CQI/IRCA EMS Lead Auditor flashcards

32 cards. Read the term and the definition here. The deck at the top of this page is optional.

Environmental aspect

An element of an organization's activities, products or services that interacts or can interact with the environment; the resulting change to the environment is the environmental impact (ISO 14001 clause 6.1.2).

Life cycle perspective

Consideration of consecutive and interlinked stages of a product or service from raw material acquisition through end-of-life, required when determining environmental aspects under ISO 14001 clause 6.1.2.

Compliance obligations

Legal requirements an organization must comply with plus other requirements it subscribes to, such as permits, regulations and voluntary commitments; determined under clause 6.1.3 and evaluated under 9.1.2.

Outsourced process responsibility

ISO 14001 clause 8.1 requires the organization to control or influence outsourced processes; outsourcing does not transfer responsibility for conformity with EMS requirements.

Documented information

The ISO 14001 term replacing documents and records; it must be controlled, available and suitable where needed, protected, and retained for defined periods where it is a record.

Emergency preparedness and response

Clause 8.2 requires planned responses to potential emergency situations, testing of those planned responses where practicable, and review and revision after tests or actual incidents.

Environmental policy requirements

Clause 5.2: maintained as documented information, appropriate to purpose and context, including commitments to protection of the environment and fulfilment of compliance obligations, and available to interested parties.

Audit definition

A systematic, independent and documented process for obtaining objective evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled (ISO 19011).

Principles of auditing

Seven principles in ISO 19011:2018 clause 4: integrity, fair presentation, due professional care, confidentiality, independence, evidence-based approach and risk-based approach.

Audit programme

Arrangements for one or more audits planned for a specific time frame and directed at a specific purpose, including objectives, resources, scope and the procedures for managing them.

Third-party audit

An audit conducted by an external, independent organization such as a certification body or regulator, typically to attest conformity with a standard such as ISO 14001.

Audit programme review

ISO 19011 clause 5.5: top management reviews the audit programme at defined intervals to confirm its objectives are met and to identify actions for improvement.

Audit criteria

The set of requirements used as a reference against which objective evidence is compared, comprising policies, procedures, standards, contracts and legal or other requirements.

Audit scope

The extent and boundaries of an audit, such as locations, organizational units, functions, processes, activities and the time period covered, as stated in the audit plan.

Stage 1 audit

A certification readiness review evaluating documented information, the organization's understanding of the standard and its readiness for stage 2; identified gaps may be reported as findings.

Document review purpose

Establishes whether documented information conforms to the audit criteria, identifies areas needing closer examination, and informs the sampling plan before on-site audit activity begins.

Objective evidence

Verifiable data, records or statements of fact pertaining to a requirement; it exists, can be demonstrated, and can be corroborated by at least one independent source.

Triangulation of evidence

Corroborating a potential finding with at least two or three independent sources, such as documents, observation and interviews, before recording it as a nonconformity.

Audit trail

The documented chain linking audit criteria to the evidence gathered, to findings and to conclusions, enabling an independent person to retrace the auditor's reasoning.

Audit sampling

Examining a representative portion of a population; sample size increases with risk, complexity, poor performance history or criticality, and should cover shifts, sites and outsourced activities.

Nonconformity definition

Non-fulfilment of a requirement in the audit criteria; recorded with the requirement reference, the objective evidence, and the location or process where it was found.

Major nonconformity

A systemic failure, absence of a required element, or a nonconformity creating significant environmental risk or legal breach; normally it must be corrected before certification is granted.

Minor nonconformity

An isolated lapse within an otherwise functioning control; it does not indicate system breakdown but requires correction, with corrective action verified at follow-up.

Corrective action content

Correction of the specific issue, root cause analysis, action to eliminate the cause, and review of effectiveness, plus updating risks and opportunities where relevant under clause 10.2.

Follow-up verification

Re-examination of evidence after the auditee's agreed deadline to confirm corrective action was implemented and is effective; results are recorded and may close the finding.

Auditor competence

Ability to apply knowledge and skills to achieve intended results, demonstrated through education, work experience, auditor training and audit experience, and evaluated against defined criteria.

Auditor independence

Auditors must not audit their own work and must be free of bias and conflict of interest; independence underpins the credibility of audit findings and conclusions.

Opening meeting purpose

Confirms audit scope, criteria, plan and schedule, introduces team members, explains methods and reporting, and confirms availability of resources, guides and safety arrangements.

Audit team leader duties

Prepares the audit plan, assigns work, briefs the team, manages the audit and any conflicts, represents the team to client and auditee, and approves the audit report.

Accreditation versus certification

Accreditation is formal recognition of a certification body's competence by an accreditation body; certification is the third-party written attestation issued to the client organization.

Certification cycle

A three-year cycle comprising the initial certification audit, surveillance audits at least once a year, and recertification before the certificate expires, covering the defined scope and sites.

Certification body impartiality

A certification body cannot provide management system consultancy, and personnel who provided consultancy to a client cannot be used to audit that client for two years.