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1、ANSI/ISO 14011-1996 Guidelines for environmental auditing - Audit procedures - Auditing of environmental management systems c Approved as an American National Standard by: American Society for Quality Control American Society for Testing and thereby be recognized throughout the world as the leading
2、authority on, and champion for, quality. 1 0 9 8 7 6 5 4 3 2 1 Printed in the United States of America Printed on acid-free recycled paper Published by: ASQC 61 1 East Wisconsin Avenue Milwaukee, Wisconsin 53202 Copyright American Society for Quality Provided by IHS under license with ASQ Licensee=I
3、HS Employees/1111111001, User=Wing, Bernie Not for Resale, 04/18/2007 11:47:37 MDTNo reproduction or networking permitted without license from IHS -,-,- Contents Page 1 Scope 2 Normative reference 3 Definitions 4 Environmental management system audit objectives. roles and responsibilities . 4.1 Audi
4、t objectives 4.2 Roles. responsibilities and activities . 4.2.1 Lead auditor 4.2.2 Auditor . 4.2.3 Audit team . 4.2.4 Client . 4.2.5 Auditee 5 Auditing . 5.1 Initiating the audit . 5.1.1 Audit scope 5.1.2 Preliminary document review 5.2 Preparing the audit . 5.2.1 Audit plan 5.2.2 Audit-team assignm
5、ents 5.2.3 Working documents . 5.3 Conducting the audit 5.3.1 Opening meeting . 5.3.2 Collecting audit evidence . 5.3.3 Audit findings . 5.3.4 Closing meeting . 1 1 1 1 1 2 2 2 2 2 3 3 3 3 3 3 3 4 4 4 4 4 4 4 iii Copyright American Society for Quality Provided by IHS under license with ASQ Licensee=
6、IHS Employees/1111111001, User=Wing, Bernie Not for Resale, 04/18/2007 11:47:37 MDTNo reproduction or networking permitted without license from IHS -,-,- STD.-SQC LIIOLl-ENGL L77b m 075750b 0002025 304 m ANSI/ISO 1401 1-1 996 0 IS0 5.4 Audit reports and document retention 5 5 . 4 . 1 Preparation of
7、audit report . 5 5.4.2 Content of audit report . 5 5 . 4 . 3 Distribution of audit report . 5 5.4.4 Document retention . 5 5 Audit completion 5 Annex A Bibliography . 6 Copyright American Society for Quality Provided by IHS under license with ASQ Licensee=IHS Employees/1111111001, User=Wing, Bernie
8、Not for Resale, 04/18/2007 11:47:37 MDTNo reproduction or networking permitted without license from IHS -,-,- o IS0 ANSIASO 1401 1-1 996 Foreword IS0 (the International Organization for Standardization) is a worldwide fed- eration of national standards bodies (IS0 member bodies). The work of prepari
9、ng International Standards is normally carried out through IS0 tech- nical committees. Each member body interested in a subject for which a tech- nical committee has been established has the right to be represented on that committee. International organizations, governmental and nongovern- mental, i
10、n liaison with ISO, also take part in the work. IS0 collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. Draft International Standards adopted by the technical committees are circu- lated to the member bodies for voting. Pu
11、blication as an International Stan- dard requires approval by at least 75% of the member bodies casting a vote. International Standard IS0 14010 was prepared by Technical Committee lSO/TC 207, Environmental management, Subcommittee SC 2, fnviron- mental auditing and related environmental investigati
12、ons. Annex A of this International Standard is for information only. Copyright American Society for Quality Provided by IHS under license with ASQ Licensee=IHS Employees/1111111001, User=Wing, Bernie Not for Resale, 04/18/2007 11:47:37 MDTNo reproduction or networking permitted without license from
13、IHS -,-,- STD-ASQC LL(ULL-ENGL L74b m 075750b O002027 187 B ANSVIS0 1401 1-1 996 o IS0 Introduction Organizations of all kinds may have a need to demonstrate environmental responsibility. The concept of environmental management systems (EMS) and the associated practice of environmental auditing have
14、 been advanced as one way to satisfy this need. These systems are intended to help an organization establish and continue to meet its environmental policies, objectives, stan- dards and other requirements. This International Standard provides procedures for the conduct of EMS audits. It is applicabl
15、e to all types and sizes of organizations operating an EMS. vi Copyright American Society for Quality Provided by IHS under license with ASQ Licensee=IHS Employees/1111111001, User=Wing, Bernie Not for Resale, 04/18/2007 11:47:37 MDTNo reproduction or networking permitted without license from IHS -,
16、-,- o IS0 ANSMSO 1401 1-1 996 Guidelines for environmental auditing -Audit procedures - Auditing of environmental management systems 1 Scope This International Standard establishes audit procedures that provide for the planning and conduct of an audit of an EMS to determine conformance with EMS audi
17、t cri- teria. 2 Normative reference The following standards contain provisions which, through reference in this text, constitute provisions of this International Standard. At the time of publication, the editions indicated were valid. All standards are subject to revision, and parties to agreements
18、based on this In- ternational Standard are encouraged to investigate the possibility of applying the most recent editions of the standards indicated below. Members of IEC and IS0 maintain registers of currently valid International Stan- dards. IS0 14001 : 1996, Environmental management sys- tems - S
19、pecification with guidance for use. IS0 1401 O: 1 996, Guidelines for environmental audit- ing - General principles. IS0 1401 2 1 996, Guidelines for environmental audit- ing - Qualification criteria for environmental auditors. 3 Definitions For the purposes of this International Standard, the de- f
20、initions given in IS0 14010 and IS0 14001 apply, to- gether with the following. NOTE-Terms and definitions in the field of environmental management are given in IS0 14050. 3.1 environmental management system that part of the overall management system that includes organizational structure, planning
21、activities, responsibil- ities, practices, procedures, processes and resources for developing, implementing, achieving, reviewing and maintaining the environmental policy IS0 14001 :1996 3.2 environmental management system audit systematic and documented verification process of ob- jectively obtaini
22、ng and evaluating audit evidence to determine whether an organizations environmental management system conforms to the environmental management system audit criteria, and communicat- ing the results of this process to the client 3.3 environmental management system audit criteria policies, practices,
23、 procedures or requirements, such as those covered by IS0 14001 and, if applicable, any additional EMS requirements against which the auditor compares collected audit evidence about the organiza- tions environmental management system 4 Environmental management system audit objectives, roles and resp
24、onsibilities 4.1 Audit objectives An EMS audit should have defined objectives; examples of typical objectives are as follows: a) to determine conformance of an auditees EMS with b) to determine whether the auditees EMS has been the EMS audit criteria; properly implemented and maintained; 1 Copyright
25、 American Society for Quality Provided by IHS under license with ASQ Licensee=IHS Employees/1111111001, User=Wing, Bernie Not for Resale, 04/18/2007 11:47:37 MDTNo reproduction or networking permitted without license from IHS -,-,- STD-ASQC /LIOL/-ENL L49b m ANSI/ISO 1401 1-1 996 to identify areas o
26、f potential improvement in the auditees EMS; to assess the ability of the internal management review process to ensure the continuing suitability and effectiveness of the EMS; to evaluate the EMS of an organization where there is a desire to establish a contractual relationship, such as with a poten
27、tial supplier or a joint-venture partner. 4.2 Roles, responsibilities and activities 4.2.1 Lead auditor The lead auditor is responsible for ensuring the effi- cient and effective conduct and completion o f the audit within the audit scope and plan approved by the client. In addition, responsibilitie
28、s and activities of the lead auditor should cover consulting with the client and the auditee, if appro- priate, in determining the criteria and scope of the audit; obtaining relevant background information neces- sary to meet the objectives of the audit, such as de- tails of the auditees activities,
29、 products, services, site and immediate surroundings, and details of pre- vious audits; determining whether the requirements for an envi- ronmental audit as given in IS0 14010 have been met; forming the audit team giving consideration to po- tential conflicts of interest, and agreeing on its com- po
30、sition with the client; directing the activities of the audit team in accor- dance with the guidelines of IS0 14010 and this International Standard; preparing the audit plan with appropriate consulta- tion with the client, auditee and audit-team mem- bers; communicating the final audit plan to the a
31、udit team, auditee and client; coordinating the preparation of working documents and detailed procedures, and briefing the audit team; seeking to resolve any problems that arise during the audit; recognizing when audit objectives become unattain- able and reporting the reasons to the client and the
32、auditee; representing the audit team in discussions with the auditee, prior to, during and after the audit; o IS0 notifying the auditee without delay, of audit findings of critical nonconformities; reporting to the client on the audit clearly and con- clusively within the time agreed within the audi
33、t plan; making recommendations for improvements to the EMS, if agreed in the scope of the audit. 4.2.2 Auditor Auditor responsibilities and activities should cover following the directions of and supporting the lead auditor; planning and carrying out the assigned task objec- tively, effectively and
34、efficiently within the scope of the audit; collecting and analysing relevant and sufficient audit evidence to determine audit findings and reach audit conclusions regarding the EMS; preparing working documents under the direction of the lead auditor; documenting individual audit findings; safeguardi
35、ng documents pertaining to the audit and returning such documents as required; assisting in writing the audit report. 4.2.3 Audit team The process for selecting audit-team members should ensure that the audit team possesses the overall ex- perience and expertise needed to conduct the audit. Consider
36、ation should be given to a) qualifications as given, for example, in IS0 14012; b) the type of organization, processes, activities or c) the number, language skills and expertise of the d) any potential conflict of interest between the audit- e) requirements of clients, and certification and accred-
37、 functions being audited: individual audit-team members; team members and the auditee; itation bodies. The audit team may also include technical experts and auditors-in-training that are acceptable to the client, auditee and lead auditor. 4.2.4 Client Client responsibilities and activities should co
38、ver a) determining the need for the audit; Copyright American Society for Quality Provided by IHS under license with ASQ Licensee=IHS Employees/1111111001, User=Wing, Bernie Not for Resale, 04/18/2007 11:47:37 MDTNo reproduction or networking permitted without license from IHS -,-,- contacting the a
39、uditee to obtain its full cooperation and initiating the process; defining the objectives of the audit; selecting the lead auditor or auditing organization and, if appropriate, approving the composition of the audit team; providing appropriate authority and resources to enable the audit to be conduc
40、ted; consulting with the lead auditor to determine the scope of the audit; approving the EMS audit criteria; approving the audit plan; receiving the audit report and determining its dis- tribution. The resources committed to the audit should be suffi- cient to meet its intended scope. 5.1.2 Prelimin
41、ary document review At the beginning of the audit process, the lead auditor should review the organizations documentation such as environmental policy statements, programmes, records or manuals for meeting its EMS requirements. In doing so, use should be made of all appropriate background informatio
42、n on the auditees organization. If the docu- mentation is judged to be inadequate to conduct the audit, the client should be informed. Additional re- sources should not be expended until further instruc- tions have been received from the client. 5.2 Preparing the audit 4.2.5 Auditee The responsibili
43、ties and activities of the auditee should cover 5.2.1 Audit plan The audit plan should be designed to be flexible in informing employees about the objectives and scope of the audit as necessary; providing the facilities needed for the audit team in order to ensure an effective and efficient audit pr
44、ocess; appointing responsible and competent staff to ac- company members of the audit team, to act as guides to the site and to ensure that the audit team is aware of health, safety and other appropriate requirements; providing access to the facilities, personnel, rele- vant information and records
45、as requested by the auditors; cooperating with the audit-team to permit the audit objectives to be achieved; receiving a copy of the audit report unless specifi- cally excluded by the client. Auditing Initiating the audit order to permit changes in emphasis based on infor- mation gathered during the
46、 audit, and to permit effec- tive use of resources. The plan should, if applicable, include a) the audit objectives and scope; b) the audit criteria; c) identification of the auditees organizational and functional units to be audited; d) identification of the functions and/or individuals within the
47、auditees organization having significant direct responsibilities regarding the auditees EMS; e) identification of those elements of the auditees EMS that are of high audit priority; f) the procedures for auditing the auditees EMS ele- ments as appropriate for the auditees organization; g) the workin
48、g and reporting languages of the audit: h) identification of reference documents; i) the expected time and duration for major audit ac- j) the dates and places where the audit is to be con- tivities; of reporting The scope of the audit is determined by the m) confidentiality requirements; client and the lead auditor. The auditee should normally be consulted when determining the scope of the audit. Any subsequent changes to the audit scope require the n) report content and format, expected date of issue and distribution of the audit report; agreement