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									                                                         ISO 14001:2004 Interview Checklist


                  ISO 14001:2004 Interview Checklist
                       Interviewee:   ____________________
                       Designation: ____________________
                       Interviewer:   ____________________
                       Date:          ____________________
Instructions on Use:
1.     Required organisational information include:
       a) Name of organisation:
       b) Key business activities:
       c) Number of staff:
       d) Office address:

       e) Name of key contact staff:
       f) Contact number & email address:
       g) Company web-site (where applicable):
2.     The purposes for this interview checklist are to:
       a) Gauge the level of compliance to ISO 14001:2004 requirements by your group /
           division / team
       b) Facilitate the provision of information necessary for ISO 14001:2004
           implementation
       c) Serve as a training materials for understanding the ISO 14001:2004 requirements
3.     Please spend about 2 hours going through the checklists, answering the questions to
       the best of your knowledge. The Interviewer will go through the questions with you to
       help you to answer some of the questions during the interview session.
4.     Please also provide a copy (where available) of the following:
       a) Organisation’s mission statement, long, mid and short term work objectives
       b) Organisation chart / structure for your group / division / team
       c) Key reason(s) for the ISO 14001:2004 implementation / certification
       d) Overview information for various key activities performed by your group /
           division / team
       e) Any procedures, work instructions, checklists, document templates, flow-charts,
           training materials that are used to facilitate various work processes
       f) Job responsibility / description for various staff
       g) Monthly reports for the past few months where applicable.
5.     Please list out the top 5-7 key activities performed by your group / division / team that
       covers at least 80% of all the work done by your group / division / team:
       a)

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                                                      ISO 14001:2004 Interview Checklist

      b)

      c)

      d)

      e)

      f)   .

6.    Identify your key customer(s):
      a)
      b)
      c) .
7.    Identify your key supplier(s)
      a)
      b)
      c) .
8.    What are the key applicable legal and other requirements?
      a)
      b)
      c)
      d) .
9.    What are the key environmental aspects and impacts of the organisation's key
      activities, products and services (e.g. in terms of meeting legal requirements,
      reduction of waste, pollution, health & safety concerns):
      a)
      b)
      c)
      d) .
10.   What are the key environmental objective(s) / goals for your team?
      a)
      b)
      c) .
11.   How do you monitor if your established environmental objective(s) / goals are met?
      a)
      b)
      c)
12.   The key ISO 14001 requirements include:
      a) 4.1 General EMS Requirements

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                                                    ISO 14001:2004 Interview Checklist

      b) 4.2 Environmental Policy
      c) 4.3 Environmental Planning
           *       4.3.1 Environmental Aspects
           *       4.3.2 Legal and Other Requirements
           *       Environmental Objectives, Targets and Programmes
      d) 4.4 Implementation and Operation
           *       4.4.1 Resources, Roles, Responsibilities and Authorities
           *       4.4.2 Competence, Training and Awareness
           *       4.4.3 Internal & External Communication
           *       4.4.4 EMS Documentation
           *       4.4.5 Control of Documents *
           *       4.4.6 Operational Control
           *       4.4.7 Emergency Preparedness and Response
      e) 4.5 Checking
           *       4.5.1 Monitoring & Measurement
           *       4.5.2 Evaluation of Compliance
           *       4.5.3 Non-conformity, Corrective and Preventive Action *
           *       4.5.4 Control of Records *
           *       4.5.5 Internal Audit *
      f) 4.6 Mgmt Review *.

                    ISO 9001 Clauses                         Yes    No        Partial   N.A.
4   Environmental        Mgmt          System      (EMS)
    Requirements
4.1 General Environmental Mgmt System (EMS)
    Requirements
    a) Is a environmental mgmt system established,
       documented,     implemented,    maintained   and
       continually improved according to the ISO 14001
       standard?
    b) Is the scope of the environmental mgmt system
       defined and documented?
    c) Are procedures established, implemented and
       maintained for:
        Environmental Aspects Identification
        Identifying and Accessing Applicable Legal and
           Other Requirements
        Competency, Training and Awareness
        Internal & External Communications on
           environment aspects, environmental mgmt
           programme(s) and EMS
        Document Control
        Operational Control
        Emergency Preparedness and Control
        Monitoring and Measurement
        Evaluation of Compliance

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                                                        ISO 14001:2004 Interview Checklist


                     ISO 9001 Clauses                             Yes   No    Partial   N.A.
         Non-conformity, Corrective         and    Preventive
             Actions
         Control of Audits
         Internal Audit
         Mgmt Review (optional)
Remarks (if any):




4.2 Environmental Policy
    a) Is the organisation's environmental policy defined?
    b) Issues relating to the environmental policy:
         Is it appropriate to the nature, scale &
             environmental impacts of its activities, products
             and services?
         Does it include a commitment to continual
             improvement and prevention of pollution?
         Does it include a commitment to comply with
             applicable legal requirements?
         Does it provide the framework for setting and
             reviewing environmental objectives and targets
         Is it documented, implemented and maintained?
         Is it communicated to all person working for or on
             behalf of the organisation?
         Is it available to the public?
Remarks (if any):



4.3 Environmental Planning
4.3.1 Environmental Aspects
     c) Does the organisation establish, implement and
        maintain a procedure to:
         Identify the environmental aspects of its activities,
            products and services within the defined scope of
            the EMS, taking into account planned or new
            development, new or modified activities, products
            and services?
         Determine those aspects that have or can have
            significant impact(s) on the environment (i.e.
            significant environmental aspects)?
     d) Does the organisation document this procedure and
        keep it up-to-date?
     e) Does the organisation ensure that significant
        environmental aspects are taken into account when

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                                                        ISO 14001:2004 Interview Checklist


                    ISO 9001 Clauses                              Yes   No    Partial   N.A.
       establishing, implementing and         maintaining   its
       environmental mgmt system?
Remarks (if any):



4.3.2 Legal & Other Requirements
     f) Does the organisation establish, implement and
        maintain a procedure to:
         Identify and have access to the applicable legal
             requirements and other requirements to which the
             organisation subscribes to?
         Determine how these requirements apply to its
             environmental aspects?
     g) Does the organisation ensure that these applicable and
        other requirements are taken into account when
        establishing, implementing and maintaining its EMS?
Remarks (if any):


4.3.3 Objectives, Targets and Programmes
     a) Does the organisation establish, implement and
        maintain documented environmental objectives and
        targets at relevant functions and levels within the
        organisation?
     b) Are the environmental targets and objectives
        measureable, where practicable and consistent with
        the environmental policy, including the commitment
        to prevention of pollution, compliance with applicable
        legal and other requirements, and continual
        improvements
     c) When establishing and reviewing the environmental
        objectives and targets, does the organisation take into
        account the:
          Legal and other requirements
          Its significant environmental aspects
          Technological options
          Its     financial,   operational    and     business
            requirements
          Views of interested parties?
     d) Does the organisation establish, implement and
        maintain programme(s) for achieving its objectives,
        targets?
     e) Does the programme(s) include:
          Designation and responsibility for achieving
            objectives and targets at relevant functions and
            levels of the organisation
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                                                       ISO 14001:2004 Interview Checklist


                      ISO 9001 Clauses                           Yes   No    Partial   N.A.
         The means and time-frame by which they are to
             be achieved?
Remarks (if any):



4.4 Environmental Implementation & Operation
4.4.1 Resources, Roles, Responsibilities & Authorities
     f) Does the organisation ensure the availability of
        resources essential to establish, implement, maintain
        and improve the environmental mgmt system?
     g) Does the resources include:
         Human resources and specialised skills
         Organisational infrastructure
         Technology and financial resources
     h) Are roles, responsibilities and authorities defined,
        documented and communicated in order to facilitate
        effective environmental mgmt?
     i) Does the organisation's top mgmt appoint a specific
        mgmt representative who is responsible for:
         Ensuring that the EMS is established,
             implemented and maintained in accordance with
             the requirements of the ISO 14001 standard
         Reporting to top mgmt on the performance of the
             environmental mgmt system for review, including
             recommendations for improvements
Remarks (if any):



4.4.2 Competence, Training & Awareness
     a) Does the organisation ensure that all staff and
        contractors are competent on the basis of appropriate
        education, training or experience?
     b) Are appropriate records on education, training or
        experience maintained?
     c) Does the organisation identify training needs
        associated with its EMS?
     d) Does it provide training or take other actions to meet
        these needs and retain associated records?
     e) Does the organisation establish, implement and
        maintain a procedure to build awareness of:
          The importance of conformity to the
            environmental policy and procedures with the
            requirements of the environment mgmt system
          The significant environmental aspects and related

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                                                      ISO 14001:2004 Interview Checklist


                       ISO 9001 Clauses                         Yes   No    Partial   N.A.
             potential impact associated with their work and
             environmental benefits of improved personal
             performance
         Their roles and responsibilities in achieving
             conformities with the requirements of the EMS
         The potential consequence of departure from
             specified procedures?
Remarks (if any):


4.4.3 Communications
     a) Does the organisation establish, implement and
        maintain a procedure for:
         Internal communications among various levels
             and functions of the organisation
         Receiving, documenting and responding to
             relevant communication from external interested
             parties?
     b) Does the organisation document its decision on
        whether to communicate its significant environmental
        aspects externally?
     c) Does the organisation establish and implement a
        method for the external communication of its
        significant environmental aspects?
Remarks (if any):


4.4.4 EMS Documentation
     a) Does the EMS documentation include:
         The environmental policy, objectives and targets
         Description of the scope of the EMS
         Description of the main elements of the
             environmental mgmt system and their interaction,
             and reference to related documents
         Documents, including records, required by the
             ISO 14001 standard
         Documents, including records, determined by the
             organisation to be necessary to ensure the
             effective planning, operation and control of
             processes that relate to its significant
             environmental aspects
Remarks (if any):


4.4.5 Control of Documents
     a) Are documents required by the environmental mgmt
        system and the ISO 14001 standard controlled?
     b) Does the organisation establish, implement and
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                        ISO 9001 Clauses                         Yes   No    Partial   N.A.
       maintain a procedure to:
         Approve documents for adequacy prior to release
         Review and update as necessary and re-approve
             documents
         Ensure that changes and the current revision
             status of documents are identified
         Ensure that relevant versions of applicable
             documents are available at points of use
         Ensure that documents remain legible, readily
             identifiable and accessible
         Ensure that documents of external origin are
             identified and their distribution controlled
         Prevent the unintended use of obsolete documents
             and apply suitable identification to them if they
             are retained for any purpose.
Remarks (if any):


4.4.6 Operational Control
     a) Does the organisation identify and plan those
        operations associated with the identified significant
        environmental aspects?
     b) Are the following activities performed:
         Establish, implement and maintain a documented
             procedure to control situations where absence
             could leave to deviation from the environmental
             policy, objectives and targets
         Operating criteria in the procedures are stipulated
         Establishing, implementing and maintaining
             procedures related to significant environmental
             aspects and communicating applicable procedures
             and requirements to suppliers, including
             contractors.
Remarks (if any):


4.4.7 Emergency Preparedness and Response
     a) Does the organisation establish, implement and
        maintain a procedure to identify potential emergency
        situations and potential accidents that can have an
        impact on the environment and how it will respond to
        them?
     b) Is the organisation prepared to respond to actual
        emergency situations and accidents?
     c) Does it prevent or mitigate associated adverse
        environmental impacts?
     d) Does the organisation periodically review and revise

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                     ISO 9001 Clauses                              Yes   No    Partial   N.A.
       its emergency preparedness and response procedures,
       in particular, after the occurrence of accidents or
       emergency situations?
   e) Does the organisation periodically test such
       procedures where practicable?
Remarks (if any):



4.5 Checking
4.5.1 Monitoring and Measurement
     f) Does the organisation establish, implement and
        maintain a procedure to monitor and measure on a
        regular basis, the key characteristics of its operations
        that can have a significant environmental impact?
     g) Does the procedure include documenting information
        to monitor performance, applicable operational
        controls and conformity with the organisation's
        environmental objectives and targets?
     h) Does the organisation calibrate, verify or maintain
        monitoring and measurement equipment used and
        retain associated records?
Remarks (if any):


4.5.2 Evaluation of Compliance
     i) Does the organisation establish, implement and
        maintain a procedure for periodically evaluating
        compliance with applicable legal requirements?
     j) Are compliance to other requirements evaluated on a
        periodic basis?
     k) Are records of the results of periodic evaluations
        maintained?
Remarks (if any):



4.5.3 Nonconformity, Corrective Action & Preventive Action
     l) Does the organisation establish, implement and
        maintain a procedure for dealing with actual and
        potential non-conformities and for taking corrective
        and preventive actions?
     m) Does the procedures define requirements for:
          Identifying and correcting non-conformities and
            taking actions to mitigate their environmental
            impact

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                       ISO 9001 Clauses                         Yes   No    Partial   N.A.
         Investigating the need for action(s) to prevent
             non-conformities and taking actions in order to
             avoid their recurrence
         Evaluating the need for action(s) to prevent non-
             conformities and implementing appropriate
             actions designed to avoid their occurrence
         Recording the results of the corrective and
             preventive actions taken
         Reviewing the effectiveness of the corrective and
             preventive actions taken?
   n) Are actions taken appropriate to the magnitude of the
       problems and the environment impact encountered?
   o) Does the organisation ensure that necessary changes
       are made to the EMS documentation?
Remarks (if any):



4.5.4 Control of Records
     p) Does the organisation establish and maintain records
        to demonstrate conformity to the requirements of its
        EMS and the ISO 14001 standard, and the results
        achieved?
     q) Does the organisation establish, implement and
        maintain a procedure for the identification, storage,
        protection, retrieval, retention and disposal of
        records?
     r) Are maintained records legible, identifiable and
        traceable?
Remarks (if any):



4.5.5 Internal Audit
     a) Does         the organisation ensure that internal
          environmental audits are conducted at planned
          intervals to determine if the EMS
            Conforms to planned arrangements, including
              requirements of the ISO 14001 standard
            Has been properly implemented and maintained
     b) Are information on the results of audits provided to
          mgmt?
     c) Are audit programs planned, established, implemented
          and maintained by the organisation, taking into
          consideration the environmental importance of the
          operations concerned and the results of previous

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                     ISO 9001 Clauses                         Yes   No    Partial   N.A.
       audits?
   d) Are audit procedures established, implemented and
       maintained to address the:
         Responsibilities and requirements for planning
             and conducting audits, reporting results and
             retaining associated records
         Determination of audit criteria, scope, frequency
             and methods?
   e) Are objectivity and impartiality of the audit process
       maintained during the selection of auditors and
       conduct of audits?
Remarks (if any):



4.6 Mgmt Review
    a) Does top mgmt review the EMS at planned intervals
       to ensure its continued suitability, adequacy and
       effectiveness?
    b) Does the review include assessing opportunities for
       improvement and the need for changes to the EMS,
       including the environmental policy, objectives and
       targets?
    c) Are records of environmental mgmt reviews retained?
    d) Do the inputs mgmt reviews include:
         Results on internal audits
         Evaluation of compliance to legal and other
             requirements
         Communication from external interested parties,
             including complaints
         Environmental performance of the organisation
         Extent to which environmental objectives and
             targets have been met
         Status of corrective and preventive actions
         Follow-up actions from previous mgmt reviews
         Changing circumstances, including development
             in legal and other requirements related to its
             environmental aspects
         Recommendations for improvements
    e) Do the outputs from mgmt review include decisions
       and actions related to possible changes to the
       environmental policy, objectives, targets and other
       elements of the EMS, consistent with the commitment
       to continual improvement?
Remarks (if any):


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                                                 ISO 14001:2004 Interview Checklist


                   ISO 9001 Clauses                      Yes     No    Partial   N.A.




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