-related
aspects without evaluating the new considerations
is not acceptable.

Has the organization effectively considered the following prior to determining
the scope of the EMS? The extent of organization’s control and influence,
4.3 2 HSE
context, external and internal issues, compliance obligations, physical and
functional boundaries, activities, products and services?
Auditors may need to challenge the organization if
any activities, products and services that would likely
have a significant impact on the environment are
omitted from the scope of the EMS. The
C
organization’s scope determinations should be
reasonable and consistently applied. Note that an
aspect/issue may have potential significant impact on the
environment but may not necessarily be identified as a
significant aspect by the organization.
It is possible a manufacturing plant has little or no
control over product design, procurement,
transportation, use, and end of life treatment, where
such are controlled by a separate coporate entity.

Verify objective evidence of availability of the scope

Has the organization made its scope available to all interested parties as to interested parties. A statement from the
4.3 3 HSE C
documented information? organizattion that the scope will be
provided upon request may be accepted as objective
evidence.
4.4 Environmental Management System
4.4 While establishing, implementing, maintaining and continually improving the EMS;

Auditors should ask themselves:

 How well is the ‘process approach’ understood in
the organization?
Has the organization implemented an EMS, including all
4.4 1  Is the EMS in line with the organization’s context, HSE NC
required processes, in accordance with the requirements of ISO 14001?
and requirements of interested parties?
 Is it likely the established EMS will achieve its
intended outcomes and enhance environmental
performance? These include enhancement of
environmental performance, fulfilment of compliance
obligations, and achievement of environmental
objectives.

Objective evidence should indicate that the

Has the organization considered the knowledge it gained from its context and organization has successfully integrated the EMS
4.4 2 HSE
its interested parties’ requirements? processes in its business processes. Evidence may
include management reviewing EMS KPI’s as part of
regular business reviews, awareness of contractors and
employees of EMS goals and expectations, etc.
Compliance Score 83%
5 Leadership
5.1 Leadership and Commitment
5.1 How does Top Management demonstrate leadership and commitment with respect to the EMS and shows leadership?

Top management must emphasize the importance of

Is top management demonstrating accountability for the effectiveness of the conforming to the EMS requirements. Additionally, it
5.1 1 TM
EMS? must also ensure that the EMS is achieving its intended
results, and that continual improvement is driven within
the organization.
Are the environmental policy and objectives established, and compatible with
5.1 2 the strategic direction and the context of the organization? Is top management HSE
involvement evident?
 Top management must demonstrate much more direct
involvement in the EMS compare to previous version of
Does top management ensure that the EMS requirements are integrated into the Standard which needed the top management to delegate
5.1 3 responsibility for the EMS down to the MR. Top TM
organization’s business processes?
Management is responsible for ‘ensuring’ that a task is
done, but otherwise the specified requirements must be
seen to be undertaken by top management directly.
Auditors must understand which ISO14001:2015
requirements top management can delegate and which
they cannot.

5.1 4 TM
Does top management ensure the availability of resources needed for the EMS?

Evidence of top management involvement may be found

in:
 Business strategy plans & meetings
 Environmental goals & communications 
Does top management communicate the importance of effective environmental Information provided on the organization’s website
5.1 5 HSE
management and of conforming to the EMS requirements?  Annual reports
 Management meeting minutes
Note: Management involvement must now be
demonstrated and cannot be simply confined to annual
management reviews. Auditors should ensure that they
are well prepared to interview the top management in
respect of their commitment to their EMS. A good
understanding of management-related processes and
language used by top management can be helpful to
engage with management on a range of issues.

5.1 6 HSE
Does top management ensure that the EMS achieves its intended outcome(s)?

5.1 7 Does top management direct and support persons to contribute to the
effectiveness of the EMS?
5.1 8 Does top management promote continual improvement?

5.1 9 Does top management support other relevant management roles to demonstrate If it is evident that the top management is not involved
their leadership in their areas of responsibility, when applicable? with the EMS, a major non-conformance will be issued.
5.2 Environmental Policy
5.2 Seek objective evidence for top management’s involvement in establishing, implementing and maintaining an environmental policy.

Objective evidence must include an interview with top

5.2 1 management covering the points 1 to 5 to ensure TM
Is the policy appropriate to the defined scope, purpose, and context of the thorough understanding and leadership at the highest
organization, including the nature, scale and environmental impacts of its level. If the top management is not involved; a non-
activities, products and services? conformance must be issued.

5.2 2 Does the policy provide a framework for setting environmental objectives? TM

Does the policy include a commitment to protection of the environment,

5.2 3 covering prevention of pollution and other specific commitments relevant to TM
the context of the organization?

Three specific commitments have to be included in the

policy:
5.2 4 Does the policy include a commitment to fulfill the compliance obligations?  To protect the environment, TM
 To fulfill compliance obligations
 To continually improve the EMS and
improvement of the organization’s environmental
performance.

5.2 5 Does the policy include a commitment to Continual improvement of the EMS TM
to enhance environmental performance?
 Organizations will need to review the environmental
5.2 6 Is the policy maintained as documented information? policy as necessary to ensure that any changes in its TM
context, interested parties or their requirements is
reflected in the policy and whether the organization’s
objectives are effected (6.2.1 a).

5.2 7 Is the policy communicated within the organization, to all persons doing work Ask for attendant list of socialization HSE
(directly or indirectly) under the organization's control?
5.2 8 Is the policy made available to interested parties?
5.3 Organisational roles, responsibilities and authorities
In order to facilitate effective environmental management; Does top management ensure that the roles and their relevant responsibilities and authorities are assigned and communicated within the organization to ensure that;

Auditors should note that there is no longer a

requirement for appointment of Management
5.3 1 EMS conforms to the requirements of the ISO14001:2015 standard? Representative (MR), though the duties currently TM
assigned to the MR under ISO14001:2004 must
still be undertaken and can be assigned to different
personnel.

Examples of objective evidence to verify

implementation:
 Communication or roles, responsibilities and
Performance of the EMS, including environmental performance, is reported to authority;
5.3 2  Processes & procedures to fulfil requirements are TM
top management?
adequately resourced;
 Awareness of expectations is demonstrated in all
relevant levels of the organization;
 Reporting on the operation (audits & inspections)
and performance of the EMS is done (business meetings,
KPI reviews, etc.).
Compliance Score #DIV/0!
6 Planning
6.1 Actions to address risks and opportunities
6.1.1 General

“Risks and opportunities” are defined as:

6.1.1 1 What process has been developed to identify risks and opportunities?  Potential adverse effects (threats) and TM
 Potential beneficial effects (opportunities).

6.1.1 2 Is it evident that the organization has considered its context, relevant Objective evidence may be in the form of a dedicated HSE
requirements of their relevant interested parties and their defined scope when risk matrix, risks added to other forms such as an aspect
planning for the EMS? register, corrective/preventive action log and forms, etc.
Does the organization maintain documented information on its risks and
6.1.1 3opportunities, and are the processes needed documented to the extent necessary HSE
to be sure they are carried out as planned?
6.1.1 Has the organization determined the risks and opportunities that need to be addressed to:

The role of the auditor is not to carry out his/her own

6.1.1 4 give assurance that the EMS can achieve its intended outcome(s)? determination of risks and opportunities, but to ensure HSE
that the organization is applying its own methodology
consistently and effectively.

6.1.1 5 prevent, or reduce, undesired effects, including the potential for external HSE
environmental conditions to affect the organization?
6.1.1 6 achieve continual improvement?
6.1.2 Environmental Aspects

Has the organization identified environmental aspects of the activities, products Objective evidence must contain established criteria for
6.1.2 1 evaluating significance of aspects (i.e., process or HR
or services under its control / influence?
procedure). Also a register/matrix of aspects and impacts
may be presented as evidence. Changing circumstances:
could be a formal management of change procedure.
 Consideration of environmental aspects and impacts has
Does the organization’s determination of environmental aspects consider a life been broadened. Environmental aspect identification and
6.1.2 2
cycle perspective? evaluation process must now consider a life-cycle
perspective.
Do the identified aspects take into account change? i.e.
6.1.2 3  Planned or new developments and
 New or modified activities, products and services

6.1.2 4 Do the identified aspects cover abnormal and potential [foreseeable]

emergency situations as well as normal situations?

6.1.2 5 Does the organization determine its significant environmental aspects (those
aspects that have or can have a significant impact on the environment)?

6.1.2 6 Has the organization communicated its significant environmental aspects HSE/MTC/OPS
among the various levels and functions with the organization?
6.1.2 Does the organization maintain documented information of its:
6.1.2 7 Criteria used to determine its significant environmental aspects? HSE
6.1.2 8 Environmental aspects and associated environmental impacts?
6.1.2 9 Significant environmental aspects?
6.1.3 Compliance Obligations

Obligations may arise from:

 Mandatory requirements: applicable laws and
Does the organization determine and have access to the compliance obligations regulations
6.1.3 1 HSE
related to its environmental aspects?  Voluntary commitments: such as organizational and
industry standards, contractual relationships, principles of
good governance and community and ethical standards.
Documented information could be a list or matrix of
compliance obligations.

6.1.3 2 Does the organization determine how its compliance obligations apply to the HSE
organization?
Does the organization take its compliance obligations into account when
6.1.3 3 establishing, implementing, maintaining and continually improving its HSE
environmental management system?
Does the organization maintain documented information of its compliance
6.1.3 4 HSE
obligations?
6.1.4 Planning Action
6.1.4 Has the organization planned to:
Take actions to address these?
 Risks and opportunities,
6.1.4 1 HSE
 Significant environmental aspects and,
 Compliance obligations

6.1.4 2 Integrate and implement the actions into its EMS processes or other business HSE
processes?
For those actions that have been completed, auditors
6.1.4 3 Evaluate the effectiveness of these actions? must ensure that each action’s effectiveness has been HSE
assessed.

The actions planned may include:

 Establishing objectives;
When planning these actions, does the organization consider its technological
6.1.4 4  Establishing new or improving existing controls; HSE
options and its financial, operational and business requirements?
 Establish or expand monitoring methods;
 Incorporating the action into an EMS process; etc.

6.2 Environmental objectives and planning to achieve them

6.2.1 Environmental objectives:

Has the organization established environmental objectives at relevant functions Organizations need to set their environmental objectives
6.2.1 1 HSE
and levels? for relevant functions, levels and processes within its
EMS. It is for the organization itself to decide which
functions, levels and processes are relevant.
6.2.1 2 Has the organization taken into account below issues when establishing HSE
environmental objectives?
- Significant environmental aspects
- Compliance obligations associated with significant environmental aspects

6.2.1 3 Does the organization consider its risks and opportunities when establishing HSE
environmental objectives?

6.2.1 4 Are the organization’s environmental objectives consistent with its HSE
environmental policy?
6.2.1 5 Are the environmental objectives measureable (if practicable)? HSE
6.2.1 6 Does the organization monitor the environmental objectives? HSE

6.2.1 7 Are the environmental objectives communicated? HSE

6.2.1 8 Does the organization update the environmental objectives as appropriate?

Documented information of objectives typically is in the

Does the organization retain documented information on the environmental form of a description or matrix of the objective and
6.2.1 9
objectives? corresponding means and timeframe to achieve the
objectives.

6.2.2 Planning actions to achieve environmental objectives

6.2.2 Has the organization determined below information in its planning to achieve its environmental objectives?
Auditors should look for evidence that effective planning
1 the activities that will be conducted is taking place to support the achievement of the HSE
6.2.2 organization’s environmental objectives.
6.2.2 2 the required resources for those activities HSE
6.2.2 3 the responsibilities of persons HSE
6.2.2 4 the time frame for these activities to be completed HSE

The use of indicators needs to be audited in detail;

 Are objectives based on sound information?
How the results will be evaluated?  Are indicators really related to the corresponding
6.2.2 5 For those measurable environmental objectives; what indicators will be used objectives? HSE
for monitoring progress?  Are statistical tools needed to define and to monitor
objectives?  If the indicators reach the expected values,
how can the organization assure that the objective has
been achieved?

Does the organization consider how the actions to achieve environmental

6.2.2 6 HSE
objectives can be integrated into the organization’s business processes?

Compliance Score #DIV/0!

7 Support
7.1 Resources

The organization has to identify which resources it needs

to make available in order to ensure the effective
operation of the EMS.
Resources e.g. raw materials, infrastructure, finance,
personnel and IT, all of which can be either internally or
Has the organization determined and provided the resources needed for the externally provided.
7.1 1 establishment, implementation, maintenance and continual improvement of the Auditors should not merely look at the budget to check HSE
EMS? that some funding has been allocated to the EMS. They
must dig deeper, checking if the organization has really
identified all types of resources required and that it has
taken action to ensure that those resources will be
available when needed. Note: Not all resources are
tangible.

7.2 Competence
7.2 Has your organization:

7.2 1 How does the organization determine the necessary competence of person(s) Competency could be obtained on the basis of their HR
doing work under its control that affect its environmental performance? education, training or experience.
 How does the organization ensure that persons doing the job are competent?
7.2 2 What is the basis for their competency? (e.g. appropriate education, training, or HR
experience)

7.2 3 How does the organization determine training needs associated with its HSE
environmental aspects and it’s EMS?

7.2 4 How does the organization take actions to acquire the necessary competence, HSE
and evaluate the effectiveness of the actions taken (where applicable)?

7.2 5 Has the organization retained appropriate documented information as evidence Training Need Analysis, Training Matrix HR
of competence?
7.3 Awareness

Auditors should seek the evidence that the required

Are the persons doing work under the organization’s control aware of the information has been communicated to relevant
organization’s environmental policy, any objectives that are relevant to them, personnel (both internal and external). This will require
7.3 1 HSE
how they are contributing to the effectiveness of the EMS and what the appropriate interviewing to assess if adequate awareness
implications are of them not conforming to EMS requirements? is evident.
If awareness is not evident, a nonconformance needs to
be issued.
7.4 Communication
7.4.1 General

Communications may include an organization’s:

7.4.1 1 Does the organization plan and implement a process for internal and external  Compliance to various obligations (agency reports)  HSE
communications relevant to the EMS, including on what it will communicate, Milestone achievements
when it will communicate, with whom it will communicate and how it will  Being Eco Friendly
communicate?  Sustainable Resourcing

7.4.1 2 Are compliance obligations considered in the organization’s communication HSE

planning process?

7.4.1 3 How does the organization ensure that the environmental information (and ALL
claims) it communicates is reliable and in line with the EMS?

7.4.1 4 What is the organization’s response process to relevant communications on its ALL
EMS?

Has the organization retained documented information as evidence of its

7.4.1 5 HR
communications, as appropriate?

7.4.2 Internal Communication

Is there any process to communicate EMS related information (including

7.4.2 1 HSE
updates and changes) to all functions and various levels of the organization?

7.4.2 2 Are the persons doing work under organization’s control able to contribute to HSE
the EMS and its continual improvement?
7.4.3 External Communication
Has the organization established a process to externally communicate
7.4.3 1 HR
information relevant to the EMS?
7.5 Documented Information
7.5.1 General

Does the organization’s EMS include all documented information required by

7.5.1 1 the ISO 14001:2015 standard, and the information determined by the HSE
organization itself as necessary for the effectiveness of the EMS?

7.5.2 Creating Updating

7.5.2 1 When creating and updating documented information, does the organization HSE
ensure that it is appropriately identified and described (e.g. title, date, author,
reference number), in an appropriate format (e.g. language, software version,
graphics) and on appropriate media (e.g. paper, electronic)?

7.5.2 2 Is the documented information being reviewed and approved for suitability and HSE
adequacy?
7.5.3 Control of documented information
Is the above mentioned documented information (please see 7.5.1.) controlled
7.5.3 1 in order to ensure that it is available where needed and that it is suitable for HSE
use?

7.5.3 2 Is it adequately protected against improper use, loss of integrity and loss of HSE
confidentiality?
7.5.3 For the control of documented information;

7.5.3 3 Does the organization address distribution, access, retrieval and use of
documented information?
Is there a process for control of changes (version control), storage and
7.5.3 4 preservation (including preservation of legibility), retention and disposition of
documented information?
Has the organization identified and established controls for any documented
7.5.3 5 information of external origin that it considers necessary for the planning and
operation of the organizations’ EMS?
Compliance Score #DIV/0!
8 Operation
8.1 Operational planning and control

In order to meet requirements of EMS and to address the issues determined in

8.1 1 6.1 and 6.2; Controls can include engineering controls, procedures, HSE/OPS
Does the organization plan, implement and control any processes? documented procedure, etc. They can be implemented
following a hierarchy (e.g. elimination, substitution,
administrative) and can be used singly or in combination.
8.1 2 Any criteria are established for the processes? HSE
In accordance with the above criteria, are controls implemented on the
8.1 3 processes, to prevent deviation from the environmental policy, environmental HSE/OPS
objectives and compliance obligations?
Does the organization control planned changes and review the consequences of
8.1 4 unintended changes, taking action to mitigate any adverse effects, as HSE/OPS
necessary?
Has the organization ensured that outsourced processes are controlled or
Auditors should be alert and identify instances of
influenced?
8.1 5 outsourcing highly pollutant processes with the intention HSE/OPS
Are the type and degree of control or influence to be applied to these processes
of dropping them out of EMS.
are defined within the EMS?
8.1 To make the control processes consistent with a life cycle perspective, has the organization:

Life cycle perspective:

 To design and develop products and services taking
into account the environmental impact throughout their
life cycle
 To include environmental requirements in the
purchasing specifications of products and services
 communicate these environmental requirements to
determined environmental requirements for the procurement of products and
8.1 6 external providers
services, as appropriate?
 When necessary, provide information on potential
environmental impacts related to the transportation, use,
end of life treatment and final disposal of its products and
services.
 NOTE: Auditor should not expect a fully developed
life cycle analysis. This is not a requirement of the new
standard

established controls to ensure that environmental requirements are considered

8.1 7 in the design process for the development, delivery, use and end-of-life
treatment of its products and services, as appropriate?

communicated relevant environmental requirement(s) to external providers,

8.1 8
including contractors?

considered the need to provide information about potential significant

8.1 9 environmental impacts during the delivery of the products or services and
during use and end-of-life treatment of the product?
Does the organization maintain documented information to the extent
8.1 10 necessary to have confidence that the processes have been carried out as
planned?
8.2 Emergency preparation and response
Has the organization established, implemented and maintained any processes
8.2 1 specifying how it will respond to potential environmental emergency situations HSE
and potential accidents?
 8.2 2 Is there any mitigation or preventive actions planned to prepare the HSE
organization against environmental impacts caused by emergency situations?

8.2 3 HSE
Does the organization respond to actual emergency situations and accident?
Are the mitigation/prevention actions (to reduce the consequences of
8.2 4 environmental emergency situations), appropriate to the magnitude of the HSE
emergency or accident and the potential environmental impact?

8.2 5 HSE
Are these planned response action being tested periodically (when practicable)?

8.2 6 Are these processes being reviewed and revised periodically? HSE
How about after emergency situations or tests?
Does the organization provide training and information relevant to its
8.2 7 emergency preparedness and response to persons working under its control and HSE
other relevant interested parties?
Compliance Score #DIV/0!
9 Performance Evaluation
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General

Is the organization monitoring, measuring, analyzing, and evaluating its Some examples on what to measure:
9.1.1 1 HSE
environmental performance?  Organization’s progress on environmental objectives,
 Characteristics of operational activities, products and
services related to significant environmental aspects
 Status of compliance obligations
9.1.1 2 Has the organization determined what to monitor and measure? HSE

9.1.1 3 In order to ensure valid results; has the organization determined the methods HSE
for its monitoring, measurement, analysis and evaluation, as applicable?

9.1.1 4 Are there any criteria determined by organization against which, it will HSE
evaluate its environmental performance, using appropriate indicators?

9.1.1 5 Has the organization determined when monitoring and measuring shall be HSE
performed?
Is it determined when the organization shall analyze and evaluate the results
9.1.1 6 HSE
from monitoring and measurement?

Does the organization ensure that the equipment used for its monitoring and
9.1.1 7 HSE
measurement are calibrated, verified and maintained as appropriate?

Does the organization evaluate its environmental performance and the

9.1.1 8 HSE
effectiveness of the EMS?

Does the organization retain appropriate documented information as evidence

9.1.1 9 HSE
of the monitoring, measurement, analysis and evaluation results?

Is the information relevant to organization’s environmental performance being

9.1.1 10 communicated both internally and externally, as determined by organization’s HSE
communication process and as required by its compliance obligations?

9.1.2 Evaluation of compliance

Audit of the process of compliance evaluation (as part of

Are there any processes planned, implemented and maintained by the
9.1.2 1 HSE
organization to evaluate fulfillment of its compliance obligations?
an EMS internal audit) is not in itself a compliance audit.
Auditor’s role is NOT to verify the result of the
compliance audit, but to assess the effectiveness of the
audit process and taken actions. Understanding of
compliance status must be demonstrated. Therefore, the
organization must have means (inspections, tests, audits)
that are frequent and robust enough to ensure that
knowledge and understanding of compliance status is
maintained.

9.1.2 2 Is the frequency of compliance evaluation determined by the organization?

9.1.2 3 Does the organization evaluate compliance and take action if needed?
 Is the knowledge and understanding of the compliance status, being maintained
9.1.2 4
by the organization?
Is the evidence of the compliance evaluation result(s) being retained as
9.1.2 5
documented information by the organization?
9.2 Internal Audit
9.2.1 General

Does the organization conduct internal audits at planned intervals to provide

9.2.1
information on whether the EMS;

9.2.1 1 Conforms to the organization’s own requirements for its EMS and the HSE
requirements of ISO 14001:2015?
9.2.1 2 Is effectively implemented and maintained? HSE
9.2.2 Internal audit programme
9.2.2 Does your organization:

Objective Evidence: Documented information of

Has the organization planned, established, implemented and maintained audit
9.2.2 1 program(s), to include the frequency, methods, responsibilities, planning
requirements and reporting of the audits?
Does the organization’s internal audit program take into consideration the
9.2.2 2 environmental importance of processes concerned, changes affecting the
organization, and the results of previous audits?
9.2.2 3 Are the audit criteria and scope defined for each audit?
effective implementation of an audit program, as well as
audit results. NOTE: In the 2004 version, the purpose of
internal audit is to ‘determine’ whether the EMS is HSE
conforming to requirements and is effectively
implemented and maintained, i.e. to actually make the
judgment. In the 2015 version the purpose of internal
audit is to simply ‘provide information’ as to whether this
is the case. The determination is now by relevant
management (i.e., management review).
HSE
HSE

9.2.2 4 Are the objectivity and the impartiality of the audit process ensured during the HSE
auditors’ selection and conducting audits?
9.2.2 5 Are the results of the audits reported to relevant management? HSE

9.2.2 Are the audit results and other evidence of the implementation of the audit
6 HSE
program retained as documented information by organization?
9.3 Management Review

Auditors should expect to evidence the same outputs

Has the top management reviewed the organization's EMS, at planned from management reviews as at present. However, they
9.3 1 TM
intervals, to ensure its continuing suitability, adequacy and effectiveness? should note that the results of management reviews can
now be held in any format that the organization chooses.

9.3 2 Is the status of actions from previous management reviews considered during HSE
management review?
9.3 Does the management review consider the changes in: HSE
9.3 3 external and internal issues that are relevant to the EMS? HSE
9.3 4 compliance obligations and other expectations of interested parties? HSE
9.3 5 its significant environmental aspects? HSE
9.3 6 risks and opportunities? HSE

9.3 7 Does the management review consider the extent to which objectives have HSE
been met?

Does the management review consider the information on the organization’s Auditors should expect to evidence a more strategically
environmental performance, including trends in: focused management review. Context, risks and
9.3 8 - nonconformities and corrective actions? opportunities need to be considered, as well as the
- monitoring and measurement results? alignment of the EMS to the organization’s overall
- compliance obligations fulfillment? strategic objectives.
- audit results?
9.3 9 Is adequacy of resources considered in the management review?

9.3 10 Are the communications from interested parties considered in the management
review? Does it also include complaints?

9.3 11 Does the management review consider opportunities for continual

improvement?
 Do the outputs of the management review include:
- conclusions on the continuing suitability, adequacy and effectiveness of the
EMS?
9.3 12 - decisions related to continual improvement opportunities?
- decisions on any need for changes to the environmental management system,
including resource needs?
- actions if needed, when objectives have not been met?
- opportunities to improve integration of the environmental management
system with other business processes, if needed
- any implications for the strategic direction of the organization?

9.3 13 Does the organization retain documented information as evidence of the results
of management reviews?
Compliance Score #DIV/0!
10 Improvement
10.1 General
Has the organization identified the improvement opportunities and taken
10.1 1 necessary actions that will better enable the organization to achieve the HSE
intended outcome of its EMS?
10.2 Incident, nonconformity and corrective action

Auditors should evidence that where nonconformities

have been identified;
Does the organization react to any occurred nonconformity and, as applicable:  An investigation has been conducted to determine
10.2 1 - take immediate action to control and correct it? whether other similar nonconformities actually do or HSE
- deal with the consequences, mitigate adverse environmental impacts? potentially could exist.
 Organization has considered whether it needs to make
changes to the EMS to prevent recurrence or occurrence
elsewhere.

In order that the nonconformity does not recur or occur elsewhere; has the
organization evaluated the need for any action to eliminate the causes of the
10.2 2 nonconformity by means of: HSE
- reviewing the nonconformity?
- determining the causes of the nonconformity?
- determining if similar nonconformities exist, or could potentially occur?
10.2 3 Are corrective actions determined and implemented as needed? HSE

10.2 4 HSE
Does the organization review the effectiveness of any corrective action taken?

10.2 5 Does the organization make changes to the environmental management system, HSE
if necessary?

10.2 6 Are corrective actions appropriate to the significance of the effects of the HSE
nonconformities encountered, including the environmental impact(s)?
Does the organization retain documented information as evidence of:
10.2 7 - the nature of the nonconformities and any subsequent actions taken HSE
- the results of any corrective action?
10.2 In what form does your organization retain documented information evidence of:

10.2 10 the nature of the incidents or nonconformities and any HSE

subsequent actions taken?

10.2 11 HSE
the results of any action and corrective action including their effectiveness?
How is this information communicated to relevant workers, and, where
10.2 12 HSE
applicable, workers representatives, and other interested parties?
10.3 Continual Improvement

Auditors should evidence whether the organizations

identify the improvement opportunities and EMS
underperformance using;
 Outputs from their processes like: o Analysis and
Does the organization continually improve the suitability, adequacy and
10.3 1 evaluation, o Internal audit o Management review HSE
effectiveness of the EMS to enhance environmental performance?
 Tools and methodologies to support its investigations
Auditors should also check whether the organization has
implemented the identified opportunities for
improvement in a controlled manner.

Compliance Score #DIV/0!

Framework Compliance
Context of Organization
Context of Organization 83%
Leadership #DIV/0!
Planning #DIV/0!
Support #DIV/0! Improvement 83%
Operation #DIV/0!
Performance Evaluation #DIV/0!
Improvement #DIV/0!

0% 0%
0%
0% 0%0%

Performance Evaluation

Operation Supp
 Context of Organization

83% Leadership

0% 0%
0%
0% 0%0%

Planning

n Support