ISO 14011:1996 download free

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ISO 14011:1996 download free.Guidelines for environmental auditing — Audit procedures — Auditing of environmental management systems.
ISO 14011 establishes audit procedures that provide for the planning and conduct of an audit of an EMS to determine conformance with EMS audIt criteria.
2 NormatIve reference
The following standards contain provisàons which, through reterenca in this text, constitute provisions of ISO 14011. At the Lime of publication, the editions indicated were valid. All standards are subject to revision, and parties to agreements based on ISO 14011 are encouraged to invostigate the possibility of applying the most recent editions of the standards indicated beLnw. Members of IEC and ISO maintain registers of currently valid International Standards.
ISO 14001.1998, Environmental Management Systems — Specification with guidance for use.
ISO 14010:1996, Guidelines for environmental auditing — General pnnciplos.
ISO 14012:1996, Guidelines for environmental auditing — Qualn’ration criteria for en vi ronmen 181 audItors,
3 Definitions
For the purposes of ISO 14011, the definitions given in ISO 14010 and ISO 14001 apply, together with the ldlowing.
NOTE — Terms and delIrflons In the field of environmental management are ven In ISO 14050.
c) to identify areas of potential improvement in the auditees EMS;
d) to assess the ability of the internal management review process to ensure the continuing suitability and effectiveness of the EMS;
s) to evaluate the EMS of an organization where there is a desire to establish a contractual relationship, such as with a potential supplier or a joint-venture partner.
4.2 Roles, responsibilities and activities
4.2.1 Lead auditor
The lead auditor is responsible for ensunng the etticient and eltective conduct and completion of tne audit within the audit scope and plan approved by the dient.
In addition, responsibilities and activities of tho load auditor should cover
a) consulting with the client and the auditee, if appropriate. In determining the criteria and scope of the audit;
b) obtaining relevant background information necessary to met the objectives of the audit such as details of the auditees activities, products, services, site and immediate surroundings. and details of previous audits:
c) determining whether the requirements for an environmental audit as given in ISO 14010 have been met;
d) forming the audit team giving consideration to potential conflicts of interest, and agreeing on its conositien with the dient;
e) directing the activities of the audit team in accordance with the guidelines of ISO 14010 and ISO 14011 :
1) preparing the audit plan with appropriate consultation with the client, euditee end audit-team members;
g) communicating the final audit plan to the audit team, auditee and client:
h) coordinating the preparation of working documents and detailed procedures, and briefing the audit team;
i) seeking to resolve any problems that arise during the audit:
g) recognizing when audit objectives become un attainable and reporting the reasons to the client and the auditee;
k) representing the audit team in discussions with the auditee, prior to, during and after the audit:
The re.sources committed to the audit should be sufficient to meet Its Intended scope.
5.12 Preliminary document review
At the beginning of the audit process, the lead auditor should review the organizations documentation such as environmental policy statements, programmos, records or manuals for meeting its EMS requirements. In dcNng so, use should be made of all appropriate background Information on the auditee’s organization. If the documentation is judged to be Inadequate to conduct the audit, the client should be informed. Additional resources should not be expended until further instructions have been received from tho cliont.
5.2 Preparing the audit
5.2.1 AudIt plan
The audit plan should be designed to be flexible in order to permit changes in emphasis based on information garnered during the audit, and to permit effective use of resources.
The plan should, if applicable, include
the audit objectives and scope; the audit criteria;
identification of the auditees organizational and functional units to be audited;
d) identification of the functions and/or individuals within the auditees organization having significant direct responsibilities regarding the audilee’s
e) identification of those elements of the auditees EMS that are of high audit priority;
1) the procedures for auditing the auditees EMS elements as appropnate for the auditee’s organization;
the working and reporting languages of the audit; identification of reference documents;
the expected time and duration for major audit activities;
j) the dates and places where the audit is to be conducted:
identification of audit-team members;
the schedule of meetings to be held with the auditees management;
m) confidentiality requirements:
n) report content and format, expected date of issue and distribution of the audit report;
o) document retention requirements.
The audit plan should be communicated to the client, the audit-team members and the auditee The client should review arid approve the plan.
if the auditee objects to any provisions in the audit plan, such objections should be made known to the load auditor. They should be resolved between the lead auditor, the auditee and the chent before conducting the audit. Any revised audit plan should be agreed between the parties concerned before or during the audit.
52.2 Audit-team assignments
As appropriate, each audit-team member should be assigned specific EMS elements, functions, or activities to audit and be instructed on the audit procedure to follow. Such assignments should be made by the lead auditor in consultation with the audit-team members concerned. During the audit, the lead auditor may make changes to the work assignmonts to ensure the optimal achievement of the audit objectives.
52.3 WorkIng documents
The working documents required to facilitate the audito?s investigations may include
a) forms for documenting supporting audit evidence and audit findings;
b) procedures and checklists used for evaluating IEMS elements;
c) records of meetings.
Working documents should be maintained at least until completion of the audit; those knvoMng confidential or proprietary information should be suitably safeguarded by the audit-team members.
5.3 ConductIng the audit
5.3.1 Opening meeting
There should be an opening meeting. The purpose of an opening meeting Is to
a) Introduce the menters of the audit team to the auditees management;
b) review the scope, objectives and audit plan and agree on the audit timetable;
c) provide a short summary of the methods and procedures to be used to conduct the audit;
d) establish the official communication links between the audit team and the auditce;
e) confirm that the resources and facilities needed by the audit team are available;
f) confirm the time and date of tho closing meeting:
g) promote the active participation by the audiffie:
h) review relevant site safety and emergency procodures for the audit team.
5.3.2 Collecting audit evldnce
Sufficient audit evidence should be collected to he able to determine whether the auditee’s EMS con• forms to the EMS audit criteria.
Audit evidence should be colloctod through interviews, examination of documents and observation of activities and conditions. Indications of nonconformity to the EMS audit criteria should be recorded.
Information gathered through interviews should be verified by acquiring supporting information from independent sources, such as observations, records and results ci existing measurements. Non-verifiable statements should be identified as such.
The audit learn should examine the basis of relevant sampling programmes and the procedures for ensuring effective quality control of sampling and measurernent processes, used by the auditec as part of its EMS actMties.
5.3.3 AudIt fIndings
The audit team should review all of their audit evidence to determine where the EMS does not conform to the EMS audit criteria. The audit team should then ensure that audit findings of nonconformity are docurnented in a clear, concise manner and supported by aud evidence.
Audit findings should be reviewed with tie responsible auditee manager with a view to obtaining acknowledgement of the factual basis of all findings of nonconformity.
NOTE — If within the agreed scope, details of audit ?Indmgs of conformity may also be documented, but with due care to avoid any implication of absolute assurance.
5.3.4 ClosIng meetIng
After completion of the audit evidence collection phase and prior to preparing an audit report, the audit team should hold a meeting with the auditecs management and those responsible for the functions audited. The main purpose of this meeting is to present audit findings to the auditee in such a manner as to obtain their clear understanding and acknowledgement of the factual basis of the audit findings.
Disagreements should be resolved. if possible before the lead auditor issues the report. Final decisions on
the significance and deschptn of the audit findings ultimately rest with the lead auditor, though the auditee or chent may still disagree with these findings.
5.4 Audit reports and document retention
5.4.1 PreparatIon of audit report
The audit report is prepared under the direction of the lead auditor1 who is responsible for its accuracy and completeness. The topics to be addressed In the audit report should be those determined in the audit plan. Any changes desired at the time of preparation of the report should be agreed upon by the parties concerned.
5.4.2 Content of audit report
The audit report should be dated and signed by the lead auditor. It should contain the audit findings and/or a summary thereof with reference to supporting evidence. Subjoct to agreement betWeen the lead auditor and the client, the audit report may also include the tollowing:
a) the identification of the organization audited and of the client;
b) the agreed objectives, scope and plan of the audit;
c) the agreed criteria, including a list of reference documents against which the audit was conducted;
d) the period covered by the audit and the date(s) the audit was conducted;
e) the identification of the auditee’s representatives participating in the audit;
f) the identification of the audit-team members;
g) a statement of the confidential nature of the contents;
h) the distribution list for the audit roport.

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