Internal Audit for ISO 14001 - Questions for Management

Randy

Super Moderator
#11
Here's a unique concept...........Audit everything else and then ask Top Management questions about what you find that they either should have or could have effected like resource allocation, decisions or lack of decisions, their involvement or lack of involvement, and stuff like that.

Go in to top management with something other than a blank page to fill with aswers to questions that you could get from looking at a record.

Question to top management - "Did you do a management review?"
Answer from top management - "You have the minutes of the meeting, you tell me."
 
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J

JaneB

#12
Audit everything else and then ask Top Management questions about what you find that they either should have or could have effected like resource allocation, decisions or lack of decisions, their involvement or lack of involvement, and stuff like that.
Exactly so and a very good approach.

I agree to some extent with the topics that John has listed, and I also would definitely not ask those questions directly in an interview. (I reckon you'll get 'deer in the headlights' looks (or possibly rolled eyes or both). One ought to be able to locate evidence that these things have (or have not happened) by 'auditing everything else' as Randy says.

If people you talk to don't know the policy (for example), or the targets or the procedures - and they should - then a manager could tell you until s/he was blue in the face that they'd 'had awareness sessions with their people' or whatever else... so what? If there's no evidence that people know the policy and act upon it, there's a weakness. SImilar with other areas.

Go in to top management with something other than a blank page to fill with aswers to questions that you could get from looking at a record.
Agree. Strongly. And you're likely to get a much, much better response from managers.
 
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J

JaneB

#13
The main questions I'd be asking myself would be:
  • do relevant personnel in the company know what environmental legislation impacts its activities and how? Is that assessment up to date?
  • Are those identified risks/consequences/potential impacts adequately reflected by being built into practices, policies, processes, procedures, training etc? And is it being acted upon?
  • What did they plan to do (objectives)? Do those marry with the policy and the risk assessment? How's progress against those objectives? (I'd only look at prevention of pollution IF that was an identified & relevant objective)
  • How are they doing in the audit/CA/PA line re. environmental? Any significant issues or incidents? Are things being audtied appropriately, are issues resolved in a timely way? etc.
And when I had the answers to those high level questions, then I'd look to see how management was revieweing was going on, whether they were doing that, how well, etc.

As Randy said... audit everything else first, then look at management. Don't put the cart before the horse.
 
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