ISO 14001 - The Audit Procedure

Questionnaire

Having implemented your environmental management system, the next step towards certification is to complete a questionnaire and return it to us. We need this information to understand the main elements of your business and the interaction you have with the environment. Also to ensure that we identify the correct knowledge, expertise and time needed for the assessment. Following receipt of your questionnaire we will send you a detailed quotation.

Quotation

This gives you the cost for assessment and details of what to do next if you would like us to carry out your assessment. Assessment to ISO 14001 is in two stages.

Stage 1 Assessment

Always held at your premises, the Stage1 Assessment aims to establish that your environmental management system meets the requirements of ISO14001, defines and adequately deals with all relevant aspects which may have an impact on the environment, and that relevant legislation has been identified. This stage of the assessment will also include a detailed look at the site and adjoining areas and the processes taking place, to enable the assessors to adequately plan the Stage 2 Assessment.

So, the Stage 1 Assessment includes us looking at:

1. The compliance of your documentation to the requirements of ISO 14001.

2. Your internal environmental audits, to establish that they have been done and to determine how much reliance we can place on them during our assessment. For example, if you have only carried out one set of audits then we can only place limited reliance on them, but if you have evidence of several rounds of successful environmental audits over a longer time frame we can place more reliance on them.

3. Your management reviews and the results of these.

4. The aspects you have identified, that they are specific for you and the method used for determining their significance. We then review them against activities being carried out on site to verify their completeness.

5. Current processes, records of past processes and any future planned processes on site to ensure that relevant aspects of these have been identified.

6. Your identification of relevant legislation to ensure that there have been no obvious omissions.

7. If you have permits or licences for operating on the site we look at those to ensure that they have been addressed within your system.

8. Activities outside the scope of the environmental management system that are carried out on your site by yourselves or other organisations. Also adjacent sites which may affect your site, to ensure that you have considered the potential effects of these.

9. Whether staff awareness training has been carried out or there is a programme for carrying it out.

10. That you have addressed the requirement in relation to contractors and/or subcontractors, and identified the scale of their involvement on your site.

11. Establishing that by the time the Stage 2 Assessment happens you have tested your emergency plan.

12. Checking that your objectives have been identified and relate to your aspects and their relevant significance.

We compile a detailed report and raise non-conformances if necessary to identify any areas that are not compliant. A time frame is agreed for rectifying them, as well as the method of evaluating their compliance before Stage 2 Assessment takes place.

A plan is raised for the Stage 2 Assessment.

Stage 2 Assessment

This is to verify that you are working to the environmental management system and are meeting the requirements of ISO 14001. We audit on-site practice and the records that back this up to ensure compliance with ISO 14001.

Our audit plan ensures that we follow the policies identified in your policy statement through to the practice in various areas of your operation. During the assessment we:

1. Follow audit trails through the policy, aspects identified and objects set to the actual practices in the various areas of your operation.

2. Look at responsibilities at all levels in the organisation, communications within and outside the organisation, any complaints and non-compliance with permits, regulations etc.

3. Look at all the departments of your business and the relevant procedures that apply to them.

We raise non-conformance reports where there are problems and agree corrective actions and timescales with you. These fall into two categories:

• Major non-compliances - which must be rectified before certification can be recommended by the Lead Assessor.

• Minor non-compliances - which do not affect the recommendation for approval but must be addressed within 1 month and will be checked by the assessor at the first surveillance visit (typically six months).

At the close of the assessment, the Lead Assessor will leave his/her recommendation with you.

Certification

Following the assessment, the auditor’s report goes before the independent ISOQAR Board for review. We also review the corrective actions you have implemented to resolve any non-conformances raised. On satisfactory completion of these two activities a certificate can be issued.

Surveillance

ISOQAR's certification is currently valid for a period of 3 years and monitored by a Registered Assessor with environmental experience at regular intervals. All visits to your company are by appointment, thereby ensuring availability of relevant personnel.

Please note that all assessments are performed on the basis of limited sampling. If discrepancies are not discovered, there is no guarantee that they do not exist.

Extension to Scope Certificate

Amendments or extensions to the initial certified scope can be undertaken if an organisation wishes to introduce new processes or alter existing processes. Questionnaires and application forms can be supplied on request.

Logos

Following certification your company can display the ISOQAR shield of approval. If your company operates within ISOQAR's accredited scope (applied for) you can also display the Accreditation Mark (often referred to as the 'Crown and Tick').

Rules for Appeal

In the event of an assessment which results in a recommendation not to approve registration to the standard (or at a later stage if notified that a certificate is to be withdrawn) a written appeal may be sent to the Chief Executive of ISOQAR.

All appeals will be heard by an Appeals Panel selected from the Governing Board. Your company has a right to object to any member forming part of the chosen panel. The Governing Board will then select a different panel. If the appeal is upheld, the findings of the Assessor will be overruled. If the Assessor is found to be correct, your company will be required to pay for a partial or full re-assessment and the cost of the appeal.

Such appeals are exceptionally rare.

Additional Information

Integrated Systems

We are pleased to look at integrated systems, providing that all the relevant aspects of the ISO 14001 standard have been covered.

There are some areas where the integration of systems is an advantage, for example, having only one document control system.

There are some items that are only included in one of the standards, for example, communication with interested parties is only in ISO 14001 at the moment.

There are some areas where integration can be made, but care must be taken that the system or activity does not favour one standard over another. For example, combined audits for ISO 9001 and ISO 14001 need to ensure that both quality and environmental areas are audited and reported.

Some documents from a health and safety system can also be combined into a joint system, and often specific job instructions covering health and safety requirements can be expanded to cover environmental requirements. For example, instructions for clearing up a spillage can be expanded to cover the prevention of the spillage extending to cause a contamination of the environment and the disposal of the cleaning materials, thus addressing some environmental requirements.

Linked companies and sites

It is possible to have an overall environmental system for a company operating on several sites, but the policy, aspects, objectives etc. will need to be considered in relation to each site as there will be substantial differences due to the location and surroundings of the site. The option of some overall company policy items and objectives etc. with some site specific ones is a useful compromise. To meet the requirements of ISO 14001 it is essential that the management of the sites has an input into the overall parent company policy, objectives etc.

ISO 14001 Training Courses