5468_14001pitfalls_0206.qxd 5/6/06 9:36 AM Page 44
THE ROUTE TO 14001:2004 THE ROUTE TO 14001:2004
Avoiding the Pitfalls Avoiding the Pitfalls
The auditors Audit reports and non-conformance reports are the output
received by the auditee; they are the documents on which
The process of audit will not function without competent,
corrective and preventive actions will be based. They need to be
independent auditors. The audit resource needs to have a good
clear and concise with close-out dates agreed and documented.
understanding of ISO 14001, a knowledge of the process being
audited and its environmental impacts, and the skills of audit.
It is useful to have guidance in your procedure, typically to define
These do not all need to be in the same head! It is acceptable to
Major and Minor non-conformance with appropriate close-out
use a team approach, or to divide tasks according to skills and
time-scales.
knowledge. Competence is essential.
Typical problems found have been: INTERNAL EMS AUDIT a19 OR ✘ COMMENT/PLAN
Procedure in place to describe the process?
a73 Duty of care not fully complied with for waste management
and the auditor unaware of the requirements.
a73 Production of schedule/programme
based on environmental significance?
a73 Not all shifts covered by audits.
a73 Responsibilities training and
competence of auditors
a73 CFCs present in fire fighting equipment and the auditor
a73 Carrying out the audit
unaware that Halon is a CFC; auditors not recognising
a73 Reporting
that the presence of a badger sett on site needs to be a73 Non-conformance reporting
referenced in the legal register and aspects register.
and close-out
Schedule covers all areas/procedures
The audit process in a given time?
Clearly based on significance?
This is not often directly audited by third-party auditors, ie.
Document control and approval of
witnessing an actual internal audit: more usually they rely on
audit paperwork including schedule?
reviewing records and interviewing auditors. Auditors look for
Audits up-to-date?
adequate training and knowledge, auditor assignment based on
the needs of an individual audit, records to substantiate the
Non-Conformances actioned in a
timely manner?
process, and timeliness of follow-up actions.
The records
These need to be available to show that the process matches
your documented procedure. Typically there will be checklists
which serve not only to demonstrate planning and preparation,
but also to record the areas audited and samples taken. If
checklists are used they need to be retained. Sometimes auditors
find audit records which without the checklists simply could not
substantiate the process, at its most basic merely a statement
that ‘Procedures E1 to E7 were audited on a given date and found
to be OK’.
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