ISO 14001 2004

INTERNAL AUDIT PROGRAM

Introduction to our Environmental Management Audit Program

Introduction to ISO 14001 Audit Program

Our Audit Program is made up of four programs:

ISO 14001 Compliance Audit Program
ISO 14001 Policy Audit Program
ISO 14001 Procedures Audit Program
ISO 14001 Records Audit Program

Each of these four programs will be discussed below.

We begin with a table of contents. It shows how we've organized our
ISO 14001 Internal Audit Program. While the content of each program
is different, the following material shows that each one of our four
audit programs is organized in the same way.

ISO 14001 2004 INTERNAL AUDIT PROGRAM
TABLE OF CONTENTS
PART	INTRODUCTION	PAGE
1	Introduction to ISO 14001	4
2	Introduction to Audit Program	5
A	ISO 14001 COMPLIANCE AUDIT PROGRAM	11
1	Compliance Audit Procedure	11
2	Compliance Audit Profile	12
3	Compliance Audit Questions	SAMPLE HTML
4	Compliance Audit Scores	49
5	Compliance Audit Summary	50
6	Compliance Audit Conclusions	51
7	Compliance Audit Recommendations	52
8	Compliance Audit Implementation Record	53
B	ISO 14001 POLICY AUDIT PROGRAM	54
1	Policy Audit Procedure	54
2	Policy Audit Profile	55
3	Policy Audit Questions	56
4	Policy Audit Scores	59
5	Policy Audit Summary	61
6	Policy Audit Conclusions	62
7	Policy Audit Recommendations	63
8	Policy Audit Implementation Record	64
C	ISO 14001 PROCEDURES AUDIT PROGRAM	65
1	Procedures Audit Procedure	65
2	Procedures Audit Profile	66
3	Procedures Audit Questions	67
4	Procedures Audit Scores	73
5	Procedures Audit Summary	75
6	Procedures Audit Conclusions	76
7	Procedures Audit Recommendations	77
8	Procedures Audit Implementation Record	78
D	ISO 14001 RECORDS AUDIT PROGRAM	79
1	Records Audit Procedure	79
2	Records Audit Profile	80
3	Records Audit Questions	81
4	Records Audit Scores	89
5	Records Audit Summary	91
6	Records Audit Conclusions	92
7	Records Audit Recommendations	93
8	Records Audit Implementation Record	94
E	LICENSE AGREEMENT AND CONTACT INFORMATION	95
OCT 2007	COPYRIGHT Ó 2007 BY PRAXIOM RESEARCH GROUP LIMITED	VER 1.0

Overview of ISO 14001 Compliance Audit Program

Our Compliance Audit Program uses questions to list the ISO 14001
environmental management system requirements. Like ISO’s six sets
of requirements, our Audit Program consists of six questionnaires:

4.1 Systemic Audit Questionnaire
4.2 Policy Audit Questionnaire
4.3 Planning Audit Questionnaire
4.4 Operational Audit Questionnaire
4.5 Checking Audit Questionnaire
4.6 Review Audit Questionnaire

Our audit starts with section 4.1 because ISO's requirements start there.

Two answers are possible for each question: YES or NO. YES answers
mean you’re in compliance with the standard and NO answers mean
you’re not in compliance. NO answers point to compliance problems
(also known as nonconformities or noncompliances).

Once you’ve answered all the compliance audit questions, you’re ready
to summarize your audit, calculate compliance scores, draw general audit
conclusions, and make and implement recommendations to address your
compliance problems.

Overview of ISO 14001 Policy Audit Program

Our ISO 14001 Policy Audit covers the following topics:

Management
Documentation
Usability
Training
Implementation
Changes

Start by selecting a policy that you want to audit. Then prepare your Policy
Audit Profile. Before you begin answering policy audit questions, please
record the name of this policy at the top of the Policy Audit questionnaire.
This will help to maintain the focus of your audit.

Three response options are provided: YES, NO, and N/A. NO answers point
to policy performance problems, YES answers identify positive areas, while
N/A responses identify questions that are not applicable in your situation.

Once you’ve answered all the audit questions, you’re ready to summarize
your internal audit, calculate policy performance scores, draw general audit
conclusions, and make and implement recommendations to address your
policy performance problems.

Overview of ISO 14001 Procedures Audit Program

Our ISO 14001 Procedures Audit covers the following topics:

Management
Documentation
Content
Compliance
Usability
Training
Control
Records
Changes

Start by selecting a procedure that you want to audit. Then prepare
your Procedures Audit Profile. Define the scope of your audit, identify
the participants, and prepare a brief audit plan.

Before you begin answering procedures audit questions, please record
the name of this procedure at the top of the Audit questionnaire. This
will help auditors to maintain the focus of their audit.

Three response options are provided: YES, NO, and N/A. NO answers point
to procedural performance problems, YES answers identify positive areas,
while N/A responses identify questions that are not applicable in your
situation.

Once you’ve answered all the audit questions, you’re ready to summarize
your audit, calculate procedural performance scores, draw general audit
conclusions, and make and implement recommendations to address
your procedural performance problems.

Overview of ISO 14001 Records Audit Program

Our Records Audit Program is partly based on the ISO 15489-1
records management standard and covers the following topics:

Management
Initiation
Recording
Revisions
Access
Maintenance
Retention
Destruction
Reporting
Usability
Authenticity
Protection
Continuity
Training
Auditing
Compliance

Start by selecting a set of records. Our Audit Program can be used to
audit virtually any type of record keeping system. Examples that you may
wish to consider include the following: training records, planning records,
production records, measurement records, audit records, manufacturing
records, management review records, and process records.

Once you’ve chosen which records to audit, you’re ready to prepare your
Records Audit Profile. Specify the scope of your audit, its location, the
participants, and prepare a brief audit plan.

Before you begin answering record keeping audit questions, please enter
the name of the records being audited at the top of the audit questionnaire.
This will help to ensure that the focus of the internal audit is maintained.
Three response options are provided: YES, NO, and N/A. NO answers
point to record keeping performance problems, YES answers identify
positive areas, while N/A responses identify questions that are not
applicable.

Once you’ve answered all the audit questions, you’re ready to summarize
your audit, calculate record keeping performance scores, draw general
audit conclusions, and make and implement recommendations to
address your record keeping performance problems.

SAMPLE AUDIT QUESTIONS

A. COMPLIANCE AUDIT PROGRAM

3. COMPLIANCE AUDIT QUESTIONS

PART 4.6 REVIEW AUDIT QUESTIONNAIRE

1	Do you perform environmental management reviews at planned intervals?		YES	NO
2		Do you review the suitability of your environmental management system?	YES	NO
3		Do you review the adequacy of your environmental management system?	YES	NO
4		Do you review the effectiveness of your environmental management system?	YES	NO
5	Do you assess opportunities for improvement?		YES	NO
6		Do you assess whether or not your environmental management system should be changed?	YES	NO
7		Do you assess whether or not your organization’s environmental policy should be changed?	YES	NO
8		Do you assess whether or not your organization’s environmental objectives should be changed?	YES	NO
9		Do you assess whether or not your organization’s environmental targets should be changed?	YES	NO
10	Do you keep a record of your management reviews?		YES	NO
11	Do you carry out environmental management reviews by examining your inputs?		YES	NO
12		Do you examine internal audit results (inputs)?	YES	NO
13		Do you examine your compliance with legal and other environmental requirements?	YES	NO
14		Do you examine changes in the legal and other requirements and circumstances that apply to your environmental aspects?	YES	NO
15		Do you examine communications received from external interested parties?	YES	NO
16		Do you examine complaints received from external interested parties?	YES	NO
17		Do you examine the overall environmental performance of your organization?	YES	NO
18		Do you examine how well your environmental objectives and targets are being achieved?	YES	NO
19		Do you examine the status of previous corrective actions?	YES	NO
20		Do you examine the status of previous preventive actions?	YES	NO
21		Do you examine the status of previous management reviews?	YES	NO
22		Do you examine the status of previous follow up actions?	YES	NO
23		Do you examine changes in your environmental aspects?	YES	NO
24		Do you examine recommendations for improving environmental performance?	YES	NO
25	*Do you generate management review outputs?*		YES	NO
26		Do you generate decisions and actions (outputs) that support your organization’s commitment to continual improvement?	YES	NO
27		Do you generate decisions and actions to change or improve the elements of your environmental management system?	YES	NO
28		Do you generate decisions and actions to change your environmental policy?	YES	NO
29		Do you generate decisions and actions to change your environmental objectives?	YES	NO
30		Do you generate decisions and actions to change your environmental targets?	YES	NO
	Etcetera ...

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program looks like, please consider purchasing
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Updated on January 7, 2010. On the Web since May 25, 1997.