Preparing an ISO 14001 audit
Preparation sequence
- Agree audit objectives, scope and criteria with the audit client.
- Check feasibility: time, access, information and cooperation.
- Review documented information: policy, aspects and impacts, compliance obligations, objectives, monitoring data, previous audit reports, complaints, incidents and management review minutes.
- Prepare the audit plan.
- Prepare work documents: checklists, sampling plan, forms.
- Assign tasks and brief the team.
- Communicate with the auditee.
Audit plan contents
The plan covers objectives, scope, criteria, dates and locations, expected time and duration, roles, resources, confidentiality, report distribution and follow-up. It is not the audit programme, which covers a series of audits over time.
Risk-based preparation
Allocate more time to significant aspects, complex processes, permit conditions, poor past performance, changes and outsourced processes. Sampling should cover shifts, sites and the whole audit period, chosen on risk rather than convenience.
Traps
Scope answers what and where is audited; criteria are the requirements used. Document review does not produce audit conclusions-do not pre-write nonconformities from documents alone. Outsourced processes within scope must be sampled. Checklists that simply repeat clause text encourage document-only audits. Confirm top management availability for Clause 5. Consider environmental conditions such as flood or heat risk in planning.
Worked example
A metal finisher holds a discharge permit. Plan 60 minutes on 8.1/8.2 around plating and chemical storage; sample three months of effluent monitoring and calibration records; interview the permit-responsible person; verify evaluation of compliance at 9.1.2. Keep about 20% of time as slack.