SR - No. Session Plan Page No.: ISO 14001:2015 Lead Auditor Training Course Delegate Exercises

 

ISO 14001:2015 Lead auditor Training Course Delegate Exercises

Table of Contents Sr.No.

Session Plan

1

Page No. 2-3

Introducon of Delegates

2

4-5 Review of EMS Policy

3

6-7 Documented Informaon

4

8-9 Monitoring, measurement, analysis and evaluaon

5

10-11 Auditor Roles and Responsibilies

6

12-13 Sequencing audit acvies

7

14-15 Planning the audit

8

16-18 Document Review (Case study Manual)

9

19-26 Preparing Audit checklist

10

27-29 Opening Meeng

11

30 Audit role Play

12

31-34 Wring an NCR

13

35 Closing Meeng

14 15

36-44 Display of Audit Report Review of correcve acon Acvity

45-48

 

ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise -1 (Introduction of Delegates)

 ACTIVITY 1. Divide Divide the dele delegat gates es into into pai pairs; rs; 2. In a pa pair, ir, ea each ch de dele lega gate te wi willll in intr trod oduc ucee hi his/ s/he herr pa part rtne nerr (c (coo-pa part rtic icip ipan ant) t) af afte ter  r  obtaining the necessary details as per format under; any unpaired delegate will introduce himself/herself. DURATION a) Obtaining necessary information: 05 minutes b) Introduction: 02 minutes/delegate  AIDS Flipchart MARKING None

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise 1(Activity sheet)

Your/ Partner’s name

Organization Position  Address Contact Details

Education

Career Background Knowledge of EMS (ISO 14001:2015)(In the scale of  1-10)  Auditing Experience (In the scale of 1 - 10)

a) Firs irst Pa Party rty b) Se Seco cond nd Part Partyy c) Third hird Part rtyy

 Any other relevant Information Expectations from the course

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise 2 (Review of EMS policy)

 ACTIVITY  As a group, a) Study the the ‘EMS policy’ policy’ (enclos (enclosed) ed) of the Alpha Alpha Galvanizi Galvanizing ng Limited; Limited; b) Verify confor conformity mity of ISO 14001: 14001:2015 2015 and and present present your finding findingss DURATION a) Prepar Preparati ation: on: 20 min minute utess b) Prese Presentati ntation on and and review: review: 10 minut minutes es per per group group  AIDS ISO !4001:2015 Flip Chart MARKING a) 10 Mark Mark for for comple complete te and and correc correctt finding finding b) Dedu Deduct ct 1 mark mark for each each incorre incorrect ct /missed /missed findin findingg

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

EXERCISE -2 (Activity sheet)

ENVIRONMENTALPOLICY

Alpha Galvanizing Limited is dedicated to manufacturing highest quality galvanized metal parts to meet the requirement of our esteemed customers We are committed to: educ ucee en envi viro ronm nmen enta tall imp mpac acts ts re rellated ted to th thee ac acti tivi viti ties es of ou ourr 1) Red organization 2) Establish controls and measurable objectives to ensure our commitment

to the protection of environment and conservation of natural resources. BR Roy QHSE Manager

st

Dated: 31  Ja  January,2019

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise3 (Documented information)

 ACTIVITY  As a group review the case case study manual of Alpha Galvanizing Limited to identify identify the missing documents which are mandatory as per the requirement of ISO 14001:2015, relating to the clauses, allocated to the respective groups as under: a) Group 1: Clauses 4, 5, b) Group 2: Clauses 6, 7 b) Group 3: Clauses 8 c) Group 4: Clauses 9 & 10 DURATION c) Pr Prep epar arat atio ion: n: 15 minu minute tess d) Prese Presentati ntation on and and review: review: 5 minu minutes tes per per group group  AIDS

 

a) IS ISO O 1400 14001: 1:20 2015 15 b) Case study study manua manuall of Alpha Alpha Galvani Galvanizing zing Limited Limited b) Flip Chart

MARKING   a) 10 Marks for 5 or more correct answers b) Deduct 1 mark per omission

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

EXERCISE-3 (Activity Sheet) S.No. Clause No. 1 2 3

Description

4 5 6 7 8 9 10 11 !2 !3 14 15 16 17 18

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

EXERCISE-4 Monitoring, Measurement, Analysis and Evaluation

 ACTIVITY  As a group, a) Revie Review w the Management Management Review Review meeting meeting (Minutes (Minutes)) Refer: PAC-MR-2 PAC-MR-2 of  Alpha Galvanizing Limited Limited b) Ident Identify ify the the possibl possiblee short short comings comings in in MRM. MRM. DURATION a) Preparation: 10 minutes b) Presentation and review:5 Minutes per group.  AIDS a) Minut Minutes es of Managemen Managementt Review Meeting Meeting (PAC-MR-02 (PAC-MR-02)) of Alpha Galvanizin Galvanizingg Limited b) Organizatio Organizationn Chart Chart (Annex (Annexure ure 4) of Alph Alphaa Galvan Galvanizing izing Limit Limited ed c) IS ISO O 140 14001 01:2 :201 0155 MARKING a) 1 mark mark for each each cor correc rectt respon response. se.

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

EXERCISE-4(Activity Sheet)

ALPHA GALVANIZING LIMITED

AGL-MR-02

MINUTES OF MANAGEMENT REVIEW

 Attendees; Mr. J.Singh (GM) ,Mr.V.K Thakur(Production Thakur(Production Manager), Mr. Jack(MR) Jack(MR) Distribution to: Chairman,GM,HR,Production Manager  Sno Description Responsibility . 1

Status of action from previous meeting There was no outstanding issues

Target Date

N/A

N/A

N/A

N/A

N/A

N/A

HR Manager

20/10/YY

N/A

N/A

HR Manager

30/11/YY

Changes in internal and external issues

2

3

There is no changes in internal and external issues pertaining to pertaining to EMS (needs and expectation of interested parties, legal requirement) Achievement of EMS Policy and the EMS Objectives

The EMS policy and objectives were met Adequacy of resources

4

Internal trainer requirement is approved by the GM and to be recruited Communication with interested parties

5

 A communication of concern regarding fumes from zinc coating unit was received from neighbouring factory Opportunities For Improvement

6

Frequency of EMS awareness training to be increased

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise 5  Auditors roles and responsibilities

 ACTIVITY  As a group, list out the roles and responsibilities responsibilities of i) Audit Team Leader Leader and ii) Audit Team member in carrying out the tasks relating to on-site audit activities, as per the format enclosed. DURATION Preparation: 20 Minutes Presentation and review: 10 Minutes.  AIDS a) ISO19011 b) Flip Chart MARKING a) 10 marks for complete/correct coverage b) Deduct 0.5 marks for each omission or incorrect check points

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

EXERCISE-5(Activity Sheet)

TASKS

ROLES AND RESPONSIBLITIES  Audit Team Leader Audit Team Member 

Opening Meeting Conduct

Attend

Keen observation on the site and discuss with the top management

Keen observation on the site and Discuss with team leader 

Same responsibility as per schedule

Same responsibility as per schedule

To the top management auditee and team member 

With the team leader and auditee’s Will get the Endorsed by the TL

Site Tour 

 Auditing as per plan Communication Endorsement and audit findings Debriefing Team meeting: Report finalization Preparing discussion: sheet for closing meeting Confidentiality Closing Meeting

Team leader will endorse his own findings and Team members findings also Debriefing will be done by TL Conduct the team meeting

He will assist the TL Assist the TL

TL will prepare

Assist the TL

Liable

Liable Part of the closing meeting

Will be presided by TL.

EXERCISE-6  (Sequencing Audit activities)

 ACTIVITY a) As a group, put the LARGE header cards (major audit activities) in the right sequence. KBS Certification Services Pvt. Ltd. 

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

b) Identify the minor associate activities from the SMALL associate cards, relating to the LARGE cards and put the SMALL cards in the right logical sequence, under the respective LARGE Header cards. The packs of cards are given below: Pack 1: LARGE HEADER CARDS ab)) c) d) e) f)

P Inrietipaatinrigngthaeuaduitdaitctivities Conducting follow up audit Conducting the audit activities Completing the audit Pre repa parrin ingg and dis istr trib ibuutiting ng th thee aud uditit re reppor ort. t.

Pack 2: SMALL ASSOCIATE CARDS a) Pre repa parrin ingg th the au audit re reppor ortt b) Co Cond nduc uctiting ng th thee ope openi ning ng me meet etin ingg c) Per Perfor formin mingg docu documen mentt rev review iew whi while le con conduc ductin tingg the au audit dit d) Co Comm mmun unic icat atin ingg dur durin ingg th thee aud auditit e) Es Esta tabl blis ishi hing ng ini inititial al con conta tact ct wit withh the the audi audite teee f) Performing document review inmpreparation for the audit g) As Assi sign gnin ingg wor work k to to the the au audi ditt tea team h) De Dete term rmin inee the the feas feasib ibililitityy with with aud auditit i) Conducting closing meeting  j) Assigning roles and responsibilities responsibilities for the guides and and observers k) Gen eneera ratiting ng au auddit fifinndin ings gs l) Distributin Distri butingg the audi auditt repo report rt m) Co Collllec ectiting ng and and ver verififyi ying ng info inform rmat atio ionn Example (Specimen): LARGE HEADER CARD: SMALL ASSOCIATE CARD: Initiat Initi atin in th thee aud auditit Establishing Initial contact with the auditee Dete De term rmin inin in th thee feas feasib ibili ilitt of the the au audi ditt Preparing audit activities  Assigning work to the audit audit team Performing document review in preparation for the audit

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Conducting the audit activities  Assigning roles and responsibilities responsibilities for the guides and observers Conducting the opening meeting Communicating during the audit Performing document review while conducting the audit Generating audit findings Conducting closing meeting

Preparing and distributing the audit report. Preparing the audit report Distributing the audit report DURATION a) Preparation:20 minutes b) Presentation and review: 5 minutes per group  AIDS Pack 1: LARGE HEADER CARDS Pack 2: SMALL ASSOCIATE CARDS MARKING a) 10 marks for correct sequencing and association b) Deduct 0.5 marks for each incorrect sequencing and association

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise -07 (PLANNING AN AUDIT)

 ACTIVITY  As a group, prepare an audit audit plan for M/s. Alpha Galvanizing Galvanizing Limited (Case study organization), using the format enclosed DURATION a) Prepar Preparati ation: on: 15 min minute utess b) Prese Presentati ntation on and and review: review: 10 minut minutes es per per group group  AIDS    

a) Case study Manual b) Flip Chart

MARKING a) 10 Marks for appropriate ‘Audit Plan’ covering all function and usage of resources. b) Deduct 1 mark for each omission or incorrect aspect of the plan. Mark the delegates as per Continuous Assessment Plan

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

 Audit Schedule

Organization Location

Date



Stage 1



Stage 2



Surveillance [ ]

 

Recertification

Ref. No. Standard

 Assessment Areas

Time [Team Leader]

[Auditor/ TE]

[Auditor/ TE]

o

Each man-day is equivalent to 8 working hours excluding lunch and travel

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise-08  Document Review

 ACTIVITY  As a group, a) Revie Review w the Documented Documented Informa Information tion i.e. EMS Manual Manual of Alpha Alpha Galvanizing Galvanizing Limited and determine inadequacies, if any with reference to the requirements of the standards (ISO 14001:2015) b) Present your findings in the audit report format DURATION 1 hour 30 minutes  AIDS a) Case study study Manua Manuall (Alpha (Alpha Galvanizi Galvanizing ng Limited) Limited) b) IS O !4h001: 2015 15 c) ISO Flilip p ch c!400 art1:20 d) Doc Docume ument nt rev review iew for format mat MARKING   2 Marks for each correct finding (max. 10 marks)

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise 08(Activity Sheet)

Organization Auditor

Date

DD/MM/YYYY

List o Documents Reviewed

Please write the para/ clause/section/page no. of the manual/ procedures/ documents where requirements are addressed. ISO 14001:2015 Clause

Comments

Compliance [Yes/ No]

4. Context o the organization 4.1 Understanding the organization and its context  4.2 Understanding the needs and expectations o workers and other interested parties 4.3 Determining the scope o the Environmental management system 4.4 Environmental management system 5. Leadership 5.1 Leadership and commitment  5.2 EMSPolicy 5.3 Organizational roles, responsibilities and authorities 6. Planning 6.1 Actions to address risks and opportunities 6.2 EMSobjectivesandplanningtoachievethem 6.3 Planningto achieve EMS objectives 7. Support  7.1 Resources 7.2 Competence 7.3 Awareness 7.4 Communication 7.5 Documented inormation 8. Operation 8.1 Operational planning and control

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

8.2 Emergency preparedness and response 9. Perormance evaluation 9.1 Monitoring, measurement, analysis and perormance evaluation 9.2 Internal audit  9.3 Management review 10. Improvement  10.1 General 10.2 Incident, nonconormity and corrective action 10.3 Continual improvement 

 Auditor Remarks:

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise-09 Preparing audit checklist

 ACTIVITY  As a group, prepare checklist checklist covering all applicable applicable clauses if ISO 14001:2015 14001:2015 to determine conformity of the EMS (Case study Manual) relating to the departments of  Alpha Galvanizing Limited specified to the groups: Groups

1 2 3 4

Specified Department

QHSE and Top Management Purchase and Stores Sales/Dispatch and Marketing Human Resources and Maintenance

DURATION a) Preparation: 30 minutes b) Presentation and review: 10 Minutes per group  AIDS ISO14001:2015 Flip Chart Case Study Manual MARKING a) 10 marks for complete/correct coverage b) Deduct 0.5 marks for each omission or incorrect check points

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

EXERCISE -09(Activity Sheet)

AUDIT CHECKLIST Process/Department

Date Of Audit

Auditor Standard

Auditee

Clause #

Question

6.2 6. 2.1

Has the Has the org rgan aniz izaati tion on es esta tabl blis ishe hed d Environmental objectives at relevant functions, levels and process needed for the EMS considering significant aspects, associated compliance obligation and has considered its risk and opportunities?

EMS Policy, Procedure of Compliance, Aspect Impact Register 

6.2. 6. 2.1. 1.aa

Are the Are the en envi viro ronm nmen entt obje object ctiv ives es co cons nsist isten entt with the environmental policy?

EMS Policy, Compliance Register, Impact Register, Frequency of evaluation

6.2.1.b & c

Are environment objective measurable and monitored?

Frequency of evaluation, Impact Register 

6.2.1.d & e

Are environment objectives communicated and updated as required?

EMS policy, Impact Register, Interview with employees

6.2. 6. 2.1. 1.

Does th Does thee org organ aniz izat atio ion n ma main inta tain in do docu cume ment nted ed information on the environment objectives?

EMS Policy, Any Waste Management disposal records, previous audit evidence

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Observation/Comments

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Confirming( Y/N)

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

AUDIT CHECKLIST Process/Department Auditor

Date Of Audit Auditee

Standard

Clause #

Question

Observation/Comments

Confirming( Y/N)

AUDIT CHECKLIST Process/Department

Date of Audit

Auditor

Auditee

Standard

Clause #

Question

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Observation/Comments

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

AUDIT CHECKLIST Process/Department Auditor Standard

Clause #

Question

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Observation/Comments

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Confirming( Y/N)

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

AUDIT CHECKLIST Process/Department

Date Of Audit

Auditor

Auditee

Standard

Clause #

Question

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Observation/Comments

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Confirming( Y/N)

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

AUDIT CHECKLIST Process/Department

Date Of Audit

Auditor

Auditee

Standard

Clause #

Question

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Observation/Comments

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Confirming( Y/N)

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

AUDIT CHECKLIST Process/Department

Date Of Audit

Auditor

Auditee

Standard

Clause #

Question

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Observation/Comments

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Confirming( Y/N)

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

AUDIT CHECKLIST Process/Department

Date Of Audit

Auditor

Auditee

Standard

Clause #

Question

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Observation/Comments

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Confirming( Y/N)

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise-10 Opening Meeting

 ACTIVITY  ACTIV ITY  As a grou group, p, carry carry out out the the opening opening meeti meeting ng cover covering ing all all the point pointss as requir required. ed.  Auditors  Auditors Group 1

Auditee Auditee Trainer

Group2

Trainer

Group 3

Trainer

Group 4

Trainer

Situation Situation Top Management of the company has to leave for some emergency. Customer makes a condition that Non-compliance be recorded. Customer wish to finish the audit early than the schedule Customer don’t want to let audit be done in some departments due to non-availability of the responsible persons

DURATION a) Preparation: 10minutes b) Presentation and review: 10Minutes per group. MARKING 10 marks for complete/correct coverage Deduct 0.5 marks for each omission or incorrect check points *The trainer with role play as auditee and delegates as auditor.

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

OPENING/ CLOSING MEETING CHECKLIST Please

Opening Meeting 

Please

Closing Meeting 

Tick

Tick

1.

Int Introd roduct uction ion of the parti particip cipan ants ts with with rol rolee

1.

Thank Thank for Sel Select ecting ing KBS and Hos Hospit pitali ality ty

2.

Confirmation of language to be used

2.

Closing Meeting Attendance Sheet

3.

Veri Verify fy No Co Conf nfli lict ct of Inte Intere rest st -Confidentiality and Conflict of Interest Statements

4.

Op Open enin ing g Mee Meeti ting ng A Att tten enda danc ncee Sh Shee eett

5.

Ver Verify ify Au Audit dit Obj Object ectiv ives, es, Sco Scope pe & Cr Crite iteria ria

6. 7.

Au Audi ditt Pro Proce cess ss Revi Review ewed ed Met Method hodss and and pro proced cedure uress to to b bee u used sed for sampling and objective evidence Dai Daily ly Mee Meetin ting g to kee keep p clien clientt iinfo nforme rmed d on audit progress Def Defini initio tions ns o off Fi Findi ndings ngs in inclu cludin ding g Gr Gradi ading ng as Major, Minor & Observation

8. 9.

a. b. c. d. e. f. g.

Summ Summar ariz izee As Asse sess ssme ment nt Au Audi ditt on on sa sampli mpling ng basi basiss Posi Positi tive ve As Aspe pect ctss and and Co Conc ncer erns ns;; Qu Qual aliity Syst Systeem; Co Con nfi fide dent ntiiali lity ty;; No Nonn-Co Conf nfor orma manc ncee Re Repo port rt and and Responses; Cl Clas assi sifi fica cati tion on of F Fin indi ding ngs; s;

3.

Cu Cust stom omer er’s ’s Q Que uest stio ions ns o off Fi Find ndin ings gs

7.

Ce Cert rtif ific icat atio ion n As Asse sess ssme ment nt R Rep eport ort

8.

Appeal Pr Proce ocess:

10. 10. Rec Recomm ommen endat dation ion De Defin finiti itions ons 11. 11. Cl Clos osin ing g Me Meet etin ing g 14. 14. Gui Guide’ de’ss Name/ Name/Pos Positi ition: on:

15. 15. 16. 16. 17. 17. 18. 18. 19.

/

Rev Review iew A Asse ssess ssmen mentt Sc Sched hedule ule Wo Work rkin ing gH Hou ours rs Lunc Lunch hA Arr rran ange geme ment nt Cl Clos osin ing g Me Meet etin ing g Any Chang Change? e? : IIff Yes Yes,, Note on Co Copy py of the Assessment Schedule and attach to this sheet.

20. Confirmat Confirmation ion o off th thee status status of fi findin ndings gs of the previous review or audit, if applicable

9. Rec Recomm ommend endati ation on to Cer Certif tify/ y/ Ma Maint intain ain:: 10.     YES   NO or   HOLD 11. If YES Final Verification of Scope 12. What happ happens ens iiff chan changes ges aare re mad madee by cu custome stomerr to quality system 13. What happ happens ens iiff cha changes nges are m made ade b by y KBS to certification system 14. Con Confir firm m NonNon-Con Confor forman mance ce Act Action ionss 15. 15. Ne Next xt As Asse sess ssme ment nt

21. Confirm Official Communication Links

17. If NO or HOLD 18. Verif Verificati ication on A Assess ssessment, ment, if aappli pplicabl cablee

22. 22. Con Confir firm m Work Working ing aand nd Me Meeti eting ng Ro Room om Provisions

19. Cor Correc rectiv tivee Acti Action on of N NCR CR 20. Due da date te of ccorrect orrection ion aand nd Co Correct rrective ive A Action ction on NCR

23. Confirmat Confirmation ion of w work ork safety, safety, emerg emergency ency and security procedures for audit team

21. Proced Procedure ure of ve verifi rificatio cation n of corre correction ction and corrective action on NCR

24. Conditions Conditions unde underr wh which ich the audi auditt ma may y be terminated 25. Appeal Appeal P Process rocess:: [Re [Request quest by tthe he cu custome stomerr or other parties for reconsideration r econsideration of any decision made by KBS related to its certification process]. The process is

23. Compl Complaint aintss proce process: ss: ex express pression ion of di dissat ssatisfac isfaction tion,, other than appeal, by any person or o organization rganization to KBS relating to its activities/ actions in writing

defined in KBS procedure P-06 available on KBS website.

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

26. 26. Answ Answer er A Any ny Q Que uest stio ion n 27. 27. Ge Gene nera rall Com Comme ment nt::

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25. 25. An Answ swer er A Any ny Q Que uest stio ion n 26. General Comment:

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise-11 (Audit Role Play)

 ACTIVITY  As a group, delegates are to assume roles of auditors. The The tutor(s) act as auditee(s) for each group and answer questions of the auditors truthfully and present available documentary evidence requested by the auditors, as available. This exercise should be carried out by each group in the agreed time one by one. Each Auditor group will audit the same departments allotted in Exercise 9 for preparation of checklist and Tutor will ensure that all groups collectively audit all departments of the Alfa(case study) covering all the clauses of ISO 14001.

The the in auditee will be percase the study organisation Chartroles and of roles annexure 4 inasthe manualChart and the organisation DURATION 45 minutes per group  AIDS a) Audit Audit Plan Plan (Previ (Previous ous exe exercis rcise) e) b) Ca Casse M Maanua uall

Exercise: Audit Role Play

Tutors will role play various roles as personnel of the company. Their background is given in the case study manual. The delegates should decide whom they wish to speak to; tutor will be in that role to answer any questions and to present any documentary or other evidence that may be available. Delegates will note down the answers in the Checklists as “Notes” for evaluation later on. Answers given to any one delegate are usable by the entire group for further probing and trail following; but repetitions of questions should be avoided to maximize the evidence gathering time.

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise-12  (Writing an NCR)

 ACTIVITY  As a group a) Exam Examine ine the audit audit findings findings of Stage 2 audit of Alpha Alpha Galvanizin Galvanizingg Limited, Limited, listed in the Format AF/S2 (enclosed). b) Deter Determine mine C (conformity (conformity), ), NC (nonconform (nonconformity) ity) and OFI (Opportu (Opportunity nity for Improvement); c) If found to be NC, determ determine ine whether whether the the NC is ‘major’ ‘major’ or ‘minor’. ‘minor’. DURATION a) Prepar Preparati ation: on: 20 min minute utess b) Prese Presentati ntation on and and review: review: 5 minu minutes tes per per group group  AIDS a) Case Study Manual b) ISO14001:2015 c) Flip Chart MARKING a)10 marks for all correct answers b) Deduct 0.5 marks for each (i) incorrect identification and (ii) each incorrect grading

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise-12(Activity Sheet) Department

QHSE

S. No.

Audit findings

1

Though the maintenance department has repeated nonconformities during  previous audits , the audit  programme for the organization  prepared by the QHSE Manager remains the same for last 5 years There was no evidence that the QHSE Manager has reported the results of the internal audits with the relevant management From minutes of management Review meeting 1st Feb 2019its is not evident that the changes in the internal and external issues relevant to the environmental management system were discussed during the management review meeting The QHSE Manager gave the statement that a mock drill was conducted last month but the same has not been documented

2

3

4

Department

Purchase

S. No.

Audit findings

1

While auditing ‘Purchase’ department, it is found that all  personnel are aware of Environmental Policy; however the  policy is not displayed.

2

Controls required for the outsourced  processes are not defined in the  purchase process

Department

Top Management

S. No.

Audit findings

1

The EMS policy has no commitment to comply with legal & other

KBS Certification Services Pvt. Ltd. 

C/NC/OFI

Clause No.

Major/ Minor  

C/NC/OFI

Clause No.

Major/ Minor  

C/NC/OFI

Clause No.

Major/ Minor  

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

2

3

4

requirements Legal register reviewed and approved the by the General Manager is available however the frequency for evaluation of legal register is not defined From the statement of General Manager, it is evident that the Legal & Other requirements are not taken into account while planning. Planning to achieve EMS objective relating to the reduction of electricity consumption does not include determination of responsibility

Department

Human Resources

S. No.

Audit findings

1

Documented information related to ISO 14001:2015 awareness training undergone by Head HR, is not evidenced.(Training is mandatory as  per competency matrix) No evidence of evaluation of effectiveness of the training imparted to Shri Suhail Singh (Worker) Training need identification form used by HR department does not have a revision status/date on it. The HR Manager told the auditor that the auditor that this form was never revised, therefore the revision status/date is not mentioned on the form

2

3

Department

Sales & Dispatch

S. No.

Audit findings

1

Some of the personnel from sales & dispatch department is not aware about the Significant environmental aspects of the department

Department

Maintenance

S. No.

Audit findings

1

The maintenance record of milling machine reveals that on numerous

KBS Certification Services Pvt. Ltd. 

C/NC/OFI

Clause No.

Major/ Minor  

C/NC/OFI

Clause No.

Major/ Minor  

C/NC/OFI

Clause No.

Major/ Minor  

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2

occasion it was repaired for oil leakage there was no evidence of any further action on the issue A vernier calliper which was duly calibrated is listed in the list of monitoring & measuring equipment

Department

Production

S. No.

Audit findings

1

The documents reveal that a new machinery was procured and installed in the metal coating section, Aspect/impact register was not updated Aspect/Impact register of production department was not reviewed for last 2 years where as there are several incidents of oil leakages from the machinery in the production department

2

KBS Certification Services Pvt. Ltd. 

C/NC/OFI

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Clause No.

Major/ Minor  

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise 13 (Closing Meeting)

 ACTIVITY  As a group, carry out the closing closing meeting covering all the requirements. requirements.  Auditors Group 1

Auditee Trainer

Situation The client doesn’t accept some of the non -compliances The client wants to change the scope of the certification

Group2

Trainer

Group 3

Trainer

Client is threatening the audit team for seeking favour

Group 4

Trainer

Client is providing inducements

DURATION Preparation: 10 minutes Presentation and review: 10 Minutes per group. MARKING b) 10 marks for comp complete/c lete/correc orrectt coverag coveragee c) Dedu Deduct ct 0.5 marks marks for for each omissio omissionn or incorrect incorrect check check points points

KBS Certification Services Pvt. Ltd. 

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise-14 (Display of Audit Report)

 ACTIVITY Display of Audit Reports for Stage 2  AIDS: a. IS ISO O 140 14001 01:2 :201 0155 b. Ca Case se St Stud udyy Ma Manu nual al c. Flilipp chart  Audit findings (identified during ‘Role ‘Role Play’).

KBS Certification Services Pvt. Ltd. 

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

 An  AUDIT REPORT Submitted to M/s Alpha Galvanizing Limited  Address: Jhamarkotra, Udaipur Udaipur -313015

KBS Certification Services Pvt. Ltd. 

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Audit Report

Management Representative  Audit Criteria [Standard]  Audit Objectives

 

STAGE 2

 

RE-CERTIFICATION

Exclusion    

 

 

None.

Determ Dete rmin inat atio ionn of the the co conf nfor ormit mityy of the the cl clie ient nt’s ’s mana manage geme ment nt system, or parts of it, with audit criteria; Evaluation of the ability of the management system to ensure that the client organization meets applicable statutory, regulatory and contractual requirements; Evalua Eva luatio tionn of the effect effective ivenes nesss of the manag manageme ement nt sys system tem to ensu en sure re that that the the clie client nt orga organi niza zatio tionn is cont contin inua ually lly meet meetin ingg ititss specified objectives; Id Iden entitififica catition on of area areass fo forr pote otentia ntiall impr improv ovem emeent of the the management system.

 Audit Scope [confirmed]  Audit Site[s] Date[s] of audit Technical Code Team Leader   Audit Team

 Auditor[s] Technical Expert

. Brief Profile of the organization Including main products/ services and customers Positive features

KBS Certification Services Pvt. Ltd. 

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Evaluation of Internal Audits

Evaluation of Management Review

Non-Conformities

Observations/ areas for potential Improvement Overall Comment on the compliance of the system, to the requirements of the standard for meeting organization policies and objectives including performance of the management system over the period of certification and review of previous surveillance audit reports.

Non-Conformities Observations/ areas for potential Improvement Overall Comment on the compliance of theofsystem, the requirements the to

KBS Certification Services Pvt. Ltd. 

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

standard for meeting organization policies and objectives including performance of the management system over the period of certification and review of previous surveillance audit reports. Conclusion and Recommendation

Based on the information and audit evidences gathered audit team concluded to: √ Recommend for grant of certification: subject to receipt of acceptable CAP.   Recommend for follow up assessment   Recommend for full assessment again Remarks:  I pledge that the report and records will remain confidential and will not be shared with any other person or organization and abide with the confidentiality and no conflict of interest agreement signed. Sd/ (Signature) Team Leader     Attendance Sheet   Audit Plan [F-05] Sheet [F-13]   Audit schedule [F-08] [F-08]   Confidentiality [ F-14]   Scope of Certification [F-12]    Assessment Checklist Checklist [F-17]  Attachments  Audit Programme [F-16]   Non-Conformity Reports [F10]  For

Office use only

  

Attendance Sheet

Date

Dd/mm/yyyy

KBS Certification Services Pvt. Ltd. 

Stage 2 Surveillance [no ] Recertification

Ref No.

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Organization No

Name & Designation/ Department

Closing Meeting

Opening Meeting

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

Scope of Certification

Organization  Address(s)

KBS Certification Services Pvt. Ltd. 

Ref. No.:

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Standard Recommended Scope statement

Exclusion(s) Team Leader’s comments: If final scope is different from  Application

Confirmation Organization

▶ To

.sd/- (Signature)

Team LLeeader .sd/- (Signature)

be finalized at closing meeting during stage 2 audit

Stage 2 Recertification Surveillance [No.] ◻

Non-Conformity Report

KBS Certification Services Pvt. Ltd. 

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Organization

Ref. No.

Date

NCR no.

Category of NC

 

 major



 miinor  m

Process/  Area



Standard

Clause no.

Non-Conformity Details [kindly write with objective evidence]:

  Sign: Auditor

Sign: Client Representative

Summary of Root Cause analysis and Proposed Correction and Corrective Action

Date of Response

Target Date

Review of RCA and Proposed Correction & Corrective action:

 Acceptable:  Yes or  No Comment: Team Leader ______________________ ____________________________  ______ (Signature)Date: (Signature)Date:

/

/

Verification of Effectiveness of the action taken t aken and closure of non-conformity [This section to be completed in the next assessment]

Nonconformity closed:  Yes  No. If No, Issue a new NCR Comment: Verified by ___________ ______________________ ________________  _____ ((Signature)  Signature) Date:

KBS Certification Services Pvt. Ltd. 

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/

/

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise-15  Review of corrective action Activity

 ACTIVITY  As a group, study the proposed proposed corrective actions actions for the audit findings of Alpha Galvanizing Limited Conclude with justification whether the proposed corrective actions are acceptable or  not acceptable. DURATION a) Prepar Preparati ation: on: 20m 20minu inutes tes b) Prese Presentati ntation on and and review: review: 5minut 5minutes es per per group group  AIDS    

a) Audit findings and the proposed corrective actions b) ISO 14001:2015

MARKING a) 1 Mark for each correct conclusion.

KBS Certification Services Pvt. Ltd. 

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

Exercise-15(Activity Sheet) S. No. 1

Audit findings

Proposed Action

Though th the m maaintenance d deepartment ha has repeated nonconformities during previous audits , the audit programme for the organization prepared by the QHSE Manager remains the same for last 5 years There wa was no no evidence tth hat th the QHSE Manager has reported the results of the internal audits with the relevant management

The audit programme will  be modified next time

3

From mi minutes of of m maanagement R Reeview meeting 1st Feb 2019its is not evident that the changes in the internal and external issues relevant to the environmental management system were discussed during the management review meeting

4

Controls rreequired fo for the outsourced  processes are not defined in the purchase  process

The point of “Internal and external issue changes” was missed by the executive whore prepared agenda for the management review meeting since he did not have enough knowledge about the MRM inputs. The executive would be  provided training on the topic and agenda would be verified by competent  person from next time The purchase process at the point of use was not the most current version. The QHSE manager would recall all the old version of  document and replace it with latest version of documents in all the departments

S. No. 5

Audit findings

Proposed Action

The EMS policy has no commitment to comply with legal & other requirements Leg Legal regist steer reviewed and approved the  by the General Manager is available however the frequency for evaluation of legal register is not defined

EMS policy will be changed Though the legal register was being the reviewed every six month the review frequency was not defined in the QHSE documentation. QHSE

2

6

Acceptable (Yes/No)

Comments

As per the current practice acknowledgement evidence was not retained. Hereafter the evidence of internal audit report receipt from relevant management would be maintained by the QHSE Manager

Acceptable (Yes/No)

Comments

documentation would be modified to include the review frequency as once

KBS Certification Services Pvt. Ltd. 

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ISO 14001:2015 Lead auditor Training Course Tutor Exercise

7

8

9

10

11

12

Fr Fro om the sta tattement of General Ma Man nager, it is evident that the Legal & Other requirements are not taken into account while planning. Planning to to ac achieve E EM MS o ob bjective relating to the reduction of electricity consumption does not include determination of responsibility Documented in information re related to to IS ISO 14001:2015 awareness training undergone  by Head HR, is not evidenced.(Training evidenced.(Training is mandatory as per competency matrix) No evide videnc ncee o off eeva valu luat atio ion n of of eeff ffeectiv tiven eneess of the training imparted to Shri Suhail Sing (Worker) Tra Train inin ing gn neeed ide ident ntif ific icaation tion form form used used by HR department does not have a revision status/date on it. The HR Manager told the auditor that the auditor that this form was never revised, therefore the revision status/date is not mentioned on the form Some of the person sonnel from sa salles &

in every six month Legal & other requirement will be taken into account while planning Responsibility would be defined

Training record will be maintained

Effectiveness will be evaluated Version number would be  provided

Those staff would be made

dispatch department is not aware about the Significant environmental aspects of the department

aware of significant environmental aspect/impact

S. No. 13

Audit findings

Proposed Action

The The maintenance re record o off milling machine reveals that on numerous occasion it was repaired for oil leakage there was no evidence of any further action on the issue

14

The do documents re reveal th that a new machinery was procured and installed in the metal coating section, Aspect/impact register was not updated

Corrective action criteria and action taken to be was not defined in the maintenance plan for the milling machine. Such criteria would be defined for all the machines to ensure timely corrective action Aspect/impact register would be modified

KBS Certification Services Pvt. Ltd. 

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Acceptable (Yes/No)

Comments

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