EMS Lead Auditor - Delegate Manual: ISO 14001:2015 Lead Auditor (Environmental Management System) Training Course [PDF]

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EMS Lead Auditor - Delegate Manual Version 1.1

ISO 14001:2015 Lead Auditor CERTIFIED COURSE

(Environmental Management System) Training Course

EducaƟon Permit Web Knowledge and www.3foldtraining.com Human Development Authority, Dubai, UAE www.leadauditorstudy.com

Landline + 971.4.3574622 + 971.2.6670660

Page 1 of 193

Email [email protected]

ISO 9001:2015 CerƟfied Training OrganizaƟon

Welcome to your CQI and IRCA Certified ISO 14001:2015 (Environmental Management System) Lead Auditor Course 3FOLD Education Centre has been independently assessed 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

We hope you enjoy your course

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This manual, any documentation related thereto (with the exception of any national or international standards referred to herein) and the information disclosed therein, is confidential and proprietary to 3FOLD Education Centre. The information may not be used by or disclosed to others for any purpose except as specifically authorised in writing by 3FOLD Education Centre. The recipient, by accepting this document agrees that neither the document, the information disclosed therein nor any part thereof shall be reproduced or transferred to other documents nor used or disclosed to others for any other purpose except as specifically authorised in writing by 3FOLD Education Centre.

(Copyright) 3FOLD Education Centre - All rights reserved.

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Title

Description

Page No

Chapter 0

Course Introduction

1

Chapter 1

ISO 14001:2015 Overview

20

Chapter 2

ISO 14001:2015 Requirements

32

Chapter 3

Audit Management

48

Chapter 4

Auditor Behaviour and Audit Execution

65

Chapter 5

NCR, Corrective Actions and Audit Report

77

Appendix A

Pre-course Reading

87

Appendix B

Pre-course Assignment Solution

125

Appendix C

IRCA Application Requirements

137

Appendix D

IRCA Application form for Initial Certification

139

Appendix E

IRCA Audit Log

147

Appendix F

CQI IRCA Professional Code of Conduct

152

Appendix G

Specimen Exam

159

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Chapter 0 - Course Introduction

EMS 14001:2015 Lead Auditor CERTIFIED COURSE

(Environmental Management Systems) Training Course

EducaƟon Permit Web Knowledge and www.3foldtraining.com Human Development Authority, Dubai, UAE www.leadauditorstudy.com

Landline + 971.4.3574622 + 971.2.6670660

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Email [email protected]

ISO 9001:2015 CerƟfied Training OrganizaƟon

Version:1.0

ISO 14001:2015 Lead Auditor (EMS) Training Course (PR315)

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CQI & IRCA Certified Training Version:1.0

ISO 14001:2015 Lead Auditor (EMS) Training Course (PR315)

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3FOLD Education Centre has been independently assessed 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. The CQI leads the quality profession and is dedicated to promoting excellence through the key competencies of Governance, Assurance and Improvement.

We hope you enjoy your course Version:1.0

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Welcome to CQI and IRCA Certified ISO 14001:2015 Lead Auditor (Environmental management Systems) Training Course

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Course Introduction

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Course Timing Day 1 : 08:00 hrs to 16:00 hrs Day 2 : 08:00 hrs to 16:00 hrs

Refreshment Breaks: Morning & Afternoon (15 mins each)

Day 3 : 08:00 hrs to 16:00 hrs Day 4 : 08:00 hrs to 16:00 hrs

Lunch Break: 45 minutes

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Participant Introduction •

Please introduce your neighbor to everyone

•

Name

•

Company and what it does

•

Position and what you do

•

Knowledge of ISO 14001:2015

•

Knowledge of the Certification System

•

Auditing Experience

•

Hobbies

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About me

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Course Introduction: Administration •

Start and Finish Times and Time management

•

Home Work

•

•

Name cards

Lunch

•

•

Delegate Feedback Forms

Safety rules & Evacuation routes

•

•

Facilities

No external interference (mobile phones, recording devices )

•

Local arrangements

•

Availability of ISO 14001 Standard

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Course Rules ➢ ➢ ➢ ➢ ➢ ➢ ➢ Version:1.0

No specific dress code Be punctual Question tutors throughout the course Active participation in discussions Make clear notes Phones switched off Contribute and learn form the course. ISO 14001:2015 Lead Auditor (EMS) Training Course (PR315)

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Safety and Security Notice ❖

The course Directors and tutors can accept no responsibilities for any delegate’s possessions and/or property

❖

You are advised to ensure that your personal possessions and property are kept in a safe and secure place at all the times

❖

Courtesy & Copyrights : ISO 14001 Standard

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Safety and Security Notice Learning Methods

Evaluation Methods

➢ Tutorials

➢ Continuous Assessment

➢

Group Discussions

➢ Final Examination

➢

Exercises and Workshops

▪

2 hours

➢

Case studies

▪

➢

An unmarked copy of ISO 14001:2015 standard will be available for reference

Role Play Simulation

➢

▪

Direct Tutor- Delegate

A bilingual dictionary will be allowed if the delegate needs one (Delegates must bring their own dictionary)

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Course Certification Criteria Evaluation methods

P-1

P-2

P-3

P-4

Continuous Assessment

Pass

Fail

Pass

Fail

Final Examination

Pass

Pass

Fail

Fail

Overall Course Result

Pass

Fail1

Fail2

Fail

1. Delegate must attend the whole training course again to demonstrate satisfactory results in continuous assessment and reappear for the Final exam in order to obtain the successful overall result. 2. Delegate must appear for the Final exam (only one additional attempt) in order to obtain the successful overall result. Version:1.0

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Learning Objectives Explain the Purpose, Importance & Benefits of • • • •

Environmental management system ISO 14001:2015 Standard Environmental management System Audit Third-party certification

Note: All references in this training to ISO standards are to the current versions unless otherwise stated

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Learning Objectives (Knowledge & Skills ) ❖

Knowledge

➢

Understand the purpose of Environmental management system of ISO 14001:2015 standard and the business and the societal benefits of improving environmental performance

➢

Understand the role of an auditor to plan, conduct, report and follow-up an environment management system audit in accordance with ISO 19011, and ISO/IEC 17021 as appropriate

❖

Skills

➢

Plan, conduct, report and follow-up an audit of an environmental management system to establish conformity (or otherwise) with ISO 14001:2015 and in accordance with ISO 19011 (ISO/IEC 17021-1, as appropriate)

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Enabling Objectives (Knowledge & Skills ) ❖

Knowledge: Purpose of Environmental management system

➢

Understand the Plan-Do-Check-Act framework and its application to environmental management processes

➢

Understand the interrelationship of Management Responsibility, Environmental Policy, Environmental Planning, Implementation Policy, Operational Control, Checking of Performance, Management Review and Continual Improvement

➢

Understand the terminology defined in the Standard

➢

Understand the difference between legal compliance and conformance with the Standard

➢

Understand the purpose and differences between first-party, second-party and third-party certification of management systems, including the role of the EMS Auditor in evaluating an organization's capability to protect against, reduce the likelihood of occurrence of, prepare for, respond to and recover from disruptive incidents when they arise

➢

Understand the benefits of third-party accredited certification of of Environmental management systems, for organizations and stakeholders

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Enabling Objectives (Knowledge & Skills ) ❖

Knowledge: Role of an auditor

❖

Understand the audit process, making reference to similarities and differences in the process between first-party, secondparty and third-party certification audit, including: ➢

Determining audit objectives, the purpose and significance of the audit scope and criteria

➢

Resourcing the audit, the importance of auditor and team competency and the selection of team members, particularly with regard to knowledge of the relevant management system discipline, industry sector, regulations and legislation, and auditor training

➢

Outline different audit methods; including on-site and remote audits and audit activities requiring human interaction and no human interaction

➢

The purpose of a stage 1 audit, including the documentation review, and describe a typical stage 1 audit process and outputs

➢

Preparing for a stage 2 audit, including preparing an audit plan

➢

Conducting on-site audit activities, including preparing working documents, conducting audit meetings, gathering audit evidence, preparing and approving and distributing the audit report, and conducting the audit follow up

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Enabling Objectives (Knowledge & Skills ) ❖

Knowledge: Auditor responsibilities

Understand the

a) roles and responsibilities of the audit client, auditors, lead auditors, auditees, guides and observers b) management responsibilities of the lead auditor in managing the audit and the audit team c) need for effective communication with the auditee throughout the audit process d) need for auditor confidentiality e) content and intent of the IRCA code of conduct

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Enabling Objectives (Knowledge & Skills ) Skills ❖ Plan, conduct, report and follow up an audit of an environmental management system to establish conformity (or otherwise) with ISO 14001 and in accordance with ISO 19011 (and ISO 17021 where appropriate) ❖ Skills are to be practised and tested through tasks and in real or simulated audit situations ❖ Skills : Planning the audit to a) Establish that the scope, objectives, criteria, duration and resources for an audit are appropriate b) Prepare an on-site audit plan that is appropriate and the organisation's context and processes c) Perform document review in preparation for the audit and prepare the necessary work documents, such as an audit checklist, sampling plan and forms

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Enabling Objectives (Knowledge & Skills ) ❖ Plan, conduct, report and follow up an audit of an environmental management system to establish conformity (or otherwise) with ISO 14001 and in accordance with ISO 19011 (and ISO 17021 where appropriate) ❖ Skills are to be practised and tested through tasks and in real or simulated audit situations ❖ Skills : Planning the audit to a) Establish that the scope, objectives, criteria, duration and resources for an audit are appropriate b) Prepare an on-site audit plan that is appropriate and the organisation's context and processes c) Perform document review in preparation for the audit and prepare the necessary work documents, such as an audit checklist, sampling plan and forms

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Enabling Objectives (Knowledge & Skills ) ❖ Skills : Conducting the audit to a) Demonstrate manage meetings effectively b) Demonstrate the ability to implement the audit plan, use work documents and to follow audit trails c) Demonstrate the ability to build rapport with the auditee during the audit, including sensitivity to the needs and expectations of the auditee d) Demonstrate the ability to manage audit interviews effectively, including the ability to formulate effective audit questions e) Demonstrate the ability to collect and verify appropriate audit evidence, including appropriate sampling

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Enabling Objectives (Knowledge & Skills ) Skills : Auditing environmental management system requirements to a) E aluate the auditee’s e iro e tal a age e t Poli y a d O je ti es esta lished y a age e t to refle t the ature, s ale and scope of the organisation, communicated by management, responsibility and authority for achieving policy and objectives have been established through adequate competent resources ) E aluate the auditee’s pro ess for re ie of a ti ities, produ ts a d ser i es i order to esta lish the E iro e tal Aspects appropriate to the scope of the organisation and assess completeness of the outcome c) Verify that environmental aspects are examined for planned and new developments within the organisation as well as those external to it over which it can have an influence d) E aluate the auditee’s pro ess for ide tifyi g a d keepi g up to date the E iro e tal Legislatio related to its e iro mental aspe ts, a alysis of ho it effe ts the orga isatio ’s operatio s a d hat has to e do e to esta lish legal o plia e

Continued… Version:1.0

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Enabling Objectives (Knowledge & Skills ) Continued…

Skills : Auditing environmental management system requirements to e) E aluate the auditee’s pro ess for assessi g its e iro e tal aspe t to deter i e those ith a Sig ifi a t I pa t o the environment and their relative importance f) Verify that environmental Objectives and Targets are consistent with the environmental policy; the signification environmental impacts of the organisation, reflect legal requirements, views of interested parties, technological options and business needs g) Evaluate the effectiveness of the action plans with means and time-scales that constitute the Programme(s) to reflect the objectives and targets established to achieve required continual improvement h) Verify that Operational Controls associated with significant environmental aspects meet specified conditions including operating criteria and where appropriate these are adhered to by suppliers and contractors i) Verify that adequate Emergency Plans are established to prevent or mitigate adverse environmental impacts associated emergency situations and accidents and that these are practiced and performance is evaluated

Continued…

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Enabling Objectives (Knowledge & Skills ) Continued…

Skills : Auditing environmental management system requirements to j) Co fir

that the auditee’s state of Legal Co plia e is periodi ally e aluated ased o o je ti e e ide e fro

i ter al audit, etc.

k) Review arrangements for Monitoring and Measurement performance of operations with significant environmental impact l) Evaluate the process of Management Review of environmental performance and the suitability, adequacy and effectiveness of environmental policy and objectives in driving improvement based on systemic measurement and analysis of data m) Evaluate capability for Continual Improvement including the effectiveness of methods for corrective and preventive action n) Evaluate management commitment to the EMS

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Enabling Objectives (Knowledge & Skills ) Skills : Generating audit findings, Reporting and Following up the audit ➢ Generating audit findings a) Demonstrate the ability to evaluate audit evidence to identify correctly conformity and nonconformity with requirements b) Demonstrate the ability to prepare audit conclusions, including the extent of conformity of the management system, identification of positive audit findings in addition to nonconformity, and identification of potential risks and opportunities for improvement ➢ Reporting the audit a) Write and grade nonconformity reports correctly b) Present audit conclusions and recommendations clearly to the auditee at a closing meeting ➢ Following up the audit a) Evaluate proposals for corrective action and differentiate between correction and corrective action

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Accreditation and Certification process UKAS, ANAB…

Accreditation Board IAF Guidelines

Certification Body ISO 14001:2015 Requirements

BVQI, Lloyds… Audit as per ISO 19011

Customer

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Examination

PR315 ISO 14001:2015 Lead Auditor Environmental management systems (EMS) Training Course

Final Examination Rule and Format

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Written Examination ❖ Two hours ❖ Extra 30 minutes if exam sat in foreign language & for delegates with disabilities ❖ No electronic items in the examination room ❖ Reference material permitted:  An unmarked copy of ISO 14001:2015 standard  A bilingual dictionary

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Written Examination

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Written Examination Part 1 1.

Short answers

2.

Five questions

3.

Ten marks available, minimum required 5 marks

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Written Examination Part 2

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1.

Short answer questions

2.

Brief written answer in the space provided

3.

Five marks each

4.

Twenty marks available, minimum required 10 marks

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Written Examination Part 3 1.

Long answer questions

2.

Detailed written answer: use the space provided

3.

Ten marks each

4.

Thirty marks available, minimum required 15 marks

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Written Examination Part 4 1.

Description of three audit situations

2.

Analyse the situation, decide if there is evidence of nonconformance and either

3. Version:1.0

•

Prepare NCR, or

•

Identify directions for further investigation

Ten marks each, Thirty marks available, minimum required 15 marks ISO 14001:2015 Lead Auditor (EMS) Training Course (PR315)

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Course Passing requirement To Pass the Course ➢ Pre-Course Questionnaire ➢ Continuous Assessment ➢ Attendance and Punctuality ➢ Participation - Lectures, Discussions and Exercises, Role play and simulations ➢ 2 hours Written Examination (1 re-sit ) ➢ Based on Subject Matter of the Course ➢ Closed book; Allowed a copy ISO 14001:2015 Standard and Dictionary Version:1.0

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Delegate Responsibility To qualify for certification delegates shall be required to: ➢ Demonstrate the ability to understand the ISO 14001:2015 requirements ➢ Attain the skills necessary to conduct effective audits against the ISO 14001:2015 ➢ Maintain 100% attendance throughout the course ➢ Obtain an overall 70% continual assessment mark. ➢ Obtain a min. 70% examination mark.

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Right to Appeal and Complaint management A delegate has the right to make a complaint or an appeal. Link to contact us is given below

www.leadauditorstudy.com/complaint A delegate has the right to make a complaint or an appeal to IRCA using the contact email id available on their webpage

www.quality.org

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End of Chapter 0-Course Introduction

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Chapter 1 - ISO 14001:2015 Overview

EMS 14001:2015 Lead Auditor CERTIFIED COURSE

(Environmental Management Systems) Training Course

EducaƟon Permit Web Knowledge and www.3foldtraining.com Human Development Authority, Dubai, UAE www.leadauditorstudy.com

Landline + 971.4.3574622 + 971.2.6670660

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Email [email protected]

ISO 9001:2015 CerƟfied Training OrganizaƟon

Chapter – 1 ISO 14001:2015 Overview

Chapter 1 ISO 14001:2015 Overview

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Chapter – 1 ISO 14001:2015 Overview

ISO 14001:2015 Overview Objective: 1.

Explain the purpose of an Environmental management system, EMS, and of ISO 14001:2015

2.

Explain the Environmental management system model for ISO 14001:2015 and application of the Plan-Do-Check-Act framework to EMS including requirements for continual improvement of EMS management and EMS performance

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Chapter – 1 ISO 14001:2015 Overview

WHAT IS ISO 14001:2015 ISO 14001:2015 specifies requirements that enable an organization to achieve the intended outcomes it sets for its Environmental management system

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What is the goal of ISO 14001:2015 ➢

To develop an international standard for Environmental management systems development, implementation & third party certification

➢

To incorporate EMS in to the overall management system of the organization

➢

To co-ordinate functions such as planning activities, responsibilities, practices, procedures, processes and resources

➢

To develop, implement, achieve, review and maintain the EMS Policy

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Chapter – 1 ISO 14001:2015 Overview

Scope of ISO 14001:2015 ➢ ➢ ➢ ➢ ➢ ➢

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Specifies core requirements of EMS, Environmental Management System Does not state specific EMS performance criteria Assure itself of its conformance with its stated EMS Policy Designed to facilitate auditing of EMS core elements and seek certification of its EMS management system by a Certification Body Demonstrate conformance to interested parties Make a business declaration of conformance with EMS Requirements

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Chapter – 1 ISO 14001:2015 Overview

Benefits of ISO 14001:2015 An ISO 14001:2015 based Environmental management system enables an organization to improve its EMS performance by: • developing and implementing an EMS policy and EMS objectives • establishing systematic processes which consider its o te t and which take into account its Risks and Opportunities, and its legal requirements and other requirements • establishing operational controls to manage its EMS risks and its legal and other requirements • increasing awareness of its EMS risks • Risk based approach

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Chapter – 1 ISO 14001:2015 Overview

Benefits of ISO 14001:2015 • • • • •

Demonstrate compliance with current and future statutory and regulatory requirements Encourage better environmental performance of suppliers Achieve strategic business aims by incorporating environmental issues into business management Increase leadership involvement and engagement of employees Suitable for organizations of all types and sizes, be they private, not-for-profit or governmental

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EMS System ➢

Must be based on control of causes, not reactive

➢

Must address all management system elements

➢

Must have measurable parameters

➢

Must be goal driven

➢

Must be relevant to risks. The essence of risk management is to avoid high risks, manage medium risks and live with low risks

➢

Must involve all

➢

Must promote continual improvement

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Chapter – 1 ISO 14001:2015 Overview

Typical EMS System involve 1.

Commitment of management

2.

Review of current status

3.

Organisation and responsibilities

4.

Planning

5.

Implementation including Support & Operation

6.

Measurement of performance

7.

Audit & review

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System Improvement

Evolution of a Controlled Approach

5’s

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Chapter – 1 ISO 14001:2015 Overview

Consequences of No control ➢

Pollution, inefficient use of resources, improper waste management, climate change, degradation of ecosystems and loss of biodiversity

➢

Prosecution, fines, legal defence

➢

Medical cost, compensation

➢

Increased insurance

➢

Employee confidence lost

➢

Loss of production

➢

Loss of good will/market share

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PDCA Cycle Approach underlying an Environmental management system is founded on the concept of Plan-Do-Check-Act (PDCA)

Plan: Plan processes , documented information to achieve objectives and deliver results on risk based approach, legal performance and the EMS policies

Act: Improve process performance, data analysis and action Version:1.0

Do: Process implementation and do what is planned

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Chapter – 1 ISO 14001:2015 Overview

The Management Cycle (PDCA) REQUIREMENTS FROM:

Legal - Corporate - Employees - Other Stakeholders Improvement Actions ACT

Management Review Audit

Risk Assessment

Executive

(PLAN)

Internal & External Communications

Policy

Management

Objectives Plans

Operations

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Chapter – 1 ISO 14001:2015 Overview

ISO 17021-1:2015 Conformity assessment -- Requirements for bodies providing audit and certification of management systems -- Part 1: Requirements 1. Contains principles and requirements for the competence, consistency and impartiality of bodies providing audit and certification of all types of management systems 2. Certification bodies operating to ISO/IEC 17021-1 need not offer all types of management system certification 3. Certification of management systems is a third-party conformity assessment activity and bodies performing this activity are therefore third-party conformity assessment bodies

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Chapter – 1 ISO 14001:2015 Overview

Accreditation and Certification process Accreditation Board IAF Guidelines

Certification Body ISO 14001:2015 Requirements

Audit as per ISO 19011

Customer

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Chapter – 1 ISO 14001:2015 Overview

Certification Process Client/ Organisation

Application

Stage 1 Audit-Readiness audit Stage 2 Audit-Implementation and compliance audit

❖ Scope ❖ Time-scale ❖ Audit team

Certification Version:1. 0

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Chapter – 1 ISO 14001:2015 Overview

ISO 19011:2018 Guidelines for auditing management systems ➢ Provides guidance on auditing management systems, including the principles of auditing, managing an audit programme and conducting management system audits, as well as guidance on the evaluation of competence of individuals involved in the audit process. These activities include the individual(s) managing the audit programme, auditors and audit teams ➢ It is applicable to all organizations that need to plan and conduct internal or external audits of management systems or manage an audit programme

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Chapter – 1 ISO 14001:2015 Overview

Differences between ISO 19011:2011 and ISO 19011:2018 The main differences, between the 2011 and 2018 revision, are the following: 1. Addition of the risk-based approach to the Principles of Auditing – New: Clause 4 (g) 2. Expansion of the guidance on managing an audit program, including audit program risk Inclusion: Clause 5.1 b, 5.3 Determining and evaluating audit programme risks and opportunities

3. 4. 5. 6.

7.

Expansion of the guidance on conducting an audit, particularly the section on Audit Planning Inclusion: Clause 5.3 a) Expansion of the generic Competence requirements for auditors Inclusion: Clause 7.2.1 b) Adjust e t of ter i olog to refle t the pro ess a d ot the o je t thi g Removal of the Annex containing Competence requirements for auditing specific management system disciplines (due to the large number of individual management system standards, it would not be practical to include competence requirements for all disciplines) Removed: Annx A of ISO 19011:2011 Expansion of Annex A to provide guidance on auditing (new) concepts such as Organization Context, Leadership and commitment, virtual audits, compliance and supply chain Expansion: Annx B of ISO 9011: 2011 is now Annx A of ISO :

with inclusions such as A. Process approach to auditing

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Chapter – 1 ISO 14001:2015 Overview

Audit and Certification cycles Last day Stage 2 audit 10 August 2017

Certification Cycle (3 years)

Certification Decision = Effective date 01 September 2017

Surveillance 1 01 September 2018

Surveillance 2 01 September 2019

Recertification Audit

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Chapter – 1 ISO 14001:2015 Overview EMS related other ISO Standards • ISO 14004, Environmental management systems — General guidelines on principles, systems and support techniques • ISO 14005:2010, Environmental management systems -- Guidelines for the phased implementation of an environmental management system, including the use of environmental performance evaluation • ISO 14006, Environmental management systems — Guidelines for incorporating ecodesign • ISO 14031, Environmental management — Environmental performance evaluation — Guidelines • ISO 14044, Environmental management — Life cycle assessment — Requirements and guidelines • ISO 14063, Environmental management — Environmental communication — Guidelines and examples • ISO 19011, Guidelines for auditing management systems • ISO 31000, Risk management — Principles and guidelines • ISO 50001, Energy management systems — Requirements with guidance for use • ISO Guide 73, Risk management — Vocabulary

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Chapter – 1 ISO 14001:2015 Overview

End of Chapter 1 ISO 14001:2015 Overview

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Chapter 2 - ISO 14001:2015 Requirements

EMS 14001:2015 Lead Auditor CERTIFIED COURSE

(Environmental Management Systems) Training Course

EducaƟon Permit Web Knowledge and www.3foldtraining.com Human Development Authority, Dubai, UAE www.leadauditorstudy.com

Landline + 971.4.3574622 + 971.2.6670660

Page 36 of 193

Email [email protected]

ISO 9001:2015 CerƟfied Training OrganizaƟon

Chapter – 2 – ISO 14001:2015 Requirements

Chapter 2 ISO 14001:2015 EMS Requirements Version:1.0

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Chapter – 2 – ISO 14001:2015 Requirements

ISO 14001:2015 Requirements Objectives:

1.

To understand the Scope and Terms and Definitions used in ISO 14001

2.

To understand the Requirements of ISO 14001:2015

3.

Environmental management system, EMS, processes involved

4.

To differentiate between maintaining and retaining documented information

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Chapter – 2 – ISO 14001:2015 Requirements

Structure of the Standard ISO 14001 Requirements: As per Annex SL Introduction 0.1 Background 0.2 Aim of an environmental management system 0.3 Success factors 0.4 Plan-Do-Check-Act model 0.5 Contents of the International Standard, ISO 14001:2015

1.0 Scope 2.0 Normative Reference 3.0 Terms and definitions Requirement Sections (Auditable): 4.0, 5.0, 6.0, 7.0, 8.0, 9.0, 10.0 Annex A (informative) : Guidance on the use of International Standard, ISO 14001:2015 Version:1.0

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Scope of ISO 14001:2015 Co siste t ith the o ga izatio ’s e i o e tal poli , the i te ded out o es of an environmental management system include: ➢ enhancement of environmental performance ➢ fulfillment of compliance obligations ➢ achievement of environmental objectives

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Key Terms and Definitions as used in ISO 14001 Clause 3 – Terms and definitions given in ISO 14001:2015 (Notes to be referred in standard)

Organization – person or group of people that has its own functions with responsibilities, a authorities and relationships to achieve its objectives. The organization may be sole trader, company, corporation, firm, enterprise, partnership, institution or part or combination thereof, public or private Interested Party – person or organisation that can affect, be affected by or perceive itself to be affected by a decision or activity Version:1.0

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Key Terms and Definitions as used in ISO 14001 Environmental policy - intentions and direction of an organization related to environmental performance , as formally expressed by its top management Environment - surroundings in which an organization operates, including air, water, land, natural resources, flora, fauna, humans and their interrelationships

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Key Terms and Definitions as used in ISO 14001 Environmental aspect - ele e t of a o ga izatio ’s a ti ities o p odu ts or services that interacts or can interact with the environment Environmental impact - change to the environment , whether adverse or e efi ial, holly o pa tially esulti g f o a o ga izatio ’s environmental aspects Compliance obligations (preferred term) - legal requirements and other requirements (admitted term) legal requirements that an organization has to comply with and other requirements that an organization has to or chooses to comply with Version:1.0

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Key Terms and Definitions as used in ISO 14001 Risks and opportunities - potential adverse effects (threats) and potential beneficial effects (opportunities) Documented information - information required to be controlled and maintained by an organization and the medium on which it is contained

Management System- set of interrelated or interacting elements of an organization to establish policies and objectives and processes to achieve those objectives

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Key Terms and Definitions as used in ISO 14001 Conformity - fulfillment of a requirement Nonconformity - non-fulfillment of a requirement Top management– person or group of people who directs and controls an organization at the highest level Effectiveness- extent to which planned activities are realized and planned results achieved

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Key Terms and Definitions as used in ISO 14001 Corrective action - action to eliminate the cause of a nonconformity and to prevent recurrence Continual improvement - recurring activity to enhance performance Objective – Result to be achieved

Environmental performance – performance related to the management of environmental aspects

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Key Terms and Definitions as used in ISO 14001 Competence– ability to apply knowledge and skills to achieve intended results Risk – effect of uncertainty Process- set of interrelated or interacting activities which transforms inputs into outputs Procedure– specified way to carry out an activity or process

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Key Terms and Definitions as used in ISO 14001 Outsource– make an arrangement where an external organization performs part of an o ga izatio ’s function or process Monitoring- determining the status of a system, a process or an activity Measurement- process to determine a value

Audit- systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled Version:1.0

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Structure of Standard (auditable clauses) Section 4: Context of the organization Section 5: Leadership Section 6: Planning Section 7: Support Section 8: Operation Section 9: Performance Evaluation Section 10: Improvement

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4. Context of the organization 4.1 U de sta di g the o ga isatio a d it’s context PESTLE-Political, Economical, Social, Technological, Legal, Environmental consideration SWOT- Organisation strength and weaknesses internal and opportunities /threats from external like competition

4.1 Contd., Internal issues like governance, organisational structure, roles and responsibilities. Policy, objectives and strategies, the capabilities, knowledge, competence. Information system, decision making, culture, working conditions, etc Version:1.0

4.3 Determining the Scope of the environmental management system • The boundaries and applicability of the EMS which may include whole organization or part

4. Context of the organization 4.2 Understanding the needs and expectation of interested parties Some needs and expectations are mandatory because of laws and regulations

4.4 Environmental management system

• To achieve intended outcome • Enhance environmental performance • To establish, implement, maintain and continually improve an EMS

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Chapter – 2 – ISO 14001:2015 Requirements

5 Leadership 5.1 Leadership and commitment Top Management - to demonstrate leadership and commitment - taking accountability for effectiveness of EMS - e su i g the i teg atio of the EMS e ui e e ts i to the o ga izatio ’s usi ess p o esses 5.2 Environmental Policy - appropriate to the purpose and context of the organization - provides a framework for setting environmental objectives - includes a commitment to the protection of the environment 5.3 Organizational roles, responsibilities and authorities Top management shall assign the responsibility and authority for a) ensuring that the EMS conforms to the requirements of ISO 14001:2015 b) reporting on the performance of the EMS, including environmental performance, to top management

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6 Planning 6.1 Actions to address risk and opportunities

6.2 Environmental objectives and planning to achieve them

6.1.1 General

6.2.1 Environmental objectives

6.1.2 Environmental aspects

6.2.2 Planning actions to achieve environmental objectives

6.1.3 Compliance obligations 6.1.4 Planning action

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Determination of Legal requirements and other requirements Establish, implement and maintain process(es) to access to legal & other applicable requirements, how they apply to organization, communicate the same and take in to account for continually improving the EMS; Maintain and Retain the information Audito ’s role is to audit o ga izatio ’s legal & other requirements for auditing that organization is meeting the same. Knowing the legal & other applicable requirements and looking for evidences for compliance for the same are two separate requirements for auditors

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7 Support 7.1 Resources 7.2 Competence 7.3 Awareness 7.4 Communication 7.4.1 General, 7.4.2 Internal Communication, 7.4.3 External Communication 7.5 Documented information 7.5.1 General Version:1.0

7.5.2 Creating and updating

7.5.3 Control of documented information

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Competence, Awareness and communication Competence Matrix ( Knowledge, Skills, experience and ability to apply those) Awareness of Policy, Environmental management system, procedure, role & responsibility; Emergencies, potential consequence of deviation Training Need, Plan & records All personnel affected should be communicated (for example contractors, visitors)

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Competence, awareness and training Awareness

Training

Ownership

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Competence

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Documented Information What is a documented information ? It is information and its supporting medium Documented Information: Examples Specification, drawing, software, graphics, and records

Formats: Example language, software version, graphics The media of documented information could be paper, magnetic, electronic, optical disc, photograph or a sample Version:1.0

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Chapter – 2 – ISO 14001:2015 Requirements

Purpose of Documented Information ❖

Internal requirements

❖

Regulatory requirements

❖

Certification requirements

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Terms relating to Documented information The following terms to be considered Term Documented information Guideline Record Specification Documented information

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Details Information and its support medium and guidelines or evidences Document stating recommendations or suggestions Documented information stating results achieved or providing evidence of activities performed Documented information stating requirements Documented information Documentation, Manual, documented procedures, record

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Chapter – 2 – ISO 14001:2015 Requirements Difference between maintain and retain documented information The word Do u e ted i fo atio is used throughout the management system standard to show an evidence to comply with the requirements of the management system standard. The term Mai tai ed and Retai ed have been used; the meaning of both the terms with the example are as under: The ph ase retain do u e ted i fo atio as e ide e of.... to ea records, a d maintain do u e ted i fo atio to ea documentation other than records. The ph ase as e ide e of…. is ot a e ui e e t to eet legal e ide tia requirements; its intent is only to indicate objective evidence needs to be retained (Ref: Annex A – A.3 Clarification of Concepts)

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8 Operation 8 Operation

8.1 Operation planning and control 8.2 Emergency preparedness and response

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9 Performance evaluation 9 Performance Evaluation

9.1 Monitoring, measurement, analysis 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 Version:1.0

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10 Improvement 10 Improvement

10.1 General 10.2 Nonconformity and corrective action 10.3 Continual improvement

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Annex A to ISO 14001: 2015 Annex A Guidelines : Key points ❖ ❖ ❖ ❖

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The explanatory information given is intended to prevent misinterpretation of the requirements contained in the Standard, ISO 14001:2015 Interrelationship between the Requirements in some clauses Organizations can choose to use terms that suit their business, e.g. e o ds , do u e tatio , o p oto ols , athe tha do u e ted i fo atio Clarification of Concepts: Terms such as app op iate and appli a le , o plia e o ligatio s , e te al p o ide , Do u e ted i fo atio , ide tif to dete i e , i te ded out o e , pe so s doing work under its o t ol ISO 14001:2015 Lead Auditor (EMS) Training Course (PR315)

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Chapter – 2 – ISO 14001:2015 Requirements

End of Chapter – 2 – ISO 14001:2015 Requirements

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Chapter 3 - Audit Management

EMS 14001:2015 Lead Auditor CERTIFIED COURSE

(Environmental Management Systems) Training Course

EducaƟon Permit Web Knowledge and www.3foldtraining.com Human Development Authority, Dubai, UAE www.leadauditorstudy.com

Landline + 971.4.3574622 + 971.2.6670660

Page 52 of 193

Email [email protected]

ISO 9001:2015 CerƟfied Training OrganizaƟon

Chapter – 3 Audit Management

Chapter 3 Audit Management

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Chapter – 3 Audit Management

Audit Management Objectives: 1. Understand of the ISO/IEC 17021-1 Auditing practices and importance of managing the audit as per ISO 19011-2018 2. Understand the stages of the audit and process flow for management of audit and types of audit 3. Understand the importance of planning and preparations for the audit including the necessity of precise determination of audit scope and audit management 4. Understand stage1 and stage 2 audit and audit plan content 5. Explain agenda for opening and closing meeting and to know how to conduct the meetings Note: All references in this training to ISO standards are to the current versions unless otherwise stated Version:1.0

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Chapter – 3 Audit Management

What is an audit? Audit – a systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled •

Obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria has been fulfilled

•

Giving assurance to management that the EMS is effectively achieving the planned objectives

• •

Demonstrate to its personnel, the commitment to EMS Can be by someone within the organisation or from someone outside (1st party/2nd party/3rd party audits)

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EMS Audit (1) Adequacy audit:- (System or Management audit) – Stage 1 determine the extent to which the documented information adequately meet the requirements of standard (2) Compliance audit:- (Stage 2) Which seeks to establish the extent to which the documented system is implemented and observed by the auditee organization

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Principles of auditing ➢ ➢ ➢ ➢ ➢ ➢ ➢

Integrity Fair presentation Due professional care Confidentiality Independence Evidence-based approach Risk based approach

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Types of Audits ❖

First Party Audit

•

Undertaken by an organization on its own EMS management system - to seek conformance and improvement Self-audit (Client, auditor and auditees are Internal or company appointed consultant)

❖

Second Party Audit Undertaken by an organization on an existing or potential supplier usually relating to a contract of supply Audit by an interested body (like a customer, vendor, subcontractor)

❖

Third Party Audit Audit by independent body seeking conformance to a standard such as ISO 14001 (certification/ registration body)

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Initiating the Audit 1. Define scope, criteria and objectives ➢ Decide the boundaries of audit, objectives and brief from client. Decide the feasibility time and resources 2. Select the audit team ➢ Team leader, auditors and availability ➢ Auditor competence to fulfill audit objectives and subject specialty ➢ Need of any expert 3. Establish initial contact with the auditee ➢ What they do? ➢ Size and locations of organizations? ➢ Complexity of processes ➢ Any installation site or other location visit ➢ Distance to travel and time Version:1.0

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Chapter – 3 Audit Management

Audit Criteria Reference against which conformity is determined

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➢

ISO 14001:2015 Standard requirements

➢

Contractual Specification and customer requirements

➢

EMS management system Documented information

➢

EMS management system planning

➢

EMS Legal or other requirements

➢

Any request received from top management

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Chapter – 3 Audit Management

Audit Programme: Objectives & Extent ❖ • • • • • • • •

Establish objectives to direct the planning and conduct of audit consider Management priorities Commercial intention Management system requirements Statutory, Regulatory or Contractual requirements Need for Supplier Evaluation Customer requirements Need of other interested parties Risk to the organization

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❖

Extent vary and influenced by size, nature, complexity of the organization and

• Scope, Objectives and duration • Frequency • number importance, complexity, similarity and locations of the activities • standard statutory, regulatory and contractual requirements • other audit criteria • need for accreditation, registration / certification

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Chapter – 3 Audit Management

Identifying and evaluating audit programme risks ❖ There are many different risks associated with establishing, implementing, monitoring, reviewing and improving an audit programme. These risks may be associated with the following: ▪ ▪ ▪ ▪ ▪ ▪

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Risk based Approach (ISO 19011:2018)

Planning, e.g. failure to set relevant audit objectives Resources, e.g. allowing insufficient time Selection of the audit team, e.g. the team does not have the collective competence to conduct audits effectively Implementation, e.g. ineffective communication of the audit programme Records and their controls, e.g. failure to adequately protect audit records to demonstrate audit programme effectiveness Monitoring, reviewing and improving the audit programme

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Audit Programme - PDCA

Audit Planning

Corrective Actions & Follow-up Audit Audit Reporting

Audit Execution

Ref: ISO 19011:2018 – Introduction 0.3.2 Plan-Do-Check-Act cycle

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Role and Responsibilities of Lead Auditor ➢

Has overall responsibility for the audit

➢

Obtain background information

➢

Conduct documentation Review

➢

Select and assign audit team members

➢

Prepare the plan including data and duration

➢

Representing the team at all stages including opening and closing meetings

➢

Resolution of any problem arising

➢

Evaluation of evidence and results reporting

➢

Prepare and present the report, makes recommendations, and follows up, reports and recommends actions

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Role and Responsibilities of Auditing Organisation ➢ Determines Audit scope and objectives ➢ Select the Team Leader/Lead Auditor ➢ Provides Audit Team resources ➢ Determine competence of Auditors ➢ Ownership of the audit report ➢ Controls follow-up action

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Role and Responsibilities of Auditor ➢ ➢ ➢ ➢ ➢ ➢ ➢ ➢

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Competent to conduct the audit Prepare checklists Conduct audits according to audit plan Communicate with auditees and team Record and report observations clearly Safeguard audit documents Follow procedures and plans Check on corrective actions if required

➢ ➢ ➢ ➢ ➢ ➢ ➢ ➢

Keep within the agreed scope Carry out assigned tasks Work objectively Collect and analyses evidence Remain alert Act in an ethical manner Support the audit team leader Confidentiality – code of conduct

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Role a d Respo sibilities of Auditee’s Ma age e t ➢ Inform all employees about audit scope and objectives of the audit ➢ Provide resources facilities and guides ➢ Provide access to all areas ➢ Make themselves available for audit ➢ Ensure auditee cooperation ➢ Attend opening and closing meetings ➢ Take corrective action Version:1.0

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Role and Responsibilities of Auditees ➢ Assist auditors by supplying information and documents as requested ➢ Answering questions ➢ Making themselves available at appropriate times ➢ Providing facilities as agreed ➢ Guide the auditors where to go

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Role and Responsibilities of Guide & Observer Observer

Guide

➢ Represents Auditee Organization ➢ Guide the auditors where to go ➢ Assist the auditors for the logistics ➢ Help the auditor to make the auditee understand the questions

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➢ Accompany the auditors during the audit ➢ Not part of audit ➢ Note the findings for own reference ➢ Verify the proceedings

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Effective communication with Auditee ➢ Effective communication with the auditee is very important during the audit to manage the audit timings ➢ Mode of effective communications •

Use the language understood by the auditee

•

Do not ask the questions simultaneously

•

Clarify the question to the auditee, if not understood by auditee

•

Ask the questions related to audit scope and boundaries only

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Need for Auditor confidentiality ➢ Audit is the process where the same Auditor can come in contact with organizations managing similar products/services and hence to maintain confidentiality by Auditor is very important ➢ To maintain the Auditor confidentiality followings are done:

•

Auditor has to sign confidentiality agreement

•

Auditor need to declare the confidentiality at the beginning of the audit Auditor has to ensure that the notes taken during the audit are submitted to Lead Auditor at the end of audit

•

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Selection of Auditors ❖ Auditors shall be selected with regards to the needs of the audit and competence, knowledge, experience and availability ❖ The Lead Auditor and Auditors shall also be selected on their ability to interact with the other members of the team and the auditees ❖ Technical experts and translators may be required to assist the auditors

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❖ Particular industry specific knowledge needs to check ❖ Auditor should be well aware about the regulations and legislation where the audit is done ❖ Auditors shall be trained properly ❖ Balance costs with needs of the audit

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Audit Activities for Stage 1 & 2 Audit Gathering Information –stage1 Planning & Preparations-stage 1 Opening Meeting- stage 1 & 2 Audit- stage 1 & 2 Closing Meeting- stage 1 & 2 Follow-up Version:1.0

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Audit Preparation ➢ Selection of Team Members ➢ Must ensure competence of team ➢ Standards and reference documents ➢ Determine audit objectives, scope & criteria ➢ Language and experience in the culture ➢ Timing and Meeting Schedule ➢ Shift changeovers, lunch, breaks, local/social requirements such as Prayer Time ➢ Transport arrangements for team ➢ Report Process Format and Confidentiality ➢ Record retention Version:1.0

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Indicative Documentation Required during at Stage 1 Objective: Review adequacy of documented information ➢ ➢ ➢ ➢ ➢ ➢ ➢ ➢ ➢

Verify context, issues, risk and scope EMS Policy and Objectives Legislative Review and Register of regulations (ROR) Key Procedures – may be integrated with other systems such as QMS Defined Roles & Responsibilities in documentation Permits and Licenses Risk Management process Monitoring and Review Records Readiness for Stage 2 audit

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Conducting Stage 2 Audit Activities Reference: Audit Plan ➢

Conducting the Opening meeting

➢

Communication during the audit

➢

Collecting and verifying information

➢

Ensuring implementation as per documented information and Standard requirements

➢

Preparing audit Conclusions

➢

Conducting the Closing meeting

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Opening Meeting agenda ➢

Introductions

➢

➢

Record attendees

➢

➢

Proposed Criteria, scope & objectives

Role of Guides Disclaimers:❖

Confidentiality

❖

No Conflict of Interest

❖

Sampling Error

➢

Confirm the audit plan

➢

Explain the method of conduct of audit

➢

Termination and Appeals

➢

Confirm auditee cooperation

➢

Health and Safety Issues and Access to facilities

➢

Establish lines of communications

➢

End of day briefings if required

➢

Promote auditee's participation in audit

Private Room for Team Discussions

➢

➢

Confirm current revision of documentation

➢

Any questions

➢

Confirm the Logistic arrangements

➢

Confirm any resources requested

➢

Reporting Procedure and Closing

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Chapter – 3 Audit Management

Auditors Team Meeting ➢ Lead Auditor collects and discusses all the nonconformities to be raised and combines items if similar examples of the same problem checking evidence ➢ Decides grading of NCRs ➢ Checks on conformity or otherwise ➢ Allocates writing of NCRs

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Good Practice ➢ Use the forms provided ➢ Present the facts concisely ➢ Provide sufficient detail to verify NCRs ➢ Identify documents Objective Evidence

and

items

as

➢ Refer to the reference standard, company documentation or legislation to state the deficiency

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Chapter – 3 Audit Management

Audit Methods Extent of involvement between the auditor and the auditee • • Human interaction

• • •

No human interaction

Location of the auditor Remote

Location of the auditor On-site

• • • •

Conducting interviews Completing checklists and questionnaires with auditee participation Conducting document review with auditee participation Sampling

• Via interactive communication means - conducting interview - observing work performed with Remote guide - completing checklists and questionnaires; - conducting document review with auditee participation

Conducting document review (e.g. records, data analysis) Observation of work performed Conducting on-site visit Completing checklists Sampling (e.g. products)

- Conducting document review (e.g. records, data analysis) - Observing work performed via surveillance means, considering social and legal requirements - Analyzing data

Reference: ISO 19011:2018 – Annx-A - Table A.1 — Audit methods

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Closing Meeting ➢

Organize the team on the presentation

➢

Summary of Findings (Strengths)

➢

Record attendees and proceedings

➢

Define NCR major and minor

➢

Cover the points briefly

➢

Disclaimer / Appeals

➢

Confirmed scope

➢

Recommendations

➢

Do not use jargon or emotive terms

➢

Report of NCRs

➢

Stick to the facts and be prepared to clarify points and give detail if asked

➢

Ask auditees to share CAP, Corrective Action Plan

➢

Return Documents

➢

Invite questions

➢

Inform about further actions

➢

Confidentiality

➢

Thank Auditee Management

➢

Sampling Error

➢

Close

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Chapter – 3 Audit Management

CQI Code of Conduct-Professional competence and behaviour ➢ ➢ ➢ ➢

Maintain professional knowledge and competence in order to successfully undertake their role Act with due skill, care and diligence and with proper regard for professional standards Undertake appropriate continuing professional development and record it in an appropriate manner Ensure that clients, employers and others who may be affected by their activities are not misled or illinformed with regard to their level of competence and capability to successfully discharge their responsibilities Seek appropriate support whenever they are aware that their level of competency (knowledge, skills, behaviours and experience) might be lacking with respect to the responsibilities they are assigned Accept responsibility and accountability for their own professional actions and decisions Always act in a way which supports and upholds the reputation of the Quality profession Work to ensure that the credibility and reputation of the CQI and all of its stakeholders is protected Be mindful of the distinction between acting in a personal and in a professional capacity When managing a team, ensure that those working for them have the appropriate level of competence, supervision and support Co-operate fully with the Institute in assuring the effective implementation of this Code of Conduct (including investigation and resolution of any alleged or actual breaches),

➢ ➢ ➢ ➢ ➢ ➢ ➢ Version:1.0

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CQI Code of Conduct-Ethical Standards and Integrity ➢ ➢ ➢ ➢ ➢ ➢ ➢ ➢

Seek to establish, maintain and develop business relationships based on confidence, trust and respect Always act honestly in all matters relating to the Institute Demonstrate sensitivity for the customs, working practices, culture and personal beliefs of others Safeguard all confidential, commercially-sensitive and personal data acquired as a result of business relationships and not use it for personal advantage or for the benefit or detriment of third parties Comply with prevailing laws Advise the CQI Executive in writing whenever there is a suspicion that this code of conduct has been breached Be mindful of their responsibilities as professional people towards the wider community Ensure potential or known conflicts of interest are declared at the earliest opportunity to ensure professional judgement is not compromised or perceived to be compromised

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Chapter – 3 Audit Management

End of Chapter 3 – Audit Management

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Chapter 4 - Auditor Behavior and Audit Execution

EMS 14001:2015 Lead Auditor CERTIFIED COURSE

(Environmental Management Systems) Training Course

EducaƟon Permit Web Knowledge and www.3foldtraining.com Human Development Authority, Dubai, UAE www.leadauditorstudy.com

Landline + 971.4.3574622 + 971.2.6670660

Page 69 of 193

Email [email protected]

ISO 9001:2015 CerƟfied Training OrganizaƟon

Chapter – 4 Auditor Behaviour and Audit Execution

Chapter 4 Auditor Behaviour and Audit execution

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Chapter – 4 Auditor Behaviour and Audit Execution

Auditor behaviour and Audit Execution Objectives: 1. Describe the Roles and Responsibilities of audit client, Lead auditor and auditor 2. Explain the responsibilities of Lead auditor in managing the audit and the audit team 3. Explain the need for effective communication with the auditee throughout the audit process 4. Explain the need for auditor confidentiality

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Chapter – 4 Auditor Behaviour and Audit Execution

Auditor behaviour and Audit Execution Objectives: 5. Develop the approach required to conduct the audit for various levels of auditees 6. Whe & What to communicate regarding the audit process 7. Behavioural skill requirement during the audit process 8. Development of Interview Skills

9. Understand how to collect audit evidence and data gathering during audit process 10. Understand how to identify audit trails

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Chapter – 4 Auditor Behaviour and Audit Execution

Key Success Factor: Auditor Attitude ❖ Making audit effective and reliable tool, adhering to P i iples of Auditi g , is a pre-requisite 1. 2. 3. 4.

Integrity Fair Presentation Due Professional Care Confidentiality

5. Independence 6. Evidence Based Approach 7. Risk-based approach (new)

Reference: ISO 19011:2018 - Clause 4 Principles of auditing Version:1.0

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Chapter – 4 Auditor Behaviour and Audit Execution

Tips to auditor 1.

Audito s 4 Key boundaries a. EMS management system, ISO 14001:2015 Requirements b. Statutory & Regulatory requirements (Compliance obligations) c. Customer requirements d. Documented information

2.

Audit methods (ISO 19011:2018 Annx A - Table A.1 — Audit methods) a. Interview People b. Verify Records c. Witness verification/ Process Checking d. Own verification of Process / Product parameters e. Quality Management system Audit is a sampling activity

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Time Management ➢

➢ ➢ ➢ ➢ ➢

➢

Management of time for audit: Divide total audit scope into sub activities of that area and allocate time accordingly for each sub activity Ti e is always sho t Plan well. Do not allow audit proceedings to get side-tracked; Stay in control Beware of false audit trails Respect othe s time and do not spend time in personal issues such as Use of cellular phone Respect importance of time & stay on schedule 1. Never ahead of schedule 2. Never Late Consider: 1. Lunch timing 2. Closing time

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Chapter – 4 Auditor Behaviour and Audit Execution

Question Technique 1. CLOSE ended questions: Yes/no questions are vital for confirming understanding. They should be used following an open question and a probing question e.g. •

Can you tell me about….. (open)

•

So how exactly are you supposed to carry out

•

So you are not working according to your procedure? (yes/no).

(probing)

2. OPEN ended questions: How – What – Why – When – Where – Who? & Show me •

Direct questions – will achieve detailed response

3. Explanation Questions •

Useful for comparing interfaces

•

Keep conversation going

•

Repeat the last world or phase – say something nice

•

Avoid double questions (2 questions in a single question)

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Generic knowledge and skills of an audit team leader ❖

Audit team leaders should have additional knowledge and skills to manage and provide leadership to the audit team. Audit team should have the knowledge and skills necessary to do the following:

a)

Balance the strengths and weaknesses of the individual audit team members

b)

Develop a harmonious working relationship among the audit team members

c)

Manage the audit process, including planning, managing and directing the team

d)

Represent the audit team in communications with the person managing the audit programme, audit client and auditee

e)

Lead the audit team to reach the audit conclusions

f)

Prepare and complete the audit report

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Chapter – 4 Auditor Behaviour and Audit Execution

Re ui e e ts of Audito s o pete e ❖

Fundamental Knowledge of:➢ 14001:2015 ➢ ISO 19011:2018 ➢ Auditee o ga izatio s Scope and Audit Criteria ➢ Principles and processes of Auditing ➢ Applicable statutory, regulatory & other requirements

❖

Skills :➢

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Listening, Questioning, Planning, Communication, Reporting, Decision-making, etc.

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Auditor Selection ➢ Auditors shall be selected with regards to the needs of the audit and competence, knowledge, experience and availability ➢ The Lead Auditor and Auditors shall also be selected on their ability to interact with other members of the team and the auditees ➢ Technical experts and translators may be required to assist the auditors and know applicable laws

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Chapter – 4 Auditor Behaviour and Audit Execution

Audito s Qualit 1. 2. 3. 4. 5. 6. 7. 8.

Wise & alert : Ability to adapt to different people & situations Appropriate work experience Ability to question and ascertain facts Ability to listen unbiased Not prepare/focus on next question while listening to an answer Interested in explanation/details Knowledge of Quality management system standards and audit techniques Sensitive to feelings, attitudes & motives so as to understand what people mean when they respond 9. Maintains eye contact 10. Ability to discuss without arguing 11. Neither approves not disapproves Version:1.0

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Audito s Code of Co du t ❖ Not to accept any inducement, commission, gift or any other benefit ❖ Not communicate false or misleading information that may compromise the integrity ❖ Not act in any way that would prejudice the reputation of the auditor certification body and the auditee organization ❖ To act professionally, accurately and in an unbiased manner

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Chapter – 4 Auditor Behaviour and Audit Execution

The Auditee s p o a le o du t ❖ An auditor need to be vigilant & guarding him & against the tactics of Auditees which they use quite often in order to hide the weakness ➢ Time wasters ➢ Fixed ballot or loaded dice ➢ The trial of strength by argument on competence ➢ Insincerity ➢ The absentee ➢ Amnesia – Let auditor forget it ➢ Language barrier ➢ Desperation Version:1.0

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How do auditors find evidence ? ➢

Interviews

➢

Records review

➢

Document review

➢

Verification of the process/activity

➢

Observations and round in the audit facilities

➢

Observer Facilities, equipment, instruments, Infrastructure, conditions, control Records NOTE: Can/should the auditor cover all people, documents and records during the audit?

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Chapter – 4 Auditor Behaviour and Audit Execution

What Documents should be reviewed as part of Document review? ➢ EMS manual (The document which correlates the complete EMS)-Documented information ➢ Supportive procedures mentioned in EMS management system Manual - Documented information ➢ Form and formats describes as a evidence to retain documented information ➢ List of documented information to get the full idea

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Chapter – 4 Auditor Behaviour and Audit Execution

Smart tips for auditor- What to see? ➢ ➢

On-going Processes Issues and risk mitigation

➢

Operating Logs and controls

➢ ➢

Infrastructure, emergency exit, housekeeping, machine conditions Operation and safety Logs

➢ ➢

Auditee s Roles and Responsibilities Availability of SOPs/Procedures

➢

Training records

➢

Auditor follows 3 approaches during audit

➢

1. Process approach including PDCA

➢

2. Risk based

➢

3. System and objectives based

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Chapter – 4 Auditor Behaviour and Audit Execution

Wh P epa e a Che klist ? ❖

To ensure covering all issues and control points

❖

To ensure depth & continuity of the audit

❖

Help in Time Management

❖

Organised note taking

❖

Ensure no areas are missed out

❖

To assist memory (Aide-Memoire) and ensure full coverage of audit

❖

Part of Audit Report

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Checklists ➢ Checklists guide the auditor through the audit and to cover all the relevant points ➢ Checklists usually consist of bullet points ➢ Normally prepared from a business flow map, with relevant clauses of the EMS Requirement ➢ Normally covers both horizontal and vertical issues ➢ Useful as List of topics to ove as auditors can record comments against each point ➢ Remember objectives/continual improvement

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Chapter – 4 Auditor Behaviour and Audit Execution

Process of collecting and verifying information Source of information Collecting by means of appropriate sampling Audit evidence

Evaluating against audit criteria Audit findings Reviewing Audit conclusions Version:1.0

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Chapter – 4 Auditor Behaviour and Audit Execution

Conducting the Audit ➢

Assign auditors to their area

➢

Sample the system

➢

Collect objective evidence of system effectiveness

➢

Compare findings from checklist with requirements

➢

Decide Conformity or otherwise

➢

Audit team daily meeting

➢

Always take accurate, precise , legible notes

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Chapter – 4 Auditor Behaviour and Audit Execution

Follow Audit Trails Ways to generate audit trails:  Start with Close-ended Question/s)

uestio

(Yes/No); Then, a/few Ope -ended

 May also use Rating scale uestio s (in a scale of 1 to 10) or Rank order questions or similar Questions From that, create the audit trail  Interact with different functional areas  Interview within departments  Look forward to pote tial lead for audit t ail in every response Version:1.0

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Chapter – 4 Auditor Behaviour and Audit Execution

End of Chapter 4 Chapter 4 - Auditor Behaviour and Audit Execution Version:1.0

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Chapter 5 - NCR, Corrective Action and Audit Reporting

EMS 14001:2015 Lead Auditor CERTIFIED COURSE

(Environmental Management Systems) Training Course

EducaƟon Permit Web Knowledge and www.3foldtraining.com Human Development Authority, Dubai, UAE www.leadauditorstudy.com

Landline + 971.4.3574622 + 971.2.6670660

Page 81 of 193

Email [email protected]

ISO 9001:2015 CerƟfied Training OrganizaƟon

Chapter 5 NCR, Corrective Action and Audit Reporting Version:1.0

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1

Objectives: To develop the following skills 1.

Identification of Non conformity

2.

Reporting of non conformity, Wording of non conformity reporting

3.

Co-relation of non conformity with corrective action plan and closure of the non conformity

4.

Agreement of NCR and corrective action process and including follow up requirements

5.

Understand audit reporting

6.

Preparation of audit report

7.

Feedback for Continual Improvement of the process

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Nonconformity Reporting ❖ Used for report non–conformity audit findings ❖ Must be factual ❖ Must be understandable, traceable and verifiable ❖ ** Rise formal communication of any issues at the time of finding ❖ The auditee is required to understand and accept the non–conformity

❖ Co e tive a tio e ui es the eed to evaluate the need for action to eliminate the cause(s) of the nonconformity and i ple e tatio of e uisite a tio ** Reference: ISO 19011:2018 – Para 4 of 6.4.4 Communicating during audit

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Nonconformity Report (NCR) The NCR has the following prime contents: 1.

NC Statement of a process not conforming to Audit Criteria: Describe clearly, concisely and factually

2.

Objective Evidence, an evidence of what, where or when the non-conformity was identified/found

3.

Clause number of ISO 14001:2015 against which the process was not in conformity with

4.

Acceptance of NCR by the Auditee

5.

Corrective Action Plan (by the auditee) and duly accepted by the Auditor

6.

Completion CAP and close of NCR by the Auditor

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Wording of NCRs ❖ It is important when preparing NCRs, to take care and ensure it is justified with reference to Audit Criteria ❖ Failure to a) obtain clear factual information as O je tive Evide e and b) the acceptance from auditee, will invite challenge of the findings at the closing meeting ❖ This is particularly important in areas where the emphasis is placed on the following:

Management Commitment



Competence



Communication



Continual Improvement

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Grading Non–Conformities (Qualitative/Quantitative) ❖ Major 

The absence or total breakdown of a system to meet one or more Requirement/s of the standard



A number of minor nonconformities against a single Requirement can represent a total breakdown of the system and thus be considered a major nonconformity



A single major system, product or service non–conformity



Lack of documented information needed to satisfy a complete/whole Requirement (i.e., No documented information for Internal audits)



Non–implementation of documented information and a complete process (i.e., No Management Review conducted at documented planned intervals)

❖ Minor 

Either a non-conformity in any some part of the o ga izatio s EMS relative to the standard or a single observed lapse in following one item of auditee s EMS

Reference: ISO 19011:2018 Clause 6.4.8 Generating audit findings

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Agreement of NCRs ❖ NCRs are usually agreed with respective auditee, before the Closing Meeting ❖ Points can be clarified and checked ❖ If a genuine error or misunderstanding has been made, auditor may withdraw the NCR ❖ Lead Auditor must get agreement of NCRs ❖ Auditee must sign the NCR to confirm they agree with the NCR ❖ The auditee must clearly indicate CAP, corrective action plan (This may happen few days/weeks after completion of Audit)

❖ The auditor may reject actions that do not address the root cause and prevent recurrence of NCR ❖ NCRs with Audito s acceptance of CAP must be closed out within the agreed time frame Version:1.0

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Observations ❖ Certification Audit and surveillance reports may contain O se vatio s which relate to existing conditions which, in Audito s judgment, warrants clarification or investigation so as to improve the overall status and effectiveness of the EMS ❖ Note: may constitute consultancy

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Care to be taken by auditor in creating NCR ❖ Unbiased ❖ When in doubt, investigate! Go in depth ❖ Selection of proper/appropriate sampling method ❖ Do not generate NCR without collecting objective evidence ❖ Identify the leads/audit trails for further investigation

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Contents of Non-conformity Report • • • • • • • • • •

NCR number/Date, Auditee Process Area Grading: Major/Minor Description of Non-conformity Objective Evidence Clause # of ISO 14001:2015 Signatures of Auditor and Auditee Corrective Action Plan, CAP, by Auditee Acceptance of CAP by Auditor Details of Follow Up action by Auditor Closure by Auditor

Reference: ISO 19011:2018 Clause A.18.3 Recording nonconformities

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Corrective Action Process

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Auditor raises nonconformity ↓ Auditee reviews/agrees nonconformity ↓ Auditee determines root cause ↓ Auditee evaluates the need for action to prevent recurrence ↓ Auditee decides whether action is needed – No action, record decision ↓ Auditee proposes corrective action plan, CAP ↓ Auditor agrees with CAP – Not mandatory ↓ Auditee implements CAP ↓ Auditee records results of action taken Auditee reviews effectiveness of action taken, i.e. decides if results of action taken meet requirements ↓ Auditee decides if corrective action plan has been effective ↓ Auditor verifies effective corrective action has been taken by reviewing records and evidence of root cause determination and that the action taken has achieved the desired results to prevent recurrence ↓ Auditor decides if corrective action requirements have been met ↓ Auditor records results of the action taken and closes the NCR

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Follow Up ❖ Agreed Corrective Action Plans are planned and followed up by the Lead Auditor usually by re-visiting and rechecking the part of the EMS ❖ In some cases, the Follow Up action for verification/review of CAP may take place during next Surveillance visit

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Surveillance/Re –Certification Audits ❖ The 3rd party ISO 14001:2015 certifications are valid for 3 years requiring annual Surveillance audits ❖ Surveillance Audits are required every year to monitor the certification ❖ Re-certification Audits are held before the expiry of current certification

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Audit Reporting

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Audit Report ❖ Audit details ❖ Summary of findings 

NCRs



numbered



objective evidence



reference the document



observations

Reference: ISO 19011:2018 - Clause 6.5 Preparing and distributing audit report

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Tips on Preparation of audit report ❖ Use plain and simple English (other languages as per norms) ❖ Precise wording and no jargons/nothing ambiguous ❖ Easy to understand ❖ Any uncommon abbreviations to be clarified ❖ Use photographs as required ❖ Must be complete as per defined format ❖ Proper Distribution of Audit Report

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End of Chapter 5 - NCR, Corrective Action and Audit Reporting

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Page 90 of 193

Appendix C- IRCA Application Requirement

EMS 14001:2015 Lead Auditor CERTIFIED COURSE

(Environmental Management Systems) Training Course

EducaƟon Permit Web Knowledge and www.3foldtraining.com Human Development Authority, Dubai, UAE www.leadauditorstudy.com

Landline + 971.4.3574622 + 971.2.6670660

Page 141 of 193

Email [email protected]

ISO 9001:2015 CerƟfied Training OrganizaƟon

Recommended minimum requirements for initial certification GRADE

GENERAL WORK EXPERIENCE 4 years full-time

SCHEME SPECIFIC WORK EXPERIENCE 1 year

AUDITOR TRAINING

AUDITING EXPERIENCE

IRCA certified foundation course and IRCA-certified internal auditor training course Or Relevant IRCA-certified auditor/lead auditor training course

n/a

Internal Auditor

4 years full-time

1 year

IRCA certified foundation course and IRCA-certified internal auditor training course Or Relevant IRCA-certified auditor/lead auditor training course

- 5 internal audits of at least 3 hours - Covering all elements of the audit cycle - Not including areas of business in which auditor performs

Provisional Auditor

4 years full-time

2 years

IRCA certified auditor/lead auditor course Or Relevant IRCA-certified auditor/lead auditor conversion course (if auditor/lead-auditor in another scheme)

n/a

Auditor

4 years full-time

2 years

IRCA certified auditor/lead auditor course Or Relevant IRCA-certified auditor/lead auditor conversion course (if auditor/lead-auditor in another scheme)

- 4 full management system audits - All elements of audit cycle - 20 days, of which at least 15 onsite

Lead Auditor

4 years full-time

2 years

IRCA certified auditor/lead auditor course Or Relevant IRCA-certified auditor/lead auditor conversion course (if auditor/lead-auditor in another scheme)

As for Auditor, above PLUS - 3 full management system audits as leader of an audit team, - 15 days, of which at least 10 onsite

Principal Auditor

8 years FT relevant to the auditor scheme

At least 6 years or more as an IRCA Lead Auditor (or acceptable alternative) Or Submission of e ide ce of three years’ full-ti e e ploy e t as a a age e t syste s’ auditor ith a accredited certification body Or Demonstrable and significant evidence of contracted third-party audits.

Provisional Internal Auditor

Page 142 of 193

Appendix D- IRCA Application Form

EMS 14001:2015 Lead Auditor CERTIFIED COURSE

(Environmental Management Systems) Training Course

EducaƟon Permit Web Knowledge and www.3foldtraining.com Human Development Authority, Dubai, UAE www.leadauditorstudy.com

Landline + 971.4.3574622 + 971.2.6670660

Page 143 of 193

Email [email protected]

ISO 9001:2015 CerƟfied Training OrganizaƟon

Application form for Certification

The following information is important. Please read it carefully before filling in your application form. If you need any help in completing it, please contact an IRCA membership officer.

How to complete your form Please complete your application form in English. Applications and suppor ting information in other languages must be accompanied by an English translation. If you need more space than the form allows please continue on additional, clearly marked pages. Before completing your application form, please read IRCA 1000 – Requirements for certification as an IRCA auditor and check that you meet the recommended minimum requirements for certification. Please visit quality.org and click on Membership. In order for us to process your application, your application fee must be paid. You can find further information about fees on our website quality.org Note your application cannot be proccesed until your application fees are paid

Please return this form to Membership Email to [email protected] Or post to: Applications for Certification, 2nd Floor North, Chancery Exchange, 10 Furnival Street, London, EC4A 1AB, United Kingdom

Page 144 of 193

1 of 7: IRCA application form for certification

quality.org

Part 1 Personal details Please ensure you enter your name and company name (where applicable) accurately. Your name, phone number and email address will be published in the online register.

Personal details: (please complete in full) Title (Mr Mrs Ms Dr) First names Surname How you would like your name to appear on your card? Date of birth DD / MM / YYYY

Gender

Male

Female

Nationality

Your contact details Home address (address of residence) Street County Postcode

Town

Country

Mobile

Tel

Email

Business address Company name Street County Postcode

Town

Work Tel

Work Email

Preferred correspondence address

Home

Country

Work

Page 145 of 193

2 of 7: IRCA application form for certification

quality.org

Part 2 — Types of certification for which you are applying

22301

SSiP

EICC-GeSI

Social Systems

Energy

20000

Business Continuity

27001

Aerospace

22000

Maritime

18001

Information Technology Service

Food Safety

14001

Information Security

Occupational Health & Safety

9001

Pharmaceutical

Environmental

ISO

Quality

Please complete the table below. Please indicate with an X which scheme(s) you wish to apply for and which grade (only select one grade per scheme) you wish to be considered for:

50001

Provisional Internal Auditor Internal Auditor Provisional Auditor Auditor Lead Auditor Principal Auditor

Part 3 – Auditor training Please include copies of your IRCA-certified training course, or accepted alternative. If you are not sure whether your course is IRCA-certified please visit our website quality.org “Find a Course” search facility. Acceptable alternative (non-IRCA) training courses can be found on our website here: www.quality.org/article/accepted-alternative-training-courses

Part 4 – Work experience Please include your CV with your application. This should contain specific examples, including information about tasks and responsibilities, that relate to the sector scheme you are applying for (e.g. environmental, health and safety). Explain the length, breadth and scope of your roles (for example, whether you were responsible for quality, environment, health and safety, etc., in one area, or across the entire organisation). Please make sure it is in English.

Part 5 – Education Please include details of your highest completed level of education (school, college, university etc.). Attach a photocopy, scan, or other documentary evidence of your educational achievements. Page 146 of 193

3 of 7: IRCA application form for certification

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Part 6 – Scheme awareness Please provide an account of your awareness of the scheme (example ISO9001 Quality) for which you are applying. You may wish to consider the following: • What are the key drivers within the sector? • What is the critical sector knowledge for auditors? • Who are the governing bodies and regulators? • What are the ‘sector specific’ components of the management system? (E.g. for ISO 14001 one could detail environmental aspects as a core element, and provide examples). Please use multiple copies of this page as necessary. 1. Scheme you are writing about:

2. Scheme you are writing about:

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4 of 7: IRCA application form for certification

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Application checklist Please complete the checklist before sending in your application to IRCA for review. I have: Provided full home and business address (Part 1) Specified the certification scheme I wish to apply for (Part 2) Included a copy of my auditor training certificate, stating successful completion (Part 3) Include your CV to show your work experience section (part 4) Included documentary evidence to support my technical & academic qualifications (Part 5) Recorded sufficient detail in the Scheme Awareness section (Part 6) Signed and dated the declaration (Part 7) Completed how to pay your fees (Part 8) Obtained signature from a sponsor (Part 9) For applicants submitting IRCA/106 audit logs: We also need you to: Complete your audit logs in full, paying close attention to the details required at the head of each column. Please ensure that verification is obtained by the auditee. Please ensure that all information submitted is clear as any information that may be un-readable will delay the processing of your application.

Part 7 – Declaration I apply for certification and confirm that I understand and agree to the following conditions: 1. I shall observe and abide by the IRCA code of conduct. 2. The personal details which I have given on the application form (Name, Certification Number, Phone Number, Email Address) will be published in the IRCA register. Please tick this box if you do not want these details to be published in the online register. 3. I shall declare any information that may reasonably be considered to affect adversely my ability to perform effectively my audit obligations. I confirm that the information contained in this application is correct to the best of my knowledge and belief. I understand and accept that, if I provide incorrect information or withhold relevant, requested information, I am likely to be excluded or removed from the IRCA register. I also understand that, once certified, I am obliged to notify IRCA without delay of any changes to my circumstances which, if declared when I made my first application, might have caused IRCA to exclude me from the register.

Signed

Date

From time to time IRCA may wish to send you details of additional IRCA services or products that it considers may be of interest to you. Please tick this box if you do not wish to receive such information From time to time IRCA may wish to send you details through a third party of additional services or products that it considers may be of interest to you. Please tick this box if you do not wish to receive such information In accordance with section 4 of the Data Protection Act 1998 any personal data you give us will be used in connection with your contract with us and so that we can provide you with services. We may use your data to provide details of your grade and length of registration to prospective employers who ask us for this information.

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5 of 7: IRCA application form for certification

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Part 8 – How to pay your fees We only accept payment in pounds sterling. For security reasons please do not send cash.

To find details of fees, please go to: www.quality.org/content/irca-fees Bank transfer • Please ensure you add the associated bank charges to your transfer before making your payment. Any fees received that are less than the amount payable will be held by IRCA until the full amount is received. Please speak to your bank to find out its charges.

Important

• Please use your certification number as a reference for your bank transfer • Account name: The Chartered Quality Institute • Account number: 00231866 • Sort code: 30-98-97 • Swift code: LOYDGB2L • IBAN number: GB18LOYD30989700231866 • BIC code: LOYDGB21031 • Bank address: Lloyds Bank plc, Butler Place Branch, Butler Place, Caxton Street, London, SW1H 0PR, United Kingdom Note: application fees are applicable per scheme you to apply for.

Your Application Fee To submit your application, please provide your payment details I wish to pay via secure web portal I wish to make payment via telephone, Please contact me I wish to pay by bank transfer Once we have received your application fee, we will assess your information and let you know the outcome of your application within three weeks. Once your application has been processed, we will contact you to request your first years’ membership fee.

Note IRCA is an operationally independent division of the Chartered Quality Institute, incorporated by Royal Charter and registered as a charity number 259678. Headquarters and Registered Office: 2nd Floor North, Chancery Exchange, 10 Furnival Street, London EC4A 1AB Page 149 of 193

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Part 9 – Sponsor Your sponsor should be someone that has known you professionally for at least 2 years. Declaration by proposer: I recommend the candidate as a person in every respect worthy of consideration for certification. I confirm that I have satisfactorily verified the applicant’s compliance with the education, training and work experience requirements of the applicable IRCA certification criteria. Proposer’s name (block letters) Professional qualifications/relationship to applicant Business name and address County Postcode

Telephone no.

Signed

Date

How did you hear about us? Local Events Conferences Technical reports / Content Training Career guidance Specified by job requirements Google / Search engine Inform final edition

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7 of 7: IRCA application form for certification

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Appendix E - IRCA Audit Log

EMS 14001:2015 Lead Auditor CERTIFIED COURSE

(Environmental Management Systems) Training Course

EducaƟon Permit Web Knowledge and www.3foldtraining.com Human Development Authority, Dubai, UAE www.leadauditorstudy.com

Landline + 971.4.3574622 + 971.2.6670660

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Email [email protected]

ISO 9001:2015 CerƟfied Training OrganizaƟon

Audit log Guidance Notes for Completing the Audit Log  Please also refer to ‘Essential Guidance for Application’ section in ‘Requirements for Certification as an IRCA Auditor (All Schemes)’ document.  We prefer this log to be filled in digitally. If printed and scanned, please keep resolution set at low, to limit file size. Column 1 Column 2 Column 3

Column 4 Column 5 Column 6 Column 7 Column 8

Audit number on log sheet: You do not need to add any information to this column. Date: Day, month and year of the first day of the site visit, beginning with the opening meeting. Total Duration: Total time, including time spend off site, that you spent on the audit (To the nearest half day). Note: This is NOT the combined duration of the entire audit team. On site Time: Time spent on actual auditing activities, from the opening to the closing meeting inclusive. Off-site Time: Time spent on planning/preparation, document review and report writing. These activities may take place at the site of the audit or off location, but is still considered off-site time. A maximum of 1 day off site time is allowed per audit (For Stage 1 and 2 audits, 1 day is permitted for each). Auditee Contact Details: This section must be completed in full for us to perform evaluation and verification. If any of this information is not available we may ask you to supply us with more evidence. Role in Audit: Please indicate Auditor, Lead Auditor, Sole Auditor or Internal Auditor as appropriate. Only enter Lead Auditor if you led a team consisting of yourself and at least one other auditor. Please enter Sole Auditor if you carried out an audit where you were the only auditor and performed all phases of the audit. Total number in team: Number of active participating auditors, including yourself, on the audit team. Audit standard: If your audit standard is not referenced in the corresponding auditor certification criteria or on the equivalent standards list (all available at www.irca.org) please contact the IRCA secretariat for advice and/or submit to IRCA, with your audit logs, a copy of the standard for evaluation. (There may be a charge for this evaluation). Audit type: Third Party (TPA), Second Party (SPA), First Party /Internal (FPA), Consultancy or contracted (CON). For audit events classified as (TPA) further explanation of purpose should be included. i.e. pre-assessment, certification, surveillance (Surv.), reassessment, stage 1, stage 2 etc. Also detail ‘Full system’, or ‘Partial System’ as appropriate. ‘See guidance in IRCA 1000 – ‘Requirements for Certification as an IRCA Auditor’ for more information For aerospace audits the inclusion or exclusion of design within the performed audit must be detailed on the audit log sheet. Page 152 of 193

Column 9

Column 10

Contact Details of the company that employed you: the company that employed you for the audit, i.e. your employer or client if consultancy/contracted audit. This section must be completed in full for us to perform evaluation and verification. If any of this information is not available we may ask you to supply us with more evidence. Competency Reference: For initial application and for regrade to Auditor, Lead Auditor and Principal Auditor (Route 1), one full system audit must have been carried out under the direction and guidance of a lead auditor. Therefore, you are required to supply the contact details of the guiding and directing lead auditor that is willing to attest to your competence, having observed one of your audits. This lead auditor must be competent and should be certified as a lead auditor by IRCA or another recognised auditor certification body. IRCA may accept a reference by an uncertified auditor or by a person of equal and demonstrable competence and standing in industry. Please provide us with their CV if this is the case. For initial application and for regrade to Internal Auditor, the audit manager, or senior management for whom the audit was conducted may act as a competency referee to confirm that the audit(s) were conducted adequately and professionally. All internal audits must therefore come with a competency reference. However this may be the same person for multiple audits. Note 1: Direction and guidance means that you were under supervision for a significant part of the on-site audit process. Note 2: The directing and guiding lead auditor does not need to sign the audit log. IRCA simply require you to submit their details, so we may contact them at our discretion to validate the information. Note 3: Certified auditors renewing certification at the same grade do not need to complete this section

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PLEASE COMPLETE THE AUDIT LOG DECLARATION BELOW: Name & Initials (Enter below)

Certification Number (Enter below)

Existing Grade (for certified auditors)

Declaration: I declare that all information submitted is accurate and is representative of the audits I have carried out. Note: IRCA may verify any information provided, and discovery of any falsified information will likely result in suspension from the register.

Sign or print name:

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1 Audit Numb er

2 Dates (DD/MM/ YY)

3 Total Duratio n of Audit in days

STATE:

Audit Days spent on site

STATE:

STATE:

Number of days of your involvem ent (incl. off-site time)

5 Role in audit

PROVIDE:

STATE: Start and finish dates of the audit on site

4 Contact details of the company audited (auditee)

Duration of your on-site Days

Auditee contact name

LA Lead Auditor

6 Total Number in Team (includi ng yourself )

7 Audit standar d (e.g. ISO 9001:20 08) STATE:

Complete address Telephone/fax number: E-mail address Size of organisation (i.e. number of people employed on the site)

SA Sole Auditor AAuditor IA – Internal Auditor T– Trainee Auditor

Full Referenc e incl. date of standard

8 Type of audit STATE: TPA – Pre assessme nt Stage 1 Stage 2 Surveillan ce SPA FPA CON (See guidance above)

9 Contact details of the company that employed you PROVIDE: Company name

10 Declaration of competence (This person declares that the audit was conducted adequately and professionally and that the presented information is accurate)

Complete address

PROVIDE:

Contact Name

Name

Position within Organisation

Position

Contact telephone number Email address

Auditor certification number: (if applicable) Contact telephone / fax number Email address

1

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Appendix F - CQI IRCA Professional Code of Conduct

EMS 14001:2015 Lead Auditor CERTIFIED COURSE

(Environmental Management Systems) Training Course

EducaƟon Permit Web Knowledge and www.3foldtraining.com Human Development Authority, Dubai, UAE www.leadauditorstudy.com

Landline + 971.4.3574622 + 971.2.6670660

Page 156 of 193

Email [email protected]

ISO 9001:2015 CerƟfied Training OrganizaƟon

CQI professional code of conduct

For the purposes of this code “members” refers to all individuals whose competence is recognised formally by The Chartered Quality Institute (The CQI). This includes but is not restricted to CQI members, IRCA registered auditors and individuals on other CQI registers, as well as all members of the Board of Trustees, Advisory Council and other governance bodies.

Statement of Personal Responsibility It is the ethical and professional responsibility of all members to demonstrate the required professional competence and behaviours in discharging the responsibilities of their role. Members must uphold the highest ethical standards and integrity in exercising their professional duties or other activities which might impact on the reputation of the profession and of the CQI. In support of these aims all members are expected to understand and comply with this code of conduct. Furthermore, the CQI reserves the right to suspend or withdraw membership and all associated benefits from members who fail to comply with this code of conduct, in accordance with the Enforcement Processes detailed below.

Professional Competence and Behaviour In recognising the values and requirements of this code of conduct members shall: 1.1. Maintain professional knowledge and competence in order to successfully undertake their role 1.2. Act with due skill, care and diligence and with proper regard for professional standards 1.3. Undertake appropriate continuing professional development and record it in an appropriate manner 1.4. Ensure that clients, employers and others who may be affected by their activities are not misled or ill-informed with regard to their level of competence and capability to successfully discharge their responsibilities 1.5. Seek appropriate support whenever they are aware that their level of competency (knowledge, skills, behaviours and experience) might be lacking with respect to the responsibilities they are assigned 1.6. Accept responsibility and accountability for their own professional actions and decisions 1.7. Always act in a way which supports and upholds the reputation of the Quality profession 1.8. Work to ensure that the credibility and reputation of the CQI and all of its stakeholders is protected 1.9. Be mindful of the distinction between acting in a personal and in a professional capacity 1.10. When managing a team, ensure that those working for them have the appropriate level of competence, supervision and support 1.11. Co-operate fully with the Institute in assuring the effective implementation of this Code of Conduct (including investigation and resolution of any alleged or actual breaches)

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1 of 2: The CQI professional code of conduct

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CQI professional code of conduct Ethical Standards and Integrity In recognising the values and requirements of this code of conduct members shall: 2.1 Seek to establish, maintain and develop business relationships based on confidence, trust and respect 2.2 Always act honestly in all matters relating to the Institute 2.3 Demonstrate sensitivity for the customs, working practices, culture and personal beliefs of others 2.4 Safeguard all confidential, commercially-sensitive and personal data acquired as a result of business relationships and not use it for personal advantage or for the benefit or detriment of third parties 2.5 Comply with prevailing laws 2.6 Advise the CQI Executive in writing whenever there is a suspicion that this code of conduct has been breached 2.7 Be mindful of their responsibilities as professional people towards the wider community 2.8 Ensure potential or known conflicts of interest are declared at the earliest opportunity to ensure professional judgement is not compromised or perceived to be compromised

Processes for Enforcement of this Code All members, by virtue of their association with the Institute, have agreed to abide by the following enforcement processes. 1. CQI0070 details the Misconduct Handling process for: a. Reporting breaches of misconduct to the CQI b. Undertaking a Preliminary Investigation c. Conducting a Disciplinary Hearing d. Establish and acting on the Board’s decision e. Grounds for appeal 2. CQI0058 details the Disciplinary Appeals process for: a. Submitting an appeal to the Advisory Council b. Preliminary review of the appeal c. Convening an appeal panel d. Reviewing the appeal submission e. Holding an appeal hearing f. Making an appeal recommendation to the Advisory Council g. Communicating the outcomes of the Appeal Panel (Preliminary Recommendation) h. Council review of recommendation i. Appeal decision announced and actioned

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2 of 2: The CQI professional code of conduct

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CONFIDENTIAL APPROVED TRAINING PARTNERS

CQI and IRCA Specimen Examination Paper for Environment Management Systems Auditor Training Courses (PR315 & PR338 ISO 14001:2015) Please write your name and the date in the space below. Name: Date: THESE SPACES ARE FOR OFFICIAL USE ONLY Section

Marker 1

Pass mark

Maximum

1

5

10

2

10

20

3

15

30

4

15

30

Total

63

90

Name of Marker

Marker 2

Confirmed

Result

This examination is closed book. 

A clean copy of ISO 14001 and a bilingual dictionary are the only items permitted for reference.



Electronic devices, including laptops and mobile phones, are not permitted into the examination room. Exceptions may be granted to delegates with special needs. Any such arrangement must be with the prior written agreement of the Approved Training Partner and shall include a record of appropriate precautions that will be taken to ensure the fairness and security of the examination process and examination questions. Page 159 of 193

Information for delegates The examination paper is in four sections. Attempt all sections and all questions. The time allowed is two hours. There is no additional time allowed for reading the examination paper. 90 marks are available. To pass you must achieve at least 63 marks (70%), and you must achieve at least 50% in each of the four sections. The maximum marks for each question, or part of a question, are shown in brackets. Your answers must be written on the sheets supplied. Please avoid writing in the margins; these are for the markers. Write on the reverse side of a page if necessary. Additional loose sheets will not be accepted. All references to ISO 14001 refer to the latest issue. Examination technique Time management is very important in the examination. For guidance, the average time available is: a) Reading the examination instructions – five minutes b) Section one – fifteen minutes c) Section two – twenty minutes d) Section three – forty minutes e) Section four – forty minutes Total time available – two hours (120 minutes) Allow enough time to read each question properly. Make sure you understand what is being asked for before starting to write your answer. Where appropriate, the action verb that indicates the depth of answer required by the question – explain, list, describe – is printed in bold. You should ensure you understand the meaning of these terms (see below). Full marks will not be awarded for a list if an explanation is required. Conversely, it is a waste of time to provide a detailed explanation if the question asks for a list. Action verb

Meaning

describe

depict in words

explain

give a clear account of

outline

give the most important features of (less depth than explain or describe)

briefly

using few words or without giving a lot of details Page 160 of 193

give

provide without explanation (used normally with the instruction to ‘give an example (or examples) of ....’)

list

provide a list without explanation (bullet points)

identify

select and name

define

provide a generally recognised or accepted definition

state prepare

a less demanding form of ‘define’ or where there is no generally recognised definition make (something) ready for use or consideration

support

strengthen, substantiate, back up, give weight to

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Section one – Five questions worth two marks each – maximum 10 marks 1.1

Identify two ISO 14001 clauses that relate to 4.1 - Understanding the organization and its context. (2 marks)

1.2

List two factors to be considered in determining the extent of documented information to be included within an ISO14001 environmental management. (2 marks)

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1.3

Using the matrix below to record your answers, place a tick () in the correct empty box for each of the features in the left-hand column to select whether it is an Activity, Environmental Aspect or an Environmental Impact. (2 marks)

Feature

Activity

Environmental Environmental Aspect Impact

A vehicle washing facility using jet washers, detergents and a mains water supply. Low water levels in reservoirs resulting in a hosepipe ban. Abstracting water from an underground source for use in a manufacturing process. Leakage of ozone depleting gases from air conditioning units. 1.4

Explain in your own words what is meant in the context of ISO 14001 by the term “interested party”. (2 marks)

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1.5

List two topics that you would focus on when evaluating “internal audit” during an ISO 14001 certification audit. (2 marks)

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Section two – four questions worth five marks each – maximum 20 marks 2.1

At the opening meeting of an ISO 14001 stage 2 certification audit the Environmental Manager tells you that the Environmental Regulator has recently been on site due to an incident involving contamination of a local river. Whilst the organisation was found not to be the source of the contamination, the regulator did report a general lack of knowledge about key environmental regulations and a failure to evaluate fulfilment of its compliance obligations. As a result, a high priority programme of corrective action was put in place to address the Regulator’s concerns. The Environmental Manager requests that ISO 14001 clauses 6.1.3, 6.1.4, and 9.1.2 are deleted from the audit plan, as he claims activities relating to these clauses have been subject to so much scrutiny that there is no value in auditing them. Outline five issues you would include in your response to this request. (5 marks)

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2.2

During an ISO 14001 certification audit you signal your intent to perform a desktop review of the organisation’s management arrangements for addressing ISO 14001. The Chief Executive hands over a laptop in a leather case designed to function as a “mobile office” which contains all the system documentation including copies of all relevant licenses, permits and authorisation as well as an embedded short video presentation about the organisation, its history, markets and products. During your review of the documented arrangements the General Manager drops into the office allocated to you to advise you in confidence that the “mobile office” is a personal gift from the Chief Executive as a token of the excellent work you will do in approving their system and that it is yours to keep. Describe how you would respond to this situation. (5 marks)

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2.3

Briefly describe the actions an audit team leader should carry out during each of the four main phases of an ISO 14001 certification audit. (5 marks)

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2.4

Identify five different methods that could be used to collect objective evidence during an EMS audit. For each method give an example relevant to ISO 14001 as to how it could be used. (5 marks)

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Section three – three questions worth ten marks each – maximum 30 marks 3.1

You are chairing the opening meeting of a stage 2 ISO 14001 certification audit at an organisation that assembles and tests electro-mechanical products for the automotive industry. As you confirm the scope, which was agreed at your stage 1 visit, the Chief Executive interrupts you stating that a factory on an adjacent site has just been acquired, and since they share the same drainage system he wants their activity included in the scope of the certification. The acquired plant mixes a variety of chemical raw materials to produce products for the after-market such as solvent cleaners. a) Describe whether you would agree to this request or not and explain the reason for your decision. (2 marks)

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AND b) Outline four issues that you would need to consider in responding to the request to extend the audit scope. (8 marks)

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3.2

As part of an on-site EMS audit to ISO 14001 at one of your organisation’s key suppliers you have been assigned by the audit team leader to verify that the continual improvement of the EMS as required by clause 10.3 is effectively deployed. Your objective is to seek evidence of a planned and systematic approach to improvement throughout the organisation, taking into account applicable requirements from ISO 14001. Outline in a checklist how you will perform this part of the audit by developing a series of ten audit checkpoints that you could use to guide you through the audit in a structured and systematic way. For each audit checkpoint, outline the objective evidence you would want to gather. To gain full marks you must demonstrate you understand and can reference the applicable requirements of ISO 14001. (10 marks)

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3.3

You are conducting an ISO 14001 certification audit of a company manufacturing kitchen cabinets. You note that the auditee has used a systematic approach based on process inputs, outputs, controls and resources throughout their EMS. a) List two environmental aspects that they might have identified at the input stage of the process approach for their production processes. Outline how they are relevant to the input stage. (2 marks)

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b) List four factors that you would expect to be considered in determining the significance of these aspects (considering a Life-Cycle Perspective) and briefly explain how each factor can influence the decision on significance of aspects. (4 marks)

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c) Describe how the use of a systematic approach based on process inputs, outputs, controls and resources by the auditee could influence your planning of stage 2 of the audit as audit team leader. (4 marks)

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Section four – three questions worth 10 marks each – maximum 30 marks Questions in this section are designed to test the delegate’s ability to analyse audit situations, evaluate audit evidence and apply knowledge of the audit criteria correctly. Delegates are required to either: 

Complete the nonconformity report template. Marking scheme for a nonconformity: 

For correctly identifying the scenario as a nonconformity

(2 marks)



For a clear description of the nonconformity

(3 marks)



For correctly quoting relevant evidence

(3 marks)



For correctly identifying the relevant ISO 14001 requirement

(1 mark)



Overall clarity of the nonconformity report

(1 mark)

Note: if you raise a nonconformity report when there is no nonconformity, 0 (zero) marks will be awarded. OR 

Complete the audit investigation template, clearly stating: 

Your reason(s) for thinking there is not yet sufficient evidence to report their findings as a nonconformity (2 marks)



How you would investigate to determine conformity or nonconformity, including audit trails they would follow and specific examples of audit evidence they would seek and for what purpose. (8 marks)

Note: If you complete the audit investigation template for a situation where there is evidence that a nonconformity exists, a maximum of 7 marks may be awarded as follows: 

Providing a valid reason why there is insufficient evidence for a nonconformity (2 marks)



Providing relevant audit trails as above. (5 marks)

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4.1 Audit situation one: A company takes in used paper and, by a series of chemical processes, breaks this input material down into its original wood pulp fibres before recycling it into large reels of newsprint. The production process uses a large volume of water extracted from a local river. This water becomes heavily contaminated by the process and needs to be treated before being discharged back into the river. This is licensed by the local Regulatory Authority and one of the controlled features within the permit issued is a limit on the amount of suspended solids that is contained in the discharged water. The Regulatory Authority takes a sample every six months for analysis by an accredited test laboratory and so far the results have always been within the permitted limit although close to the maximum value. The license conditions require the company to monitor the parameters every week and issue an “annual statement of compliance” to the Regulatory Authority. An auditor is reviewing this process and notes that in the previous three-month period the limit was exceeded by between 35% and 55% on four consecutive weeks before returning to the range of values normally seen at the weekly sampling. The Plant Manager informed the auditor that the situation was caused by a failure in the filtration process but the plant could not be shut down to repair the fault because it was a high demand period when an urgent export order needed to be completed. Later the auditor read a note which was recorded in the management review meeting minutes held two weeks earlier that the company remained in legal compliance during the previous year and a statement to this effect had been issued to the Regulatory Authority. If you think there is sufficient evidence to report your findings as a nonconformity: 

Complete the nonconformity report on the following page.

Or 

Complete the audit investigation template.

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EMS AUDIT - NONCONFORMITY REPORT 1 For correctly identifying the scenario as a nonconformity (2 marks) Description of the nonconformity (Max 3 marks):

Relevant evidence (Max 3 Marks):

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ISO 14001:2015 clause and requirement:

Note: 1 mark for clause and requirement plus 1 mark for clarity of answer OR Complete your answer on the following page. Page 179 of 193

EMS AUDIT - AUDIT INVESTIGATION 1 Reason why there is not yet sufficient evidence for reporting nonconformity (Max 2 marks):

Four audit trails you would follow, including, evidence sought and purpose. (Max 2 marks for each audit trail):

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4.2 Audit situation two: An EMS auditor is reviewing the arrangements of an international distributer of electronic products for establishing the regulatory requirements relevant to the organisation and for keeping this up to date. The Head of Security explains that as she is not an environmental expert she has a contract with an external consultant who notifies her by email when any new legislation or regulation is published. There is a dedicated file on the server and it can be seen that developments in key pieces of environmental legislation have indeed been issued promptly over the previous three years covering the topics expected. The individual notes from the consultant state the title, date and unique reference for the regulation/legislation concerned along with a summary of what each contains. The Head of Security adds each new item to a rolling two column list entitled “Environmental Legislation” which is issue controlled. The auditor asks the Head of Security how on-going compliance is monitored. She replies that the consultant visits the organisation once per year and checks that the list entitled “Environmental Legislation” does in fact include all the items he has notified to them over the previous year and signs a hard copy of the register after the last entry. On this basis the Head of Security prepares a signed statement for inclusion in the minutes of the annual management review to state, “Following periodic review, the organisation remains in compliance with all relevant environmental legislation”.

If you think there is sufficient evidence to report your findings as a nonconformity: 

Complete the nonconformity report on the following page.

Or 

Complete the audit investigation template.

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EMS AUDIT - NONCONFORMITY REPORT 2 For correctly identifying the scenario as a nonconformity (2 marks) Description of the nonconformity (Max 3 marks):

Relevant evidence (Max 3 Marks):

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ISO 14001:2015 clause and requirement:

Note: 1 mark for clause and requirement plus 1 mark for clarity of answer OR Complete your answer on the following page. Page 184 of 193

EMS AUDIT - AUDIT INVESTIGATION 2 Reason why there is not yet sufficient evidence for reporting nonconformity (Max 2 marks):

Four audit trails you would follow, including, evidence sought and purpose. (Max 2 marks for each audit trail):

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4.3 Audit situation three: You are auditing the waste management activity at an organisation in the pharmaceutical industry who manufactures a range of prescription medicines in pill form. Outside of the building you notice just one large waste skip (container). On examining the contents, you see a mixture of items including cardboard packaging, plastic bottles, waste paper, empty tin cans and food waste. The skip is covered as required by local regulations that prohibit liquids from going to landfill. The environmental manager tells you that the only other waste stream is within the plant and involves recycling of scrap pills and ingredients, none of which is wasted.

If you think there is sufficient evidence to report your findings as a nonconformity: 

Complete the nonconformity report on the following page.

Or 

Complete the audit investigation template.

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EMS AUDIT - NONCONFORMITY REPORT 3 For correctly identifying the scenario as a nonconformity (2 marks) Description of the nonconformity (Max 3 marks):

Relevant evidence (Max 3 Marks):

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Type your text

ISO 14001:2015 clause and requirement:

Note: 1 mark for clause and requirement plus 1 mark for clarity of answer OR Complete your answer on the following page. Page 189 of 193

EMS AUDIT - AUDIT INVESTIGATION 3 Reason why there is not yet sufficient evidence for reporting nonconformity (Max 2 marks):

Four audit trails you would follow, including, evidence sought and purpose. (Max 2 marks for each audit trail):

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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

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