CQI/IRCA EMS Lead Auditor key terms

An element of an organisation's activities, products or services that interacts or can interact with the environment, for example emissions to air, water use or waste generation.

Any change to the environment, whether harmful or beneficial, that results wholly or partly from an organisation's environmental aspects, such as smog, habitat loss or reduced energy demand.

An aspect that the organisation judges, using defined criteria, to have or be able to have a significant impact on the environment, and which therefore becomes a priority for control.

A legal requirement that an organisation must meet, plus any other requirement it has to or chooses to comply with, such as a permit condition or an industry commitment.

Looking at the consecutive and linked stages of a product or service, from raw material acquisition through design, production and use to end-of-life disposal, when identifying aspects and impacts.

The combination of internal and external issues, including environmental conditions, that are relevant to the organisation's purpose and that affect its environmental management system.

A goal the organisation sets for itself, consistent with its environmental policy, that it intends to achieve and that is normally measurable and time-bound.

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.

The set of requirements, such as ISO 14001, a permit, legal requirements or internal procedures, against which audit evidence is compared in order to judge conformity.

Records, statements of fact or other information that are relevant to the audit criteria and can be verified, and which form the basis for the audit findings.

The results of evaluating the collected audit evidence against the audit criteria, which may indicate conformity or nonconformity and are reported to the auditee.

The outcome of an audit, reached after considering the audit objectives and all audit findings, describing the overall level of conformity and any recommendations.

A set of one or more audits planned for a specific time frame and purpose, managed as a whole to improve the organisation's environmental performance and management system.

A description of the activities and arrangements for a specific audit, covering objectives, criteria, scope, dates, team, schedule and meeting arrangements.

The core attitudes that make auditing credible: integrity, fair presentation, due professional care, confidentiality, independence, an evidence-based approach and a risk-based approach.

The extent and boundaries of an audit, such as the sites, activities, organisational units, products and processes to be covered and the period of time.

What the audit is intended to accomplish, for example evaluating conformity with ISO 14001, verifying corrective actions or assessing how well the EMS performs.

The initial part of a certification audit, in which the auditor reviews documented information, the site and the organisation's readiness to decide whether stage 2 can proceed.

The checklists, sampling plans, forms and notes an auditor prepares and uses to plan and record the audit, retained as evidence of how the audit was conducted.

Selecting less than the whole population of available information or activities to obtain and evaluate evidence, so as to give a reasonable basis for conclusions about the whole.

A short formal meeting at the start of an on-site audit to confirm the audit plan, scope, criteria and working arrangements, and to settle any questions from the auditee.

A formal meeting at the end of the audit where the team presents its findings, nonconformities and conclusion, and agrees follow-up actions and reporting arrangements.

A structured conversation with auditee personnel to gather evidence, in which the auditor listens, asks open questions, probes the answers and confirms what has been heard.

A failure to fulfil a requirement of the audit criteria, supported by objective evidence, and recorded and reported in a form the auditee can act upon.

A nonconformity that seriously affects the capability of the environmental management system to achieve its intended results, or that raises significant doubt about the system's effectiveness.

A nonconformity that is isolated, limited in effect and does not indicate a systemic failure of the management system, but which still requires correction and corrective action.

Action taken to eliminate a detected nonconformity and put things right, such as repairing a leaking pipe or re-labelling a container. It does not address the underlying cause.

Action taken to eliminate the cause of a nonconformity so that it does not recur or arise elsewhere, normally following an investigation of the root cause.

A written record of the audit covering objectives, criteria, scope, findings, nonconformities and conclusions, issued to the auditee and other defined recipients.

A later activity to verify that corrections and corrective actions for reported nonconformities have been implemented and are effective, often by reviewing evidence or revisiting the site.

The combination of knowledge, skills and behaviour an auditor needs, including EMS and legal knowledge, audit technique, communication and personal attributes, usually shown through qualification and experience.

The state of being free from bias, conflict of interest and pressure from the auditee, so that findings and conclusions rest only on the evidence gathered.

The auditor's duty to keep information gained during an audit secure and not to disclose or misuse it without proper authority, unless disclosure is required by law.

The care, judgement, diligence and skill expected of an auditor when planning, conducting and reporting an audit, applied in proportion to the task and its risks.

A person who provides specific knowledge or expertise to the audit team, such as a process engineer or environmental lawyer, advising the team but not auditing on their own.

Formal attestation by an independent accreditation body that a certification body is competent to carry out specific certification activities, typically assessed against ISO/IEC 17021.

Third-party written assurance, given by an independent certification body, that an organisation's environmental management system conforms to ISO 14001 within a defined scope.

An organisation that audits and certifies management systems, working under accreditation and applying ISO/IEC 17021 together with the rules of national and international accreditation schemes.

A periodic on-site audit carried out after initial certification to confirm that the certified management system continues to conform and that corrective actions remain effective.