Exercise 13 Preparation of Audit Checklist

Group Exercise – 105 Minutes

15 min Tutor Revie
Considering the ISO 14001:2015 standard and Environmental Apex Document of Industrial Gases Company, and
using the organization structure, prepare an Audit Checklist for three process areas (functions/departments),
allotted to your group by the Tutor.

Note: As you are aware, the word “SHALL” means “MANDATORY” and all the requirements after shall
are action points to be verified in an audit. Take this as a tip in preparing Audit Checklist

Make the audit checklists in rough on the next page & as a group on the flip chart(s).
Each Group to make check lists for 3 Department allotted by tutor on three separate flip charts.
The group leaders to make a presentation of the exercise from the flip chart

Tutor guidance: In a training course, tutor should preferably ensure that all departments Industrial Gases
Company are covered in Ex 14 for making check list and in Exercise 16 for conducting role play. The eight
departments to be covered are (in order of priority): Production, Installation, Maintenance (including
Utilities), HR (including Admin), Purchase, Transportation & Dispatch, MR, Top Management and Sales
and Marketing i.e. If the batch has only four or five delegates, two groups will be made and each group will
cover 3 departments, If the batch has 6 or more delegates, then three groups will be formed and each
group will cover 3 departments each. If the batch has 12 or more delegates, then four groups will be
formed and each group will cover 3 departments each.
Conclusion
CHECK POINT (For Verification) (Compliance
Evidences
/
for NC
NC)

Clause 4: Context of the organization  

 

4.1 Understanding the organization and its context  

 
Has the organization determined external and internal issues
that are relevant to your purpose and that affected its ability to
achieve the intended outcomes of your environmental
management system?
1  NC Page 8

How does the organization monitor and review information

about these external and internal issues and do they include
2  C
environmental conditions being affected by or capable of
affecting the organisation?  

4.2 Understanding the needs and expectations of interested

 
parties
 

Has the organization determined the interested parties that are  

1  C
relevant to the Environment Management System?
Page 8
 Has the organization determined the requirements of these
2 interested parties relevant to the Environment Management  C
System?  
Has the organization determined which of these needs and
expectations become its compliance obligations?  NC  Page 8
3

4.3 Determining the scope of the Environment management

 
system
 
Has the organization established the boundaries and
1 applicability of the environmental management system to  C
establish its scope?  
When determining the scope of the environmental
management system has the organization considered the
2  C
external and internal issues referred to clause 4.1 and also
considered the compliance obligation in clause 4.2?  
While determining the scope, has the organization determined
3 the organizational units, functions and physical boundaries?  NC  PAGE 7

While determining the scope, has the organization determined  PAGE 7

4 the activities, products and services of the organization?  NC

While determining the scope, has the organization considered  PAGE 7

5 its authority and ability to exercise control and in?  NC

Have all activities, product and services been included in the

scope been included in the EMS?
 PAGE 7
6  NC

Is the organization’s scope made available to Interested Parties

7  C
and maintained as a Documented Information?
 

4.4 Environment management system   

 
Have the organization established, implemented and have the
system in place to maintain and continually improve it’s an
1 environmental management system, including the processes  C
needed and their interactions, in accordance with the
requirements of ISO 14001?  
 Has the organization considered the knowledge gained in 4.1
2 and 4.2 when establishing and maintaining the environmental  C
management system?  

Clause 5 Leadership  
 

5.1 Leadership and commitment  

 
Does the top management demonstrate leadership and
1 commitment by taking accountability for the effectiveness of its  C
EMS?  

Has the top management ensured that the Environment policy

2  C
and Environment objective are established?
 
Are the Environment policy and Environment objective
3 compatible with the context and strategic direction of the  C
organization?  
Has the organization integrated the requirements of EMS into
the business processes?
4  NC   PAGE 10

Is the top management ensuring that the resources needed for

5  C
the EMS are available?
 

Is the importance of the effectiveness of EMS and conformance

6  C
of EMS requirements communicated?
 

Does the top management ensure that the EMS is achieving its
7  C
intended results?
 

Does the Top Management direct and supports the persons to

8  C
contribute to the effectiveness of the EMS?
 

9 Is Top Management promoting continual improvements?  C

 
10 Is Top Management supporting other relevant management  NC  PAGE 10
roles to demonstrate their leadership as it applies to their area
of responsibilities?
5.2 Policy  
 
Has top Management established, implemented and
maintained an Environmental Policy that is appropriate to the
1 purpose and context of the organization, including the nature,  C
scale and environmental impacts of its activities, products and
services?  

Does the Environment policy provide the framework for setting

2  C
environment objective?
 
Does the Environment policy include a commitment to the
protection of the environment, including the prevention of
3  C
pollution and other specific commitment relevant to the
context of organizations?  
Does the Environment policy include a commitment to fulfil its
4 compliance obligation?  NC  PAGE 05

Does the Environment policy include the commitment to

5 continual improvement of the EMS to enhance environmental  C
performance?  
Is the environmental policy maintained as documented  PAGE 11
information, communicated within the organisation and
6  NC
available to interested parties?

5.3 Organizational roles, responsibilities and authorities  

 
Has the Top management ensured that the responsibilities and
authorities for relevant roles are assigned and communicated
1 within the organization?  NC
 PAGE 11

Has top management assigned the responsibility and authority

for ensuring that the environmental management system
2 conforms to the requirements of ISO14001?  C

 
Has top management assigned the responsibility and authority
3  C
for reporting on the performance of the environmental
 
 management system including environmental performance to
top management?

6 Planning  
 

6.1 Actions to address risks and opportunities  

 

6.1.1 General  
 
When planning for the environmental management system,
have the organization considered the issues referred to in 4.1,
the requirements referred to in 4.2, the scope of the
environmental management and determined the risks and
opportunities related to environmental aspects, compliance  PAGE 11
1 obligation that needs to be addressed to give assurance that the  NC
environmental management system can achieve its intended
outcomes?

When planning for the environmental management system,

have the organization considered to prevent or reduce
2  C
undesired effects, including the potential for external
environmental conditions to affect the organisation?  
Has the organisation determined potential emergency
situations that have an environmental impact and are they
3  C
included in the scope of the environmental management
system?  
Has the organisation documented and maintained information
regarding its risks and opportunities that need to be addressed
4  C
and established the processes needed to address them?
 

6.1.2 Environmental Aspects  

 
Has the organisation determined the environmental aspects of  PAGE 23
its activities, products, and services that it can control and
influence and their associated impacts considering the life cycle
1 perspective? Annex - B  NC

2 While determining the environmental aspects, has the  C  

 organization taken into accountant change including planned
or new developments and new or modified activities, products
and services?

While determining the environmental aspects, has the

 PAGE 34
organization taken into accountant abnormal conditions and
3 reasonably foreseeable emergency situations? NC

What criteria has the organisation used to determine those

aspects that can have a significant environmental impact and
4  C
how are these communicated at the various levels within the
organisation?  
Are aspects and impacts maintained as documented
5 information, significant aspects including the criteria used to  C
determine its significance?  

6.1.3 Compliance Obligations

 

Has the organization determined and have access to the

1  C
compliance obligations related to its environmental aspects?
 

Determined how these compliance obligations apply to the

2  C
organization?
 
Has the organization taken into account these compliance
obligations when establishing, implementing, maintaining and
continually improving its environmental management system?  PAGE 34
3 NC

Are compliance obligations maintained as documented

4  C
information?
 

6.1.4 Planning Action  
 
 Has the organization taken action to address significant
1 environmental aspects and compliance obligations and the  C
risks and opportunities identified in clause 6.1.1?  
How does the organization integrate and implement the
2 actions into its environmental management system processes  C
or other business processes?  

How does the organization evaluate the effectiveness of its

3  C
action?
 
Have technological options, Financial, operational and
4 business requirement been taken into account by the  C
organization?  

6.2 Environment objectives and planning to achieve them  

 

6.2.1 Environmental Objectives  

 
Has the organization established Environmental objectives at
relevant functions, levels and process needed for the EMS
1 taking into account significant aspects, associated compliance NC  PAGE 11
obligation and has considered its risk and opportunities?

Are the environment objectives consistent with the

2  C
environmental policy?
 

Are environment objective measurable ( if applicable) and

3  C
Monitored?
 

Are environment objectives communicated and updated as

4  C
required?
 

Does the organization maintain documented information on

5  C
the environment objectives?
 

6.2.2 Planning Actions to Achieve Environmental Objectives  

 
For achieving environmental objectives does the organization
1 determines what will be done, what resources are required,  C
who will be responsible, when will it be completed and how are  
 the result to be evaluated including indicators monitoring
progress towards achievement of its measurable environmental
objectives?
Have the organization considered how actions to achieve your
2 environmental objectives can be integrated into your business  C
processes?  

7 Support  
 

7.1 Resources  
 
Has the organization determined and provided the resources
1 needed for the establishment, implementing, maintaining and  C
continual improvement of the EMS?  

Has the organization considered the capabilities and

2  C
constraints of existing internal resources?
 

Has the organization considered what needs to be obtained

3  C
from external providers?
 

7.2 Competence  
 
Does the organization determine the necessary competence of
persons doing work under its control that affects the
1 performance and effectiveness of the environmental  C
management system and its ability to fulfil its compliance
obligations?  

Does the organization ensure that these persons are competent

2  C
on basis of appropriate education, training or experience?
 
Has the organization determined the training needs associated
3 with its environmental aspects and its environmental  C
management system?  
Does the organization take applicable actions to acquire the
4 necessary competence and evaluate the effectiveness of action  C
taken?  
Does the organization retain the appropriate documented
information as evidence of competence?
5  NC  PAGE 14
7.3 Awareness  
 
How does the organization ensure that persons doing work
under their control are aware of the implications of not
conforming to the environmental management system
requirements including not fulfilling the organization  PAGE 14
1 obligation?  NC

How does the organization ensure that persons doing work

under their control are aware of the significant environmental
2  C
aspect and related actual and potential impact associated with
their work?  
How does the organization ensure that persons doing work
under their control are aware of their contribution to the
3 effectiveness of the environmental management system,  C
including the benefits of enhanced environmental
performance?  
Does the organization ensure that the persons doing work
under the organization’s control are aware of their contribution
4 to the effectiveness of EMS including the benefits of improved  C
performance and the implications of not meeting EMS
requirements?  

7.4 Communication  
 

7.4.1 General  
 
How does the organization determine the internal and external
communications relevant to the environmental management
1 system, including on what it will communicate, when to  C
communicate, with whom to communicate and how to
communicate?  

When establishing its communication processes has the

2  C
organization taken account its compliance obligations?
 
When establishing its communication processes has the
3 organization take account of the information communicated is  C
consistent and reliable?  
 Does the organization retain the appropriate documented
4  C
information as evidence of communication as appropriate?
 

7.4.2 Internal communication  

 
What information relevant to EMS including any changes is
1 communicated internally and what levels in the organization is  C
it communicated to?  
How does the organization ensures its communication
2 processes enable persons doing work under its control to  C
contribute to continual improvement?  

7.4.3 External Communication  

 
How does the organization ensure that its external information
is communicated as established by its communication process
1  C
and also as required by the organization’s compliance
obligations?  

7.5 Documented Information  

 

7.5.1 General  
 
Does the organization’s EMS include documents required by
1 ISO 14001:2015 and documents determined by the  C
organization necessary for the effectiveness of the EMS?  

7.5.2 Creating and updating  

 
While creating and updating documented information, does
1 the organization ensure it is appropriate in terms of  C
identification descriptions?  
While creating and updating documented information does the
2 organization ensure that it is in proper format and in the  C
correct media?  
3 While creating and updating documented information, does  NC  
the organization ensure that there is appropriate review and
approval for suitability and adequacy?

PAGE 01
7.5.3 Control of documented information  
 
How does the organization control its documented information
1 to ensure that it is available and suitable for use, whenever it is  C
needed?  

2 How is the documented information adequately protected?  C

 
How is the distribution, access, retrieval and use of
documented information adequately controlled?  PAGE 16
3  NC

How is the documented properly stored and adequately

4  C
preserved and it is legible?
 

5 How is there control of changes (e.g. version control)?  C

 

Are adequate control in place for retention and disposition?

6  NC  PAGE 16

How are external origin documented information necessary for

7 planning and operation of EMS appropriately identified and  C
controlled?  

8 How are records protected for unintended alterations?  C

 

8 Operations  
 

8.1 Operation planning and control  

 
1 Does the organization establish, implement, control and  C  
maintain the processes needed to meet the requirements of the
environmental management system and to implement the
actions determined in Clause 6.1 and 6.2, by establishing
 operating criteria for the processes?
Has the organization implemented control of the processes in
2  C
accordance with the operating criteria?
 
How does the organization control planned changes and review
3 the consequences of unintended changes, including taking  C
action to mitigate any adverse effects, as necessary?  
How does your organization ensure that outsourced processes
4 are controlled and are type and extend of control or influence  C
to be applied to the outsourced processes defined in the EMS?  
How does the organisation address the, from a life cycle
perspective, appropriate controls regarding environmental
5  C
requirements within its design and development process  for
product or service by considering each stage of its life cycle?  

How does the  organization address the environmental

6  C
requirements for the procurement of products and services?
 

Has the organization communicates its relevant environmental

7  C
requirements to external providers, including contractors?
 
How does the organization addressed provision of information
regarding potential significant environmental impacts
8  C
associated with transport, delivery use, and end of life
treatment and  final disposal of its product or services  
How does the organization maintain  documented information
to the extent necessary to have the confidence  that processes
have been carried out as planned?
9  NC
 PAGE 18

8.2 Emergency Preparedness and Response  

 
Has the organization  established, implemented and
1 maintained processes needed to prepare for and respond to  C
potential emergency situations identified in clause 6.1.1?  
How does the organization plan action to response to prevent
2 or mitigate adverse environmental impacts from emergency  C
situations?  

How does the organization responds to actual emergency

3  C
situations and to take action to prevent or mitigate the
 
 consequences of emergency situations appropriate to the
magnitude of the emergency and the potential environmental
impact?
How does the organization periodically test the planned
 PAGE 18
response where practicable?
4  NC

Periodically in particular after occurrence of emergency

situation or test, how does the organization  periodically
reviews and revises the processes and planned response
actions.

5  NC
 PAGE 18

How does the organization provides relevant information and

training related to emergency preparedness and response to
relevant interested parties and persons working under its
6 control?  NC  PAGE 18

what documented information is maintained to the extend

necessary as evidence to have confidence that the processes
have been carried out as planned?

7  NC  PAGE 18

9. Performance evaluation  
 

9.1 Monitoring, measurement, analysis, and evaluation  

 

9.1.1 General  
 
 How does the organization monitor, measure, analyze, and
1 evaluate its Environmental performance?  
 

How does the organization determine what needs to be

2  
monitored and measured?
 
How does the organization determine the methods for
3 monitoring, measurement, analysis and evaluation  as needed  
to ensure valid results?  
How does organization determine the criteria against which it
4 will evaluate its environmental performance and appropriate  
indicators?  
How does your organization determine when the monitoring
5 and measurement shall be performed and its result shall be  
analyzed and  evaluated?  
How does the organization ensure that its measuring and
monitoring equipment is appropriately calibrated or verified
and those equipment are used and maintained as appropriate.
 PAGE 19
6  NC

How the organization does evaluates the environment

7 performance and the effectiveness of the environmental  
management system?  
How the relevant environment performance information is
communicated both internally and externally? Is it identified in
8  
its communication process and is as required by its compliance
obligation?  
How does the organization retains appropriate documented
information as evidence of  monitoring, measurement, analysis
and evaluation results?
9  NC  PAGE 19

9.1.2 Evaluation of Result  

 
Has the organization established, implemented and maintained
1 the process needed to evaluate fulfillment of its compliance  
obligation?  
 Have the organization determined the frequency that
compliance will be evaluated?
2  NC  PAGE 19

Have the organization evaluated compliance and take action if

3  C
needed?
 

Have the organization maintained knowledge and

4  C
understanding of its compliance status?
 

Have the organization retain documented information as

5  C
evidence of the compliance evaluation results?
 

9.2 Internal Audit  

 

9.2.1 General  
 
Does the organization conduct internal audits at planned
intervals to provide information  on whether the EMS
1 conforms to its own requirement for EMS, ISO 14001:2015  C
requirements and EMS is effectively implemented and
maintained  ?  

9.2.2 Internal audit program  

 

Did the organization plan, establish, implement, and maintain

1  C
an audit program?
 
Did the audit program include the frequency, methods,
2 responsibilities, planning requirements, and reporting of its  C
internal audit?  
Does the audit program take into consideration the
3 environmental importance of the process concerned, changes  C
affecting the organization, and the results of previous audits?  

Did the organization define the audit criteria and scope of each
4  C
audit?
 
Does the organization ensure that the audit is conducted by the
5 auditors to ensure objectivity and impartiality of the audit  C
process?  
 Does the organization ensure that the results of the audits are
6  C
reported to relevant management?
 

Does the organization take appropriate correction and

7  C
corrective action without undue delays?
 

Does the retain documented information as evidence of the

8  C
implementation of the audit program and the audit results ?
 

9.3 Management review  

 
Does the Top Management review the organization QMS at
1 planned intervals  to  ensure its continuing suitability,  C
adequacy and effectiveness?  

Does the review take into consideration the status of actions

2  C
from previous management reviews?
 

Are the changes in external and internal issues relevant to EMS

3  C
considered?
 
Are the changes in the needs and expectations of interested
parties including compliance obligation considered?

4  NC  PAGE 22

Are the changes in the significant aspects, risk and

opportunities considered?

5  NC  PAGE 22

Does the review take into consideration information on the

6  C
performance and effectiveness of the QMS?
 

Does the review take into consideration the extent to which the
7  C
environmental objectives have been achieved?
 
Does the review take into consideration the environmental
8  C
performance including the trends in nonconformities and
 
 corrective actions, monitoring and measurement results,
fulfilment of its compliance obligations and the audit results?
Does the review take into consideration the adequacy of
9  C
resources?
 

Does the  review takes into consideration relevant

10  C
communications from interested parties including complaints?
 
Does the review take into consideration the opportunities for 
continual improvement?
11  NC  PAGE 22

Do the outputs of the management review include decisions

and actions related to conclusions on continuing suitability,
12  C
adequacy, and effectiveness of the environmental management
system?  
Does the output take includes decisions related to continual
improvement opportunities??
13  NC  PAGE 22

Does the output decisions related to any need for changes to

14 the environmental management system, including resource  C
needs?  

Does the output includes actions, if needed, when

15  C
environmental objectives have not been met?
 
Does the output includes opportunities to improve integration
16 of the environmental management system with other business  C
processes, if needed?  

Do the outputs of the Management review include any

17  C
implications for the strategic direction of the organization?
 

Does the organization retain documented information as

18  C
evidence of the result of the management review?
 

10 Improvement  
 

10.1 General  
 
 how does the  organization determine the opportunities for
improvement as given in clause 9.1,9.2,9.3 and implement any
1  C
necessary actions to achieve the intended outcomes of its
environmental management system?  

10.2 Nonconformity and corrective action  

 
When any nonconformity occurs, how does the organization
reacts to it by taking action to control and correct it and deal
1  C
with the consequences including mitigating adverse
environmental impacts?  
When any nonconformity occurs, does the organization
evaluate the need for action to eliminate the causes of the
nonconformity in order that it does not recur or occur
2 elsewhere?  NC
 PAGE 22

3 How does the organization reviews  the nonconformity?  C

 

How does the organization determine the causes of the

4  C
nonconformity?
 

How does the organization determine similar nonconformity

5  C
exist or could potentially exist?
 

6 How does the organization implemented any action needed?  C

 
How does the organization reviewed the effectiveness of the
corrective action taken?  PAGE 23
7  NC

8 Has the organization made changes to the EMS if necessary?  C

 
Are the corrective actions appropriate to the significance of the
effects of the nonconformities encountered including 
9 environmental impact?  C

 
 Does the organization retain documented information on the
10 nature of the nonconformities and any subsequent actions  C
taken; and the result of any corrective action?  

10.3 Continual improvement  

 
Does the organization continually improve the suitability,
adequacy, and effectiveness of the EMS to enhance
1 environmental performance?  NC  PAGE 23

Group Exercise –
Exercise 15 Role Play – Interview Process 510 Min. for Role Play
60 Minutes for presenting audit findings
30 Minutes for Tutor Review

Role play for Stage 2 audit of Industrial Gas Company will be conducted after Stage 1 audit already
done. It is assumed that the company has taken corrective actions on all NC’s of Stage 1 audit
including scope.
Teams will be same as made for the exercise on Checklist # 15 – Each Team will audit for the
specific 3 functions allotted by tutor.
Tutor will act as Auditee.
Conduct the role play involving each team so that all get a chance for the LIVE AUDIT. And record
at least 2 NC of each function i.e. total 6 NCs.
The group (s) which are not auditing shall observe the other group while auditing and present their
observations and findings at the end of each role play.

Process Area (Department) : HUMAN RESOURCE DEPARTMENT

# CHECK POINT (For Verification) Conclusion Evidences for

(Compliance / NC) NC
(Page # of Apex
Documented
Information)
1 Has the IGC organization determined 4.1 Understanding the Page 08
external and internal issues (like organization and its context
supplier, sub-contractor, outsourcing, in
NC
house work force, factory neighborhood
Opposite Deep Field School) that are
relevant to your purpose and that
affected its ability to achieve the
intended outcomes of your EMS?
2 Has the IGC organization determined 4.2 Understanding the needs Page 08
which of these needs and expectations and expectations of interested
parties
become its compliance obligations?
NC
Since Factory located near to school
premises neighborhood – What is the
local municipal legal compliance
obligation followed in your operation?

Does IGC have any valid license?

Does IGC show us to valid evidence?

3 Has IGC top Management established, 5.2 Policy Page 11
implemented and maintained an
Environmental Policy?
C
4 Is IGC the environmental policy Page 11
maintained as documented information,
communicated within the organization 5.2 Policy
and available to interested parties?
NC

Does IGC show us to documented

information records for EMS policy
communication?

Either Hardcopies & Soft copies?

5 Has IGC top management assigned the 5.3 Organizational Page 11
responsibility and authority for roles, responsibilities
ensuring that the environmental and authorities
management system conforms to the
requirements of ISO14001?
C

6 Has the IGC organization determined 6.1.2 Environmental Page 11

the environmental aspects of its Aspects
activities, products, and services?
C
7 What are the criteria used to determine 6.1.2 Environmental Page 23

its significant environmental aspects? Aspects

Show the List of documented NC

information determination of
environmental aspects and impacts?

The EMS responsibility and authority is

effectively carried out analysis of
significant environmental aspects in
liaise with all the interested parties?

After determination, Whether IGC top

management reviewing all the
significant environmental aspects?
8 What is the mandatory compliance 6.1.3 Compliance Page 34 ,Diesel Noise

obligation license IGC has to operate Obligations

their production?
NC
9 Does IGC have environment objectives 6.2.1 Environmental Page 12
communicated to all interested parties Objectives
and updated as required?
NC
When IGC has updated environment
 objectives and which document?
10 Does IGC–organization EMS 7.2 Competence Page 15

responsibility and authority person has

qualified in ISO 14001:2015 standards?
C
How long he /she working in this
department to representing EMS?
11 What is IGC –organization EMS 7.2 Competence Page 15

responsibility and authority person

qualification?
C
12 IGC –organization EMS responsibility 7.2 Competence Page 15

and authority person conducted any in-

house training for EMS to all the
C
interested parties prior to start up any
process?
13 Is any in-house training record 7.2 Competence Page 15

documented? Show us evidence?

C
14. Does IGC shall ensuring all the 7.3 Awareness Page 16

subcontractor, supplier, outsource – NC

installer well aware of EMS policy and
objective?
15. Prior to subcontract agreement with 7.4.2 Internal Page 14

your supplier, customer and other. communication

(sales/purchase )
C
Whether contract department manager
is enclosing EMS compliance obligation
in LOA (letter of Award)?

Show us one of sample of purchase

order
16 Has the IGC organization communicates 7.4.3 External Page 14

its relevant environmental requirements Communication

to external providers, including
contractors?
C
17 How does the IGC organization provides 8.1 Operation planning Page 17

relevant information and training and control

related to emergency preparedness and NC
response to relevant interested parties
and persons working under its control?
18 How the relevant environment 9.1 Monitoring, Page 17

performance information is measurement, analysis,

communicated both internally and and evaluation
externally? NC
 Is it identified in its communication
process and is as required by its
compliance obligation?

Does your outsource installer receiving

feedback response from the customer
site?

All the EMS performance feedback

form. When will returning back from
you subcontractor?

19 Does IGC receive any customer 9.1.2 Evaluation of Page 18

compliant regarding EMS? Result

NC
When will receive?

20. What is the CA implemented? 10.2 Nonconformity and Page 21

corrective action
NC
21. Does ICG maintain EMS customer 10.2 Nonconformity and Page 21
complaint register? corrective action
NC
22. Does IGC – EMS enhancing any 10.3 Continual Page 22

environmental performance improvement

Whether TOP management promoting NC
EMS?

Process Area (Department) : TRAINING DEPARTMENT

# CHECK POINT (For Conclusion Evidences for

Verification) (Compliance / NC) NC (Page # of
Apex
Documented
Information)
1 Are legal requirements considered in
training needs?
2 Are employees availing themselves of
training opportunities?
3 How are all training programs and
opportunities communicated to
employees?
4 How are training resources identified
internally and externally?
5 How are all training resources
coordinated
6 Are the results of training programs
monitored and evaluated?
7 How far into the future are the needs
projected?
8 Is cost considered in the selection of
training resources?
9 Does your organization measure a
return on investment in training?
10 How do you know training is used back
in the job?
Process Area (Department) :

# CHECK POINT (For Verification) Conclusion Evidences for NC

(Compliance / NC) (Page # of Apex
Documented Information)
1
2
3
4
5
6
7

Questions in this section are designed to test student’s ability to

analyse audit situations, evaluate audit evidence and apply
knowledge of the audit criteria correctly.
Students are also required to demonstrate their ability to write a
well- constructed nonconformity statement that describes clearly
the weakness or failure of the management system, the audit
evidence and the requirement(s) of the standard.
Note to marker:
To raise a nonconformity report when there is not sufficient
audit evidence should be penalized and markers should
normally award zero mark.
To complete an audit investigation where there is sufficient
evidence to report nonconformity can often be supported and
be given marks, normally up to a maximum of 7 marks from a
possible 10 marks.
To be awarded marks a student must state clearly their reason for
thinking there is not yet sufficient evidence to report the findings as
a nonconformity and describe the investigation they would follow to
determine conformity or nonconformity; including audit trails and
audit evidence they would seek and for what purpose, quoting
relevant ISO 14001 clause numbers.
Exceptionally, where there was some obvious ambiguity in the
description of the audit situation or the student demonstrates logical
argument, knowledge of the subject and the answer shows an ability
to make a reasoned judgement leading to a clear determination of
conformity or nonconformity marks up to the maximum available may
be given.
Typical solutions for nonconformities follow a standard method of
presentation: i.e. failure in the system (3 marks for identifying the
failure), audit evidence (3 marks for identifying the audit evidence)
and requirements (1 mark for identifying the ISO 14001 clause and
requirement). Alternative structure or presentation of the
nonconformity by a student is acceptable provided these three
components of the nonconformity are clearly present and the
distribution of marks adhered to.