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EMS LAC TRAINING EXERCISES
Day1:
Exercise 1 – Find the documentation requirements for EMS that need to maintain and retain
according to ISO 14001:2015 standard. (10points)
MAINTAINED DOCUMENTED INFORMATION
Clause 4.3 The scope shall be maintained as documented
information and be available to interested parties.
Clause 5.2 The environmental policy shall be maintained as Clause 7.4.1 The organization shall retain documented
documented information.
Clause 6.1.1 The organization shall maintain documented
information of risks and opportunities that need to be.
addressed and processes needed to the extent necessary to
have confidence they are carried out as planned.
Clause 6.1.2 The organization shall maintain documented
information of environmental aspects and associated.
environmental impacts, criteria used to determine its
significant environmental aspects and significant.
environmental aspects.
Clause 6.1.3 The organization shall maintain documented
information of its compliance obligations.
Clause 6.2.1 The organization shall maintain documented
information on the environmental objectives.
Clause 8.1 & 8.2 The organization shall maintain
documented information to the extent necessary to
haveconfidence that the processes have been carried out as
planned.
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ISO 14001:2015
RETAINED DOCUMENTED INFORMATION
Clause 7.2 The organization shall retain appropriate
documented information as evidence of competence.
information as evidence of its communications.
Clause 9.1.1 The organization shall retain appropriate
documented information as evidence of the monitoring,
measurement, analysis, and evaluation results.
Clause 9.1.2 The organization shall retain documented
information as evidence of the compliance
evaluationresults.
Clause 9.2.2 The organization shall retain documented
information as evidence of the implementation of the
auditprogramme and the audit results.
Clause 9.3 The organization shall retain documented
information as evidence of the results of management
reviews.
Clause 10.2 The organization shall retain documented
information as the nature of the nonconformities and
anysubsequent actions taken and the results of any
corrective action.
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ISO 14001:2015

Day1:
Exercise 2–Identifythe type of audit in the following activities: (10points)

Activities Type of Audit

A manufacturing industry was audited for its ability to meet

therequirementsofa Trading companywhoisseeking acertification. 2ndParty

Auditing firm hired to audit the stores of the Trading

companywho hiresthefirmandreport theresulttotheTrading 1st Party
company.

Global Certification Body audits a Construction company to

verifyeffectiveness of the company’s Environmental 3rd Party
ManagementSystem implementation.

AXY Manufacturing company outsourced their internal audit,

sendHR to see qualified auditing firm to verify if it meets 2nd Party
theirrequirements.

Amanufacturing companyis
implementingamanagementsystemand to this effort they are 2nd Party
qualifying their suppliers, so they auditthem.

Regulatory body auditing an organization for its compliance

toregulatoryrequirements. 3rd Party

Company hired an external auditor to verify their

subcontractor’scapacityto supplyrequired services. 2nd Party

Auditingfirmhiredtoauditthecompany’sdifferentsites. 1st Party

Organization supplying products to oil and gas company

auditstheircapabilityto supplyproducts. 1st Party

Auditing firm hired by consultant to verify car

manufacturingcompanyto meetMitsubishicarsrequirements. 2nd Party

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ISO 14001:2015

Day2:
Exercise3- ApplyingAuditPrinciples(10points)
In your own words, describe how you understand the following principles of auditing and
giveexampleofeach howauditorappliestheprinciplesinauditing.

1. Integrity

This principle emphasizes the honesty, fairness, and ethical conduct of auditors. They must be
impartial and unbiased in their judgments and maintain a high level of professional integrity
throughout the audit process.
If an auditor comes across a situation where he finds the organization is manipulating and forcing its
employees to report fake data, therefore the auditor must report this unethical behavior.

2. Dueprofessional care

Auditors must possess the necessary skills, knowledge, and expertise to perform their audits
effectively. They are also expected to exercise due care, ensuring that their work is thorough, diligent,
and in accordance with professional standards. For example an auditor should review all the
documents presented with proper care and diligence there should be no carelessness shown on his
end.

3. Impartiality

This means they should not have personal or financial interests that could influence their
assessments. Impartiality ensures that the audit results accurately reflect the organization's
environmental management practices, compliance status, and potential areas for improvement.
If an auditor goes for the audit to a manufacturing company which belongs to his friend, he should not
be inclined towards giving favors and take the audit as professional manner, the disclosure should be
there, the auditing firm to have the knowledge regarding the relationship.

4. Risk-basedapproach

This approach recognizes that not all aspects of an EMS have equal significance or potential impact.
Instead, it directs auditors to prioritize their assessments based on the likelihood and consequences
of environmental risks. For instance an auditor visiting the drilling rig should be focused more on the
issues related flora and fauna, water and air pollution, waste management and segregation.

5. Openness

Openness encourages auditors to engage in clear and effective communication with the organization
being audited. It involves sharing relevant information, discussing audit objectives and findings, and
addressing any concerns or questions the audited organization may have. For example the auditor
should be very much clear to the scope of work and findings occurred during the audit.

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ISO 14001:2015

Day2:
Exercise4: Determine audit duration.
Using the table below, determine the numbers of auditors and number of man days per organization.

AUDIT DURATION IDENTIFICATION EXERCISE

In this exercise you are requested to identify the audit duration of 2 different organizations
whose apply for certification. The information about the organizations is as follows.

FİRSTORGANIZATION
This organization is a contractor for construction and generally constructs roads and
bridges. This organization both uses its own machinery, equipment and personnel as
well as might use these from the subcontractors. In the time of audit this organization
has road construction work in two different sites. In the first site there are 80 people
working and 30 of them are subcontractors and in the second site there are 50 people
working and all is the subcontractor personnel, only the site chief is the company’s own
personnel. The company HQ is in Abu Dhabi and 8 people working in the HQ.

No of contractor personnel on 1 st site: 80

No of contractor personnel on 2 nd site: 51
No of contractor personnel in HQ: 08
Total personnel: 139

Construction = Hight Risk

Number of Audit days: 12 days

SECONDORGANIZATION
This is a food producer and mainly produces bakery products. The HQ and the Factory
is on the same place and total of 47 people working.
Please be ready to present your findings with a representative of your group.

No of personnel: 47

Food producer = Medium

Number of Audit days: 6 days

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ISO 14001:2015

Day3:
Exercise5: Audit Activities Sequence.

Instruction: Arrange the audit activities in the correct sequence. Write the serial number (right
column) of the audit activity under the sequence column according to the correct
arrangement of the audit process.

Serial
Audit Activities Sequence
no.
1 Assigning work to audit team 6

2 Preparation of documented information for audit 8

3 Performing documented information review 9

4 Initiating the audit 10

5 Completing the audit 15

6 Establishing contact with auditee 7

7 Collecting and verifying information 12

8 Communicating during audit 13

9 Establishing audit program objectives 1

10 Implementing audit program 14

11 Generating audit findings 16

12 Determine audit conclusion 17

13 Conducting closing meeting 18

14 Conducting opening meeting 11

15 Distributing audit report 19

16 Audit planning 3

17 Communicating during the audit 13

18 Selecting audit team members 2

19 Preparation of audit report 4

20 Determining audit program resources 5

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ISO 14001:2015

Day3:
Exercise6: Performing audit interview: Collecting information by interview:

Tutor will evaluate performance of these activities and score each individual’s performance according
to the ability of performing audit interview.

The criteria for evaluation Score

4
1.Questionnning ability
4
2.Use of checklist

2
3.Building rapport with the auditee

4.Taking notes

4
5. Writing of collected information by interview.

Total Score:

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ISO 14001:2015

Day3:
Exercise7: Perform Audit Trait
Verify the company’s management system if it meets the requirements of ISO 14001.You have to
give2 audit trails each of the processes and give the clauses of ISO14001,namely:

1.Environmental Aspect

2.Compliance Obligations

3. Planning to achieve
environmental objectives

4.Competence

5.Communication

6.Emergency preparedness
and response

7.Evaluation of Compliance

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ISO 14001:2015

8.Internal Audit

9.Management Review

10. Nonconformity and

corrective action

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ISO 14001:2015

Day4:
Exercise8: Applying turtle diagram method in auditing
Applying turtle diagram method in auditing.
From the Tutor instruction of what process to audit, audit the process using the turtle diagram
method

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ISO 14001:2015

WHAT WHO

PROCESS
INPUT OUTPUT

HOW HOWMANY

Day4:

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ISO 14001:2015

Exercise9: Writing Audit Findings.

Auditor’s name:

Findings

No. Good Points/Practices

No. Nonconformities

No. Observations/Opportunities for improvement

Note: Write the requirements audited and the evidence in all findings.

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