Iso 14001 internal audit questions and answers
It is divided into sections related to:. Sometimes the EMS requirements were added in a separate sentence or bullet; sometimes they were inserted within the generic Annex SL sentence or bullet.
In some cases, some Annex SL words were replaced for consistency. For example, on the use of "plan, establish, implement, maintain, control, continually improve…" it was agreed that consistent use of the phrase in ISO was important, but it has been adjusted in selected clauses to address the specific intent of the clause correctly.
For example, in 6. What happened to all of the required procedures in ISO ? Clause A. Clause 7. This allows organizations the flexibility to determine if a process has to be carried out in a specified way i. Why is there no clause on Management of Change?
Why does ISO sometimes use "effect" and sometimes "impact"? What is the intent of the phrase "enhance environmental performance"? It was agreed to use the phrase "to enhance environmental performance" in those clauses where WG5 agreed to add emphasis. The expectation begins with a conceptual understanding followed by a more detailed determination. For example, the expectation in 4. Regarding 6. Consistent with "risk-based thinking", the intent of 6.
There is no requirement or expectation for a detailed risk assessment. What is the intent of the new phrase "person s doing work under its control"? As set out in the Annex, A. The intent of this new phrase does not differ from that of the previous edition. In Clause 1, Scope, the concept of "intended outcomes" is introduced. Further explanation is provided in Annex, A. The three minimal "intended outcomes" include enhancement of environmental performance, fulfilment of compliance obligations and achievement of environmental objectives.
Organizations can set additional intended outcomes for their environmental management system. For example, consistent with their commitment to protection of the environment, an organization may establish an intended outcome to work towards sustainable development. In the case of ISOterms are grouped by major clause title i. Context of the Organization, Leadership, Planning, etc.
WG5 inserted an "Alphabetical index of terms", which may be modified to reflect alphabetical listings in another language. Why is the term "compliance obligations" used in the English version of ISO but "legal requirements and other requirements" used in some translations?Forums New posts Search forums. Media New media New comments Search media. Resources Latest reviews New resources Search resources. Attachment List. Log in Register. Search titles only. Search Advanced search….
I try to vary the typical interview questions that I ask during an ISO 3rd party audit. My current list of questions is attached. Randy Super Moderator. Mar 24, Please don't be offended, but sh-tcan that list. You're not auditing, you're asking questions that in the end tells you nothing related to system performance. If you want to audit, start with a procedure or instruction, identify the inputs, outputs, how it is to be performed, any monitoring and measuring involved, and see if what is supposed to be happening is actually happening.
Follow a process through from beginning to end. What you are doing isn't auditing. All you are doing is spinning your wheels, wasting time and not adding value. Want to vary your questions? Then ask something of substance other than "What is the policy 14 different ways".
Questions to Ask In the Internal Audit of ISO 9001:2015
I knew when I wrote the post late last night that there would be an interesting reply from Randy in the morning - you did not disappoint I did not explain the purpose of the questions well enough and you misintepreted. These are the questions I use when interviewing a shop floor worker, a machine operator, a material handler, etc.
That is the approach I use when auditing an EMS process or production area. One component of an EMS audit is worker interviews - what questions do you ask a stamping press operator or an injection mold machine operator? I even bet you could answer the questions with one hand tied behind your back, nekkid in the middle of the DFW airport main terminal, as you are fond of saying. But the questions are a bit more difficult for a machine operator who maybe finished grade 9 and has previous work experience flippin burgers at MickyDees or working at Tim Horton's - had to throw in the Canadian content.
I eagerly await your response and no offence taken. I love someone with a sense of humor and a grasp on reality. I'd tend to focus on the employee and his or her specific relationship to the EMS.Preparation and planning can remedy this, of course, but the fact remains that ISO includes a lot of new requirements that have never been part of most audits. This question is the starting point of ISOappearing in clause 4. Questions about context are usually directed at top management or the person leading the quality management system QMS —formerly known as the management representative.
Does this sound broad and a little vague? It is. What the organization learns with this will be a key input to risk analysis. The natural follow-up to context is interested parties, found in clause 4.
Just like context, interested parties are a key input to risk. Typical interested parties include employees, customers, suppliers, business owners, debt holders, neighbors, and regulators. The best way to audit this is an exploratory discussion. Risks and opportunities could accurately be called the foundation of ISO If an organization does a poor job of identifying risks and opportunities, then the QMS cannot be effective, period.
Auditors should verify that risks and opportunities include issues that focus on desired outcomes, prevent problems, and drive improvement. Once risks and opportunities are identified, actions must be planned to address them.
Risks and opportunities are limitless, but resources are not. Measurable quality objectives have long been a part of ISO The plans are intended to be specific and actionable, addressing actions, resources, responsibilities, timeframes, and evaluation of results.
Auditors should closely examine how the plans have been implemented throughout the organization and who has knowledge of them. Just as employees should be aware of how they contribute to objectives, they should be familiar with the action plans.
In other words, how are you using ISO to help you run the company?
This is asked directly of top management see subclause 5. The point is that ISO is moving away from being a quality management system standard and becoming a strategic management system. The standard is about managing every aspect of the business. Remember clauses 4. They examine the key topics of context and interested parties. These concepts touch every corner of the organization, and this is exactly how ISO is intended to be used.Webinar - How to conduct internal audits of your ISO 14001:2015 Environmental management system
Top management should be able to describe how the QMS is used to run the company, not just pass an audit. This topic comes up multiple times in ISO The first and biggest clause on the topic is clause 6. Here we identify changes that we know are coming and develop plans for their implementation. What kind of changes? Nearly anything, but the following changes come to mind as candidates: new or modified products, processes, equipment, tools, employees, regulations.
The list is endless. An auditor should review changes that took place and seek evidence that the changes were identified and planned proactively. Change that happens in a less planned manner is addressed in subclause 8. Here the auditor will seek records that the changes met requirements, the results of reviewing changes, who authorized them, and subsequent actions that were necessary. ISO wants organizations to learn from their experiences, both good and bad. This could be handled by a variety of means: project debriefs, job close-outs, staff meetings, customer reviews, examination of data, and customer feedback.
Please complete this questionnaire to give a fair representation of your current level of compliance with standardised requirements. You may print this page, complete the answers, and bring it with you. When you have finished answering all the questions, transfer your numerical scores to the final summary sheet, which you should ensure is handed in to the tutor by the stated time.
D 17 MCT and quiz ISO 14001
Please keep the completed questionnaire for your own future reference and use. Each question requires a self-scored answer in the form of a mark on a linear scale, the two extremes of the scale are indicated by words or phrases. The scoring is indicated by circling one of the five numbers as shown to indicate the status of your organisation in relation to the two extremes.
If you consider you have made no progress as regards a particular question then a 0 should be circled. There are notes to help guide you in scoring your response, though in the future, if you were to continue to use the questionnaire, the most helpful guidance will come from the cross-referenced sections of the standard.
Please note, where questions refer to the maintenance of work procedures you should only consider your organisation to merit a high score if you have had procedures long enough to alter them in the light of experience. As this process is likely to have taken about a year even with a fully active environmental management system, few organisations rate such a high score.
Question No 2 Has the organisation adopted and implemented an environmental management system that meets the requirements of the standard? Clause 4. Note: A score of 4 reflects the full development and integration of system components and due emphasis on prevention of adverse environmental impacts. Note: The value of a policy will depend on the care taken in its formulation. For a score of 3 the policy should normally be widely understood, and reflect the commitment of the organisation to comply with applicable laws and continual improvement.
Question No 4 Has the organisation established, implemented and maintained procedures to identify the significant environmental impacts of its activities, products and services? Note: It is unlikely that a score of 4 will be achieved until initial procedures are refined in the light of experience. Scores of 3 or 4 require that procedures apply to abnormal operations, accidents and past, current and planned activities.
Note: It is unlikely that a score of 3 will be achieved until initial procedures are refined in the light of experience. Full procedures pertain to all aspects of the business, including industry codes of practice, agreements with public authorities and non-regulatory guidelines. Consistent with environmental policy. Note: For a score of more than 1 objectives should be measurable and consider the use of best available technology where economically viable. Question No 7 Has the organisation established, implemented and maintained documented environmental targets?
Achievement being monitored. Note: It is unlikely that a score of 3 will be achieved until initial targets are refined in the light of experience. Targets should apply to priority areas and cascade through relevant levels within the organisation. Account should be taken of the degree to which targets are measurable, and take into account, preventive measures. Note: A score of 4 requires that those responsible for Programme elements have the necessary authority, motivation and qualifications to implement the Programmes.
Programmes should include timescales and include review of new activities. Note: A score of 4 requires provision of sufficient resources and that all individual function, activity and process managers, including line managers, have their role and accountability defined in developing and implementing the environmental management system. The relevance of job descriptions and performance appraisals should influence the score. Resource requirements are deferred to Question No.
Question No 10 Has the organisation provided adequate resources including human, technological and financial for implementation and control and improvement of the environmental management system? Question No 11 Has the organisation appointed a management representative with responsibility for ensuring compliance with this standard and for reporting on management system performance?
Note: For the higher scores the management representatives should have no unresolved conflict of interest.The internal audit plan consist of particular questions that you ask during the audit.
These questions provide insight into your QA systems. The audit plan could cover a system, process or department audit.
The plan references your organization systems, or the ISO element for each question. The plan could cover an element from your interaction chart. The audit plan is a document that list the planned questions.
A final report references the internal audit plan and provides the answers to those questions. Here are some questions that I like to quiz employees during an departmental ISO audit.
Do employees know the quality policy? Do employees know the quality objectives and understand them with regards to their function? Do employees know where their procedures are located? Are all procedures and specifications controlled? Are all forms current in the department? Do employees know what is the most current revision of the document? Can employee identify which documents cover inspection?
Can employee identify which documents contain the specifications? Does employee know the specifications for the critical parameters? Do employees know when changes are made to the process?
Do employees follow the inspection procedures? Are the inspections documented? Are inspection records completely filled in? Do inspection records results agree with specification requirements? Can employees locate the procedure for the equipment or process they are conducting?
Do employees send parts to MRB when inspection does not meet specifications? Can the parts be tracked to all raw materials? Can employee describe how to select next work item? Does employee know the process on ordering goods?
Does employee know the approval process for a purchase order? Is the equipment in the PM Preventive Maintenance system? Are there records for PM? Are all critical raw materials labeled with accept stamps or traceable to an accept stamp? Have all critical raw material been inspected and approved?
Are all measuring equipment labeled with measurement status? Are all calibrations within due date? Do employee know if testing equipment is OK to use? Do calibration records reflect findings for the equipment?ISO is an international environmental management standard. However, it will not present the entire program. Instead, it will explain our approach and it will show you detailed samples of our work see PDFs. Once you've studied our audit approach, we hope you'll purchase our complete internal audit program.
ISO clause 9. The first part of our ISO audit program will help you to meet this requirement. The second part, on the other hand, will use ISO's internal auditing standard to help you improve the effectiveness of your internal audit practices and processes.
Use the first section A to identify the gaps that exist between ISO's standard and your environmental practices and processes. Once you've filled all the gaps, you can be sure that you conform to the new ISO standard. And use the second section B to pinpoint the gaps that exist between ISO's internal auditing standard and your internal auditing practices and processes.
Once you've filled all the gaps, you can be sure that you've done all you can to improve the effectiveness of your auditing practices and processes. Similarly, our audit assessment tool BB has four sets of questions because the ISO auditing standard has four main sections. You can also summarize your audit results quantitatively if you wish. The idea here is to measure how compliant your environmental management practices and processes actually are.
If you carry out regular audits, you can also use our approach to measure whether or not your environmental management practices and processes are improving over time.
Our ISO audit assessment tool works much the same way. NO answers reveal gaps that exist between the ISO standard and your organization's internal audit practices and processes. Once you've done this for all gaps, you will have four detailed plans which, taken together, will make up a complete Internal Audit Improvement Plan. And once all plans have been implemented and all remedial actions have been taken, you will have improved the overall effectiveness of your organization's internal audit practices and processes.
We guarantee the quality of our environmental management audit tool. Title 52 is pages long and comes in pdf and MS doc file formats. Place an Order.Present your best self in the audit.
Q&A from the recent ISO 9001:2015 Webinar
Forget about your pre-audit inhibitions. Here are some of the questions you can ask during your audit. Use these questions as your guide. Not as your crutches. You are commenting using your WordPress. You are commenting using your Google account. You are commenting using your Twitter account. You are commenting using your Facebook account. Notify me of new comments via email.
Notify me of new posts via email. Skip to content. Photo by Pixabay on Pexels. It is also scary sometimes. Scary because… There are myths people have about audit. For instance, no matter how many times you tell people that audit is not fault-finding, they still think it is fault-finding.
You have to deal with different scenarios, which can be unpredictable. You have to deal with different types of people. One of the ways to calm down the butterflies in your stomach during audit is to… Prepare. Prepare in advance. Practice doing the audit. Observe other auditors.