Edu - Iso 14001 La - Course Notes

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COUSE NOTES
COURSE NOTES
ISO 14001LEAD
ISO45001 LEAD
AUDITOR TRAINING
Page 1 of 44
4/24/20
Competency Unit: EM
Environmental Management
Systems Auditing
ED U /EM S/LA/v1.0 1
PROGRAM OBJECTIVES
OBJECTIVES
Environmental Management Systems Certification

Program has been developed to:
• Assist organizations to select qualified EMS
auditors
• Enhance the professional recognition of EMS
auditors
• Built in liaison with industry representatives in
accordance with ISO 19011:2018
• Provides individuals with proof of their
competence to effectively manage environmental
issues.
CERTIFIED AUDITOR
WHY BECOME A CERTIFIED AUDITOR?
• Get prepared to audits for a certification process / body

• A formal recognition of competencies
• Improve your career prospects
• Be able to earn higher
• Pave way for continued professional development
EDU/EMS_LA/DCN/v1.0 1
4/24/20
ISO
FUNDAMENTALS
EDU/EMS/LA/v1.0 4
ISO FUNDAMENTALS
WHAT IS ISO ?
• A network of national standardization

bodies from over 160 countries
• The outcome of work done by ISO is
published as International Standards
• Since 1947 ISO has released almost
20000 standards on a big range of
topics
ISO FUNDAMENTALS
Equal Representation – 1 Vote for each member country

DEVELOPMENT
BASICS OF ISO
Voluntary Membership – No Compulsion for adoption

STANDARDS
Business Orientation – Standards developed are to meet market needs
Consensus Approach – Focuses on consensus of stake holders
International Cooperation – More than 160 countries and liaison bodies

involved
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ISO FUNDAMENTALS
SEVEN PRINCIPLES OF ISO MANAGEMENT SYSTEM
1. Customer focus
2. Leadership
3. Engagement of people
4. Process approach
5. Improvement
6. Evidence based decision making
7. Relationship management
ANNEX SL
WHAT IS ANNEX SL ?
Annex SL defines the framework for

various Management System Standards
(MSS) which is intended for
• Development of new management

system standards
• Revisions of existing management

system standards
ANNEX SL
HIGH LEVEL STRUCTURE OF MSS
CLAUSE 1 SCOPE
CLAUSE 2 NORMATIVE REFERENCES
CLAUSE 3 TERMS AND DEFINITIONS
CLAUSE 4 CONTEXT OF THE ORGANIZATION
CLAUSE 5 LEADERSHIP
CLAUSE 6 PLANNING
CLAUSE 7 SUPPORT
CLAUSE 8 OPERATION
CLAUSE 9 PERFORMANCE EVALUATION
CLAUSE 10 IMPROVEMENT
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EMS
BACKGROUND
ENVIRONMENTAL MANAGEMENT SYSTEM
PURPOSE
• Protecting the environment by preventing or mitigating adverse
environmental impacts;
• Mitigating the potential adverse effect of environmental conditions on the
organization;
• Assisting the organization in the fulfilment of compliance obligations;
• Enhancing environmental performance;
• Controlling or influencing the way the organization’s products and services
are designed,
• Manufactured, distributed, consumed and disposed by using a life cycle
perspective that can prevent environmental impacts.
• Achieving financial and operational benefits that can result from
implementing environmentally sound alternatives that strengthen the
organization’s market position;
• Communicating environmental information to relevant interested parties.
WHAT ARE THE BUSINESS &

SOCIETAL BENEFITS?
• Minimise environmental liabilities;

• Maximize the efficient use of resources;
• Reduce waste;
• Demonstrate a good corporate image;
• Build awareness of environmental concern among
employees;
• Gain a better understanding of the environmental impacts
of business activities; and
• Increase profit, improving environmental performance,
through more efficient operations.
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EMS BACKGROUND
GLOBAL ENVIRONMENTAL ISSUES
GLOBAL WARMING
ACID RAIN
ISSUES
OZONE DEPLETION
DECERTIFICATION
DEFORESTATION

GLOBAL WARMING
SOME OF THE GASES CAUSING GLOBAL WARMING

• Carbon Dioxide
• Methane
• Nitrous oxide
• Chloro fluoro carbons
……………………………………………………………………………………………………………......……………………
SOURCES OF GLOBAL WARMING

• Fossil fuel based power plants
• Emissions from automobiles
• Emission from Industries
• Burning of fossil fuels / hydrocarbons
……………………………………………………………………………………………………………......……………………

GLOBAL WARMING
IMPACT OF GLOBAL WARMING

• Temperature increase – 10C per decade
• Melt ice caps – islands submerge under water
• More cyclones, draught etc.
……………………………………………………………………………………………………………......……………………
CONTROL OF GLOBAL WARMING

• Reduce consumption of fossil fuel based energy
• Improve efficiency – fossil fuel based energy production
• Reduce emission of GHG from automobiles / industries
• Promote renewable energy technology
• Reduce deforestation
……………………………………………………………………………………………………………......……………………
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ACID RAIN
IMPACTS OF ACID RAIN

• Damage to plants, retard their growth
• Increase acidity of soil
• Causes excessive damages to building (Taj)
• Affects pH value of water in lake, ponds - Imbalance
……………………………………………………………………………………………………………......……………………
CONTROLLING ACID RAIN

• Reduce consumption of fossil fuel based energy
• Improve efficiency _ fossil fuel based energy production
• Reduce acidic emission from automobiles / industries
• Promote renewable energy technology
……………………………………………………………………………………………………………......……………………

OZONE DEPLETION
SOURCES OF OZONE DEPLETING SUBSTANCES

• Air conditioners • Perfumes
• Refrigerators • Water coolers
• Fire extinguishers
……………………………………………………………………………………………………………......……………………
EFFECTS OF OZONE DEPLETING

• Exposure to UV radiation triggers genetic variation
• Affects immune system of organisms
• Damages eyes, can lead to skin cancer
……………………………………………………………………………………………………………......……………………
CONTROL OF OZONE DEPLETION

• Reduction in consumption of ozone depleting substances
• Usage of substitutes for CFCs
……………………………………………………………………………………………………………......……………………

DESERTIFICATION & DEFORESTATION
DESERTIFICATION
• Desertification is the phenomenon during which fertile land becomes degraded due to
natural factors.
• Can be observed in the borders of the desert regions
……………………………………………………………………………………………………………......……………………
DEFORESTATION
• Excessive felling of trees leads to deforestation.
……………………………………………………………………………………………………………......……………………
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ISO 14001:2015
STRUCTURE
DEMING’S PDCA CYCLE
Enables Process Enables Process

Improvement Definition
ACT PLAN
CHECK DO
Enables Process Enables Process

Assessment Execution
PROCESS APPROACH IN EMS
Inputs Site Outputs
RESOURCE USAGE POLLUTION

Raw Materials Air
Energy Water
Natural resources Waste
Activities Community
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DEMING’S PDCA CYCLE
ACT
nt
eme PLA N
prov
al Im
ontinu
C
IMPROVEMENT
C H EC K
ACT DO
PLA N
STA N D A R D
C H EC K
on
izati
DO
dard
Stan
STA N D A R D ugh
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Con
TIME
TERMS &
DEFINITIONS
TERMS AND DEFINITIONS
3.1 MANAGEMENT SYSTEM

Set of interrelated or interacting elements of an organization to establish policies and
objectives and processes to achieve those objectives
……………………………………………………………………………………………………………......……………………
3.2 AUDIT
A Systematic, independent and documented process for obtaining “audit evidence” and
evaluating it objectively to determine the extent to which “audit criteria” are fulfilled.
……………………………………………………………………………………………………………......……………………
3.3 CONTINUAL IMPROVEMENT

Recurring process of enhancing the environmental management system in order to achieve
improvements in overall EMS performance consistent with the organization’s EMS policy.
……………………………………………………………………………………………………………......……………………
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3.4 CORRECTIVE ACTION

Action to eliminate the cause of a detected nonconformity or other undesirable situation
……………………………………………………………………………………………………………......……………………
3.5 DOCUMENT
Information and its supporting medium
……………………………………………………………………………………………………………......……………………
3.6 ASPECT
Element of an organization’s activities or products or services that interacts or can interact
with the environment
……………………………………………………………………………………………………………......……………………
3.7 IMPACT
Change to the environment , whether adverse or beneficial, wholly or partially resulting from
an organization’s environmental aspects.
……………………………………………………………………………………………………………......……………………
3.8 ENVIRONMENTAL CONDITION

State or characteristic of the environment as determined at a certain point in time
……………………………………………………………………………………………………………......……………………
3.9 ENVIRONMENTAL OBJECTIVE

Objective set by the organization (consistent with its environmental policy
……………………………………………………………………………………………………………......……………………
3.10 INTERESTED PARTY

Person or group, inside or outside the workplace, concerned with or affected by the OH&S
performance of an organization
……………………………………………………………………………………………………………......……………………
3.11 NONCONFORMITY
Non-fulfilment of a requirement
……………………………………………………………………………………………………………......……………………
3.12 PREVENTION OF POLLUTION

Use of processes, practices, techniques, materials, products, services or energy to avoid,
reduce or control (separately or in combination) the creation, emission or discharge of any
type of pollutant or waste, in order to reduce adverse environmental impacts
……………………………………………………………………………………………………………......……………………
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ISO 14001:2015
ENVIRONMENTAL
MANAGEMENT SYSTEM
–THE REQUIREMENTS
AUDITING CONTEXT OF THE ORGANIZATION
UNDERSTANDING THE ORGANIZATION AND ITS CONTEXT

The organization shall determine external and internal issues that are relevant to its purpose
and that affect its ability to achieve the intended outcomes of its environmental management
system. Such issues shall include environmental conditions being affected by or capable of
affecting the organization.
……………………………………………………………………………………………………………......……………………
UNDERSTANDING THE NEEDS AND EXPECTATIONS OF INTERESTED PARTIES

The organization shall determine:
a) The interested parties that are relevant to the environmental management system;
b) The relevant needs and expectations (i.e. requirements) of these interested parties;
c) Which of these needs and expectations become its compliance obligations.
……………………………………………………………………………………………………………......……………………
DETERMINING THE SCOPE OF EMS

The organization shall determine the boundaries and applicability of the environmental
management system to establish its scope. When determining this scope, the organization
shall consider:
a) The external and internal issues
b) The compliance obligations
c) Its organizational units, functions and physical boundaries;
d) Its activities, products and services;
e) Its authority and ability to exercise control and influence.
Once the scope is defined, all activities, products and services of the organization within that
scope need to be included in the environmental management system. The scope shall be
maintained as documented information and be available to interested parties.
……………………………………………………………………………………………………………......……………………
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To achieve the intended outcomes, including enhancing its environmental performance, the
organization shall establish, implement, maintain and continually improve an environmental
management system, including the processes needed and their interactions, in accordance
with the requirements of this International Standard.
The organization shall consider the knowledge gained when establishing and maintaining the
environmental management system.
……………………………………………………………………………………………………………......……………………
LEADERSHIP
LEADERSHIP AND COMMITMENT
LEADERSHIP AND COMMITMENT

Top management is required to:
• be accountable for the effectiveness of the EMS
• promote awareness for process approach
• ensure integration of the EMS with organization’s business processes
• ensure the EMS objectives are achieved
• lead and support those contributing to the EMS effectiveness
• promote continual improvement
• Ensuring that the resources need for the EMS are available
……………………………………………………………………………………………………………......……………………
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ED U /EM S/LA/v1.0
LEADERSHIP
ENVIRONMENTAL POLICY
ENVIRONMENTAL POLICY
Top management shall establish, implement and maintain an environmental policy that, within
the defined scope of its environmental management system:
a) Is appropriate to the purpose and context of the organization, including the nature, scale
and environmental impacts of its activities, products and services;
b) Provides a framework for setting environmental objectives;
c) Includes a commitment to the protection of the environment, including prevention of
pollution and other specific commitment(s) relevant to the context of the organization;
d) Includes a commitment to fulfil its compliance obligations;
e) Includes a commitment to continual improvement of the environmental management
system to enhance environmental performance.
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LEADERSHIP
ORGANIZATIONAL ROLES, RESPONSIBILITIES AND AUTHORITIES
1.
There is no explicit requirement in ISO 14001:2015 to
assigning a “management representative”, yet the
responsibilities and authorities still remain.
2.
ISO 14001:2015 requires that the functions, roles and
responsibilities to cover the workload are properly defined.
3.
In addition, the environmental management system
roles, responsibilities, and authorities should be
assigned and communicated.
PLANNING
ACTIONS TO ADDRESS RISK & OPPORTUNITIES
When planning for the environmental management system, the organization shall consider the
issues referred to in 4.1 and the requirements referred to in 4.2 and determine the risks and
opportunities that need to be addressed to:
a) give assurance that the environmental management system can achieve its intended result(s);
b) enhance desirable effects;
c) prevent, or reduce, undesired effects;
d) achieve improvement.
The organization shall maintain documented information of its:
• risks and opportunities that need to be addressed;
• process(es) needed to the extent necessary to have confidence they are carried out as
planned.
……………………………………………………………………………………………………………......……………………
AUDITING ASPECT IMPACT / RISK – OPPORTUNITY

ENVIRONMENTAL ASPECTS
ü Within the defined scope of the environmental management system, the organization shall
determine the environmental aspects of its activities, products and services that it can control
and those that it can influence, and their associated environmental impacts, considering a
life cycle perspective.
ü When determining environmental aspects, the organization shall take into account:
• Change, including planned or new developments, and new or modified activities, products
and services;
• Abnormal conditions and reasonably foreseeable emergency situations.
ü The organization shall maintain documented information of its:

• Environmental aspects and associated environmental impacts;
• Criteria used to determine its significant environmental aspects;
• Significant environmental aspects.
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ASPECT-IMPACT
SCORING LEGAND
Quantity (A) Occurrence (B) Impact (C) Legislation (D) Detection (E) Control (F) Score
Excessive Affects Flora or Legal More than 24 Absent or no
Continuous 5
(76% to 100%) Fauna Compliance hours 5 effective control 5
High Several times a Marine Life or Within 24 hours
(61% to 75%) Day Global Issue 4 4
Moderate Several times a Resource Control needs
Within 8 hours 3 3
(41% to 60%) week Depletion human Intervention 3
Causes
Low Once a month or
Discomfort or Within 1 hour 2 2
(6% to 40%) less
Nuisance
Negligible Negligible Available & effective
Very rare Not Applicable Immediately 1 1
Less than 5% impact at source 1
D = Direct, I = Indirect, /// CONDITION N = Normal, A = Abnormal, E = Emergency /// IMPACT AP = Air Pollution, WP = Water Pollution,
LC = Land Contamination, DNR = Depletion of Natural Resources, WM = Waste Management, NP = Noise Pollution /// S = Significant, NS = Non Significant
TOTAL = A X B X C X D X E

ASPECT-IMPACT
S COND.
A C TIVIT EN VIR O N M EN TA L EN V. TO TA L S / O PPO R TU A C TIO N /
D /I AB C DE F R ISK
Y A SPEC T N /A /E IM PA C T G NS N ITY R EM A R K S
1 R aw Excess O ptim ize List of R aw
C onsum ption of R aw
. M aterial D N _ C onsum pti thro cutting M aterials & U pdate
M aterial (SS & C S)
Storage on plan Stock Status Board
2
Store R aw M aterial
. D R aw M aterial U nloading N DNR 2 2 4 1 2 1 32 NS
in appropriate place
3 Spillage of Fine
C ontrolled
. D Particles from R aw N DNR 2 2 3 1 2 1 24 NS Illness
H andling
M aterial
Spillage of R ust
4 N C ontrolled
ID Particles from R aw DNR 2 2 3 1 2 1 24 NS Illness
. H andling
M aterial
Storage & D isposal of
5
Waste Polythene D isposal to
. D N LC 2 2 4 5 2 1 160 S EM S/O C P/01
sheets from R aw recycler
m aterial
Storage & D isposal of
6
Waste H D PE Sheet and D isposal to
. D N LC 2 2 4 5 2 1 160 S EM S/O C P/02
Strapping w aste from recycler
R aw m aterial

COMPLIANCE OBLIGATIONS
ü The organization shall:

• determine and have access to the compliance obligations related to its environmental
aspects;
• determine how these compliance obligations apply to the organization;
• take these compliance obligations into account when establishing, implementing,
maintaining and continually improving its environmental management system.
ü The organization shall maintain documented information of its compliance obligations
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COMPLIANCE OBLIGATIONS
Typical compliance obligations – Varies from country to country

SUBJECT APPLICATION
Pollution Prevention and control of air / land / water / noise / radiation pollutions
Waste Solid waste / hazardous / bio waste regulations
Energy Energy conservation
Ozone Restrictions on use of ozone depleting substances
Hazardous substances Controls on handling, storage, transport, use
Automobile Motor vehicle related controls and regulations

ENVIORNMENTAL LEGISLATIONS IN INDIA
THE ENVIRONMENTAL PROTECTION ACT 1986

• The water (prevention and control of pollution) act 1974.
• The Air (Prevention and Control of Pollution) Act 1981
• The Ozone Depleting Substances (Regulation and Control) Rules, 2000
• The Municipal Solid Wastes (Management and Handling) Rules, 2000.
• The Plastic Waste (Management and Handling) Rules, 2011
• The Hazardous Wastes(Management, handling and transboundary movement ) Act 1981
• The Noise Pollution (Regulation and control) Rules 2000
……………………………………………………………………………………………………………......……………………
THE MOTOR VEHICLES ACT, 1988 (AS AMENDED)

• The Central Motor Vehicles Rules, 1989 (as amended) and Motor vehicles Rules of respective
States
……………………………………………………………………………………………………………......……………………
Note: There could be more acts applicable according to industry sector / products / services / region
(Refer hand out for more details)

PLANNING ACTION
THE ORGANIZATION SHALL PLAN:

a) To take actions to address its:
1. Significant environmental aspects;
2. Compliance obligations;
3. Risks and opportunities identified;
b) How to:
1. Integrate and implement the actions into its environmental management system
processes or other business processes;
2. Evaluate the effectiveness of these actions
When planning these actions, the organization shall consider its technological options and its
financial, operational and business requirements.
……………………………………………………………………………………………………………......……………………
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ENVIRONMENTAL OBJECTIVES AND PLANNING TO ACHIEVE THEM
ENVIRONMENTAL OBJECTIVES
The organization shall establish environmental objectives at relevant functions and levels,
taking into account the organization’s significant environmental aspects and associated
compliance obligations, and considering its risks and opportunities.
The environmental objectives shall be:

a) Consistent with the environmental policy;
b) Measurable (if practicable);
c) Monitored;
d) Communicated;
e) Updated as appropriate.
The organization shall maintain documented information on the environmental objectives

……………………………………………………………………………………………………………......……………………

ENVIRONMENTAL OBJECTIVES AND PLANNING TO ACHIEVE THEM
PLANNING ACTIONS TO ACHIEVE ENVIRONMENTAL OBJECTIVES

When planning how to achieve its environmental objectives, the organization shall determine:
a) What will be done;
b) What resources will be required;
c) Who will be responsible;
d) When it will be completed;
e) How the results will be evaluated, including indicators for monitoring progress toward
achievement of its measurable environmental objectives.
The organization shall consider how actions to achieve its environmental objectives can be
integrated into the organization’s business processes.
……………………………………………………………………………………………………………......……………………
SUPPORT
RESOURCES AND COMPETENCE
RESOURCES
• Determine and provide the resources needed for the establishment, implementation,
maintenance and continual improvement of the environmental management system
• Determine and provide the persons necessary for the effective implementation of its
environmental management system and for the operation and control of its processes.
• Determine, provide and maintain the infrastructure necessary for the operation.
……………………………………………………………………………………………………………......……………………
COMPETENCE
• Determine the necessary competence of person(s) doing work under its control that affects
its environmental performance and its ability to fulfil its compliance obligations;
• Ensure that these persons are competent on the basis of appropriate education, training or
experience;
• Determine training needs associated with its environmental management system;
• Where applicable, take actions to acquire the necessary competence, and evaluate the
effectiveness of the actions taken.
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SUPPORT
AWARENESS
THE ORGANIZATION SHALL:
The organization shall ensure that persons doing work under the organization’s control are
aware of:
• The environmental policy;
• The significant environmental aspects and related actual or potential environmental
impacts associated with their work;
• Their contribution to the effectiveness of the environmental management system, including
the benefits of enhanced environmental performance;
• The implications of not conforming with the environmental management system
requirements, including not fulfilling the organization’s compliance obligations.
……………………………………………………………………………………………………………......……………………
SUPPORT
COMMUNICATION
TYPES OF COMMUNCIATION
Internal communication
The organization shall:
• Internally communicate information relevant to the environmental management system
among the various levels and functions of the organization, including changes to the
environmental management system, as appropriate;
• Ensure its communication process(es) enable(s) persons doing work under the
organization’s control to contribute to continual improvement.
External communication
The organization shall externally communicate information relevant to the environmental
management system, as established by the organization’s communication process(es) and as
required by its compliance obligations.
……………………………………………………………………………………………………………......……………………
SUPPORT
DOCUMENTED INFORMATION

• Documented information required by this International Standard;
• Documented information determined by the organization as being necessary for the
effectiveness of the environmental management system.
• Ensure appropriate identification and description (e.g. a title, date, author, or reference
number); format (e.g. language, software version, graphics) and media (e.g. paper,
electronic); review and approval for suitability and adequacy.
• Ensure it is available and suitable for use, where and when it is needed and it is
adequately protected
• For the control of documented information, the organization shall address the following
• activities, as applicable:
• distribution, access, retrieval and use;
• storage and preservation, including preservation of legibility;
• control of changes (e.g. version control);
• retention and disposition
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AUDITING OPERATION PLANNING

OPERATION PLANNING AND CONTROL

• Establish, implement, control and maintain the processes needed to meet environmental
management system requirements, and to implement the actions identified by:
ü Establishing operating criteria for the process(es);
ü Implementing control of the process(es), in accordance with the operating criteria.
• Control planned changes and review the consequences of unintended changes, taking
action to mitigate any adverse effects, as necessary.
• Ensure that outsourced processes are controlled or influenced. The type and extent of
control or influence to be applied to the process(es) shall be defined within the
environmental management system.
AUDITING OPERATION PLANNING

EMERGENCY PREPAREDNESS & RESPONSE

• Prepare to respond by planning actions to prevent or mitigate adverse environmental
impacts from emergency situations;
• Respond to actual emergency situations;
• Take action to prevent or mitigate the consequences of emergency situations, appropriate
to the magnitude of the emergency and the potential environmental impact;
• Periodically test the planned response actions, where practicable;
• Periodically review and revise the process(es) and planned response actions, in particular
after the occurrence of emergency situations or tests;
• Provide relevant information and training related to emergency preparedness and
response, as appropriate, to relevant interested parties, including persons working under
its control.
AUDITING ENVIRONMENTAL PERFORMANCE

MONITORING, MEASUREMENT, ANALYSIS & EVALUATION
THE ORGANIZATION SHALL

• Monitor, measure, analyze and evaluate its environmental performance.
• Determine:
a) What needs to be monitored and measured;
b) The methods for monitoring, measurement, analysis and evaluation, as applicable, to
ensure valid results;
c) The criteria against which the organization will evaluate its environmental
performance, and appropriate indicators;
d) When the monitoring and measuring shall be performed;
e) When the results from monitoring and measurement shall be analyzed and evaluated.
……………………………………………………………………………………………………………......……………………
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AUDITING ENVIRONMENTAL PERFORMANCE & IMPROVEMENT

EVALUATION OF COMPLIANCE
THE ORGANIZATION SHALL

• Establish, implement and maintain the process(es) needed to evaluate fulfilment of its
compliance obligations.
• Also,
a) Determine the frequency that compliance will be evaluated;
b) Evaluate compliance and take action if needed;
c) Maintain knowledge and understanding of its compliance status.
The organization shall retain documented information as evidence of the compliance evaluation
result(s).
……………………………………………………………………………………………………………......……………………
AUDITING PERFORMANCE EVALUATION

MANAGEMENT REVIEW
MANAGEMENT REVIEW INPUTS
The management review shall be planned and carried out taking into consideration:
• The status of actions from previous management reviews
• Changes in external and internal issues that are relevant to the environmental management
system
• Information on the performance and effectiveness of the environmental management system
• The adequacy of resources
• The effectiveness of actions taken to address risks and opportunities
• ……………………………………………………………………………………………………………......……………………
Opportunities for improvement.
MANAGEMENT REVIEW OUTUTS
The outputs of the management review shall include decisions and actions related to:
• Opportunities for improvement
• Any need for changes to the environmental management system
• Resource needs
AUDITING IMPROVEMENT
IMPROVEMENT
NONCONFORMITY AND CORRECTIVE ACTION

When a nonconformity occurs, the organization shall:
• React to the nonconformity
• Evaluate the need for action to eliminate the causes of the nonconformity, in order that it does
not recur or occur elsewhere
• Implement any action needed
• Review the effectiveness of any corrective action taken
• Make changes to the environmental management system, if necessary
Corrective actions shall be appropriate to the significance of the effects of the nonconformities
encountered, including the environmental impact(s).
……………………………………………………………………………………………………………......……………………
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Competency Unit: AU
Management Systems
Auditing
AUDIT & AUDITING
PURPOSE
• To examine the system for improvements

• To determine compliance or non-compliance with the
requirements of the standard and/or applicable legal
requirements
• To make a certification decision
AUDIT OBJECTIVE
The aim or purpose of an audit
• Determination of the conformity of the client’s management system, or parts of it with audit criteria
• Evaluation of the ability of the management system to ensure the organization meets applicable
statutory, regulatory and contractual requirements
• Evaluation of the effectiveness of the management system to ensure the client organization is
continually meeting its specified objectives
• As applicable, identification of areas for potential improvement of the management system.
……………………………………………………………………………………………………………......……………………
AUDIT SCOPE
Extent and boundaries of an audit
……………………………………………………………………………………………………………......……………………
AUDIT CRITERIA
Set of requirements used as a reference against which objective evidence is compared
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COMBINED AUDIT
Audit carried out together at a single auditee on two or more management systems.
……………………………………………………………………………………………………………......……………………
JOINT AUDIT
Audit carried out at a single auditee by two or more auditing organizations
……………………………………………………………………………………………………………......……………………
OBJECTIVE EVIDENCE
Data supporting the existence or verify of something
……………………………………………………………………………………………………………......……………………
REQUIREMENT
Need or expectation that is stated, generally implied or obligatory
……………………………………………………………………………………………………………......……………………
PROCESS
Set of interrelated or interacting activities that use inputs to deliver an intended result
……………………………………………………………………………………………………………......……………………
PERFORMANCE
Measurable result
……………………………………………………………………………………………………………......……………………
EFFECTIVENESS
Extent to which planned activities are realized and planned result achieved
……………………………………………………………………………………………………………......……………………
INTRODUCTION TO AUDITING
FIRST PARTY AUDIT

• Internal audit is called first party audit,
• Independent and objective activity
• Gives assurance on the level of control within organization
……………………………………………………………………………………………………………......……………………
SECOND PARTY AUDIT

• Usually the customer conducting an audit as a part of supplier-evaluation and selection
process and as ongoing surveillance
……………………………………………………………………………………………………………......……………………
THIRD PARTY AUDIT

• Audit conducted by a neutral third part usually for the purpose of grant of registration /
certification of management system
……………………………………………………………………………………………………………......……………………
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AUDIT & AUDITING

AUDITING TYPES
TYPES OF AUDIT
S. NO. DISTINGUISHING FEATURES
FIRST PARTY SECOND PARTY THIRD PARTY
Tw o/Three – Independent
Tw o (custom er Audits, Supplier or third party certifying body
1 N um ber of parties/ entities involved O ne (O rganisation audit itself)
potential supplier) audits, O rganization or
Audit client (optional)
2 N ature of Audit Internal External External
3 M utual Interest (Auditor, Auditee) Exists Exists N o m utual Interest
To evaluate the supplier's (or

To assess w hether the EM S is To evaluate com pliance
potential suppliers) ability to provide
effectively im plem ented and to w ith the m anagem ent
4 Purpose goods, equipm ent, services as per
identify areas of potential system requirem ents for
the requirem ents & control elated to
im provem ent the purpose of certification
EM S
• Voluntary
Yes, as per clause 9.2 of ISO Yes, as per clause 8.4.2 of ISO • R educes/ elim inates
5 Is it a requirem ent?
14001:2015 14001:2015 the needs of second
party audits
• As per EM S
6 Audit requirem ent/ criteria As per EM S • Specific requirem ent of the As per EM S
custom er
AUDITING METHODS
Extent of involvement between the Location of Auditor
auditor and auditor
On-site Remote
Human Interaction Conducting Interviews Via interactive communication means:
Completing checklist and questionnaire Conducting Interviews
with auditee participation Completing checklist and questionnaire
Conducting document review with auditee Conducting document review with
participation auditee participation
Sampling
No human interaction Conducting document review (e.g. Conducting document review (e.g.
records, data analysis) records, data analysis)
Observation of work performed Observation of work performed
Conducting on-site visits Analyzing data
Completing checklist
Sampling (e.g. products)
On-site audit activities are performed at the location of auditee. Remote audit activities are performed at any place other then
the location of auditee, regardless of the distance.
Interactive audit activities involve interaction between the auditee’s personnel and audit team. Non- audit activities involve no
human interaction with persons representing the auditee but do involve interaction with equipment,
facilities and documentation.
PRINCIPLES OF AUDITING
1. INTEGRITY • Integrity is the foundation of professionalism
2. FAIR • The obligation to report truthfully and

PRESENTATION accurately
3. DUE PROFESSIONAL • The application of diligence and judgment in

CARE auditing
4/24/20
PRINCIPLES OF AUDITING
4. CONFIDENTIALITY • Security of information
5. INDEPENDENCE • The basis for the impartiality of the audit and

objectivity of the audit conclusions
6. EVIDENCE-BASED • The rational method for reaching reliable and

reproducible audit conclusions in a systematic
APPROACH audit process
7. RISK- BASED • An audit approach that considers risks and

APPROACH opportunities
INITIATING THE
AUDIT (PRE
AUDIT ACTIVITIES)
TYPICAL AUDIT
ACTIVITIES
4/24/20
INITIATING THE AUDIT

ESTABLISHING CONTACT WITH THE AUDITEE
DETERMINING:
• Audit objectives
• Audit scope
• Audit criteria
……………………………………………………………………………………………………………......……………………
DETERMINE APPLICABLE LEGAL AND CONTRACTUAL REQUIREMENTS AND OTHER

REQUIREMENTS RELEVANT TO THE ACTIVITIES ND PRODUCTS OF THE AUDITEE;
……………………………………………………………………………………………………………......……………………
CONFIRM THE AGREEMENT WITH THE AUDITEE REGARDING THE EXTENT OF THE
DISCLOSURE AND THE TREATMENT OF CONFIDENTIAL INFORMATION;
……………………………………………………………………………………………………………......……………………

DETERMINING AUDIT TIME

The relevant factors are :
a) The requirements of the applicable e) Results of prior audits (if any);
standard; f) Multi-site considerations;
b) Size and complexity of operations; g) Risks associated with the
c) Technological and regulatory products/processes;
context; h) Combined, joint or integrated audits.
d) Outsourced processes;
……………………………………………………………………………………………………………......……………………
ESTABLISH COMMUNICATIONS WITH THE AUDITEE’ S REPRESENTATIVES;

• Client organization to confirm audit dates and audit team composition
• request access to relevant documents and records for planning purposes;
• any location-specific requirements for access, security, health and safety or other;
• agree on attendance of observers and the need for guides for the audit team;
……………………………………………………………………………………………………………......……………………

MULTI-SITE SAMPLING
• Develop appropriate sampling programme.
• Document rationale for sampling plan.
……………………………………………………………………………………………………………......……………………
AUDIT TEAM SELECTION AND ASSIGNMENTS

Size and composition of audit team depends on:
a) Objective, scope, criteria and estimated time of audit;
b) Type of audit.
c) Competence needed;
d) Certification requirements;
e) Language and culture.
……………………………………………………………………………………………………………......……………………
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CONSIDERATIONS FOR AUDITOR SELECTION
ü The team to have auditor with EMS knowledge with adequate auditing experience
ü Sector specific exposure is mandatory
ü Auditor to have the first hand knowledge on the legislations pertaining to the land
ü Exceptional cases technical expert to take over
ü An Auditor can be coded on the basis of

• Personal working experiences or qualifications;
• Consultancy activities;
• Audit carried out together with an already coded Auditor or Technical Expert
• Other requirements stated by the CB
AUDIT PROGRAMME
WHAT IS AUDIT PROGRAMME
• One or more audits, depending on the size, nature

and complexity of the organization to be audited.
These audits may have a variety of objectives and
may also include joint or combined audits
• All activities necessary for planning and
• organizing the types and number of audits, and for
providing resources to conduct them effectively
and efficiently within the specified time frames
AUDIT PROGRAMME
DETECTION RISK
Risk that an auditor is not able to detect a significant
defect during an audit
CONTROL RISK
Risk that a significant defect not be prevented nor
detected by an internal control of the organization
INHERENT RISK
Risk related to industry sector irrespective of process /
procedures
4/24/20
AUDITOR: ROLES,
RESPONSIBILITIES
AND COMPETENCE
AUDITING : ROLES AND RESPONSIBILITIES

MAIN PLAYERS IN THE AUDITING SCENARIO
1. AUDIT TEAM LEADER (TL)
2. AUDITORS (AUDIT TEAM MEMBERS)
3. TECHNICAL EXPERT (TE)
4. GUIDES
5. AUDITOR-IN-TRAINING
6. OBSERVERS
7. AUDITEE
1. AUDIT TEAM MEMBER (AUDITOR)

• Arrive on time (appropriately dressed)
• Attend opening meeting
• Carry out site tour
• Carry out audit as per audit plan
• Ensure time management
• Perform document review (while auditing)
• Communicating during audit
• Collecting and verifying information
• Maintain confidentiality
• Follow-up actions during audit
• Finalizing audit findings/conclusions (as a team)
• Attend closing meeting
• Assist TL, as called for
• Handover all audit documents to TL
……………………………………………………………………………………………………………......……………………
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2. TECHNICAL EXPERT (TE)

• Provides specific knowledge or expertise to the audit team.
• Knowledge or expertise relating to the organization, the processes or activity, language or
culture.
• Does not act as an auditor.
……………………………………………………………………………………………………………......……………………
3. GUIDES
Each auditor is accompanied by a guide - Facilitates auditing, by
• Establishing contact and timing for interview
• Arranging visits
• Ensuring observance of safety/security rules
• Witnessing the audit on behalf of the auditee
• Providing clarification or information
……………………………………………………………………………………………………………......……………………
4. AUDITOR-IN-TRAINING
• May be included in audit team for exposure to auditing practice.
• Gains practical experience by observing.
• May participate in auditing under the supervision of an auditor.
……………………………………………………………………………………………………………......……………………
5. OBSERVERS
• Accompanies the audit team
• Not a part of the audit team
• Does not audit
• Does not influence or interfere with the conduct of the audit
• Can represent auditee, regulators, accreditation body, or other interested party, such as
consultants.
……………………………………………………………………………………………………………......……………………
6. AUDITEE ORGANIZATION
• Assign responsibilities
• Facility personnel briefing, dates, availability
• Venue and arrangements for opening meeting and closing meeting
• Safety and security
• Organization
• Receipt of report
• Acting upon nonconformance
……………………………………………………………………………………………………………......……………………
4/24/20
AUDITOR COMPETENCE
INITIAL
CERTIFICATION
AUDIT – STAGE I
INITIAL CERTIFICATION AUDIT

CERTIFICATION AUDIT STAGES
Initial 1 st Year 2 nd Year 3 rd Year

Stage I Audit Surveillance Surveillance Recertification
Stage II Audit Audit Audit Audit
INITIAL CERTIFICATION AUDIT IS

CARRIED OUT IN 2 STAGES:
a) Stage 1 audit
b) Stage 2 audit
4/24/20
INITIAL CERTIFICATION AUDIT- STAGE I AUDIT

OBJECTIVES OF STAGE I AUDIT
EVALUATE CLIENT’S LOCATION AND SITE-SPECIFIC CONDITIONS

To evaluate the client’s location and site specific conditions and to undertake discussion
with the client’s personnel to determine the preparedness for the stage 2 audit.
……………………………………………………………………………………………………………......……………………
REVIEW OF CLIENT’S UNDERSTANDING ON SYSTEM-REQUIREMENTS
To review the client’s status and understanding regarding requirements of the standard, in
particular with respect to the identification of key performance or significant aspects,
processes, objectives and operation of the management system.
……………………………………………………………………………………………………………......……………………
COLLECT NECESSARY INFORMATION RELATING TO SCOPE, PROCESSES

AND LOCATION(S) OF THE CLIENT, RELATED STATUTORY AND REGULATED
ASPECTS AND COMPLIANCE.
……………………………………………………………………………………………………………......……………………

OBJECTIVES OF STAGE I AUDIT
REVIEW ALLOCATION OF RESOURCES FOR STAGE 2 AUDIT AND FINALIZE

To review the allocation of resources for stage 2 audit and agree with the client on the details
of the stage2 audit
……………………………………………………………………………………………………………......……………………
PROVIDE A FOCUS FOR PLANNING THE STAGE 2 AUDIT
To provide a focus for planning the stage 2 audit and agree with the client’s management
system and site operations.
……………………………………………………………………………………………………………......……………………
EVALUATE PERFORMANCE OF:
• Internal audits • Implementation,
• Management review. • Readiness for stage 2 audit.
……………………………………………………………………………………………………………......……………………

REQUIREMENTS OF STAGE I AUDIT
PERFORMING DOCUMENT REVIEW

The relevant management system documentation of the auditee should be reviewed in order to:
• gather information to prepare audit activities and applicable work documents (see 6.3.4), e.g.
on processes, functions;
• establish an overview of the extent of the system documentation to detect possible gaps.
……………………………………………………………………………………………………………......……………………
PREPARING THE AUDIT PLAN
In preparing the audit plan, the audit team leader should be aware of the following:
• the appropriate sampling techniques;
• the composition of the audit team and its collective competence;
• the risks to the organization created by the audit.
……………………………………………………………………………………………………………......……………………
………………………………………………………………………………………………………………
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REQUIREMENTS OF STAGE I AUDIT
ASSIGNING WORK TO THE AUDIT TEAM

The audit team leader, in consultation with the audit team, should assign to each team member
responsibility for auditing specific processes, activities, functions or locations.
……………………………………………………………………………………………………………......……………………
PREPARING WORK DOCUMENTS

The audit team members should collect and review the information relevant to their audit
assignments and prepare work documents, as necessary
• checklists;
• audit sampling plans;
• forms for recording information, such as supporting evidence, audit findings and records of
meetings.
……………………………………………………………………………………………………………......……………………
………………………………………………………………………………………………………………
INITIAL
CERTIFICATION
AUDIT – STAGE I
(DOCUMENT REVIEW)

DOCUMENT REVIEW COVERAGE
AUDITING MANAGEMENT SYSTEM DOCUMENTATION

(CONDUCTING DOCUMENT REVIEW)
The main objectives of the documents review are:
1.General understanding of the functioning of the management system: To understand
how each process audited integrates with the general activities of the organization, the
auditor should first have a general understanding of general processes of the organization
.
2.Evaluation of the design of the management system as well as the processes: The
auditor should ensure that the processes were designed to comply with the requirements of
the standard.
3.Verify that internal audits and management reviews were conducted: the conduct of an
internal audit and a management review are mandatory requirements in the conduct of a
certification audit. The auditor must ensure that these activities were carried out adequately.
4/24/20

DOCUMENT REVIEW COVERAGE
AUDITING MANAGEMENT SYSTEM DOCUMENTATION

(CONDUCTING DOCUMENT REVIEW)
During the document review, the audit team must ensure that the information contained in the
documentation (ISO 19011, Appendix B.3: Conducting document review) is:
a) To check if information-contents of the documents are :
ü Complete,
ü Correct
ü Consistent
ü Current.
b) Documents cover the audit scope
c) Use of appropriate information.
d) Understanding the operation of management System
e) Availability of necessary documented information.
……………………………………………………………………………………………………………......……………………
INITIAL
CERTIFICATION
AUDIT – STAGE I
(AUDIT PLAN)
AUDITING : INITIAL CERTIFICATION AUDIT

AUDIT PLAN - CONTENT
ü Risk- based approach to planning
ü Objectives of audit
ü Parts of system to be audited
ü Include audit trails to follow
ü Documents / records required
ü Personnel you want to see e.g. key Managers, typical cross section of staff
ü Time table Events
4/24/20

RISK- BASED APPROACH TO AUDIT PLAN
In planning the audit, the audit team leader should consider the following:
ü Competence of audit team and its overall competence;
ü The appropriate sampling technique;
ü Opportunities to improve the effectiveness and efficiency of the audit activities;
ü The risk to achieving audit objectives created by ineffective audit planning;
ü The risk to the auditee created by performing the audit;

AUDIT PLAN - CONTENT
The audit plan may also cover the following, as appropriate:
ü identification of the auditee’ s representative for the audit;
ü the working and reporting language of the audit where this is different from the
language of the auditor or the auditee or both; the audit report topics;
ü logistics and communications arrangements, including specific arrangements for the
locations to be audited;
ü any specific measures to be taken to address the effect of uncertainty on achieving the
audit objectives;
ü matters related to confidentiality and information security;

AUDIT PLAN - ADVANTAGES
ü Clarifies purpose of Audit
ü Use time more effectively
ü Ensures Everything is covered
ü Shows open Approach
ü Gives structures to audit
ü Gives professional Approach
4/24/20
INITIAL
CERTIFICATION
AUDIT – STAGE I
(AUDIT CHECKLIST)

AUDIT CHECKLIST
REQUIREMENTS OF AUDIT CHECKLIST

• To act as an Aide Memoir and an audit trace record
• To ensure that all elements and relevant requirements contained in the standard are
covered and nothing is omitted
• To reference each question to the relevant clauses of the standard
• Are an invaluable aid when writing the audit report.
• Space should be left on the checklist so that answers to the questions can be noted for
later use.
• Are compiled from the results of a detailed study of the process descriptions, procedures
and the standard
……………………………………………………………………………………………………………......……………………

ADVANATGES AND DISADVANTAGES OF CHECKLIST
ADVANATGES OF AUDIT CHECKLIST

• Promote planning for the audit
• Ensure a consistent audit approach
• Act as a sampling plan and time manager
• Serve as a memory aid
• Provide a repository for notes collected during the audit process
• Checklist can provide the structure & continuity to the audit & ensure that the audit scope is
being followed
• Checklist can provide a means of communication & a place to record data for use for future
reference
……………………………………………………………………………………………………………......……………………
4/24/20

ADVANATGES AND DISADVANTAGES OF CHECKLIST
DISADVANTAGES OF AUDIT CHECKLIST

• Checklists are developed with limited information
• Can lead to use of standardized check lists that stifle initiative and analysis of processes
• Can prevent the auditor investigating significant problem areas simply because they were
not on the check list
• A checklist used by an inexperienced auditor may not be able to clearly communicate
what the auditor is looking for
• Generic checklist, which do not reflect the specific organizational management system,
may not add any value and may interfere with the audit
• Narrow focused checklist minimize unique assessment questions/approach
……………………………………………………………………………………………………………......……………………
INITIAL
CERTIFICATION
AUDIT – STAGE 2

STAGE II AUDIT
PURPOSE
• The purpose is to evaluate the

implementation (including effectiveness
thereof) of the client’s EMS
4/24/20

REQUIREMENTS OF STAGE II AUDIT
The audit at least includes the following:

a) Information and evidence about conformity to the
requirements of applicable standard or other
normative document
b) Performance monitoring, measuring, reporting and reviewing
against key performance objectives and targets
c) Reviewing performance relating to legal compliance
d) Operational control of the processes
e) Internal auditing and management review
f) Management responsibility for the client’s policies
g) Links between the normative requirements, policy, performance objectives
and targets, legal requirements, responsibilities, competence, operations,
procedures, performance data, internal audit findings and conclusions.

SEQUENCE OF STAGE II AUDIT
ASSIGNING ROLES
AND CONDUCTING COMMUNICATING AUDIT INFORMATION
RESPONSIBILTIES OPENING MEETING DURING THE AUDIT AVAILABILITY AND
OF GUIDES AND ACCESS
OBSERVERS
REVIEWING COLLECTING AND

DOCUMENTED GENERATING AUDIT DETERMINING AUDIT
VERIFYING FINDINGS CONCLUSIONS
INFORMATION WHILE INFORMATION
CONDUCTING AUDIT
CONDUCTING
CLOSING MEETING
INITIAL
CERTIFICATION
AUDIT (STAGE II)
- OPENING MEETING
4/24/20
OPENING MEETING – STAGE II AUDIT

OBJECTIVES
ü To introduce the audit team.

ü To confirm the audit plan.
ü To briefly explain the way the audit activities will be conducted.
ü To confirm the communication channels.
ü To allow the auditee to ask questions.
ü To identify the potential audit problems..
OPENING MEETING – STAGE II AUDIT

POINTS TO BE CONSIDERED
1. Introduction of the participants, roles; 11. Reporting and grading of audit findings;
2. Scope of certification; 12. Sampling; (Disclaimer, limitations)
3. Audit plan (including type, scope of audit, 13. Language to be used;
objectives and criteria, date and time for 14. Ongoing feedback during audit;
the closing meeting and interim meetings); 15. Conditions that may lead to termination
4. Audit methodology of audit;
5. Communication channel; 16. Appeal/complaint process;
6. Availability of resources, facilities; 17. Request for cooperation and facilities
7. Confidentiality; (office facilities, working lunch)
8. Safety, security and emergency norms; 18. Site-tour by audit team;
9. Availability of guides; 19. Clarifications needed, if any;
10. Reporting and grading of audit findings; 20. Thanks
COMMUNICATING
DURING
THE AUDIT
EDU/EMS/LA/v1.0 105
4/24/20
EFFECTIVE COMMUNICATION
WHAT ARE THE BARRIERS OF COMMUNICATION
• What is spoken may not be heard

• What is heard may not be understood
• What is understood may not be accepted
SPOKEN WORDS ARE ONLY A PART OF THE OVERALL COMMUNICATION

PROCESS; OTHERS ARE :
• Body posture and movement
• Facial expression
• Gestures
• Vocal characteristics
• Interpersonal distance
……………………………………………………………………………………………………………......……………………
TECHNIQUES OF EFFECTIVE COMMUNICATION
• Put the auditee at ease
• PLAN – structure thoughts into questions
• Explain clearly (to the point) what is required
• Listen carefully to responses
• Avoid making personal judgement
……………………………………………………………………………………………………………......……………………
COMMON TYPES OF QUESTIONS
1. OPEN QUESTIONS
2. CLOSED QUESTIONS
3. CLARIFYING QUESTIONS
4. LEADING QUESTIONS
5. ANTAGONISTIC QUESTIONS
6. SILENCE
4/24/20
OPEN QUESTIONS CLOSED QUESTIONS
USED TO: USED TO:

• Obtain information passively • Obtain specific information
• Obtain explanation, detailed information • Ensure understanding of the question
• Give opportunity to someone to express being asked
their views freely, in one’s own way. • Probe and uncover
EXAMPLES EXAMPLES
• What is your job in organization ? • Do you have a Work Instruction for this
• What corrective action do you take when operation?
the product is unacceptable? • Has this batch been tested?
CLARIFYING QUESTIONS LEADING QUESTIONS
USED TO: USED TO:

• Ensure understanding • Suggest expected answer
• Eliminate ambiguity. • Put words in the audile's mouth
EXAMPLES EXAMPLES
• Can you please explain what do you • You always check calibration status
mean by that ? before using an instrument?
• Just to confirm that I have understood, • It is routine to check each hour that the
does it mean ………? emissions are within specification?
ANTAGONISTIC QUESTIONS SILENCE
• Not in good taste USED TO:

• Against the desirable personal characteristics • DRAW INFORMATION !
of an auditor.
• Arouse emotions VOCAL CHARACTERISTICS
• Tend to vitiate audit situation. Tone and emphasis Consider :
SO, AVOID !!!
• Who authorized that ?
EXAMPLES • Who authorized that ?
• Why does this department never complete its • Who authorized that ?
reports on time? Rephrase: • Who authorized that ?
• What problems this department face in
completing reports?
4/24/20
WHAT ARE SOME KEY INDICATORS OF EFFECTIVE COMMUNICATION

EFFORTS AND ACTIVITIES?
• Conducting candid, open and sometimes difficult discussions
• Paying attention to body language, tone of voice, and choice of words
• Asking board members for feedback and suggestions
• Focusing on “quality over quantity” of communications
……………………………………………………………………………………………………………......……………………
THINGS TO NOTE IN AUDIT COMMUNICATION

• identify the appropriate persons within the entity’s governance structure with whom
to communicate;
• communicate required matters with auditee on a timely basis;
• take appropriate steps to achieve effective two-way communication;
• establish and evaluate the adequacy of the communication process for the purpose
of the audit
AUDIT TEAM COMMUNICATION

• The Audit team will meet frequently throughout the Audit to exchange information
and gauge the Audit’s progress.
• The Audit Team Leader should assemble the Audit team at the beginning and end
of each day to discuss findings, exchange information, determine Audit follow-up
trails and strategies, and note areas that need attention.
……………………………………………………………………………………………………………......……………………
DAILY WRAP UP MEETING

• Findings should be summarized and discussed daily in an informal session with the
auditee’s management representative(s).
• This is needed to prevent “surprises” at the closing meeting and to give Auditee
management the opportunity to provide evidence or information that the Auditor
may have overlooked.
……………………………………………………………………………………………………………......……………………
AGENDA OF DAILY WRAP UP MEETINGS

• Discuss any “Priority” findings, including need for immediate correction or
containment of ones that constitute imminent danger to life.
• Make the Auditee aware of any issue where the Audit team needs additional
information in order to make a determination of conformance.
• Encourage the Auditee to present/prepare additional evidence as well as
alternative approaches to compliance/conformance with the Audit criteria and legal
requirements.
……………………………………………………………………………………………………………......……………………
4/24/20
AUDITOR CONFIDENTIALITY
AUDITOR MUST ENSURE
During opening meeting, and confirm it during closing meeting, that strict confidentiality will
be maintained in managing all the data information gained in the course of the audit :
• Company know-how
• Company personnel
• Company clients
It is one of the most important characteristics composing the Auditor professionalism to no

disclose to anybody these information. With this aim, the Auditor should protect and
safeguard paperwork and electronic documents from lost or unauthorized access.
……………………………………………………………………………………………………………......……………………
COLLECTING &
VERIFYING
INFORMATION
COLLECTING AND VERIFYING INFORMATION

METHODS OF COLLECTING INFORMATION
• All Areas of the Facility

1. OBSERVATION • Working Areas
• Welfare facilities
• Company Records
2. EXAMINING
RECORDS, TESTING, • Safety Equipment
• Statutory Inspections (Chains, Ropes, Lifting, Tackle,
CROSS-CHECKING Pressure Vessels)
• Top Management & Executives

3. INTERACTIONS, • Workers and contractors
ENQUIRY • Any other personnel with environmental or health and
safety responsibilities
4/24/20

PROCESS
1
• SOURCE OF INFORMATION
2
• COLLECTING BY MEANS OF APPROPRIATE SAMPLING
3
• AUDIT EVIDENCE
4
• EVALUATING AGAINST AUDIT CRITERIA
5
• AUDIT FINDINGS
6
• REVIEWING
7
• AUDIT CONCLUSIONS

METHODS OF COLLECTING INFORMATION – SITE TOUR
DURING SITE TOUR, AUDITORS ARE EXPECTED TO:

• Keep their eyes and ears open and keep the mouth mostly closed (i.e. asking very less questions and
not getting involved in prolonged QA sessions).
• Look for evidences of adequacy of resource allocations;
• Observe operations and adherence to identified risk-control measures.
• Checking/monitoring activities etc. to formulate auditing strategy
• Ensure permission and access (if needed);
• Obtain necessary briefing on security, health, safety and cultural norms (including PPE);
• Do not touch or manipulate any equipment;
• Ask for authorization before taking photographs or video materials;
……………………………………………………………………………………………………………......……………………
STAGE 2 AUDIT : POST-TOUR

• Results of site tour may give rise to a review of observations by audit team to modify audit plan.
• Thereafter, audits can commence as per the (revised) audit plan.
……………………………………………………………………………………………………………......……………………

SAMPLING TECHNIQUE
WHY Because Auditor Cannot Verify Everything
WHAT Selection Of Sample
By Using Adequate And Appropriate Method

HOW
Relevant To Audit
4/24/20

SAMPLING TECHNIQUE
GENERAL
• Do not ask auditee to select the sample
• Select a random sample
……………………………………………………………………………………………………………......……………………
BENEFITS OF SAMPLING
• Reduced number of items tested
• Reduce more risk of reaching a false conclusion
……………………………………………………………………………………………………………......……………………
LIMITATION OF SAMPLING
• Can result in uncertainty in audit findings.
• Number of samples depends on risk level, size and scale of organization, Criticality of
business process.
……………………………………………………………………………………………………………......……………………

GATHERING AUDIT EVIDENCE
1. PHYSICAL
TYPES OF EVIDENCE
2. DOCUMENTARY
3. CIRCUMSTANTIAL
4. TESTIMONIAL

AUDITOR’S APPROACH
• Be alert and responsive • Use a soft, friendly voice

• Clarify when unsure • Maintain a business-like, non-
• Summarize to ensure accuracy judgmental attitude
• Be calm, objective and • Do not enter into a debate
detached • Ask for suggestions for
• Be courteous, alert and improvements
responsive • Collect dates, facts, etc.
• Do not jump to conclusions or • Be friendly and empathetic
make assumptions • Be non-judgmental
4/24/20
GENERATING
AUDIT FINDINGS
GENERATING AUDIT FINDINGS

GRADING OF AUDIT FINDINGS
GRADING OF AUDIT
FINDINGS
NONCONFORMANCE OPPORTUNITY FOR IMPROVEMENT

(NC) (OFI) / OBSERVATION
MAJOR MINOR
GENERATING AUDIT FINDINGS

NON CONFORMANCE
MAJOR NONCONFORMANCE
Includes :
a) Legal noncompliance;
b) Nonfulfillment of the requirements of one (or more) clause/s of the standard;
c) Accumulation of a number of minor non-conformances in one area/topic.
……………………………………………………………………………………………………………......……………………
MINOR NONCONFORMANCE
If it is an NC and it is NOT a major NC, it has to be a minor NC. Includes :
a) Occasional failures in the various areas, e.g. documentation, records, segregation, labeling etc.
……………………………………………………………………………………………………………......……………………
OBSERVATION/ OPPORTUNITY FOR IMPROVEMENT (OFI) :

Includes :
• All identified areas of potential improvements.
• An OFI is NOT an NC.
• It’s a suggestion for improvement &doesn’t call for compulsory action.
4/24/20
WRITING A NONCONFORMITY REPORT (NCR)

THREE ELEMENTS OF NCR
• Identify the specific requirement of the EMS that has not been fulfilled
• Identify the clause of the standard that specifies the unfulfilled requirement
• The requirement may have been specified in other system documentation (e.g.
procedure, work instruction etc.)
• The three elements of a NCR are:

a) Statement of nonconformity (NC)
Express the problem in the words of the ‘requirement’.
Remember, if you cannot express the problem in the words of the
standard, procedure or contract, then you have no nonconformance !!
b) Evidence of NC
c) System-requirement (which is not fulfilled).
AUDIT
ROLE PLAY
AUDIT ROLE PLAY

THINGS TO CONSIDER
INTERVIEW STEPS
a) Be alert and responsive
b) Control interview in a relaxed way
c) Stick to relevant questions
d) Clarify when unsure
e) Summarize to ensure accuracy
f) Request a brief overview of the interviewee’s job
g) Gather detailed information
h) Ask only those questions which invite the interviewee’s full participation (who, what, why,
when, where and how) - open ended questions
i) Ask only one question at a time
j) Take relevant notes
k) Do not use tape recorders
l) Treat the interviewee as an equal
m) Use language the interviewee can understand
n) Arrange the meeting at the interviewee’s convenience
4/24/20
AUDIT ROLE PLAY

THINGS TO CONSIDER
• Repeat key words as a prompt • Be courteous, alert and responsive
• Be friendly and empathetic • Use a soft, friendly voice
• Be non-judgmental • Maintain eye contact
• Do not enter into a debate • Keep the right distance
• Ask for suggestions for improvements • Do not jump to conclusions or make
• Collect dates, facts, etc. assumptions
• Go to the interviewee’s work area • Tolerate silence
• Try to keep it on a ‘one to one’ footing • Mirror the interviewee’s body movements
• Maintain a business-like, non-judgmental • Take an open stance
attitude • Use NVC(Non Verbal Communication) to
• Shake hands or use other appropriate encourage interviewee to talk
greeting • Use encouraging paralinguistic
• Try to minimise distractions • Use NVC which is congruent with VC of
• Be calm, objective and detached yours as well interviewees
AUDIT
CONCLUSIONS &
CLOSING MEETING
PREPARING AUDIT CONCLUSIONS
THE AUDIT TEAM SHOULD CONFER PRIOR TO THE CLOSING MEETING IN

ORDER TO:
a) review the audit findings, and any other appropriate information collected during the audit,
against the
b) audit objectives;
c) agree on the audit conclusions, taking into account the uncertainty inherent in the audit
process;
d) prepare recommendations, if specified by the audit plan;
e) discuss audit follow-up, as applicable.
If specified by the audit plan, audit conclusions can lead to recommendations for improvement,
or future auditing activities.
……………………………………………………………………………………………………………......……………………
4/24/20
CLOSING MEETING
PRESENTING AUDIT-OUTCOME TO AUDITEE
AUDITOR AUDITEE
1. Audit Findings 2. Additional Info / Confirmation

of Facts
3. Audit Conclusion / 4. Comments
Recommendation ON-SITE AUDIT
5. Closing Meeting 6. Appeal or Acceptance
FOLLOW UP
8. Evaluation & Action Plans 7 Action Plans
(NEED BASED)
9. Corrective / Preventive
10. Surveillance Audit Measures SURVEILLANCE
CLOSING MEETING
POINTS TO BE CONSIDERED
1. Greetings 9. Disclaimer (limitations of

2. Thanks for assistance sampling)
3. Attendance record 10. Recommendations
4. Audit objective 11. Follow-up actions, as
5. Audit scope appropriate
6. Audit criteria 12. Unresolved issues, if any
7. Confidentiality 13. Clarifications, if any
8. Audit findings 14. Thanks for time
ü NCs (major, minor)
ü OFIs/Observation
ü Areas of concern
Competency Unit: TL
Leading Management System
Audit Teams
4/24/20
LEAD AUDITOR : ROLES AND RESPONSIBILITIES
1. AUDIT TEAM LEADER (TL)

• Conducting opening meeting
• Site tour and team briefing
• Coordinating and managing the audit
• Spokesperson for the team and channel of communication.
• Final say in audit conclusions
• Endorsing audit findings of auditors
• Periodical feedback to auditee
• Conduct closing meeting
• Submission of Audit Report
• Follow-up actions, as necessary
• Carry out audits as per audit plan (as a member of the audit team)
……………………………………………………………………………………………………………......……………………
RESPONSIBILITIES OF THE LEAD AUDITOR IN

MANAGING THE AUDIT AND THE AUDIT TEAM
LEAD AUDITOR IS RESPONSIBLE FOR:

• Lead/manage the Team Members in order to allow them to perform cross check activity
effectively and in time
• Collect all the evidences gained by the Team
• Evaluate the evidences ensuring that they will completely justify the Audit findings
• Solve any difference of opinion, within the Team, prior to the closing meeting with the
Client
……………………………………………………………………………………………………………......……………………
ACCREDITATION
AND
CERTIFICATION
4/24/20
ACCREDITATION AND CERTIFICATION
ACCREDITATION CERTIFICATION
• Procedure by which an authoritative body • Procedure by which a third-party

gives formal recognition that a body or (certification body) gives a written
person (signatory) is competent to carry assurance that a product, process or
out specific tasks service (of an organization) conforms to
specified requirements
• Governed by Standards such as ISO
17011 / 17021 / 17024 • Provided based on ISO 9001 / 14001 /
22000 etc..
ACCREDITATION AND CERTIFICATION

ACCREDITATION BODIES
(UKAS / ANAB /JAS ANZ / etc.)
ACCREDITS
CERTIFICATION BODIES CERTIFICATION BODIES FOR

(SGS / BVQI / BSI / etc.) PERSONS (EXEMPLAR GLOBAL)
CERTIFY ORGANIZATIONS CERTIFY TRAINING ORGANIZATIONS
AUDITEE APPROVED TRAINING PARTNERS

(e.g. Edullence)
TRAIN AUDITORS
AUDIT THE AUDITEES

AUDITORS
ACCREDITATION GUIDELINE
ISO/IEC 17011 - Conformity assessment -- General requirements for accreditation bodies

accrediting conformity assessment bodies
ISO 17021 - Conformity assessment -- Requirements for bodies providing audit and
certification of management systems
ISO/IEC 17024 - Conformity assessment -- General requirements for bodies operating

certification of persons
4/24/20
ISO 19011:2018 Vs. ISO 17021(2):2016
ISO 19011:2018 ISO 17021(2):2016 (As applicable)

Auditing Guidelines Third Party Audit Requirements
• This International Standard specifies
Requirements of the management system requirements for certification bodies.
standard • Aims to ensure that certification bodies
Provides guidance on operate management system certification in
• the management of an audit a competent, consistent and impartial
programme, manner.
• the planning and conducting of an • This International Standard serves as a
audit of the management system, foundation for facilitating the recognition of
• the competence and evaluation of an management system certification in the
auditor and an audit team interests of international trade.
INTERNATIONAL ACCREDITATION FORUM

ABOUT
ü Accreditation is the independent evaluation of conformity assessment bodies against

recognised standards to ensure their impartiality and competence. Through the
application of national and international standards, government, procurers and
consumers can have confidence in the calibration and test results, inspection reports
and certifications provided.
ü Accreditation bodies are established in many countries with the primary purpose of
ensuring that conformity assessment bodies are subject to oversight by an authoritative
body
ü Accreditation bodies, which have been evaluated by peers as competent, sign

arrangements that enhance the acceptance of products and services across national
borders, thereby creating a framework to support international trade through the removal
of technical barriers.

ROLE
ü The primary purpose of IAF is two-fold.

• Firstly, to ensure that its accreditation body members only accredit bodies that are
competent to do the work they undertake and are not subject to conflicts of interest.
• The second purpose of the IAF is to establish mutual recognition arrangements, known as
Multilateral Recognition Arrangements (MLA), between its accreditation body members
which reduces risk to business and its customers by ensuring that an accredited certificate
may be relied upon anywhere in the world.
ü The MLA contributes to the freedom of world trade by eliminating technical barriers to trade.
IAF works to find the most effective way of achieving a single system that will allow companies
with an accredited conformity assessment certificate in one part of the world, to have that
certificate recognised else where in the world. The objective of the MLA is that it will cover all
accreditation bodies in all countries in the world, thus eliminating the need for suppliers of
products or services to be certified in each country where they sell their products or services.
Certified once - accepted everywhere.
4/24/20

BENEFITS OF USING AN ACCREDITED CERTIFICATION BODY
ü De-risk your procurement by taking the guesswork out of choosing a certification body
by giving you confidence that you will get the service that closely meets your
requirements;
ü Win new business particularly since the use of accredited conformity assessment
services is increasingly a stipulation of specifiers in both the public and private sector;
ü Gain access to overseas markets since certificates issued by bodies that are accredited
by an IAF MLA signatory are recognised and accepted throughout the world;
ü Help to identify best practice since the certification body is required to have appropriate
knowledge of your business sector;
ü Control costs with the help of knowledge transfer since accredited certification bodies
can be a good source of impartial advice;
ü Offer market differentiation and leadership by showing to others credible evidence of
good practice;

BENEFITS OF USING AN ACCREDITED CERTIFICATION BODY
ü Demonstrate due diligence in the event of legal action;

ü Reduce paperwork and increase efficiency by reducing the necessity to re-audit your
business.
ü Consumer confidence can be gained from goods or services that bear a mark or carry a
certificate of conformity. The IAF MLA ensures that such goods and services placed on
the market, from which ever country of origin, meet standards of quality and safety
ü Accreditation bodies around the world, which have been evaluated by peers as
competent, have signed an arrangement that enhances the acceptance of products and
services across national borders
ü Having products assessed and certified as conforming to a particular standard allows
manufacturers and service providers to distinguish themselves from less reputable
suppliers, thereby creating a competitive advantage.

SOME OF THE REFERENCE PUBLICATIONS
ü IAF MD 1:2007 Certification of Multiple Sites Based on Sampling
ü IAF MD 2:2007 Transfer of Accredited Certification of Management Systems
ü IAF MD 3:2008 Advanced Surveillance and Recertification Procedures (ASRP)
ü IAF MD 4:2008 Use of Computer Assisted Auditing Techniques ("CAAT") for Accredited Certification of
Management Systems
ü IAF MD 5:2015 Determination of Audit Time of Quality and Environmental Management Systems
ü IAF MD 5:2013 IAF Mandatory Document for Duration of QMS and EMS Audits
ü IAF MD6:2014 Application of ISO 14065:2013
ü IAF MD 11:2013 IAF Mandatory Document for Application of ISO/IEC 17021 for Audits of Integrated
Management Systems (IMS)
ü IAF MD 17:2015 Witnessing Activities for the Accreditation of Management Systems Certification Bodies
ü IAF MD 17:2015 Witnessing Activities for the Accreditation of Management Systems Certification Bodies
ü IAF MD 19:2016 IAF Mandatory Document For The Audit and Certification of a Management System operated
by a Multi-Site Organization (where application of site sampling is not appropriate)
4/24/20
PREPARING AND
DISTRIBUTING THE
AUDIT REPORT
AUDIT REPORTING
MEANING
WHAT IS AUDIT REPORT ?
• Audit team leader to ensure

preparation of audit report and he is
responsible for the content
• Report provides an accurate, concise
and clear record of audit
• Enables informed certification
decision
AUDIT REPORTING
AUDIT REPORT - PREPARATION
AUDIT REPORT SHALL INCLUDE OR REFER TO THE FOLLOWING:

a) Identification of the certification body
b) Name and address of the client and the MR
c) Type of audit
d) Audit criteria
e) Audit objectives
f) Audit scope
g) Audit team leader, audit team members, any accompanying persons
h) The dates and places of audit
i) Audit findings, evidences and conclusions
j) Any unresolved issues
……………………………………………………………………………………………………………......……………………
4/24/20
AUDIT REPORTING
AUDIT REPORT - APPROVING AND DISTRIBUTION
FOLLOWING POINTS SHOULD BE CONSIDERED:

a) Audit report should be issued within the agreed time period, or delays communicated
to the audit client and a new date agreed
b) Audit report should be dated, reviewed and approved in accordance with audit
programme procedures
c) Approved audit report should then be distributed to recipients designated by the audit
client
d) The audit report is the property of the audit client; confidentiality of the report should be
respected
……………………………………………………………………………………………………………......……………………
COMPLETING THE AUDIT
BELOW POINTS TO NOTE WHILE AUDIT COMPLETION:

a) The audit is completed when all activities described in the audit plan have been carried
out and the approved audit report has been distributed
b) Documents pertaining to the audit should be retained or destroyed by agreement
between the participating parties and in accordance with
• audit programme procedures
• applicable statutory regulatory requirements, if any
• contractual requirements
c) If disclosure of the contents of an audit report document is required, the audit client and
auditee should be informed as soon as possible
……………………………………………………………………………………………………………......……………………
CONDUCTING AUDIT FOLLOW-UP
a) Depends on audit objective and audit

conclusion
b) Can require correction, or corrective, preventive
or improvement actions
c) The auditee arrives at corrective action plan; agreed
to by auditor
d) The auditee completes action within agreed timeframe
e) Auditor verifies completion and effectiveness of action
f) Verification of corrective action for OFIs and minor NCs
g) Verification of corrective action for major NCs.
4/24/20
SURVEILLANCE &
RECERTIFICATION
AUDITS
SURVEILLANCE AUDIT
AUDIT STAGES
Initial 1 st Year 2 nd Year 3 rd Year

Stage I Audit Surveillance Surveillance Recertification
Stage II Audit Audit Audit Audit
SURVEILLANCE AUDIT
OTHER SURVEILLANCE ACTIVITIES MAY INCLUDE

a) Enquiries from the CB on aspects of certification;
b) Reviewing client’s statements (e.g. promotional material);
c) Requests to provide documents/records;
d) Other means of monitoring performance.
……………………………………………………………………………………………………………......……………………
ON-SITE SURVEILLANCE AUDIT SHALL INCLUDE AT LEAST :
a) Internal audits and management review;
b) A review of actions taken on NCs of previous audit;
c) Treatment of complaints;
d) Effectiveness of management system;
e) Progress of planned activities aimed at continual improvement;
f) Continuing operational control.
g) Review of any changes;
h) Use of marks and/or any other reference to certification.
……………………………………………………………………………………………………………......……………………
4/24/20
RECERTIFICATION AUDIT
OVERVIEW & PURPOSE
OVERVIEW
• The certification of management systems is valid for three
years.
• For continuing validity, system is required to be recertified
before expiry of current certification, through successful
recertification audit.
PURPOSE
• To confirm the continued conformity and effectiveness of
the management system as a whole.
• To confirm the continued relevance and applicability for
the scope of certification
PLANNING
I. Planned to evaluate the continued fulfilment of:

ü all of the requirements of the management system standard, and
ü all the requirements stipulated in the system-documentation.
II. Planning to consider
ü the performance of the management system, and
ü results of the previous surveillance audits.
III. Planning may need to include a stage 1 audit.
IV. Planning to ensure adequate on-site audit coverage.
ON-SITE AUDIT
RECERTIFICATION SHALL INCLUDE AN ON-SITE AUDIT THAT ADDRESSES:

a) Effectiveness of the management system;
b) Applicability and relevance of scope;
c) Demonstrated commitment to maintain effectiveness;
d) Demonstrated commitment to improvement of the management system;
e) Contribution of the management system to achieve objectives and
implementation of policy.
f) Complaints received from users of certification;
g) Implementation of corrections and corrective actions for NCs raised during
recertification audit, prior to expiration of certification.
……………………………………………………………………………………………………………......……………………
4/24/20
Please contact for further information:

info@edullence.com | www.edullence.com | +91 9899223636

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DELEGATE

Environmental Management Systems Certification

WHY BECOME A CERTIFIED AUDITOR?

• Get prepared to audits for a certification process / body

• A network of national standardization

Equal Representation – 1 Vote for each member country

Voluntary Membership – No Compulsion for adoption

Business Orientation – Standards developed are to meet market needs

Consensus Approach – Focuses on consensus of stake holders

International Cooperation – More than 160 countries and liaison bodies

6. Evidence based decision making

Annex SL defines the framework for

• Development of new management

• Revisions of existing management

ENVIRONMENTAL MANAGEMENT SYSTEM

ENVIRONMENTAL MANAGEMENT SYSTEM

WHAT ARE THE BUSINESS &

• Minimise environmental liabilities;

GLOBAL ENVIRONMENTAL ISSUES

SOME OF THE GASES CAUSING GLOBAL WARMING

SOURCES OF GLOBAL WARMING

GLOBAL ENVIRONMENTAL ISSUES

IMPACT OF GLOBAL WARMING

CONTROL OF GLOBAL WARMING

GLOBAL ENVIRONMENTAL ISSUES

IMPACTS OF ACID RAIN

CONTROLLING ACID RAIN

GLOBAL ENVIRONMENTAL ISSUES

SOURCES OF OZONE DEPLETING SUBSTANCES

EFFECTS OF OZONE DEPLETING

CONTROL OF OZONE DEPLETION

GLOBAL ENVIRONMENTAL ISSUES

DEMING’S PDCA CYCLE

Enables Process Enables Process

Enables Process Enables Process

PROCESS APPROACH IN EMS

Inputs Site Outputs

RESOURCE USAGE POLLUTION

DEMING’S PDCA CYCLE

TERMS AND DEFINITIONS

3.1 MANAGEMENT SYSTEM

3.3 CONTINUAL IMPROVEMENT

TERMS AND DEFINITIONS

3.4 CORRECTIVE ACTION

TERMS AND DEFINITIONS

3.8 ENVIRONMENTAL CONDITION

3.9 ENVIRONMENTAL OBJECTIVE

TERMS AND DEFINITIONS

3.10 INTERESTED PARTY

3.12 PREVENTION OF POLLUTION

AUDITING CONTEXT OF THE ORGANIZATION

UNDERSTANDING THE ORGANIZATION AND ITS CONTEXT

UNDERSTANDING THE NEEDS AND EXPECTATIONS OF INTERESTED PARTIES

AUDITING CONTEXT OF THE ORGANIZATION

DETERMINING THE SCOPE OF EMS

AUDITING CONTEXT OF THE ORGANIZATION

ENVIRONMENTAL MANAGEMENT SYSTEM

LEADERSHIP AND COMMITMENT

AUDITING ASPECT IMPACT / RISK – OPPORTUNITY

ü The organization shall maintain documented information of its:

AUDITING ASPECT IMPACT / RISK – OPPORTUNITY

AUDITING ASPECT IMPACT / RISK – OPPORTUNITY

AUDITING ASPECT IMPACT / RISK – OPPORTUNITY