Global Manager Group

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1 ISO: Wise audit Questionnaire 4. Context Of the Organization 4.1 Understanding the Organization and its context 1) 2) 3) Have you determine external and internal issues in the Environment management system (EMS)? Does this issues are relevant to its purpose and ability to achieve intended outcome of EMS? Have you considered the context of the organization s overall business activities and issues environmental conditions affected by your activities? 4.2 Understanding the needs and expectations of interested parties How many interested parties are identified by you and are relevant to your Environment management system? What are the needs and expectations of interested parties in Environment management system? What procedure or process is followed to understand interested parties requirements? Have you defined which of these needs and expectations include compliance obligations? 4.3 Determining the scope of the environment management system Have you determine the boundaries and applicability of the Environment management system? How you had define the scope of its environmental management system? Have you determined and documented the scope of the organization considering below details? a) external and internal issues b) compliance obligations c) organizational unit, function and physical boundaries? d) considering activities, product and services, authority and ability to exercise control? e) Authority an ability to exercise control and influence Have you covered all your activities, products and services of the scope in your Environment management system? Have you identified aspect-impact and risk for all such areas. 4.4 Environment management system Have you established and implemented EMS in accordance of ISO ? How do you establish the EMS? How do you maintain EMS in your organization? What kind of documentations structure is made by you? How do you bring continual improvement in Environment management system in

2 ISO: Wise audit Questionnaire accordance of this international standard? 5. Leadership 5.1 Leadership and Commitment How the top management is demonstrate leadership & commitment with EMS? Does the Top Management have signed and establish an environment policy? and EMS objectives? Is he active in formulation of environment policy and Objectives? Does the EMS objectives are in line with strategic direction of the organization? How do you ensure the integration of the Environment management system requirement with the organization Processes? How do you ensure resources related to Environment management systems (EMS) are available? If any resources are lacking then whom do you contact? What is a formal process for getting approval of resources? How do you carry out capacity planning and budget approval to get management approval for resources related to Environment management system? How do you communicate communicating the importance of effective Environment management system implementation and benefits? What is the methods followed for communication? Is it documented? How do you ensure EMS achieves its intended outcome? How many people are directing and supporting to contribute the effectiveness of EMS system? Have you define related EMS Supporting Team? How do you promote of continual improvement? What are the roles of the other areas of management? How do you support and demonstrate leadership for EMS? How do you demonstrate your leadership and commitment for ISO EMS system? 5.2 Environment Policy Have you established an Environment policy? Does environment policy appropriate to the purpose and context of organization? Who has define the organization's environmental policy? Does environment policy includes the framework for setting up the EMS objectives? Where do you documented EMS objectives? Have you included the commitment to protection of the environment, including prevention of pollution. compliance obligation and other specific commitment in the environment policy? How do you track the continual improvements? What benefits are achieved by you by

3 ISO: Wise audit Questionnaire implementing this ISO 14001standards? How do you communicate environment policy within the organization? Interview few person to ensure it is understood and applied. Have you prepared environment policy and kept it on notice board/ Is it available as documented information for all the employees and interested parties? How is it made available? How do you provide the Environment policy to the interested parties? 5.3 Organizational roles, responsibilities and authorities 6. Planning Have you assigned and communicated job description including responsibilities and authorities for roles relevant to EMS? How? In the job description have you defined clearly the authority and responsibility of all concern person for how they contribute meet the requirements of ISO standard? Is the clarity of roles are defined in job description to avoid conflict? Have you define responsibilities and authorities for reporting performance of the EMS within organization? Do you reporting the performance of the Environment management system to top management? How it is reported and who is responsible? Who has to ensure provision of resources for implementation of environmental management system? Which resources are required to include? Who is appointed as a EMS coordinator? What is the defined roles, responsibilities and authority for EMS coordinator? 6.1 Action to address risks and opportunities General Have you establish, implement and maintain process for EMS planning? Can you explain how it is followed. During planning for EMS have you considered issues and scope defined by you in EMS? Show us how it had been considered. Does the organization have determined the risks and opportunities related to EMS issues, environmental aspects and compliance obligations? Does the organization have determined potential environment situation? Show us documented information of risks and opportunities, environmental aspects, criteria defined for significance, list of significant aspects and action taken Environmental aspects Have you determined the environmental aspects of all your activities, products and services? How it is identified and who was involved for the same? Does the organization have determined the environmental impacts according to aspects, considering a life cycle perspective? At the time of determining environmental aspects, have you taken into account a) Change, including planned or new development and new or modified activities,

4 ISO: Wise audit Questionnaire product and services? b) Abnormal condition and reasonably foreseeable emergency situation? How did you communicated significant environmental aspects among the various levels and functions of organization? Are you maintaining the documented information of environmental aspects and associated environmental impacts? Are you maintaining the documented information of criteria used to determine significant environmental aspects? Where have you documented it? Are you maintaining the documented information of significant environmental aspects? Who has to identify the environmental aspects for activities, products and services? Where you had found need to determine significant environmental aspects? Is there any need to take special care for significant environmental aspects? In which case the significant environmental aspects are resulted in risk and opportunities? Can you show us such details and what action is taken for the same? Compliance obligations Have you determine the compliance obligation related to environmental aspects? Have you determine how these compliance obligations apply to organization? Are you maintaining the documented information of organizations compliance obligations? Is there any system followed to get updated information on regular basis to get amendments in such compliance obligations? Who is responsible for the same / How actions are taken to include it in your EMS system? How? Is there any system followed to include environmental compliance obligations for establishing, implementing, maintaining and continually improving the EMS? Who is responsible to ensure that the legal and other requirements are taken into account in establishing, implementing and maintaining environmental management system? Planning action How do you ensure the Environment management system can achieve its intended outcome? How do you plan to take actions for significant environmental aspects, compliance obligation? How do you plan actions to address these risks and opportunities? How do you integrate and implement these actions into its Environment management system processes? How do you evaluate actions for the effectiveness of these actions taken? What do you evaluate to ensure the effectiveness of action? How do you define an environment risk assessment process? What are the various options considered in planning activity considering technological and financial obligations?

5 ISO: Wise audit Questionnaire 6.2 Environmental objectives and Planning to achieve them 7. Supports How do you establish Environment objectives at relevant functions and levels? Where does it documented? Who monitor it? a) Does these Environment objectives consistent with the Environment policy? b) Is your Environment objective measurable? Show me. Are there any objectives not measurable? c) How do you communicate the Environment objectives? d) What frequency do you update the Environment objectives? How do you establish, implement and maintain documented environmental objectives? How? Have you considered significant environmental aspects, compliance obligations and risk and opportunities in framing this objectives? Which type of objectives are defined? What parameters needs to be taken in to account while establishing and reviewing objectives? When we have to prepare environment management programme considering the define objectives and targets? Have you done any planning for how to achieve the environmental objectives? Doe s this plan cover what will be done, resource details and responsibilities, target date? How the results are evaluated including indicators for achievement of this objectives? Where does objectives documented? Who monitor it? How do you retain documented information on the Environment objectives? 7.1 Resources Have you determine and provide resources needed for Establishment Implementation Maintenance and Continual improvement Who is responsible for providing resources? Who has to ensure provision of resources for implementation of environmental management system? Which resources are required in EMS? Who has appointed a EMS coordinator? What is the defined roles, responsibilities and authority for EMS coordinator? 7.2 Competence a) Does the organisation determine necessary competence for personnel performing activities affecting EMS? How do you determine competency? Do you prepare the competency matrix related to EMS activity? Have you ensure that the necessary competence has been achieved? If any

6 ISO: Wise audit Questionnaire b) c) d) areas the competency is not achieved then what action is taken? Do you provide training or take other actions to achieve the necessary competence? Have you define what is appropriate education, training and experience for different category of persons? Where do you maintain such documented information? Have you ensure that the necessary competence has been achieved? What actions are taken to acquire the necessary competence? How do you evaluate the effectiveness of action taken for example written test, mock trail, review of effectiveness of training etc? What action was taken to upgrade the competence of people? Are you maintaining appropriate information and documented information of education, training, skills and experience and qualifications as an evidence of competence? What are the parameters covered under competence? How are you maintaining training records of all employees? What is the mechanism of identification and providing training needs of all employees? Are all employees trained for ISO EMS requirements? What are the training provided by you to all employees? Show me your training records? How do you plan and impart training? Are you having list of inhouse trainer? Are all employees trained for the Aspect/Impact register of their functions? What is the mechanism of providing induction training to new employees? What is your training plan for next six months? 7.3 Awareness a) b) c) 7.4 communication Do your employees are aware of environmental policy and significant environmental aspects and related impacts? How do you contribute your work to implement the environment policy in your work area? How do you contribute to Environment management system? What benefits are achieved by implementing the EMS? What is your improved environmental performance and how it has benefited the company? Does the employee aware for what is the implication of not conforming with EMS requirements and for not fulfilling environmental obligations? How do you provide such awareness to all concern persons?

7 ISO: Wise audit Questionnaire How do you establish, implement and maintain processes needed for internal and external communication relevant to EMS? a) What do you communicate related EMS? b) When do you communicate related EMS? c) Whom do you communicate related EMS? d) How do you communicate related EMS? e) Who will communicate related EMS? Does the organization respond to relevant communication on its environmental management system? Is there any documented information of this communication? Have you internally communicate information relevant to EMS at various levels and functions? How? Do you ensure such communication enables persons to contribute for continual improvement? How Have you externally communicate information relevant to EMS? Show us what kind of communication is done by you externally? Does it covers all information required by all applicable compliance obligations? How do you ensure that environmental information communicated is consist with information generated within EMS and it is reliable? Is there any requirements related to documenting the decision of communicating the significant environmental aspects and compliance obligations? 7.5 Documented Information General a) b) Have you establish documented information as per ISO 14001: various requirements? How do you decide the need documentation information for effectiveness of EMS? c) Do you documented information as Paper copy or electronic copy? Creating and Updating a) b) Have you created and updated documented information covering proper identification and description of the title, date, author or reference number? Do you made format for documented information including identification, language, software version, and graphics and media like paper copy and electronic copy? c) Who is reviewing and updating and re-approved of documented, information? d) Have you approved information for adequacy and suitability prior to issue? Who is authorized to approve and review the documented information? How do you ensure documented information is adequate and suitable for the purpose? Where did you defined such authority for approval and review of documented

8 ISO: Wise audit Questionnaire information Control of documented information a) b) c) d) e) f) 8.0 Operation Have you defined any control mechanism for documented information? How do you ensure documented informaiton is available for use when it is required? How do you protect documented information? How do you adopt system like confidentiality, improper use, or loss of integrity? Does the documents required by the EMS is protected and controlled? How? Who is authorised to control EMS documents? How do you distribute the documented information? Have you prepared authorized copy holder list to understand who is having access of information? How do you retrieve documented information and use it? Are documented information established and maintained to provide evidence of conformity to requirements and the effective operation of the EMS? How do you store and preserve the documented information? How do you ensure it is legible? Is it protected and controlled? How do you change the documented information? How do you establish version control for your documented information? Are you using any automated tool for such version control and configuration management? Is there a documented information define the controls needed for the identification, storage, protection, retrieval, retention time and disposition of documented information? Have you define the retention period for various types of documented information? How do you dispose of such documented information in hard copy as well as soft copy? Does the master list for documented information with revision no. Made and updated? Show us latest revision of Environmental Manual and other documented information? How do you maintain master list of page-wise amendment? How do you inform all the persons for changes in any documented information? Who is responsible for approval and control of different types of documents? Are you changing whole document or pagewise amendment? How do you get information for changes in the documented information? How do you inform to all the concerned person? How documented informaiton are identified for control / uncontrolled and obsolete? Do you preserve obsolete documents? Where do you preserve it? 8.1 Operational Planning and control Have you plan, implemented processes as per ISO 14001: EMS system Standard? What actions are implemented from identified risks and opportunities? How do you determine the requirement for products and services? Have you establish the criteria for the processes and acceptance of product and services? How are you lmplementing control of the process, in accordance with the

9 ISO: Wise audit Questionnaire operating criteria? How do you maintain document information to have confidence for processes have been carried out as planned? Where do you keep such information How can you ensure that implemented control of the processes are as per defined criteria? How do you Control planned changes and review the consequences of unintended changes? Who is responsible for the same? How do you ensure that outsourced process is controller or influenced. What type and extent of control or influence is applied to the Process is defined within the EMS for such outsourced process? Have you establish system for selection of vendors and outsourced activities and how do you communicate such controls to them? What is to be considered as operational control? Which operations needs to be covered under operational control plan? Have you prepared defined operational control parameters for the identified process? Which processes are covered? 8.2 Emergency preparedness and response 9.0 Performance evaluation a) Is there any process established by organization for and respond to potential emergency situation? How do you to respond by planning actions to prevent or mitigate adverse environmental impacts from emergency situations? How do you respond to actual emergency situations? Who is responsible for the same? What action is taken to prevent the consequences of emergency situation? Are you doing any mock drills to test the planned response action? How and When? Have you reviewed and revise the process based on such mock drills? How do you train your team related to emergency preparedness and response? Can you show us some evidences? Can I interview few persons for the same? Have you establish, implement and maintain a process for potential emergency situations and potential accidents? Which situations needs to be covered under the major emergency preparedness plan? How will you review emergency preparedness? 9.1 Monitoring, measurement and analysis and evaluation General How do you monitor and measure Environmental processes? Do you have any document information for control and evaluation of processes? Who is authorised to control of process? What is monitored and measured? How do you monitor, measurement, data analysis and evaluate it? How do you ensure to get valid result? When the monitoring and measurement is performed?

10 ISO: Wise audit Questionnaire What methods for monitoring, measurement, analysis and evaluation is followed to ensure valid results How do you maintain evidence of monitored and measurement of results? when the results from M & M is analysed and evaluated? Who is doing it? What are the parameters covered under the monitoring and measurements? When Which equipment needs to be calibrated under the monitoring and measurement? Show us the evidence that instrument is calibrated? Evaluation of compliance Have you established the process to evaluate fulfilment of organizations compliance obligations? At what frequency you evaluate the compliance of organization? Are you taking an action after evaluation of compliance, if needed? Do you have competent person for monitoring and understanding of compliance status? How do you retain documented information of compliance evaluation results? Show us evidences that you fulfil such requirements against your obligations. What is evaluated for your compliance obligations? What records are maintain for evaluation of compliance? How do you fulfill requirement for evaluation of compliance? 9.2 Internal Audits Have you conducted Internal audit? What is the frequency to carry out internal audit? How do you perform audits to ensure Organizations requirements for Environment management systems is maintained? When and how? How do ensure during internal audit that ISO requirements as well as international standard requirements are implemented by the organization? How do you ensure during the audit that EMS is implemented & maintain effectively? Have you any establish plan, implement & maintain audit programme? Who is the authorised person reporting for audit and to whom it is reported? How do you ensure Processes & Audits result mention in Internal audit is implemented effectively? How do you define audit criteria and scope of internal audit? How do you select auditors and conduct audits to ensure objectivity and impartiality of the audit process? Are identified employees/ functional heads trained for internal auditor? Are you having list of trained Auditor? Who is authorised person to review results of the audits? How do you maintain evidence of the audit programme and the audit results? Where? Who has access to such documented information? Do you have list of trained auditors? Who has given training to them as per ISO EMS? How many days? Have you made audit plan? During auditing do the auditor

11 ISO: Wise audit Questionnaire check and monitor results of Objectives reported by the functional heads? Does all the NCR s communicated to respective function heads? Are they closed? Have you prepared plan for internal audit for whole year? How do auditors carry out internal audit? Explain us how do you use audit checklist? Have you done any audit summary for department-wise / -wise audit findings? How do you close NCR? Do you maintain records for the actual audit carried out against audit planned as well as summary of audit done? Where do you maintain such records? How do you ensure that all departments are covered for all the clauses applicable to that department are audited in internal audit? How do you see effectiveness of action taken on audit NCR? Where is it recorded? 9.3 Management Review a) b) c) f) h) How Top management Review the organization s Environment management system/ what is the frequency of review to ensure its continuing suitability & adequacy? When Do you conduct such EMS reviews? Does this review include assessing opportunities for improvement and the need for changes to the EMS, including environment policy and quality objectives? Do you have documented information actions emerged from the EMS management review meetings? What action is taken from previous management reviews? Have you any status for action monitoring of previous management reviews? Have any changes in external and internal issue? Do you have any changes of external and internal issues relevant of EMS system? How do you maintain result of feedback for the quality? who is performing it? Do you any feedback purpose of improvement like nonconformities and corrective action, monitoring and measurement of results, Results of EMS audits and reviews, fulfillment of quality objectives etc in the management review meetings? Does it cover non conformity and corrective action? Have you define adequacy resources and discussed it in MRM? What do you measure opportunities for continual improvement? Which techniques are applied products or procedures for the purpose of improvement of EMS system? Have you identified any changes in existing EMS system or resource requirements in the management review meetings? How do you ensure continual improvement in the system? Do you report to Top Management for effectiveness of Environmental Management System? How do you measure effectiveness of system for working of your Organization? How do you collect necessary information for the same? Are you getting information for corrective action taken on the identified non compliances and it s effectiveness for discussion in the management review meeting? What is the frequency of the Management Review Meeting?

12 ISO: Wise audit Questionnaire 10.0 Improvement 10.1 General How do you plan for management review meeting and who are committee member? Do you circulate agenda for Management review meeting in advance? Do you prepare minutes of Management review meeting with the actions decided in management review meeting? How do you monitor effectiveness of the system? Are you reviewing objectives and targets in the management review? When do you review it? Have you define any improvement in EMS? How do you determine Opportunities for improvement and implement necessary actions to achieve the intended outcomes of its environmental management system? 10.2 Nonconformity and corrective action a) b) How do you control non conformity and what documented information are maintained? Have any action taken of non conformity? How do you deal with the consequences of non conformity? Who is authorised person reviewing of non conformity? Are you doing route cause analysis for such non conformity? how do you determine non conformities exist? Have you determine causes of non conformities and review of NCR and Correction of NCR and evaluate non conformities? c) How do you implement action needed to meet documented Information? d) e) 10.3 Continual improvement How do you monitor effectiveness of corrective action? Who is authorised person reviewing it? Have you update risks based on such investigation and opportunities determined during planning? How do you ensure corrective action taken is appropriate to the effects of the Non conformities encountered including environment impact? What is the base for taking corrective actions? Is the Organization has to take corrective action for all the non conformities? What is the mechanism to take corrective action? Are you taking corrective action for process, product, system and interested parties complaint? When do you take corrective actions? Who review the effectiveness of corrective action taken by concerned department? How do you monitor it? How do you maintain documented information for nature of the Non Conformity and subsequent actions taken as well as result of corrective action? Who maintain it? How do you ensure that organization has continually improve the adequacy and suitability and effectiveness of EMS? How do you improve the suitability, adequacy, and effectiveness of the EMS to enhance

13 ISO: Wise audit Questionnaire environmental performance? Have you determine is there needs or opportunities that is addressed as a part of continual improvement?