Internal Audit Checklist 6. Planning Step 1 of 4 25% Event NameAuditor NameEvent DateEmail 6. PLANNING6.1 Actions to address risks and opportunities6.1.1 General6.1.2 Issue identification and evaluationShall Requirements:Read the clause in full, as there are many ‘shall’ aspects.SEMS QUESTION: PLANNING: Issue Identification: The event has a procedure to identify and document internal and external sustainability issues and evaluate their significance with respect to the activities, products and services of the event or the ability of the organisation to meet its intended outcomes.NOTE: This question also covers Clause 4.2 and 6.1.AUDITOR INSTRUCTIONS:This clause requires that a procedure exists explaining how they tackle issues identification and requires they have processes to do so. It requires that they document the outcomes of the identification process. Apart from issues identification, which is intimately tied to clauses 4.1 and 4.2, the key requirement of this clause is to plan actions to address issues identified. .This is any internal and external issue that may influence the ability of the organization to meet its sustainability goals and the auditor when undertaken the conformity assessment should consider these issues. • View the procedure for issues identification. • Agree that the event/organisation has identified their issues appropriately. • The process of issue identification includes engagement with stakeholders/interested parties to understand what they see as significant or relevant issues. It must be demonstrated that consultation with stakeholders has been included in order to identify issues. • View the plans for addressing issues. Look for action plans.CONFORMITY ASSESSMENT: The organisation has an issues identification procedure. The organisation has identified issues as they relate the sustainable development principles and context of the organisation and the expectations of interested parties. Stakeholders were included in the issues identification process. They have used the SEMS Tool or other checklists as part of their issues identification process. The event does not have an adequate issues identification procedure and processes. Auditor CommentsThis may include corrective action to be taken. Also include notes on continual improvement to look out for in the next audit. 6. PLANNING6.1 Actions to address risks and opportunities6.1.3 Legal and other requirementsShall Requirements:The organization shall establish, implement, maintain and revise periodically a procedure to identify, and have access to, current and emerging legal and other requirements, to which the organization subscribes.SEMS QUESTION: PLANNING: Procedure to identify any current or emerging sustainability-‐related legal or other requirements associated with the event activities, products and services.AUDITOR INSTRUCTIONS:This clause requires they establish, implement, maintain and revise periodically a procedure to identify, and have access to, current and emerging legal and other requirements, to which the organization subscribes. • Read the procedure. • Review the context of the organization and the event to understand, what legal or other requirements which influence the sustainability performance of the event may be relevant, in place and should be adhered to. • Review documentation that addresses how the organization manages complying with these requirements. • Be sure that any claims or conformance are met with actual performance, rather than claims only being a greenwash and no proof of conformity given publically or explained.• Read the SEMS template procedure for examples of what could be included.CONFORMITY ASSESSMENT: The organization has a procedure for identifying interested parties and their needs and expectations The organization has a process to identify stakeholders The organization has a process to map the communications and engagement methods. The organization documents the outcomes of engagement and communications. Documents are missing, see Auditor Comments Auditor CommentsThis may include corrective action to be taken. Also include notes on continual improvement to look out for in the next audit. 6. PLANNING6.2 Event sustainability objectives and how to achieve themShall Requirements:The organization shall establish event sustainability objectives at relevant functions and levels. The organization shall ensure that supporting targets are established.Also synergies with: ▪ what will be done – [6.1 Actions to address risks and opportunities] ▪ what resources will be required; [7.1 Resources] ▪ who will be responsible; [5.3 Organizational roles, responsibilities and authorities] ▪ when it will be completed; [6.1 Actions to address risks and opportunities] ▪ how the results will be evaluated. [9 Performance evaluation]SEMS QUESTION: Objectives and targets: Sustainability performance objectives, measurable targets and performance indicators have been set and communicated to all relevant parties. AUDITOR INSTRUCTIONS:• Look for the way the organization will assess its performance against key sustainability indicators. These should include the obvious metrics of physical impacts, but should also include the non-‐physical impacts, many of which are expressed in the GRI EOSS. • Ensure that the objectives, targets and performance indicators are relevant, that data collection is robust, and that analysis and interpretation of results is accurate and representative of the situation and performance outcomes.• Review the performance report and recommendations for future actions to ensure continual improvement. • It may be acceptable to have overarching objectives and then department specific measurables or even just action plans.CONFORMITY ASSESSMENT: The organization has objectives and targets to achieve in event sustainability performance. Included are indicators of performance. There are no goals or objectives set. There are some goals or objectives set, however many areas have not been addressed. Auditor commentsThis may include corrective action to be taken. Also include notes on continual improvement to look out for in the next audit.CommentsThis field is for validation purposes and should be left unchanged. Back to list of forms