Exercises 01 - EMS LAC, IG, Issue 4.2, 10-23-08
October 3, 2022 | Author: Anonymous | Category: N/A
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor uide
STUDENT EXERCISES (Instructor Guide) !"is document contains all t"e E#ercises $rovided to students %e"ind t"e E#ercise !a% o& t"e Student Manual' (o)ever* comments s$eci&ic to instructors are included in t"is document in gray s"aded %o#es +li,e t"is one-' Ans)ers to t"e E#ercises are also $rovided in t"is document in in gray s"aded %o#es' I& ans)ers are not $rovided $rovided &or an E#ercise* it is %ecause t"ere is no .rig"t/ ans)er &or t"e uestions or tas,s in t"ese and all ot"er cases* instructors s"ould rely on t"eir e#$eriences as auditors to res$ond to student )or,'
This Tab Tab contains the Student Exercises. The exercises were designed to provide students with an opportunity to practice their third-party auditing skills. Some of the exercises are individual exercises; others involve teamwork. teamwork. Each exercise describes the purpose, directions, the allotted time for completion, and the number of points that will count toward the continual evaluation. eep in mind; there may be more than one !correct" answer for an exercise. Try to identify the strongest or most direct answer in each case, and be prepared to consider, defend, or rebuke alternate answers raised during class discussions. The case study concerns a fictitious organi#ation, .Automotive Electronics rou$ +AE-'/ This organi#ation developed an Environmental $anagement System and has sought registration to %S& '())'*+))(. The E Environmental $anual and the organi#ations accompanying procedures are located behind the /ase Study Tab of the Student $anual and should be referenced to complete the exercises involving the case study. For purposes of this course, the 1 st da of the audit to !e p"anned for and conducted #i"" #i"" !e $une %, &'' *"" supportin+ dates in the Case Stud docuents and records #i"" !e consistent #ith those recorded on the
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Contents
Exercise '* Exercise +* Exercise 3*
8rere9uisite :eview......... :eview................. ................. .................. .................. .................. ................. ................. .................. ...........3 ..3 :eviewing Environmental 8olicy Statement........ Statement................. .................. ................. ................. .......... . spects, %mpacts, &bfor Stage + audit?................. audit?............................................+' ...........................+' /reating an udit /hecklist.............. /hecklist....................... .................. .................. ...................................+( ..........................+( /onducting an &pening $eeting............ $eeting..................... ..............................................+7 .....................................+7 uditing Scenarios................ Scenarios......................... ................. ................. .......................................... ......................................+@ .....+@ uditing the E /ase Study.......... Study................... .................. ............................................(= ...................................(= Ariting 0onconformity Statements....... Statements............... ................. .................. .................. ................... ..............=3 ....=3 /onducting the /losing $eeting and 8reparing the.............. the.............................= ...............= :eviewing /orrective ctions and udit Bollow 1p..............................7) /ompleting the Sample Exam... Exam............ ................. ................. .................. ..................................7' .........................7'
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor uide
EXERCISE 1-
.RERE/UISITE RE0IE
Students s"ould "ave t"is e#ercise com$leted )"en t"ey enter class' !a,e 0 minutes to revie) t"e c"art* c"art* "aving students $rovide res$onses' !ry to gauge t"eir understanding o& t"e reuirements and ta,e note o& areas in )"ic" t"ey can try to im$rove t"roug"out t"e course'
This prere9uisite exercise is designed to encourage students to review the %S& '())'*+))( standard before attending the %S& '())'*+))( Environmental $anagement System Cead uditor course. This exercise will be graded on tthe he first day of the course and will count toward the overall ' continual evaluation of students. Students must %ring t"is com$leted e#ercise and t"e accom$anying co$y o& ISO 14001:2004 to t"e course' !ime
3) minutes total Continual Evaluation
= points total 3irections
:eview the %S& '())'*+))( standard nswer the following 9uestions and be b e prepared to submit this sheet to the instructor ins tructor at the appropriate time.
'
Students who successfully successfully pass the E$S Cead uditor course course receive !/ertificates of Successful /ompletion." To pass the course, course, students must must achieve a )D or higher on both the written exam and the continual evaluation. The continual evaluation consists of the cumulative cumulati ve score of all course exercises, including this prere9uisite exercise.
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'. Ahat are the seven elements of the !&" section of %S& '())'*+))(F 4'4'1 oles* es$onsi%ilities* and Aut"orities 4'4'2 Com$etence* !raining* !raining* and A)areness 4'4' Communication 4'4'4 3ocumentation 4'4'5 Control o& documents 4'4'6 O$erational control 4'4'7 Emergency $re$aredness and res$onse
+. Cist ( records specifically re9uired by %S& '())'*+))( and provide the relevant clause. 2'5'1 ecords o& cali%ration and maintenance 4'5'2'1 ecords o& legal com$liance evaluation 4'5'2'2 ecords o& ot"er reuirements com$liance evaluation 4'6 ecords o& management revie)
3. ccording to %S& '())'*+))( who is re9uired to have the environmental policy communicated to themF 4'2& 8ersons )or,ing &or or on %e"al& o& t"e organi9ation
(. s stated in %S& '())'*+))( what is the diff difference erence between a !document" and a !record"F Ahat Aha t is a relevant clauseF 4'4'5 ecords are a s$ecial ty$e o& document and s"all %e controlled in t"e reuirements given in 4'5'4'
accordance )it"
!"e res$onse may also %e a re&erence clause '4 and '20
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=. Ahat is evaluated for !compliance" according to %S& '())'*+))(F 4'5'2'1 Com$liance to legal reuirements 4'5'2'2 Com$liance to ot"er reuirements
7. ccording to %S& '())'*+))( what must audit procedures addressF 4'5'5 t"e res$onsi%ilities and reuirements &or $lanning and conducting audits* re$orting results and retaining associated records* t"e determination o& audit criteria* sco$e* &reuency and met"ods'
. Ahat does /lause (.+ of %S& '())'*+))( correspond to in %S& @))'*+)))F Anne# * !a%le 1 5'1 Management commitment 5' ;uality $olicy s?* :e9uirements metF
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4'2 +g- Environmental 8olicy All indications are yes* %ut &urt"er uestioning )ould %e in order' Is t"e lo%%y is )ide o$en and unloc,ed to t"e $u%licB $u%licB (as t"e organi9ation documented t"eir decision on communicating t"eir signi&icant environmental as$ectsB
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor uide
Scenario :
Ahen asked how the company identified its environmental aspects, the 8lant $anager said, !t our annual planning retreat the management team spends a couple of hours brainstorming a list of ways that we affect the environment. Then we short-list the top five aspects, based on our understanding of the severity of the possible impacts. Ae make these five the aspects around which we will set targets and obs?* claus e>s?*
:e9uirements metF
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4'5'2 Evaluation o& Com$liance and 4''2 Legal and Ot"er euirements Dot yet' ;uestions to as,: (o) "as t"e organi9ation ensured international* national* local* and com$any reuirements are auditedB Is an auditor as,ing t"e rig"t $erson t"e rig"t uestionsB uestionsB (as t"e 3e$artment Manager %een trained to t"e $rocedures "e re&erences a%oveB Is t"ere a com$liance audit re$ort o& )"ic" t"e 3e$artment Manager may not %e a)areB
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Scenario 5:
Ahile reviewing a log of external communications, an auditor noticed that there were regular complaints from the operators of a retirement facility next door. The residents were disturbed by the noise caused when the solid waste compactor turned on periodically, sometimes at night. &n checking the minutes of the last management review in which obs?* claus e>s?* :e9uirements metF
4'4' +%- Communication Do' !"e $rocedure &or res$onding to com$laints needs to %e revie)ed'
Scenario 6:
1pon visiting the wastewater treatment facility the auditor notices a binder labeled !8ermits" and sees a wastewater permit inside. The auditor then asks one of the technicians what his understanding of the permit limitations are. The technician replies, !% dont remember them exactly. Thats why we have them in a book. H Hou ou have the book G you tell me." pplicable clause>s?* claus e>s?*
:e9uirements metF
4''2 Legal and ot"er reuirements and 4'4'2 Com$etence* training and a)areness Dot yet' !"e auditor s"ould %e &le#i%le and a$$roac" t"e uestion &rom a di&&erent angle' It may %e $ossi%le +alt"oug" not li,ely- t"at t"e o$erator doesnt need to ,no) t"e $ermit limitations* %ut may%e a manager does' 8ossi%ly* 8ossi%ly* t"e o$erator may ,no) and is >ust not coo$erating'
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Scenario 7:
%n the receiving area, drains leading off the property are observed. Standard &perating 8rocedures for the :eceiving epartment do not contain any actions that are to be taken with respect to the drains in the case of a spill. pplicable clause>s?* claus e>s?* :e9uirements metF
4'4'7 Emergency $re$aredness and res$onse Do' !"e organi9ation is reuired to maintain maintain a $rocedure to identi&y $otential emergency situations or $otential accidents t"at could im$act t"e environment' !"ey do not "ave a s$ill $ $lan lan &or t"e drains in t"ese areas'
Scenario s?* claus e>s?* :e9uirements metF
4'4'5 Control o& 3ocuments Dot sure yet' It is not yet clear t"at t"e documentation includes t"e dates o& revision' ;uestions to as,: (o) (o) does t"e organi9ation ensure t"at tem$orary em$loyees receive t"e latest $roceduresB 3oes t"e online system actually )or,B
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Scenario :
n auditor noted that the procedure proced ure for Emergency :esponse refer referenced enced the Ka#ardous $ateria $aterials ls $anagement 8lan >K$$8? is contained in the environmental, safety, and health programs. Ahile reviewing the K$$8 in the ESK programs, an auditor notices that the program is audited using the Muality $anagement System 8rocedure. Ahen asked if the audit findings were incorporated into the E$S, the Muality $anager replied, !0o, that is part of the Muality System and the two are kept separate." pplicable clause>s?* claus e>s?* :e9uirements metF
4'5'5 Internal Audit Dot sure yet' C"ec, t"e ;MS internal audit $rocedure andFor andFor audit results' Integration o& t"e EMS EMS and ;MS audit $rocesses s"ould %e encouraged )"ere $ossi%le* as illustrated %y ISO 1011
Scenario 10:
Ahen asking the Environmental $anager who is responsible for accessing and identifying applicable environmental regulations to demonstrate how she would find out about the most current / information, she replied !% get that type of information from the corporate lawyer on a need to know basis." n auditor went on to 9uestion the corporate corpo rate lawyer on how regulatory information was transferred to other areas of the plant and to those responsible for meeting compliance re9uirements. The lawyer said, !% keep track of all permits, and it is not necessary for process management to know this level of detail." pplicable clause>s?* claus e>s?*
:e9uirements metF
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4'5'2 Evaluation o& Com$liance 4''2 Legal and Ot"er euirements Do' !"e auditor s"ould determine )"at t"e $rocedure &or identi&ying and accessing legal and ot"er reuirements says' !"e auditor mig"t use an e#am$le o& recent legal c"ange and see "o) t"e Environmental Environmental Manager )as made a)are o& t"e c"ange' @as t"e Environmental Manager made a)are o& t"e c"ange in a met"od ot"er t"an t"at descri%ed in t"e $rocedureB
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EXERCISE %-
REGU5*TI3NS
!"is e#ercise is to ensure active learning &rom t"e students and "el$ t"em a$$ly t"eir ,no)ledge o& regulatory ve"icles and inter$ret regulatory in&ormation' in&ormation' !"e e#ercise as,s students to determine t"eitmeeting o& a case regulatory %y revie)ing control designed to meet in t"e AE study' study'reuirement !"ey )ill need to go into t"e t"e o$erational re&erence section and uic,ly &amiliari9e t"emselves )it" t"e $iece o& legislation' Instructors s"ould ma,e t"e $oint t"at in&ormation a%out ISO 17021:2006 is included in Module < o& t"e !a% !a% !e#t in t"e Student Manual' !"ey s"ould also dra) t"e clear distinction t"at )"ile environmental tec"nical com$etence is im$ortant &or an EMS audit* EMS t"ird? $arty auditors do DO! conduct com$liance audits' !"e instructor may also s"o) students some regulatory )e%sites +e'g' E8A- %y actually connecting to t"e )e% i& $ossi%le' A&ter t"e students "ave "ad a c"ance to conduct a revie) &or t"e &irst 0 minutes t"e instructor s"ould lead t"e class in a discussion &or t"e &inal 0 minutes' !"e instructor )ill need to grade eac" student &or "is or "er level o& $artici$ation in t"e e#ercise and during t"e class discussion' !"ere is no need need &or t"e instructor to grade grade eac" students individual individual ans)ers to t"e scenarios' Students can receive a ma#i ma#imum mum o& 5 total $oints &or t"eir $artici$ation* and t"e grade must %e recorded on t"e Mar,ing Matri#' 8ur$ose
To give you practice with reviewing a regulation applicable to an organi#ation and the document designed to meet it. !ime
3) minutes team class review discussion 7) minutes total Continual Evaluation
= points total
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor uide
3irections
:eview the material provided behind the !:eference Tab" for ()/B: 8art ''+ !&%C 8&CC1T%&0 8:EIE0T%&0". nswer the following* Ahat is the evidence of the applicability of this regulation to an environmental aspect of EF
Ahat E document is intended to meet the re9uirement of this regulationF
%dentify 4 things in the E document that provide evidence of meeting the regulatory re9uirement.
( Note- Remember, Note- Remember, you are not looking at compliance to the law, you are looking for conformance to a requirement of an Operational Control and conformance to 4.4.6)
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor uide
E#ercise @or,s$ace Inventories in S$ill 8lan $rovide evidence o& oil in storage greater t"an 120 gallons and AE is located on t"e Arnold iver and @est iver' AE Livonia Site S$ill 8lan* S8?100* Issue * 06?0?04 1' 3ocumented s$ill $lan 2' Layout and &acility diagram ' !y$es o& oils descri%ed on t"e inventory s"eets 4' Emergency contact num%ers $rovided 5' !raining reuirements +Solid, Ka#ardous, :ecycling? Energy $anagement; /hemical $anagement
+*3)
TC $anufacturing2Aarehousing &perations 8lant $aintenance aily &ut brief
=*)) ay 3
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TC
Top management 2 $anagement :eview udit trail follow-up 2:eport 8reparation
'+*))
TC
/losing $eeting
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EXERCISE -
CRE*TING *N *UDIT C:EC;5IST
In t"is e#ercise* students )ill use t"e audit $lans t"ey created in E#ercise 6 to create c"ec,lists &or t"e AE audit' !"e instructor )ill assign eac" student a de$artment* $rocess or &unction o& AE or an ISO 14001:2004 clause t"ey )ere assigned to audit &rom t"e audit $lans t"at )ere $re$ared' Students )ill t"en $re$are a c"ec,list %ased on t"eir assigned de$artment* $rocess* &unction* or clause' !"e tutor )ill t"en select a mem%er o& eac" team $resent t"eir c"ec,list c"ec,list to t"e entire class )"ile ot"er class mem%ers critiue t"e )or,' At t"e end all c"ec,lists )ill %e turned in to t"e tutor &or evaluation' !"ere is no s$eci&ic solution $rovided &or t"is e#ercise' Instructors s"ould use t"eir ,no)ledge o& ISO 1011:2002 and auditing tec"niues to evaluation students c"ec,lists' 8ur$ose
To give you practice developing audit checklists. !ime
() minutes individual work +) minutes class discussion 7) minutes total Continual Evaluation
= points total 3irections
1sing the audit plans from the previous exercise develop a checklist that would enable you to conduct an effective audit. The instructor will assign each student a department, process or function of E or an %S& '())'*+))( clause they were assigned to audit from the audit plans that were prepared within their team. Students will then prepare a checklist based on their assigned department, process, function, or clause. The tutor will then select a member of each team to present their checklist to the entire class while other class members criti9ue the work.
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ll checklist will be b e turned in to the tutor for e evaluation valuation and c comment omment at the end of the exercise !i$: Structure the checklist around the following*
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Ahat Ahat Ahat Ahat
is the re9uirementF will you look at to assess conformance with the re9uirementF evidence will you look for to prove conformanceF sample si#e should you useF
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EXERCISE uire four teas, consider ha?in+ t#o teas present to the other t#o teas to t o sa?e tie ait unti" the t#o @auditeeA @audite eA teas are read for the eetin+ !efore !efore chan+in+ their assi+nents assi+nents (for fu"" !enefit !enefit of the preparation) Then +i?e each +roup of BauditeesB different different >uestions or stateents out"ined a!o?e to ensure the ro"ep"a is effecti?e As outlined in clause 6'5'1 o& ISO 1011:2002* $ossi%le o$ening meeting to$ics may include:
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IntroductionsFrolesFattendance Sam$lingFdisclaimer Communication c"annels O%>ectivesFsco$eFcriteria LogisticsFguides Conditions &or audit terminations 3ocumentation status Audit met"ods 8ossi%le outcomes Audit 8lan con&irmation A$$eal system ClosingFinterim meetings Assignments Ac,no)ledgements Classi&ications o& &indings Language o& t"e audit Con&identiality Clari&ications Audit $rogress estrictions !"an,s
At t"e end o& t"e e#ercise* t"e o$ening meeting role $lay s"ould %e evaluated on a scale o& 1?5 and scores &or eac" student entered into t"e Mar,ing Matri#'
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EXERCISE -
*UDITING SCEN*RI3S
!"e instructor )ill assign eac" student 1 to 4 o& t"e scenarios on t"e &ollo)ing $ages' Students )ill t"en read t"eir assigned scenarios and determine i& t"ere is enoug" in&ormation to )riting issue a t"e noncon&ormity noncon&ormity' A&ter t"e students "ave &inis"ed analy9ing y9ing scenarios and a$$ro$riate' in&ormation in t"e s$ace $rovidedanal %elo) t"et"eir scenario in t"e student manual* "ave eac" student $resent t"eir assigned audit scenarios to t"e class )it" t"eir DC statement and t"eir t"eir ideas &or &urt"er uestioning' !ry to assign eac" student )it" at least one scenario t"at results in a noncon&ormity and one t"at does not' !"e !utor s"ould c"allenge t"e &indings o& t"e students &or adeuacy or e#istence o& evidence and a$$ro$riateness o& reuirement' !est t"eir tenacity and get t"em a)ay &rom t"e . I t"in,/ to .I ,no)/ t"is is a noncon&ormance' !"e $ur$ose o& t"is e#ercise is to e#$ose students to as many di&&erent audit scenarios as $ossi%le' Eac" scenario aims at a s$eci&ic to$ic or situation auditor m mig"t ig"t &ace* &or e#am$le* one scenario encroac"es on integration and "o) to discuss environmental issues )it" your uality management intervie)ee' Ot"er intervie)ee' Additionally* Additionally * t"ere are scenarios t"at allo) an auditor deal )it" o%stinate intervie)ees' scenarios ena%le t"e instructor to illustrate t"e to distinction %et)een ensuring t"e auditee is com$lying )it" environmental la)* and auditing t"e auditee &or com$liance* ,ee$ing in mind t"e &act t"at EMS auditors do DO! conduct com$liance audits' 8ur$ose
To give you practice conducting audit interviews, preparing 9uestions, and following audit trails. !ime
'= minutes individual work 7) minutes total class discussion = minutes Continual Evaluation
= points total
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3irections
The instructor will assign you one to four of the following scenarios. :ead the scenario>s? assigned to you and determine if there is enough information to issue a nonconformity. %f you can %fshow there a nonconformity provide the most applicable of %S& '())' and the evidence. you do notisbelieve there is a nonconformity then state theclause following and be sure to include >develop an audit trail?*
ctions you would take next and whom you would interview Muestions you would ask and how you would ask tthem hem >8repare about 3 to = 9uestions? pplicable element>s? of the %S& '())' standard for the scenario scenar io &bs?
6e prepared to discuss your scenario>s? and recommendations with the class.
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Auditing Scenarios:
'. Houre iinterview nterviewing ing an em employee ployee w who ho is resp responsible onsible for op operating erating one of the sc scrubbers. rubbers. Hou notice he records air emission monitoring information on a log sheet as re9uired by his operating procedure. procedur e. Hou examine the log sheet and notice that it doesnt have any lim limits. its. Hou ask theon employee if he knows limits and %he responds, !% $ >$8-) 8-))'? )'? $anagement :eview $inutes >dated 72+42+))(? E$S 8erformance $etrics
8otential Doncon&ormance: Management is not on)"at target )it" D reduction* Metrics are out o& date' Meeting minutes do not clearly s"o) t"ey are doing a%out t"e noncon&ormities to get %ac, on trac,'
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$cenario ! -uditing the -#pect and mpact dentificat den tification ion roce##
uditee*
Bacilities $anager
8reparat 8rep aration ion o ocum cument ents* s*
spe spect ct O %%mpa mpact ct %%dent dentifi ificati cation on 8rocedur 8rocedure e >ESK-))+? E &bE >ESKSK-)')? )')? /opies of the nonconformities written in Stage 'audit
8otential Doncon&ormance: !"e $reventive action &or DC H2 is not adeuate' AE s"ould s"ould in &act ta,e a com$re"ensive vie) o& its o$erations to determine i& ot"er $rocesses )it" adverse im$acts are on t"e ta%le' $cenario 4! -uditing the Operational Control roce##
uditee*
Electroplating Supervisor
8r 8repa eparat ration ion oc ocum umen ents ts**
E E Sp Spililll 8la 8lan n >S8 >S8-' -'))? ))? spect O %mpact %dentification 8rocedure >ESK-))+?
8otential Doncon&ormance: !"ere are o%>ectives and targets in Electro$lating %ut t"e Su$ervisor is not a)are o& t"em* nor is "e a)are o& any o$erational controls to su$$ort t"eir initiatives'
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor uide
$cenario ! -uditing the Compliance -udit roce##
uditee*
Environmental $anagement :epresentative
8reparat 8rep aration ion oc ocume uments nts**
Envi Environm ronment ental al udi uditt 8r 8roced ocedure ure >E >ESKSK-))=? ))=? %nternal udit :eview :eport $inutes >dated 72+42+))(? $anagement /B/ $anagement 8olicy >ESK-))7? &pen 6urning 8olicy >ESK-))4? 8/6 $anagement 8olicy >ESK-))@? sbestos $anagement 8olicy >ESK-)''? Thompson Environmental Engineering Email ir-/onditioning ir-/ondition ing System Service :eport
8otential Doncon&ormance: !"e Corrective and 8reventive Action and $ermit e#ceedance $ro%lems are ma>or issues' !"is noncon&ormance &or $ermit e#ceedance could also %e raised against E#ternal Communication' $cenario 6! -uditing 7egal Requirement#
uditee*
Environmental $anagement :epresentative
8r 8repa eparat ration ion oc ocum umen ents ts**
E E Sp Spililll 8la 8lan n >S8 >S8-' -'))? ))? &bS8 >S8-' -'))? ))? spect O %mpact %dentification 8rocedure >ESK-))+? &bESK-))? $anagement of 0on-Ka#ardous Aaste 8olicy >ESK-))(?
8otential Doncon&ormance: !"e $otential &or deviation &rom $rocedures could %e a minor noncon&ormity' $cenario %+! -uditing the 3raining and -warene## roce##
uditee*
Training $anager
8reparat 8rep aration ion o ocum cument ents* s*
Tr Traini aining ng 0ee 0eeds ds na nalys lysis is 8r 8roced ocedure ure >T >T:-)) :-))+? +? Training 0eeds Email Email to supervisors and foreman Training :ecord Cog
8otential Doncon&ormance: A minor noncon&ormity could %e raised since tem$orary and ot"er em$loyees "ave not received a)areness training' training' !"e organi9ation is reuired to conduct a)areness training &or t"e masses' At a Stage 2 audit t"ey " "ave ave not conducted training and i& t"e )or,ers are very una)are at t"e time o& t"e audit* t"is must %e raised as a noncon&ormity'
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor uide
EXERCISE 11-
RITING N3NC3NF3R4IT6 N3NC3NF3 R4IT6 ST*TE4ENTS ST*TE4ENTS
Do s$eci&ic ans)ers are $rovided &or t"is E#ercise* as t"e ans)ers may vary &or eac" grou$ de$ending on t"e outcome o& t"e role?$lays' A&ter students "ave s$ent 45 minutes $re$aring t"eir noncon&ormity re$orts in t"eir grou$s* give eac" grou$ roug"ly 10 minutes eac" to e#$lain t"eir noncon&ormity re$orts to t"e class' @"en not $resenting* t"e ot"er grou$s s"ould critiue t"e $resenting grou$s re$orts' Encourage t"e grou$s to constructively evaluate eac" ot"ers )or, as you serve as t"e conversation moderator and &acilitator' I& you "ave le&t over time a&ter all t"e $resentations* you may &ill out additional noncon&ormity re$orts as a class %ased on o%served noncon&ormities in t"e AE case study t"at )ere not already )ritten u$ %y t"e grou$s'
DO!E: See Case Study &or e#am$les o& com$leted DCs' 8ur$ose
To give you practice writing nonconformity statements. !ime
(= minutes team preparation 3) minutes team presentation = minutes total Continual Evaluation
= points total
/ourse Exercises
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor uide
3irections
This is a group exercise based on the case study audit. Students should break up into groups of three. The instructor will assign each group one of the nonconformities observed during the audit role-play in Exercise '), ') , !uditing the E /ase Study Study." ." fter discussing the observed nonconformity, the groups must prepare and write a nonconformity report >0/:?. The 0/: should be written written on forms provided and in a manner consistent with the m methods ethods taught >onconformity report form# are found after the e*erci#e direction# below ?. fter 3) minutes of preparation time, the team will select a 0/: for presentation to the entire class. fter each presentation, the instructor will lea lead d a class discussio discussion n on the effectiveness of the 0/:s. Dote: The results of this exercise make up part of the Exercise '+, !/losing $eeting and udit
:eport." Each student may be re9uired to deliver >present? one or more nonconformity statements from the case study during the closing report meeting. 0onconformity reports will be reviewed by the class and instructor against the following criteria*
/orrectly identifying a nonconformity escribing clearly the nature of the nonconformity %nclusion of pertinent obs?
/ourse Exercises
E$S )(+ )' E0 1S
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor uide
E#ercise @or,s$ace
0onconformance :eport JE$S-0/:, %ssue ' 1%T 0&0/&0B&:$%TH 0&0/&0B&:$%TH :E8&:T &rga &r gani ni#a #ati tion on**
%nci %ncide dent nt 0u 0umb mber er**
rea under under :evi :eview* ew* %S& ' '())'*+) ())'*+))( )( /laus /lause e 0um 0umber* ber* /ategory*
$Q&:
$%0&:
%$:e9uirement*
0onconformity2Evidence*
uditor* udit or*
udit uditee* ee*
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor uide
E#ercise @or,s$ace
0onconformance :eport JE$S-0/:, %ssue ' 1%T 0&0/&0B&:$%TH 0&0/&0B&:$%TH :E8&:T &rga &r gani ni#a #ati tion on**
%nci %ncide dent nt 0u 0umb mber er**
rea under under :evi :eview* ew* %S& %S& '())'*+ '())'*+))( ))( /lau /lause se 0um 0umber* ber* /ategory*
$Q&:
$%0&:
%$:e9uirement*
0onconformity2Evidence*
uditor* udit or*
udit uditee* ee*
/ourse Exercises
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor uide
EXERCISE 1&-
C3NDUCTING C3NDUCTIN G T:E C53SING 4EETING *ND .RE.*RING T:E *UDIT RE.3RT RE.3RT
Do s$eci&ic ans)ers are $rovided &or t"is E#ercise* as t"e ans)ers may vary &or eac" grou$ de$ending on t"e outcome o& t"e role?$lays' A&ter students "ave s$ent 60 minutes $re$aring t"eir &inal audit re$orts in t"eir grou$s* give eac" grou$ roug"ly 10 minutes minutes eac" to conduct a closing meeting' ou may n need eed to tailor t"e time eac" grou$ s$ends on t"e closing meeting to ensure eac" grou$ receives an eual time' All o& t"e closing meetings com%ined s"ould not e#ceed 45 minutes' ou ou )ill $lay t"e role o& to$ management during t"e closing meetings' ou may also as, ot"er students to sit in as additional auditees during t"e meetings' A&ter eac" closing meeting* ta,e a &e) minutes to discuss )it" t"e class t"e strengt"s and )ea,nesses o& t"e re$orts and t"e meeting' Encourage t"e grou$s to constructively evaluate eac" ot"ers )or, as you serve as t"e conversation moderator and &acilitator' I& you "ave le&t over time a&ter all t"e $resentations* reiterate t"e im$ortance o& an e&&ective closing meeting' 8ur$ose
To gain an understanding of the audit reporting and closing meeting processes. !ime
7) minutes preparation (= minutes for closing meeting presentations '= minutes class discussion and debrief '+) minutes total Continual Evaluation
= points
/ourse Exercises
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor uide
3irections
Each team is to prepare an audit summary report and present it during a closing meeting to management of E >played by the instructor? instructor?.. The written summ summary ary report will be presented to E top management during a closing meeting >the instructor will serve as the E top management representative during the role-play?. The report must address all the relevant topics covered in the course slides for !audit reporting," as well as meet the the re9uirements of clause 7.7.', %S& '@)''*+))+. '@)''*+))+. %t may be completed on the form provided with additional pages for detail or explanation as needed >the audit report form is located in this section after the exercise directions below?. The audit team leader is responsible for planning, conducting, and controlling the meeting, which should meet the re9uirements of clause 7.=., %S& '@)''* '@)''*+))+. +))+. /ontributions of each team member should be decided as part of meeting meeting planning. Each team m member ember is to present >at least? one nonconformity and come to an understanding with the auditee management on the issue and corrective action responsibility. responsib ility. The team leader is to sum up and conclude the meet meeting. ing. Note- the duration of each clo#ing meeting may need to be determined by the number of group# Note- the and #tudent# in the cla##.
:emember, the purpose of an audit is to verify conformity with re9uirements; do not neglect to include this in the report, as well as the nonconformities. $ake sure the audit summary summary report and presentation include the nonconformity you worked on in Exercise '' as well as other nonconformities observed during the role-plays. The student and the team will be reviewed against the following criteria*
/ontent and accuracy of the written audit summary report /ontribution of each member to the preparation work Bor the team leader, a clear, logical presentation of the audit summary, effective dealing with manager concerns and a summation2closure Bor team members, a 0/: presented clearly, logically, and effectively dealing with manager concerns, and reaching an understanding on corrective action responsibility2timing Bor all members, effectively supporting the team efforts during the meeting
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor uide
E#ercise @or,s$ace A3I! SMMA E8O!
:eport 0umber*
ate*
8rocess>es? udited* ate of udit*
Scope of udit* udit*
udit &bstandard2procedure2prostandard2procedure2pros?*
Summary of findings* 0/: :eference 0umbers*
:eport 8repared by*
ate*
:eport pproved by* /ompany :epresentative
ate*
istribution*
/ourse Exercises
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor uide
EXERCISE 17-
RE0IEING RE0IEING C3RRECTI0E *CTI3NS *ND *UDIT F3553 U.
(ave t"e students s$lit u$ into t"eir teams' (ave eac" team ta,e t"e role o& t"e auditee &or a moment' (ave t"em create a corrective action $lan &or one o& t"e noncon&ormities identi&ied in t"e audit re$ort &rom E#ercise 12' Once t"e students "ave develo$ed a corrective action $lan* "ave t"em uic,ly $resent t"eir $lan to anot"er team' !"en eac" team )ill )ill evaluate t"e e&&ectiveness o& t"e corrective action $lan $resented to t"em* and develo$ an audit trail &or t"e ne#t visit to c"ec, t"e im$lementation o& t"e $lan' 8ur$ose
To help you gain an understanding of the corrective action and audit follow-up processes. !ime
(= minutes group corrective action plan preparation 3) minutes group evaluation corrective action of plan = minutes total Continual Evaluation
= points 3irections
6reak into teams and act as the auditee for the beginning of this exercise. 6ased on the audit plan developed in Exercise '+ and the 0/s from the E case study, develop a corrective action plan for one of the nonconformities. Hou will then present your plan to another group, and you will have a plan presented to you. s a team of auditors, determine if the corrective action plan presented to you would be effective when implemented. lso, develop an audit trail you would use dur during ing a follow-up visi visitt to determine if the corrective action plan was effectively implemented.
/ourse Exercises
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course–Instructor uide
EXERCISE 12-
C34.5ETING T:E S*4.5E EX*4
!"e instructor s"ould $re&ace t"e sam$le e#am )it" all t"e same directions as t"e real 2 "our e#am' !)o "ours )ill %e allotted allotted &or students to com$lete t"e sam$le e#am' !"en lead t"e students in a revie) o& t"e e#am' 8ur$ose
To give you practice taking the E$S Cead uditor Exam. !ime
'+) minutes for exam completion 7) minutes class discussion and debrief '4) minutes total Continual Evaluation
= points for completion = points for class discussion ') points total 3irections
/omplete the sample exam on the following pages. Solutions then will be covered in class.
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