ISO14001:2004

ISO14001:2004

Internal Auditing Tips

On this page we will be adding tips to assist you in your auditing efforts.

Free Tip #1:
Contact auditees at least four times about their scheduled audit. The first contact would come when the annual audit schedule is generated. The second should be about one month prior to the audit. This allows the auditee time to prepare for any additional resources necessary (They shouldn't need extra time to "get their areas squared away".). The third contact should be about a week before the audit. At this time, you can give the auditee a detailed schedule about exact times, and locations of audit activities. For example, you will be auditing receiving inspection at 10:45. Each of these contacts should be in writing (email is just as good). The day before the audit, place a quick phone call (or voicemail) to verify the audit.

Of course, you still need to have an opening meeting, and that is in addition to the above. The reason for the multiple contacts is simply, we tend to forget things due to our work load. Audits should never be a surprise, this ensures the auditee has every chance to prepare.

Free Tip #2:
When preparing the audit schedule take into account such things as:

:: Available resources
:: Audit Scope
:: Sample Size

The key is not to bite off more than your auditors can chew [Translation: Don't over-commit your resources]. Smaller, but more frequent audits may be better than comprehensive three-day audits. Inadequate resources may indicate lace of Executive Management commitment.

Free Tip #3:
One of the hardest things to do is get a quick turn-around time on corrective actions. Auditors are frequently frustrated by lower and mid-management's foot dragging on responding to audit findings. One way to get faster action is to have executive management place effective corrective action turn-around time in management's performance appraisals. By tying in corrective actions to performance appraisals, bonuses, etc., you virtually force management into timely, effective corrective actions. This could also work with audits completed on time, etc. It also shows lower and mid-management that executive management is committed to the process.

Free Tip #4:
If you company has email…try to set up a paperless audit system where the only thing you would need to "print out" and hand write would by your audit worksheet, which you take withy you to collect your evidence/samples. We have a paperless system here - we are able to email out notification forms and audit summaries without ever printing a sheet. It works EXCELLENTLY! We even File our paperless paperwork electronically for when our third -party auditors come to audit!
Write your procedures in Flowchart style. This helps to make the workflows appear that much clearer for new and veteran auditors alike. By having all of our procedures in flowchart style, we have cut down on our audit time by half and increased audit accuracy tremendously!
Jill Chavanne, Internal Audit Program Manager, Weiss-aug. Co

Free Tip #5:
Auditors are frequently frustrated by lower and mid-management's foot dragging on responding to audit findings. One way to improve the timeliness of audit finding responses is to issue reminder notifications. Our audit finding response due dates are normally two weeks from the issue date of the finding. I typically issue two "Reminder of Approaching due date" notifications, one at 50% of allotted response time and the other at 75%. This method can be modified to fit your particular system, i.e. issuing only one notice for lessor response time allotments. This documentation can be in the form of a manual memorandum/form or the more efficient e-mailed memorandum/form. Issuing reminder notifications demonstrates a monitored system and can also prove useful if elevation of the finding becomes necessary.
David A. Wimer, BAE SYSTEMS

Free Tip #6:
"Be sure to follow-up on corrective actions from previous audits: don't only audit to see the corrective actions have been implemented. Make sure the corrective action corrected the problem that caused the corrective action in the first place."

Betsy Hsiao, Quest Analytical

Editor's note: One theme Internal-Auditor.com has pushed over and over again is the output of audit nonconformances should be effective corrective actions. My good friend Betsy is absolutely correct. This is one area where many internal audit programs are weak. We don't want to upset the auditee when the corrective action is ineffective, so we overlook the situation. Read the observation again, study it, and do it!

Free Tip #7:
In order to have an effective Corrective Action, Nonconformities must have three attributes:

They must be Understandable: If the auditee does not understand the nonconformity, they will not know how to deal with it.
They must be Actionable: If there is no action that can be taken, the Corrective Action cannot be achieved.
They must be Unarguable (that is not a word, but it fits): If an auditee can argue ANY part of a nonconformity, they will argue rather than correct.

Free Tip #8:
Auditing is all about asking questions. As an auditor, you have to make sure you ask the right person, the right question. You also have to make sure YOU understand the question you are about to ask. If you don't understand the question, how can you expect to understand the answer. You must also ask questions in a manner that the auditee will understand them.

Source: www.internal-auditor.com/tips.htm

Abstract ISO 14001:2004

ISO 14001:2004 specifies requirements for an environmental management system to enable an organization to develop and implement a policy and objectives which take into account legal requirements and other requirements to which the organization subscribes, and information about significant environmental aspects. It applies to those environmental aspects that the organization identifies as those which it can control and those which it can influence. It does not itself state specific environmental performance criteria.

ISO 14001:2004 is applicable to any organization that wishes to establish, implement, maintain and improve an environmental management system, to assure itself of conformity with its stated environmental policy, and to demonstrate conformity with ISO 14001:2004 by

a) making a self-determination and self-declaration, or

b) seeking confirmation of its conformance by parties having an interest in the organization, such as customers, or

c) seeking confirmation of its self-declaration by a party external to the organization, or

d) seeking certification/registration of its environmental management system by an external organization.

All the requirements in ISO 14001:2004 are intended to be incorporated into any environmental management system. The extent of the application will depend on factors such as the environmental policy of the organization, the nature of its activities, products and services and the location where and the conditions in which it functions.

ISO 14001:2004 also provides, in Annex A, informative guidance on its use

Source: iso.org/iso

ISO 14000 Essentials

The ISO 14000 family addresses various aspects of environmental management. The very first two standards, ISO 14001:2004 and ISO 14004:2004 deal with environmental management systems (EMS). ISO 14001:2004 provides the requirements for an EMS and ISO 14004:2004 gives general EMS guidelines.

The other standards and guidelines in the family address specific environmental aspects, including: labeling, performance evaluation, life cycle analysis, communication and auditing.

An ISO 14001:2004-based EMS

An EMS meeting the requirements of ISO 14001:2004 is a management tool enabling an organization of any size or type to:

• identify and control the environmental impact of its activities, products or services, and to
• improve its environmental performance continually, and to
• implement a systematic approach to setting environmental objectives and targets, to achieving these and to demonstrating that they have been achieved

How it works

ISO 14001:2004 does not specify levels of environmental performance. If it specified levels of environmental performance, they would have to be specific to each business activity and this would require a specific EMS standard for each business. That is not the intention.

ISO has many other standards dealing with specific environmental issues. The intention of ISO 14001:2004 is to provide a framework for a holistic, strategic approach to the organization's environmental policy, plans and actions.

ISO 14001:2004 gives the generic requirements for an environmental management system. The underlying philosophy is that whatever the organization's activity, the requirements of an effective EMS are the same.

This has the effect of establishing a common reference for communicating about environmental management issues between organizations and their customers, regulators, the public and other stakeholders.

Because ISO 14001:2004 does not lay down levels of environmental performance, the standard can to be implemented by a wide variety of organizations, whatever their current level of environmental maturity. However, a commitment to compliance with applicable environmental legislation and regulations is required, along with a commitment to continual improvement – for which the EMS provides the framework.

The EMS standards

ISO 14004:2004 provides guidelines on the elements of an environmental management system and its implementation, and discusses principal issues involved.

ISO 14001:2004 specifies the requirements for such an environmental management system. Fulfilling these requirements demands objective evidence which can be audited to demonstrate that the environmental management system is operating effectively in conformity to the standard.

What can be achieved

ISO 14001:2004 is a tool that can be used to meet internal objectives:

• provide assurance to management that it is in control of the organizational processes and activities having an impact on the environment
• assure employees that they are working for an environmentally responsible organization.

ISO 14001:2004 can also be used to meet external objectives:

• provide assurance on environmental issues to external stakeholders – such as customers, the community and regulatory agencies
• comply with environmental regulations
• support the organization's claims and communication about its own environmental policies, plans and actions
• provides a framework for demonstrating conformity via suppliers' declarations of conformity, assessment of conformity by an external stakeholder - such as a business client - and for certification of conformity by an independent certification body.

Source: iso.org/iso/iso_catalogue/management_standards