5468_14001pitfalls_0206.qxd 5/6/06 9:36 AM Page 42
THE ROUTE TO 14001:2004 THE ROUTE TO 14001:2004
Avoiding the Pitfalls Avoiding the Pitfalls
a73 It is quite common to find a schedule which omits the
NON-CONFORMANCE CORRECTIVE 3 or 8 Comment/Plan
‘system’ procedures and thus delivers a set of
AND PREVENTIVE ACTION
‘environmental audits’ rather than audits of the
Procedure in place to describe the
Environmental Management System and its controls
management of records including:
over environmental issues. Occasionally schedules
a73 Those which must be retained
plan to audit everything once per year; this can hardly
a73 Retention times
be related to environmental significance as it is unlikely
a73 Conditions and location of storage
a73 Security and disposal that everything is of equal importance.
a73 Control of relevant electronic data
and back-up
a73 If the programme/schedule is used as an active planning
tool it must also be subject to document control and
approval. (If used as such it will be the first point of
reference for the status of audits and thus needs to be
4.5.5 INTERNAL AUDIT
up-to-date.)
a73 One problem often encountered is that the organisation’s
The key tool for making sure your system is working as designed, internal audits have not tested all procedures before they
and to help improvement, is the internal audit. Approached as an have their third-party audit - this means that the first real
improvement mechanism rather than a witch hunt it will be the test is the certification audit.
maintenance process for the EMS.
a73 Another common problem is audits which have been
planned but not carried out at the planned date, often a
KEY REQUIREMENTS
symptom of lack of resources.
The aim is to ensure that the implemented EMS complies with
your intentions and with the requirements of ISO 14001.
The audit scope
There must be some way of identifying the task you set for your
The standard is looking for:
auditors to carry out. This would be the scope of the audit - its
boundaries. It can be based on areas of an organisation, on
a73 preparation of a procedure describing the audit process
procedures, or vertical audits of significant aspects supported by
a73 the audit frequency to be linked to environmental significance
systems audits. There are many acceptable audit regimes, but any
a73 auditors to be competent and independent
system must allow you to tell from the audit report produced by
a73 records to be maintained the auditor(s) that they completed the task they were sent to do.
COMMON PITFALLS
A simple rule: if you have taken the trouble to produce a
procedure to control a process, you should at some time check
The audit schedule or programme
that the procedure is in use.
a73 The frequency of audits must be related to environmental
significance. It is also important that you audit all elements
of the EMS including the Aspects identification and
evaluation process.
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