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1、STD.ASQC 14010-ENGL L77b 075950b 0002OLO 983 ANSI/ISO 14010-1996 Guidelines for environmental auditing - General principles 3 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. 10 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 Licensed by Information Handling Services COPYRIGH
3、T American Society for Quality Licensed by Information Handling Services STD.ASQC 1YOLO-ENGL 197b 075950b 0002013 b72 ANSI/ISO 1401 0-1 996 Contents Page 1 Scope 2 Definitions 3 Requirements for an environmental audit 4 General principles . 4.1 Objectives and scope . 4.2 Objectivity. independence an
4、d competence . 4.3 Due professional care 4.4 Systematic procedures . Audit criteria, evidence and findings Reliability of audit findings and conclusions . 4.5 4.6 4.7 Audit report Annex A Bibliography . 1 1 2 2 2 2 2 2 3 3 3 4 iii COPYRIGHT American Society for Quality Licensed by Information Handli
5、ng Services COPYRIGHT American Society for Quality Licensed by Information Handling Services STD-ASdC L40LO-ENGL L77b = 075750b 030203 527 ANSI/ISO 1401 0-1 996 o IS0 Foreword IS0 (the International Organization for Standardization) is a worldwide fed- eration of national standards bodies (IS0 membe
6、r bodies). The work of preparing 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, governm
7、ental and nongovern- mental, in 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 th
8、e member bodies for voting. Publication as an International Stan- dard requires approval by at least 75% of the member bodies casting a vote. International Standard IS0 1401 O was prepared by Technical Committee ISO/TC 207, Environmental management, Subcommittee SC 2, Environ- mental auditing and re
9、lated environmental investigations. Annex A of this International Standard is for information only. iV COPYRIGHT American Society for Quality Licensed by Information Handling Services COPYRIGHT American Society for Quality Licensed by Information Handling Services STDIASQC LLiOLO-ENGL 199b 075950b 0
10、0020L5 Lib5 o IS0 ANSI/ISO 1401 0-1 996 Introduction Environmental auditing has established itself as a valuable instrument to ver- ify and help improve environmental performance. This International Standard is intended to guide organizations, auditors and their clients on the general principles com
11、mon to the conduct of environmen- tal audits. It provides definitions of environmental audit and related terms, and the general principles of environmental auditing. This is one in a series of International Standards in the field of environmen- tal auditing which also includes IS0 1401 1 :i 996, Gui
12、delines for environment auditing - Audit procedures - Auditing of environmental management systems. IS0 1401 2:1996, Guidelines for environmental auditing - Qualification crite- ria for environmental auditors. More International Standards in this series may be prepared in the future. V COPYRIGHT Ame
13、rican Society for Quality Licensed by Information Handling Services COPYRIGHT American Society for Quality Licensed by Information Handling Services STD-ASQC 240LO-ENGL L77b 075750b 00020Lb 3TL o IS0 ANSI/ISO 1401 0-1 996 Guidelines for environmental auditing - General principles 1 Scope This Intern
14、ational Standard provides the general prin- ciples of environmental auditing that are applicable to all types of environmental audits. Any activity defined as an environmental audit in accordance with this Inter- national Standard should satisfy the recommendations given in it. 2 Definitions For the
15、 purposes of this International Standard, the fol- lowing definitions apply. NOTE -Terms and definitions in the field of environmental management are given in IS0 14050. 2.1 audit conclusion professional judgement or opinion expressed by an au- ditor about the subject matter of the audit, based on a
16、nd limited to reasoning the auditor has applied to audit findings 2.2 audit criteria policies, practices, procedures or requirements against which the auditor compares collected audit evidence about the subject matter NOTE - Requirements may include but are not limited to standards, guidelines, spec
17、ified organizational requirements, and legislative or regulatory requirements. 2.3 audit evidence verifiable information, records or statements of fact NOTES 1 Audit evidence, which can be qualitative or quantitative, is used by the auditor to determine whether audit criteria are met. 2 Audit eviden
18、ce is typically based on interviews, examina- tion of documents, observation of activities and conditions, existing results of measurements and tests or other means within the scope of the audit. 2.4 audit findings results of the evaluation of the collected audit evidence compared with the agreed au
19、dit criteria NOTE-The audit findings provide the basis for the audit report. 2.5 audit team group of auditors, or a single auditor, designated to per- form a given audit; the audit team may also include tech- nical experts and auditors-in-training NOTE - One of the auditors on the audit team perform
20、s the function of lead auditor. 2.6 auditee organization to be audited 2.7 environmental auditor person qualified to perform environmental audits NOTE - Qualification criteria for environmental auditors are given, for example, in IS0 14012. 2.8 client organization commissioning the audit NOTE -The c
21、lient may be the auditee, or any other organi- zation which has the regulatory or contractual right to commis- sion an audit. 2.9 environmental audit systematic, documented verification process of objec- tively obtaining and evaluating audit evidence to deter- 1 COPYRIGHT American Society for Qualit
22、y Licensed by Information Handling Services COPYRIGHT American Society for Quality Licensed by Information Handling Services STD-ASQC LLiOLO-ENGL L77b m 07575b 0002OLi 238 m ANSVIS0 1401 0-1 996 mine whether specified environmental activities, events, conditions, management systems, or information a
23、bout these matters conform with audit criteria, and commu- nicating the results of this process to the client 2.1 o lead environmental auditor person qualified to manage and perform environmen- tal audits NOTE - Qualification criteria for lead environmental audi- tors are given, for example, in IS0
24、14012. 2.1 1 organization company, corporation, firm, enterprise, authority or insti- tution, or part or combination thereof, whether incorpo- rated or not, public or private, that has its own functions and administration NOTE -Adapted from IS0 14001 :1996. 2.1 2 subject matter specified environment
25、al activity, event, condition, man- agement system and/or information about these matters 2.1 3 technical expert person who provides specific knowledge or expertise to the audit team, but who does not participate as an auditor 3 Requirements for an environmental audit An environmental audit should f
26、ocus on clearly defined and documented subject matter. The party (or parties) responsible for this subject matter should also be clearly identified and documented. The audit should only be undertaken if, after consulta- tion with the client, it is the lead auditors opinion that there is cuff icient
27、and appropriate information about the subject matter of the audit; there are adequate resources to support the audit p rocesc; there is adequate cooperation from the auditee. General principles 4.1 Objectives and scope The audit should be based on objectives defined by the client. The scope is deter
28、mined by the lead auditor, 2 o IS0 in consultation with the client, to meet these objectives. The scope describes the extent and boundaries of the audit. The objectives and scope should be communicated to the auditee prior to the audit. 4.2 Objectivity, independence and competence In order to ensure
29、 the objectivity of the audit process and its findings and any conclusions, the members of the audit team should be independent of the activities they audit. They should be objective, and free from bias and conflict of interest throughout the process. The use of external or internal audit-team membe
30、rs is at the discretion of the client. An audit-team member chosen from within the organization should not be ac- countable to those directly responsible for the subject matter being audited. The audit-team members should possess an appropri- ate combination of knowledge, skills and experience to ca
31、rry out audit responsibilities. 4.3 Due professional care In the conduct of an environmental audit, auditors should use the care, diligence, skill and judgement expected of any auditor in similar circumstances. The relationship between the audit-team members and the client should be one of confident
32、iality and discre- tion. Unless required by law, the audit-team members should not disclose information or documents obtained during the audit, or the final report, to any third party, without the express approval of the client and, where appropriate, the approval of the auditee. The auditor should
33、follow procedures that provide for quality assurance. 4.4 Systematic procedures The environmental audit should be conducted in accor- dance with these general principles and any guidelines developed for the appropriate type of environmental audit. NOTE - Guidelines for conducting environmental manag
34、e- ment system audits are given, for example, in IS0 1401 1. To enhance consistency and reliability, the environmen- tal audit should be conducted according to documented and well-defined methodologies and systematic proce- COPYRIGHT American Society for Quality Licensed by Information Handling Serv
35、ices COPYRIGHT American Society for Quality Licensed by Information Handling Services o IS0 dures. For any type of environmental audit, the method- ologies and procedures should be consistent. The pro- cedures for one type of environmental audit differ from those of another only where it is essentia
36、l to the spe- cific character of a given type of environmental audit. 4.5 Audit criteria, evidence and findings An early and essential step in an environmental audit should be the determination of audit criteria. These cri- teria at an appropriate level of detail should be agreed between the lead au
37、ditor and the client, and then com- municated to the auditee. Appropriate information should be collected, analysed, interpreted and recorded to be used as audit evidence in an examination and evaluation process to deter- mine whether the audit criteria are met. Audit evidence should be of such a qu
38、ality and quantity that competent environmental auditors working inde- pendently of each other will reach similar audit findings from evaluating the same audit evidence against the same audit criteria. 4.6 Reliability of audit findings and conclusions The environmental auditing process should be des
39、igned to provide the client and auditor with the desired level of confidence in the reliability of the audit findings and any audit conclusions. The audit evidence collected during an environmental audit will inevitably be only a sample of the information available, partly due to the fact that an en
40、vironmental audit is conducted during a limited period of time and with limited resources. There is therefore an element of uncertainty inherent in all environmental audits and all users of the results of environmental audits should be aware of this uncertainty. The environmental auditor should cons
41、ider the limita- tions associated with the audit evidence collected during the audit, and the recognition of uncertainty in audit findings and any audit conclusions, and should take these factors into account in planning and conducting the audit. ANSI/ISO 1401 0-1 996 The environmental auditor shoul
42、d endeavour to obtain sufficient audit evidence so that significant individual au- dit findings and aggregates of less significant findings, both of which may affect any audit conclusions, are taken into account. 4.7 Audit report The audit findings and/or a summary thereof should be communicated to
43、the client in a written report. Unless specifically excluded by the client, the auditee should receive a copy of the audit report. Audit-related information that may be in audit reports, includes. but is not limited to the identification of the organization audited and of the client; the agreed obje
44、ctives and scope of the audit; the agreed criteria against which the audit was conducted: the period covered by the audit and the date(s) the audit was conducted; the identification of the audit-team members; the identification of the auditees representatives participating in the audit: a statement
45、of the confidential nature of the con- tents; the distribution list for the audit report; a summary of the audit process including any ob- stacles encountered; the audit conclusions. The lead auditor in consultation with the client should determine which of these items, together with any ad- ditiona
46、l items, will be included in the report. NOTE - Normally it should be the responsibility of the client or the auditee to determine any corrective action needed to respond to the audit findings. However, the auditor may pro- vide recommendations when there has been a prior agree- ment to do so with t
47、he client. 3 COPYRIGHT American Society for Quality Licensed by Information Handling Services COPYRIGHT American Society for Quality Licensed by Information Handling Services STD*ASQC L9OLO-ENGL L77b W 075950b 00020L7 O00 W ANSMSO 1401 0-1 996 o IS0 Annex A (i n fo r m at i ve) Bibliography l IS0 14
48、001 :1996, Environmental management sys- 3 IS0 14012:1996, Guidelines for environmental tems - Specification with guidance for use. auditing - Qualification criteria for environmental auditors. 2 IS0 1401 1 :1996, Guidelines for environmental au- diting-Audit procedures -Auditing of environ- 4 IS0 1
49、4050: - ), Environmental management - mental management systems. Terms and definitions. 1) To be published. 4 COPYRIGHT American Society for Quality Licensed by Information Handling Services COPYRIGHT American Society for Quality Licensed by Information Handling Services _ STD.ASQC LLiULU-ENGL L77b 075750b O002020 22 ASQC I 61 1 East Wisconsin Avenue P.O. Box 3005 Milwaukee. WI 53201-3005 T67 Printed in the United States of America COPYRIGHT American Society for Quality Licensed by Information Handling Services COPYRIGHT American Society for Quality Licensed by