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ISO 14001:2004 Environmental

Management Systems
Lead Auditor Course

Instructor Guide
Issue 4.2 – October 23, 2008

12110 Sunset Hills Road 6205 Airport Road
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Reston, VA 20190 Mississauga, ON L4V1E1
USA Canada
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www.bsiamerica.com

Course Code : EMS-042-01-EN-US

This material is for the personal use of an instructor teaching this course presented by BSI
Learning.

ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide No part of the materials may be reproduced.2:10/23/08 ©The British Standards Institution 2008 2 of 14 . Course PreTab EMS-042-01-EN-US Issue 4. or transmitted in any form or by any means without the prior written consent of BSI Learning. stored electronically.

.... Prerequisite Exercise Review................ Student Assessment................. Course Documentation.......................1 Continual Evaluation............................................................................................................................................................................................12 Appendix A – Preferred Training Room Set-up........5 6.............................................11 11............. Learning Objectives....... Sample Exam....................................................................................................................... Course Reporting..................................11 9..........................................5 4................................................................ Course PreTab EMS-042-01-EN-US Issue 4..................................................3 3.....3 Exam Re-sits.....2:10/23/08 ©The British Standards Institution 2008 3 of 14 .............................. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide INSTRUCTOR GUIDE CONTENTS This section of the Instructor Guide contains the following information vital to the proper administration of this course: INSTRUCTOR GUIDE CONTENTS............................................................................10 8............. Instructor Qualifications.....................7 8....................................................................................................................................................................... Training Room Set-Up.................................................8 8..................................................8 8...... The Course......6 7.................................................................................................................... Course Ethos..............3 2......2 Written Examination...................................................................................................................................................13 The instructor should note that details for Exercise administration and for Exercise answers are included behind the Exercise Tab of the Instructor Guide............................ General..............2 1..............................5 5.......... Administrating the Exercises..............................................................................................................11 10.............................12 12........................

Each instructor is expected to read this guide and do the advance preparation and daily lesson planning needed to successfully deliver the course. including individual exercises. quality system elements. "Guidelines for Quality and/or Environmental Management Systems" to teach the auditing process as applicable to environmental management systems. 2. content. the course finishes the review of the requirements of ISO 14001:2004 and discusses requirements of applicable regulations. No other course may be included within this Lead Auditor course. This guide is restricted information and may be issued only as controlled copies only to those personnel qualified and authorized to deliver the course. The guide makes up a part of the course documentation in total and is provided for instructional guidance for course instructors. and other specified course requirements is essential. the course will also cover the concepts and principles of auditing and the process of managing the audit program. organized.2:10/23/08 ©The British Standards Institution 2008 4 of 14 . team-based Course PreTab EMS-042-01-EN-US Issue 4. the course covers the requirements of ISO 14001:2004.com at BSI Learning. It is required for students to complete a prerequisite exercise to ensure their knowledge of ISO 14001:2004 before the course begins. corrections and suggestions for improvements are encouraged and will be taken into consideration for future updates. Please send feedback to courses. On day two. On day one. On days three and four students will conduct detailed exercises to practice and demonstrate their knowledge of conducting audits to ISO 14001:2004. Instructors must pay particular attention to coverage of all materials and must ensure that all requirements are fulfilled each time the course is offered. Instructors are welcome to suggest improvements to the course or this guide. GENERAL This guide provides instructors with information that facilitates a clear. Adherence to time schedules. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 1. and authoritative delivery of the “EMS Lead Auditor” course.msamericas@bsigroup. The course also relies on the requirements of ISO 19011:2002. The course comprises formal classroom sessions (tutorial) and student participation (exercises). On day two. In the spirit of continual improvement. 50% of the course involves student participation. THE COURSE This course covers in five days the requirements for environmental auditor training as outlined in ISO 19011:2002 and ISO 14001:2004. Days three and four concentrate on conducting an environmental management system audit as outlined in ISO 19011:2002. The prerequisite exercise will be covered during class and will count toward the continual assessment of the student. This introductory section states the overall course objectives.

Course materials use definitions consistent with section three definitions of ISO 14001:2004 and ISO 19011:2002. who is actively involved in the instruction and evaluations for the full duration. Absence. The course is designed for forty (40) contact hours over five consecutive days. We encourage sharing of examples from students having relevant process or industry experience. they must ensure that at least that at least forty hours of instruction occurs in either the form of tutorials or exercises. the lead instructor is responsible for the entire course offering. if the course is given through interpreters.2.” Please note. Each course offering shall be presented by at least one instructor. RABQSA TP4. The number of students in a class can be no greater than twenty and should be no fewer than four. For classes with more than 10 students.EMSLA. Although instructors may deviate slightly from the agenda. two instructors are required. excluding time for lunch. Answers to the Exercises are included in the Instructor Guide behind the Exercises Tab. Even if additional resources or instructors are used. Refer to the Agenda Tab for a detailed day-by-day agenda and slide sequence (as required by clause 3. for purposes of this course. Reference is made throughout the materials to “ISO 14001. the course puts no particular emphasis on any specific process or industry. or tardiness. Students are required to be in attendance for the full duration of the course.2:10/23/08 ©The British Standards Institution 2008 5 of 14 . the full reference is to ISO 14001:2004. It is not product or organizational specific. An additional two (2) hours is required to conduct the exam. this time shall be increased as required to meet the learning objectives). but universal in application. within the scope of application described. Course PreTab EMS-042-01-EN-US Issue 4. shall be reflected in the student performance evaluation. and class discussion. and breaks unless approval is grated by RABQSA to modify this requirement. Some specific examples will be utilized for illustration and explanation.3 of RABQSA document “Training Course Certification. Otherwise. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide workshops.

The design of the course is based on the idea of the instructor’s role as a mentor and coach. The Student Manual is organized in sections for easy reference. 5. a copy of the exams should be sent along with the Student Manuals in a sealed envelope. COURSE ETHOS Instructors should be aware of the ethos of the course. A packet of audit scenario handouts should also be included with the Student Manuals shipped to the course site. Only the Instructional Systems Designer has authority to make or delegate changes to the courseware. Instructions on when to use the handouts are included behind the Exercise Tab. COURSE DOCUMENTATION Students are provided with a bound course manual. 4. The Text Tab contains detailed discussions of ISO 14001:2004. rather than simply a lecturer.2:10/23/08 ©The British Standards Institution 2008 6 of 14 . Familiarize yourself and the students with the layout. Instructors should encourage the students to participate and assist those who may experience difficulties. Materials are maintained as controlled documentation. INSTRUCTOR QUALIFICATIONS Only qualified and authorized instructors meeting the requirements of the course provider shall teach this course. ISO 19011:2002. Therefore. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 3. There is ample room for notes. The agenda gives the schedule of daily activities and is found at the front of the Student Manual. Course PreTab EMS-042-01-EN-US Issue 4. and the auditing process. Additionally. The Case Study Tab includes all of the case study material. Copies of presentation slides used during the tutorials are included in the manual after the Slides Tab. See that student individual concerns are addressed as much as practical.

2:10/23/08 ©The British Standards Institution 2008 7 of 14 . Considerations for multi-site registrations  Describe the environmental audit process as defined in the current revision of ISO 19011 Course PreTab EMS-042-01-EN-US Issue 4.2 of the “RABQSA Training Course Certification” document. and Guidelines  Understand the Purpose of the ISO 14000 Series  Understand the Requirements of the ISO 14001:2004 Standard  Identify Aspects and Impacts  Manage an Audit Program  Initiate the Audit and Conducting Opening Meetings  Understand Auditor Responsibilities  Conduct On-site Activities  Understand Environmental Legislation  Communicate Effectively during the Audit  Generate Audit Findings  Prepare Audit Conclusions  Conduct Closing meetings  Reporting Audit Results  Conduct an Audit Follow-up  Understand the Registration Process As required by section 2. auditor certification bodies. the impact that these developments may have on the audit process. LEARNING OBJECTIVES A participant who completes this course should be able to:  Understand Environmental Management Definitions. Initial assessment process and purpose of 2 stages b. and training course approval bodies  Describe the process of registration of an organization’s EMS. certification bodies. an attendee who successfully completes this course shall be able to:  Explain the purpose and intent of the ISO 14000 series of standards  Describe the continuing process of development of the ISO 14000 series and ISO 19011. Potential outcomes and registration decisions c. including but not limited to: a. and the need for auditors to keep up to date  Explain the intent and requirement of each clause of ISO 14001:2004  Identify the audit evidence needed to demonstrate conformity to the requirements of ISO 14001:2004  Evaluate the effectiveness of an entire EMS  Describe the difference between legal compliance and conformity with ISO standards. Concepts. and the significance of these terms when conducting audits  Describe the systems of certified registration and the differing functions of the accreditation bodies. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 6.

Evaluation of corrective action to audit findings  Describe the process for follow-up investigations. including: a.)  Understand the RABQSA certification criteria and Auditor’s code of conduct for EMS auditors  Understand the hierarchy of environmental legislation and regulation processes. Process audits e. and how to evaluate whether an auditee’s system has effectively identified resource information  Perform the phases of an EMS audit as described in ISO 19011. Compliance audits c. including document review and team selection b. and closing) c. ADMINISTRATING THE EXERCISES Detailed instructions for the administration of the exercises are included behind the Exercises Tab of the Instructor Guide. due diligence) d. debriefing. Conduct of interviews (effective interpersonal skills and interviewing techniques including an ability to listen and question) d. including the relationship of federal. including. Internal audits  Explain and identify EMS scopes (e. Course PreTab EMS-042-01-EN-US Issue 4. and local agencies. site- specific. facility-specific. Minor deviation for time and content is permissible based upon class size and ability. Completion of an audit report f. Evaluation of evidence collected during the audit and preparation of reports of conformity and nonconformity to the audit criteria e. but not limited to: a. Systems audits b. state.e. organization-specific. Site audits (i.g. The instructor must be present at all times while students are working on exercises. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide  Compare the types of audits and their objectives. Audit planning and preparation.. centralized. including audits as required 7. Conduct of meetings (opening. etc.2:10/23/08 ©The British Standards Institution 2008 8 of 14 .

manner.”1 If a student passes the continual evaluation but fails the exam. Two-hour written exam Students must earn a 70% or higher on both the daily continual evaluation and the two-hour written exam. a student who fails the continual evaluation must satisfactorily complete another full training course before being eligible to receive a “Certificate of Successful Completion. Continual evaluation 2. then they cannot receive a “Certificate of Successful Completion. These notes will be used to assign points for each exercise to assess student performance.2:10/23/08 ©The British Standards Institution 2008 9 of 14 . 1 These requirements are outlined in clause 4 of the RABQSA document “Training Course Certification. Students who do not participate in exercises must receive a score of zero for those exercises. all course exercises. The Matrix is located in the "Instructor Toolkit" folder of the electronic course materials (EMS LAC Instructor Marking Matrix. punctuality. and participation in all class activities The instructor must record the student’s contribution to. Attendees are required to be in attendance for the entire duration of the course. STUDENT ASSESSMENT The student performance on the course will be assessed continually by the instructors. Failure to do so must be reflected in the attendees' continual and final evaluations. 8. communication to the class.” Additional details about the continual evaluation and written exam are included in the following sections. skills. however. questioning of instructors. personal attributes. they may re-sit the exam within 12 months after the date of the initial examination.1 Continual Evaluation Students must be evaluated by the instructor after each exercise on a number of areas such as:  Contribution to discussions. and effective participation in team activities and in role playing  The clarity and technical soundness of each attendee’s written assignments  Each attendee’s attitude. It is important that the Instructors complete the electronic EMS Lead Auditor Marking Matrix at the end of each day. RABQSA TP4.” students must pass two criteria: 1. If a student does not pass both. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 8. and participation in. and suitability as a future auditor and audit team leader  Each attendee’s attendance. discussions.xls). and activities. To earn a “Certificate of Successful Completion.EMSLA. reporting of situations accurately.” Course PreTab EMS-042-01-EN-US Issue 4.

more than 5 points will be awarded due to the length and importance of the exercises. the instructor(s) must discuss these concerns privately and immediately with the student and arrange additional coaching where appropriate. If attendees are visibly having difficulty with the exercises or the difficulty is reflected in the continual evaluation. Course PreTab EMS-042-01-EN-US Issue 4. The table below outlines the continual evaluation scores to be assigned for each exercise: Exercises Continual Evaluation Points Prerequisite 5 points Exercise 2 5 points Exercise 3 5 points Exercise 4 5 points Exercise 5 5 points Exercise 6 5 points Exercise 7 5 points Exercise 8 5 points Exercise 9 5 points Exercise 10 10 points for participation as auditor in the role-play 10 points for participation as auditee in the role-play 10 points for participation in class discussion debriefs for each of the scenarios Exercise 11 5 points Exercise 12 5 points Exercise 13 5 points Sample Exam 5 points for completing the Sample Exam 5 points for participation in the Sample Exam debrief Total 100 points For Exercise 10. Sample Exam).2:10/23/08 ©The British Standards Institution 2008 10 of 14 . the following scale will be used to evaluate this components of the exercise worth 10 points: A score of 1-2 = Very Poor A score of 3-4 = Poor A score of 5-6 = Satisfactory A score of 7-8 = Good A score of 9-10 = Very Good The 1-5 scoring scale is used for all other exercise. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide If an individual student’s performance on any of the above criteria is not satisfactory. The continual evaluation score is determined by reference to the following scale: A score of 1 = Very Poor A score of 2 = Poor A score of 3 = Satisfactory A score of 4 = Good A score of 5 = Very Good For some of the exercises (10. the instructor should note this on the electronic EMS Lead Auditor Marking Matrix.

ISO 19011:2002)  Student manuals provided by BSI  Any personal notes made by the student during the course The examination is worth 100 points. students may only use the following reference materials:  Copies of the environmental standards (i. and will only be removed by the instructor when administering the exam on day 5. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Instructors will find additional guidance on evaluating student performance on each exercise behind the Exercises Tab of the Instructor Guide. 8. Students who fail the continual evaluation must take the course again. During the exam. The exams will remain in a sealed envelope throughout the course. ISO 14001:2004. However.EMSLA.EMSLA.2:10/23/08 ©The British Standards Institution 2008 11 of 14 .e. Course PreTab EMS-042-01-EN-US Issue 4. 2 Instructors will ensure the two-hour time limit is strictly enforced and will be present throughout the entire exam.7 and 4.. 3 The time period exceptions allowed for the written exam are designed to meet the requirements of clause 4. 2 The assessment criteria for the written exam are designed to meet the requirements of clause 4. Students for which English as a second language may also be allowed thirty extra minutes and may use an appropriate two-language dictionary3.2.2. At least 75% of the exam is based on questions that require essay responses.8 of RABQSA TP4.2 Written Examination On day 5 of the course. students will take a two-hour written exam covering the application of principles and practices employed during an Environmental management system audit. The examinations of students who receive between a 60% and 75% will be re-graded. The remainder of the examination grade will be based on multiple-choice. After completing the exam.5 of RABQSA TP4.2. students will turn their exam into the instructor who will grade the exams and return them to the BSI offices. students with a disability that affects their capability to complete the exam in the allotted time may be allowed thirty extra minutes. The passing grade is 70%. true/false and/or short answer questions.

and the re-sit exam must be taken in the presence of an approved instructor as described in the course procedures. COURSE REPORTING After completion of the course. 9.4 of RABQSA TP4.2:10/23/08 ©The British Standards Institution 2008 12 of 14 .  Completed Electronic Onsite Roster.  Exam Summary Report . If a student fails the re-sit examination. but has passed the continuous evaluation. the amount of time for breaks and lunch and the continuing assessment scores on the EMS Lead Auditor Marking Matrix. some sections of the sample exam can be shortened. 4 A different exam paper will be used for the re-sit. 10. the student must retake the complete training course to become eligible for another examination. shall be allowed one re-examination within 12 months of taking the EMS Lead Auditor course. If class hours are running long due to class size and active participation. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 8.3 Exam Re-sits A student who fails the written examination. please submit the following by e-mail to the appropriate course coordinator:  Completed Instructor Feedback Form A814.EMSLA. Instructors must record the start and finish times for each day.(A826) (1 per student)  Instructor Marking Matrix At the conclusion of the course the instructor is to ship the graded exams to the course coordinator. The agenda has all sections of the sample exam being completed on Day 4 (as outlined in the course agenda) with appropriate time being included for discussion. Students should expect their certificates from BSI Management Systems within 4-6 weeks of the completion of the course. 44 The assessment criteria for the re-sit examination are designed to meet the requirements of clause 4. Course PreTab EMS-042-01-EN-US Issue 4. SAMPLE EXAM The sample exam is used to acquaint students with the types of questions on the course exam and give them practice in managing their time for a successful result.

PREREQUISITE EXERCISE REVIEW Students are required to conduct a prerequisite exercise before attending the course. The Instructor should be in the training room at least 30 minutes prior to the start of the 1 st day to set up equipment and greet the students. Course PreTab EMS-042-01-EN-US Issue 4. The instructor will also need to record students’ participation in this review on the electronic EMS Lead Auditor Marking Matrix. 12.2:10/23/08 ©The British Standards Institution 2008 13 of 14 . On Day 1. the lead instructor must set up a laptop and LCD projector. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 11. TRAINING ROOM SET-UP Before beginning the course. Instructors should check in advance with the facility provider about lunch and refreshment details See Appendix A to view a schematic of the preferred training room set-up for this course. Contact a Training Coordinator to ensure the proper audio-visual equipment will be available for the course. the instructor must take 30 minutes to review students’ responses to the prerequisite exercise. Answers to the perquisite are included behind the Exercises Tab of the Instructor Manual.

2:10/23/08 ©The British Standards Institution 2008 14 of 14 . ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide APPENDIX A – PREFERRED TRAINING ROOM SET-UP Screen Flipchart AV 6’ Table 6’ Tables Instructor Table 6’ Course PreTab EMS-042-01-EN-US Issue 4.