Course Contents

1. EMS Introduction and Concepts • Purpose and benefits of

Environment

• Background of ISO 14000 series of standards. High Level Structure

• Environmental Management System requirements based on ISO

14001

• Sustainability and Pillars for Environment

• Aspect / Impact understanding

• Environmental documentation

Management System including understanding of the basic EMS

principles.
2. Auditing Principles • Auditing Objectives
• Types of Audits
• Process Approach

3. Roles and responsibility of Auditors • The Lead auditors’

responsibilities
• The Auditees’ responsibilities
• Auditors Qualification and Certifications
4. Planning an Audit • Pre-Audit planning
• Reviewing documentation
• Developing an audit plan
• Preparing checklists or working documents
• Communication factors

5. Conducting an audit • Opening meeting

• Collecting objective/audit evidence
• Effective interviewing techniques
• Identifying and recording nonconformities
• Preparing for the closing meeting

6. Reporting audit results • Conducting the closing meeting

• Preparing the audit report
• Distributing the audit report

7. Corrective Actions • Corrective Action responsibilities

• Follow up Scheduling
• Monitoring Corrective Action

8. ISO 14001 Registration • The registration process

• Surveillance audits

9. Exercises/Roleplay (50% of Course time)

10. Written Examination

Date: 19.09.2019

International Standard, the following verbal forms are used: — (Indicator)

“shall” indicates a requirement;

— “should” indicates a recommendation;

— “may” indicates a permission;

— “can” indicates a possibility or a capability

Management system
Set of interrelated or interacting elements of an organization to establish policies and objectives
and processes to achieve those objectives

Environmental management system

Part of the management system used to manage environmental aspects fulfil compliance obligations
and address

Environmental policy
Intentions and direction of an organization related to environmental performance as formally
expressed by its top management

Top management
Person or group of people who directs and controls an organization at the highest level

Interested party

Person or organization that can affect, be affected by, or perceive itself to be affected by a decision
or activity

Environment

surroundings in which an organization operates, including air, water, land, natural resources, flora,
fauna human and their interrelationship

Environmental aspect

Element of an organization’s activities or products or services that interacts or can interact with the
environment

Environmental impact

Change to the environment whether adverse or beneficial, wholly or partially resulting from an
organization environmental Aspect

Environmental objective

Objective set by the organization consistent with its environmental policy

Compliance obligations

Legal requirements and other requirements (admitted term) legal requirements that an organization
has to comply with and other requirements that

Risk

Effect of uncertainty

Risks and opportunities

Potential adverse effects (threats) and potential beneficial effects (opportunities)

Life cycle

Consecutive and interlinked stages of a product (or service) system, from raw material acquisition or
generation from natural resources to final disposal

Conformity

Fulfilment of a requirement

Nonconformity

Non-fulfilment of a requirement

Corrective action

Action to eliminate the cause of a nonconformity and to prevent recurrence

Continual improvement

Recurring activity to enhance performance

Environmental Performance

Performance related to the Management of Environmental aspect.

 What is an audit?

 Systematic, independent and documented process for obtaining audit evidence and
evaluating it objectively to determine the extent to which audit criteria are fulfilled
(definition from ISO

Aspect
Producing of CO2, Generation of solid waste, Consumption of water, Use of electricity, Use
of detergent, Food waste, Electric heater, Use air freshener, producing of dust, Use of paper.

Impacts
Conservation of resources, Land use, Depletion of ground water and surface water supply,
Water pollution, Land fill, Electric shock and Vapor, Depletion of ground water and surface
water supply, Soil pollution, water pollution, Consumption of Resources

Audit Documents
Audit plan, Checklists, Forms, Standards, Guidelines, and EMS documents etc.

EMS Related Documents

EMS Policy, EMS Procedures, Need & Expectation of interested parties,
Environmental Aspect & Impact, Compliance Evaluation, Law, regulations, other
requirements, Records (if require), Previous audits reports, EMS Manual,

Lead Auditor Responsibility

Manage the program and team

Assist in team selection
Preparation of programme/checklist
Control over the team's work
Interfacing with auditee management
Preparation/submission of audit report
Audit

Auditor Responsibility
Communicate audit requirements
Be effective and efficient
Document observations
Evaluate the assigned activities against the specified criteria
Report results
Verify corrective action effectiveness
Remain within scope
Support other team members

Good Auditor Attribute

Auditee Representative

NC CLOSE Q.1
Auditee Representative – Mr X Auditor – Mr. Z
Date- 25.02,2022 Report No- 01
Standard Ref- 7.3 ISO 14001 Document Ref- CIL-EMS-HR-04

NC (Minor) – Screen cleaner don’t get training about Environment issue related with his
tak.

Root Cause- Resources (Trainer) was not available for conducting training.
Immediate action (Correction) - Organization has arranged training for cleaner on
30.2.22

Preventive action (Corrective action) – Organization has appointed a lead auditor as

a trainer.
Corrective action verified by – Auditor Mr. z Date- 20.03.2022
Initiator sign…………………….. Date - 25.02.2022
( Lead Auditor)

Auditee Representative – Mr X Auditor – Mr. Z

Date- 25.02,2022 Report No- 02
Standard Ref- 6.1.2 ISO 14001 Document Ref- CIL-EMS--06
NC (Minor) – it was noted through document review and Management interview that
management identified ISO 14001:2015 EMS Environmental Aspect but they did not
identified Environmental Impact.

Root Cause- Lack of knowledge of ISO 14001 Standard.

Immediate action (Correction) - Environmental Impact is identified proper way on
Preventive action (Corrective action) – Management has arranged training on ISO
14001 Standard requirement.
Corrective action verified by – Auditor Mr. v Date- 20.03.2022
Initiator sign…………………….. Date - 25.02.2022

Auditee Representative – Mr X Auditor – Mr. Z

Date- 25.02,2022 Report No- 03
Standard Ref- 6.1.3 ISO 14001:2015 Document Ref- CIL-EMS--06

NC (Major) – The screen cleaner clean the screen on the open drain which is not
connected with ETP and final discharge directly to Meghna River. It is violation of
Bangladesh Environmental rule 1997.

Root Cause- Drainages Designer idea was wrong about Environmental Management
System

Immediate action (Correction) – Management decide to connect drain with ETP

within 7 day.

Preventive action (Corrective action) – Management will appoint proper

knowledgeable designer on ISO 14001 Standard for future activity.
Corrective action verified by – Auditor Mr. x Date- 20.03.2022
Initiator sign…………………….. Date - 25.03.2022

Auditee Representative – Mr X Auditor – Mr. Z

Date- 25.02,2022 Report No- 04
Auditee Representative

Standard Ref- 6.1.3 ISO 14001:2015 Document Ref- CIL-EMS--06

NC (Minor) – Environmental policy was not hanged if front of gate external interested
parties.

Root Cause- Short of fund

Immediate action (Correction) – Management has decided to hang environmental
policy in front of gate.

Preventive action (Corrective action) – Management involved to create fund for

Auditee Representative
Environmental Management System. .
Corrective action verified by – Auditor Mr. x Date- 20.03.2022
Initiator sign…………………….. Date - 25.03.2022

NC WRITING Q.2
xyz Company NC No- 01
Training and Development Department Clause- EMS ISO 14001:2015 7.3

NC (Minor) – Screen cleaner don’t get training about Environment issue related with his
task.

Auditor

xyz Company NC No- 02

Training and Development Department Clause- EMS ISO 14001:2015 7.3

NC (Minor) – – it was noted through document review and Management interview that
management identified ISO 14001:2015 EMS Environmental Aspect but they did not
identified Environmental Impact

Auditor

xyz Company NC No- 03

Training and Development Department Clause- EMS ISO 14001:2015 7.3
NC (Mejor) – – The screen cleaner clean the screen on the open drain which is not
connected with ETP and final discharge directly to Meghna River. It is violation of
Bangladesh Environmental rule 1997

Auditor
Q.3 Explain PDCA
Plan: establish the objectives, Aspect and Impact, resources needed to deliver
Results in accordance with customers’ requirements and the organization’s policies, and
identify and address risks and opportunities

Do: implement what was planned like Procedure, Document control, Training, and
Communication

Check: monitor and measure processes and the resulting products and services against policies,
objectives, requirements and planned activities, and audit report

Act: take actions to improve performance, as necessary like Implement corrective action,
Management Review Meeting, Improvement.
Q.4 External Parties for new implement factory

Owner, Neighbor, Government Body, Bank, Supplier, Department of Environment, Supplier,

Contractor, Consultant
Q.5 External Issue
PESTEL
Political – Political issue may affect in Environment Management system of an organization
when political situation is not stable.
Economical- National or International Economic condition some time effect on organization. As
a result Organization may not arrange fund for EMS
Social- Some time Social activities may impact on Business. At that time organization may not
ensure Environmental Performance.
Technological- Technology may contribute in Organization Environment Performance like
document control, measuring technical data etc.
Environmental- Surrounding environment of Business may affect to measure Environmental
performance.
Legal- Legal issue like Government rules and Regulation may keep contribution to Improve
Environmental Performance.
Wastage Management
Fire
Worker Unrest
Q.6 Environmental Aspect and Impact

Aspect
Sound
Dust
Generation of solid waste
Consumption of water
Consumption of fuel
Use Paper
Producing of CO2
Release of biological waste Soil pollution, water pollution
Use air freshener
Impact
Sound Pollution
Air Pollution
Soil pollution
Depletion of ground water and surface water supply
Depletion of Nonrenewable natural resources
Reduce natural Resources
Global warming & climate change
Consumption of Resources

Q.7. EMS Policy communication

Hang on Notice Board
Through Mail
Website
Company prospectus

Q.8. Opening Meeting activities Or Agenda

 Thanks to the client

 Introduce the audit team
 Confirm audit Objectives, scope, criteria
 Confirm Audit Plan
 Confirm Language of the audit
 Short summary of audit activities
 Confirm that the auditee will informed about the progress of the audit.
 Method of audit (Sample based audit).
 Confirm guide/role of guide, Confidential room for interview and other
resources required
Q.9 Closing Meeting Agenda

 Thanks to the client

 Introduce the audit team
 Circulate an attendance sheet for record purposes.
 Confirm audit Objectives, scope, criteria
 Present and discuss findings
 Discuss the overall result of the audit
 Explain that all information is kept confidential
 Explain post audit activities
 The client’s opportunity to ask questions
 Sample based audit
 Close the meeting.
 Leave a copy of each signed CAP

Q.10 Auditor Principal

a) Integrity: the foundation of professionalism Auditors and the person managing an audit
through

Perform their work with honesty, diligence, and responsibility;

Observe and comply with any applicable legal requirements;

Demonstrate their competence while performing their work;

b) Fair presentation: the obligation to report truthfully and accurately

Audit findings, audit conclusions and audit reports should reflect truthfully and accurately the
audit activities.
c) Due professional care: Auditors should exercise due care in accordance with the importance of
the task they perform and the confidence placed in them by the audit client and other
interested parties. An important factor in carrying out their work with due professional care is
having the ability to make reasoned judgements in all audit situations.

d) Confidentiality: security of information Auditors should exercise discretion in the use and
protection of information acquired in the course of their duties. Audit information should not be
used inappropriately for personal gain

e) Independence: Auditors should be independent of the activity being audited wherever

practicable, and should in all cases act in a manner that is free from bias and conflict of interest..
f) Evidence-based approach

Audit evidence should be verifiable. It will in general be based on samples of the information
available, since an audit is conducted during a finite period of time and with finite resources. An
appropriate use of sampling should be applied, since this is closely related to the confidence that
can be placed in the audit conclusions.

Q.11. 6 Step of audit Process ( Describe)

1. Initiating the Audit
Company name, Address, Location, Context of Organization, Scope, Organogram, Number of
manpower, Registration the company.

2. Conducting Pre-Audit Information Review

In this section must be reviewed Company name, Address, Location, Context of Organization, Scope,
Organogram, Number of manpower, Registration the company.

3. Preparing for the On-Site Audit Activities

Prepare audit checklist, audit schedule, Circulate audit schedule, communicate with
company representative, Ensure transport,

4. Conducting On-Site Audit Activities

Conducting opining meeting, conducting audit through document review, Observation and
employee interview, Conducting closing meeting.

5. Preparing, Approving, and Distributing the Audit Report

After audit and collecting information from audit scope formal report have to prepare and
approve through proper authority and distribute it concern person of the organization.

6. Completing the Audit & Follow-up Activities

After completing audit follow up the action like corrective action and correction.

Q.12 Auditor Good Attribute (Explain)

Open minded, Diplomatic, Observant, Ethical, Perceptive, Self-Reliant, Cultural Sensitive, Open to
Improvement

Q.13. Audit Planning

Define the audit objectives

Define the audit scope

Define the audit criteria

Determine the feasibility of the audit

Establish an audit team

Identify team responsibilities

Prepare a stakeholder map

Q.14 Emergency Preparedness

 Emergency response plan

  Training on the planned response

 Periodically testing and exercising the planned response capability

 Evaluating performance of planned response

 All workers are communicated on their duties and responsibilities

 Communicating relevant information to contractors, visitors, emergency response services,

government authorities and, as appropriate, the local community.

 Taking into account the needs and capabilities of all relevant interested parties and ensuring
their involvement.

Q.15. Awareness or Training

Environmental Policy
Environmental Aspect & Impact
Contribution to Effectiveness of EMS
Enhance Environmental Performance
Compliance Obligations

Q.16 Environmental Objective and Execution plan

We will reduce Electricity consumption 50% from Extra Use (Data Sheet 2021) by December
2022.

Execution Plan
1. Policy
2. Training
3. LED Light Use
4. Auto Machine Setup
5. Monitoring
6. Review Meeting
7. Responsibility to ECR

Air Quality Index - পরিবেশ অধিদপ্তরের বায়ুমান সূচক অনুসারে, শূন্য থেকে ৫০ পর্যন্ত
‘ভালো’। ৫১ থেকে ১০০ ‘মোটামুটি’, ১০১ থেকে ১৫০ পর্যন্ত ‘সতর্ক তামূলক’, ১৫১ থেকে ২০০
পর্যন্ত ‘অস্বাস্থ্যকর’, ২০১ থেকে ৩০০ পর্যন্ত ‘খুব অস্বাস্থ্যকর’, ৩০১ থেকে ওপরে ‘অত্যন্ত
অস্বাস্থ্যকর’ বা ‘দুর্যোগপূর্ণ’।