The ISO14001 audit process is divided into the first stage and the second stage according to the provisions of Guideline 62 and EA110. Accurately grasping the focus of the two-stage audit is one of the important guarantees for the effectiveness of the ISO14001 audit. The two stages reflect different levels and different focuses in the ISO14001 audit process. The first-stage audit is the basis of the second-stage audit. The first-stage audit defines the focus of the second-stage audit; the second-stage audit is the first-stage audit. Based on a comprehensive and systematic evaluation of the operation of the system. Through the first-stage audit, point out the shortcomings of the system in terms of planning, basic work of the system and control objects, and promote the auditee to grasp that the implementation of the environmental management system does not deviate from the key points, and provide accurate directions for the effective operation of the system. It also provides feasible conditions for audit institutions to conduct second-stage audits.

The first-stage audit is the basis of the second-stage audit. The focus and direction of the second-stage audit are clarified through the first-stage audit; the second-stage audit is a comprehensive and systematic evaluation of the system operation based on the first-stage audit. Through the first-stage audit, point out the shortcomings of the system in terms of planning, basic work of the system and control objects, and promote the auditee to grasp that the implementation of the environmental management system does not deviate from the key points, and provide accurate directions for the effective operation of the system. It also provides feasible conditions for audit institutions to conduct second-stage audits.

Grasping the focus of the first-stage audit is the difficulty in the audit practice process. Common deficiencies are: the first-stage audit is insufficient, and the inconsistencies found in this stage are issued in the second-stage; or the first- and second-stage audits are repeated. certain elements. The author makes the following superficial analysis on the focus of the first stage review.

1. Purpose of the first stage review: Welcome to inquire: Miss Luo 13798904733

1. Collect sufficient information to understand the organization's products, activities, services and auxiliary facilities including power (boilers, generators, air conditioners, air compressors, etc.), energy (water, gas, heat, electricity, etc.) The preliminary review of documents and several key elements, especially the environmental policy, environmental factors, laws and regulations, organizational structure and responsibilities, environmental management system review, management review and other elements does not mean a superficial review. To reflect the focus of the first stage. Determine the entry point and focus of the second-stage audit through on-site inspections and audits of certain elements, and lay the foundation for the second-stage audit.

2. The first-stage audit focuses on reviewing the organization's environmental management system planning and compliance with system documents, and determining the feasibility and necessary conditions for the second-stage audit.

3. Through the necessary on-site audit, the management authority, activity field and on-site area of the organization are clarified, and finally the audit scope is confirmed. Due to the complexity and inseparability of environmental issues, confirmation of the audit scope is related to the quality risk of the certification body. Therefore, it is necessary to accurately define the audit scope from the above three aspects through a one-stage audit. Do not use some heavily polluting processes as related parties and some processes with relatively simple environmental factors and relatively good environmental performance as a separate organization to apply for certification.

2. The content of the first stage review:

The first stage audit includes document audit and necessary on-site audit, which are as follows:

1. Contents of document review:

(1) Confirm that the environmental management system documents meet the requirements of the ISO14001:2015 standard.

(2) Consistency of environmental policy, important environmental factors, target indicators, management plans and control procedures, confirming that the establishment of the system can realize the environmental policy.

2. During the first-stage on-site audit, the following contents should be grasped:

(1) Basic information about the establishment of the system. By reviewing the time of initial environmental review, the release time of manuals and procedural documents, and the formation time of records of environmental factors, lists and other elements, it is confirmed that the system has been in trial operation for more than three months. The operation time is very important to the audit and review and effectiveness of the system. It is far more difficult to implement and maintain than to establish an environmental management system. Adhering to the requirement of operation time is also a measure to maintain the healthy development of the system.

(2) Focus on reviewing the identification of environmental factors and the evaluation procedures of important environmental factors, as well as the records and results of the identification and evaluation process. The identification of environmental factors is a basic work for the operation of the environmental management system, and the evaluation of major environmental factors is a directional work for the operation of the environmental management system. On the basis of fully identifying environmental factors, accurately and appropriately evaluating the major environmental factors to be controlled by the system is the reflection of the effectiveness of the first-stage audit. It is hard to imagine that an organization that is still severely punishing excess sewage and avoiding the major environmental factor of sewage discharge, formulates target indicators, environmental management plans or operation control procedures, and regards paper saving as a major environmental factor. Such a system is like a propositional essay that goes a thousand miles away. From the point of view of the system, it is ineffective to avoid the heavy and the light.

(3) Compliance with laws and regulations and the implementation of acquisition and identification procedures.

The acquisition and identification of laws and regulations is also the basic work of the environmental management system, because laws and regulations are the primary factor in formulating target indicators, and also an important basis for the identification of environmental factors and the evaluation of major environmental factors. The first stage of the audit must evaluate whether the organization has adequately identified the terms and content of the laws and regulations corresponding to its environmental aspects. For the organization, the weakest part is the failure to fully collect the specific standards for the organization's pollution discharge implementation, that is, to implement the corresponding pollutant discharge standards according to the requirements of the surface water, atmosphere, and acoustic environment functional areas in the area where the organization is located. This emission standard shall be subject to the approval of the relevant local administrative department (such as the approval of environmental impact assessment, etc.).

At the same time, in the first stage of the audit process, the organization's compliance with laws and regulations should also be evaluated. Compliance with laws and regulations is the premise of implementing ISO14001. According to EA-110, "the certification body shall require the organization to present proof of the organization's compliance with environmental laws and regulations confirmed by the local environmental protection administrative department". Practice has proved that the local monitoring department conducts a comprehensive monitoring of the pollutant discharge status of the organization, and proves the law-abiding behavior of the organization in the form of technical data, which is acceptable to the majority of organizations and conforms to international practice.

However, because the monitoring results still need to be compared with the discharge standards allowed by the organization to judge whether the discharge of pollutants meets the standards, the approval of the environmental impact assessment is very necessary, or the local environmental protection department should implement the standards for the discharge of three wastes by the organization. A batch is also possible.

(4) The credibility and adequacy of the internal audit implementation. Through the first stage, the necessary records of the internal audit, such as the annual plan of the internal audit, the specific plan, the sign-in form for the first and last meetings, the checklist and the corrective measures for non-conformance projects, have been implemented and have credibility. Through the first-stage audit, the weak May Section of the organization was found and used as the focus and clue of the second-stage audit. Ensure that the internal audit has passed the second-stage audit to achieve sufficient depth, so that the internal audit of the organization can truly play its role as one of the three-level control mechanisms of self-diagnosis and self-correction.

(5) The sufficiency of the responsibilities of the organization is confirmed to be in line with the actual situation of the organization. Especially through the conversation with the top management, understand the adequacy of human resources guarantee such as organizational structure and responsibilities. Talk to a representative of environmental management to understand its central role in the implementation of the system.

(6) Management review has been effectively implemented. In addition to paying attention to the credibility of the organization's management review, the first-stage audit should also review its main content and understand the organization's management's overall evaluation of the environmental management system. It is helpful to help the audit team grasp the system at a macro level through a one-stage audit of this element. The deficiencies considered in the management review report should be the focus and entry point of the second stage review.

In short, the first stage of the audit is the overall planning of the system, which is a basic and directional audit of the system.

Third, the second stage of the audit:

In the second stage, the operation of the main audit system is reviewed. Only the system operation with effective planning, sufficient foundation and correct direction can be effective. The two-stage audits complement each other and are irreplaceable, jointly supporting and ensuring the depth and effectiveness of the audits.

Therefore, the conformity of the system documents, the adequacy of the identification of environmental factors, the suitability of the evaluation of major environmental factors, the conformity of laws and regulations, the suitability of the identification of the corresponding content of laws and regulations, the suitability and adequacy of the organization, the suitability of major environmental factors Consistency of control clauses, credibility and adequacy of internal audit and management review, etc. are the objects and content of the first-stage audit. Grasping the above content audit means grasping the focus of the first-stage audit, which will lay the foundation for the effectiveness of the audit.

Welcome to inquire: Miss Luo 13798904733