7 Slides

 

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CQI & IRCA Certified Certif ied Training

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Welcome Welcome to your CQI and IRCA Certified ISO 14001:2015 Training Program

www.quality.org/training

BSCIC Certi tifficati tio ons Pvt. Ltd.   has be been en ind indep epend enden ently tly ass asses essed sed and approved by the CQI and IRCA. This means they have the processes and systems in place to deliver certified courses to the highest standard.

About the CQI and IRCA The CQI is the only chartered professional body dedicated entirely to quality. IRCA is its specialist division dedicated to management system auditors. Find out more about the CQI and IRCA at www.quality.org at www.quality.org We hope you enjoy your y our course

www.quality.org/training

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ISO 14001:2015 Lead Auditor Training Training Course

Environmental Environ mental Management System with respect to PR 315 Criteria

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

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Welcome to the course Some basic info. On logistics  Safety – note the emergency exits  – listen to tutor carefully  Personal Property – tak take e care of any of your personal belongings  Phones/Pagers  – Off mode / silent mode please to avoid interruptio interruptions ns  Laptops – off/tops closed please during class 

Lunch and Breaks – please return on time

 Smoking – not permitted in the classroom – take guidance of tutor or

venue staff in case required for identifying smoking areas Note: As per copyright policy, B BSCIC SCIC does not provide soft copy of the course material .

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Business Systems Conformance Impartial Certifications

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Learning Objectives By the end of this course you are expected to be able to get the: Knowledge xpla lain in the the pu purp rpos ose e of an environ ironm men enttal man anag age emen entt system and and the the busi usine ness ss and and Exp societal benefits societal benefits of improving improving environm environment ental al performan performance ce Ex Expl plai ain n the the role role of an au audi dito torr to pl plan an,, con ondu duct ct,, repo report rt and and follo ollow w up an envi enviro ronm nmen enta tall

manag manageme ement nt sy syst stem em audit audit in accord accordanc ance e with with ISO 19011. 19011.

Skills Plan Plan,, condu onduct ct,, repo report rt an and d fol ollo low w up an au audi ditt of an envi envirronme onmen ntal tal ma mana nage geme men nt sys yste tem m to es esttab abli lish sh conf confor ormi mity ty (or (or ot othe herw rwis ise) e) with with IS ISO O 14 1400 001 1 and and in ac acco cord rdan ance ce with with IS ISO O 19 1901 011 1 (and (an d ISO 1702117021-1 1 whe where re approp appropria riate te). ).

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ISO 19011:2018  – Auditing Guideline

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

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Structure of the Course

Learning Methods  

Tutorials Discussions

Evaluation Ev aluation Methods Continuous Assessment  Formal Examination



Direct Direct Tutorutor- Delegat Delegate e     

Exe Exercise rcisess and Wo Worksh rkshops ops (Individua (Individual/Gr l/Group) oup) Case StudyCase Study- Ind Indus ustri trial al Gas Compan Company y Apexx Document Ape Documented ed Informati Information on Specimen Examination Int Interac eractive tive Participa Participation tion of Delegate Delegatess

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

Two hours – Closed Book  (30 Min. extension conditional) Only unmarked copy of ISO 14001:2015 standard standar d & a bilingual dictionary is allowed.

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Assessment of Delegates RESULT ELEMENT

1st Possibility

2nd Possibility

3rd Possibility

Continuous Assessment (PASS-70%)

PASS

PASS

FAIL

Written Examination (PASS -70%)

PASS

FAIL

NO SIT

RESULLT FINAL RESU

PASS

FAIL

FAIL

Required Action

None

Re-Take exam Within 12 months

Re-sit the whole course

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Timings for the Course for Day 1 0830 – 1800  Day 2 0830 – 1800  Day 3 0830 – 1800  Day 4 0830 – 1800  Day 5 0900 – 1700  Lunch breaks: 45 Min. Coffee breaks: mid morning & mid afternoon (Max. 10 min. each)

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ISO 14001:2015 Lead Auditor Training Course

Chapter 1

“AUDIT -> ICE-BREAKING” ICE-BREAKING” INTRODUCTION SESSION

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Exercise 1

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Introduction Introdu ction of Participants

Each Team – 2 participants / Time for Cross Interview (as below) – 15 minutes

Collect Information from Interview Process of your partner, as below: 

Full name, Working Organization & Designation



Brief history of Career



Their knowledge of ISO 14001:2015 ranked from 1 to 5



Any I / II / III Party Audit Experience ranked from 1 to 5



Objective & Expectation from the course



Something interesting about yourself

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Sample Certificate Certificate of “Attendance”

Certificate of “Achievement”

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ISO 14001:2015 Lead Auditor Training Training Course

Chapter 2

NECESSITY OF ENVIRONMENTAL MANAGEMENT SYSTEM ISO 14001:2015 AUDITING  Adding value to to your business

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

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Three Pillars of EMS Historical Environmental Events • 1945 Atom bombs at Hiroshima & Nagasaki – nuclear radiation • 1950’ 1950’ss Mercury poisoning, Japan • 1967 Torrey Canyon oil tanker disaster, Scillies • • • • • • • • • • •

1969 Friends of the Earth formed 1970 UK Royal Commission on Environmental Pollution 1972 UN Stockholm conference on the th e Environment 1979 Near melt-down at Three Mile Island 1984 Bhopal Leakage of MIC gas – over 3000 killed 1986 Sandoz fire pollutes River Rhine 1986 Chernobyl, Russia 1987 Brundtland Report published 1989 Exxon Valdez, Valdez, oil tanker spill 1990 Shell pay £1M for Mersey pollution 1992 UN Earth Summit

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Three Pillars of EMS Historical Environmental Events • 1992 BS 7750 draft issued • 1995 Public outcry as Shell plan to dump the Brent Spar in the North Atlantic • 1996 ISO 14001 issued • 1997 Climate Treaty Kyoto (Not much success) • 2000 Climate Convention The Hague • 2002 World Summit on Sustainable Development, Johannesburg • 2004 ISO 14001 revised • 2009 Climate Change Conference, Copenhagen • 2011 Tsunami Tsunami in Fukishima, Japan • 2015 Paris Paris Climate Summit (ended 12-1.2015) 196 participating countries committed to limit amount of GHG to below 2 o C by 2050.

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Before we proceed further, further, shall we look at some ground reality of today ?  As per the report of IPCC (The International Panel on Climate

Change) published in 2014,

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glo gl obal warming has increased by 0.8 .85 5 C in the time span of   1880-2012  Tot otal al CO2 ac accu cum mula lati tion on in the atm tmos osp phe herre fr fro om 185 850 0 to 20 201 11, 40% 40 % ad adde ded d in th the e la last st fou ourr de deca cade des. s.  Dire Di rect ct co corr rrel elat atio ion n wi with th rap apid id in indu dust stri rial alis isa ati tion on,, in incr crea ease sed d fos ossi sill fuell bas fue based ed eco econom nomy y and ass associ ociat ated ed pol pollut lution ion  Gl Glob obal al wa warm rmin ing g ha hass re resu sult lted ed in  incr in crea ease sed d ac acid idit ity y of oc ocea eans ns an and d th the e so soil il  Melt Me ltin ing g do down wn of ar arct ctic ic ic ice e at 4% pe perr de deca cade de  Reced Re ceding ing of gla glacie ciers rs  Sea Se a le leve vell ri rise sen n by 19 cm in 19 1901 01-2 -201 010 0  Oz Ozon one e ho hole le si sinc nce e 198 1985 5 ha hass ca caus used ed sk skin in di dise seas ases es  Environmental pollution has lead to deficiency of Vitamin D in human hum an bei beings ngs and con conse seque quent nt dis diseas eases es. o your business  Adding value tto

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Some hard facts about GHG (Green House Gases) emissions:  Steel Industry  Power Sector

7% 37%

 Agricultural sector

17%

This trend will lead to?       

Changing landscapes, displacement of millions Extinction of species More heat related & UV ray diseases Increased risk of drought and floods Declining crop yields Agricultural produce contains contaminants like heavymetals Increased instances of diseases like asthma due to air contamination.

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“What was once unthinkable is now unstoppable. The priv pr iva ate se secctor is al alre read ady y in inccre reas asiing nglly in a low ow-e -emi miss ssiion onss

future. The solutions are increasingly affordable and avai aila labl ble, e, an and d ma man ny mo more re ar are e po poiise sed d to com ome e es espe peci cial ally ly afte af terr th the e su succ cces esss of Par aris is..” Secretary General United Nations Dec 2015

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Key areas of environment affected affected  Air  Water  Land  Noise  Ergonomics  Waste Management

Protection of environment will lead to:  Minimise harmful effects on environment caused by its activities  Achieve continual improvement of its environmental;

performance  Sustainable development compatible with diverse cultural, social, and organizational frameworks and systems of manageme management. nt.

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HAVE YOU EVER THOUGHT OF THESE ISSUES FOR THE PRESENT & THE FUTURE??? WHAT TYPE OF EARTH ARE WE GOING TO LEAVE FOR OUR NEXT GENERATIONS!!!!!!

 W  h   e  r   e  a  r   e  w  e  h   e  a  d   i    n  g  f    o  r   .  .  ? 

   ?  .    e    n    o     d    e    w    e    v    a     h    t    a     h    W

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

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EMS – EMS  – A Concept

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INDUSTRY AND AND RELEVA RELEVANT NT INTERESTE I NTERESTED D PARTIES PARTIES

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Indus Ind ustr try y an and d En Env vir iron onme ment nt Re Rela lati tion onsh ship ip

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Environm Env ironmenta entall Cons Considera iderations tions MOUNTAINS IN INHIBIT DISPERSION

ABSTRACTION

PEOPLE GROUNDWATER

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STORM WATER DR DRAINS

PERMEABLE SOIL

WILDLIFE HIGH GRADE RIVER

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Some key environmental issues of today

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Environmental Issues  Air Pollution 



One fifth of the world’s pop popul ulat atio ion n bre breat ath h air air con conta tamin minat ated ed by pollutan tants in excess ess of WHO WHO limits mits  Acid rain, Movement of pollution, Ozone depletion, deplet ion, Global warming, Local air , pollution, VOC’s, Vehicle emissions

Transboundary air pollution convention Local and regional controls  Adding value tto o your business business

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Environmental Issues Water Pollution discharges ••Effluent Water supply •Groundwater pollution •Contaminated marine life •Destruction of reefs 33% of the world’s population will suffer   water shortage within 30 years

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What is the Aspect and Impact?

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Enviro Env ironme nmenta ntall Iss Issues ues Ozone Depletion hemisphere e • Loss 6-8% in Northern hemispher hemisphere e • Levels critical in southern hemispher

• Skin diseases due to UV rays increase Montreal Protocol is an international agreement to reduce releases relea ses of ODS’ ODS’s, s, ratified by 85 countries & its follow -up

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Global Glo bal War armin ming g International Convention on Climate Change in Rio, Kyoto & Stockholm Conferences, etc. 

Glob Global al Gases warmi warming ng - CO Cause Cause - Green Green House like 2, CH4, CFCs, N2O.  CO2 in 1810 was 280 ppm CO2 in 2011 was 391 ppm CO2 in 2013 crossed 400 ppm  More than than 0.45° C temperature temperature increase in the last 85 years  Predict ~2°C increase by 2100  Effec Effectt - Sea level rises, variation variation in weather,, flooding weather

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Environmental Issues Loss Lo ss of Biod Biodiv iver ersit sity y Divers rsit ity y al allo lows ws ec eco-s o-sys yste tems ms to ad adap aptt to chan change gess • Dive • Tropical forests important sources of medicinal compounds Diver ersit sity y also also decre decreasi asing ng in deve develop loped ed coun countri tries es • Div

CITE TES S - Co Con nven enti tion on on In Inte tern rna ati tion onal al Trad ade e CI in Endangered Species, Rio Biodiversity Conve Con vent ntio ion n & oth other er co conf nfer eren ence cess

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Enviro Environme nmenta ntall Iss Issues ues Depletion of Natural Resources and Sustainability Eco-capital is unevenly distributed  Desertification  Population growth  Distribution of land, water, fuels and minerals

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Environme Enviro nmenta ntall Iss Issues ues Quality of Life & Waste Burden  NOISE  Nuisance (foul smell, visual)  Visual impact  Access to countryside  Litter/Garbage leads to waste

burden & land fills (prone to fires)  Traffic congestion  E - Waste aste What is the Aspect and Impact? o your business business  Adding value tto

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Env Enviro ironme nmenta ntall Iss Issues ues Toxic Chemicals • Concentrations of DDT in Central America are 11 times higher than those of North Americans • Toxic chemicals may bio-accumulate Hazardou Hazar douss Che Chemic micals als Pesticides Insecticides Bio-me Bio -medic dical al Wa Waste ste ETP Slu Sludg dge e

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What is the Aspect and Impact?

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Toofavoid reduce the issues, impact theseand environmental there is a need for an effective Environmental Management System Auditing??

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ISO 14001:2015 Lead Auditor Training Training Course

Chapter 3

ENVIRONMENTAL MANAGEMENT SYSTEM & AUDITING PDCA STRUCTURE  Adding value to to your business

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

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AUDITING ENVIRONMENT….?  Surroundings in which an  Surroundings organization operates, including air, water, land, natural resources, flora, fauna, humans and their interrelationships 3.2.1- ISO 14001:2015 3.2.114001:2015

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Who all should be responsible for environment in an Organization Organization? ? What could be the audit reach to audit Environmental Management System?

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AUDITING MANAGEMENT SYSTEM….?  Set of interrelated or interacting elements of an organization to establish policies and objectives and processes to achieve those objectives 3.1.1- ISO 14001:2015 14001:2015

 Manag  Ma nagement ement:: Coordinated activities to direct and control an organization. organization. o your business  Adding value tto

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Auditing Environmental Management System..? P ar t of the mana managg ement ement s ys tem tem us ed to mana ma nagg e envi envirr onme onmenta ntall as pects , fulfil compliance compl iance oblig oblig ati ons , and and a addres ddres s ris ri s k s and o opp pport ortunit unities ies . 3.1 3.1.2 .2 - ISO 1400 14001:2 1:2015 015 What are the components of an Environmental Management System to be considered for auditing?

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Exercise 2

Terms & Definitions Definiti ons pertaining to Environment

15 Minutes

Terms and Definitions of Environmental are listed in tables…….

You need to map the th e definitions with the available terms….

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PDCA (Plan-Do-Check-Act) methodology applies to all processes • Context of the Organization • Policy & Objectives • Understand needs & expectations of Interested parties • Risks & Opportunities • Aspect-Impact •• • •

• Operational Planning & Control (Requirements for Products & Services, Design & Development, Externally provided processes Products & Services, Production & Service provision, Release, NonConforming Outputs) DO • Controlling these processes to get environmental performance

Compliance Obligations Resources (4M’s) Documented Information Monitoring & Measurement Criteria

PLAN

ACT

DO

Continual Improvement

• Performance Evaluation (Monitoring, Measurement, Analysis & EvaluationEvaluation of Compliance, Internal Audits, Management Review)

• Improvements (NonConformity & Corrective Action, Continual Improvement)

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

CHECK

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PDCA Cycle in ISO 14001:2015 Internal and External Issues

P

Needs and Expectations of Relevant Interested

Planning

Parties

Scope of the Environmenta Environmentall Management System

A

Improvement

Leadership

Support & Operation

D

Performance evaluation

C Intended Outcomes of the Environmental Management System o your business  Adding value tto

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Auditing Environmental Management Systems Auditor should check for: 

Customer reassurance  –  improved satisfaction & loyalty Standardization ion Consistency  Standardizat 

Disciplined monitoring of competencies, as per requirements



Disciplined monitoring & cont control rol  Involvement of people to own the processes and aim at a t organizational goals 

Awareness of organizational defic Awareness deficiencies iencies and pro-act pro-active ive methodology systematic controls



Most important is to check if:

PEOPLE DEPEND ON THE SYSTEM SYSTEM & NOT SYSTEM DEPENDING ON PEOPLE

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AUDITING to PROCESS APPROACH PROCESS ( Machinery, Process documents,

EFFECTIVENESS OF PROCESS =  Ability to achieve desired results

controls, Resources etc.)

PRODUCT Result of a process

OUTPUTS INPUTS  Acid

MONITORING AND MEASUREMENT OPPORTUNITIES

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EFFICIENCY OF  PROCESS = Results achieved vs. resources used

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A quick try… identification of Aspects Can you identify the Aspects & Impacts in the snapshot ?

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Few Aspects

ASPECTS

IMPACTS

The sounds from operations might NOISE cause hearin hearing g problems problems to operator operatorss of

the shift (Minimum 8 Hours)

SPILLAGE

1. The acid acid will will percola percolate te into into the grou ground nd water and pollute sources of water. 2. The acid in the the bottle bottless is to toxic xic – air pollution leading to breathing problems / death / etc. 3. Acid on the the floor floor causes causes burn burnss to humans.

Usage of water for cleaning consumes CLEANING OF natural resources. FLOOR

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Exercise 3

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Check Identified Internal & External Issues

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20 Minutes

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ISO 14001:2015 Lead Auditor Training Training Course

Chapter 4

ENVIRONMENTAL MANAGEMENT SYSTEMS INTRODUCTION TO AUDIT

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Introduction to SYSTEM AUDIT

SYSTEM

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Types of Audit SUPPLIER Self Audit = FIRST PARTY AUDIT

Audit done by Any other Party Other than Customer / Self 

Customer Audit = SECOND PARTY AUDIT

ORGANIZATION

=

Self Audit = FIRST PARTY AUDIT

THIRD PARTY AUDIT audits conducted by certification body / regulatory authorities, etc.

Customer Audit = SECOND PARTY AUDIT

CUSTOMER Self Audit = FIRST PARTY AUDIT

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Dimensions of Auditing – I, I, E & E INTENT Does Top Management & the team intends to accept & implement EMS and how is this intent communicated?

EFFECTIVENESS & EFFICIENCY

IMPLEMENTATION Does the implementation of the EMS reflect the intent of Top

Is the implementation effective & efficient ? (i.e., does it meet the parameters established by the intent are met )

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Management & it’s it ’s

team?

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Principles of AUDITING : Auditors and the individual(s) manag ing an audit programme should: — perform their work ethically, with honesty and responsibility; — only undertake audit activities if competent to do so; — perform their work in an impartial manner, i.e. remain fair and unbiased in all their dealings; — be sensitive to any influences that may be exerted on their judgement while carr ying out an audit.

: Audit fin Audit findin dings, gs, aud audit it con conclu clusion sionss and aud audit it rep reports orts should should ref reflec lectt tru truthf thfully ully and acc accura urate tely ly the aud audit it acti activit vities. ies. Signi Si gnifi fican cantt ob obst stac acles les enco encoun unte tere red d du durin ring g the the au audi ditt an and d unre unresol solve ved d diver divergin ging g opin opinion ionss betw between een th the e audit audit tea team m and the audite auditee e should should be rep report orted. ed. The com commun municat ication ion sho should uld be tru truthf thful, ul, accu accurat rate, e, obj objecti ective ve,, timely timely,, clear and complete complete..

: Audit uditor orss shou should ld exe xerrcise cise du due e care care in acc accor orda danc nce e with ith the the im impo port rtan ance ce of th the e tas ask k they they perf perfor orm m an and d the the co conf nfide idenc nce e pl place aced d in them them by au audi ditt clien clientt an and d ot othe herr int inter eres este ted d pa parti rties. es. An im impo porta rtant nt fa fact ctor or in ca carry rryin ing g out their work wit h due professiona l care is having the a b biil iitty to make reasoned judgeme nt nt s in a llll a u ud di t situations.

Pro Protec tectio tion n of inform informati ation on acq acquir uired, ed, should should not be use used d Ina Inappr ppropr opriat iately ely For person personal al gai gain n or the aud audit it client client,, in a manner manner detrim detrimen ental tal to the leg legiti itimat mate e in inte teres restt of the aud audite itee. e. This This con concep ceptt inc includ ludes es the pro proper per han handli dling ng of  sensitive sensi tive or confi confiden dential tial informatio information. n.

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Principles of AUDITING : Au Audit ditor orss are indep indepen ende dent nt of th the e activ activity ity be bein ing g au audit dited ed and are fr free ee fr from om bia biass and and conf conflic lictt of inte intere rest st.. Audit Auditors ors mai maint ntain ain an obje object ctiv ive e stat state e of mind mind thro throug ugho hout ut the the au audi ditt proce process ss to ensu ensure re th that at th the e audit audit findi findings ngs and co conc nclu lusio sions ns will will be ba base sed d on only ly on th the e au audi ditt Ev Evid iden ence ce.. For For small small or orga gani niza zati tion ons, s, it ma may y not be poss possib ible le fo forr in inte tern rnal al au audi dito tors rs to be fully fully in inde depe pend nden entt of th the e act activi ivity ty being being aud audit ited ed,, but ev every ery effort effort should should be made made to remov remove e bia biass and encour encourage age obj object ectivi ivity ty.. :

Audit evidence is verifiable. It is based on samples of the information available, Since an audit is conducted during a finite period of time and with finite resources. The a ppropriate use of sampling is closely related to the confidence that can be placed in the audit conclusions.

The risk-based approach should substantively influence the planning, conducting and reporting of audits in order to ensure that audits are focused on matters that are significant for the audit client, and for achieving the audit programme objectives.

Note: In ISO 19011:2018 the principle of Risk Based Approach was added.

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Auditing Process – audit life cycle – P.E.R.C. PLAN

EXECUTE

(6.2) Initiating the the audit • General  Establishing contact with the auditee (emphasis on Risks and opportunities)  Determining feasibility of the audit (emphasis is on resources including information and communication technology)

(6.3) Preparing audit activities activities •Performing review of documented information •Audit Planning (Risk-Based approach to planning) •Assigning work to audit team •Preparing documented information for audit (digital checklist & audio visual information)

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REPORT

CLOSE OUT

(6.4) Conducting audit activities • General •Assigning roles and responsibilities of guides and observers •Conducting the opening meeting •Communicating during the audit •Audit information availability and access •Reviewing documented information while conducting audit •Collecting and verifying information •Generating audit findings •Determining audit conclusions •Conducting the closing meeting

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

(6.5) Preparing & distributing audit report •Preparing audit report •Distributing audit report

(6.6) Completing the audit

(6.7) Conducting audit follow up (if specified in the audit plan)

SL # : 57 

ISO 14001:2015 Lead Auditor Training Training Course

Chapter 5

AUDITING ENVIROMENTAL MANAGEMENT SYSTEMS

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 58 

29  

5/24/2019

Stage 1 Audit Assessment from 17021-1 17021 -1 CL. 9.3.1.2 The objectives of stage 1 are to:

a) review the client’s management system documented information; b) evaluate the client’s site -specific conditions and to undertake discussions with the client’s personnel to determine the preparedness for stage 2; requirements of the standar standard, d, in particular c) review the client’s status and understanding regarding requirements with respect to the identification identification of key performance or significant aspects, processes, objectives and operation of the management system; d) obtain necessary information regarding the scope of the management system, system, including: the client’s site(s); processes and equipment used; levels of controls established (particularly in case of multisite clients); applicable statutory and regulatory requirements; e) review the allocation of resources for stage 2 and agree the details of stage 2 with the client; f) provide a focus for planning stage 2 by gaining a sufficient understanding of the client’s management system and site operations in the context of the management system standard or other normative document; g) evaluate if the internal audits and management reviews reviews are being planned and performed, and that the level of implementation of the management system substantiates that the client is ready for stage 2.

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 59

1. Auditing Scope of EMS The intended outcomes of an Environmental Management System include:   

Enhancement of environmental performance; Fulfilment of compliance obligations; Achievement of environmental objectives.

(Scope in clause 1 is scope of Standard ISO 14001:2015. Scope in Cl. 4.3 is the scope of the organisation for EMS.)

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 60 

30  

5/24/2019

4. AUDITING CONTEXT OF ORGANIZATION 4.1 Understanding the Organization and its context 4.2 Understanding the needs and expectations of Interested Parties 4.3 Determining the Scope of Environmental Management System 4.4 Environmental Management System

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Exercise 4

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 61

Auditing Management Issues

30 Minutes

You need to do Adequacy A dequacy Audit on SCOPE & Context of the Organization #

Issue

Manual reference

1

2

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 62

Standard reference

31  

5/24/2019

Outsourced Processes An “Outso “Outsourced urced process” process” is a pr proc oces esss that that the the or orga gani niza zati tion on need needss for for it itss EMS EMS and and whic which h the the orga organi niza zati tion on choo choose sess to have have perf perfor orme med d by an exte externa rnall provi provide ders. rs. This does not absolve the organization to the responsibility of conf co nfor ormi mity ty to al alll in inte teres reste ted d parti parties es and compl complia ianc nce e obli obligat gatio ions. ns. To ensu ensure re outs outsou ourc rced ed pr proc oces esse sess ar are e infl influe uenc nced ed or cont contro roll lled ed,, the the ty type pe of env enviro ironmen nmenta tall cont contro rols ls over ver such such ext exter erna nall pr pro ocess cesse es ar are e defi de fine ned d and and appl appliied as gi giv ven in Clau Clause se 8. 8.1. 1.

What do you un What unde ders rsta tand nd by the ter erm m  “ Life Life Cy Cycl cle e  Perspective”? Does Do es th the e st stan anda dard rd re requ quir ire e a Li Life fe Cy Cycl cle e as asse sess ssme ment nt? ?

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 63

LIFE CYCLE PERSPECTIVE The

Env Environ ironm menta entall as asp pects ects and and im impa pac cts are to be consi onside dere red d fo forr th the e full lif ife e cycle of the product inc including ing disposal at end of life stage, i. i.e e. from fro m desig design n  disposal. E.g.: Dis isp posal osal of Hard Hard Disk isk/ CD at th the e en end d of it itss liliffe . Dete Determin rmine e

environm environmenta entall requirem requirements ents at: •Desig Design n Stage Stage •Proc Procurem urement ent Stage Stage •Us Use e by Cust Custom omer erss- Act ctua uall work workin ing g life life •Tran Transpor sportatio tation n or delivery delivery •En End d of life life tr trea eatm tmen entt and and fina finall disp dispos osal al

Pr Prev even entt

en envi viro ronm nmen enta tall impa impact ctss fo form rm bein being g shif shifte ted d el else sewh wher ere e in th the e lilife fe

cycle Giv ive e ex exam ampl ple e of pr prod oduc ucts ts wh whic ich h ha have ve to be co cons nsid ider ered ed fr from om Li Life fe Cy Cycl cle e Perspective?

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 64

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5. AUDITING LEADERSHIP

5.1 Leadership and Commitment 5.2 Environmental Policy 5.3 Organizational Roles, Responsibili Responsibilities ties and Authorities

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Exercise 5

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 65

Auditing Management Issues

30 Minutes

You need to do Adequacy Audit on LEADERSHIP #

Issue

Manual reference

1

2

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 66

Standard reference

33  

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6. AUDITING PLANNING 6.1 Actions Actions to address risks and opportunities 6.1.1 General (Risks & Opportunities) 6.1.2 Environmental aspects 6.1.3 Compliance obligations 6.1.4 Planning action

6.2 Environmental objectives and planning to achieve them 6.2.1 Environmental objectives 6.2.2 Planning actions to achieve environmental objectives o your business  Adding value tto

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 67 

Objectives

T2

T1

b1

T = TARGET t = TIME FRAME b = BASELINE

b2

b1 t1

S.M.A.R.T =

T1

t1

t2

Specific / Measurable / Agreed / Realistic / Time-bound is a useful ‘system’ to use when setting and testing objectives

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 68 

34  

5/24/2019

Objectives S.M.A.R.T = Specific / Measurable / Agreeable / Realistic / Time-bound T2

PDCA

SDCA

b2 S = STABILIZE D = DO C = CHECK A = ACT

Example : Number of spillages in acid plant to reduce to 3 per month from 5 per month by 31.12.2016 Target

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   S    E    V    I    T    C    E    J    B    O    l   a    t   n   e   m   n    i   o   r   v   n    E    F    O    T    N    E    M    Y    O    L    P    I    D

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

TOP MANAGEMENT

MANAGEMENT REPRESENTATIVE

A

P D

P

A

D

C

C

P D

P

A

D

C

A

P

A

C

D

C

PROCESS HEADS / INHARGES

Time

Present base line

SL # : 69

TOP MANAGEMENT

MANAGEMENT REPRESENTATIVE

P

A

P

A

D

C

D

C

P A

P A

P A

D C

D C

D C

PROCESS HEADS / INHARGES

10.3 Continual Improvement OPERATIONAL AREAS

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

OPERATIONAL AREAS

SL # : 70 

F  E  E  D  B  A  C K  F   O R  M A N A  G E  M E  N T   P  D   C A

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Auditing Planning

Exercise 6

45 Minutes

You need to do Adequacy Audit on PLANNING and audit the same for adequacy. #

Issue

Manual reference

Standard reference

1

2

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 71

ISO 14001:2015 Lead Auditor Training Training Course Chapter 6

Review & Auditing of significant Environmental Issues

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 72

36  

5/24/2019

ISO 14001:2015 Lead Auditor Training Training Course

ENVIRONMENTAL ASPECTS & IMPACTS

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 73

Air Pollution Causes

Sulphur Dioxide and

Activities

Fossil Fuel Combustion

Nitrous Oxides Ozone Particulates

Persistent Organic Pollutants

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Reactions between NOx, Oxygen and Volatile Organic Compounds Road Traffic Construction Work Chemical Reactions Hydrocarbons Emitted Emitted by : Motor Vehicles Industrial Processes Incomplete combustion processes

SL # : 74

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Water Pollution Causes

Activities

Phosphorous

Sewage Effluent

Nitrates

Agriculture Geology Sewage Effluent

Oil spills

Storage Activities

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SL # : 75

Waste Burden Causes Solid and Liquid

Activities Agriculture Mining and Quarrying Sewage Sludge Dredged Materials Household Commercial Demolition and Construction Industrial

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SL # : 76

38  

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Business and the Environment –  Environment –  Costs

• Raw Materials • Processes • Energy • Waste

• Transport/Storage • Design • Costs of Failures e.g. Bhopal, Fukushima Nuclear

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SL # : 77 

Business and the Environment –  Environment –  Drivers Achievement ent of business objectives • Achievem Corporate governance Corporate social responsibility Sustainability and biodiversity Increasing legislation Increased expectations and requirements of interested parties • Increasing cost burden • Loss of competitiveness competitiveness

• • • • •

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SL # : 78 

39  

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Identifying and Evaluating Environmental Environmen tal Impacts Environmental impacts can be categorized

• • • • • • •

Greenhouse Effect Stratospheric Ozone Depletion Natural Resources Acid Rain Surface Water Quality Bio-accumulation of Toxins Local Air Quality

• Waste burden • External noise • Soil & groundwater contamination • Ecological habitat • Visual intrusion

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SL # : 79

Gas Station Example Receive Gasoline (Truck)

Impacts

Aspects Spillage of gasoline from delivery truck

Leaking from underground Tank

Release of gas

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Contamination of Soil

Store Gasoline (Tank)

Distribute Gas to Pumps (Pipes)

Dispense Gas (Pumps)

Contamination of Soil

Air pollution

SL # : 80 

40  

5/24/2019

Inputs, Process and Outputs Environmental impacts impacts arise from the consumption of resources and emissions to air, water and land Smoke

CO2

INPUTS

CF C

PROCESS

OUTPUTS

VOC NOX

dB

Products

Materials

Non-hazardous and hazardous waste Energy pH BOD

Oils

HM COD

Solvents

Phenols

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SS 0C

SL # : 81

Environmental Environmen tal Aspects and Impacts – Other Impacts ASPECT

IMPACTS

Land La nd co cont ntam amin inat atio ion n

Harm to an Harm anim imal alss an and d pla plant nts; s; wa wate terr pol pollu luti tion on th thro roug ugh h run run-off, degradation of soil quality; groundwater pollution.

Use Us e of of pe pesti ticcid ide es

Har arm m to to an anim imal alss an and pla plan nts ts;; wa water po poll llut utio ion n thr throu ough gh ru runnoff; degradation soil quality; groundwa groundwater ter pollution; resource depletion; ecological imbalance.

Site Si te de deve velo lopm pmen entt

Visual Visu al di dist stur urba banc nce; e; no nois ise; e; ve vehi hicl cle e pol pollu luti tion on;; ene energ rgy y us use e and subsequent impacts; river pollution; groundwater pollution; resource depletion.

Supply chains

All im impacts to ai air; la land an and wa water; re resource de depletion.

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SL # : 82

41  

5/24/2019

Environmental Aspects and Impacts – Auditing Environmental Horizontal and Vertic ertical al Trails Trails Operational Controls

Step

Aspects & Impacts

Objectives & Targets

Documentation

Training

Management Programme

Operational Controls

What are the Clause No. for the various steps in the trail?

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SL # : 83

Auditing Aspects and Impacts – Logic •

• • •

Typically five to ten questions Typically affected ed by legislation?  – Is the issue affect  – Is the issue affect affected ed by other requirements?  – Does the issue have a visible impact?  – Is the activity unsustainable?  – Does the activity use non-renewable resources?  – Do shareholders perceive the issue as important?  – Do the regulators encourage control of the issue?  – Does the impact pose a threat to the environment? If any issue produces a “Yes” answer, answer, then the issue is significant Typically legislation scores the highest weightage Sum[Yes] = Significance

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SL # : 84

42  

5/24/2019

Environmental IImpacts Environmental mpacts – Existing Activities and New Projects/Developm Projects/Developments ents •

Environmentall impact assessments are necessary when setting up the EMS Environmenta E MS and for new/planned projects and developments Measure baseline environment environmental al situation Consider all relevant aspects  – Activities  – Contractor activities  – New projects/dev projects/developments elopments Define significance criteria Measure or predict impact Take remedial/corrective/compensatory action Determine residual impacts

• •

• • • •

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SL # : 85

Environmental Environmen tal Impacts – Sources of Information • • • • • • • • • • •

Regulatory permit/consent/authorisa Regulatory permit/consent/authorisations tions and emission limits Sector application guides Guidance notes from regulator and industry associations Environmentall impact assessment reports Environmenta Toxic release inventories Material safety data sheets Stakeholder evaluation surveys Scientific journals Insurance company risk assessments Independent audits/assessments Environmentall site assessments/due diligence studies Environmenta

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SL # : 86

43  

5/24/2019

Environmental Environmen tal Impacts Impact s Semi-quantitative risk assessment techniques are used to identify significant impacts. High Impact

high

Aspect

Medium Impact

low

Low/no Impact low

high LIKELIHOOD

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SL # : 87 

Classification of Impacts Occurrence Severity

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 88 

Simple Impact Estimator

44  

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Classification of Impacts Simple Impact Estimator

Severity of harm

Occurrence Slight harm

Moderate harm

Extreme harm

Very unlikely

Very low Impact

Very low Impact

High Impact

Unlikely

Very low Impact

Medium Impact

Very high Impact

Likely

Low Impact

High Impact

Very high Impact

Very likely

Low Impact

Very high Impact

Very high Impact

Likelihood of harm

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 89

Calculation of Impact Simple Impact Estimator

Severity

Less Occurrence

Moderate

Significant

significant

Highly unlikely

1

2

3

Unlikely

2

4

6

Likely

3

6

9

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 90 

45  

5/24/2019

IMPACT CT RATING = OCCURANCE X SEVERITY Impact Assessment: IMPA

ASPECT

Class Quiz

ANTICIPATED IMPACT

AIR The fumes from the acid will affect EMISSION

the air quality SPILLAGES OF The spilled acid will percolate into ACID the ground and contaminate the land. WATER Also the acid will percolate into CONTAMINAT ground water water which is used in the ION area.

The sounds from operations might NOISE cause hearing problems to to operators operators of the shift (Minimum 8 Hours)

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 91

IMPACT T RATING = OCCURENCE X SEVERITY S EVERITY Impact Assessment : IMPAC ASPECTS

ANTICIPATED IMPACTS

AIR The fumes from the acid will EMISSI affe affect ct the air quality quality ON SPILLAG The spilled acid will percolate ES OF into the ground and ACID contaminat contaminate e the land. WATER Also the acid will percolate CONTA into ground water which is MINATI used in the area. ON NOISE The sounds from operations

Occurrence X

Severity =

UNLIKELY

MODERATE

4

LIKELY

SIGNIFICANT

9

UNLIKELY

SIGNIFICANT

6

LIKELY

MODERATE

6

might cause cause hearin hearing g problems to operators operators of the shift (Minimum 8 Hours)  Adding value tto o your business

Class Quiz

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 92

Impact Rating

46  

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7. AUDITING AUDITING SUPPORT 7.1 Resources 7.2 Competence 7.3 Aware Awareness ness 7.4 Communicatio Communication n 7.4.1 General 7.4.2 Internal Communication Communication 7.4.3 External Communicatio Communication n 7.5 Documented Information 7.5.1 General 7.5.2 Creating and updating 7.5.3 Control of documented documented information i nformation o your business  Adding value tto

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 93

Exercise 7 45 Minutes

Auditing Support

You need to do Adequacy Audit on SUPPORT #

Issue

Manual reference

1

2

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 94

Standard reference

47  

5/24/2019

8. AUDITING OPERA OPERATION TION

8.1 Operational Planning and Control 8.2 Emergency preparedness and response

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Exercise 8

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 95

Auditing OPERATION OPERATION

45 Minutes

You need to do Adequacy Audit on OPERA OPERATION TION #

Issue

Manual reference

1

2

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 96

Standard reference

48  

5/24/2019

9. AUDITING PERFORMANCE P ERFORMANCE EV EVALUA ALUATION TION 9.1 Monitoring, Measurement, A Analysis nalysis and Evaluation 9.1.1 General 9.1.2 Evaluation of compliance 9.2 Internal Audit 9.2.1 General 9.2.2 Internal audit programme 9.3 Management Review o your business  Adding value tto

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 97 

Management Review (9.3)    o o

Planned Intervals Continuing Suitability, Adequacy & effectiveness Review Inputs, Previous Management review External and internal issues relevant to EMS

o

Needs and expectations of aspects Interested parties including compliance obligations Significant environmental environmental o Risks and opportunities o Extent to which environmental objectives achieved o Non-conformities and corrective actions, Monitoring and measurement results, o Fulfilment of compliance obligations o Audit results o Adequacy of resources o Relevant communication(S) from interested parties, including complaints o Opportunities for continual improvement o

o



Review output o o o o o

Decisions related to continual improvement Continuing suitability, adequacy and effectiveness of EMS Environmental Environment al objectives not achieved Opportunities to improve integration of EMS with business processes Implications for strategic direction of organization

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 98 

49  

5/24/2019

Exercise 9

AUDITING PERFORMANCE EVALUATION

You need to do Adequacy Audit on PERFORMANCE EVALUATION #

Issue

Manual reference

40 Minutes

Standard reference

1

2

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 99

10. AUDITING IMPROVEMENT

10.1 General 10.2 Non-Conformity and an d Corrective Action 10.3 Continual Improvement

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 100 

50  

5/24/2019

Improvements

100

100 Organizational Results

Organizational Objectives

0

0 Improvement Improveme nt in the EMS

% 100

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Exercise 10

75

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

50

25

0

SL # : 101

45 Minutes

Auditing IMPROVEMENTS IMPROVEMENTS

You need to do Adequacy Audit on IMPROVEMENTS IMPROVEMENTS #

Issue

Manual reference

1

2

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 102

Standard reference

51  

5/24/2019

ISO 14001:2015 Lead Auditor Training Training Course Chapter 7

SKILLS •Planning the Audit •Conducting the Audit •Generating Audit Findings •Reviewing Corrective Actions & Recommendations  Adding value tto o your business

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 103

And Audit Programme

What is the difference b/w Audit Plan & Audit Program?

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 104

52  

5/24/2019

Audit Clients, Guides & Observers 1. audit client organization or person requesting an audit 2. auditee organization being audited 3. guide person appointed by the auditee to assist the audit team 4. observer  person who accompanies the audit team but does not audit  An observer is not a part of the audit team and does not influence or interfere with the conduct of the audit. a udit.  An observer can be from the auditee, a regulator or other interested party who witnesses the audit.

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 105

Lead Aud Auditor  itor  Every ery Audi ditt is lead ead by Lead Lead Audi uditor   – – al alll audit uditor ors s repo report rt to Lead Lead Audi Audittor. or. Lead Lead audi audittor  al also so au audi dits ts and and th thus us is al also so audi audito torr (dur (durin ing g th the e audi auditi ting ng). ).

Auditor  Ev Ever ery y Audi Audittor perf perfor orm ms audi udit at di diffferen erentt area areas s of the the orga organi niza zati tion on,, as per per Audit udit Plan lan  – pr prep epar ared ed by Lead Lead Audi Audito torr. Id Iden enti tifi fied ed the audi auditt fi find ndin ings gs and and reco record rds s the the same same –  – submits and maint maintai ains ns th the e cl clien ientt acc accept eptanc ance. e. Techni echnical cal Expert Expert Person who provides spe specific kn kno owledge or expe experrtise to the audit team eam, in case lead ead auditor / auditor does not have knowledge / skill set in the nature of industry sector   scop scope e of audi audit. t.

to your business  Adding value to

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 106

53  

5/24/2019

Principles for inspiring confidence as in ISO 17021-1:2015 Impartiality; Competence; Responsibility; Openness; Confidentiality; Responsive Responsiveness ness to

complaints; Risk-based approach.

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 107 

AUDITOR ATTRIBUTES (Personal Behavior) Collaborative Ethical

Culturally Sensitive

Open Minded

Diplomatic

Open to improvement

Acting with fortitude

AuditorAttribute (Personal Behavior)

Observant

Self-reliant

Decisive

Perceptive

Versatile

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

Tenacious

SL # : 108 

54  

5/24/2019

Audit Team –  Team – Responsibilities Responsibilities & Authorities Audit Team Leader Responsibilities

Auditor Responsibilities

All the responsibilities of an Auditor , are to be adhered to as mentioned:- 

Co Con nduct duct th the e audi auditt of pr proc oces esse sess allo allott tted ed in th the e Au Audi ditt Plan, keeping the scope of Audit in mind…as per defined defin ed procedure proceduress of Aud Audit. it.

ontr tro o l the c omp omple lette Au Aud d itit a s p er er Au Aud d itit Pl Pla an & to T o c on ensure the Time Management & Discipline is maint mai ntain ained ed dur during ing the en entir tire e lif life e cyc cycle le of Au Audit dit..

Control t he he Audi t process i n t h he e are a allotted a nd nd mainta mai ntain in Con Confid fident ential iality ity,, Integr Integrity ity & Ava Availa ilabil bility ity of the informat info rmation ion of evide evidences nces..

Ensu re al alll th the e pr proc oces esse sess of th the e Au Audi ditt Sc Scop ope e is co cove vere red d Ensure and decide for any changes based on the audit outco ou tcome, me, if nee need d be, wit witho hout ut aff affect ecting ing the sco scope. pe.

Pr Prac acti tici cing ng Go Good od Qual Qualit itie iess of th the e Au Audi dito tor, r, keep keepin ing g in mi mind nd the the bad bad qu qual alit itie iess (i (in n mind mind,, - not not pr prac acti tice ce), ), duri during ng Audit.

Gu Guid ide e th the e au audi ditt te team am in bu buil ildi din ng te team am wo work rk an and d hel elp p in bri bring ngin ing g ma matur turity ity in eac each h Au Audit ditor or –   – deve developin loping g good audit au dit pra practi ctices ces in ref refere erenc nce e to liv live e Au Audit dit su surro rroun undin dings. gs.

Duri Durin ng th the e audi auditt pr proc oces ess, s, notin oting g do down wn th the e po posi siti tive ve as wel welll as non non-co -confo nformi rmitie tiess (with (with obj object ective ive eviden evidences ces)) in the prescribed audit documents of the Audit procedure.

Review the Audit findings of the Auditors, before finalizing the same & that there are sufficient eviden evi dences ces to pro prove ve the ju judgm dgmen ent. t.

Prac ractic ticing ing Goo d Co mm mmunic ica a tio tion n wi with thin in the the Au Aud dit Team Team - ex exch chan angi ging ng the the info inform rmat atio ion n and and de demo mons nstr trat ate e good goo d team team wor work. k.

Fin nal au auth thor orit ity y in gi givi ving ng ju judg dgme ment nt on th the e ou outc tcom ome e of Fi the audi audit. t.

Reco Reconf nfir irmi ming ng the the audi auditt find findin ings gs wi with th the the au audi dite tee e or the the process owner & report to Audit Team leader, with objective evidences

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 109

AUDIT PROCESS –  PROCESS – only only FACTS Perception OR Facts … ? JUDGEMENT IS BASED ON PERCEPTION OF MIND

Actually they all are running to save a person …….What you thought ? Now  And Now – Now – what did you arechange the they y doing your views ? doing ? ? What is she

In today’s world, what you see, raises many such perceived situations & output is not up to the mark & delayed – delayed – As auditor COMPLETE FACTS , you have to look for ?

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 110 

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Exercise 11

Auditing – FACTS OR INFERENCES

30 Minutes

You need to identity FACTS & INFERENCES from cases #

Statement

Judgment (Select by “X”)

1

The The Sa Safe fe gu guar ard d at th the e po pool ol se seen en thatthe thatthe bo boy y s li pp pp ed ed i nt nto th e po ol ol a nd nd j um ump ed ed i nt nto th e  ___ Fact ___ Inference wa waterto terto sav save e theboy.

2

The The bo boy y sudde suddenl nly y   “help” an and d fa fain inte ted d af afte ter  r  coming ou out of of th the po pool. ___ Fact ___ In Inference

3

Th e bo y hi ms mse lflf swi m to s af af e etty a s h e k ne ne w  ___ Fact ___ Inference swimming.

4

Every one pulled out the boy out of swimming p po ool w wh hen h e ffa ainted

5

Reasons

___ Fact ___ I nf nference

Th e bo y was taken to th e duty do c cttor for   checkup, after he came to senses, as  ___ Fact ___ Inference eve everyon ryoneinsist einsisted ed forthe sam same. e.

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 111

Audit Activities Difference between between Stage 1 & Stage 2 Audit as per ISO 17021-1 STAGE 1

STAGE 2

Adequacy Au Audit

Conformance & Effectiveness

Where Whe re ?

Where Whe re =?

Desktop Review ( on site / off site)

At Process Sites

HOW =?

HOW ?

The System Documents are compared with requirements requirements of of applicable Standards

The Implemented System Documents are compared with Documents requirements of Standard & Documents

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 112

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Audit Activities Audit objectives includes includes::  Determination of the extent of conformity of EMS with audit criteria  Evaluation of capability of EMS to ensure compliance with statutory, regulatory,  

and contractual requirements of customers Evaluation of effectiveness of the EMS to meet its objectives Identification of areas of improvement

Audit scope describes extent and boundaries of audit: audit:  Physical audit locations of Organization  Activities and processes  Time required for coverage of audit Audit criteria describes requirements of the Management Systems for audit: audit:  ISO 14001:2015 standard  Interested Party requirements  Legal requirements pertaining to product

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

Criteria

SL # : 113

Audit Schedules  An audit schedule (or detailed audit plan) is an

output from the high level audit plan  Audit schedules give details about the

audit, including:

 Which processes audited by which auditor at

what time  Which clauses audited by auditor in which process

program  What are the logistic issues in the audit program  What are the classifications of reporting structure

(Optional)

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 114

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Auditor Competence Requirements Requirements as per ISO 17021-2:2015 17021- 2:2015

Please refer ISO1901 ISO19011:2011 1:2011 also

 Adding value tto o your business

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

 Adding value to business to your business

SL # : 115

SL # : 116

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R isk s in Audit Auditing ing

 Adding value tto o your business

 Auditor Performance / Auditor Quality 

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 117 

 Audit Program Program Vs Audit Plan Audit Program  An audit program (or  (or  programme  programme)) is a set of arrangements that are intended to achieve a specific audi auditt pur purpos pose within a specific   tim ti me fr fram ame e. It includes all of the activ act ivit itie ies s an and d re reso sour urce ces s need needed ed to pl plan an,, or orga gani nize ze,, an and d cond conduc uctt one one or  more mor e audi audits. ts. Audit Plan  An au audi ditt pl plan an spec speciifies how how you intend to conduct a particular   audit. It describes the activities you intend to carry out in order to achieve achi eve you yourr audi auditt obj objecti ectives. ves.

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 118 

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Example of Audit Plan

Audit Activities –  Activities –  Audit  Audit Planning

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 119

Audit Life Cycle

Exercise 12

90 Minutes

You need to prepare the AUDIT PLAN of Industrial Gases Co. Assessment Plan

Date:

Organization: M/s Good Glass Company Scope: Objective: Criteria

ISO 14001:2015

System Documentation:

Environmental M Maanual

Team Leader:

Audit Start Date

Opening Meeting

Team Member:

Audit End Date

Closing Meeting

Audit Schedule

Date

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Client Function

Auditor

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

Time

SL # : 120 

60  

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Audit Activities –  Activities –  Audit  Audit Checklist 

1. Helps auditor auditor in logical logical sequence sequence of the process process 2. Ensures thatout auditor does not allow any point to be missed 3. Gives guidance to auditor to focus on the scope of the audit 4. Checklists may lead to rigid adherence to pre-planned questions

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 121

Audit Activities –  Activities – audit audit checklist  Drawback of Audit Checklists

Benefits of Audit Checklists

•

Keep audit scope and objectives clear 

•

Provide planningevidence of audit

•

Maintain audit pace and continuity Reduce auditor bias

• •

Reduce workload during audit

•

Provide space for auditor notes

•

Identify expected evidence

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

•

Checklists tend to lose value if they are:  – Tick lists  – Questionnaires

•

Checklists may lead to rigid adherence to pre-planned questions Prepare them as memory aids

SL # : 122

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Exercise 13

Audit Life Cycle

120 Minutes

You need to prepare the AUDIT CHECKLIST of Industrial Gases Co.   Process Area (Department) :

Clause #

CHECK POINT (For Verification) Verifi cation)

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

Objective Evidences (PIR)

Finding (Compliance / NC / Observation)

SL # : 123

Conduct On-site Audit Activities 1. Cond Conduc uctt O Ope peni ning ng Meet Meetin ing g 2. Allocatin Allocating g the the audit auditors ors as pe perr scop scope e & compe competenc tency y 3. Commu Communic nicat ate e du durin ring g tthe he audit audit 4. Explain Explain role roless and and respon responsibil sibilities ities of pa partici rticipan pants ts 5. Collec Collectt an and d verify verify info informa rmatio tion n 6. Gene Genera rate te audi auditt find findin ings gs 7. Prep Prepar are e audi auditt co conc nclu lusi sion onss 8. Cond Conduc uctt C Clo losi sing ng Meet Meetin ing g

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 124

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R isk s in Auditing Auditing

 Audit Execution

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 125

Opening Meeting a) introduction of the participants, including an outline of their roles; b) confirmation of the scope of certification; certific ation; c) confirmation of the audit plan (including type and scope of audit, objectives and criteria), any changes, and other relevant arrangements with the client, c lient, such as the date and time for the closing meeting, interim meetings between the audit team and the client’s management; d) confirmation of formal communication c ommunication channels between the audit team and the client; e) confirmation that the resources and facilities faciliti es needed by the audit team are available; f) confirmation of matters relating to confidentiality; g) confirmation of relevant work safety, eme emergency rgency and security procedures for the audit team; h) confirmation of the availability, roles and identities of any guides and observers;

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 126

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Opening Meeting i) th the e met etho hod d of repo report rtin ing, g, incl includ udin ing g any any gr grad adin ing g of au audi ditt fi find ndin ings gs;;

 j) information about the conditions under which the audit may be prematurely terminated; k) con confirm irmation ion that the audit dit team lea leader and au aud dit team represen sentin ing g the certification body is responsible for the audit and shall be in control of   ex exec ecut uting ing the the au audit dit pla plan n inclu includi ding ng au audit dit ac activ tiviti ities es an and d au audi ditt tr trai ails; ls; l) confirmation of the status of findings of the previous review or audit, if   applicable; m) methods and procedures to be used to conduct the audit based on sampling; n) co conf nfir irm matio ation n of the the lang langua uage ge to be us used ed du duri ring ng th the e au audi dit; t; o) conf confir irm matio tion that that,, durin uring g th the e audi auditt, the the clie client nt wil illl be ke kep pt in info form rme ed of aud udit it pr prog ogre ress ss and and an any y co conc ncer erns ns;; p) op oppo port rtun unit ity y for for the the clie client nt to ask ask qu ques esti tion ons. s. Note: For actual conducting Opening meeting, prepare a script covering all the above points.

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 127 

Mock Opening Meeting

Tutor ut shal al allo loc atceond forma or the Au ea &s. A udor itesh e all Tel am tcoate on dumati ct tion a on Moof ckth AeudAudi it dit int tTheam em clas ass. The Th e Audi Auditt Team eam shal shalll Do the the Open Openiing Mee Meeting ting for Indust Ind ustrial rial Gases Gases Compan Company y. The othe The otherr group oups wi will ll obse observ rve e and and give ive thei theirr obse ob serv rvat atio ions ns at the the end end of th the e open openin ing g meet meetin ing. g. This Th is shoul should d co cove verr al alll grou groups ps pref prefer erabl ably y.

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 128 

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Auditing Process  NT NT RV 

Personnel responsible responsible to manage, perform, perform, and



verify activities Listen carefully to responses      

o your business  Adding value tto

W

Activities Plans Controls Strategies Exercises Tests



Identity, Status,



Condition, Activities



Processes,



Equipment,



Environment,



People

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 129

Auditing Auditi ng ProcessProcess- Sampling Sampling –   – Sample Sample Sources 

Processes –  There may be same processes running simultaneously People - Selecting Selecting people for interviewing interviewing in any process process



Documents & Records



- Verification Verification of of evidences evidences (effectiveness and compliance )

Examples:

of outputs of process

Processes: 

Filling Machine 2



Maintenance Process



Supervisor & Operator



Aspect Impact



Compliance Obligations



Mock Drill Records

People

Documents

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 130 

65  

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SAMPLING RISK

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 131

Auditing processes

Corrective Actions Processes People

• Cause 1 • Cause 2 • Cause 3 • Cause 4

Documents

FACTS (Evidences)

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

Identification OF Causes

SL # : 132

• The corrective actions be prioritized based on the causes

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Auditing Process –  Process – Interview Interview (questioning) Th The e se seque quenc nce e is gene generi ric. c.

Open Questions

Use Use the the ques questi tion onin ing g tech techni niqu ques es base ba sed d on si situ tuat atio ions ns and and cr crit itic ical alit ity y of th the e Pr Proc oces esse sess and and avai availa labi bili lity ty of time time.. ANSWERS

Probing Questions

Closed Questions ANSWERS

FACTS

o your business  Adding value tto

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 133

auditee  Adding value tto o your business

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 134

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Auditing Process –  Process – Interview Interview (questioning) TYPE OF QUESTIONS

OPEN

PROBING

EXPLANATION

EXAMPLES

RISK / CAUTION POINTS

Lead to wide range of answers – a chance for auditor to proceed further

Could you please explain the integrated system maintained here..?

Based on the answers from open questions, probing or leading Qs. On those points of answer which are critical to the process

Do you discuss the EMS & its other issues in the Management Review Meetings, in detail..?

CLOSED

Direct Qs. To get the ‘NO’ – answer – ‘YES’ or ‘NO’ Revealing the final EVIDENCE or FACT

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What authorities do you have as Head of environmental…?

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

Auditing Process –  Process – Interview Interview (questioning) TYPE OF QUESTIONS NOT TO BE ASKED

May sidetrack the objectives and focus

Auditee might go defensive mood

Provide Very Limited Information

SL # : 135

Avoid these questions

EXPLANATION

EXAMPLES

INTERROGATIVE

Auditing is not interrogating like Police

Your Internal Auditors are not confident of their Jobs. Mr. don’t you ever feel so, from your records

SARCASTIC

Auditors are invited at the place of audit –  audit  –  has no right to criticize

of Internal Audit.? Is this a Calibration Record ? Being so educated & experienced, you are doing calibration like this..? It’s Surprising

CONFRONTING

SHOOTING

Auditors has no right to confront with auditee –  auditee  – as as auditors are visitors only with a positive & open mind

You said you would cooperate, but you are taking so much time in showing records…be fast.

Auditors shoot many Qs. at same time –  time – not not waiting for auditee to answer

Are you responsible for this process..?2. Do you authorize the reports..? 3.Did you attend previous MRM. 4. Are you one of the Internal Auditors..?

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RISK / CAUTION POINTS

This shall effect the relationship  –  auditee

shall go into

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 136

defensive mood

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Auditing Process - Reporting

NONCONFORMITY i s the non-fulfill non-fulfi llme ment nt of requir r equirem ement entss

“  

requirements of ….. Standard / of Documented System (including legal requirements)

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 137 

CONSITITUENTS OF A NONCONFORMITY

EVIDENCE W H E R E ….?

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 138 

”  

69  

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CLSSIFICATION OF NONCONFORMITIES Observations & Opportunities for Improvements

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 139

CLASSIFICATION CLASSIFICA TION OF NON-CONFORMITY MINOR NC (NON-CONFORMITY) nonconformity that does not affect the capability of the management system to achieve “ nonconformity the intended results” ( Source Source 3.13 of ISO 17021-1 17021-1 :2015) :2015)

MAJOR NC (NON-CONFORMITY) Nonconformity that affects the capability of the management managem ent system to achieve the intended results ( Source Source 3.12 of ISO 17021-1 17021-1 :2015) :2015) — if there is a significant doubt that effective process control is in place, or that products or services will meet specified requirements; — a number of minor nonconformities associated with the same requirement or issue could demonstrate a systemic failure and thus constitute a major nonconformity.

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 140 

70  

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OBSERVATION

Observations should be usedconformance when identifying potential areas of nonnon . OPPORTUNITIES FOR IMPROVEMENT

An OFI OFI may may be where where strengths strengths of the syst system em might might be further further improved.( However However a compliance is still being bein g achieved). (This is where a value addition comes in. Be careful it does not lead to consultancy).

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Exercise 14

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 141

Recording Non-conformities 90 Minutes

You need to prepare p repare the NONNON-CONFORMITIES CONFORMITIES of  Industrial Gas Co. & 6 Case Scenarios   Process Area (Department) :

Clause #

CHECK POINT (For Verification) Verifi cation)

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BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

Objective Evidences (PIR)

SL # : 142

Finding (Compliance / NC / Observation)

71  

5/24/2019

Audit Life Cycle

Exercise 15

600 Minutes

Role Play – Interview Process ISO 14001:2015 CLAUSE No: Company doc uments

Area unit inv olv ed  

MAJOR / MINOR [Strike out as required]

Failure (Nonconformity) (WHAT):

Evidence (reference of Process/Personnel/Documents) (WHERE):

Requirement (WHY):

 Auditor

Auditee

Date

Teams to be made – Each Team will audit for the specific function allotted by tutor. Tutor will act as Auditee. Do the role play involving each team (3 Departments) so that all get a chance for the LIVE AUDIT

o your business  Adding value tto

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 143

Auditing Process –  Process – AUDIT AUDIT CONCLUSIONS

Audit team should confer prior to the closing meeting:

• Scheduling of the audit plan • To plan for closing meeting • Purpose is to:  

Review audit findings and other information Agree on audit conclusions

prepare the the audit report and recommendations • To prepare • If included in audit plan, to discuss audit follow-up

 Adding value tto o your business

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 144

72  

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Closing Meeting Start the clo closing ing meet eeting ing by thanki ankin ng the cli lie ent fo forr their coo cooper era atio ion n even ven if  they hey have have not coo coopera perate ted d and and re-c re-con onfi firm rm audi ditt st stan anda dard rd,, sc sco ope, pe, cr crit iter eria ia and locations. a) advi advisi sin ng the clie client nt that hat the the audi auditt evid vidence ence obt btai ain ned was ba base sed d on a sa sam mpl ple e of th the e in info form rmat atio ion; n; ther thereb eby y intr introd oduc ucin ing g an ele eleme ment nt of un unce cert rtai aint nty; y; b) the method and timeframe of reporting, including any grading of audit findings; c) the auditing authority/ certification body’s process for handling nonconf confo ormit rmitie ies s incl includ udin ing g any co cons nseq equ uence ences s rela relati tin ng to th the e st sta atu tus s of the client’s certification; d) the time imefram ame e for for the clie clien nt to pre present a pla lan n fo forr corr rre ect ctio ion n and cor correctiv ive e ac actio tion n fo forr an any y no nonco nconf nfor ormi mitie ties s iden identi tifie fied d du duri ring ng th the e au audit dit;; e) the aud auditin iting g aut author hority ity// cer certifi tificat cation ion body’s pos postt aud audit it act activit ivities; ies; f) in info form rmat atio ion n ab abou outt the the comp compla laint int an and d ap appe peal al ha hand ndlin ling g pr proc oces esse ses. s. No Note te:: Fo Forr ac actu tual al co cond nduc ucti ting ng Cl Clos osin ing g me meet etin ing, g, pr prep epar are e a sc scri ript pt co cove veri ring ng al alll th the e ab abov ove e po poin ints ts..

o your business  Adding value tto

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 145

Mock Closing Meeting

Tutor shall allocate formation of the Audit Team from the mock Audit conducted in the class for doing the CLOSING MEETING for Industrial Gas Company Company..

The other groups will ill observ rve e and gi giv ve their obse ob serv rva ation tionss at th the e en end d of the the cl clos osin ing g me mee eti ting ng.. This Th is sh shou ould ld co cove verr al alll gr grou oup ps pr pref efer erab ably ly..

 Adding value to to your business

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 146

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Auditing Process –  Process – Report Report Preparation

AUDIT REPORT

The report shall contain the important issues of the complete audit : a) ide identi ntific ficati ation on of the cer certifi tificat cation ion body/ body/ aud auditi iting ng aut author hority ity;; b) th the e na name me and and addr addres ess s of the the cl clie ient nt and and th the e client’s representative; c) th the e ty type pe of au audi ditt (e (e.g .g.. init initia ial, l, su surv rvei eill llan ance ce or re rece cert rtifi ifica cati tion on au audi ditt or spec specia iall au audi dits ts); ); d) th the e au audi ditt cr crit iter eria ia;; e) th the e au audi ditt ob obje ject ctiv ives es;; f) th the e au audi ditt scope cope,, pa part rtiicul cular arly ly iden identi tifi fica cati tion on of the the org organ aniz iza ati tio onal nal or fu func ncti tio ona nall unit units s or  proc proces esse ses s au audi dite ted d an and d the the time time of the the au audi dit; t; g) any any de devi viat atio ion n fr from om the the au audi ditt plan plan an and d thei theirr re reas ason ons; s; h) any any sign signifi ifica cant nt issu issues es impa impact ctin ing g on the the au audi ditt prog progra ramm mme; e; i) identification of the audit team leader, audit team members and any accompanying persons;  j) the dates and places where the audit activities (on site or offsite, permanent or temporary sites) site s) were conducted; conducted; k) audit findings, reference to evidence and conclusions, consistent with the requirements of the type of audit; l) significant changes, if any, any, that affect the management system of the client since the last audit took place; m) any unresolved issues, if identified;

o your business  Adding value tto

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

Auditing Process –  Process –  report  report preparation preparation

SL # : 147 

AUDIT REPORT

The report shall contain the important issues of the complete audit : n) where applicable, whether the audit is combined, joint or integrated; o) a disclaimer statement indicating that auditing is based on a sampling process of the available information; p) recommendation from the audit team q) the audited client is effectively controlling the use of the certification documents and marks, if applicable; r) verification of effectiveness of taken corrective actions regarding previously identified nonconformities,, if applicable. nonconformities The report shall also contain: a) a statement on the conformity and the effectiveness of the management system together with a summary of the evidence relating to: — the capability of the management system to meet applicable requirements and expected outcomes; — the internal audit and manageme management nt review process; b) a conclusion on the appropriatenes appropriateness s of the certification scope; c) confirmation that the audit objectives have been fulfilled.

o your business  Adding value tto

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 148 

74  

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Exercise 16

Audit Life Cycle- Stage 1 Document Review Review Section A

Conclusion

Section B

Exclusions & Justifications

Section C

Management Responsibility

Section D

Resources

Section E

Product Realization

55 Minutes

Audit Report Preparation Minor NCs (Total) : ________________  

Major NCs (Total) : _____________ 

Prepare the Audit Report based on: 1. Au Audi ditt Chec Checkl klis istt .. Interview Process Output, in previous exercises 2. Non-co Non-confo nformi rmitie tiess Raised Raised in previous exercises

o your business  Adding value tto

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 149

Audit Life Cycle

Exercise 17

Section A

Conclusion

Section B

Exclusions & Justifications

Section C

Management Responsibility

Section D

Resources

Section E

Product Realization

55 Minutes

Audit Report Preparation Minor NCs (Total) : ________________  

Prepare the Audit Report based on: 1. Au Audi ditt Chec Checkl klis istt .. Interview Process Output, in previous exercises 2. Non-co Non-confo nformi rmitie tiess Raised Raised in previous exercises

 Adding value to to your business

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 150 

Major NCs (Total) : _____________ 

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Review of Corrective Actions (If Any) Correctiv Corr ective e Actio Action n inclu includes des::  Ensure Five Disciplines (5Ds) are taken:     

1. Understanding the Non-conformities and effect on the EMS; 2. Identifying the Root Causes of Non-conformities (one or more); 3. Fo Forr ea each ch ro root ot caus cause e the the ev evid iden ence ce of corr correc ecti tive ve ac acti tion on is take taken; n; 4. In rele releva vanc nce e to the the pr prop opos osed ed ac acti tion on at the the time time of ac ackn know owle ledg dgin ing g the the NC., NC ., the the corr correc ecti tive ve ac acti tion onss may may be ma matc tchi hing ng (the (they y ne need ed no nott be same same); ); 5. TH THE E CO CORR RREC ECTI TIVE VE AC ACTI TION ONS S CO COVE VER R NO NOTT ON ONLY LY TH THE E SAM AMPL PLES ES BU BUTT AL ALSO SO THE OTHE OT HER R SI SIMI MILA LAR R IS ISSU SUES ES OF TH THE E EM EMS S;

Audit Records Maintenance covers: covers:  Audit Reports;  Non-conformitiess and their closures; Non-conformitie  Any other relevant documentation (may include complaints etc.).

o your business  Adding value tto

BSCIC ELA TS I1 Rev. Rev. 02 02 Feb 18

SL # : 151

Audit Life Cycle

Exercise 18

60 Minutes

Audit Follow up NC Closures

Detail of Investigation :Causes Please “√” “√”   OR “X”as appropriate   ___Policy Issues ___Process Not Defined ___Process Not correctly implemented  ____Data Analysis __Competency issues issues ___ Contractual Issue with client(s)  ____Resources Issue  ____Others ____________________________________________________ _______________________________________ _____________ Note : Details of the causes can mention or a ttach separate with CAR Number, Date & evidence   PROPOSED ACTION:

Team to be made – One Team Audit Team and the other Auditee Organization A U D IT E

If time permits, do the role play involving each team so that all get a chance for the Live exercise

E

Date: ________________________Name: ________________Sign.:______________________ Details of Corrective Action (By AUDITEE):

Date: _________________Name: _____________________Sign.:______________________  

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Any Questions On EMS Auditing…?

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ISO 14001:2015 Lead Auditor Training Training Course

Chapter 10

CQI-IRCA REGISTRATIONS

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Infrastructure WTO-TBT-Accrediting authority (IAF NABCB, JASANZ, DAC) DAC)

Certification bodies Certification (BSCIC)

CERTIFICATION OF THIRD PARTY AUDITORS

CQICQ I- IR IRCA CA

APPROVED TRAINING PROVIDERS

Training organizations CERTIFICATION FIRST PARTY (INTERNAL AUDITORS)

Registered organizations

END USER

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Independent auditors

Prospective registered organizations

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 Auditor/ Lead Auditor Certification The Criteria for Certification as a EMS Auditor Audi tor under IRCA 1000 requires: • Auditor training course • Education and qualifications • Work experience (general and specific) • Auditing experience • Continuing professional development (CPD) • Code of conduct declaration (Appendix III of IRCA 1000 )

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Auditor Certification New applications: INTERNATIONAL REGISTER OF CERTIFICATED AUDITORS 2nd Floor North Chancery Exchange 10th Furnival Street London, EC4A IAB Tel +44(0)20 72456833 Fax Fax +44(0)20 72 72456755 456755 Email [email protected] Website https://www.quality.org/

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CQI- IRC CQIIRCA A Certified Certified ISO ISO 14001:201 14001:2015 5 Auditor/ Lead Auditor Training Course

Chapter 11

BSCIC REGISTRATIONS

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BSCIC REGISTRATION REGISTRATION AS LEAD AUDITOR 6 2 • ems LA COURSE

1

• BSCIC ADVANCED AUDITING SKILL COURSE

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• COMPLETE 4 AUDITS AS TRAINEE AUDITOR

3

4 • ONE INDEPENDENT COMPLETE AUDIT UNDER ASSESSOR WITNESS

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• AUDITOR CERTIFICATION AS AUDITOR

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Any Questions ….? Thank You….!

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5

• LEAD AUDITOR REGISTRATI ON AFTER WITNESS AUDIT AS TEAM LEADER

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We hope you enjoyed your course You will be contacted by the CQI and IRCA for feedback on the course and your Approved Training Partner. Completing this short survey will help to ensure the continuing high standards of these courses. You can also record your certificate and receive information about the CQI and IRCA, auditing and quality news, ISO updates and much more: To record your certificate visit: www.quality.org/record-your-certificate

www.quality.org/training

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