《BS-EN-ISO-14011-1996.pdf》由会员分享,可在线阅读,更多相关《BS-EN-ISO-14011-1996.pdf(14页珍藏版)》请在三一文库上搜索。
1、BRITISH STANDARD BS EN ISO 14011:1996 Guidelines for environmental auditing Audit procedures Auditing of environmental management systems The European Standard EN ISO 14011:1996 has the status of a British Standard ICS 03.120.20; 13.020 Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 18 01:41:47
2、 GMT+00:00 2006, Uncontrolled Copy, (c) BSI BS EN ISO 14011:1996 This British Standard, having been prepared under the direction of the Management Systems Sector Board, was published under the authority of the Standards Board and comes into effect on 15 October 1996 BSI 10-1998 The following BSI ref
3、erences relate to the work on this standard: Committee reference ES/2 Draft for comment 95/521573 DC ISBN 0 580 26710 5 Committees responsible for this British Standard The preparation of this British Standard was entrusted to Technical Committee ES/2, Environmental auditing and related environmenta
4、l investigations, upon which the following bodies were represented: Association of County Councils Association of Environmental Consultancies British Chemical Engineering Contractors Association British Coal Corporation British Coatings Federation Ltd. British Gas plc British Iron and Steel Producer
5、s Association British Plastics Federation British Railways Board Chartered Institute of Environmental Health Chemical Industries Association Department of the Environment (Environmental Protection and Industry Division) Department of Transport (Highways Agency) Electricity Association Energy Industr
6、ies Council Engineering Employers Federation Environment Agency Environmental Auditors Registration Association EURISOL (UK Mineral Wool Association) Federation of the Electronics Industry Federation of Small Businesses Groundwork Foundation Institute of Chartered Accountants Institute of Environmen
7、tal Assessment Institute of Quality Assurance Institute of Trading Standards Administration Institution of Chemical Engineers Loss Prevention Council METCOM Ministry of Agriculture, Fisheries and Food Pira International Royal Society of Chemistry Society of Chemical Industry Trades Union Congress Un
8、ited Kingdom Accreditation Service United Kingdom Petroleum Industry Association Ltd. Co-opted members Amendments issued since publication Amd. No.DateComments Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 18 01:41:47 GMT+00:00 2006, Uncontrolled Copy, (c) BSI BS EN ISO 14011:1996 BSI 10-1998i
9、 Contents Page Committees responsibleInside front cover National forewordii Foreword2 Text of EN ISO 140113 Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 18 01:41:47 GMT+00:00 2006, Uncontrolled Copy, (c) BSI BS EN ISO 14011:1996 ii BSI 10-1998 National foreword This British Standard has been
10、prepared by Technical Committee ES/2, and is the English language version of EN ISO 14011:1996, published by the European Committee for Standardization (CEN). It is identical with ISO 14011:1996, Guidelines for environmental auditing Auditing procedures Auditing of environmental management systems p
11、ublished by the International Organization for Standardization (ISO). A British Standard does not purport to include all the necessary provisions of a contract. Users of British Standards are responsible for their correct application. Compliance with a British Standard does not of itself confer immu
12、nity from legal obligations. Summary of pages This document comprises a front cover, an inside front cover, pages i and ii, the EN title page, pages 2 to 8 and a back cover. This standard has been updated (see copyright date) and may have had amendments incorporated. This will be indicated in the am
13、endment table on the inside front cover. Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 18 01:41:47 GMT+00:00 2006, Uncontrolled Copy, (c) BSI EUROPEAN STANDARD NORME EUROPENNE EUROPISCHE NORM EN ISO 14011 October 1996 ICS 13.020 Descriptors: Environments, environmental protection, systems mana
14、gement, environmental audit, procedure English version Guidelines for environmental auditing Audit procedures Auditing of environmental management systems (ISO 14011:1996) Lignes directrices pour laudit environnemental Procdures dAudit Audit des systmes de management environnemental (ISO 14011:1996)
15、 Leitfaden fr Umweltaudits Auditverfahren Audit von Umweltmanagementsystemen (ISO 14011:1996) This European Standard was approved by CEN on 1996-09-19. CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this European Standard the statu
16、s of a national standard without any alteration. Up-to-date lists and bibliographical references concerning such national standards may be obtained on application to the Central Secretariat or to any CEN member. This European Standard exists in three official versions (English, French, German). A ve
17、rsion in any other language made by translation under the responsibility of a CEN member into its own language and notified to the Central Secretariat has the same status as the official versions. CEN members are the national standards bodies of Austria, Belgium, Denmark, Finland, France, Germany, G
18、reece, Iceland, Ireland, Italy, Luxembourg, Netherlands, Norway, Portugal, Spain, Sweden, Switzerland and United Kingdom. CEN European Committee for Standardization Comit Europen de Normalisation Europisches Komitee fr Normung Central Secretariat: rue de Stassart 36, B-1050 Brussels 1996 Copyright r
19、eserved to CEN members Ref. No. EN ISO 14011:1996 E Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 18 01:41:47 GMT+00:00 2006, Uncontrolled Copy, (c) BSI EN ISO 14011:1996 2 BSI 10-1998 Foreword The text of the International Standard ISO 14011:1996 has been prepared by Technical Committee ISO/T
20、C 207, Environmental management, in collaboration with CEN/CS. This European Standard shall be given the status of a national standard, either by publication of an identical text or by endorsement, at the latest by April 1997, and conflicting national standards shall be withdrawn at the latest by Ap
21、ril 1997. According to the CEN/CENELEC Internal Regulations, the national standards organizations of the following countries are bound to implement this European Standard: Austria, Belgium, Denmark, Finland, France, Germany, Greece, Iceland, Ireland, Italy, Luxembourg, Netherlands, Norway, Portugal,
22、 Spain, Sweden, Switzerland and the United Kingdom. Contents Page Introduction3 1Scope3 2Normative reference3 3Definitions3 4Environmental management system audit objectives, roles and responsibilities3 4.1Audit objectives3 4.2Roles, responsibilities and activities3 4.2.1 Lead auditor3 4.2.2 Auditor
23、4 4.2.3 Audit team4 4.2.4 Client4 4.2.5 Auditee4 5Auditing5 5.1Initiating the audit5 5.1.1 Audit scope5 5.1.2 Preliminary document review5 5.2Preparing the audit5 5.2.1 Audit plan5 5.2.2 Audit-team assignments5 5.2.3 Working documents5 5.3Conducting the audit6 5.3.1 Opening meeting6 5.3.2 Collecting
24、 audit evidence6 5.3.3 Audit findings6 5.3.4 Closing meeting6 5.4Audit reports and document retention6 5.4.1 Preparation of audit report6 5.4.2 Content of audit report6 5.4.3 Distribution of audit report7 5.4.4 Document retention7 6Audit completion7 Annex A (informative) Bibliography8 Licensed Copy:
25、 sheffieldun sheffieldun, na, Sat Nov 18 01:41:47 GMT+00:00 2006, Uncontrolled Copy, (c) BSI EN ISO 14011:1996 BSI 10-19983 Introduction Organizations of all kinds may have a need to demonstrate environmental responsibility. The concept of environmental management systems (EMS) and the associated pr
26、actice of environmental auditing have been advanced as one way to satisfy this need. These systems are intended to help an organization establish and continue to meet its environmental policies, objectives, standards and other requirements. This International Standard provides procedures for the con
27、duct of EMS audits. It is applicable to all types and sizes of organizations operating an EMS. 1 Scope This International Standard 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
28、following standards contain provisions which, through reference in this text, constitute provisions of this International Standard. At the time of publication, the editions indicated were valid. All standards are subject to revision, and parties to agreements based on this International Standard are
29、 encouraged to investigate the possibility of applying the most recent editions of the standards indicated below. Members of IEC and ISO maintain registers of currently valid International Standards. ISO 14001:1996, Environmental Management Systems Specification with guidance for use. ISO 14010:1996
30、, Guidelines for environmental auditing General principles. ISO 14012:1996, Guidelines for environmental auditing Qualification criteria for environmental auditors. 3 Definitions For the purposes of this International Standard, the definitions given in ISO 14010 and ISO 14001 apply, together with th
31、e following. NOTETerms and definitions in the field of environmental management are given in ISO 14050. 3.1 environmental management system that part of the overall management system that includes organizational structure, planning activities, responsibilities, practices, procedures, processes and r
32、esources for developing, implementing, achieving, reviewing and maintaining the environmental policy ISO 14001:1996 3.2 environmental management system audit systematic and documented verification process of objectively obtaining and evaluating audit evidence to determine whether an organizations en
33、vironmental management system conforms to the environmental management system audit criteria, and communicating the results of this process to the client 3.3 environmental management system audit criteria policies, practices, procedures or requirements, such as those covered by ISO 14001 and, if app
34、licable, any additional EMS requirements against which the auditor compares collected audit evidence about the organizations environmental management system 4 Environmental management system audit objectives, roles and responsibilities 4.1 Audit objectives An EMS audit should have defined objectives
35、; examples of typical objectives are as follows: a) to determine conformance of an auditees EMS with the EMS audit criteria; b) to determine whether the auditees EMS has been properly implemented and maintained; c) to identify areas of potential improvement in the auditees EMS; d) to assess the abil
36、ity of the internal management review process to ensure the continuing suitability and effectiveness of the EMS; e) 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, respons
37、ibilities and activities 4.2.1 Lead auditor The lead auditor is responsible for ensuring the efficient and effective conduct and completion of the audit within the audit scope and plan approved by the client. In addition, responsibilities and activities of the lead auditor should cover a) consulting
38、 with the client and the auditee, if appropriate, in determining the criteria and scope of the audit; Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 18 01:41:47 GMT+00:00 2006, Uncontrolled Copy, (c) BSI EN ISO 14011:1996 4 BSI 10-1998 b) obtaining relevant background information necessary to m
39、eet 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 c
40、onsideration to potential conflicts of interest, and agreeing on its composition with the client; e) directing the activities of the audit team in accordance with the guidelines of ISO 14010 and this International Standard; f) preparing the audit plan with appropriate consultation with the client, a
41、uditee and 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; j) recognizing when a
42、udit objectives become unattainable 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; l) notifying the auditee without delay, of audit findings of critical nonconformities; m) reporting to th
43、e client on the audit clearly and conclusively within the time agreed with in the audit plan; n) making recommendations for improvements to the EMS, if agreed in the scope of the audit. 4.2.2 Auditor Auditor responsibilities and activities should cover a) following the directions of and supporting t
44、he lead auditor; b) planning and carrying out the assigned task objectively, effectively and efficiently within the scope of the audit; c) collecting and analysing relevant and sufficient audit evidence to determine audit findings and reach audit conclusions regarding the EMS; d) preparing working d
45、ocuments under the direction of the lead auditor; e) documenting individual audit findings; f) safeguarding documents pertaining to the audit and returning such documents as required; g) assisting in writing the audit report. 4.2.3 Audit team The process for selecting audit-team members should ensur
46、e that the audit team possesses the overall experience and expertise needed to conduct the audit. Consideration should be given to a) qualifications as given, for example, in ISO 14012; b) the type of organization, processes, activities or functions being audited; c) the number, language skills and
47、expertise of the individual audit-team members; d) any potential conflict of interest between the audit-team members and the auditee; e) requirements of clients, and certification and accreditation bodies. The audit team may also include technical experts and auditors-in-training that are acceptable
48、 to the client, auditee and lead auditor. 4.2.4 Client Client responsibilities and activities should cover a) determining the need for the audit; b) contacting the auditee to obtain its full cooperation and initiating the process; c) defining the objectives of the audit; d) selecting the lead audito
49、r or auditing organization and, if appropriate, approving the composition of the audit team; e) providing appropriate authority and resources to enable the audit to be conducted; f) consulting with the lead auditor to determine the scope of the audit; g) approving the EMS audit criteria; h) approving the audit plan; i) receiving the audit report and determining its distribution. 4.2.5 Auditee The responsibilities and activities of the auditee should cover a) informing employees about the objectives and scope of the audit as necessa
链接地址:https://www.31doc.com/p-3745382.html