EN ISO 14011:1996

SLOVENSKI STANDARD
SIST EN ISO 14011:1997
01-maj-1997
Smernice za okoljsko presojanje - Presojevalni postopki - Presojanje sistemov
ravnanja z okoljem (ISO 14011:1996)
Guidelines for environmental auditing - Audit procedures - Auditing of environmental
management systems (ISO 14011:1996)
Leitfäden für Umweltaudits - Auditverfahren - Audit von Umweltmanagementsystemen
(ISO 14011:1996)
Lignes directrices pour l'audit environnemental - Procédures d'audit - Audit des systemes
de management environnemental (ISO 14011:1996)
Ta slovenski standard je istoveten z: EN ISO 14011:1996
ICS:
13.020.10 Ravnanje z okoljem Environmental management
SIST EN ISO 14011:1997 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST EN ISO 14011:1997

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SIST EN ISO 14011:1997

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SIST EN ISO 14011:1997

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SIST EN ISO 14011:1997
INTERNATIONAL IS0
14011
STANDARD
First edition
1996-l O-01
Guidelines for environmental auditing -
Audit procedures - Auditing of
environmental management systems
Lignes directrices pour /‘audit environnemental - Procedures d’audit -
Audit des syst&mes de management environnemental
Reference number
IS0 14011:1996(E)

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SIST EN ISO 14011:1997
IS0 14011:1996(E)
Contents
1
1 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1
. . . . . . . . . . . . . . . . . . . . . . . .*.
2 Normative reference
1
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3 Definitions
Environmental management system audit objectives, roles and
4
1
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
responsibilities
1
41 . Audit objectives .
2
..................................
4.2 Roles, responsibilities and activities
2
4.2.1 Lead auditor .
2
....................................................................
4.2.2 Auditor
2
..............................................................
4.2.3 Audit team
2
4.2.4 Client .
3
...................................................................
4.2.5 Auditee
3
5 Auditing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .~.
3
5.1 Initiating the audit .
3
............................................................
5.1.1 Audit scope
................................. 3
5.1.2 Preliminary document review
3
5.2 Preparing the audit .
3
...............................................................
5.2.1 Audit plan
4
........................................
5.2.2 Audit-team assignments
4
...............................................
5.2.3 Working documents
4
.........................................................
5.3 Conducting the audit
4
....................................................
5.3.1 Opening meeting
4
.......................................
5.3.2 Collecting audit evidence
4
..........................................................
5.3.3 Audit findings
4
.....................................................
5.3.4 Closing meeting
0 IS0 1996
All rights reserved. Unless otherwise specified, no part of this publication may be reproduced
or utilized in any form or by any means, electronic or mechanical, including photocopying and
microfilm, without permission in writing from the publisher.
International Organization for Standardization
Case Postale 56 l CH-1211 Geneve 20 l Switzerland
Printed in Switzerland
ii

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SIST EN ISO 14011:1997
IS0 14011:1996(E)
@ IS0
...............................
5.4 Audit reports and document retention
5.4.1 Preparation of audit report .
...........................................
5.4.2 Content of audit report
5.4.3 Distribution of audit report .
5.4.4 Document retention .
6 Audit completion .
Annex
A Bibliography .
6

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SIST EN ISO 14011:1997
IS0 14011:1996(E) 0 IS0
Foreword
IS0 (the International Organization for Standardization) is a worldwide fed-
eration of national standards bodies (IS0 member bodies). The work of
preparing International Standards is normally carried out through IS0
technical committees. Each member body interested in a subject for which
a technical committee has been established has the right to be represented
on that committee. International organizations, governmental and non-
governmental, in liaison with ISO, also take part in the work. IS0 collabo-
rates closely with the International Electrotechnical Commission (IEC) on
all matters of electrotechnical standardization.
Draft International Standards adopted by the technical committees are cir-
culated to the member bodies for voting. Publication as an International
Standard requires approval by at least 75 % of the member bodies casting
a vote.
International Standard IS0 1401 I was prepared by Technical Committee
ISOmC 207, Environmental management, Subcommittee SC 2, Environ-
mental auditing and related environmental investigations.
Annex A of this International Standard is for information only.
iv

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SIST EN ISO 14011:1997
@ IS0
IS0 14011:1996(E)
Introduction
Organizations of all kinds may have a need to demonstrate environmental
responsibility. The concept of environmental management systems (EMS)
and the associated practice of environmental auditing have been advanced
as one way to satisfy this need. These systems are intended to help an or-
ganization establish and continue to meet its environmental policies, objec-
tives, standards and other requirements.
This International Standard provides procedures for the conduct of EMS
audits. It is applicable to all types and sizes of organizations operating an
EMS.

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SIST EN ISO 14011:1997
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SIST EN ISO 14011:1997
~~
IS0 14011:1996(E)
INTERNATIONAL STANDARD @ IS0
Guidelines for environmental auditing - Audit procedures -
Auditing of environmental management systems
31
1 Scope
e;lvironmental management system
that part of the overall management system that in-
This International Standard establishes audit pro-
cludes organizational structure, planning activities, re-
cedures that provide for the planning and conduct of
sponsibilities, practices, procedures, processes and
an audit of an EMS to determine conformance with
resources for developing, implementing, achieving,
EMS audit criteria.
reviewing and maintaining the environmental policy
[ISO 14001 :1996]
32
2 Normative reference
ehironmental management system audit
systematic and documented verification process of
The following standards contain provisions which,
objectively obtaining and evaluating audit evidence to
through reference in this text, constitute provisions of determine whether an organization’s environmental
this International Standard. At the time of publication, management system conforms to the environmental
the editions indicated were valid. All standards are
management system audit criteria, and communicating
subject to revision, and parties to agreements based the results of this process to the client
on this International Standard are encouraged to in-
vestigate the possibility of applying the most recent
33
editions of the standards indicated below. Members of
ekronmental management system audit criteria
IEC and IS0 maintain registers of currently valid lnter-
policies, practices, procedures or requirements, such
national Standards.
as those covered by IS0 14001 and, if applicable, any
additional EMS requirements against which the auditor
IS0 14001 :1996, Environmenta/ Management Sys- compares collected audit evidence about the organi-
tems - Specification with guidance for use.
zation’s environmental management system
IS0 14010:1996, Guidelines for environmental audit-
ing - Genera/ principles.
4 Environmental management system
IS0 14012: 1996, Guidelines for environmental audit-
audit objectives, roles and
ing - Qualification criteria for environmental auditors.
responsibilities
4.1 Audit objectives
3 Definitions
An EMS audit should have defined objectives; exam-
ples of typical objectives are as follows:
For the purposes of this International Standard, the
definitions given in IS0 14010 and IS0 14001 apply,
a) to determine conformance of an auditee’s EMS
together with the following.
with the EMS audit criteria;
b) to determine whether the auditee’s EMS has been
NOTE - Terms and definitions in the field of environmental
properly implemented and maintained;
management are given in IS0 14050.

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SIST EN ISO 14011:1997
@ IS0
IS0 14011:1996(E)
notifying the auditee without delay, of audit find-
c) to identify areas of potential improvement in the
1)
ings of critical nonconformities;
auditee’s EMS;
d) to assess the ability of the internal management m) reporting to the client on the audit clearly and
review process to ensure the continuing suitability conclusively within the time agreed with in the
and effectiveness of the EMS; audit plan;
e) to evaluate the EMS of an organization where
making recommendations for i mprovements to the
n)
there is a desire to establish a contractual re- EMS, if agreed in the scope of the audit.
lationship, such as with a potential supplier or a
joint-venture partner.
4.2.2 Auditor
Auditor responsibilities and activities should cover
4.2 Roles, responsibilities and activities
followin g the directions of and supporting the lead
a)
4.2.1 Lead auditor
auditor;
The lead auditor is responsible for ensuring the ef-
b) planning and carrying out the assigned task ob-
ficient and effective conduct and completion of the
jectively, effectively and efficiently within the
audit within the audit scope and plan approved by the
scope of the audit;
client.
c) collecting and analysing relevant and sufficient
audit evidence to determine audit findings and
In addition, responsibilities and activities of the lead
reach audit conclusions regarding the EMS;
auditor should cover
d) preparing working documents under the direction
consulting with the client and the auditee, if ap-
a)
of the lead auditor;
propriate, in determining the criteria and scope of
documenting individual audit findings;
e)
the audit;
audit
safeguarding documents pertain ing to the
background information
obtaining relevant f )
b)
and returning such documents as required;
necessary to meet the objectives of the audit,
such as details of the auditee’s activities, prod-
assisting in writing the audit report.
ucts, services, site and immediate surroundings,
and details of previous audits;
4.2.3 Audit team
determining whether the requirements for an en-
Cl
vironmental audit as given in IS0 14010 have
The process for selecting audit-team members should
been met;
ensure that the audit team possesses the overall ex-
perience and expertise needed to conduct the audit.
forming the audit team giving consideration to
d)
Consideration should be given to
potential conflicts of interest, and agreeing on its
composition with the client;
a) qualifications as given, for example, in IS0 14012;
directing the activities of the audit team in accord-
e)
the type of orga nization, processes, activities or
ance with the guidelines of
...