EMS Lead Auditor ISO 14001 ATC

ISO 14001:2015 Lead
Auditor
Environment
Management System
ABSOLUTE TRAINING &
CONSULTING LLC
ISO 14001 Lead Auditor
Table of Contents
MODULE - 1 Course Introduction
MODULE - 2 Definitions & Overview of Environment Management System
DAY -1
MODULE - 3 Understanding the Process of Certification
MODULE - 4 Familiarizing with ISO 14001 standard Clauses 4 - 5
MODULE - 5 Familiarizing with ISO 14001 standard Clauses 6 - 10
DAY -2
MODULE - 6 Auditing Principles
MODULE - 7 Initiating the Audit
DAY -3
MODULE - 8 Preparing for the Audit
MODULE - 9 Conducting the Audit
DAY - 4
MODULE - 10 Audit reporting & following up
MOCK Audit Role Play
DAY - 5
EXAM EXAM
2
ISO 14001:2015 Lead

Auditor Course
MODULE - 1
Course Introduction
3
Course Introduction
• ISO 14001 lead auditor will give you an overview of the minimum
requirements of developing an Environment Management System (EMS)
• Enable you to conduct and lead ISO 14001 internal/external audits
• Total course duration is 5 days in which the 5 day is for revision & examination
• This lead auditor course is accredited under the Exemplar Global RTP course
registration scheme
4
Course Objectives
The objective of this course is to provide students with:
• Familiarization with ISO 14001:2015 Environment Management System (EMS)
principles.
• Understanding of the PDCA methodology & Continual improvement cycle
• Enable students with the knowledge and skills to perform, first, second and third party
audits of Environment Management systems
• Enable students to verify compliance with the current ISO 14001 standard in
accordance with ISO 19011 (Guidelines for auditing MS) and ISO 17021 (Conformity
Assessment standard) as applicable.
5
Assessment
• Students will be continuously assessed by tutors on their:
– Attendance
– Level of participation
– Ability to grasp concepts
• Students will be assessed in a written examination at the end of this course
• Written examination Passing Mark: 50%
6
Appealing the result

• Students who think that ATC's "pass/fail" grade awarded to them should be looked at
again can do so by sending a written appeal to the GM of ATC within 10 days of getting
their result notification.
• Within 7 days of getting the appeal, ATC will send a letter with the decision.
• If there is a delay in processing the appeal or if a delay is expected, the person who filed
the appeal will be told in writing why there is a delay and when they can expect an
answer.
• If the person who filed the appeal is not happy with the outcome, he or she can directly
complain to Exemplar Global writing.
7
Student Introduction
• Please introduce yourself briefly, clearly stating your

– Name
– Nationality
– Company
– Designation/Job role
– Experience
• What you would like to gain most from this course.
8
ISO 14001:2015 Lead

Auditor Course
MODULE - 2
Definitions & Overview of Environment Management System
9
What is ISO?
• ISO stands for (International Organization for Standardization) Derived from Greek word
‘ISOS’ which meaning equal.
• ISO officially began operations on 23 February 1947, in Geneva, Switzerland.
• ISO (International Organization for Standardization) is an independent, non-governmental

international organization with a membership of 168 national standards bodies.
• https://www.iso.org/home.html
10
Management System
• System to establish policy and objectives and to achieve those objectives.
• Six common elements – Source: ISO Guide 72

o Policy
o Planning
o Implementation and Operation
o Performance Assessment
o Improvement
o Management Review
11
Environmental management system
Part of the management system used to manage environmental aspects, fulfil compliance
obligations and address risks and opportunities
Environment
surroundings in which an organization operates, including air, water, land, natural resources,
flora, fauna, humans and their interrelationships
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’s environmental aspects
12
Objective
Result to be achieved
Environmental objective
Objective set by the organization consistent with its environmental policy
Environmental condition
State or characteristic of the environment as determined at a certain point in time
Document
Information and the medium on which it is contained
Management system
Set of interrelated or interacting elements of an organization to establish policies and objectives
and processes to achieve those objectives
Risk
Effect of uncertainty (An effect is a deviation from the expected — positive or negative)
13
Opportunity
A set of circumstances which makes it possible to do something
Competence
Ability to apply knowledge and skills to achieve intended results
Documented information
Information required to be controlled and maintained by an organization (3.1) and the medium
on which it is contained
Process
Set of interrelated or interacting activities which transforms inputs into outputs
Procedure
specified way to carry out an activity or a process
14
Audit
Systematic, independent and documented process (3.25) for obtaining audit evidence and
evaluating it objectively to determine the extent to which the audit criteria are fulfilled
Conformity
Fulfilment of a requirement
Nonconformity
Non-fulfilment of a requirement
Corrective action
Action to eliminate the cause(s) of a nonconformity or an incident and to prevent recurrence or
does result in injury and ill health
Continual improvement
Recurring activity to enhance performance
15
Documented information
Information required to be controlled and maintained by an organization and the medium
on which it is contained
Documented information” is used to include both documents and records.
The phrase “retain documented information as evidence of…” refers to records such as
records of measurements, records of inspections & audits etc
The phrase “shall be maintained as documented information” to mean documents,

including procedures such as Quality policy, Objectives and Document control procedure
etc.
16
Commonalities with other Management Systems
OHSMS EMS
ISO 45001 ISO 14001
Information
and Common QMS
Security Requirem
ents ISO 9001
ISO/ IEC
27001
IT
Food Safety Services
ISO 22000 Iso/ IEC
20000
17
18
Certification Flow Chart

Enquiry
Application
Stage 1
Audit
Stage 2
Audit
Certificate
Surveillance
Re-
certification
19
Environment Management System Structure

➢ PDCA model
❑ Plan: Determine the system and each of its necessary
components.
❑ Do: Put into action and implement what has been planned.
❑ Check: Observe and evaluate how well the EMS is working.
❑ Act: Adopt measures to continuously improve EMS and EMS

performance
20
Benefit of Environment Management System

• Improved environmental performance
• Enhanced compliance
• Pollution prevention
• Resource conservation
• New customers/markets
• Increased efficiency/reduced costs
• Enhanced employee morale
• Enhanced image with public, regulators, lenders, investors
• Employee awareness of environmental issues and responsibilities
21
ISO 14001:2015 Lead

Auditor Course
MODULE - 3
Understanding the Process of Certification
22
Certification Vs Accreditation
Accreditation
Body
Accreditation body
Certification bodyCertification
Certification
Body Body
Organizations seeking certification (Auditees)

Auditee
23
Certification Cycle
Initial
1st Year
Stage 1 Audit
Surveillance 1 audit
Stage 2 Audit
3rd Year
2nd Year
Recertification
Surveillance 2 Audit
Audit
24
Function of Accreditation
• Accreditation is an endorsement of a certification body
• Accreditation provides a certification body with a trust mark &
confidence
• An accredited registrar also called accredited certification body (CB)
• Accreditation bodies ensure that certification bodies have the systems and
tools in place to conduct certification audits and to certify that an
organization has developed and implemented a management system in
line with the requirements of the standards
25
Function of Certification Body

• Organizations may decide to have an external body confirm that their EMS meets
the requirements of standards such as ISO 14001.
• This process is known as certification or registration.
• Certification Bodies conduct audits of various organizations to verify that they
have a management system in place in line with the requirements of the standards
26
Initial Audit
• Stage 1 Audit
• Stage 2 Audit
Surveillance Audit
• Six Monthly / Yearly
• Designed to check that EMS is being maintained and
certification body rules are complied with
• Encourage proper maintenance of the EMS at all
times
Recertification Audit
• In third Year
27
ISO 14001:2015 Auditor/

Lead Auditor Course
MODULE - 4
Familiarizing with ISO 14001 standard Clauses 4 - 6
28
ISO 14001 clauses

▪ 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
29
Clause 4
Understanding the context of the organization
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
30
Clause 4
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.
31
Clause 4
Determining the scope of the environmental management system
▪ 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 referred to in 4.1;
▪ b) the compliance obligations referred to in 4.2;
▪ c) its organizational units, functions and physical boundaries;

▪ d) its activities, products and services;
▪ e) its authority and ability to exercise control and influence
32
Step 1 Identify interested parties

Step 2 Identify internal issues
Step 3 Identify external issues
Step 4 Categories positive and negative issues
Step 5 Identify needs and expectation of interested parties
Step 6 Define scope
Step 7 Define scope activities
Step 8 Define process and sub processes
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EXERCISE - 1
INTERNAL & EXTERNAL ENVIRONMENTAL ISSIES
34
EXERCISE-1 Internal & External issues

ABC is a Sulphur handling and storage terminal which handles Sulphur granules which often break
down and generate a lot of dust. Sprinklers are used to dampen the Sulphur granules to prevent
dust generation. This sometimes leads to excessive waste water carrying Sulphur which has to be
disposed off as waste. Sometimes it enters the local drainage system and enters the adjoining
river stream to which the surface water from the plant is usually discharged and can cause water
pollution.
ABC is a member of large group which operates multiple companies and is controlled by coporate
COPs. There are many legal requirements related to environmental protection which need to be
adhered to and the company is visited regularly by the environmental protection agency. There
are many adjoining chemical processing plants in the vicinity which discharge numerous waste
gasses into the atmosphere.
Identify the internal and external environment issues faced by the organization
35
Internal Issues External Issues
36
Internal Issues External Issues
Air quality Customers requirements

Waste hauling Legal environmental requirements
Cost of waste hauling Env. agency visits
Sulphur dust inside the plant Chemicals released by adjoining chemical
Corporate COPs to be complied plants
Workers complaints related to dust Pollution of adjoining rivers and streams
Poor housekeeping die to continuous dust Cases of pollution publicised by media
37
Clause 5
Leadership
▪ Top management shall demonstrate leadership and commitment with respect
to the environmental management system by:
▪ a) taking accountability for the effectiveness of the environmental
management system;
▪ b) ensuring that the environmental policy and environmental objectives are
established and are compatible with the strategic direction and the context of
the organization;
▪ c) ensuring the integration of the environmental management system
requirements into the organization’s business processes;
38
Clause 5
Leadership
▪ Ensuring that the resources needed for the environmental management system
are available;
▪ Communicating the importance of effective environmental management and of
conforming to the environmental management system requirements;
▪ Ensuring that the environmental management system achieves its intended
outcomes;
▪ Directing and supporting persons to contribute to the effectiveness of the
environmental management system;
39
Clause 5
Leadership
▪ Promoting continual improvement;
▪ Supporting other relevant management roles to demonstrate their leadership
as it applies to their areas of responsibility.
40
Clause 5
Environmental Policy
▪ Top management shall establish, implement and maintain an environmental policy that, within
the defined scope of its environmental management system:
o Is appropriate to the purpose and context of the organization, including the nature, scale
and environmental impacts of its activities, products and services
o Provides a framework for setting environmental objectives
o 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
41
Clause 5
▪ Environmental Policy
o Includes a commitment to fulfil its compliance obligations;
o Includes a commitment to continual improvement of the environmental management
system to enhance environmental performance.
The environmental policy shall:
▪ be maintained as documented information;
▪ be communicated within the organization;
▪ be available to interested parties.
42
Clause 5
Organizational Roles , Responsibilities and Authorities
▪ Top management shall ensure that the responsibilities and authorities for
relevant roles are assigned and communicated within the organization. Top
management shall assign the responsibility and authority for:
o Ensuring that the environmental management system conforms to the
requirements of this International Standard
o Reporting on the performance of the environmental management system,
including environmental performance, to top management.
43
EXERCISE - 2
ENVIRONMENTAL POLICY
44
Company XYZ Manufacturing is committed to conducting its business operations in an environmentally responsible manner. As a manufacturer, we recognize
our role and responsibility in minimizing our impact on the environment and ensuring the sustainable use of resources. This policy outlines our commitment
to environmental management in alignment with ISO 14001:2015 standards.
We are dedicated to preventing pollution and reducing our environmental footprint. We will implement measures to minimize the generation of waste,
emissions, and effluents, and promote recycling and responsible disposal practices.
We will continuously improve our resource efficiency by optimizing the use of energy, water, and raw materials throughout our manufacturing processes. This
includes adopting technologies and practices that minimize waste generation and promote the efficient use of resources.
We will assess and manage the environmental impacts of our activities, products, and services. This includes identifying significant environmental aspects and
establishing objectives and targets for their reduction or elimination.
We will promote open communication and engagement with our employees, suppliers, customers, and the public to enhance environmental awareness and
understanding. We will encourage feedback, suggestions, and collaboration to improve our environmental performance.
We will regularly review and communicate this environmental policy to all stakeholders, ensuring its availability to the public and interested parties. We will
seek feedback and periodically review our policy to ensure its relevance and effectiveness.
By adhering to this policy, Company XYZ Manufacturing aims to minimize its environmental impact, protect natural resources, and contribute to a sustainable
future. We will strive for continual improvement in our environmental performance, recognizing that environmental stewardship is vital for the well-being of
current and future generations
45
Identify which requirements of Iso 14001 have been met in this environmental
policy and also identify the requirements which have not been met.
46
END OF DAY -1
47
ISO 14001:2015 Auditor/ Lead

Auditor Course – Day 2
MODULE - 5
Familiarizing with ISO 14001 standard Clauses 6 - 10
48
Clause 6
Actions to Address risks and opportunities
▪ The organization shall establish, implement and maintain the process(es)
needed to meet the requirements in. When planning for the environmental
management system, the organization shall consider:
▪ To give assurance that the environmental management system can achieve
its intended outcomes;
▪ To prevent or reduce undesired effects, including the potential for external
environmental conditions to affect the organization;
▪ To achieve continual improvement
49
Clause 6
Environmental Aspects
▪ When determining environmental aspects, the organization shall
take into account:
a) change, including planned or new
developments, and new or modified
activities, products and services;
b) abnormal conditions and reasonably foreseeable
emergency situations.
50
Clause 6
Environmental Aspects
▪ The organization shall communicate its significant environmental
aspects among the various levels and functions of the
organization, as appropriate.
▪ 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.
51
Clause 6
Compliance Obligation
▪ The organization shall:
▪ a) determine and have access to the compliance obligations related to its
environmental aspects;
▪ b) determine how these compliance obligations apply to the organization;
▪ c) take these compliance obligations into account when establishing,
implementing, maintaining and continually improving its environmental
management system.
52
Clause 6
Planning Action
▪ The organization shall plan:
To take actions to address its:
1) Significant environmental aspects;
2) Compliance obligations;
3) Risk and Opportunities
53
Clause 6
Planning and Action
▪ 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
54
Clause 6
Environmental objectives and planning to achieve them
▪ The environmental objectives shall be:
▪ a) consistent with the environmental policy;
▪ b) measurable (if practicable);
▪ c) monitored;
▪ d) communicated;
▪ e) updated as appropriate
55
Clause 6
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
56
EXERCISE - 3
ENVIRONMETAL ASPECTS AND IMPACTS
57
Exercise 3 – Environmental aspects and impacts
Identify the environmental aspects and impacts of an oil refinery
58
ENVIRONMENTAL ASPECTS ENVIRONMENTAL IMPACTS
59
Clause 7
Support
▪ Resources
▪ The organization shall determine and provide

the resources needed for the establishment,
implementation, maintenance and continual
improvement of the environmental
management system.
60
Clause 7
Competence
o 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
o Ensure that these persons are competent on the basis of appropriate
education, training or experience
61
Clause 7
Competence
▪ Determine training needs associated with its environmental aspects and its
environmental management system;
▪ Where applicable, take actions to acquire the necessary competence, and
evaluate the effectiveness of the actions taken.
62
Clause 7
Awareness
▪ The organization shall ensure that persons doing work under the organization’s
control are aware of:
o The environmental policy;
o The significant environmental aspects and related actual or potential
environmental impacts associated with their work;
63
Clause 7
Competence
o Their contribution to the effectiveness of the environmental management
system, including the benefits of enhanced environmental performance;
o The implications of not conforming with the environmental management
system requirements, including not fulfilling the organization’s compliance
obligations.
64
Clause 7
Communication
▪ The organization shall establish, implement and maintain the
process(es) needed for internal and external communications
relevant to the environmental management system, including:
a) on what it will communicate;
b) when to communicate;
c) with whom to communicate;
d) how to communicate.
65
Clause 7
Communication
When establishing its communication process(es), the organization shall:
— take into account its compliance obligations;
— ensure that environmental information communicated is consistent with information generated
within the environmental management system, and is reliable.
The organization shall respond to relevant communications on its environmental management system.
The organization shall retain documented information as evidence of its communications, as
appropriate.
66
Clause 7
Internal Communication
The organization shall:
a) 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;
b) ensure its communication process(es) enable(s) persons doing
work under the organization’s control to contribute to continual
improvement.
67
Clause 7
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.
68
Clause 7
Documented Information
General
▪ The organization’s environmental management system shall include:
▪ a) documented information required by this International Standard;
▪ b) documented information determined by the organization as being
necessary for the effectiveness of the environmental management
system.
69
Clause 7
The extent of documented information for an environmental management
system can differ from one organization to another due to:
— the size of organization and its type of activities, processes, products
and services;
— the need to demonstrate fulfilment of its compliance obligations; —
the complexity of processes and their interactions;
— the competence of persons doing work under the organization’s control.
70
Clause 7
Creating and Updating
▪ When creating and updating documented information, the
organization shall ensure appropriate:
▪ a) identification and description (e.g. a title, date, author, or
reference number);
▪ b) format (e.g. language, software version, graphics) and media
(e.g. paper, electronic);
▪ c) review and approval for suitability and adequacy.
71
Clause 7
Control of documented Information
▪ Documented information required by the environmental
management system and by this International Standard shall be
controlled to ensure:
▪ a) it is available and suitable for use, where and when it is
needed;
▪ b) it is adequately protected (e.g. from loss of confidentiality,
improper use, or loss of integrity)
72
Clause 7
Control of documented Information
▪ 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.
73
Clause 8
Operational Planning and Control
▪ The organization shall establish, implement, control and
maintain the processes needed to meet environmental
management system requirements, and to implement the
actions identified by:
— establishing operating criteria for the process(es);
— implementing control of the process(es), in accordance with
the operating criteria.
74
Clause 8
▪ Consistent with a life cycle perspective, the organization shall:
a) establish controls, as appropriate, to ensure that its environmental
requirement(s) is (are) addressed in the design and development process
for the product or service, considering each life cycle stage;
b) determine its environmental requirement(s) for the procurement of
products and services, as appropriate;
75
Clause 8
c) communicate its relevant environmental requirement(s) to

external providers, including contractors;
d) consider the need to provide information about potential
significant environmental impacts associated with the
transportation or delivery, use, end-of-life treatment and final
disposal of its products and services.
76
Clause 8
▪ Operational Planning and Control
a) prepare to respond by planning actions to prevent or mitigate
adverse environmental impacts from emergency situations;
b) respond to actual emergency situations;
c) take action to prevent or mitigate the consequences of
emergency situations, appropriate to the magnitude of the
emergency and the potential environmental impact
77
Clause 8
▪ Operational Planning and Control
d)periodically test the planned response actions, where
practicable;
e) periodically review and revise the process(es) and planned
response actions, in particular after the occurrence of emergency
situations or tests;
f) provide relevant information and training related to emergency
preparedness and response, as appropriate, to relevant
interested parties, including persons working under its control.
78
Clause 9
▪ Performance Evaluation
▪ Monitoring, measurement, analysis and evaluation
▪ General
▪ The organization shall monitor, measure, analyze and evaluate its

environmental performance. The organization shall determine:
a) what needs to be monitored and measured;
b)the methods for monitoring, measurement, analysis and evaluation, as
applicable, to ensure valid results;
79
Clause 9
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.
80
Clause 9
▪ The organization shall ensure that calibrated or verified monitoring and
measurement equipment is used and maintained, as appropriate.
▪ The organization shall evaluate its environmental performance and the
effectiveness of the environmental management system.
81
Clause 9
▪ The organization shall communicate relevant environmental performance
information both internally and externally, as identified in its
communication process(es) and as required by its compliance obligations.
▪ The organization shall retain appropriate documented information as
evidence of the monitoring, measurement, analysis and evaluation results.
82
Clause 9
▪ Evaluation of compliance
▪ The organization shall establish, implement and maintain the process(es)
needed to evaluate fulfilment of its compliance obligations.
▪ 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
83
Clause 9
▪ Internal Audit
▪ General
▪ The organization shall conduct internal audits at planned intervals to provide information
on whether the environmental management system:
a)Conforms to:
1) the organization’s own requirements for its environmental management system;

2) the requirements of this International Standard;
b) is effectively implemented and maintained.
84
Clause 9
▪ Internal Audit Programme
a) define the audit criteria and scope for each audit;
b) select auditors and conduct audits to ensure objectivity and the
impartiality of the audit process;
c) ensure that the results of the audits are reported to relevant
management.
85
Clause 9
▪ Management Review
▪ The management review shall include consideration of:
a) Status of actions from previous management reviews;
b) Changes in:
1) external and internal issues that are relevant to the environmental
management system;
2) the needs and expectations of interested parties, including compliance
obligations;
86
Clause 9
3) its significant environmental aspects;
4) risks and opportunities;
c) the extent to which environmental objectives have been achieved;
d) information on the organization’s environmental performance, including
trends in nonconformities and corrective actions
87
Clause 9
2) monitoring and measurement results;
3) fulfilment of its compliance obligations;
4) audit results;
e) adequacy of resources;
f) relevant communication(s) from interested parties, including complaints;
g) opportunities for continual improvement.
88
Clause 9
The outputs of the management review shall include:
— conclusions on the continuing suitability, adequacy and effectiveness of
the environmental management system;
— decisions related to continual improvement opportunities;
— decisions related to any need for changes to the environmental
management system, including resources;
89
Clause 9
— actions, if needed, when environmental objectives have not been
achieved;
— opportunities to improve integration of the environmental management
system with other business processes, if needed;
— any implications for the strategic direction of the organization
90
Clause 9
▪ Significant environmental aspects;
▪ Risks and opportunities;
▪ Extent to which environmental objectives have been achieved;
▪ Information on the organization’s environmental performance, including
trends in nonconformities and corrective actions;
91
Clause 10
▪ Improvement
▪ General
The organization shall determine opportunities for improvement and implement
necessary actions to achieve the intended outcomes of its environmental
management system.
92
Clause 10
▪ Nonconformity and corrective action
▪ When a nonconformity occurs, the organization shall: a) react to the

nonconformity and, as applicable:
▪ 1) take action to control and correct it;
▪ 2) deal with the consequences, including mitigating adverse environmental
impacts;.
93
Clause 10
b) evaluate the need for action to eliminate the causes of the
nonconformity, in order that it does not recur or occur elsewhere, by:
1) reviewing the nonconformity;
2) determining the causes of the nonconformity;
3) determining if similar nonconformities exist, or could potentially occur;
94
Clause 10
c) implement any action needed;
d) review the effectiveness of any corrective action taken;
e) make changes to the environmental management system, if
necessary.
95
Clause 10
▪ The organization shall retain documented information as
evidence of:
— the nature of the nonconformities and any subsequent
actions taken;
— the results of any corrective action
96
Clause 10
▪ Continual Improvement
The organization shall continually improve the suitability, adequacy and

effectiveness of the environmental management system to enhance
environmental performance.
97
EXERCISE - 4
DOCUMENTED INFORMATION
98
Identify which documented information is to be maintained

and which information is to be retained in line with ISO
14001:2015
99
Maintained information Retained Information
100

Auditor Course
MODULE - 6
Auditing Principles
101
ISO 19011:2018 – Auditing Principles

1. Integrity: the foundation of professionalism ( Auditors should act ethically)
2. Fair presentation: the obligation to report truthfully and accurately
3. Due professional care: the application of diligence and judgement in auditing
4. Confidentiality: security of information
5. Independence the basis for the impartiality of the audit and objectivity of the audit
conclusions if practicable
6. Evidence-based approach: the rational method for reaching reliable and
reproducible audit conclusions in a systematic audit process
7. Risk-based approach: an audit approach that considers risks and opportunities
102
Auditor Confidentiality
Why maintain confidentiality?
• "Certification bodies have access to proprietary information to assess conformity, but it should not be
abused.“
• Maintenance of confidentiality is an essential accreditation requirement for accredited certification
bodies
• Auditors are often contractually bound to maintain the confidentiality of the audit client/
auditee
• All information provided by the client, except for that explicitly made publicly available, shall be
considered confidential
103
Audit Roles & responsibilities
• Auditor – Person who conducts an audit (ISO 19011)

• Audit Team – One or more auditors conducting an audit, supported if
needed by planns [ISO19011]
Note 1 One auditor of the audit team is appointed as the audit team leader
Note 2 The audit team may include auditors-in-training
104
Definition
• Technical Expert - person who provides specific knowledge or expertise to the

audit team
• Must not be an audit team member
• Must work under the direction of the audit team leader
105
• Guides
– Person appointed by the auditee to assist the
audit team
• Observers
– Person who accompanies the audit team but
does not audit
106
• Auditee - organisation to be audited [ISO 19011]
• Audit Client – Organisation or person requesting an audit [ISO

19011]
107
Personal Attributes
Personal Attributes of the

Auditor
108
Roles & responsibilities of the person managing the audit program
The person managing the audit programme should :
a) establish the extent of the audit program
b) determine the external and internal issues,
c) ensure the selection of audit teams
d) establish all relevant processes including processes for:
• the coordination and scheduling of all audits within the audit programme;
• the establishment of audit objectives,
• evaluating auditors;
• the establishment of external and internal communication processes
• resolutions of disputes and handling of complaints;
• audit follow-up if applicable;
• reporting to the audit client and relevant interested parties, as appropriate.
109
Roles & responsibilities of the person managing the audit program
• The person managing the audit programme should :

e) determine and ensure provision of all necessary resources;
f) ensure that appropriate documented information is prepared
and maintained, including audit programme records;
g) monitor, review and improve the audit programme;
h) communicate the audit programme to the audit client and,
as appropriate, relevant interested parties.
110
END OF DAY -2
111

Auditor Course - Day 3
MODULE - 7
Initiating the audit
112
113
Audit activities
Initiate the audit
• Establishing initial contact with the auditee

• Determining the feasibility of the audit
114
Establishing initial contact with the auditee

• Establish communications with the auditee’s representatives;
• Confirm the authority to conduct the audit;
• Provide information on the audit objectives, scope, methods and audit team
• Request access to relevant documents and records for planning purposes;
• Determine applicable legal and contractual requirements
• Confirm the agreement with the auditee regarding the extent of the disclosure
• Make arrangements for the audit including scheduling the dates;
• Determine any location-specific requirements for access, security, health and safety or other;
• Determine any areas of interest or concern to the auditee in relation to the specific audit.
115
Determining the feasibility of the audit
The determination of feasibility should take into consideration
such factors as the availability of the following:
• Sufficient and appropriate information for planning and conducting the

audit;
• Adequate cooperation from the auditee;
• Adequate time and resources for conducting the audit.
116
Selection of Auditor
• How to select auditor for a stage 2 audit for ISO 14001:2015
• Knowledge of ISO 14001:2015 Standard
• Knowledge of the industry (sector expert)
• No conflict of interest with auditee organization.
• Understand auditee language
• Geographical proximity
• Knowledge of legal and applicable requirements
117
Collecting Evidences
Source Method
Documents Document review
Record Record review
People Interview
Machine/Process Observation
People / Machine Demonstration
118

MODULE - 8
Preparing for the audit
119
Typical audit activities
Preparing audit activities (Stage 1 audit: ISO 17021)

• Preparing document review in preparation for the audit
• Preparing the audit plan
• Assigning work to the audit team
• Preparing work documents
120
Initial Certification Audit- Stage 1 audit
Stage 1 audit shall be performed (Ref: ISO 17021)
• The audit client’s management system documentation
• To evaluate the client’s location and site specific conditions and to
undertake discussions with the client’s personnel to determine the
preparedness for the stage 2 audit
• 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
121
Stage 1 audit shall be performed (Ref: ISO 17021)
• "Gather information on management system scope, processes, client location, and
compliance with statutory and regulatory requirements.“
• To review the allocation of resources for stage 2 audit and agree with the client on
the details of 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
• Assess internal audits and management reviews to determine if the management
system is ready for stage 2 audit.
122
Preparing the audit plan
• When planning audits, the following needs to be kept in mind:

– Scope – the sites, the departments, their functions
– Criteria – the benchmarks, guidelines, etc
– Objective – the audit intent
– Date and duration of each audit location
– Technique : vertical (by process), horizontal (by theme)
– Competence – Auditor’s experience, education, training and skills and
familiarity with scope
– Risk – Significance of risk
123
124
Audit Planning
• Objectives and consideration for an on-site, process based audit plan
a) needs and expectations of relevant interested parties, both external and internal;
b) characteristics of and requirements for processes, products, services and projects, and
any changes to them;
c) management system requirements;
d) need for evaluation of external providers;
e) auditee’s level of performance and level of maturity of the management system(s), as
reflected in relevant performance indicators (e.g. KPIs), the occurrence of nonconformities
or incidents or complaints from interested parties;
f) identified risks and opportunities to the auditee;
g) results of previous audits.
125
Preparing the audit plan

Audit Plan shall be based on
• Importance of activity
• Complexity of the operations
• Frequency
• Results of previous audit
Un - scheduled audits for:

• Change in regulations
• Change in organization
• Change in product and process
126
Preparing documented information for Audit

Working documents facilitate the auditor’s investigation. They may
include:
✓ Checklists and procedures used for evaluating EMS elements
✓ Forms for documenting support audit evidence and audit findings
✓ Meeting and interview recording forms
✓ Memory aids
✓ Disadvantage of using checklist : If checklists are rigidly adhered to,
auditor may fail to pursue an audit trail. Checklists shall only serve
as a guide and auditors must use their judgment to make
appropriate deviations.
127
Preparing the documented information for Audit

When preparing checklists:
Consider Against
• Hazard identification and risk • Consistency in definition and
assessment methodology application
• System and operational control • Accessibility Revision
procedures status
• Records • Completeness
128
How to make an ISO Audit Checklist
Steps: Clause Question Evidences
1. Pick relevant clause.
2. Convert the clause 9.3 How do you conduct the Management Review (MR)? SOP for MRM (SOP-05)
into question form.
3. Customize the 9.3 What is the frequency of conducting MR? SOP for MRM (SOP-05)
generalized wording
to specific words as 9.3 When was the last MR conducted? Minutes of MR (MR-T-002)
per scenario.
Attendance (Top
4. Questions must be in 9.3 Who is participated in the MR?
Management) (MR-T-003)
the form of trail /
sequence. Agenda of meeting /
9.3 What were the agenda /inputs of MR?
5. Trail should result into review (MR-T-001)
the conclusion. Were there any decisions related to continual
9.3 Minutes of MR (MR-T-002)
improvement opportunities?
Note: Trail must result into conclusion of conformance (Yes/No)
129
• The audit checklist is a series of (Yes/No) questions related to the audit process,
activities with respect to the audit criteria. These checklists are prepared by the audit
team to be used as an aid or guide during the audit. It is the auditor's main tool in
carrying out the audit successfully. In some cases, checklists are sent to the auditee
before the audit.
• During the preparation of the checklist, the auditor can consider:
• Organizational processes and procedures.
• Organizational chart, process flow charts and work instructions.
• Relevant records and documents.
• The requirements of the standard.
130
Advantages of using a Checklist
• The advantages of using a checklist are:
• Acts as an aid or guide for conducting the audit.
• Helps to control the pace of the audit.
• Can be used to record responses given by auditees.
• Helps to maintain the guided sequence.
• It lets you prioritize items so that you can focus on the most important
areas/activities first.
• Can be treated as a memory aid for the auditor.
• Assures auditee of auditor professionalism.
• Provide space to write audit notes.
131
Disadvantages of Using a Checklist
However, there are disadvantages to using a checklist:

• Items/areas which are not listed in the checklist will be left out.
• Auditors will be confined to checklist items.
• If the standard checklist is used, there is a possibility that auditor will miss the
organization’s process and procedures.
• May prevent the auditor from investigating incidents, because they were not part of
the checklist.
• Prevent auditor from observations and open-mindedness.
132

MODULE - 9
Conducting the audit
133

Stage 2 audit shall include at least the following:(Ref ISO 17021)
– Information and evidence about conformity to all requirements of the applicable management
system standard or other normative documents
– Performance monitoring, measuring, reporting an reviewing against key performance objectives
and targets
– The client’s management system and performance as regards legal compliance
– Operational control of the client’s processes
– Internal auditing and management review
– Management responsibility for the client’s policies
– Links between the normative requirements, policy, performance objectives and targets etc.
134
Typical audit activities

Conducting the audit activities
• Conducting the opening meeting
• Performing document review while conducting the audit
• Communicating during the audit
• Assigning roles and responsibilities of guides and observers
• Collecting and verifying information
• Generating audit findings
• Preparing audit conclusions
• Conducting the closing meeting
135
Conducting the opening meeting
The purpose of the opening meeting is to:

a) Confirm the agreement of all parties (e.g. auditee, audit
team) to the audit plan;
b) Introduce the audit team;

c) Ensure that all planned audit activities can be
performed.
136

Conducting the opening meeting
• Introduction of the participants, including observers and guides, and
an outline of their roles;
• Confirmation of the audit objectives, scope and criteria;
• Confirmation of the audit plan and other relevant arrangements

with the auditee,
• Presentation of the methods to be used to conduct the audit
137

• Confirmation of formal communication channels between the audit team and the auditee;
• Confirmation of the language to be used during the audit;

• Confirmation that, during the audit, the auditee will be kept informed of audit progress;
• Confirmation that the resources and facilities needed by the audit team are available;
• Confirmation of matters relating to confidentiality and information security;
• Confirmation of relevant HSE & PPE requirements etc.
138

• Information on the method of reporting audit findings including grading, if
any;
• Information about conditions under which the audit may be terminated;
• Information about the closing meeting;

• Information about how to deal with possible findings during the audit;
• Information about any system for feedback from the auditee on the findings or
conclusions of the audit, including complaints or appeals.
139
Performing document review while conducting the audit
The auditee’s relevant documentation should be reviewed to:
• Determine the conformity of the system, as far as documented, with

audit criteria;
• Gather information to support the audit activities.
140
Communicating during audits

• Audit team to convene periodically to exchange notes & benchmark progress
against schedule
• Auditor to inform auditee immediately on hazards posing high risk with
potentially immediate impacts e.g. threats of explosion, fire, etc
• Auditor to keep auditee/ audit client informed on:
– audit progress and findings raised
– difficulties in meeting audit objectives or keeping to schedule
– Relevant matters outside official audit scope
141
Discussion (short discussion within the group)
– Imagine that you are the audit team leader. How would you respond in the following
situations:
• During the opening meeting you are informed that an additional process was to be included in
the scope of the audit which was not communicated during the audit planning process
• During the opening meeting you are informed that key personnel would not be available
during the audit as they are on sick leave
• The senior management does not turn up during the opening meeting
• Due to an urgent development, the auditee requests that the closing meeting be postponed to
another date
• During the opening meeting you come to realize that you do not have required PPE to visit a
particular area in the company
142
Assigning roles and responsibilities of guides and observers
Guides, appointed by the auditee, should assist the audit team and act on the request
of the audit team leader. Their responsibilities should include the following:
a) Assisting the auditors in identifying individuals to participate in interviews and

confirming timings;
b) Arranging access to specific locations of the auditee;
c) Ensuring that rules concerning location safety and security procedures are
known and respected by the audit team members and observers.
143
Collecting & Verifying Information

Source Information
Collecting by means of appropriate sampling
Audit Evidence
Overview of the process of collecting
Evaluating Against audit criteria and verifying information
Audit Findings
Reviewing
Audit Conclusions
144
Methods of collecting information include the following:
• Interviews;
• Observations (Site Inspections)
• Review of documents, including records.
145
Interviews
- Top management
- Executives
-Workers and contractors Site observations
Site Visits / Observation

- Sight
- Hearing
- Smell
Documentation
- Company records
- Audit criteria
- Internet search
146
Interviewing
• Establish a rapport by being Pleasant & Polite

• Explain the purpose, not about blame.
• Use open questions, e.g. Who? What? Where? When? Why? How?
• Keep an open mind.
• Take notes.
• Thank the interviewee
147
Interviewing
• Benefit:
– Can provide deep insights into the adequacy and suitability of the
implementation of the management system
– Can provide insight into the level of awareness amongst staff
– Can provide insight into the level of commitment from top management
• Limitation:
– Effectiveness highly depends on interviewing skill of auditor
– Poor interviewing may lead to uncooperative behavior from auditee
148
Interviewing
Techniques:
• Who? The right person
• Match questions to level of responsibility
• Executive officers should be asked questions related to policy, management
structures
• Operative should be questioned on his/her areas of operation, equipment,
procedures
• How
– elicit specific responses from specific questions
– Follow a “trail” of questioning to find out if interviewee really
understands an issue
149
Asking Question – Funnel Concept
➢ Open questions
❖ Ensure Auditee to talk freely
❖ Use what, Where , When, Why,
❖ How & Who
➢ Probing questions
❖ Follow-up or focusing on more precise detail
➢ Closed Questions
❖ Used where you want a clear ‘Yes’ or ‘No’ answer & Don’t forget
the please Show Me’
150
151
Sampling
• Sampling is done as it may not be practically feasible to verify all

activities and records
• The following aspects are sampled:
– Sites & facilities
– Machinery
– Staff
– Records and documentation
152
Sampling
• The number of samples depends on:
– Nature of business
– Complexity, size, scale
– Homogeneity of operations
– Business importance
– Prior performance record
• Samples to be chosen at random
• Samples to be chosen by auditor
• Limitation: Sampling introduces uncertainty in audit findings
153
Sampling
• Audit sampling is required as it is not practical to observe every function, area,
process, activity, documented information by the auditor. The auditor will select
some of the data from the overall data to obtain and evaluate evidence in order to
derive a conclusion.
• There are two types of sampling techniques which are commonly used and defined
in ISO 19011:2018.
• Judgment-based Sampling: Relies on knowledge, skills and the experience of
auditors.
• Statistical Sampling: Based on statistical techniques, e.g., probability, attribute-based
or variable-based sampling.
154
Sampling
155
Benefits of Sampling in ISO 14001 Audits
1. Efficiency: Samples are used by auditors to assess the compliance of many processes, products, or documents
without having to examine them individually. As a result, the audit process is more efficient and saves time and
resources.
2. Cost-effective: Auditing every process, product, or document within an organization can be very costly. By
selecting representative samples, sampling helps reduce costs by providing sufficient evidence of conformity
3. Focus on Critical Areas: As a result of sampling, auditors can focus their attention on critical areas or high-risk
processes within an organization. As a result, they can identify and address potential nonconformities or
improvement areas more effectively.
4. Statistical Validity: Sampling can provide statistically valid results if it is designed and executed properly. Based on
the analysis of a representative sample, auditors can make accurate inferences about the entire population.
5. Reduced Disruption: Auditing every single process or document can result in significant disruption to the normal
operation of an organization. As a result of sampling, this disruption is minimized by focusing on specific areas
and minimizing the impact on day-to-day operations.
156
Limitation of Sampling in ISO 14001 Audits:
1. Risk of Missing Nonconformities: The use of sampling can provide reasonable assurance, however, there is
always the risk that nonconformities or areas of concern may be missed if they are not included in the sample.
This introduces a degree of uncertainty into the audit process.
2. Limited Coverage: Due to its nature, sampling only examines a subset of the total population. There is always
the possibility that nonconformities or issues may exist in areas that were not included in the sample, resulting
in incomplete coverage.
3. Subjectivity in Selection: There is some degree of subjectivity involved in the selection of a representative
sample. The auditor is required to make judgments and assumptions regarding what constitutes a
representative sample, which can result in bias and affect the validity of the results.
4. Overreliance on Sampling: There is a risk of overreliance on sampling as a substitute for comprehensive audits.
Organizations may become complacent and assume that the sample results reflect the entire population, which
may not always be true.
5. Lack of Detail: Sampling can provide a broad overview of conformity, but it may not provide the same level of
detail as a full-scale audit. When only examining a subset of the population, specific issues may be missed.
157
Site inspection
• Benefit
– Provides insight on layout of various processes
• Hot works next to spray painting booth
• Oxidizers stored next to flammable liquids
– Gives tremendous information on adequacy and effectiveness of risk controls
• Are engineering controls operational?
• Is PPE appropriate?
• Are warning signs conspicuous?
– Allows multiple sensory inputs – sight, hearing and smell – to identify hazards
• Strong smell could suggest insufficient ventilation
• Loud noise could suggest inadequate soundproofing
158
Site inspection
• Limitation
– Provides only a “snap shot” view of current situation
– Some hazards are not detectable by our senses e.g. odourless,
colourless gases
– May not be practically possible to inspect all locations e.g.
underground tanks
– May not be possible to inspect all locations within given timeframe
– Some facilities may be shut down for maintenance, etc
159
Audit trail
• Logical audit trails arise from the responses to preliminary
‘trigger’ questions
• Audit trails question pathways lead by auditor to
ascertain
– Conformance to requirements
– Necessity for, adequacy and suitability of controls
– Effectiveness of implementation & awareness
• Audit findings are at the end of audit trails
160
Generating audit findings

• Audit evidence should be evaluated against the audit criteria in order to
determine audit findings.
• Audit findings can indicate conformity or nonconformity with
criteria.
• Nonconformities and their supporting audit evidence should be recorded.
• Nonconformities may be graded.
161
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 audit objectives;
b) agree on the audit conclusions, taking into account the uncertainty inherent in
the audit process;
c) prepare recommendations, if specified by the audit plan;
d) discuss audit follow-up, as applicable.
162
Audit Conclusions can address issues such as the following:

• the extent of conformity with the audit criteria and robustness of the management system,
including the effectiveness of the management system in meeting the stated objectives;
• the effective implementation , maintenance and improvement of the management system;
• the capability of the management review process to ensure the continuing suitability, adequacy,
effectiveness and improvement of the management system;
• achievement of audit objectives, coverage of audit scope, and fulfillment of audit criteria;
• root causes of findings, if included in the audit plan;
• similar findings made in different areas that were audited for the purpose of identifying trends.
163
Conducting Closing Meeting

• advising that the audit evidence collected was based on a sample of the
information available;
• the method of reporting;
• the process of handling audit findings and possible consequences;
• presentation of the audit findings and conclusions in such a manner that they
are understood and acknowledged by the auditee’s management;
• any related post-audit activities (e.g. implementation of corrective actions, audit
complaint handling, appeal process).
164
END OF DAY - 3
165

MODULE - 10
Audit reporting & follow up
166
Identifying Nonconformities
• Corrective actions
o Actions taken to remove the cause of a nonconformity
or other undesirable situation
o There can be multiple causes for a
nonconformity
• Taken by: Auditee
• Verified by: Auditor
167
Nonconformity Reports
• Each auditor to review findings

• Lead auditor to take integrated review
• Check for additional data collection/site visit/ documents if necessary
• Generate factual, correct, complete and legible audit findings in
defined formats
• Review audit findings with individual auditee
• Prepare for closing meeting (process & content)
168
Noting down the objective evidence

• Admissible information
• Reference numbers and version numbers
• Department and sites
• Designation of auditee (and names if required)
• Supplement with photos of site observations iif allowed by
auditee
169
• Non conformities should be raised clearly against audit

criteria
• State clearly the nature of nonconformity
– absence of control / documentation
– inadequate control / documentation
– lack of implementation
– lack of evidence
170
Establishing the facts

➢ Get help from auditee
➢ Discuss concerns
➢ Verify the findings
➢ Record all the evidence
➢ Exact observation
➢ Where, what, etc…
➢ Establish why a non conformity or otherwise
➢ State who (if relevant- preferably by job title)
171
Audit conclusions should be:
Clear Concise Evidence
Attribute
Attribute 1
Attribute 3
NCRs should NCRs should Based
be clearly be “To the NCRs should
Written Point” & be
They Should supported by
be Concise Objective
Clear
Evidence
172
Nonconformity report aids the analysis and documentation of root cause by
auditee and the planning of appropriate corrective actions
Nonconformity report should contain:
• Statement on nature of nonconformity
– Location
– Processes
– Persons interviewed
• Grade of nonconformity where appropriate
• Supporting evidence
Audit team should obtain client consensus on accuracy of details reported
before formally recording them
173
Classification of nonconformities
• Classifications of non-conformities (NC)

– Some Certification Bodies choose to classify non-conformities
depending on the gravity
• Major
• Minor
– Some Certification Bodies may also highlight “areas for
improvement” which are however not nonconformities
174
• Major NC:
– If one or more elements of ISO 14001 have not been documented
– If one or more elements of the standard have not been implemented
– When several elements of the standards show similar non-conformances
in documentary implementation
– If a number of minor non-conformances are reported against the same
clause of the standard or paragraph of the procedure
175
• Major NC:
– If a number of minor non-conformances are reported in the same
area or section of a company
– If evaluation and registration of one or more hazards are
consistently not taken into account
– If a defect in the EMS is responsible for repeated non-conformity
176
• Minor Non-conformance
– a single observed lapse in procedure
• Area for improvement
– applies where the non-conformance cannot be related to the
requirements of the EMS or the standard, but if addressed would
greatly improve the environmental performance
177
• Classifications of non-conformities
– Classification is usually linked to time allocated
for corrective actions with “major” NCs given
more time than “minor” NCs
– However, all nonconformities need to be
addressed regardless of “classification”
178
Evaluating effectiveness
• Review proposed corrective action for
– adequacy / commensurateness
– appropriate
– time-frame
– responsibility
– effectiveness
• Monitor action plan
– ensure initiation, implementation and completion of proposed corrective
actions/recommendations
– determine and decide on need to verify on site
– requirements on change in procedures
– evaluation of residual risk
179
Audit Summary Report
At a minimum the report should contain:
• The agreed objectives and scope of the audit
• The agreed criteria against which the audit was conducted
• The audit team and auditee’s representatives
• The audit date and duration
• Summary of audit process and any problems encountered
• Positive findings
• Nonconformities
• A statement of the confidential nature of the contents
• The distribution list for the audit report
• Audit conclusions
Reports for third party audits by accredited institutions should not contain any specific recommendations
180
Preparing, Approving and Distributing the Report
• Preparation and approval

– Audit team leader has overall responsibility for preparing the audit report
– Report is dated, reviewed and approved as per the audit programme procedures
• Distribution:
– Approved report is submitted to audit client and other recipients identified by audit client
within agreed timeframe else explanation made and a new timeline agreed upon
– Audit report is treated as confidential document by Certification Body and all recipients and its
distribution restricted to authorized recipients
181
Completing the audit
• When is audit completed?

– When audit plan has been fully executed and the approved audit report
submitted to intended recipients
• Documents associated with the audit should be retained or destroyed in
accordance with established agreements with the audit client, the audit
procedure and any applicable legal requirements
• These documents should be treated as confidential and contents not
disclosed to any party without the explicit approval of the audit client or
where appropriate, the auditee except where there is a legal obligation
for disclosure.
182
Follow-up Actions
• Effectiveness of the corrective need to be verified

possibly
– as a part of a subsequent full audit
– as a part of a subsequent partial audit
– Through document review during a surveillance audit
• Audit programme may incorporate follow-up by
audit team member who would be able to exercise
objectivity
183
Audit Finding Closeout Cycle
(Major Non-conformity) Auditor raises
nonconformity
Auditor closes the Auditee analyses

findings nonconformity
Auditor verifies
effectiveness of the Auditee investigate
corrective action on the root cause (s)
site
Auditee confirms on
site verification visit Auditee take correction and
date to auditor corrective action
184
Certification/ re-certification
• Certification or re-certification decisions are usually made by those

independent of the audit process in the Certification Body
• Certification Body reviews the following prior to making a decision:
– Completeness of information provided by audit team
– Satisfactory corrective action taken by client in response to major nonconformities
– Satisfactory corrective action plan taken by client in response to other
nonconformities
185
Exercise to identify conformity and nonconformity
No Statement Remarks
1 During the audit of an organization's non-conformance reporting process, you find that there is no
record of corrective or preventive actions taken to address the reported non-conformities.
2 During the audit of an organization's internal auditing process, it is noted that the audit report and
findings are adequately documented and communicated to management for review and corrective
action.
3 While reviewing an organization's supplier evaluation process, you discover that they do not maintain
any records of supplier evaluation or performance.
4 During an audit of an organization's quality management system, you find that their documented
procedures are not up to date and do not match their actual practices.
5 While assessing an organization's customer satisfaction process, it is noted that they retain records of
customer satisfaction surveys, analyze the results, and take necessary corrective actions.
186
No Statement Remarks
1 While reviewing an organization's management review process, you find that they do not review the
effectiveness of their quality management system, and there is no evidence of follow-up actions
taken based on review findings.
2 During the verification of an organization's preventive maintenance process, you find that records of
maintenance carried out on equipment are not being adequately maintained
3 While reviewing an organization's process for managing non-conformance, you notice that there is
no evidence of documented procedures or established criteria for identification, evaluation, and
disposition of non-conformity.
4 During an audit of an organization's calibration process, it is found that equipment calibration
records are well-maintained, and the equipment used in the process is regularly calibrated and
traceable to national standards.
5 During an audit of an organization's corrective action process, it is found that the process for
investigating the root cause of non-conformity is well-established, and corrective actions are taken
appropriately to prevent recurrence.
187
END OF DAY - 4
188

MOCK AUDIT
189
EXAM
190
END OF COURSE
THANK YOU FOR YOUR PARTICIPATION!
191

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ISO 14001:2015 Lead

ISO 14001:2015 Lead

Appealing the result

• Please introduce yourself briefly, clearly stating your

• What you would like to gain most from this course.

ISO 14001:2015 Lead

Definitions & Overview of Environment Management System

• ISO officially began operations on 23 February 1947, in Geneva, Switzerland.

• ISO (International Organization for Standardization) is an independent, non-governmental

• System to establish policy and objectives and to achieve those objectives.

• Six common elements – Source: ISO Guide 72

Documented information” is used to include both documents and records.

The phrase “shall be maintained as documented information” to mean documents,

Commonalities with other Management Systems

Certification Flow Chart

Environment Management System Structure

❑ Check: Observe and evaluate how well the EMS is working.

❑ Act: Adopt measures to continuously improve EMS and EMS

Benefit of Environment Management System

ISO 14001:2015 Lead

Understanding the Process of Certification

Organizations seeking certification (Auditees)

Function of Certification Body

ISO 14001:2015 Auditor/

Familiarizing with ISO 14001 standard Clauses 4 - 6

ISO 14001 clauses

▪ c) its organizational units, functions and physical boundaries;

Step 1 Identify interested parties

EXERCISE-1 Internal & External issues

Internal Issues External Issues

Internal Issues External Issues

Air quality Customers requirements

o Includes a commitment to the protection of the environment, including prevention of

ISO 14001:2015 Auditor/ Lead

Familiarizing with ISO 14001 standard Clauses 6 - 10

▪ c) who will be responsible;

Exercise 3 – Environmental aspects and impacts

Identify the environmental aspects and impacts of an oil refinery

▪ The organization shall determine and provide

The organization shall externally communicate information

c) communicate its relevant environmental requirement(s) to

▪ The organization shall monitor, measure, analyze and evaluate its

1) the organization’s own requirements for its environmental management system;

b) is effectively implemented and maintained.

▪ When a nonconformity occurs, the organization shall: a) react to the

The organization shall continually improve the suitability, adequacy and

Identify which documented information is to be maintained

Maintained information Retained Information

ISO 14001:201 Auditor/ Lead

ISO 19011:2018 – Auditing Principles

Audit Roles & responsibilities

• Auditor – Person who conducts an audit (ISO 19011)

• Technical Expert - person who provides specific knowledge or expertise to the

Audit Roles & responsibilities

Audit Roles & responsibilities

• Auditee - organisation to be audited [ISO 19011]

• Audit Client – Organisation or person requesting an audit [ISO

Personal Attributes of the

Roles & responsibilities of the person managing the audit program

• The person managing the audit programme should :

ISO 14001:2015 Auditor/ Lead

Initiating the audit

Initiate the audit