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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide

STUDENT EXERCISES (Instructor Guide)

This document contains all the Exercises provided to students behind the Exercise Tab of
the Student Manual. However, comments specific to instructors are included in this
document in gray shaded boxes (like this one). Answers to the Exercises are also provided
in this document in gray shaded boxes. If answers are not provided for an Exercise, it is
because there is no “right” answer for the questions or tasks; in these and all other cases,
instructors should rely on their experiences as auditors to respond to student work.

This Tab contains the Student Exercises. The exercises were designed to provide students with an
opportunity to practice their third-party auditing skills. Some of the exercises are individual
exercises; others involve teamwork. Each exercise describes the purpose, directions, the allotted
time for completion, and the number of points that will count toward the continual evaluation.

Keep in mind; there may be more than one “correct” answer for an exercise. Try to identify the
strongest or most direct answer in each case, and be prepared to consider, defend, or rebuke
alternate answers raised during class discussions.

The case study concerns a fictitious organization, “Automotive Electronics Group (AEG).” This
organization developed an Environmental Management System and has sought registration to ISO
14001:2004. The AEG Environmental Manual and the organization’s accompanying procedures
are located behind the Case Study Tab of the Student Manual and should be referenced to
complete the exercises involving the case study.

For purposes of this course, the 1st day of the audit to be planned for and conducted will be
June 5, 2007. All supporting dates in the Case Study documents and records will be
consistent with those recorded on them.

Course Exercises EMS-042-01-EN-US Issue 4.2:10/23/08 ©The British Standards Institution 2008 1 of 61

ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide

Contents

Exercise 1: Prerequisite Review.................................................................................3
Exercise 2: Reviewing Environmental Policy Statement............................................7
Exercise 3: Aspects, Impacts, Objectives, and Targets...........................................10
Exercise 4: Application of ISO 14001:2004.............................................................12
Exercise 5: Regulations............................................................................................18
Exercise 6: Creating an Audit Plan (for Stage 2 audit)............................................21
Exercise 7: Creating an Audit Checklist...................................................................24
Exercise 8: Conducting an Opening Meeting..........................................................26
Exercise 9: Auditing Scenarios................................................................................29
Exercise 10: Auditing the AEG Case Study...............................................................45
Exercise 11: Writing Nonconformity Statements........................................................53
Exercise 12: Conducting the Closing Meeting and Preparing the.............................57
Exercise 13: Reviewing Corrective Actions and Audit Follow Up..............................60
Exercise 14: Completing the Sample Exam...............................................................61

Course Exercises EMS-042-01-EN-US Issue 4.2:10/23/08 ©The British Standards Institution 2008 2 of 61

ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide

EXERCISE 1: PREREQUISITE REVIEW

Students should have this exercise completed when they enter class. Take 30 minutes to
review the chart, having students provide responses. Try to gauge their understanding of
the requirements and take note of areas in which they can try to improve throughout the
course.

This prerequisite exercise is designed to encourage students to review the ISO 14001:2004
standard before attending the ISO 14001:2004 Environmental Management System Lead Auditor
course. This exercise will be graded on the first day of the course and will count toward the overall
continual evaluation of students. 1

Students must bring this completed exercise and the accompanying copy of
ISO 14001:2004 to the course.

Time

30 minutes total

Continual Evaluation

5 points total

Directions

Review the ISO 14001:2004 standard

Answer the following questions and be prepared to submit this sheet to the instructor at the
appropriate time.

1
Students who successfully pass the EMS Lead Auditor course receive “Certificates of Successful Completion.” To
pass the course, students must achieve a 70% or higher on both the written exam and the continual evaluation. The
continual evaluation consists of the cumulative score of all course exercises, including this prerequisite exercise.

Course Exercises EMS-042-01-EN-US Issue 4.2:10/23/08 ©The British Standards Institution 2008 3 of 61

4.4.2 Competence. List 4 records specifically required by ISO 14001:2004 and provide the relevant clause.4.5 Control of documents 4. and Awareness 4.4. As stated in ISO 14001:2004 what is the difference between a “document” and a “record”? What is a relevant clause? 4. According to ISO 14001:2004 who is required to have the environmental policy communicated to them? 4.5.4. Training.2 Records of other requirements compliance evaluation 4.5 Records are a special type of document and shall be controlled in accordance with the requirements given in 4.6 Operational control 4.7 Emergency preparedness and response 2.2.5.4.4.1 Roles.2.4 and 3.4. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 1. Responsibilities.5.2f Persons working for or on behalf of the organization 4.2:10/23/08 ©The British Standards Institution 2008 4 of 61 .4.5. 4.3 Communication 4.4 Documentation 4.6 Records of management review 3.1 Records of legal compliance evaluation 4.20 Course Exercises EMS-042-01-EN-US Issue 4. What are the seven elements of the “DO” section of ISO 14001:2004? 4. The response may also be a reference clause 3.1 Records of calibration and maintenance 4. and Authorities 4.

1 Continual improvement 8.5 the responsibilities and requirements for planning and conducting audits. Table B1 5.2.5. Course Exercises EMS-042-01-EN-US Issue 4. frequency and methods. According to ISO 14001:2004 what must audit procedures address? 4. the determination of audit criteria. 7.5.1 Management commitment 5.5. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 5.5.2:10/23/08 ©The British Standards Institution 2008 5 of 61 . scope.1 Compliance to legal requirements 4.1…the key characteristics of its operations that can have a significant environmental impact. What are the “Normative References” for ISO 14001:2004? There are none 9. reporting results and retaining associated records. What does Clause 4.2 Compliance to other requirements 6.5.3 Quality policy 8.2. What is evaluated for “compliance” according to ISO 14001:2004? 4. What is required to be monitored and measured according to ISO 14001:2004? 4.2 of ISO 14001:2004 correspond to in ISO 9001:2000? Annex B.

2:10/23/08 ©The British Standards Institution 2008 6 of 61 .6 a) results of internal audits and evaluations of compliance with legal requirements and with other requirements to which the organization subscribes b) communication(s) from external interested parties. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 10. What are four inputs into the management review process and what is the relevant clause of ISO 14001:2004? 4. including complaints c) the environmental performance of the organization d) the extent to which objectives and targets have been met e) status of corrective and preventive actions f) follow-up actions from previous management reviews g) changing circumstances. including developments in legal and other requirements related to its environmental aspects h) recommendations for improvement. Course Exercises EMS-042-01-EN-US Issue 4.

Purpose To audit for the required elements in an environmental policy as part of Stage 1 – Document Review Audit. Course Exercises EMS-042-01-EN-US Issue 4. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide EXERCISE 2: REVIEWING ENVIRONMENTAL POLICY STATEMENT The instructor should have the students divide into small groups and review the environmental policy for AEG.2:10/23/08 ©The British Standards Institution 2008 7 of 61 . and review it against the requirements contained in clause 4.2 of ISO14001:2004.2 to determine if it meets the requirements of the standard. Have them compare the policy against the requirements of clause 4.2 require? Where does the policy meet or fail to meet the requirements of clause 4. Time 20 minutes for team preparation 10 minutes for class discussion 30 minutes total Continual Evaluation 5 points total Directions In your teams. What does clause 4. read the environmental policy statement provided below for AEG from the Case Study.2? Select a spokesperson from your group to make a report back to the class.

2. Specifically. 4.2. This is consistent with AEG’s business interests.4 Business Integration We will integrate environmental considerations into our business activities.5 Customers We will work with our customers to help them address their environmental management and improvement needs.2.2.2. 4. we commit to the following: 4. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide AEG Environmental Policy Statement from Case Study 4. 4. 4.1. 4. skills and knowledge to carry out this policy and will encourage respect for the environment.2.1. 4. Compliance with this policy is the responsibility of every employee. .1. We will measure progress and communicate results.2.1 POLICY AEG will be a global leader in environmental management.3 Compliance We will meet all environmental laws and AEG environmental requirements. Course Exercises EMS-042-01-EN-US Issue 4.2:10/23/08 ©The British Standards Institution 2008 8 of 61 .1 Sustainable Development We will strive to conserve resources and reduce environmental effects and risks that may be associated with our activities.1.1.2.7 Community and Government We will participate in community and government environmental protection initiatives. ethics and Shared Values.1.6 Suppliers and Contractors We will work with our suppliers and contractors to enhance their own environmental performance.2 Employees and Others We will ensure that our employees have the awareness. including our own environmental management standards.1. We commit to improvement of our environmental performance.

1 weak indication pollution “reduce environmental effect” Includes a commitment to 4. it states “all”. requirements and with out other No reference to “other” except for requirements to which the organization AEG or to “aspects” subscribes with relate to its aspects Provides the framework for 4.2 Organization’s Policy? Is appropriate to the nature.1 Sentence #3. implemented. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Were Requirements Met in the Requirements of 4. products.2:10/23/08 ©The British Standards Institution 2008 9 of 61 . and environmental impacts of its company. and services 4. but all indications are “yes.2. Can’t tell without more information on scale.” activities. and Can’t tell without more information on maintained company. a commitment Includes a commitment to continual to improvement” but not continual improvement and prevention of 4. but all indications are “yes. weak framework setting and reviewing environmental for objectives “measure progress” objectives and targets Is documented.2.” Is communicated to all persons working Cannot tell at this time for or on behalf of the organization Is available to the public Cannot tell a this time Course Exercises EMS-042-01-EN-US Issue 4.2.3 Statement does not include comply with applicable legal applicable.1.1.1 Sentence #4.2.

objectives. Time 30 minutes for team review 15 minutes for class discussion 45 minutes total Continual Evaluation 5 points total Directions Read the introduction to the case study for Auto Electronics Group (AEG) behind the Case Study Tab in the Student Manual. AND TARGETS Have students break into small groups and review the AEG documents in the Case Study. review the procedure to identify aspects and impacts.3. Purpose To provide practice in auditing an organization’s identified environmental aspects.3. Select a spokesperson from your group to make a report back to the class on your findings. Course Exercises EMS-042-01-EN-US Issue 4. review the table in which AEG identifies it’s objectives and targets and determine if it meets the requirements for objectives and targets in ISO 14001:2004.1. Also in your teams. and determine if it meets the requirements of ISO 14001:2004. clause 4. clause 4. Review AEG’s procedure for “Identification of Aspects and Impacts Procedure” (ESH-002) and the “Objective and Target Table. ESH-002. Also have them review the objective and target table in the case study and determine if it meets the requirements of clause 4. have them determine if the procedure meets the requirements of 14001.3. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide EXERCISE 3: ASPECTS.” In your teams.3. IMPACTS. and targets as part of the Stage 1 – Document Review Audit. clause 4.3. OBJECTIVES. impacts. After reviewing their procedure for identifying aspects and impacts.3.2:10/23/08 ©The British Standards Institution 2008 10 of 61 .1.

3 of ISO 14001:2004. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Exercise Workspace Evaluating the aspects and impacts in comparison to the identification procedure.2:10/23/08 ©The British Standards Institution 2008 11 of 61 . Aspects are listed in the Objectives and Targets Table. The Objectives and Targets Table in the case study meets the requirements of clause 4. AEG states they will keep up to date a register of impacts. ESH-002.3. but there is not one present in the documentation. It documents objectives and targets. they are measurable. Course Exercises EMS-042-01-EN-US Issue 4. and they take legal and other requirements into account. but are not clearly logged with their associated impacts.

ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide EXERCISE 4: APPLICATION OF ISO 14001:2004 This exercise will help students apply ISO 14001 to audit situations. suggested answers are provided below. Purpose To give you practice applying the ISO 14001:2004 standard to audit scenarios. Course Exercises EMS-042-01-EN-US Issue 4.2:10/23/08 ©The British Standards Institution 2008 12 of 61 . cite the applicable clause(s) of ISO 14001:2004. However. Students may identify more than one answer for each question. Time 30 minutes for individual review 30 minutes for class discussion 60 minutes total Continual Evaluation 5 points total Directions As individual auditors read the scenarios on the following pages. Determine for each scenario whether or not the requirements of ISO 14001:2004 have been met. most direct clause/sub-clause. If more than one applies. note the strongest. For each scenario. Use a “Round Robin” and discussion approach for this exercise. This exercise is intended to encourage students to think like an auditor. Have students perform all the scenarios and then compare the responses.

2 (g) Environmental Policy Requirements met? All indications are yes. At this point. responsibility and authority Requirements met? No. the Human Resources Manager said that this was done through job descriptions.” When asked how the company had made the policy statement available to the public. “To promote a company which understands and is comfortable with our environmental performance and protects and supports our continued operations and expansion. but further questioning would be in order. There was no mention of EMS responsibilities in the job descriptions other than that the operators were to follow documented procedures where they exist. When asked what decisions had been made regarding external communication of aspects she replied that they were uneasy committing to full disclosure of all aspects but that they were generally receptive to community inquiry. just last week we hosted a tour by the third-grade science class from the local grade school. II and III.” the operators were responsible for all aspects of operations. Applicable clause(s): 4. Scenario 2: When reviewing the company’s environmental policy statement. are not clear. Through an active “Empowerment Program. roles.” Applicable clause(s): 4.2:10/23/08 ©The British Standards Institution 2008 13 of 61 . an auditor sees that one part of it reads. everyone in the organization was an operator. After reviewing the job descriptions. Is the lobby is wide open and unlocked to the public? Has the organization documented their decision on communicating their significant environmental aspects? Course Exercises EMS-042-01-EN-US Issue 4. it appears that management’s expectations of the employees. The difference between them was the years of service with the company. an auditor noted that there were three levels of Water Treatment Operators: Operator I. She said “As a matter of fact. the Environmental Manager replied that it was on a plaque on the wall in the main lobby.1 Resources.4. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Scenario 1: When asked how roles and responsibilities were defined. Except for a small number of Managers and support personnel. as they relate to the EMS.

the Department Manager replied.” Applicable clause(s): 4.2:10/23/08 ©The British Standards Institution 2008 14 of 61 .2 Evaluation of Compliance and 4. the Plant Manager said.5. “I follow the procedures that include any regulatory requirements. and company requirements are audited? Is an auditor asking the right person the right questions? Has the Department Manager been trained to the procedures he references above? Is there a compliance audit report of which the Department Manager may not be aware? Course Exercises EMS-042-01-EN-US Issue 4.2 Legal and Other Requirements Requirements met? Not yet.” Applicable clause(s): 4.3. based on our understanding of the severity of the possible impacts.3. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Scenario 3: When asked how the company identified its environmental aspects.1 Environmental Aspects Requirements met? More questions would be in order. Questions to ask: How has the organization ensured international. We make these five the aspects around which we will set targets and objectives for the year. “At our annual planning retreat the management team spends a couple of hours brainstorming a list of ways that we affect the environment. local. national. Have they ensured their aspects are taken into account in their operating procedures? Is there a procedure for determining significant aspects? Does the procedure say anything about a retreat process? Scenario 4: After being asked how he knew if he was in compliance with the applicable environmental laws associated with the operations. Then we short-list the top five aspects.

That’s why we have them in a book.2 Competence. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Scenario 5: While reviewing a log of external communications. You have the book – you tell me. The Plant Engineer had researched options and reported that the best solution was to install an additional bin for holding waste before compacting to accommodate the waste from the late shifts. Possibly. training and awareness Requirements met? Not yet. No communication had been made to the operators of the retirement home.4. but maybe a manager does.4. sometimes at night.000. The auditor should be flexible and approach the question from a different angle. The technician replies.” Applicable clause(s): 4. The residents were disturbed by the noise caused when the solid waste compactor turned on periodically.2 Legal and other requirements and 4.2:10/23/08 ©The British Standards Institution 2008 15 of 61 . On hearing the cost estimate the management team shelved the plan until the next budget cycle. Scenario 6: Upon visiting the wastewater treatment facility the auditor notices a binder labeled “Permits” and sees a wastewater permit inside. Course Exercises EMS-042-01-EN-US Issue 4. This would cost approximately $90. On checking the minutes of the last management review in which objectives and targets were discussed. The procedure for responding to complaints needs to be reviewed. It may be possible (although not likely) that the operator doesn’t need to know the permit limitations. an auditor noticed that there were regular complaints from the operators of a retirement facility next door. Applicable clause(s): 4. The auditor then asks one of the technicians what his understanding of the permit limitations are. “I don’t remember them exactly.3. it was found that this issue had come up in previous reviews and the management team had agreed that something should be done. the operator may know and is just not cooperating.3 (b) Communication Requirements met? No.

Applicable clause(s): 4.7 Emergency preparedness and response Requirements met? No.2:10/23/08 ©The British Standards Institution 2008 16 of 61 . When asked how one could tell what the current revision is. it’s current.” Later while checking back-up procedures. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Scenario 7: In the receiving area. Scenario 8: The Quality Manager was showing an auditor the new computer network that allowed the organization to put all its procedural documents on-line.” Applicable clause(s): 4. Now the documents themselves were in the database. Questions to ask: How does the organization ensure that temporary employees receive the latest procedures? Does the online system actually work? Course Exercises EMS-042-01-EN-US Issue 4. The organization is required to maintain a procedure to identify potential emergency situations or potential accidents that could impact the environment.4. the QM replied. When people need a document they bring it up on-line. Document Control maintained and used a spreadsheet on the network showing the current revision of each document so that anyone could verify the current revision of his or her paper document. we don’t assign user ID’s until a person is appointed to a permanent position. an auditor asked the Network Administrator about user ID’s. Standard Operating Procedures for the Receiving Department do not contain any actions that are to be taken with respect to the drains in the case of a spill. Of course.5 Control of Documents Requirements met? Not sure yet. It is not yet clear that the documentation includes the dates of revision. drains leading off the property are observed. They do not have a spill plan for the drains in these areas. If it’s there. “That the beauty of it – only the current documents are in the database.4. In the past. for security reasons. “All employees have a user ID.

Integration of the EMS and QMS audit processes should be encouraged where possible.5 Internal Audit Requirements met? Not sure yet. Check the QMS internal audit procedure and/or audit results.3. and it is not necessary for process management to know this level of detail. as illustrated by ISO 19011 Scenario 10: When asking the Environmental Manager who is responsible for accessing and identifying applicable environmental regulations to demonstrate how she would find out about the most current CAA information. “I keep track of all permits.5. that is part of the Quality System and the two are kept separate.2 Evaluation of Compliance 4. The auditor might use an example of recent legal change and see how the Environmental Manager was made aware of the change. When asked if the audit findings were incorporated into the EMS. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Scenario 9: An auditor noted that the procedure for Emergency Response referenced the Hazardous Materials Management Plan (HMMP) is contained in the environmental. and health programs.” Applicable clause(s): 4. she replied “I get that type of information from the corporate lawyer on a need to know basis.2 Legal and Other Requirements Requirements met? No. The lawyer said. “No. an auditor notices that the program is audited using the Quality Management System Procedure.2:10/23/08 ©The British Standards Institution 2008 17 of 61 . The auditor should determine what the procedure for identifying and accessing legal and other requirements says. safety.” An auditor went on to question the corporate lawyer on how regulatory information was transferred to other areas of the plant and to those responsible for meeting compliance requirements. While reviewing the HMMP in the ESH programs. Was the Environmental Manager made aware of the change in a method other than that described in the procedure? Course Exercises EMS-042-01-EN-US Issue 4.5.” Applicable clause(s): 4. the Quality Manager replied.

Instructors should make the point that information about ISO 17021:2006 is included in Module 8 of the Tab Text in the Student Manual.g. The exercise asks students to determine the meeting of a regulatory requirement by reviewing the operational control designed to meet it in the AEG case study. and the grade must be recorded on the Marking Matrix.2:10/23/08 ©The British Standards Institution 2008 18 of 61 . EMS third- party auditors do NOT conduct compliance audits. EPA) by actually connecting to the web if possible. They will need to go into the reference section and quickly familiarize themselves with the piece of legislation. The instructor may also show students some regulatory websites (e. The instructor will need to grade each student for his or her level of participation in the exercise and during the class discussion. There is no need for the instructor to grade each student’s individual answers to the scenarios. Time 30 minutes team review 30 minutes class discussion 60 minutes total Continual Evaluation 5 points total Course Exercises EMS-042-01-EN-US Issue 4. They should also draw the clear distinction that while environmental technical competence is important for an EMS audit. Students can receive a maximum of 5 total points for their participation. After the students have had a chance to conduct a review for the first 30 minutes the instructor should lead the class in a discussion for the final 30 minutes. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide EXERCISE 5: REGULATIONS This exercise is to ensure active learning from the students and help them apply their knowledge of regulatory vehicles and interpret regulatory information. Purpose To give you practice with reviewing a regulation applicable to an organization and the document designed to meet it.

Answer the following:  What is the evidence of the applicability of this regulation to an environmental aspect of AEG?  What AEG document is intended to meet the requirement of this regulation?  Identify 8 things in the AEG document that provide evidence of meeting the regulatory requirement. you are not looking at compliance to the law. (Note: Remember. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Directions Review the material provided behind the “Reference Tab” for 40CFR Part 112 “OIL POLLUTION PREVENTION”.2:10/23/08 ©The British Standards Institution 2008 19 of 61 . you are looking for conformance to a requirement of an Operational Control and conformance to 4.6) Course Exercises EMS-042-01-EN-US Issue 4.4.

06-30-04 1.2:10/23/08 ©The British Standards Institution 2008 20 of 61 . Training requirements (8. Emergency contact numbers provided 5. Issue 3. AEG Livonia Site Spill Plan. Layout and facility diagram 3. Documented spill plan 2. Spill sources identified (6. Types of oils described on the inventory sheets 4. SP-100. Response planning 8.0) 7. Inspections and Testing (9.0) 6. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Exercise Workspace Inventories in Spill Plan provide evidence of oil in storage greater than 1320 gallons and AEG is located on the Arnold River and West River.0) Course Exercises EMS-042-01-EN-US Issue 4.

Review your plan with your team. students will write an audit plan using ISO 19011:2002 and the AEG Case Study. Choose one to present to the class. Course Exercises EMS-042-01-EN-US Issue 4. Note: For purposes of this class the Stage 1 Document Review took 2 audit days Using the guidelines from ISO 19011:2002.2:10/23/08 ©The British Standards Institution 2008 21 of 61 . create an audit plan for the Stage 2 Registration Audit at the AEG Livonia site. #3 & #5 as being the Stage 1 or Document Review portion of the registration audit. clause 6. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide EXERCISE 6: CREATING AN AUDIT PLAN (FOR STAGE 2 AUDIT) In this exercise.4. For our purposes we will consider exercises #2. Determine the necessary number of audit days for your team to perform the Stage 2 Registration Audit for the AEG Livonia site using the tool provided behind the “Reference Tab”. Take 15 minutes to discuss the basics of writing a successful audit plan and offer a critique of the class’s audit plans as a whole.1. Purpose To provide practice in creating an audit plan based on ISO 19011:2002. Time 30 minutes individual work 15 minutes small group work 15 minutes class discussion 60 minutes total Continual Evaluation 5 points total Directions Review the AEG case study. Regardless of any identified deviation the decision has been made to go forward with the Stage 2 portion of the audit Try to offer as much critique on the plans for the students’ benefit as possible.

This audit is to be conducted in English. organizational policies and procedures governing the manufacture. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Sample Audit Schedule/Plan Client: ABC Company Report Number: 123456 Management Standard: Team Leader: TL ISO 14001:2004 Team Members: Opening Meeting Date/Time: MM/DD/YYYY Client Representative: 800AM Management Rep Closing Meeting Date/Time: MM/DD/YYYY 1200PM Audit Objectives: Stage 2 Implementation to: We maintain ISO 14001:2004 requirements strict Audit Scope: EMS. …… confidentiality concerning all information gained from undertaking its business (A copy of the assessor confidentiality statement is available on request).2:10/23/08 ©The British Standards Institution 2008 22 of 61 . Course Exercises EMS-042-01-EN-US Issue 4.

ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Date Time Assessor Process/Area Day 1 8:00 TL Opening Meeting 8:30 TL External area review 9:30 TL Stage 1 Nonconformance Clear-down EMS Policy. Monitoring & Measuring 12:00 Working Lunch 1:00 TL Legal & Other requirements. Objectives and Targets Environmental Programs. Corrective/Preventive Actions 10:30 TL Air Management . Chemical Management 2:30 TL Manufacturing/Warehousing Operations Plant Maintenance 5:00 Daily Out brief Day 3 8:30 TL Top management / Management Review 10:00 Audit trail follow-up /Report Preparation 12:00 TL Closing Meeting Course Exercises EMS-042-01-EN-US Issue 4. Recycling) Energy Management. Water Management 12:00 Working Lunch 1:00 TL Waste Management (Solid. Internal Audit. Aspects . Hazardous. Evaluation of Compliance Emergency Preparedness & Response 5:00 TL Daily Out brief Day 2 8:00 TL Training.2:10/23/08 ©The British Standards Institution 2008 23 of 61 .

There is no specific solution provided for this exercise. students will use the audit plans they created in Exercise 6 to create checklists for the AEG audit. process. Purpose To give you practice developing audit checklists. Students will then prepare a checklist based on their assigned department. process. function. function. or clause. process or function of AEG or an ISO 14001:2004 clause they were assigned to audit from the audit plans that were prepared within their team. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide EXERCISE 7: CREATING AN AUDIT CHECKLIST In this exercise. At the end all checklists will be turned in to the tutor for evaluation. process or function of AEG or an ISO 14001:2004 clause they were assigned to audit from the audit plans that were prepared. Course Exercises EMS-042-01-EN-US Issue 4.2:10/23/08 ©The British Standards Institution 2008 24 of 61 . Time 40 minutes individual work 20 minutes class discussion 60 minutes total Continual Evaluation 5 points total Directions Using the audit plans from the previous exercise develop a checklist that would enable you to conduct an effective audit. The instructor will assign each student a department. Instructors should use their knowledge of ISO 19011:2002 and auditing techniques to evaluation students’ checklists. The tutor will then select a member of each team present their checklist to the entire class while other class members critique the work. or clause. Students will then prepare a checklist based on their assigned department. The tutor will then select a member of each team to present their checklist to the entire class while other class members critique the work. The instructor will assign each student a department.

ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide All checklist will be turned in to the tutor for evaluation and comment at the end of the exercise Tip: Structure the checklist around the following:  What is the requirement?  What will you look at to assess conformance with the requirement?  What evidence will you look for to prove conformance?  What sample size should you use? Course Exercises EMS-042-01-EN-US Issue 4.2:10/23/08 ©The British Standards Institution 2008 25 of 61 .

Purpose To give you practice conducting an opening meeting for an environmental audit. guidance is provided for the instructor on the subsequent pages. develop an agenda for an opening meeting. and the scheduled time periods in which they will conduct the audit. Using your audit plan from Exercise 6. each auditor must explain his or her assigned departments. Each group will have the opportunity to present their audit plans. Additionally. students should make notes on the effective aspects of the other groups' presentations. An opening meeting presentation will be made to company management about the upcoming audit to ISO 14001:2004. Time 15 minutes small group preparation 45 minutes small group presentations 15 minutes class discussion 75 minutes total Continual Evaluation 5 points Directions This is a team exercise. however. each auditor must explain what will be expected of the auditees during their phases of the audit. During the opening meeting. Course Exercises EMS-042-01-EN-US Issue 4. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide EXERCISE 8: CONDUCTING AN OPENING MEETING No specific answers are provided for this Exercise. When not presenting. In other words. For this exercise. the instructor and students who are not participating will serve as the management team for AEG. the instructor and students should be ready to role-play. Each team will need to select an Audit Team Leader. The student critiques will serve as the basis for a 15-minute class discussion and debrief after all the presentations are complete. and each team member will be required to explain the auditor assignments. assigned processes. Students should also note how the other groups could improve their performances.2:10/23/08 ©The British Standards Institution 2008 26 of 61 .

As outlined in clause 6."  "I'm sorry. possible opening meeting topics may include: Course Exercises EMS-042-01-EN-US Issue 4.2:10/23/08 ©The British Standards Institution 2008 27 of 61 . the instructor may wish to ask questions of the students or make key statements to expose them to situations that commonly occur during an opening meeting."  "Due to a lack of storage room. We've also asked all of our best employees to be available for interviewing to ensure you get the information you need. consider having two teams present to the other two teams to save time. our ISO 9001:2000 auditors always cut the audit short in the past because they've been so impressed with our operations. They scheduled their vacations before the audit was scheduled. but the managers from our Inspection and Testing Department and the Production Department will not be available for you to interview. the “Managers” for AEG should bear this in mind."  "Would you like to start the audit with a plant tour? We expect it to only take about 90 minutes."  "Our guides won't be available during the night shift. so we've taken the liberty of providing samples of records for you in each department. If you need a record and its offsite. Wait until the two “auditee” teams are ready for the meeting before changing their assignments (for full benefit of the preparation).1 of ISO 19011:2002."  "We understand you have a lot of ground to cover during the audit. We would be happy to show you previous audit results so you won't need to spend so much time in each department. some of our records may not be available. so can you remove that from the audit plan?" Instructors may pose other questions or use other statements. We would prefer not to waste anytime during the audit by digging through the storage facility."  "We've made reservations for us to eat at a fine restaurant in town. if that's ok. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide While playing the role of AEG management during the opening meeting. Sometimes it can take a few days to retrieve the records from the storage facility because we have to free up someone's time here to go find the records over there. Note: If your class size is such that you require four teams. As this is the first time some students will have come in contact with a role-play scenario. as long as they meet the course’s learning objectives. could we ask for that department/process to be removed from the audit plan? The time gained could be spent in other departments. Possible questions or statements include:  "Due to a lot of internal audit results and subsequent problems found. In fact.5."  "Would you like to view our company video to get a better sense for our operations and how we meet customer expectations?"  "I'm sure you will find things to be in top shape. so we may need to increase the time allotted for lunch on the schedule if that's ok with you. we’ve shipped most of our records offsite to a storage facility. we will be happy to mail a copy over to your office within a few days. In fact. Then give each group of "auditees" different questions or statements outlined above to ensure the role-play is effective.

ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide  Introductions/roles/attendance  Sampling/disclaimer  Communication channels  Objectives/scope/criteria  Logistics/guides  Conditions for audit terminations  Documentation status  Audit methods  Possible outcomes  Audit Plan confirmation  Appeal system  Closing/interim meetings  Assignments  Acknowledgements  Classifications of findings  Language of the audit  Confidentiality  Clarifications  Audit progress  Restrictions  Thanks At the end of the exercise. the opening meeting role play should be evaluated on a scale of 1-5 and scores for each student entered into the Marking Matrix.2:10/23/08 ©The British Standards Institution 2008 28 of 61 . Course Exercises EMS-042-01-EN-US Issue 4.

ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide EXERCISE 9: AUDITING SCENARIOS The instructor will assign each student 1 to 4 of the scenarios on the following pages. keeping in mind the fact that EMS auditors do NOT conduct compliance audits. After the students have finished analyzing their scenarios and writing the appropriate information in the space provided below the scenario in the student manual.2:10/23/08 ©The British Standards Institution 2008 29 of 61 . and following audit trails. Additionally. Other scenarios enable the instructor to illustrate the distinction between ensuring the auditee is complying with environmental law. there are scenarios that allow an auditor to deal with obstinate interviewees. Try to assign each student with at least one scenario that results in a nonconformity and one that does not. and auditing the auditee for compliance. one scenario encroaches on integration and how to discuss environmental issues with your quality management interviewee. for example. Purpose To give you practice conducting audit interviews. The purpose of this exercise is to expose students to as many different audit scenarios as possible. Students will then read their assigned scenarios and determine if there is enough information to issue a nonconformity. The Tutor should challenge the findings of the students for adequacy or existence of evidence and appropriateness of requirement. preparing questions. Test their tenacity and get them away from the “ I think” to “I know” this is a nonconformance. Time 15 minutes individual work 60 minutes class discussion 75 minutes total Continual Evaluation 5 points total Course Exercises EMS-042-01-EN-US Issue 4. have each student present their assigned audit scenarios to the class with their NC statement and their ideas for further questioning. Each scenario aims at a specific topic or situation auditor might face.

Course Exercises EMS-042-01-EN-US Issue 4. Read the scenario(s) assigned to you and determine if there is enough information to issue a nonconformity. If you do not believe there is a nonconformity then state the following and be sure to include (develop an audit trail):  Actions you would take next and whom you would interview  Questions you would ask and how you would ask them (Prepare about 3 to 5 questions)  Applicable element(s) of the ISO 14001 standard for the scenario  Objective evidence you would “look at” and “look for” to assess conformance to the requirement(s) Be prepared to discuss your scenario(s) and recommendations with the class. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Directions The instructor will assign you one to four of the following scenarios. If you can show there is a nonconformity provide the most applicable clause of ISO 14001 and the evidence.2:10/23/08 ©The British Standards Institution 2008 30 of 61 .

6 requires that there are adequate operational controls in place to ensure that this air emission doesn’t go “out-of- control. clause 4.4. If so. and  Track conformance with objectives and targets. clause 4. Also. You examine the log sheet and notice that it doesn’t have any limits.  Track operational controls. You’re interviewing an employee who is responsible for operating one of the scrubbers. Course Exercises EMS-042-01-EN-US Issue 4. The organization must record information to:  Track performance. the auditor needs to look for a procedure.” Sometimes this means that the organization needs documented procedures that stipulate operating criteria – including. I guess someone else worries about the limits. If the procedures define the limits. an auditor needs to review the documented procedure that the operator is using to determine if the limits are defined. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Auditing Scenarios: 1. You ask the employee if he knows the limits and he responds.2:10/23/08 ©The British Standards Institution 2008 31 of 61 .2 – awareness.4.” Nonconformity: Not yet Applicable Clause: N/A The auditor needs to determine if this particular air emission monitoring is tied to a significant impact. but the operator just doesn’t know them than there may be an issue pertaining to 4. The operator may also be telling the truth. “I just read the gauge and record the results on the log sheet per my procedure. As such. limits or thresholds.1 requires a procedure(s) to monitor and measure the key characteristic(s) of the operation that can result in the significant impact – as such.5. if this air emission is tied to a significant impact. You notice he records air emission monitoring information on a log sheet as required by his operating procedure.

procedures and requirements of the company’s EMS (4. I’m not sure if that stuff really applies to us. The form that the operator is using only has two columns for measurement data. Does the employee have access to a computer? Does the employee know how to access the computer? Does the employee know how to access the form on the computer?) Course Exercises EMS-042-01-EN-US Issue 4.2..f) and how are new employees made aware of importance of conforming to the environmental policy. If.e. How is the environmental policy communicated to new employees (4. the form is available online. The operator has the latest procedure with him and appears to be doing everything according to the procedure. You ask a marketing specialist in the Marketing and Sales department about the EMS policy at AEG.2:10/23/08 ©The British Standards Institution 2008 32 of 61 . As such.2)? 3. “Our department doesn’t pollute. how is it made available to operators? 3. You notice that the procedure requires three measurements and the results are to be recorded on form FM-009. She replies. for example. If so. Nonconformity: Not yet Applicable Clause: N/A The auditor needs to determine what sort of orientation training new-hires receive.” Further conversation with the employee reveals that she joined AEG three weeks ago. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 2. You’re watching a waste treatment operator take pH measurements at one of the outfalls adjacent to a river near the AEG manufacturing facility. the operator pencils in another column and records the third measurement.5 The auditor needs to determine: 1.4. does the operator have access to it (i. Nonconformity: Not yet Applicable Clause: 4.4. Is there a more recent version of the form that has three columns? 2.

including possible nonconformities relating to: 4. While reviewing specific environmental training curriculum in the Training department. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 4. there may be a nonconformity against clause 4.4. you notice that the training package for scrubber operations contains change request forms from the ESH department notifying the Training department about regulatory changes that need to be incorporated into the training curriculum. awareness and competence 4.5 (c).2(c) – Commitment to comply with legal and other requirements Course Exercises EMS-042-01-EN-US Issue 4.4. Also need to determine the process/procedure for controlling changes to training curriculum. The organization may have defined how and when changes are to be incorporated.2:10/23/08 ©The British Standards Institution 2008 33 of 61 .4. Need to see if the organization if following its own process/procedure.6 – Operational controls 4.2 – Training. If these changes have exceeded their effective dates. Nonconformity: Not yet Applicable Clause: N/A The auditor needs to determine when the change request forms were submitted and their effective dates. This type of nonconformity leads to downstream problems.

When asked. If the process is still being proofed. Nonconformity: Not yet Applicable Clause: N/A The auditor needs to determine if this new etching process has been proofed and finalized (base-lined). Note: This may be a major nonconformity if it can be proven that unauthorized redline changes are normal occurrences or if there are actual or potential environmental non- compliances as a result of these unauthorized changes.4. If it is determined that there is no process for handling and investigating other nonconformities. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 5. the environmental folks wanted to use the same database. this may be a nonconformity against 4. While interviewing the Quality Assurance manager about the EMS corrective and preventive action process at AEG.2. When ISO 14001 was implemented at AEG. “I developed the database to track quality-related nonconformities. I agreed to input their findings into my database so we wouldn’t have to maintain two separate systems. there would be a nonconformity against 4. what is the redline process and who is authorized to redline? If the new etching process has been proofed and finalized.5 (b). 6. you notice that page two of the applicable work instruction contains a few handwritten redline changes with the same initial by each of the changes. the supervisor says that those are his initials and that he made the changes to enhance (“fine-tune”) the process. what is the process for making and controlling changes to the work instruction? Is the supervisor authorized to make these changes? If not. You’re interviewing a supervisor in the wafer area about a new etching process that has been incorporated to increase production rate while also reducing environmental waste by 12%.” Nonconformity: Not yet Applicable Clause: N/A The auditor needs to find out how and where other (non-audit) environmental nonconformities are tracked – review the organization’s procedure/process for handling and investigating nonconformities. The only nonconformities I’ve received from them so far are their audit results. While stepping through the process. you notice that the database used to track nonconformities only contains EMS audit results.5.2:10/23/08 ©The British Standards Institution 2008 34 of 61 . When asked about this. the Quality Assurance manager replied. Course Exercises EMS-042-01-EN-US Issue 4.

Clause 4. you ask her what ISO 14001 means to her. “I’m so focused on making sure that I follow my procedures that I’m not really sure about ISO 14001.2 was established to help organizations achieve this. While interviewing a hazardous waste handler. The organization could have implemented an EMS and never mentioned ISO 14001 in any training. We’ve had several compliance problems in the past and management is really driving 100% compliance at ALL times – or else. Understanding the EMS requirements will allow employees and the company to achieve compliance. We really don’t have time for all the other extras around here.” Nonconformity: Not yet Applicable Clause: Possibly 4. I can’t afford to lose my job as a result of a compliance issue.4.2:10/23/08 ©The British Standards Institution 2008 35 of 61 . Course Exercises EMS-042-01-EN-US Issue 4. More research is required.2 A truly successful and sustainable EMS relies on employee awareness and involvement.4. and she states. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 7.

You remember that “air emissions” was considered to be a significant aspect at AEG. You go to the ESH department to find out who performs compliance evaluations and the ESH representative states. the auditor needs to determine if employees are aware of these controls and have received the appropriate training (4. If something was done.4. department takes care of the EMS audits.” Nonconformity: Not yet Applicable Clause: N/A The auditor needs to find out if the compliance evaluations include a review of the hazardous waste storage area – specifically the legal requirements associated with handling.4. if operational controls have been established. there may be a minor nonconformity against 4. there would be a major nonconformity against 4.5.A. storage and maintenance of drums (4. If the compliance reviews include the hazardous waste storage area.3.6). when was the last evaluation? Was this adverse condition discovered during the last compliance evaluation? If so. You also noticed what appeared to be waste oil or solvent on the top lid of some of these drums and the ground around some of these drums was soiled.3 – for not taking action to mitigate the impact. the auditor needs to determine what operational controls have been put in place to control the handling. Also.4.2) and if they have access to these controls. Course Exercises EMS-042-01-EN-US Issue 4. storing and maintaining drums to prevent air emissions and spills (4. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 8. if required (4. While walking through the hazardous waste storage area. Also.2).2:10/23/08 ©The British Standards Institution 2008 36 of 61 .5).3 – for not taking appropriate corrective action. you notice a few 55-gallon drums are not properly sealed and each of them contained waste product.5. “Our department does all of the compliance evaluations and reviews and the Q. since this condition is tied to a significant aspect.2 & 4. but the corrective action was not effective. what was done to correct and prevent this condition? If nothing was done to correct this condition.5.

you notice a specific requirement to check the manometer on the side of the scrubber once a day to ensure adequate filter operations. Note: The type and quantity of products and services may help an auditor decide between major and minor. there would be a nonconformity against their own calibration procedure. the auditor needs to determine if it includes products and services.1. While reviewing their scrubber procedures. If the manometer has been calibrated.5. this would be a nonconformity against 4.3. However. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 9.2:10/23/08 ©The British Standards Institution 2008 37 of 61 . there would be a nonconformity against 4.1. If so. If the manometer has not been calibrated. Course Exercises EMS-042-01-EN-US Issue 4. Nonconformity: Yes Applicable Clause: 4. While reviewing the process for identifying aspects. the auditor needs to review the organization’s calibration procedures to determine if the manometer requires some sort of calibration identification. The Livonia facility identified significant aspects associated with scrubber operations. then the organization didn’t follow its own procedure(s). 10.1 requires that an organization have a procedure(s) for identifying aspects associated with its products. the auditor needs to determine if the manometer has been calibrated. the list does not include products or services provided by the Livonia facility. Nonconformity: Not yet Applicable Clause: N/A Although there is no evidence of calibration on the manometer.3. You examine the manometer and notice there is no evidence of calibration. Need to look for calibration records.1 Clause 4.3. If it does. If it doesn’t. The auditor needs to review this procedure(s) for the Livonia facility. If the Livonia facility has a procedure(s) for identifying aspects. services and activities. you notice the ESH department has created a list of aspects and associated impacts for the activities at the Livonia facility.

4.1 Course Exercises EMS-042-01-EN-US Issue 4. etc. need to review the records for at least the last two management reviews to determine what information is being presented to top management during the management reviews. adequate and effective. Top management needs more than audit results to determine if the EMS continues to be suitable.3 is not being taken for the NOV’s.5. The EMR attempts to show you the online version of the EMP but can’t access it because the server is temporarily out of service.) – 4. which included two Notices-of-Violation issued by the state environmental protection agency and 86 internal audit findings. The auditor may want to probe a bit to determine how often this occurs and why – this may be a resource issue (i. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 11. Nonconformity: Not yet Applicable Clause: N/A The auditor needs to determine the management review intervals and look for evidence that the management reviews are conducted per their specified interval (4. A common rule of thumb is to move on as long as the online documents can be accessed and reviewed before the end of the audit. software discrepancies. but he printed a copy of the EMP last night just in case something like this happened. “reduce air emissions from scrubber operations by 20% by the end of the year. 12. Nonconformity: Not yet Applicable Clause: N/A Discretion must be used in these cases. One of the objectives and targets at the Livonia facility is to.6). suitability and effectiveness of an EMS. Need to review the organization’s document control procedure to determine what is required during these situations..” You ask the Environmental Management Representative (EMR) to review the environmental management program (EMP) put in place to achieve this objective and target.e. you notice the last management review was conducted two weeks ago. The EMR states that this sort of thing occasionally occurs. Additionally there may be an issue if CA/PA under 4. Remember: The quantity of audit nonconformities is not an accurate indicator of the adequacy. Also.5 requires that documents be available at all locations where essential operations are being performed. Clause 4. inadequate server capacity. While reviewing management review records.2:10/23/08 ©The British Standards Institution 2008 38 of 61 .4. The record shows that internal and external audit results were presented during the review.

ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide

13. While reviewing the internal audit procedure with the Director of Quality, you notice there is a
requirement to create the annual schedule and audit plan during January of each year. You ask
about the criteria used to determine what is to be audited each year and the Director replies,
“We’ve decided to integrate the quality and environmental management system audits. So, now
we include EMS every time we do a QMS audit.”

Nonconformity: Not yet

Applicable Clause: N/A

Clause 4.5.5 requires that audit program and schedules be based on the environmental
importance of the activity concerned and the results of previous audits. Although it’s a
good idea to integrate EMS and QMS audits as much as possible, it’s important to consider
these criteria to ensure the proper allocation of resources to the audit process. The auditor
needs to determine if this criteria was used or did the Director just make a blanket decision
to EMS audits during QMS audits. If EMS audits are conducted only during QMS audits,
there’s a risk that certain areas or processes are not audited.

14. You ask the environmental engineer who is responsible for environmental compliance
evaluations at the Livonia facility. She replies, “We normally don’t do formal compliance
evaluations. That’s something the Corporate ESH group does when they come down.”

Nonconformity: Not yet

Applicable Clause: N/A

The auditor needs to review the organization’s documented procedure for conducting
compliance evaluations to determine if it specifies Corporate ESH to conduct these
evaluations. If there is no documented procedure, there is a nonconformity against 4.5.2.
Also, need to determine what is reviewed and how often. Need to determine if the Corporate
ESH group evaluates compliance to legal requirements associated with the organization’s
environmental aspects.

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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide

15. The Livonia facility has identified spills in the hazardous storage area as one of several
significant aspects. You ask the supervisor of the hazardous storage area about operational
controls pertaining to this significant aspect and the supervisor replies, “I just follow the
procedures that have been created by my predecessor’s predecessor.”

Nonconformity: Not yet

Applicable Clause: Possibly 4.4.2

The auditor needs to sample a few activities in the hazardous waste storage area to
determine if the associated operational controls are current and adequate (4.4.6). Also, if
some of these operational controls are documented, the auditor should ask to review the
organization’s document control procedure to determine if the operational control procedure
is periodically reviewed, revised (as necessary) and approved by authorized personnel
(4.4.5). The supervisor needs to know his role and responsibilities in conformance with
procedures (i.e., it’s not good enough to know about the existence of procedures – also
understand why it’s important to conform with the procedures (4.4.2 (c) and (d))

16. While interviewing the H.R. and ESH Director, you ask to see how the Livonia facility
documents relevant inquiries from external parties. The director shows you the communication
log used to document incoming calls from external parties. While reviewing the log, you
remember that you called the Livonia facility two weeks prior to your visit and asked about the
air emission hazards associated with their wafer manufacturing operations.

Nonconformity: Not yet

Applicable Clause: N/A

The auditor needs to ask about the inquiry he presented two weeks ago. Who received it?
Is it documented? Who worked or is working on it? Who responded or is preparing the
response? If these questions cannot be answered, this would be a nonconformity against
4.4.3 (b).

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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide

17. While reviewing the environmental records retention schedule, you notice that calibration
records for devices used to monitor and measure key environmental characteristics are to be
kept for two years in the Q.A. office. You also notice that the Livonia facility has a policy to
archive environmental records at an offsite storage facility if the records are to be kept for
longer than two years.

Nonconformity: No

Applicable Clause: N/A

The auditor needs to review the organization’s records control procedure. Also, need to test
the records retrieval process to determine if records can be readily retrieved. Ask for a
sample of records to test the retrieval process and to assess the condition of the records –
are they received in a timely manner and is there evidence that they are properly stored and
maintained? If time permits, the auditor may choose to visit the offsite facility.

Note: An auditor must use discretion when assessing timely retrieval. Retrieval time is
typically defined in an organization’s records control procedure. If the retrieval time is not
clearly defined, the auditor’s rule of thumb is to allow for receipt of a record before the end
of the audit.

18. While interviewing a forklift operator in the hazardous waste storage area, you ask him about
the environmental policy and about his roles and responsibilities to achieve conformance with
the policy and associated procedures. He explains what he does as a forklift operator and the
type of training he has received to do his job. You ask him about specific activities that may
impact the environment and what would happen to the environment if he didn’t follow his
procedures. He replies, “I’m not sure what would happen to the environment, but I know the
internal auditors would probably have a field day with me if I didn’t have my procedures stapled
to my forehead.”

Nonconformity: Yes

Applicable Clause: 4.4.2 (d)

Clause 4.4.2 (d) requires that the forklift operator understand the potential consequences of
departure from his procedures. Also, the auditor may explore the operator’s knowledge of
emergency procedures in the event of a spill.

Course Exercises EMS-042-01-EN-US Issue 4.2:10/23/08 ©The British Standards Institution 2008 41 of 61

3. The auditor needs to assess the employees’ knowledge of the clean up process to determine if it conforms to the organization’s emergency response procedures (4. brooms and shovels in that closet over there to clean up any mess. The Plant Manager defends the situation saying it is only temporary. There is no secondary containment for the chemicals and no inventory management is taking place. The boiler room at AEG Livonia has been undergoing substantial renovations for fifteen months. Nonconformity: Yes Applicable Clause: 4.7). you notice there are several 5-gallon containers of hazardous chemicals on pallets that have just been received. Course Exercises EMS-042-01-EN-US Issue 4. If the clean up process conforms to the applicable procedures.4. therefore potential significant aspect has not been evaluated or identified [4. As a result of these renovations.6(a) is secondary element for nonconformance]. Drums and other containment vessels have been placed around equipment and in aisles.2:10/23/08 ©The British Standards Institution 2008 42 of 61 .2 (c) and 4. the employee is worried about retribution and the auditor must respect this by not revealing names. “I would try not to let my boss know about it by cleaning it up as soon as possible. bulk chemical storage has been displaced.4. The employees in the area appear to be properly handling the chemicals and are being cautious.1 Change or modification has not initiated aspects identification process.” Nonconformity: Not yet Applicable Clause: N/A Obviously.4. While in the shipping and receiving area. 20. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 19. You ask one of the operators what they would do in the event of an accidental spill with one or more of the 5-gallon containers and she replies. We have kitty litter.4. My boss runs a tight ship. Renovations are expected to continue for another six months. the auditor needs to determine how and when (if necessary) emergency procedures are supposed to be reviewed and revised after an accident or emergency (4.7).

1 or 4.  The discharge is tested every quarter to ensure oil water separator effectiveness. the auditor discovers that there was an underground storage tank in an area that has since been paved over and made into a parking lot.3. There is currently no visual evidence of the tank and there are no records of its removal. Nonconformity: Not yet Applicable Clause: Possibly 4. No one interviewed has any knowledge of the situation. Upon inspection of old site plans for AEG Livonia. Nonconformity: Yes Applicable Clause: 4. 22.3 Corrective action does not include spill clean up (mitigation).  The environmental effect of releasing oil from the facility was added to the agenda at the weekly shift meeting and employees were reminded that it is everyone's responsibility to watch for and report leaks or spills. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 21. An Internal Audit at AEG identified a puddle with an oil sheen outside the facility which appeared to have originated from an air compressor blow-down pipe.2 Missed a potential significant aspect or regulatory requirement related to UST’s. Corrective Action to this nonconformance was documented as follows:  A walk around the outside of the facility was added to the weekly housekeeping inspection.5. The nonconformance was closed.3.  Condensation from the compressor is now piped through an oil water separator prior to discharge.2:10/23/08 ©The British Standards Institution 2008 43 of 61 . Course Exercises EMS-042-01-EN-US Issue 4.

Does operator have access to current plan? 24. the auditor reviewed the structure and responsibilities of the organization. Course Exercises EMS-042-01-EN-US Issue 4.2:10/23/08 ©The British Standards Institution 2008 44 of 61 . while interviewing an operator. the auditor noticed that an out of date version of the emergency spill plan was found at his work station. during the audit the auditor realized that the EHS Manager had delegated all responsibilities regarding the EMS to a recently designated EHS Coordinator and does not participate in the EMS. She noted that the EHS Manager was identified as the management representative. Nonconformity: Yes Applicable Clause: 4.4. Nonconformity: Not yet Applicable Clause: Possibly 4. The operator explained that he was given the plan during his initial training session and has kept it for reference. During a documentation review.5 (d) Obsolete document not removed or suitably identified. During the audit of AEG Livonia.1 Roles and responsibilities not clearly defined and documented.4. However. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide 23. Also need to see if the plan is referenced for use in an emergency .

Instructors are encouraged to develop their own characters if they wish to add to the course. You will also need to assign students to the roles of the auditees. To conduct the role-play. The student role-playing the auditor should not see the handouts for that specific scenario. the instructor and students should be ready to role-play. you should find a packet of scenario preparation handouts that have been printed and mailed with the Student Manuals. the learning experience will be significantly better for the student acting as the auditor. Course Exercises EMS-042-01-EN-US Issue 4. The instructor may act as the auditee for the first scenario to warm the students up. Each student should be assigned as the auditor for at least one scenario if possible (you should be able to role- play all 10 scenarios in the allotted time). Give the handouts to the auditees 65 minutes before the role- playing the scenarios to prepare and ask questions (you may adjust the amount of preparation time as needed). The handouts give the auditees specific instructions on which documents they will need to use from the Case Study throughout the audit. as well as directions on how to act and. what to say.2:10/23/08 ©The British Standards Institution 2008 45 of 61 . so you will need to choose two students to play these roles. Each audit scenario should last approximately 25 minutes. On the following pages are 10 interview scenarios for a third-party audit at AEG Livonia. you will need to pull out these handouts (a master copy is located behind the Exercises Tab of the Instructor Manual). “Scenario 1: The Management Review Process” has two auditees. The only information the auditors should see regarding their scenarios is provided in the directions for this exercise in their Student Manual. For this exercise. In this exercise. For example. Give the students ten minutes in between role-plays to prepare. The role-play is central to the success of this course and must take place. each student will role-play a mini-interview as the auditor. in some cases. If the other students act like “real” auditees. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide EXERCISE 10: AUDITING THE AEG CASE STUDY For this exercise. Instructors and students must improvise and think on their feet to ensure the success of this exercise.

You should encourage the students to have fun during the role-play and become engaged in the characters they are asked to assume. potential nonconformances that may be identified during the scenarios are described (the nonconformance descriptions are not included in the student manuals). After each role-play is complete. Students not participating in the audit should take thorough notes. they may write the names of all the auditees on the name tents and place them on the front table so everyone can see the names and titles of the characters while the audits are taking place. ask the students to pay attention to all elements of auditor behavior. On the following pages. The instructor should wait until after the scenario is complete before giving any nonconformances away. the instructor may debrief the class on any nonconformances that were missed by the auditor. If the instructor wishes. as described in ISO 19011:2002. the instructor should lead a discussion about any nonconformities that were detected for about 30 minutes. so the entire class can watch the role-play. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide The instructor may wish to position one table in the front of the class for the auditor and auditees to sit at. You may begin this discussion by asking the students to vocalize what tactics taken by the auditors during the role-plays were particularly well done or effective. However. Course Exercises EMS-042-01-EN-US Issue 4. Students are likely to identify additional nonconformities depending on how the role-plays are executed. the instructor should lead a discussion about the audits as a whole and how to audit effectively. While the role-plays are occurring. if they are not uncovered during the scenario.2:10/23/08 ©The British Standards Institution 2008 46 of 61 . Write these nonconformities on a whiteboard/flipchart in the classroom so students will have notes to use in subsequent exercises. Extra name tents should be provided along with the handouts. After all the audits are complete. Any strongly negative feedback on a specific student’s performances during the role-play should be given to the student privately and in a professional and diplomatic manner. especially on any nonconformances they identify. The participants in the AEG case study are: George Aspen President Mark Profit Plant Manager Bill Jones Facilities Manager Hugh Trent Quality Director Bob Blood Electroplating Supervisor Sally Johnson Environmental Management Representative Earl Campbell Oiler Meg Ransom ESH/Safety Coordinator Bubba Material Handler Susie Smartt Training Manager All the role-plays have nonconformances that are likely to be uncovered during the scenarios.

you will rely on the AEG Corporation case study material provided behind the Case Study Tab of the Student Manual. you will be given 60 minutes to prepare for your roles as auditor and/or auditee. and the AEG case study. Purpose To simulate an audit situation using interview techniques. as the identified nonconformities will be used in Exercise 11. Take close notes during these discussions. After each audit scenario. When it is not your turn to act as auditor or auditee. Time 60 minutes preparation for both auditees and auditors 180 minutes for role-plays for each of the 10 scenarios (roughly 20 minutes per role-play) 60 minutes for class discussion debriefs for each of the 10 scenarios 300 minutes total Continual Evaluation 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 10 scenarios 30 points total Directions For this exercise. Course Exercises EMS-042-01-EN-US Issue 4. the instructor will take 10 minutes to lead a class discussion on the nonconformities (or lack of nonconformities) observed during the audit scenario. Listen carefully to the auditor’s interview questions and the responses from the auditees. INSTRUCTORS MUST BE WILLING TO ADAPT TO AND PAY ATTENTION TO THE PATH EACH SCENARIO TAKES AS IT IS ROLE-PLAYED. role-plays. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide NOTE: DEPENDING ON THE PATH THE AUDITS TAKES FOR EACH SCENARIO. Read through all the materials behind the Case Study Tab of the Student Manual and make note of any nonconformities that you identify in the documents. STUDENTS MAY FIND ADDITIONAL NONCONFORMITIES NOT DESCRIBED IN THE INSTRUCTOR MANUAL. you may wish to ask the auditee about any of the nonconformities you identify. Ten scenarios have been developed to help you perform a simulated audit of AEG.2:10/23/08 ©The British Standards Institution 2008 47 of 61 . Before the scenarios begin. Students in the course will serve as both the auditees and auditors for each scenario. When serving as the auditor. you should take thorough notes on any nonconformances they can identify.

ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Note: Nonconformities found in Exercise 10 will be used in upcoming exercises. In some scenarios. so make sure you take excellent notes! Directions for Auditees The instructor will assign you and other students in the class to play the roles of the following AEG employees: George Aspen President Mark Profit Plant Manager Bill Jones Facilities Manager Hugh Trent Quality Director Bob Blood Electroplating Supervisor Sally Johnson Environmental Management Representative Earl Campbell Oiler Meg Ransom ESH/Safety Coordinator Bubba Material Handler Susie Smartt Training Manager For different scenarios. you may need to provide specific documents to the auditor. the instructor may assign different students to role-play the same AEG employee. To help you "get into character. the scenario preparation sheets will tell you which documents to show the auditor from the AEG case study.2:10/23/08 ©The British Standards Institution 2008 48 of 61 . Don’t be afraid to immerse yourself in your role as an auditee! Course Exercises EMS-042-01-EN-US Issue 4." the instructor will hand out scenario preparation sheets that will help you assume the different roles for each of the auditees.

Remember: this is supposed to simulate a real audit. but you will still need to think on your feet! Scenario Preparation for Auditors The following ten scenarios are all based on the Auto Electronics Group Case Study materials.” Just as in real audit situations. Scenario 1: Auditing the Management Review Process Auditee: Plant Manager Auditee: President Preparation Documents: Management Review Procedure (MP-001) Management Review Minutes (dated 6/28/2004) EMS Performance Metrics Potential Nonconformance: Management is not on target with NRG reduction. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Directions for Auditors The instructor will also assign the roles of the various auditors for each scenario. to see specific AEG documents. and in real audits the auditor cannot prepare for every contingency or situation that can occur. Students will interview the auditee based on the area under review. when necessary. You should be prepared for auditees to avoid answering some of your questions when he/she is in “character. this may be a further audit trail for you to examine. The instructor and/or students will take the role of the auditee and the student will take the role of the auditor for the scenario to which they were assigned. Auditors will need to plan the questions they will ask the auditees (developing a checklist may help). prepare thoroughly within the given time. Depending on class size. In other words. but you should also be alert while auditing in case you come across any potential audit trails. and records. the auditee may not be cooperative. you may be asked to serve as the auditor more than once. Metrics are out of date. You should ask.2:10/23/08 ©The British Standards Institution 2008 49 of 61 . If the auditee cannot provide you with the necessary documents. Course Exercises EMS-042-01-EN-US Issue 4. Meeting minutes do not clearly show what they are doing about the nonconformities to get back on track. procedures.

Scenario 3: Auditing the Corrective Action Process Auditee: Quality Manager Preparation Documents: Corrective Action Procedure (ESH-010) Copies of the nonconformities written in Stage 1audit Potential Nonconformance: The preventive action for NCR #2 is not adequate.2:10/23/08 ©The British Standards Institution 2008 50 of 61 . nor is he aware of any operational controls to support their initiatives. students may find the aspect and impact identification process is not well done. Scenario 4: Auditing the Operational Control Process Auditee: Electroplating Supervisor Preparation Documents: AEG Spill Plan (SP-100) Aspect & Impact Identification Procedure (ESH-002) Potential Nonconformance: There are objectives and targets in Electroplating but the Supervisor is not aware of them. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Scenario 2: Auditing the Aspect and Impact Identification Process Auditee: Facilities Manager Preparation Documents: Aspect & Impact Identification Procedure (ESH-002) AEG Objective and Targets Table Environmental Management Programs Potential Nonconformance: Metal stamping and Electroplating operations are not on the table. AEG should in fact take a comprehensive view of its operations to determine if other processes with adverse impacts are on the table. Course Exercises EMS-042-01-EN-US Issue 4. Several items from the site map are not on the table. As an observation.

the NPDES Permit. However. there is a lack of awareness or training for the Oiler of these targets. Scenario 7: Auditing the Environmental Management Program for Achieving Objectives and Targets Auditee: Oiler in the metal stamping department Preparation Documents: AEG Spill Plan (SP-100) Aspect & Impact Identification Procedure (ESH-002) Objectives and Targets Table EMS Performance Metrics Potential Nonconformance: There are targets for oil reclamation increase and total use to be reduced.2:10/23/08 ©The British Standards Institution 2008 51 of 61 . the manager responsible for Stamping does not have familiarity with the EMP that Course Exercises EMS-042-01-EN-US Issue 4. Scenario 6: Auditing Legal Requirements Auditee: Environmental Management Representative Preparation Documents: AEG Spill Plan (SP-100) Objectives and Targets Table EMS Performance Metrics Thompson Environmental Engineering Email Potential Nonconformance: Copies of the Air Permit. This nonconformance for permit exceedance could also be raised against External Communication. A further audit trails may be to discuss this with Thompson Environmental. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Scenario 5: Auditing the Compliance Audit Process Auditee: Environmental Management Representative Preparation Documents: Environmental Audit Procedure (ESH-005) Internal Audit Report Management Review Minutes (dated 6/28/2004) CFC Management Policy (ESH-006) Open Burning Policy (ESH-008) PCB Management Policy (ESH-009) Asbestos Management Policy (ESH-011) Thompson Environmental Engineering Email Air-Conditioning System Service Report Potential Nonconformance: The Corrective and Preventive Action and permit exceedance problems are major issues. The auditor should actively request to speak to Thompson Environmental representatives. and the Stormwater Discharge Permit cannot be provided to the auditor. Also.

Course Exercises EMS-042-01-EN-US Issue 4.2:10/23/08 ©The British Standards Institution 2008 52 of 61 . Scenario 9: Auditing the Chemical Control Process Auditee: Material Handler Preparation Documents: Site Map Spill Plan (SP-100) Transportation of Dangerous Goods Policy (ESH-007) Management of Non-Hazardous Waste Policy (ESH-004) Potential Nonconformance: The potential for deviation from procedures could be a minor nonconformity. Scenario 10: Auditing the Training and Awareness Process Auditee: Training Manager Preparation Documents: Training Needs Analysis Procedure (TR-002) Training Needs Email Email to supervisors and foreman Training Record Log Potential Nonconformance: A minor nonconformity could be raised since temporary and other employees have not received awareness training. At a Stage 2 audit they have not conducted training and if the workers are very unaware at the time of the audit. this must be raised as a nonconformity. The organization is required to conduct awareness training for the masses. Scenario 8: Auditing the Emergency Response Procedure Auditee: ESH/Safety Coordinator Preparation Documents: Emergency Response Procedure (ESH-003) Potential Nonconformance: A minor nonconformity could be issued due to the lack of an incident report. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide directly impacts her department.

the other groups should critique the presenting groups’ reports. When not presenting. as the answers may vary for each group depending on the outcome of the role-plays. Time 45 minutes team preparation 30 minutes team presentation 75 minutes total Continual Evaluation 5 points total Course Exercises EMS-042-01-EN-US Issue 4. After students have spent 45 minutes preparing their nonconformity reports in their groups.2:10/23/08 ©The British Standards Institution 2008 53 of 61 . give each group roughly 10 minutes each to explain their nonconformity reports to the class. If you have left over time after all the presentations. NOTE: See Case Study for examples of completed NCRs. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide EXERCISE 11: WRITING NONCONFORMITY STATEMENTS No specific answers are provided for this Exercise. you may fill out additional nonconformity reports as a class based on observed nonconformities in the AEG case study that were not already written up by the groups. Encourage the groups to constructively evaluate each other’s work as you serve as the conversation moderator and facilitator. Purpose To give you practice writing nonconformity statements.

the team will select a NCR for presentation to the entire class. The NCR should be written on forms provided and in a manner consistent with the methods taught (Nonconformity report forms are found after the exercise directions below). ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Directions This is a group exercise based on the case study audit.” After discussing the observed nonconformity. After each presentation. “Closing Meeting and Audit Report. “Auditing the AEG Case Study. the instructor will lead a class discussion on the effectiveness of the NCRs. the groups must prepare and write a nonconformity report (NCR).” Each student may be required to deliver (present) one or more nonconformity statements from the case study during the closing report meeting. Students should break up into groups of three. Nonconformity reports will be reviewed by the class and instructor against the following criteria:  Correctly identifying a nonconformity  Describing clearly the nature of the nonconformity  Inclusion of pertinent objective evidence  Citing of applicable quality requirement(s) Course Exercises EMS-042-01-EN-US Issue 4. After 30 minutes of preparation time. The instructor will assign each group one of the nonconformities observed during the audit role-play in Exercise 10. Note: The results of this exercise make up part of the Exercise 12.2:10/23/08 ©The British Standards Institution 2008 54 of 61 .

2:10/23/08 ©The British Standards Institution 2008 55 of 61 . Issue 1 AUDIT NONCONFORMITY REPORT Organization: ___________________________ Incident Number: ______ Area under Review: __________________ ISO 14001:2004 Clause Number: ________ Category:  MAJOR  MINOR Requirement: Nonconformity/Evidence: Auditor: ________________ Auditee: ________________ Course Exercises EMS-042-01-EN-US Issue 4. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Exercise Workspace Nonconformance Report #EMS-NCR.

ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Exercise Workspace Nonconformance Report #EMS-NCR.2:10/23/08 ©The British Standards Institution 2008 56 of 61 . Issue 1 AUDIT NONCONFORMITY REPORT Organization: ___________________________ Incident Number: ______ Area under Review: ______________ISO 14001:2004 Clause Number: ______ Category:  MAJOR  MINOR Requirement: Nonconformity/Evidence: Auditor: ________________ Auditee: ________________ Course Exercises EMS-042-01-EN-US Issue 4.

All of the closing meetings combined should not exceed 45 minutes. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide EXERCISE 12: CONDUCTING THE CLOSING MEETING AND PREPARING THE AUDIT REPORT No specific answers are provided for this Exercise. Time 60 minutes preparation 45 minutes for closing meeting presentations 15 minutes class discussion and debrief 120 minutes total Continual Evaluation 5 points Course Exercises EMS-042-01-EN-US Issue 4. reiterate the importance of an effective closing meeting.2:10/23/08 ©The British Standards Institution 2008 57 of 61 . You will play the role of top management during the closing meetings. as the answers may vary for each group depending on the outcome of the role-plays. You may also ask other students to sit in as additional auditees during the meetings. Encourage the groups to constructively evaluate each other’s work as you serve as the conversation moderator and facilitator. Purpose To gain an understanding of the audit reporting and closing meeting processes. If you have left over time after all the presentations. You may need to tailor the time each group spends on the closing meeting to ensure each group receives an equal time. take a few minutes to discuss with the class the strengths and weaknesses of the reports and the meeting. After students have spent 60 minutes preparing their final audit reports in their groups. give each group roughly 10 minutes each to conduct a closing meeting. After each closing meeting.

1.5.6. conducting. as well as the nonconformities. the purpose of an audit is to verify conformity with requirements. and effectively dealing with manager concerns. logical presentation of the audit summary. and reaching an understanding on corrective action responsibility/timing  For all members. The report must address all the relevant topics covered in the course slides for “audit reporting.7. which should meet the requirements of clause 6.” as well as meet the requirements of clause 6. a NCR presented clearly. Remember. Each team member is to present (at least) one nonconformity and come to an understanding with the auditee management on the issue and corrective action responsibility. effectively supporting the team efforts during the meeting Course Exercises EMS-042-01-EN-US Issue 4. a clear. Contributions of each team member should be decided as part of meeting planning. It may be completed on the form provided with additional pages for detail or explanation as needed (the audit report form is located in this section after the exercise directions below). logically. ISO 19011:2002. The student and the team will be reviewed against the following criteria:  Content and accuracy of the written audit summary report  Contribution of each member to the preparation work  For the team leader.2:10/23/08 ©The British Standards Institution 2008 58 of 61 . The team leader is to sum up and conclude the meeting. ISO 19011:2002. effective dealing with manager concerns and a summation/closure  For team members. The audit team leader is responsible for planning. ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Directions Each team is to prepare an audit summary report and present it during a closing meeting to management of AEG (played by the instructor). Note: the duration of each closing meeting may need to be determined by the number of groups and students in the class. and controlling the meeting. do not neglect to include this in the report. The written summary report will be presented to AEG top management during a closing meeting (the instructor will serve as the AEG top management representative during the role-play). Make sure the audit summary report and presentation include the nonconformity you worked on in Exercise 11 as well as other nonconformities observed during the role-plays.

ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide Exercise Workspace AUDIT SUMMARY REPORT Report Number: ___________ Date: ___________ Process(es) Audited: ______________________________________________________________ Date of Audit: _________ Scope of Audit: __________________________________________________________________ Audit Objective: __________________________________________________________________ Audit Criteria (standard/procedure/project etc): _________________________________________ Auditor(s): ______________________________________________________________________ Summary of findings: __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ NCR Reference Numbers: __________________________________________________________________________________________ __________________________________________________________________________________________ Report Prepared by: ____________________________ Date: ___________ Report Approved by: ____________________________ Date: ___________ Company Representative Distribution: _____________________________ Course Exercises EMS-042-01-EN-US Issue 4.2:10/23/08 ©The British Standards Institution 2008 59 of 61 .

ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide EXERCISE 13: REVIEWING CORRECTIVE ACTIONS AND AUDIT FOLLOW UP Have the students split up into their teams. Have each team take the role of the auditee for a moment. As a team of auditors. Have them create a corrective action plan for one of the nonconformities identified in the audit report from Exercise 12. Once the students have developed a corrective action plan. have them quickly present their plan to another team. Then each team will evaluate the effectiveness of the corrective action plan presented to them. Course Exercises EMS-042-01-EN-US Issue 4. Time 45 minutes group corrective action plan preparation 30 minutes group evaluation corrective action of plan 75 minutes total Continual Evaluation 5 points Directions Break into teams and act as the auditee for the beginning of this exercise. determine if the corrective action plan presented to you would be effective when implemented. and you will have a plan presented to you.2:10/23/08 ©The British Standards Institution 2008 60 of 61 . Also. You will then present your plan to another group. and develop an audit trail for the next visit to check the implementation of the plan. develop an audit trail you would use during a follow-up visit to determine if the corrective action plan was effectively implemented. Based on the audit plan developed in Exercise 12 and the NCs from the AEG case study. develop a corrective action plan for one of the nonconformities. Purpose To help you gain an understanding of the corrective action and audit follow-up processes.

2:10/23/08 ©The British Standards Institution 2008 61 of 61 . ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor Guide EXERCISE 14: COMPLETING THE SAMPLE EXAM The instructor should preface the sample exam with all the same directions as the real 2 hour exam. Then lead the students in a review of the exam. Two hours will be allotted for students to complete the sample exam. Solutions then will be covered in class. Time 120 minutes for exam completion 60 minutes class discussion and debrief 180 minutes total Continual Evaluation 5 points for completion 5 points for class discussion 10 points total Directions Complete the sample exam on the following pages. Purpose To give you practice taking the EMS Lead Auditor Exam. Course Exercises EMS-042-01-EN-US Issue 4.