Participant Work Book

ISO 14001:2015 Auditor/ Lead Auditor Training Course

Course Registration Number: 1833 Dates of Course: 19.09.2022 to

Venue of the Course: Virtual City: Chennai Country: India

Participant Name (INCAPITALS): SUGASHINI S Signature:

INSTRUCTIONS FOR PARTICIPANTS:

1) This Workbook shall be given to you on the first day and shall be taken back at the end of
each day before you depart & finally compiled on day 5 before the testbegins.

2) This workbook dully filled ones shall, be used for your continuous assessment on every
day. Please ensure that you submit this workbook to the tutor(s), for daily continuous
assessment at the end of eachday.

3) On the last day, please return back the course feedback forms (dully filled in by you – for
our reference and improvements) and the IRCA written answer papers for thecourse.

4) Tips for SUCCESSFUL COMPLETION OF THECOURSE:

 Be attentive and be present on all days..all modules have to beattended;

 The course evaluation shall consider two aspects – your daily performance shall be
monitored by the tutors and continuous assessment and your score in written
examination shall be considered for your final result of yoursuccess;
 Please clarify all doubts from the tutors during breaks aswell;
 Your active participation is desired – throughout thecourse;
 While working in groups, please do not be dominating to demonstrate leadership, rather
listen to every member and your team performance shall be judged on your consensus
& joint decisions – individual differences be avoided during demonstration of the team
performance (will lead to scoredeductions);
 Before each ―Group Exercise‖, the group should select the Group Leader for that
exercise and note it in this work book. Every member should lead team in rotation for
different groupexercises.

5) Following are the List of Exercises:

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ISO 14001:2015 Auditor/ Lead Auditor TrainingCourse

# Exercise Marks # Exercise Marks

Obtained Obtained
Introduction of Participants Documentation Audit -
1 10
(Interviewing) Improvements

Terms & Definitions pertainingto

2 11 Facts and Inferences
Environmental
Check Identified Internal & External
3 12 Audit Preparation- Audit Plan
Issues
Documentation Audit – Context of Audit Preparation- Audit
4 13
Organization Checklist

5 Documentation Audit – Leadership 14 Framing Non-Conformities

Role play (Audit Interview
Documentation Audit – Planning &
Process & Recording NCs-
6 Review of Significant Environmental 15
Min. 3 Departmentseach
Aspects group and 4 NC’s)
Audit Report Preparation-
7 Documentation Audit – Support 16
Stage 1 DocumentReview
Audit Report Preparation-
8 Documentation Audit – Operation 17
Stage 2 On-siteAssessment
Documentation Audit – Performance
9 18 Audit Follow up – NC Closures
Evaluation

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ISO 14001:2015 Auditor/ Lead Auditor TrainingCourse

Introduction ofParticipants
Exercise 1 Exercise (Pairs) – 15 Minutes

Note: No row should be left blank because it carries marks.

Mr. Sujith Kumar R

YOUR PARTNER’S NAME
He has completed B tech in Information Technology,
Certification Course - NEBOSH Level 6
Qualifications
Certification Course - ISO 45001

Organization: GLEEDS
Designation: Safety Manager
Working Organization, Role: Project leader in Health & Safety of High Rise Residential Building &
Designation & Role Commercial projects

Knowledge of ISO 14001:2015 : 3

and
Rank 1(Minimum) to 5(Maximum)

I & II
Any I/II/III Party Audit Experience:

3
Rank 1(Minimum) to 5(Maximum)

Objective of attending this Career Enhancement

course:

Clear Insight in EMS

Expectations from the course:

Any additional Information Analytical thinking & Quick Learner

(something interesting of
yourself) :

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Exercise 2 Terms & Definitions pertainingtoEnvironment Exercise – 20Minutes

Mapping ENVIRONMENT
# Description Environm # TERMS
ent Terms
1 Objective set by the organization consistent with its 12 1 ENVIRONMENT
environmental policy
2 Legal Requirements that an organization has to 9
comply with and other requirements that an 2 AUDIT
organization has to or chooses to comply with
3 Recurring activity to enhance performance 7 3 PREVENTION OF
POLLUTION
4 Intentions and direction of an organization related to 11 DOCUMENTED
environmental performance, as formally expressed 4 INFORMATION
by its top management
5 Surroundings in which an organization operates, 1 ENVIRONMENTAL
including air, water, land, natural resources, flora, 5 PERFORMANCE
fauna, humans and their interrelationships
6 Performance related to the management of 5 6 ENVIRONMENTAL
environmental aspects. IMPACT
7 Change to the environment, whether adverse or 6 CONTINUAL
beneficial, wholly or partially resulting from an 7 IMPROVEMENT
organization’s environmental aspects
8 Fulfillment of a requirement 15 8 ENVIRONMENTAL
CONDITION
9 Use of processes, practices, techniques, materials, 3
products, services or energy to avoid, reduce or COMPLIANCE
control the creation, emission or discharge of any 9 OBLIGATIONS
type of pollutant or waste, in order to reduce
adverse environmental impacts.
10 Consecutive and interlinked stages of a product (or 16 ENVIRONMENTAL
service) system, from raw material acquisition or 10 MANAGEMENT
generation from natural resources to final disposal SYSTEM
11 Information required to be controlled and 4 ENVIRONMENTAL
maintained by an organization and the medium on 11
which it is contained. POLICY
12 Element of an organization’s activities or products 14 ENVIRONMENTAL
or services that interacts or can interact with the 12
environment. OBJECTIVE
13 State or characteristic of the environment as 8 NON-
determined at a certain point in time 13 CONFORMITY
14 Part of the management system used to manage 10 ENVIRONMENTAL
environmental aspects, fulfill compliance obligations 14 ASPECT
and address risks and opportunities
15 Effect of uncertainty 20 15 CONFORMITY
16 LIFE CYCLE

17 REQUIREMENT

18 COMPETENCE

19 INDICATOR

20 RISK

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Exercise 3 Audit Identified Internal & External Issues

Exercise – 30 Minutes

For an oil and gas refinery, audit if the 5 Internal Issues and 5 external issues for its EMS are correctly
defined as per ISO 14001:2015

S. Internal Issues  /X External issues  /X

No
1 Staff retention is low – there is 15% T Operating permits/ licence to establish Y
attrition every year-and training of and operate (environmental clearance) is
new employees in EMS is a big job. time taking and tedious
2 There are no engineering colleges in F Good food, (vegetables and fruits) are F
the vicinity of the refinery. not available in the vicinity
3 There is very little rainfall in the area F Equipment are old and based on earlier N
technology, and hence environmental
controls & maintenance are difficult
leading to spillages, leakages and
emissions.
4 Due to uncertainty of supplies, Y The country is not affected by global F
storage of crude petroleum and warming or climate change.
finished products is very large and
hence risks due to environmental
impactshaveincreasedand
emergency responses gets delayed.
5 Roles within the organization: There Y Ever since the production of Al Dyad oil T
are fixed roles and responsibilities field has reduced, the cost of
leading to rigidity. People cannot transportation of crude from Al Shaba
adapt to sudden demands especially has increased along with increased
during emergencies. environmental impacts.

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Documentation – Stage 1 audit Group Exercise – 45 Minutes

Exercise 4

Read the Environmental Apex Documented Information of Industrial Gases Company Context of the
Organisation [including Scope] and identify those issues which do not comply with the requirements of
the standard (up to specific sub-clause) with reference to chapter & page number of the Apex Documented
Information

# Issue Apex Document Standard reference

Reference
1 The scope only covers trading and production but P. No. 7 of IGC Apex 2.0 Scope
delivery and installation activities are not covered. Documented Information

2 IGC failed to identify more internal and external issues P. No. 8 of IGC Apex Clause 4.1
that area relevant and that can affect in achieving Documented Information
intended outcomes like legal, customer issues,
Contracts (External), Capacity and Capability,
Organizational Culture (internal), Law and order
problems not covered

3 Customer and external suppliers including calibration P. No. 8 of IGC Apex Clause 4.2
agency area not covered Documented Information

4 IGC should determine more interested parties That is P. No. 9 of IGC Apex Clause 4.3
relevant to the EMS, Eg: General, Public, etc. Documented Information

5 IGC documentation is not Approved by Managing P. No. 1 of IGC Apex Clause 4.3
Director Documented Information

Note: If more points, use backside of the page

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Exercise 5 Documentation – Stage 1 audit Group Exercise – 45 Minutes

Read the Environmental Apex Documented Information of Industrial Gases Company Leadership and
identify those issues which do not comply with the requirements of the standard (up to specific sub-clause)
with reference to chapter & page number of the Apex Documented Information.

# Issue Apex Document Standard

reference reference
1 Ensuring the integration of the EMS requirements in to the IGC’s P. No. 10 of IGC Apex Clause 5.1
Business processes is not considered with the outcome of the Documented
organization. Information

P. No. 10 of IGC Apex Clause 5.1

2 Supporting other relevant management roles to demonstrate their Documented
leadership as it applies to their area of responsibility Information

P. No. 11 of IGC Apex Clause 5.2 (d)

3 The Management has not included the compliance obligation in their Documented
policy Information

P. No. 10 of IGC Apex Clause 5.2 (e)

4 Communication within the organization is not covered in the policy Documented
Information

P. No. 11 of IGC Apex Clause 5.2

5 Responsibility and Authority not indicated in organizational chart; Documented
Annexure A not included in the Manual Information

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Exercise 6 Documentation – Stage1audit Group Exercise – 45Minutes

Read the Environmental Apex Documented Information of Industrial Gases Company Planning and
identify those issues which do not comply with the requirements of the standard (up to specific sub-clause)
with reference to chapter & page number of the Apex Documented Information.

# Issue Apex Standard

Document reference
reference

SEA (Significant Environmental Aspects) PROCEDURES

Identify the scope of the SEA. Is it for concept, system, design, process or service? What are the
boundaries? How detailed should it be?
Review the IGC SEA procedure (Appendix 1) and audit the same for adequacy.

…………………………………………………………………………………………………………………

…………………………………………………………………………………………………………………

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ISO 14001:2015 Auditor/ Lead Auditor TrainingCourse

Exercise 7 Group Exercise – 45Minutes

Documentation – Stage1audit
Read the Environmental Apex Documented Information of Industrial Gases Company Support and identify
those issues which do not comply with the requirements of the standard (up to specific sub-clause) with
reference to chapter & page number of the Apex Documented Information.

# Issue Apex Document Standard

reference reference

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ISO 14001:2015 Auditor/ Lead Auditor TrainingCourse

Exercise 8 Documentation – Stage1audit Group Exercise – 45Minutes

Read the Environmental Apex Documented Information of Industrial Gases Company Operation and
identify those issues which do not comply with the requirements of the standard (up to specific sub-clause)
with reference to chapter & page number of the Apex Documented Information

# Issue Apex Standard

Document reference
reference

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ISO 14001:2015 Auditor/ Lead Auditor TrainingCourse

Exercise 9 Group Exercise – 40Minutes

Documentation – Stage1audit
Read the Environmental Apex Documented Information of Industrial Gases Company Performance
Evaluation and identify those issues which do not comply with the requirements of the standard (up to
specific sub-clause) with reference to chapter & page number of the Apex Documented Information

# Issue Apex Document Standard

reference reference

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ISO 14001:2015 Auditor/ Lead Auditor TrainingCourse

Exercise 10 Documentation – Stage1audit Group Exercise – 45Minutes

Read the Environmental Apex Documented Information of Industrial Gases Company Improvements and
identify those issues which do not comply with the requirements of the standard (up to specific sub-clause)
with reference to chapter & page number of the Apex Documented Information

# Issue Apex Document Standard

reference reference

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ISO 14001:2015 Auditor/ Lead Auditor TrainingCourse

1
Exercise 11 FactsorInference Group Exercise – 30Minutes

Read the following cases and identify whether the statement is a fact or Inference. Also give
reasons in case of your judgment for an inference.

1) Walker was doing an experiment (in lab) on biological changes in humans, when they tell lies. Walker was
surprised to see the results of one test and wanted to inform the professor of her university but the telephone
lines were dead. No mobile connectivity. Walker thought that since the weather was very rough when arrived at
the lab in the morning, looked out of the window and was surprised to see dark clouds and realized that it might
be raining. Took rain coat& test report and went out of the Laboratory and rushed towards the car, to reach the
professor.

# Statement Judgment (Select by Reasons

“X”)
1 Mr. Walker was surprised to the Fact Inference
results of the test in the university
laboratory.
2 The weather outside was very rough Fact Inference
when Walker looked out of the
window of theLab.
3 Walker was experimenting on Fact Inference
biological changes inhumans.
4 Walker took the test report to show to Fact Inference
the professor in rain.
5 Walker rushed towards his car with Fact Inference
rain coat and test report.

2) The swimming pool safe guard was beside the swimming pool and suddenly found that one boy fell into the pool
(slipped on the edge). The guard jumped into the pool to rescue the boon approaching the boy he realized that
the boy knew swimming and he swim him to one side and started smiling. The guard also smiled but suddenly
theboysaid―help‖[Link] came to
senses. The guard insisted for medical checkup by duty doctor and taken immediately forcheckup.

# Statement Judgment (Select by Reasons

“X”)
1 The Safe guard at the pool seen that Fact Inference
the boy slipped into the pool and
jumped into the water to save the
boy.
2 Theboysuddenlysaid―help‖and fainted Fact Inference
after coming out of the pool.

3 The boy himself swims to safety as Fact Inference

he knewswimming.

4 Every one pulled out the boy out of Fact Inference

swimming pool when he fainted

5 The boy was taken to the duty doctor Fact Inference

for checkup, after he came to senses,
as everyone insisted for the same.

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ISO 14001:2015 Auditor/ Lead Auditor Training Course

Exercise 12 Group Exercise – 75 Minutes

Audit Plan 15 Min. for Presentation

Considering the Environmental Apex Document of Industrial Gases Company, prepare an Audit Plan, as
per following guidelines:

1. Total man days = Calculate audit duration from IAF MD5 Table for 50 employees or take Four
(minimum) [One Man day = 08.00 hrs with Half an hour Lunch Break) or use audit duration as
given bytutor.
2. Use all the personnel in your group as auditors (you can use auditor – 1, 2, or A & B etc.) as
references, rather than actualnames.
3. Avoid if possible two people going for same process areaaudit.
4. Cover one Installation site also in the audit plan as they do execution aswell.
5. The audit plan shall contain basic information asunder:
a) The start time of each process area and the auditor allotted for that specific processarea.
b) Allot5minutesasauditor’sbrushuptimeinmiddleforeffectivesmoothcontinuityand
effective audit, for information sharing and judgment on auditproceedings.
c) You can do this in two ways…one plan accommodating all process areas and auditors or
separate plan for each auditor, with distributing the processareas.
6. Assume that all Non- Conformities raised in Stage 1 audit have been completed andclosed.

MAKE THE AUDIT PLAN IN ROUGH ON THE NEXT PAGE & AS A GROUP ON THE FLIP
CHART(S)THE GROUP LEADER TO MAKE A PRESENTATION OF THE EXERCISE FROM THE
FLIP CHART

For tutor: Tutor to Scan the flip charts and send to the BSCIC. In case Scanning is not
possiblesend photographs.

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AssessmentPlan Date:
Organization:
Scope: PRODUCTION, DELIVERY AND INSTALLATION OF INDUSTRIAL AND SPECIALTY GASES

Objective of Assessment:
Criteria System
Documentation:
Team Leader: Audit Start Date Opening
Meeting
Team Audit End Date Closing
Member: Meeting
Audit Schedule

Date Client Function Auditor Time (hrs)

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Group Exercise – 105 Minutes

Exercise 13 Preparation of Audit Checklist 15 min Tutor Review

Considering the ISO 14001:2015 standard and Environmental Apex Document of Industrial Gases
Company, and using the organization structure, prepare an Audit Checklist for three process areas
(functions/departments), allotted to your group by the Tutor.

Note: As you are aware, the word “SHALL” means “MANDATORY” and all the requirements after shall
are action points to be verified in an audit. Take this as a tip in preparing Audit Checklist

Make the audit checklists in rough on the next page & as a group on the flip chart(s).
Each Group to make check lists for 3 Department allotted by tutor on three separate flip charts.
The group leaders to make a presentationof the exercise from the flip chart

Tutor guidance: In a training course, tutor should preferably ensure that all departments Industrial Gases
Company are covered in Ex 14 for making check list and in Exercise 16 for conducting role play. The eight
departments to be covered are (in order of priority): Production, Installation, Maintenance (including
Utilities), HR (including Admin), Purchase, Transportation & Dispatch, MR, Top Management and Sales
and Marketing i.e. If the batch has only four or five delegates, two groups will be made and each group will
cover 3 departments, If the batch has 6 or more delegates, then three groups will be formed and each
group will cover 3 departments each. If the batch has 12 or more delegates, then four groups will be
formed and each group will cover 3 departmentseach.

Clause # CHECK POINT (For Verification) Conclusion Evidences

(Compliance / for NC
NC)

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ISO 14001:2015 Auditor/ Lead Auditor TrainingCourse

RecordingNon-conformities Group Exercise – 60Minutes

Exercise 14 15 Minutes for presentation
15 Minutes for Tutor Review
Please read the following cases and judge as under – please note you are an auditor assessing this
situation, that means you are standing there in the case and performing interview while auditing.
1. If you think there is a sufficient objective evidence of nonconformity then complete theNon-
conformity notes provided in top part of the Non-Conformity Note and categorize the same as
―Major‖or―Minor‖.
2. If you think there is not sufficient objective evidence of nonconformity then state the reasons in the
section―Comments‖[Link],alsostatewhatmustbe
furtherinvestigatedasan―AuditTrail‖beforeconcludingyourdecisionwitheritisconformingor non-
conforming. (Audit Trail is the sequence of probing to establish C or NC – can be forward trail or
backwardtrail.)

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Incident 1
During the audit of acid plant, you identify that a major acid spill had taken place during the production
process 6 months ago and four employees had been hospitalized with respiratory problems. The evidence
seen showed that the organization had fully documented the incident, completed an investigation, taken
corrective actions and evaluated them to be effective. You then ask to see the environmental emergency
response plan. These were dated 17 months before the incident. You enquire whether these emergency
response plans had been reviewed following the acid spill incident. You are told that the organization did
not consider it necessary since the incident had been fully documented. Also, changes in handling of acid
containers had been implemented.

NONCONFORMITYNOTE Incident:1

ISO 14001:2015 CLAUSE No:

Company documents Area unit involved

MAJOR /MINOR
[Strike out as required]
Failure (Nonconformity) (WHAT):

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

Requirement (WHY):

Auditor Auditee Date

Comments:

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Incident 2

You are auditing the waste management activity in a chemical industry which manufactures a range of
pesticides in granular form. Just outside the building, you notice only one large waste drum (container). On
examining the contents you see a mixture of items including cardboard packaging, plastic bottles, waste
paper, empty tin cans, food waste and some powdery material.

The waste drum 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 granules and ingredients, none of which is wasted.

NONCONFORMITYNOTE Incident:2

ISO 14001:2015 CLAUSE No:

Company documents Area unit involved

MAJOR /MINOR
[Strike out as required]
Failure (Nonconformity) (WHAT):

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

Requirement (WHY):

Auditor Auditee Date

Comments:

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Incident 3
A textile mill takes in wool, cotton and used fabrics and, by a series of chemical processes, breaks this
input material down into its original fibers through re-combing before spinning it into large reels of yarn.
The production process uses a large volume of water extracted from a local lake/reservoir. This water
becomes heavily contaminated by the process, especially oil and grease, and needs to be treated before
being discharged back into the lake. This is licensed by the local Pollution Control Board (Government’s
Regulatory Authority) but there is a limit on the amount of suspended solids in the discharged water. The
Regulatory Authority takes and checks a sample every six months. The results have been within the
[Link]―Half Yearly
statement of compliance‖ to the Regulatory Authority.

You are reviewing this process and note that in the previous six month period the limit was exceeded by
between 35%, 55%, 45% and 39% 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 10 days ago
that the company remained in legal compliance during the previous half year and a statement to this
effect had been issued to the RegulatoryAuthority.

NONCONFORMITYNOTE Incident:3

ISO 14001:2015 CLAUSE No:

Company documents Area unit involved

MAJOR /MINOR
[Strike out as required]
Failure (Nonconformity) (WHAT):

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

Requirement (WHY):

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Auditor Auditee Date

Comments:

Incident 4
During an audit of a warehouse an auditor noted that members of the staff were washing a chemical
storage area and sweeping the water into the rainwater drain. There was an environmental assessment
carried out for this activity and procedure established to send this to the effluent treatment plant. On
enquiry as to why the procedure was not followed, the reasoning given was that the person wasnew.

NONCONFORMITYNOTE Incident:4

ISO 14001:2015 CLAUSE No:

Company documents Area unit involved

MAJOR /MINOR
[Strike out as required]
Failure (Nonconformity) (WHAT):

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

Requirement (WHY):

Auditor Auditee Date

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Comments:

Incident 5
While auditing the Top Management area (internal audit process), you noticed that one of the internal audit
NC reveals the fact of the internal audits frequency was half yearly and three internal audits results
revealed that 70% of the Non-conformities were on Maintenance. You also noted that there were no
changes in the Environmental aspects & impacts and audit programme& no trainings imparted for EMS in
Maintenance Section.

NONCONFORMITYNOTE Incident:5

ISO 14001:2015 CLAUSE No:

Company documents Area unit involved

MAJOR /MINOR
[Strike out as required]
Failure (Nonconformity) (WHAT):

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

Requirement (WHY):

Auditor Auditee Date

Comments:

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Incident 6
During an audit of the administrative office of the Call Centre, you notice a large number of IT
equipment being used like PC’s, Printers, CD’s, Photocopiers, and external hard discs. You go near
one of the work desks and find that two CD’s have been dropped in the waste paper basket. On
asking the person concerned, you are told that the CD is defective and hence it has been thrown.
You ask as to how it will be disposed. You are told that it will be disposed along with the other
office waste material like paper, cardboard, pens, cartons etc. You enquire whether there is a
danger of pollution if the CD is dumped on the ground or in water, there was no reply. On enquiry
you are told that this is not included in aspect-impact analysis.

NONCONFORMITYNOTE Incident:6

ISO 14001:2015 CLAUSE No:

Company documents Area unit involved

MAJOR /MINOR
[Strike out as required]
Failure (Nonconformity) (WHAT):

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

Requirement (WHY):

Auditor Auditee Date

Comments:

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Group Exercise –
Exercise 15 Role Play – Interview Process 510 Min. for Role Play
60 Minutes for presenting audit findings
30 Minutes for Tutor Review

Role play for Stage 2 audit of Industrial Gas Company will be conducted after Stage 1 audit already
done. It is assumed that the company has taken corrective actions on all NC’s of Stage 1 audit
including scope.
Teams will be same as made for the exercise on Checklist # 15 – Each Team will audit for the
specific 3 functions allotted by tutor.
Tutor will act as Auditee.
Conduct the role play involving each team so that all get a chance for the LIVE AUDIT. And record
at least 2 NC of each function i.e. total 6 NCs.
The group (s) which are not auditing shall observe the other group while auditing and present their
observations and findings at the end of each role play.

Process Area (Department) :

# CHECK POINT (For Verification) Conclusion Evidences for

(Compliance / NC) NC
(Page # of Apex
Documented
Information)
1
2
3
4
5
6
7

Process Area (Department) :

# CHECK POINT (For Conclusion Evidences for NC

Verification) (Compliance / NC) (Page # of Apex
Documented Information)
1
2
3
4
5
6
7

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Process Area (Department) :

# CHECK POINT (For Verification) Conclusion Evidences for NC

(Compliance / NC) (Page # of Apex
Documented Information)
1
2
3
4
5
6
7

Questions in this section are designed to test student’s ability to analyse audit situations,
evaluate audit evidence and apply knowledge of the audit criteria correctly.
Students are also required to demonstrate their ability to write a well- constructed
nonconformity statement that describes clearlythe weakness or failure of the management
system, the audit evidence and the requirement(s) of the standard.
Note to marker:
To raise a nonconformity report when there is not sufficient audit evidence should
be penalized and markers should normally award zero mark.
To complete an audit investigation where there is sufficient evidence to report
nonconformity can often be supported and be given marks, normally up to a
maximum of 7 marks from a possible 10 marks.
To be awarded marks a student must state clearly their reason for thinking there is not yet
sufficient evidence to report the findings as a nonconformity and describe the investigation
they would follow to determine conformity or nonconformity; including audit trails and audit
evidence they would seek and for what purpose, quoting relevant ISO 14001 clause
numbers.
Exceptionally, where there was some obvious ambiguity in the description of the audit
situation or the student demonstrates logical argument, knowledge of the subject and the
answer shows an ability to make a reasoned judgement leading to a clear determination of
conformity or nonconformity marks up to the maximum available may be given.

Typical solutions for nonconformities follow a standard method of presentation: i.e. failure
in the system (3 marks for identifying the failure), audit evidence (3 marks for identifying
the audit evidence) and requirements (1 mark for identifying the ISO 14001 clause and
requirement). Alternative structure or presentation of the nonconformity by a student is
acceptable provided these three components of the nonconformity are clearly present and
the distribution of marks adhered to.

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Write NCRs for any two NC’s for the three functions in the prescribed format (i.e. Total of 6 NC’s)
on subsequent pages

NON CONFORMITY NOTE(RolePlay) NC:1

ISO 14001:2015 CLAUSENo:

Company documents Company documents

MAJOR /MINOR
[Strike out as required]
Failure (Nonconformity) (WHAT):

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

Requirement (WHY):

Auditor Auditee Date

NON CONFORMITY NOTE(RolePlay) NC:2

ISO 14001:2015 CLAUSENo:

Company documents Area unit involved

MAJOR /MINOR
[Strike out as required]
Failure (Nonconformity) (WHAT):

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

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Requirement (WHY):

Auditor Auditee Date

NON CONFORMITY NOTE(RolePlay) NC:3

ISO 14001:2015 CLAUSENo:

Company documents Area unit involved

MAJOR /MINOR
[Strike out as required]
Failure (Nonconformity) (WHAT):

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

Requirement (WHY):

Auditor Auditee Date

NON CONFORMITY NOTE(RolePlay) NC:4

ISO 14001:2015 CLAUSENo:

Company documents Area unit involved

MAJOR /MINOR
[Strike out as required]
Failure (Nonconformity) (WHAT):

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

Requirement (WHY):

Auditor Auditee Date

NON CONFORMITY NOTE(RolePlay) NC:5

ISO 14001:2015 CLAUSENo:

Company documents Area unit involved

MAJOR /MINOR
[Strike out as required]
Failure (Nonconformity) (WHAT):

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

Requirement (WHY):

Auditor Auditee Date

NON CONFORMITY NOTE(RolePlay) NC:6

ISO 14001:2015 CLAUSENo:

Company documents Area unit involved

MAJOR /MINOR
[Strike out as required]

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Failure (Nonconformity) (WHAT):

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

Requirement (WHY):

Auditor Auditee Date

Audit Report- Stage 1 Document Group Exercise – 60 Minutes for Report

Exercise 16 Review Preparation
20 Minutes for the Reports Presentation
10 Minutes for Tutor Feedback

Based on the audit done and findings recorded, please prepare Audit Report as below:

(A flipchart can be used in addition to the workbook)

ASSESSMENT REPORT

Name of Company (Organization):

Address:

Contact Person: Position:

Alternate Contact Person: Position:
Registration Scope:
No. of Employees: No. of Shifts:
Company’s Key Documented Information Reference:

Management Standard:
Assessment Type:
Assessment Commencement Date: Assessment Completion Date:
Assessment Team:
Name Status

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Mandays :
Nonconformities raised during Assessment
NCR Ref. No.
Minor/Major
Nonconformities raised during last visit
NCR Ref. No.
Closed/Open

Non-applicability of requirements (with suitable justification)

NA

EMS ASSESSMENT COMMENTARY

SCOPE OF THE EMS (4.3)

CONTEXT OF Organization (4)

Leadership (5.0)

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ADDRESSING RISK AND OPPORTUNITIES & Compliance Obligation (6.1):

EMS OBJECTIVES AND PLAN (6.2):

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COMPETENCE (7.2):

COMMUNICATION (7.4):

DOCUMENTED INFORMATION (7.5):

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OPERATIONAL PLANNING AND CONTROL (8.1)

EMERGENCY PREPAREDNESS AND RESPONSE (8.2)

PERFORMANCE EVALUATIONS (9):

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IMPROVEMENT (INCIDENT, NONCONFORMITY AND CORRECTIVE ACTION) (10.2):

ASSESSMENT COMMENTARY

(Write NA if this sheet if not applicable)

NONCONFORMITYREPORT ClientRepresentative:
NCR Details of nonconformity Management Standard
Reference Reference

*Add more rows if required

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RECOMMENDATION FOR CERTIFICATION

Congratulations, we are pleased to recommend certification for the scope detailed in Assessment Report:

Subsequently this Assessment Report Pack along with your satisfactory Corrective Action Plan and objective
evidences (if applicable) shall be reviewed independently with in BSCIC. Once the recommendations are found as
sound, BSCIC will be pleased to issue a Certificate of Registration. This will come along with the BSCIC Logo and
Accreditation Mark. The conditions for use of BSCIC Logo and Accreditation Mark have been stipulated and the
same will be provided toyou.

BSCIC believes in value added partnership with its clients, and we will be pleased to revisit your company for the
Surveillance Assessments for a visit every Year for 2 Manday per visit.

Details of Additional Locations and Activities for certification (If applicable)

Location 1 NA

Activity NA

*Add Rows for more

(Write NA if this sheet if not applicable)

Recommendation for Supplementary /Re-Assessment
[Link] following have been considered as major concerns during thisassessmentvisit-----------NA

2. This assessment is based on random samples therefore nonconformities may exist which have not been
identified.

For Registration Assessments:

3. A recommendation for certification cannot be made until the nonconformities have been cleared, following
the corrective action plan being submitted and a limited/full reassessment being satisfactorily completed.
ScopeAssessed----------NA
4. The non-conformities identified indicate a breakdown in the management system to effectively control the
activities for which it wasintended.
Immediate action is required to investigate the underlying cause of these non-conformities and implement
effective, corrective and preventive action. A plan to determine actions, time scales and responsibilities must be
prepared and submitted to Chief Executive for review, no laterthan----/-----/--------------------NA

5. TeamrecommendsaLimitedSupplementaryAssessmentfor---Manday(s)orafullRe-assessmentfor-----
Manday(s).Thesamecouldbeconductedby----/----/--------------, upon satisfactory correctiveaction plan submitted
by client to BSCIC’sChief Executive---------NA

6. Client to inform their readiness to BSCIC’s Chief Executive for the further assessment as in 4 above so that the
same could be satisfactorily planned & conducted.

(Write NA if this sheet if not applicable)

SURVEILLANCE ASSESSMENT(SA) PROGRAMME
(Write NA if any Area is not applicable. Please do not DELETE any ROW)

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[Link] 1year
S.A. Conduct Number SA1 SA2 REA
Re
Assess.
Man day(s) X X X
MM / YYYY MM/YY MM/YY MM/YY
Functions/ Areas / Site
 Context of theOrganization
  
Leadership
  
MR or a resource assigned by top
management for responsibility and
authority as per clause 5.3 (a) to (b)
  
Planning, Aspect and Impact,
Compliance Obligations, Risks and
Opportunities
 
Marketing and Sales
  
Design & development of products
and services
 
Control of externally provided
processes, products and services
  
Production and Service provision
  
Performance Evaluation /
Monitoring and Measuring
resources
 
HR and Admin
  
Management Review
EMS Documented Information &   
Changes
Internal Audits   
Complaints Management   
Previous NCR & Corrective Actions   
Use of BSCIC Logo & Marks   
Re-assessment (Tick ) 
Legal (EMS specific)

Notice: 1. Fill the areas as per the client activities and processes. Mandatory fields are already mentioned.
2. Assessor to please in boxes indicating a full plan. This is required to be updated upon each Surveillance
Assessment.

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DECLARATION OF NON-CONFLICT OF INTEREST

I confirm that I have no consultancy or other commercial association with M/S Industrial Gases Company during the
last two years other than activities conducted under the direction of BSCIC.

BSCIC Registration Assessment Report Acceptance

The onsite Registration Assessment of M/S Industrial Gases Company was completed.

BSCIC through its Team Leader / Lead Auditor confirms the Confidentiality of the information received, Observed
and Reported by the Team BSCIC.

Team Leader / Lead Auditor by signing this sheet confirm the Non Conflict of Interests with the Organization.

This report and its full contents are completely understood and accepted.

Please sign below confirming acceptance of the assessment report’s contents

Signed for & on behalfof BSCIC Signed for on behalf of theclient

Name: Name:
Date: Date:

Group Exercise – 30 Minutes for Report

AUDIT REPORTPREPARATION-
Exercise 17 Preparation
On- site Assessment 20 Minutes for the Reports Presentation
10 Minutes for Tutor Feedback

Based on the audit done and findings recorded, please prepare Audit Report as below:

(A flipchart can be used in addition to the workbook)

ASSESSMENT REPORT

Name of Company (Organization):

Address:

Contact Person:
Position:
AlternateContact Person: Position:
Registration Scope:

[Link] Employees: No. ofShifts:

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Company’s Key Documented Information Reference (if any):

Management Standard: ISO 14001:2015

Assessment Type: Registration Assessment (Stage 2)
AssessmentCommencementDate: Assessment CompletionDate:
Assessment Team:
Name Status

Mandays : 4
Nonconformities raised during Assessment
NCR Ref. No. NC 01
Minor/Major Minor
Nonconformities raised during last visit
NCR Ref. No. NIL
Closed/Open

Areas Assessed :

Audit Conclusion & Appropriateness of the Certification Scope

**Disclaimer - Auditing & its conclusion is based on a sampling process of the available information**

Non-applicability of requirements (with suitable justification)

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EMS ASSESSMENT COMMENTARY

Context of the Organization

Leadership

Planning

Support

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ISO 14001:2015 Auditor/ Lead Auditor TrainingCourse

Operation

Performance Evaluation

Improvement

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ASSESSMENT COMMENTARY

(Write NA if this sheet if not applicable)

NONCONFORMITYREPORT ClientRepresentative:
NCR Details of nonconformity Management Standard
Reference Reference

*Add more rows if required

RECOMMENDATION FOR CERTIFICATION

Congratulations, we are pleased to recommend certification for the scope detailed in Assessment Report:

Subsequently this Assessment Report Pack along with your satisfactory Corrective Action Plan and
objective evidences (if applicable) shall be reviewed independently with in BSCIC. Once the
recommendations are found as sound, BSCIC will be pleased to issue a Certificate of Registration. This
will come along with the BSCIC Logo and Accreditation Mark. The conditions for use of BSCIC Logo and
Accreditation Mark have been stipulated and the same will be provided toyou.

BSCIC believes in value added partnership with its clients, and we will be pleased to revisit your company
for the Surveillance Assessments for a visit every Year for 2 Manday per visit.

Details of Additional Locations and Activities for certification (If applicable)

Location 1 NA

Activity NA

*Add Rows for more

(Write NA if this sheet if not applicable)

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Recommendation for Supplementary /Re-Assessment

[Link] following have been considered as major concerns during thisassessment visit----------NA

2. This assessment is based on random samples therefore nonconformities may exist which have not
been identified.

For Registration Assessments:

3. A recommendation for certification cannot be made until the nonconformities have been cleared,
following the corrective action plan being submitted and a limited/full reassessment being satisfactorily
completed.
Scope Assessed---------NA
4. The non-conformities identified indicate a breakdown in the management system to effectively
control the activities for which it wasintended.
Immediate action is required to investigate the underlying cause of these non-conformities and
implement effective, corrective and preventive action. A plan to determine actions, time scales and
responsibilities must be prepared and submitted to Chief Executive for review, no later than ----/-----/-----
. NA

5. Team recommends a Limited SupplementaryAssessmentfor-------Manday(s) or a fullRe-assessment

for-----Manday(s).Thesamecouldbeconductedby----/----/----------------, upon satisfactory correctiveaction
plan submitted by client to BSCIC’sChief Executive---------NA

6. Client to inform their readiness to BSCIC’s Chief Executive for the further assessment as in 4 above
so that the same could be satisfactorily planned & conducted.

(Write NA if this sheet if not applicable)

SURVEILLANCE ASSESSMENT(SA) PROGRAMME
(Write NA if any Area is not applicable. Please do not DELETE any ROW)
[Link] 1 year
S.A. Conduct Number SA1 SA2 REA
Re
Assess.
Man day(s) 2 2 3
MM / YYYY 12/16 12/17 10/18
Functions/ Areas / Site
 Context of theOrganization

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Leadership   

MR or a resource assigned by   
top management for
responsibility and authority as per
clause 5.3 (a) to(b)

Planning, Aspect and Impact,   

Compliance Obligations, Risks
and Opportunities

Marketing and Sales  

  
Design & development of
products and services

Control of externally provided  

processes, products and services

Production and Service provision   

Performance Evaluation /   
Monitoring and Measuring
resources

HR and Admin  

Management Review   

QMS Documented Information &   

Changes
Internal Audits   
Complaints Management   
Previous NCR & Corrective   
Actions
Use of BSCIC Logo & Marks   
Re-assessment (Tick ) 
Legal (EMS specific)

Notice: 1. Fill the areas as per the client activities and processes. Mandatory fields are already mentioned.
2. Assessor to please in boxes indicating a full plan. This is required to be updated upon each
Surveillance Assessment.

DECLARATION OF NON-CONFLICT OF INTEREST

I confirm that I have no consultancy or other commercial association with M/S Industrial Gases Company
during the last two years other than activities conducted under the direction of BSCIC.

BSCIC Registration Assessment Report Acceptance

The onsite Registration Assessment of M/S Industrial Gases Company was completed.

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ISO 14001:2015 Auditor/ Lead Auditor Training Course

BSCIC through its Team Leader / Lead Auditor confirms the Confidentiality of the information received,
Observed and Reported by the Team BSCIC.

Team Leader / Lead Auditor by signing this sheet confirm the Non Conflict of Interests with the
Organization.

This report and its full contents are completely understood and accepted.

Please sign below confirming acceptance of the assessment report’s contents

Signed for & on behalfofBSCIC Signed for on behalf of theclient

Name: Name:
Date: Date:

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Group Exercise – 20 Minutes for preparation

Exercise 18 Audit Follow-up NC Closures Minutes for reviewing & decision making
10 Minutes for Tutor Feedback

Review the closure submitted by auditee and judge weather this closure is acceptable or not, for the below
three cases.

NON CONFORMITY NOTE - 1

PROCESS ACTIVITY ISO 14001:2015 CLAUSE

Planning Aspect/ Impact 6.1.1
determination [A]
DETAILS OF NON-CONFORMITY
While assessing the Environmental Impacts due to fracking Operation, it was
found that the ASPECT/IMPACT Register was lacking on the environmental A
impacts. Upon interviewing the MR, he accepted that they were in processof U
mapping the Aspect/Impact and therefore the register could not be updated. D
Requirement of the standard: I
6.1.1 The organization shall establish, implement and maintain the processes needed to T
meet the requirements in 6.1.1 to 6.1.4. O
When planning for the environmental management system, the organization shall R
consider:
c) the scope of its environmental management system and determine the risks and
opportunities, related to its environmental aspects, compliance obligations and other
issues and requirements, identified in 4.1 and 4.2, that need to be addressed to:
— give assurance that the environmental management system can achieve its intended
outcomes;
— prevent or reduce undesired effects, including the potential for external environmental
conditions to affect theorganization;
— achieve continualimprovement.
Within the scope of the environmental management system, the organization shall
determine potential emergency situations, including those that can have an
environmentalimpact.
AUDITOR : DAT E :22nd September 2017
NAME :ABC SIGN
ROOT CAUSE PROPOSED ACTION
The mapping of significant aspect/impact due The same will be updated very soon [B]
to various operations was done but the same by the MR. A
was not updated. Target Date: 30 Jan 2016 U
Responsibility :MR D
ACTION TAKEN I
The significant impact due to fracking operation has been updated in the records T
by Supervisor. E
E
VERIFICATION OF ACTION TAKEN –□Closed □ NotClosed
[C]
A
U
D
I

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TOR

NON CONFORMITY NOTE - 2

PROCESS ACTIVITY ISO 14001:2015 CLAUSE

Operation Records of Designing 8.2
[A]
DETAILS OF NON-CONFORMITY
While assessing it was found that large and proper gathering place was not
identified in case if there are any potentially emergency situations. A
U
D
Requirement of the standard:
I
8.2 Emergency preparedness and response
T
The organization shall establish, implement and maintain the processes needed to O
prepare for and respond to potential emergency situations identified R
The organization shall:
a) prepare to respond by planning actions to prevent or mitigate adverse
environmental impacts from emergencysituations;
b) respond to actual emergencysituations;
c) take action to prevent or mitigate the consequences of emergency situations,
appropriate to the magnitude of the emergency and the potential environmental
impact;
d) periodically test the planned response actions, wherepracticable;
e) periodically review and revise the processes and planned response actions, in
particular after the occurrence of emergency situations ortests;
f) provide relevant information and training related to emergency preparedness and
response, as appropriate, to relevant interested parties, including persons working
under itscontrol.
The organization shall maintain documented information to the extent necessary to
have confidence that the processes are carried out as planned.
AUDITOR : DAT E :22nd January 2016
NAME:XYZ SIGN
ROOT CAUSE PROPOSED ACTION
Due to lack of knowledge on safety Large area will be identified [B]
measures, construction engineer did not where everyone can easily A
make any such space. gather during potentially U
emergency situations. D
ACTION TAKEN I
T
Land of 100 sq feet has been identified and cleared so that everyone can gather E
during emergency situations. Further Construction engineers have been trained for E
such a safety aspect for emergency evacuation.

VERIFICATION OF ACTION TAKEN – □Closed □ NotClosed

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[C] A U D I T O R

NON CONFORMITY NOTE - 3

PROCESS ACTIVITY ISO 9001:2015 CLAUSE

Awareness Determining the 7.3 [A]
effectiveness of the training
conducted
DETAILS OF NON-CONFORMITY A
While assessing it was found that the frequency of conducting 2 days Induction, basic training U
and awareness plan is within 6 working days from the date of joining for the newly joined D
employees. However at the time of interviewing during assessment it was found that an I
employee who joined 10 days ago from the date of the assessment, he was not aware of the T
Environmental policy and objectives. O
Requirement of the standard: R
The organization shall ensure that persons doing work under the organization’s control are aware of:
a) the environmentalpolicy;
b) the significant environmental aspects and related actual or potential environmental impacts
associated with theirwork;
c) their contribution to the effectiveness of the environmental management system, including the
benefits of enhanced environmentalperformance;
d) the implications of not conforming with the environmental management system requirements,
including not fulfilling the organization’s complianceobligations.
AUDITOR : DAT E :22nd January 2016
NAME :ABC SIGN
ROOT CAUSE PROPOSED ACTION
The training and induction was planned for the Immediate training will be conducted as [B]
recently joined employees but due to certain soon as the trainer is back from holiday. A
emergency the trainer was on leave and so the It is expected to be conducted within 10 U
training could not be completed on time. next days. D
ACTION TAKEN I
T
One day training and induction of recently joined employees has been conducted by the person E
of other department and internal test was also taken to justify their knowledge and the same E
was found to be effectivelyimplemented.

VERIFICATION OF ACTION TAKEN – □Closed □ Not Closed

[C]
A
U

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DITOR

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