EMS-LAC-Delegate Activity Manual - VILT - CR - 08 - 2021

Samarth!!
Welcome to your CQI and IRCA Certified
PR315 ISO 14001:2015

Lead Auditor
(Environment Management Systems)
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IRCLASS/TRG/ISO14001/LAC/DAM/Rev JULY-2020 © IRCLASS Systems and Solutions Private Limited 2019 Page 1 of 32
Course Schedule
Day 1
Time Sessions
0830~ Registration
Welcome Note & Course Introduction
Course Aim & Objectives and structure
KNOWLEDGE SESSIONS
Term & definitions as per ISO19011
Types of Audits (1’st Party, 2’nd Party and 3’rd Party Audits)
Auditing Process (Input, Process and Output)
Objectives, Scope and Criteria for (1’st Party, 2’nd Party and 3’rd Party Audits)
Auditing Resources
Roles & Responsibilities & Confidentiality of auditing resources
Audit Methods (1’st Party, 2’nd Party and 3’rd Party Audits)
Stage-1 Audit
Stage-2 Audit
Audit Plan Requirements
Work Documents for Auditing
Opening Meeting
Collecting and verifying Audit Evidences
1815~1830 Allocation Home work on specimen exam paper section-1 …..Closure for day-1
Day 2
Time Sessions
0830 Overview of Day-1
KNOWLEDGE SESSIONS
Effective communication during the audit
Audit Findings
Audit Meetings
Closing meeting
Audit Reports
Audit Follow-up
Benefits of EMS
Terms & Definitions as per ISO14001 2015
P-D-C-A
ISO14001 2015, structure of clauses
Role of the Auditors
Documented Information (To be maintained and to be retained)
SKILLS SESSIONS
Initiating the EMS Audit
Document Review
Audit Plan
1815~1830 Review of Specimen Exam Paper Section-1; Closure for day-2
Allocation Home work on specimen exam paper section-2
Day 3
Time Sessions
SKILLS SESSIONS
Work documents, checklist, Sampling
Opening Meeting
Plant Tour
Auditing Top Management
Auditing Context; Auditing Risk & Opportunities; Auditing ‘Objectives, Compe-
tence and Awareness’; Auditing ‘Operation and performance evaluation’;
Auditing ‘Improvement’….
1815~1830 Review of Specimen Exam Paper Section 2
Closure of Day-3
Day 4
Time Sessions
0830 Overview of Day- 3
SKILLS SESSIONS
Auditing Context; Auditing Risk & Opportunities; Auditing ‘Objectives, Compe-
tence and Awareness’; Auditing ‘Operation and performance evaluation’;
Auditing ‘Improvement’….
Lunch
Identifying Nonconformities
1815~1830 Review of Specimen Exam Paper Section-3
Closure of Day-4
Day 5
Time Sessions
Conducting Closing meeting
Preparing Audit report
Audit Follow-Up
Review of Specimen Exam Paper Section-4
Introduction/readiness to the exam
Open Session
Examination
Course Closure and feedback
1815
PR315 ISO 14001:2015; Lead Auditor
(Environment Management Systems)
Delegate Activity Manual
This material is for the personal use of a delegate attending a course presented by IRCLASS.
No part of the materials may be reproduced, stored electronically, or transmitted in any form or by any
means without the prior written consent of IRCLASS.
CQI-IRCA Accreditation No. 2198
Activity-1: Terms & Definitions related to audit
Purpose: To understand the terms of audit as given in ISO 19011.
Duration: 5 Minutes Introduction+ 15 minutes+10 minutes feedback
Marks for Continuous evaluation: 1-10 (1-2: unacceptable, 3-4: poor, 5-6: acceptable, 7-8: good, 9-10: excellent.
Each delegate shall be graded as per above criteria. These marks to be linked to Continuous assessment Sheet.
Directions:
Audit related terms are given below and the definitions as per ISO 19011 are provided. You have to read
the definition and place the term which it defines against it.
Terms Answer Definition
Audit Crite- outcome of an audit, after consideration of the audit objectives
1 A
ria and all audit findings
2 Competence B organization as a whole or parts thereof being audited
Audit Pro-
3 C Extent and boundaries of an audit
gram
Person who provides specific knowledge or expertise to the au-

4 Audit Scope D
dit team
Audit Con-
5 E Non-fulfilment of a requirement
clusion
set of requirements used as a reference against which objective
6 Auditor F evidence is compared. Set of policies, procedures, or require-
ments
7 Audit Client G person who conducts an audit
Systematic, independent and documented process for obtain-

8 Audit H ing audit evidence and evaluating it objectively to determine
the extent to which the audit criteria are fulfilled
Audit Evi-
9 I ability to apply knowledge and skills to achieve intended results
dence
Results of the evaluation of the collected audit evidence against

10 Audit Team J
audit criteria
Audit Find-
11 K Organization or person requesting an audit
ings
arrangements for set of one or more audits planned for a spe-
12 Auditee L
cific time frame and directed towards a specific purpose
Non- one or more persons conducting an audit, supported if needed
13 M
conformance by technical experts
14 data supporting the existence or verity of something i.e. Rec-
Audit Plan N ords, statement of fact or other information, which are rel-
evant to the audit criteria and verifiable
Technical
15 O Description of the activities and arrangements for an audit
Expert
Activity-2: Difference between first party, second party and third-party audits;
Purpose: Understand various types of the audits and differentiate between them into 1’st, 2’nd and
3’rd party Audits.
Each delegate shall be graded as per above criteria. These marks to be linked to Continuous assessment Sheet.
Direction: Based on your understanding of an audit identify key differences in 1’st, 2’nd and 3’rd party au-
dits. You can write your answer on the flipchart/notepad.
Activity-3 To understand the audit activities
Purpose: Understand sequence of activities related to audits.
Marks for Continuous evaluation: 1-10 (1-2: unacceptable, 3-4: poor, 5-6: acceptable, 7-8: good, 9-10: ex-
cellent.
Each delegate shall be graded as per above criteria. These marks to be linked to Continuous assess-
ment Sheet.
Direction: TASK-A: Fastest Finger first………. Refer the activities mentioned below with respect to typi-
cal audit, please try and arrange these activities in chronological order.
AUDIT ACTIVITIES CHRONOLOGICAL ORDER Subgroup (As per task-B)

Distributing the audit report
Assigning the work to the audit team
Conducting the opening meeting
Establishing the initial contact with the auditee
Collection and verification of information
Prepare work document
Conducting the audit follow up
Conducting the closing meeting
Preparing the audit plan
Audit findings
Roles responsibility of guides and observer
Determining the feasibility of the audit
Audit conclusions
Communication during the audit
Document review
Preparing the audit report
Task-B …. Subgroup above activities into following categories
Initiating the audit; preparing the audit activities; conducting the audit activities; conducting & distributing
the audit report
Activity-4: Difference in Methodology of 1’st Party, 2’nd Party & 3’rd party audits
Purpose: Understand key difference amongst three types of the audit w.r.t. approach, time, meth-
odology, and objectives
cellent.
Each delegate shall be graded as per above criteria. These marks to be linked to Continuous assess-
ment Sheet.
Direction: As per activity #2 you already know the difference between first party; second party
and third-party audits; now further classify them w.r.t. approach, time, methodolo-
gy, and objectives.
Session # Day Duration Training method
After session 6/ Actvity-4 1 00:15:00 Tea Break
Activity-5: Determine Audit Objectives, Scope and Criteria

Purpose: To Outline the Audit Objectives, Scope and Criteria for 1’st 2’nd and 3’rd party audits.
Duration: 5 Minutes Introduction+ 15 minutes+10 minutes feedback.
cellent.
Each delegate shall be graded as per above criteria. These marks to be linked to Continuous assessment
Sheet
Direction: Refer the Activities 2 & 4. You have already understood the 1’st; 2’nd and 3’rd party audits.
Now identify the AUDIT OBJECTIVES, SCOPE AND CRITERIA laid down for each type of the audit.
AUDIT OBJECTIVES SCOPE CRITERIA
1’st party
2’nd party
3’rd party
Activity-6: Responsibility and authority of the personnel associated with audit ac-
tivities
Purpose: Determine the Responsibility and Authority of Team Leaders, Auditors, Guides, Observers,
and Auditee & Client.
Duration: 10 minutes Introduction +20 minutes+15 minutes feedback
Marks for Continuous evaluation: 1-10 (1-2: unacceptable, 3-4: poor, 5-6: acceptable, 7-8: good, 9-10: excel-
lent.
Sheet
Task: Read the statement given below and place them under appropriate box/es; so as to acquire
the knowledge about the responsibility & authority of audit personnel. Reference
19011:2018
1. …deny observers from taking part in certain audit activities.

2. ….assist the audit team
3. ….assisting the auditors in identifying individuals to participate in interviews and confirming timings;
4. ….ensuring that rules concerning location safety and security procedures are known and respected
by the audit team members and observers.
5. ….witnessing the audit on behalf of the auditee
6. ……..providing clarification or assisting in collecting information.
7. …….Establishing initial contact with the auditee
8. assign to each team member responsibility for auditing specific processes, activities, functions or lo-
cations.
9. ……….collect and review the information relevant to their audit assignments and prepare work doc-
uments,
10. ………..communicate the progress of the audit and any concerns to the auditee and audit client,
11. ……..Any concern about an issue outside the audit scope should be noted and reported to
12. ……Conducting the closing meeting
13. ….should agree on the time frame for an action plan to address audit findings.
14. ….should advise the auditee of situations encountered during the audit that may decrease the confi-
dence that can be placed in the audit conclusion
15. …..report the audit results in accordance with the audit programme procedures
16. give permission and access to those parts of the audit site, to be visited in accordance with the audit
scope;
17. ….avoid any unnecessary disturbance of the operational processes
18. ……reach agreement on whether the audit should be interrupted, rescheduled or continued;
19. ……..if taking photographs or video material, ask for authorization from management in advance and
consider security and confidentiality matters and avoid taking photographs of individual persons
without their permission;
20. …..Selecting the audit team members
21. …..operate under the direction of an auditor, but should not act as auditors.
22. …..if a conflict of interest or competence issue arises, it should be discussed with…..
23. ……should develop, maintain and improve their competence through continual professional devel-
opment and regular participation in audits
24. ….should exhibit professional behaviour during the performance of audit activities,
25. ….plan and organize the work effectively;
26. ….prioritize and focus on matters of significance understand and consider the experts’ opinions
27. …confirm the sufficiency and appropriateness of audit evidence to support audit findings and conclu-
sions
28. …use work documents to record audit activities
29. ….maintain the confidentiality and security of information, data, documents and records
30. ….preventing and resolving conflicts, as necessary;
31. ….Those documents involving confidential or proprietary information should be suitably safeguarded
at all times by the……….
32. …..sought confirmation to the agreement of all parties to the audit plan;
33. ….acknowledge the audit report…
34. …..accept the nonconformities as closed….
35. ….provide specific knowledge or expertise related to the organization, the process or activity to be
audited,or language or culture.
Team Leaders, Auditors, Guides Observers, Auditee Client.

After session 8/Activity-6 1 00:45:00 Lunch Break
Activity-7: To understand different audit methods,
Duration: 5 Minutes Introduction+ 15 minutes+10 minutes feedback.
cellent.
Sheet
Direction to Delegates: Study the previous Activities-2 & 4 and identify what method were used by the var-
ious auditors…also list down +ve and -ve points of these methods.
Audit
Method On-site Remote
Human Interaction
Non-human Interaction
Activity-8: To understand the audit plan requirements,
Duration: 5 minutes Introduction + 45 Minutes Presentation + 10 minutes feedback
cellent.
Sheet
Direction to Delelgates: Refer ISO19011 clause # 6.3.2; and prepare the structure for Audit Plan based on
these requirements.
Also identify the risk in achieving the Audit Objectives (With respect to Objective, Scope, Criteria, locations
etc.) refer clause 6.3.2.2 Audit planning details ISO19011
Activity-9: Opening Meeting
cellent.
Sheet
Direction to Delegates: Refer ISO19011 clause 6.4.3 - Conducting the opening meeting, and prepare your
points for the coverage of opening meeting presentation.

After session 11 1 00:15:00 Tea Break
Activity-10: Capturing & verifying Audit Evidences
cellent.
Sheet
Direction to Delegates: Refer ISO19011 clause 6.4.7 – methods of collecting information are INTERVIEW,
OBSERVATION and REVIEW OF DOCUMENTS & RECORDS… capture how to convert various methods of col-
lecting the information into Audit Evidence………
methods of collecting infor-

How to convert it into Audit evidence
mation
INTERVIEW
OBSERVATION
REVIEW OF DOCUMENTS and

RECORDS

After session 13 1 ----- End of day-1
SOLVE SECTION-1 OF SPECIMEN EXAMINATION PAPER AS A HOME-WORK and DISCUSS THE HOME WORK
AT THE END DAY-2, likewise solve Section-2 as a home work on day-2 and discuss it at the end of day-
3……last section i.e section-4 shall be discussed on day-4.
DAY-2
Activity-11: Questioning Technique
Duration: 05 minutes Introduction +15 Minutes+10 minutes Feedback
cellent.
Sheet
TASK:
Role play will be there
One team will ask questions to their auditee (selected from another team)
From the learning of various questioning technique now be ready for the interview of the person, tutor will
ask you to pose various types of question (Open, closed, probing, leading etc.) to your auditee….
Scenario –
1. Environment Incident Investigation.
2. Chemical supplier changed because another supplier has offered good discount.
3. There are 10 nonconformities in internal audit.
4. Training to workmen.
Activity-12: Follow up audit scenario

Marks for Continuous evaluation: 1-10 (1-2: unacceptable, 3-4: poor, 5-6: acceptable, 7-8: good, 9-10: excel-
lent.
Sheet
Direction to Delegates: Recollect the leaning from today’s session and answer the questions as follows;
student can note down their answer in the flipchart/notepad. This is group exercise
1. Who decides the follow up audit?
2. What could be the Objective, Scope, and duration of follow up audit?
3. Who will conduct this follow up audit?
4. Does it require audit plan?
5. Opening meeting required?
6. What will be the possible outcome from the follow-up audit?
Activity 13: Environment Management System Terms & Definitions
Duration: 10 Minutes+ 5 minutes Feedback

Sheet
Directions:
Individually, review the terms and definitions and match the definition against the appropriate term.
Refer Clause 3 of EMS ISO 14001:2015.
Environment part of the management system used to manage environmental aspects,
1 A fulfil compliance obligations , and address risks and opportunities.
environmental as- change to the environment , whether adverse or beneficial, wholly or par-
2 B tially resulting from an organization’s environmental aspects
pect
environmental im- element of an organization’s activities or products or services that inter-
3 C acts or can interact with the environment
pact
prevention of pollu- extent to which planned activities are realized and planned results
4 D achieved
tion
monitoring part of the management system used to manage environmental aspects
5 E fulfil compliance obligations, and address risks and opportunities
Requirement legal requirements that an organization has to comply with and other
6 F
requirements that an organization has to or chooses to comply with
compliance obliga- determining the status of a system, a process or an activity
7 G
tions
environmental need or expectation that is stated, generally implied or obligatory
management sys- 8 H
tem
Effectiveness intentions and direction of an organization related to environmental per-
9 I formance, as formally expressed by its top management
environmental poli- result to be achieved
10 J
cy
Objective use of processes , practices, techniques, materials, products, services or
energy to avoid, reduce or control (separately or in combination) the crea-
11 K
tion, emission or discharge of any type of pollutant or waste, in order to
reduce adverse environmental impacts.
Audit set of interrelated or interacting activities which transforms inputs into
12 L
outputs
interested party 13 M ability to apply knowledge and skills to achieve intended results
opportunities person or organization that can affect, be affected by, or perceive itself to
14 N be affected by a decision or activity
life cycle information required to be controlled and maintained by an organization
15 O and the medium on which it is contained
documented infor- consecutive and interlinked stages of a product (or service) system, from
mation 16 P raw material acquisition or generation from natural resources to final dis-
posal
process 17 Q measurable result
Performance person or group of people who directs and controls an organization at the
18 R
highest level
competence 19 S potential beneficial effects
top management systematic, independent and documented process for obtaining audit evi-
20 T dence and evaluating it objectively to determine the extent to which the
audit criteria are fulfilled
After session 20/ACTVITY-13 2 00:15:00 Tea Break
Activity-14: Understanding EDIM (Establishment, Documentation, Implementation

& maintenance of EMS
Purpose:
Establishment of EMS IS014001:2015
Sheet
Directions to Delegates:
Fastest finger first….. Please arrange following statement in correct chronological way
EMS objectives
Planning
External issues
Interested parties
Management review
Risk assessment
Monitoring & measurement
Corrective action
Resource provision
Operations
Internal audit
Continual improvement
Internal issues
Strategic direction
Activity 15: Understanding audit trail
Purpose: How to generate audit trail while auditing ISO14001 2015 requirements
cellent.
Sheet
Direction to delegate:
During a site tour of ABC Dyeing, the auditor notices loading of empty chemical containers to a truck in Chemi-
cal Stores. Upon examination, the auditor finds that these are empty containers that once contained hazardous
chemicals such as Hydrogen Peroxide, Acetic acid and Sulphuric acid. Auditor also notices that these containers
were not emptied fully thus leaving residual material inside. The company has listed ‘disposal of empty chemi-
cal containers’ as one of its significant environmental aspects. When asked about the correct procedure for
disposal of empty chemical containers, the Stores Manager shows the Procedure EP-CHS-18 Detoxification and
Disposal of Chemical Containers, Issue 2, which requires that the containers must be fully emptied and triple
washed with water before disposal. Stores Manager also informs the auditor that these activities are now car-
ried out by contractors. When the auditor asked the contract supervisor about this requirement, he replied
that they were not aware of this requirement and every month they are loading the chemical containers in the
same manner.
Now try to link this situation to maximum number of ISO 14001:2015 clauses, which you would like to verify as
a EMS auditor.
After session 22/Actvity-15 2 00:45:00 Lunch Break
Activity 16: Understanding EMS documented information

Purpose: What are the documents and records required by ISO 14001 2015

cellent.
Sheet
Direction to Delegate:
Start from clause number 4 to clause number 10 of ISO14001 2015 requirements, search for the phrases,
“the organization shall establish, implement and maintain a process”; “documented information to be
maintained” and “documented information to be retained.”. And list down these processes, documents,
records and corresponding clause number
Clause Number establish, implement and documented information documented information

maintain a process to be maintained to be retained
Activity 17: Initiating the audit.
Purpose: To acquire skill for initiating the audit.

cellent.
Sheet
Directions:
You are working for a certification body as programme manager ….and received a request to plan surveil-
lance audit…. for the automotive client who has two manufacturing units one at Mumbai and other at
Chennai, head office is in Bangalore, this office gives support to both the manufacturing sites for activities
like Sales & marketing, Design Centre, Strategic Planning, Central purchase and corporate Human Resource
department,
Previous audit was certification audit and both manufacturing sites had received 4 NC s each and Bangalore
support function 2 NCs,
What information you will seek from the and Auditee Management, Audit Client, Design and Development
centre….
Design and Development

Auditee Management, Audit Client
centre
Activity 18: Document Review

Purpose: Conduct document review for SIGMA manufacturing (A sample case study)
Duration: : 05 minutes Introduction +45 Minutes+10 minutes Feedback

cellent.
Sheet
Directions: Refer Sigma Manufacturing Company case study document and conduct document
review
After session 25/ACTVITY-18 2 00:15:00 Tea Break
Activity 19: AUDIT PLAN

Purpose:
To test the skill for preparing the ON-SITE audit plan based on the Criteria, Scope and objectives of an audit.
Duration: : 05 minutes Introduction +60 Minutes+25 minutes Feedback

cellent.
Sheet
Directions:
Refer Sigma Manufacturing Company documents, use template made in the activity number 8 and prepare
the audit plan. This is for Stage-2 certification audit, consider two auditors two days.
Also Highlight Risks to achieving the audit objectives because of poor audit planning.
And Risks to the auditee created by performing the audit.
Refer Clause # 6.3.2.1 & 6.3.2.2 of ISO19011:2018

After session 27 /ACTIVITY-19 2 ----- End of day-2
Activity 20: Work Document

Purpose: TO test the skill for preparing the audit checklist for TOP MANAGEMENT
Duration: : 05 minutes Introduction +40 Minutes+15 minutes Feedback.
Sheet
Directions:
This will be group activity.
Prepare a checklist to audit top management of Sigma Manufacturing Company (A sample case study)
Please consider clause 5 & Clause 9.2.2 and 9.2.3 of ISO14001:2015 for preparing the checklist.
Activity 21: Opening Meeting
Duration: 05 minutes Introduction +40 Minutes+15 minutes Feedback.
Sheet
Purpose: To practice and test the skills to conduct an opening meeting for Environment Management Sys-
tem ISO14001 2015 audit for stage-2 audit.
Directions:
This is group activity
Plan and carry out the opening meeting.
In accordance with your audit plan
Please refer the ISO19011 section 6.4.2 for the agenda and coverage of opening meeting.
Be ready for the presenting opening meeting.
While one group is conducting the meeting, other groups will have to take notes and ready for your com-
ment during class discussion.
After session 30 /Activity-21 3 00:15:00 Tea Break
Activity 22: How to conduct effective plant tour

Purpose: TO test the skill required for a site tour and collect evidences while conducting the round.
Sheet
Directions:
Refer the PHOTOGRAPH OF SOME OF THE AREAS OF “SIGMA MANUFACTURING COMPANY”; for this re-
fer page no 8 ,9 and 10 of case study “SIGMA MANUFACTURING COMPANY”. Observe these photographs
and make your observation which will be used in the later stage of the audit as audit trail.
OR
1. In a group have discussion on the following points and then ready with your presentation…
2. Who all should participate in the Plant Tour?
3. Who should accompany the audit team while taking plant tour from client orgnization, what is his/her
role?
4. Any precautions with respect to Safety, Security and emergency norms?
5. How much time shall be spent on plant tour?
6. What to focus during plant tour?
7. How to take best help from Industry Expert/Technical Expert?
8. After plant tour is it necessary to have meeting amongst the team members?
9. How to reflect the plant tour into subsequent audits?
Activity 23: Auditing Top management

Purpose: TO test the skill required, as an auditor, to interview and audit top management of
an orgnization.

Sheet
Directions:
This is group activity.
Interview top management of Sigma Manufacturing Company (A sample case study).
Tutor will play the role of top management.
Each group will have to ask questions in turn.
When you are not asking the question please make notes and gather audit evidences. This information may
be useful for subsequent audit.
Then while class room discussion please share your information and explain to class how are you going to
use this information in the subsequent audit.
Please also discuss the attributes of Auditor as well as Auditee.
Audit Objective: Stage-2 audit of Sigma Manufacturing Company
Audit Criteria: ISO14001 2015 & Documented information of Sigma Manufacturing Company
Scope: Entire “Sigma Manufacturing Company” activities.
Direction: Audit evidences gathered during this shall be used for preparation of audit report.

After session 32/Activity-23 3 00:45:00 Lunch Break
From Activity 24, Each audit team needs to interview auditee tutor during role play covering all applica-
ble ISO14001 clauses across the specific departments assigned to the team by the tutor.
Activity 24: Auditing Context, Risk & opportunity, Support, Operation, Per-
formance evaluation and Improvement, related to various departments of case
study “Sigma Manufacturing Company”.
Purpose: TO test the skill required, as an auditor, auditing Context.
Duration: Total time spread over 11.30 Hrs (Spread over 2 days)
Sheet
Each team will get sufficient time to prepare checklist for their allocated department and then once class is
ready auditee tutor shall be audited, one after the other team
After every department’s audit is over feedback session is planned by the Tutor.
Directions:
Audit the department allocated to you by a Tutor.
Interview the tutor Auditee.
While delegates of other teams are not actively participating in the simulated audit, they should be observ-
ing audits of other groups for offering subsequent comments on how audit could have been done better,
Then while class room discussion please share your information and explain to class how are you going to
use this information in the subsequent audit.

Scope: Entire “Sigma Manufacturing Company “activities.
Direction:
Audit evidences gathered during this shall be used for preparation of audit report.
Risk based auditing:

 Demonstrates priority is given to questioning risks and opportunities identified by the orgnization
with focus on the processes which directly impact the safety of the workers
 Prioritization of high risk area and focusing the auditing to risk mitigation, opportunities to reduce
the risk and operational control
 Monitoring of the risks; which are highest concern to business and strategic direction; by the organ-
ization’s top management;
 Identification and focusing the operational control commensurate with the risk rating.
After session 34 3 --- End of day-3
Day-4

36 4 00:15:00 Tea Break
36 4 00:45:00 Lunch Break
36 4 00:15:00 Tea Break
37 4 End of Day-4
Activity 25: Nonconformity and closure

Purpose: To test the skill required, as an auditor, to identify and grade the nonconformity
based on the its impact to system and customer.
cellent.
Sheet
Directions:
Each group has identified nonconformity/es during audit of their allocated department from “Sigma
Manufacturing Company” case study.
Please write the nonconformity into 3 elements; delegates have completed the audit of SMC; and identi-
fied few nonconformities. Now delegate have to write a nonconformity as per following way;
1. Statement of Nonconformity.
2. Requirement of ISO14001:2015
3. Objective Evidences against the nonconformity.
Audit Objective: Stage-2 audit of “Sigma Manufacturing Company”

Audit Criteria: ISO14001 2015 & Documented information of “Sigma Manufacturing Company”
Scope: Entire “Sigma Manufacturing Company” activities.
Direction: Audit evidences gathered during this shall be used for preparation of audit report.
Refer the below mentioned NCs along with proposed corrective actions from Sigma Manufacturing Com-
pany. These NCs are agreed with the Tutor-Auditee. Now, in your group please review these corrective
actions and arrive at the NC closure decision ( Can be Closed/Cannot be closed)
Corrective Action Plan
Stage-2 Audit NC by
SMC STAGE-2 NC # :CB AD-01 Date: XX-YY
a Certification Body
CLAUSE # 8.1 Operational Control
A] Problem Statement: The process of Life Cycle Assessment for the material and process not effec-
tive
Process Owner : Assembly Supplier representative:
B] Correction: Containment Action/s. (Immediate actions taken)
Supervisor informed to take a meeting of all the Applicable for process and product
workmen and identify actions on life cycle impact
of all material and processes
C] Root Cause Analysis: (Attach separate sheet for problem solving technique used to arrive at Root cause (s).
Root Cause (s):
Workmen could not able to identify the impact on environment

Training program not identified on life cycle analysis.
internal expert not available.
External trainer too costly
D] Proposed Corrective Action/(s) (PCA) E] Corrective Action implemented / Initiated:
Training to be provided in next financial HR to identify internal trainer.
E] Changes made in the Documents / systems (kindly attach the proof)
Document Document
1 NIL 3
2 4
F] Effectiveness of corrective action to prevent recurrence of cause of NC.

NC Reviewed and Accepted by
Stage-2 Audit NC by
SMC STAGE-2 NC # :CB AD-02 Date: xx-yy
Clause 10.2 Not applicable MARKETING CC- nil
A] Problem Statement:
Interested party complaints not addressed through corrective actions as per procedure SMCP-011 ISSUE--0.3…
Process Owner : Logistics Supplier representative: Head Logistics

Customer complaint to be immediately sorted out All customers are to be immediately informed about the ac-
tions
Root Cause (s):
1. There are total “5” concerns reported from interested parties

2. No mechanism to initiate action plan.
3. No review from leadership
Review of interested party concerns to immediately All corrective actions are resolved through proper
resolved under top management guidance and review corrective action plan
Document Document
1 NIL 3
2 4

.
Stage-2 Audit NC by
CLAUSE # 6.2.2 Legal Evaluation CC- nil
1. A] Problem Statement: Legal requirements are not met ( refer highlighted text in legal requirements)
Process Owner : Legal Evaluation Supplier representative: Legal Evaluation

All requirements related to legal to be All resources are to be provided to meet the legal requirements.
complied immediately.
Root Cause (s):
Why-1 – Verification of compliance to legal requirements not full proof.

WHY-2 – there is no method to review legal requirement by top management.
Why-3 – There was inadequate resourced provided by top management.
D] Proposed Corrective Action/(s) (PCA). E] Corrective Action implemented / Initiated:
Software LEGALTRACKER to be installed, with auto re- Software LEGALTRACKER to be installed, with auto remind-
minder facility. er facility.
Top management review and Environment committee Top management review and Environement committee
meeting agenda to be modified to incorporate Status on meeting agenda modified to incorporate Status on Legal
Legal compliance. compliance.
Separate annual budget to be made available for legal Separate annual budget made available for legal compli-
compliance. ance.
Training to be provided on Legal requirements Last two months review from MRM and Safety meeting in-
dicate no further violation on legal
Trained all workmen
Document Document
1 LEGALTRACKER reference made in safety manual 3
2 MRM and Safety Meeting Agenda. 4


Stage-2 Audit NC by
CLAUSE # 8.2 LEGAL CC- nil
A] Problem Statement: Emergency preparedness (SMCR7.1.1) not effective
Process Owner : LEGAL Supplier representative: LEGAL

Mail sent to all the employees All employees acknowledged the mail, so they will follow the mail
Root Cause (s):

Mail communication not sent to employees.
If emergency norms not followed salary cut will be initiated as a punishment

Strict warning to all employees Strict warning mail dt. XX-YY

Document Document
HR policy to be amended to include punishment
1 3
clause
2 4
Stage-2 Audit NC by
SMC STAGE-2 NC # :CB AD-05 Date: xx-YY
CLAUSE # 6.1.2 LOGISTICS CC- nil
A] Problem Statement:
Significant Aspect SMCR004 is not effective; diesel consumption not reduced although target shown met.
Process Owner : INTERNAL AUDITS Supplier representative: HEAD SYSTEMS

All vehicles to be strictly monitored for die- Diesel consumption for Genset also to be monitered.
sel consumption
Root Cause (s):

inadvertently missed monitoring of objectives
Process exercising control over significant aspect not effective
D] Proposed Corrective Action/(s) (PCA) : E] Corrective Action implemented / Initiated:

Monitoring of Significant aspect Diesel consumption after Sept-xx start recuding.

Document Document
1 3
2 4
Activity 26: Closing meeting
Purpose:
TO test the skill required, as a team leader to plan and conduct closing meeting.
Sheet
Directions:
Please prepare for the closing meeting based on the requirements of ISO19011.
Tutor will select one delegate as team leader.
This closing meeting is for the stage-2 certification audit of Sigma Manufacturing Company
All other class member will have to prepare minimum one nonconformity based on their audit finding and
be ready to present it when your team leader will prompt you for the during the closing meeting.

Scope: Entire Sigma Manufacturing Company

After 40/Activity-26 5 00:15:00 Tea Break
Activity 27: Audit Report

Purpose: To test the skill required, to prepare audit report, based on the conclusions and recom-
mendation given in the closing meeting
Duration: : 05 minutes Introduction +45 Minutes+10 minutes Feedback.

Sheet
Directions:
Please prepare the audit summary report based on the Sigma Manufacturing Company’s audit.
Then hand it over to the tutor.
Please use A4/Note pad for the summary report.
Please refer ISO19011 requirements related to Audit Report.
Activity 28: Audit Follow-up

Purpose: To test the skill required, to evaluate proposed corrective actions received from the
client Orgnization, as part of your recent audit on them.
To understand the various aspects of NC closure.

Slide # 87
Sheet
Directions:
You have conducted audit of Sigma Manufacturing Company for stage-2 certification audit.
Refer the nonconformities raised by a team on Sigma Manufacturing Company along with the Sigma Manu-
facturing Company’s response in the form of Correction and corrective action.
Refer NC scenarios/NCs given in the Activity-25, now review the Response given by the client.
Your response shall be specific whether you as an Auditor accept the Action plan, why/why-not?
Activity 29: Specimen examination paper

Purpose:
To attempt specimen exam paper for balance activities.
Duration: 15 minutes Class discussions
Directions:
This is individual exercise.
SOLVE SECTION-1 OF SPECIMEN EXAMINATION PAPER AS A HOME-WORK and DISCUSS THE HOME WORK
AT THE END DAY-2, likewise solve Section-2 as a home work on day-2 and discuss it at the end of day-
3……last section i.e section-4 shall be discussed on day-4.
Attempt and complete balance part of the specimen examination paper.
After 43/Activity-29 5 00:45:00 Lunch Break

After 44 (IRCA registration) 5 00:15:00 Tea Break

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Samarth!!

Welcome to your CQI and IRCA Certified

PR315 ISO 14001:2015

About the CQI and IRCA

Find out more about the CQI and IRCA at www.quality.org

Delegate Activity Manual

CQI-IRCA Accreditation No. 2198

Purpose: To understand the terms of audit as given in ISO 19011.

Duration: 5 Minutes Introduction+ 15 minutes+10 minutes feedback

2 Competence B organization as a whole or parts thereof being audited

Person who provides specific knowledge or expertise to the au-

7 Audit Client G person who conducts an audit

Systematic, independent and documented process for obtain-

Results of the evaluation of the collected audit evidence against

AUDIT ACTIVITIES CHRONOLOGICAL ORDER Subgroup (As per task-B)

Task-B …. Subgroup above activities into following categories

Activity-5: Determine Audit Objectives, Scope and Criteria

AUDIT OBJECTIVES SCOPE CRITERIA

1. …deny observers from taking part in certain audit activities.

Team Leaders, Auditors, Guides Observers, Auditee Client.

Session # Day Duration Training method

Activity-9: Opening Meeting

Duration: 5 minutes Introduction + 45 Minutes Presentation + 10 minutes feedback

Session # Day Duration Training method

Duration: 5 minutes Introduction + 30 Minutes Presentation + 10 minutes feedback

methods of collecting infor-

REVIEW OF DOCUMENTS and

Session # Day Duration Training method

Role play will be there

Activity-12: Follow up audit scenario

1. Who decides the follow up audit?

2. What could be the Objective, Scope, and duration of follow up audit?

3. Who will conduct this follow up audit?

4. Does it require audit plan?

5. Opening meeting required?

6. What will be the possible outcome from the follow-up audit?

Duration: 10 Minutes+ 5 minutes Feedback

Activity-14: Understanding EDIM (Establishment, Documentation, Implementation

Duration: 05 minutes Introduction +15 Minutes+10 minutes Feedback

Duration: 05 minutes Introduction +45 Minutes+10 minutes Feedback

Activity 16: Understanding EMS documented information

Duration: 05 minutes Introduction +30 Minutes+10 minutes Feedback

Clause Number establish, implement and documented information documented information

Duration: 05 minutes Introduction +20 Minutes+05 minutes Feedback

Design and Development

Activity 18: Document Review

Duration: : 05 minutes Introduction +45 Minutes+10 minutes Feedback

Activity 19: AUDIT PLAN

Duration: : 05 minutes Introduction +60 Minutes+25 minutes Feedback

Refer Clause # 6.3.2.1 & 6.3.2.2 of ISO19011:2018

Session # Day Duration Training method

Activity 20: Work Document

Activity 22: How to conduct effective plant tour

Duration: 05 minutes Introduction +45 Minutes+10 minutes Feedback.

Activity 23: Auditing Top management

Duration: 05 minutes Introduction +45 Minutes+10 minutes Feedback.

Please also discuss the attributes of Auditor as well as Auditee.

Audit Objective: Stage-2 audit of Sigma Manufacturing Company

Scope: Entire “Sigma Manufacturing Company” activities.

Session # Day Duration Training method

Interview the tutor Auditee.

Audit Objective: Stage-2 audit of Sigma Manufacturing Company

Risk based auditing: