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PQB D 37 S ISO 14 001 internal audit D 37ISO 14 001 internal audit Goal1 Scope2 Normative references3 Definitions4 Principles5 Auditp rogramme5.1 General5.2 Objectives5.3 Responsibilities5.4 Implementation5.5 Records5.6 Audit programme review6 Audit realization6.1 General6.2 Initiating6.2.1 Objectives, scope and criteria6.2.2 Situations and feasibility6.2.3 First contact6.3 Document review6.4 Preparing the audit6.5 Audit realization6.5.1 Opening6.5.2 Audit evidence6.5.3 Audit conclusions6.6 Audit report7 Auditor competences7.1 General7.2 Personal attributes7.3 Knowledge and skills7.4 Training7.5 Auditor evaluationAnnexesGoal of the modu:l eTo realize an internal audit according to ISO 19 011 so as to be able to:• verify the conformity to practices and effectiveness of the processes• determine the effectiveness of the ISO 14 001 environmental management system • help improve the ISO 14 001 environmental management system www.pqb.fr 1 3/ PQB D 37 S ISO 14 001 internal audit 1 ScopeThe worda udit comes from latin "audire" = to listen.Audit: systematic and ...
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PQB D 37 S
ISO 14 001 internal audit
D 37
ISO 14 001 internal audit
Goal
1 Scope
2 Normative references
3 Definitions
4 Principles
5 Audit programme
5.1 General
5.2 Objectives
5.3 Responsibilities
5.4 Implementation
5.5 Records
5.6 Audit programme review
6 Audit realization
6.1 General
6.2 Initiating
6.2.1 Objectives, scope and criteria
6.2.2 Situations and feasibility
6.2.3 First contact
6.3 Document review
6.4 Preparing the audit
6.5 Audit realization
6.5.1 Opening
6.5.2 Audit evidence
6.5.3 Audit conclusions
6.6 Audit report
7 Auditor competences
7.1 General
7.2 Personal attributes
7.3 Knowledge and skills
7.4 Training
7.5 Auditor evaluation
Annexes
Goal of the module
: To realize an internal audit according to ISO 19 011 so as to be able to:
•
verify the conformity to practices and effectiveness of the processes
•
determine the effectiveness of the ISO 14 001 environmental management system
•
help improve the ISO 14 001 environmental management system
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PQB D 37 S
ISO 14 001 internal audit
1 Scope
The word audit comes from latin "audire" = to listen.
Audit
:
systematic and independent survey to determine whether activities and results comply
with pre-established measures and are able to achieve the objectives
Usually audits are either internal or external.
The internal audits, called also first party audits are a requirement of the ISO 14 001 standard
(cf. subclause 4.5.5).
The external, customer (or supplier) and certification audits, called also of second and third
parties, are not within the scope of this module.
The internal audit is the most widespread tool to check and evaluate the effectiveness of an
environmental management system (EMS). Its purpose is in no case to find the weak points in
personnel. It has entered a company daily life as an inherent part of the environmental
management system.
Effectiveness
:
capacity to realize planned activities with minimum efforts
It's only through other people's eyes that one can really see one's weakness. Chinese
proverb
An audit is done of:
•
the environmental management system
•
a process
•
a product
•
a service
•
a project
Process
:
activities which transform inputs into outputs
The effectiveness audit is a mixed audit - to check whether the environmental management
system and its processes are efficient.
The internal audit results are part of the inputs of the management review and allow the
identification of fields in which to improve the environmental management system.
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PQB D 37 S
ISO 14 001 internal audit
Figure 1. Internal audit process
Interested party:
person, group or company affected by the impacts from an organization
As shown in figure 1, for the internal audit process, top management (one of the interested
party) is considered as a customer with its objectives, needs and expectations, which are
themselves related to the processes, products and customers. At the same time top
management is often the audit client.
2 Normative references
The advices given by the ISO 19 011 standard can be summarized in the following fields:
•
audit principles - clause 4
•
audit programme - clause 5
•
audit realization - clause 6
•
auditor competences - clause 7
A good knowledge of the ISO 14 001 standard is required to understand and follow this
module.
This module is based on the following generic and international standards:
•
ISO 19 011 (2002): Guidelines for quality and/or environmental management systems
auditing
•
ISO 14 001 (2004): Environmental management systems. Requirements with guidance
for use
•
ISO 9001 (2008): Quality management systems. Requirements
All these standards and many others can be ordered on the
ISO
web site, ISO store services.
3 Definitions
The beginning of wisdom is calling things by their right names. Confucius
Some terms and definitions currently used in this module:
Audit criteria
:
everything against which audit evidence is compared
Audit findings
:
every deviation from audit criteria
Auditee
:
everyone who is audited
Auditor
:
everyone who is trained to carry out audits
Competence
:
personal skills and knowledge
Corrective action
:
action to eliminate the causes of nonconformity or any other undesirable
event and to prevent recurrence
Customer
:
anyone who receives a product
Environment
:
space in which any organization functions
Environmental aspect
:
every element of an organization that interacts with the environment
Environmental impact
:
every change in the environment caused by an organization
Environmental objective
:
environment related, measurable goal that must be achieved
Environmental target
:
value of a parameter, associated with an environmental objective,
allowing the measure of its effectiveness in an objective way
Nonconformity
:
non-fulfilment of a specified requirement
Organization
:
a structure that satisfies a need
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