审核员如何把握ISO14001:2004的新要求
The auditor to grasp the ISO14001: 2004 new requirements
ISO 14001：2004标准（以下简称新版标准）于2004年11月15日发布后，国际认可论坛（IAF）为了适应认证审核的需要，在与国际标准化组织（ISO）协商的基础上，在（IAF GD4：2004 IAF：关于获得认可的认证从ISO14001：1996到ISO 14001：2004的转换计划》中规定：到2006年5月15日，所有基于ISO 14001：1996标准而颁发的证书将全部失效，新证书将全部基于新版标准。IAF还规定了两个阶段的转化期：第一阶段为准备期，时间为新版标准发布后6个月，组织可以自己决定采用新版标准或旧版标准。准备期也便于各个国家的标准组织将这个国际标准转化为采用本国语言的国家标准。第二阶段为转换实施期，时间为准备期后的12个月，这期间所有的认证审核都要采用新版标准。对认证组织而言，这个阶段主要是通过正常的监督审核确定组织对新版标准的符合性。中国认证机构国家认可委员会（CNAB）也在《CNAB—AG 32：2005：认证机构实施依据新版GB／Y 24001国家标准的环境管理体系认证的转换指南》有类似规定。
ISO 14001 : 2004 standards ( hereinafter referred to as the new standard ) was released in November 15, 2004, the International Accreditation Forum ( IAF ) in order to adapt to the need of certification audit, with the international organization for Standardization ( ISO ) on the basis of negotiation, in ( IAF GD4: 2004 IAF: on approved certification from ISO14001 1996 to ISO 14001: 2004 conversion plan" in regulation: by May 15, 2006, all based on ISO 14001 : 1996 standards and certificates will be failure, a new certificate will be based on new standards. IAF also provides a two phase of the transformation period: first the preparation stage, in time for the new standard is released after 6 months, the organization can decide the new standard and old version standard. Preparation for various national standards organization of the international standards into the native language of the national standard. The second stage for the conversion of the implementation period of time, for after a period of 12 months, during which all of the certification to the new standard. On the certification of the organization, this phase is mainly through the normal supervisory examination to determine the organization of new edition standard conformance. China National Accreditation Board for certification body ( CNAB ) in" CNAB - AG 32: 2005: accreditation body implementation basis version of GB / Y 24001 national standards of environmental management system certification conversion guide" has similar provisions.
2005年5月15日后的审核基于新版标准。对于开展认证审核的审核员，在新版标准的理解和审核把握上必须适度，否则要么对标准要求没有充分覆盖，要么对组织提出超出标准的要求，都不符合审核的原则。本文旨在探讨审核员如何把握新版标准有变化的要求，对于标准原有要求不再涉及。
After 15 May 2005 audit based on new standards. To carry out certification auditors, in the new and standard of audit assurance must be appropriate, otherwise either the standard requirements are not fully covered, either on the organization forward beyond the standard requirements, do not meet the principle of audit. This paper aims to explore how to grasp the new standard auditor change request, for the standard original requirement is no longer involved.
一、文件要求
One, documentation requirements
基于ISO   14001：1996的审核有一条不成文的规定，即凡是标准提出要有程序的地方，如果组织没有相应的程序文件，可以开出不符合。现在，必须纠正这种认识了。新版标准及其资料性附录A.4.4指出，文件不一定以手册的方式存在。
Based on the ISO 14001 : 1996 audit an unwritten rule, i.e. where the standard put forward to want to have a procedure in place, if the organization does not have the corresponding procedures, can out do not meet. Now, must correct the understanding. Edition standard and information in Appendix A.4.4 pointed out, file does not have to manual mode.
新版标准对文件的要求可能对于有些审核员来说，觉得非常难以理解，有的认为无法审了。这样的担心是多余的。通观新版标准的内容，并没有弱化对文件的
Edition standard of documentation requirements may for some auditors, found it very difficult to understand, some thought to be a trial. This worry is unnecessary. In the new standards, and not weakening on the file
要求；新版标准所要求的形成文件的方面都体现在4.4.4中，为了与ISO 9001：2000接轨，虽然新版标准文字量增加了不少，但实质要求增加不多，真正增加的是对体系范围文件化的要求。
Requirements; new edition standard required documents are reflected in the 4.4.4, to ISO 9001: 2000 standards, although the new standard text content increased many, but substantial requirements increase, the real increase of system documentation requirements.
对于审核员来说，不用担心审核时看不到程序文件，因为在新版标准A.4.4中说明了如何考虑是否将程序形成文件，其中列举了将程序文件化的种种益处。当组织没有任何程序文件时，面对审核将承担巨大风险。审核员需要更加关注组织是否将体系范围文件化，而不能再要求程序必须文件化了。
For auditors, don't worry about the audit time fail to see the program files, because in the standard A.4.4 explains how to consider whether the program document, which enumerates the procedures documented benefits. When the organization without any program files, in the face of the audit will assume great risk. The auditor needs to pay more attention to whether the organization will system documentation, and no requirements must be documented.
二、几点值得注意的变化
In two, several noteworthy changes
1.法律法规要求：新版标准要求组织必须识别法律法规如何适用于组织，并增加了专门的条款要求组织识别法律法规的符合性。显然，新版标准对法律法规的符合性更加重视了，审核员应高度重视组织对法律法规符合性承诺的实践情况。
1 legal requirements: new edition standard requirements the organization shall identify laws and regulations to apply tissue, and increased the special clause requires an organization to identify legal and regulatory compliance. Apparently, the new standard for legal and regulatory compliance more seriously, the auditor should attach great importance to organization of legal compliance commitment to practice.
2.“环境绩效”的定义从关注管理体系转变为关注组织对其环境因素的管理，真正体现了引言中明确的标准的总目的：“支持环境保护和污染预防，协调它们与社会和经济需求的关系。”审核员在考察环境绩效方面应更加关注组织对环境因素的实际控制效果。
2" performance" of the definition of the attention management system transforms to pay attention to its environmental factors of organization management, truly reflects the clear standard catalogue:" support environmental protection and prevention of pollution, to coordinate them with the social and economic demand relationship." The auditor in the study of environmental performance should be paid more attention to environmental factors in the actual control effect.
3.审核的过程方法：新版标准在引言“图l——本国际标准的环境管理体系模式”的注中，特别增加了以下内容：“许多组织通过由过程组成的体系以及过程之间的相互作用对运行进行管理，这种方式称为‘过程方法’。GB/T 19001——2000提倡使用过程方法。由于PDCA可以应用于所有的过程，因此这两种方式可以看作是兼容的。”这就是说，新版标准鼓励组织采用过程方法建立、实施和保持环境管理体系。从过程的定义和环境因素的定义看，环境因素本身就是过程，而环境因素是环境管理体系的核心，管理体系就是围绕环境因素展开的。
3: the new standard for audit process in the" L -- the international standards for environmental management system mode" note, especially increase the following: " many organizations through a process consisting of the system and the interaction between the processes of operation management, this is called ' process '. GB / T 19001 -- 2000 advocate the use of the process approach. Because PDCA can be applied to all processes, so that two kinds of way can be seen as compatible." That is to say, the new edition standard organizations are encouraged to adopt process method for establishing, implementing and maintaining its environmental management system. From the definition of process and environmental factors in the definition of environment factors, is itself a process, and environmental factors are environmental management system management system is the core, around environmental factors expansion.
标准鼓励组织采用过程方法建立、实施和保持环境管理体系，审核员也应该相应地采用过程方法审核。笔者呼吁，过程方法应该贯穿于整个审核过程中。现在，认证行业普遍强调增值审核，按照过程方法进行审核是增值审核的必由之径。
Standards organizations are encouraged to adopt process method for establishing, implementing and maintaining the environmental management system, the auditor should accordingly the adoption of a process approach audit. The author appeals, process approach should run through the whole process of examine and verify. Now, the certification industry generally emphasize value-added audit, process audit is in accordance with the method of value added audit need by size.
三、标准条款审核的变化
In three, the standard clauses of changes
4.1条款。要求组织确定环境管理体系的范围并将其文件化，审核员必须查看组织文件化的管理体系范围，明确哪些活动、服务和产品包含在范围内。一般来说，这种文件化的范围应在组织的环境管理体系手册（如果有）中作出规定。审核员应考察组织建立的体系是否包含标准的所有要素并有效运行，审核结论应在对整个体系进行全面审核后作出。
Article 4.1. Require organizations to identify environmental management system scope is documented, the auditor must view the organization document management system, make clear what activities, products and services included in the range of. In general, the document scope in the organization's environmental management system manual ( if any) to make provision for. The auditor should inspect the organization to establish the system contains all elements of the standard and the effective operation, the audit conclusion in the entire system to conduct a comprehensive review was made after.
4.2条款。方针必须传达到所有为组织或代表组织工作的人员。审核员应关注这种传达是否充分有效，是否传达到了组织员工以外的人员，如承包方、分承包方、临时雇员等。同时，亡注意这种传达可以只传达相关内容，或采用多种形式传达而不是方针的文本，审核员不可机械要求．组织必须传达方针文本。
Article 4.2. Policy should be communicated to all for or on behalf of the organization staff. Auditors should pay close attention to this kind of communication is effective, whether conveyed to employees outside personnel, such as contractors, subcontractors, temporary employees. At the same time, death note this communication can only convey relevant content, or use a variety of forms to communicate rather than policy text, the auditor should not be mechanical requirements. The organization must convey policy text.
4.3.1条款。审核员要确定组织是否有文件化的环境因素信息，环境因素识别程序是否覆盖已规划的或新的开发，新的或修改的活动、产品和服务。本条款的另一个变化是将识别“可望对其施加影响的环境因素”改为组织“能够施加影响的环境因素”。由于变化太细微，其真正涵义并不确切，组织也很难区别。笔者认为，审核员只要把握组织是否识别可以施加影响的环境因素即可。
The 4.3.1 clause. The auditor should determine whether the organization has documented environmental factors, environmental factors identification procedures covering planned or new developments, new or modified activities, products and services. The terms of another change is to identify" is expected to influence the environmental factors " to organize" can influence the environmental factors". As a result of changes too subtle, its true meaning is not exact, the organization is also very difficult to distinguish between. The author thinks, the auditor should master the Organization identified can influence the environmental factors.
4.3.2条款。审核员应考察组织是否识别了与其环境因素相关的所有的法律法规要求和获取途径，而不仅包括直接适用的环境法律法规，如一些与环境因素相关的安全方面的法律法规。组织要确定法律法规和其他要求如何适用于他们的环境因素，即确定法律法规要求和其他要求与环境因素之间的关联性。如果组织只是获取了一些法律法规文本，但未明确文本的哪些内容适用于组织的哪些环境因素，在审核中不能接受。
The 4.3.2 clause. Auditors should review the Organization identified with its environmental factors associated with all legal requirements and the way of obtaining, and includes not only directly applicable environmental laws and regulations, such as the number of environmental factors associated with safety laws and regulations. The organization should determine the legal and other requirements to apply to their environmental factors, which determine the legal requirements and other requirements and environmental factors in the association between sex. If the organization just get some legal texts, but did not clear the text which content is applied to the tissue which environmental factors, in the audit can not accept.
审核员还要考察组织在建立、实施和保持环境管理体系时，以及建立方针、目标和指标、识别重大环境因素时，是否考虑法律法规和其他要求。
The auditor must inspect the organization in establishing, implementing and maintaining its environmental management system, and the establishment of policy, objectives and targets, identifying significant environmental factors, whether to consider the legal and other requirements.
4.3.3条款。包含1996版标准4.3.3和4.3.4的要求，要求识别已规划的或新的开发，新的或修改的活动、产品和服务中的环境因素要求放在4.3.1中。
The 4.3.3 clause. Contains 1996 version of the standard 4.3.3 and 4.3.4 requirements, requirements identification has been planned or new developments, new or modified activities, products and services to the environmental factors in the requirements placed on the 4.3.1.
审核员要考察组织确定的目标指标在可行时是否可测量，是否与方针中持续改进的承诺相一致。审核员如果发现组织的目标指标长期不变，需考察不变的原因，无正当理由应认为不符合。
The auditor should inspect the Organization identified the target when feasible is measurable, whether the policy commitment to continual improvement is consistent. Auditors if found organization target unchanged for a long time, need to inspect and constant cause, without justifiable reasons, should be considered incompatible with.
4.4.1条款。审核员应考察组织提供的资源是否包括基础设施，特别是对于那些必须有相应的环境设施才能实现对环境因素进行有效控制的场合。
The 4.4.1 clause. Auditors should review organizations provide resources including infrastructure, especially for those who must have the corresponding environmental facilities to achieve effective control of environmental factors.
组织要“确保资源的可得性”而不是“提供资源”。这意味着组织需要证明有应急计划用于保证合格的人员可以满足体系具体岗位的要求。新版标准将“提供”一词改为“确保”，这一点对于人员流动性大的组织尤为重要。审核员不仅要考察组织资源的满足情况，还要关注组织对潜在资源需求的满足能力。
The organization to" ensure the availability of resources" and not" provide resources". This means that organizations need to prove to have a contingency plan to ensure the qualified personnel to meet the system specific position requirements. The new standard will be" to provide" changed to" ensure", this point for personnel mobility organization is very important. The auditor should not only research organizational resources to meet the conditions, but also pay attention to the potential resources to meet the needs of the organization ability.
审核员应考察管理者代表向最高管理者汇报的内容是否包括改进的建议。
Auditors should review the management representative reporting to the top management 's content is including recommendations for improvement.
4.4.2条款。组织不仅要保证内部员工的能力，还要保证为其或代表其工作的人员的能力。审核员要注意考察非组织内部员工是否具有相应的能力。
The 4.4.2 clause. The organization should not only guarantee the internal staff ability, but also to ensure for or on behalf of the staff 's ability. The auditor should pay attention to study the internal staff whether has a corresponding capacity.
确保人员满足要求的手段不仅是培训，也可以采取其他措施，如招聘等。审核员不能要求组织必须通过培训保证人员的能力。
Ensure that the personnel to meet the requirements of the means is not only training, also can take other measures, such as recruitment. The auditor can't require tissue must pass through the training to ensure the competence of personnel.
审核员要查看组织是否保持记录用于证明可能引发重大环境影响的人员的能力（基于教育、培训和经验）。审核员应了解组织是否已对所有为其或代表其工作的人员引发重大环境影响的可能性及相应的能力需要进行了适当的评估。
The auditor should view the organization maintains records for that may cause significant environmental impacts the ability of personnel ( based on education, training and experience ). Auditors should be aware of whether the organization has all its or those working on their behalf caused significant environmental impact possibility and corresponding abilities needed to carry out the appropriate assessment.
4.4.3条款。审核员应考察组织是否已决定就其重大环境因素对外沟通，并查看其文件化的决定。如果组织决定对外沟通，审核员应进一步了解组织是否已建立和实施对外沟通的方法。
The 4.4.3 clause. The auditor should examine whether the organization has determined the major environmental factors and external communication, and view its documented decision. If the organization decided to external communication, the auditors should further understand whether the organization has been established and implemented communication method.
4.4.4条款。审核员应考察组织是否具有体系范围的描述、文件和记录，用于确保有效地策划、运行和控制与重大环境因素有关的过程文件和记录。
The 4.4.4 clause. The auditor should inspect whether the organization has the system description, documents and records, for ensure the effective planning, operation and control of major environmental factors related to process files and records.
4.4.5条款。审核员应查看外来文件，如许可证是如何识别的，其分发是如何控制的。
The 4.4.5 clause. The auditor should view the external documents, such as the license is how to identify, their distribution is how to control.
组织是否进行了文件评审并在必要时进行了修订，修订后是否经过再批准。新版标准没有现定评审要定期进行。
Does the organization carried out document review and if necessary, revised, the revised again whether after approval. Edition standard is not now review regularly.
组织的文件变化及版次变更是否以“显示修订”、“文件修订表”等方式加以识别。
Organization of the paper changes and version change is to" show the revision"," the document revision table " approach to identification.
4.4.6条款。基本无变化。
The 4.4.6 clause. No change.
4.4.7条款。审核员应考查组织是否已确定对应急准备和响应程序进行定期评审，是否按程序要求进行了定期评审。
The 4.4.7 clause. The auditor should check whether the organization has determined on emergency preparedness and response procedure are periodically reviewed, whether by procedural requirements were periodically review.
4.5.1条款。由于标准不再强调必须要有“以文件支持”的程序，审核员不能对是否有程序文件提出要求，而应考查组织是否
The 4.5.1 clause. Because the standard is no longer emphasizes must have" documented procedure", the auditor is not on whether there is a program file request, but should examine whether the organization
保留了监视绩效和适用的运行控制的文件化信息。
Keep monitoring performance and suitable operation control file information.
审核员应检查组织是否对测量设备进行了校准或验证。
The auditor should check whether the organization of measuring equipment for the calibration or verification.
4.5.2二条款。4.5.2.1是对法律法规的符合性检查，与4.5.1一样，也不强制要求有程序文件，但要求建立、实施、保持一个或多个程序，并需要保留定期评价法律法规符合性的结果的记录。没有强调必须是环境法律法规，只要是适用的法律法规即可，这与4.3.2的修改相呼应，如存在与组织重大环境因素相关的安全法律法规，也要评价其符合性。
The two clause of 4.5.2. 4.5.2.1 is for legal and regulatory compliance checks, like with 4.5.1, also do not mandate a program file, but required to establish, implement, maintain one or more programs, and the need to retain the regular evaluation of legal compliance record of results. That there must be environmental laws and regulations, as long as the applicable laws and regulations, this and 4.3.2 modification of echoes, such as existence and organization of major environmental factors related safety laws and regulations, and to evaluate its conformity.
4.5.2.2条款。要求组织对应遵守的其他要求进行符合性检查，与法律法规的符合性检查类似，组织可以结合与法律法规的符合性检查进行。审核员首先应识别组织有哪些应遵守的其他要求，然后看组织是否进行了符合性的检查。同样要求组织对检查的结果形成记录。
The 4.5.2.2 clause. Requirements of corresponding comply with other requirements for conformity inspection, and legal and regulatory compliance check similar, tissue can be combined with the legal and regulatory compliance check. The auditor should first identify the organization which should comply with other requirements, and then look at whether the organization undertook conformity inspection. The same organization of examination results in the formation of record.
审核员如果发现组织没有开展法律法规及其他要求的符合性检查，应开出不符合项。
Auditors if found organization did not carry out the laws and regulations and other requirements to check compliance should be open, do not accord with.
4.5.3条款。审核员应注意把握组织识别、处理不符合和潜在不符合及评估采取的措施的有效性，全面考察组织满足标准的情况。
The 4.5.3 clause. The auditor should pay attention to organizational identification, treatment is not consistent and potential nonconformities and to evaluate the efficiency of measures, comprehensive inspection organizations to meet the standard of.
4.5.4条款。标准不再在本条款中指出具体要保留的培训、内审和管理评审的记录，这些要求分别在各自条款中有要求。审核员要注意识别组织建立和保留这些记录的职责分别属于哪些部门，并在相应部门中注意考察。标准不再要求有确定的记录保留期限规定，审核员应注意不能再强制要求组织规定记录保留的时间。
The 4.5.4 clause. The standard is no longer in this clause that specific to the retention of training, internal audit and management review records, these requirements in their respective terms is required. The auditor should pay attention to identify the organization to establish and keep these records duties respectively belong to which department, and in the corresponding departments attention to study. The standard will no longer be required to determine the record retention period specified, auditors should pay attention to no longer mandatory provisions of the organization record retention time.
4.5.5条款。审核员应考查组织有无策划内部审核方案，这是
The 4.5.5 clause. The auditor should examine the organization is planning the internal audit programme, this is
组织容易忽略的。审核员可参考ISO 19011标准有关审核方案的内容。
Tissue easily overlooked. The auditor can refer to ISO 19011 standards related to audit programme content.
审核员应注意标准不再要求定期进行审核，而是按计划的时间间隔开展审核。审核员可以依照组织内审程序中规定的审核频率考察组织确定的时间间隔。
The auditor should note that required no regular audit, but at planned intervals to the audit. The auditor can according to the organization's internal audit procedures in the audit frequency inspection organization determines the time interval.
审核员要注意组织的内审程序不仅要规定“实施”和“报告”的职责和要求，还应该考虑“策划”和“保持记录”的职责和要求，不仅要对内审的范围、频率和方法作出规定，对内审准则也应作出规定。
The auditor should pay attention to organization internal audit program not only stipulates that "the implementation of" and" report" duties and requirements, should also consider the" planning" and" keep the record" duties and requirements, not only to the audit scope, frequency and methods of the internal standard is made, should make rules.
审核员应注意考察组织如何保证参与审核的内审员的能力和公正性。对于中小组织而言，审核的独立性可以通过内审员独立于被审核活动体现，审核员不能强制要求组织的内审员不准审核自己部门的工作。
The auditor should pay attention to study how to guarantee the audited organization internal audit ability and impartiality. For small organizations, the audit independence can be achieved by auditors independent of the activity to be audited embodiment, auditor can't mandatory auditor to audit the organization work of the department.
4.6条款。审核员应考查组织是否按计划的时间进行管理评审。
Article 4.6. The auditor should check whether the organization to plan time for management review.
审核员应考查组织管理评审的输入输出是否包括标准中规定的全部内容，因为1996版标准对管理评审的规定没有使用输人输出的概念，也没有规定评审输入输出的具体内容。
The auditor should examine the organization of the input to management review outputs include the standards set forth in the entire content, because the 1996 version of the standard of the management review shall not use the input and output of the concept, there is no requirement review input output specific content.
审核员应注意组织有无评审体系改进的机会，这是标准的新要求。
The auditor should pay attention to the evaluation system of organization has no opportunities for improvement, it is the new requirements of the standards.
审核员应注意标准对管理评审的记录要求只是针对管理评审的结果，而不是1996版标准规定的整个管理评审过程。
The auditor should pay attention to the standard of management review record requirements only in response to the results of management review, rather than the 1996 edition standard the management review process.
虽然新版标准的变化不大，但审核员需要深刻领会这些变化，并把握得恰如其分，从而在审核中充分体现标准的要求，避免出现不必要的尴尬。
Although the new edition standard changes a little, but the auditor needs to deeply understand and grasp these changes, to a proper extent, resulting in the audit fully embodies the standard requirements, avoiding unnecessary embarrassment.