ISO 14001:2015 Lead auditor Training Course

Delegate Exercises

Table of Contents

Sr.No. Session Plan Page No.

1 2-3
Introduction of Delegates
2 4-5
Review of EMS Policy
3 6-7
Documented Information
4 8-9
Monitoring, measurement, analysis and evaluation
5 10-11
Auditor Roles and Responsibilities
6 12-13
Sequencing audit activities
7 14-15
Planning the audit
8 16-18
Document Review (Case study Manual)
9 19-26
Preparing Audit checklist
10 27-29
Opening Meeting
11 30
Audit role Play
12 31-34
Writing an NCR
13 35
Closing Meeting
14 36-44
Display of Audit Report
15 Review of corrective action Activity 45-48
 ISO 14001:2015 Lead auditor Training Course
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Exercise -1
(Introduction of Delegates)

ACTIVITY

1. Divide the delegates into pairs;

2. In a pair, each delegate will introduce his/her partner (co-participant) after
obtaining the necessary details as per format under; any unpaired delegate will
introduce himself/herself.

DURATION

a) Obtaining necessary information: 05 minutes

b) Introduction: 02 minutes/delegate

AIDS

Flipchart

MARKING

None

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Exercise 1(Activity sheet)

Your/ Partner’s name

Organization

Position

Address

Contact Details

Education

Career Background

Knowledge of EMS (ISO

14001:2015)(In the scale of
1-10)
Auditing Experience a) First Party
(In the scale of 1 - 10) b) Second Party
c) Third Party
Any other relevant
Information

Expectations from the

course

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Exercise 2
(Review of EMS policy)

ACTIVITY

As a group,
a) Study the ‘EMS policy’ (enclosed) of the Alpha Galvanizing Limited;
b) Verify conformity of ISO 14001:2015 and present your findings

DURATION

a) Preparation: 20 minutes
b) Presentation and review: 10 minutes per group

AIDS

ISO !4001:2015
Flip Chart

MARKING

a) 10 Mark for complete and correct finding

b) Deduct 1 mark for each incorrect /missed finding

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EXERCISE -2 (Activity sheet)

ENVIRONMENTALPOLICY

Alpha Galvanizing Limited is dedicated to manufacturing highest quality

galvanized metal parts to meet the requirement of our esteemed customers
We are committed to:
1) Reduce environmental impacts related to the activities of our
organization

2) Establish controls and measurable objectives to ensure our commitment

to the protection of environment and conservation of natural resources.

BR Roy
st
Dated: 31 January,2019 QHSE Manager

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Exercise3
(Documented information)

ACTIVITY

As a group review the case study manual of Alpha Galvanizing Limited to identify the
missing documents which are mandatory as per the requirement of ISO 14001:2015,
relating to the clauses, allocated to the respective groups as under:
a) Group 1: Clauses 4, 5,
b) Group 2: Clauses 6, 7
b) Group 3: Clauses 8
c) Group 4: Clauses 9 & 10

DURATION

c) Preparation: 15 minutes
d) Presentation and review: 5 minutes per group
AIDS

a) ISO 14001:2015
b) Case study manual of Alpha Galvanizing Limited
b) Flip Chart

MARKING

a) 10 Marks for 5 or more correct answers

b) Deduct 1 mark per omission

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EXERCISE-3 (Activity Sheet)

S.No. Clause No. Description

1
2
3
4
5
6
7
8
9
10
11
!2
!3
14
15
16
17
18

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EXERCISE-4
Monitoring, Measurement, Analysis and Evaluation

ACTIVITY

As a group,
a) Review the Management Review meeting (Minutes) Refer: PAC-MR-2 of
Alpha Galvanizing Limited
b) Identify the possible short comings in MRM.

DURATION

a) Preparation: 10 minutes
b) Presentation and review:5 Minutes per group.

AIDS

a) Minutes of Management Review Meeting (PAC-MR-02) of Alpha Galvanizing

Limited
b) Organization Chart (Annexure 4) of Alpha Galvanizing Limited
c) ISO 14001:2015

MARKING

a) 1 mark for each correct response.

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EXERCISE-4(Activity Sheet)

ALPHA GALVANIZING LIMITED AGL-MR-02

MINUTES OF MANAGEMENT REVIEW
Attendees; Mr. J.Singh (GM) ,Mr.V.K Thakur(Production Manager), Mr. Jack(MR)
Distribution to: Chairman,GM,HR,Production Manager
Sno
Description Responsibility Target Date
.
Status of action from previous
meeting
1 There was no outstanding N/A N/A
issues

Changes in internal and external

issues
There is no changes in internal
2 and external issues pertaining to N/A N/A
pertaining to EMS (needs and
expectation of interested parties,
legal requirement)
Achievement of EMS Policy and
the EMS Objectives
3 N/A N/A
The EMS policy and objectives
were met
Adequacy of resources
Internal trainer requirement is
4 HR Manager 20/10/YY
approved by the GM and to be
recruited
Communication with interested
parties
A communication of concern
5 N/A N/A
regarding fumes from zinc coating
unit was received from
neighbouring factory
Opportunities For Improvement
6 Frequency of EMS awareness HR Manager 30/11/YY
training to be increased

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Exercise 5
Auditors roles and responsibilities

ACTIVITY

As a group, list out the roles and responsibilities of i) Audit Team Leader and ii) Audit
Team member in carrying out the tasks relating to on-site audit activities, as per the
format enclosed.

DURATION

Preparation: 20 Minutes
Presentation and review: 10 Minutes.

AIDS

a) ISO19011
b) Flip Chart

MARKING

a) 10 marks for complete/correct coverage

b) Deduct 0.5 marks for each omission or incorrect check points

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EXERCISE-5(Activity Sheet)

TASKS ROLES AND RESPONSIBLITIES

Audit Team Leader Audit Team Member
Opening Meeting
Conduct Attend
Site Tour
Keen observation on the site Keen observation on the site
and discuss with the top and Discuss with team leader
management
Auditing as per plan
Same responsibility as per Same responsibility as per
schedule schedule
Communication
To the top management auditee With the team leader and
and team member auditee’s
Endorsement and audit Team leader will endorse his Will get the Endorsed by the
findings own findings and Team TL
members findings also
Debriefing
Debriefing will be done by TL He will assist the TL
Team meeting: Report Conduct the team meeting Assist the TL
finalization
Preparing discussion: TL will prepare Assist the TL
sheet for closing meeting
Confidentiality
Liable Liable
Closing Meeting Will be presided by TL. Part of the closing meeting

EXERCISE-6
(Sequencing Audit activities)

ACTIVITY

a) As a group, put the LARGE header cards (major audit activities) in the right
sequence.

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b) Identify the minor associate activities from the SMALL associate cards, relating to
the LARGE cards and put the SMALL cards in the right logical sequence, under the
respective LARGE Header cards.
The packs of cards are given below:

Pack 1: LARGE HEADER CARDS

a) Preparing audit activities
b) Initiating the audit
c) Conducting follow up audit
d) Conducting the audit activities
e) Completing the audit
f) Preparing and distributing the audit report.
Pack 2: SMALL ASSOCIATE CARDS
a) Preparing the audit report
b) Conducting the opening meeting
c) Performing document review while conducting the audit
d) Communicating during the audit
e) Establishing initial contact with the auditee
f) Performing document review in preparation for the audit
g) Assigning work to the audit team
h) Determine the feasibility with audit
i) Conducting closing meeting
j) Assigning roles and responsibilities for the guides and observers
k) Generating audit findings
l) Distributing the audit report
m) Collecting and verifying information
Example (Specimen):
LARGE HEADER CARD:
SMALL ASSOCIATE CARD:

Initiating the audit

Establishing Initial contact with the auditee

Determining the feasibility of the audit

Preparing audit activities

Assigning work to the audit team

Performing document review in preparation for the audit

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Conducting the audit activities

Assigning roles and responsibilities for the guides and observers

Conducting the opening meeting

Communicating during the audit

Performing document review while conducting the audit

Generating audit findings

Conducting closing meeting

Preparing and distributing the audit report.

Preparing the audit report

Distributing the audit report

DURATION

a) Preparation:20 minutes
b) Presentation and review: 5 minutes per group

AIDS

Pack 1: LARGE HEADER CARDS

Pack 2: SMALL ASSOCIATE CARDS

MARKING

a) 10 marks for correct sequencing and association

b) Deduct 0.5 marks for each incorrect sequencing and association

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Exercise -07
(PLANNING AN AUDIT)

ACTIVITY

As a group, prepare an audit plan for M/s. Alpha Galvanizing Limited (Case study
organization), using the format enclosed

DURATION

a) Preparation: 15 minutes
b) Presentation and review: 10 minutes per group
AIDS

a) Case study Manual

b) Flip Chart

MARKING

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

Mark the delegates as per Continuous Assessment Plan

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 Stage 1
 Stage 2
Audit Schedule
 Surveillance [ ]
 Recertification

Organization Ref. No.

Location Standard

Assessment Areas
Date Time
[Team Leader] [Auditor/ TE] [Auditor/ TE]

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

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Exercise-08
Document Review

ACTIVITY

As a group,
a) Review the Documented Information i.e. EMS Manual of Alpha Galvanizing
Limited and determine inadequacies, if any with reference to the requirements
of the standards (ISO 14001:2015)
b) Present your findings in the audit report format

DURATION

1 hour 30 minutes

AIDS

a) Case study Manual (Alpha Galvanizing Limited)

b) ISO !4001:2015
c) Flip chart
d) Document review format

MARKING
2 Marks for each correct finding (max. 10 marks)

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Exercise 08(Activity Sheet)

Organization
Auditor Date DD/MM/YYYY
List of Documents Reviewed

Please write the para/ clause/section/page no. of the manual/ procedures/ documents where
requirements are addressed.
Compliance
ISO 14001:2015 Clause Comments [Yes/ No]

4. Context of the organization

4.1 Understanding the organization and its
context
4.2 Understanding the needs and
expectations of workers and other
interested parties
4.3 Determining the scope of the
Environmental management system
4.4 Environmental management system

5. Leadership
5.1 Leadership and commitment

5.2 EMSPolicy
5.3 Organizational roles, responsibilities
and authorities
6. Planning
6.1 Actions to address risks and
opportunities
6.2
EMSobjectivesandplanningtoachievethem
6.3 Planningto achieve EMS objectives
7. Support
7.1 Resources

7.2 Competence

7.3 Awareness

7.4 Communication
7.5 Documented information
8. Operation
8.1 Operational planning and control

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8.2 Emergency preparedness and response

9. Performance evaluation

9.1 Monitoring, measurement, analysis and

performance evaluation

9.2 Internal audit

9.3 Management review
10. Improvement
10.1 General
10.2 Incident, nonconformity and corrective
action
10.3 Continual improvement

Auditor Remarks:

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Exercise-09
Preparing audit checklist

ACTIVITY

As a group, prepare checklist covering all applicable clauses if ISO 14001:2015 to

determine conformity of the EMS (Case study Manual) relating to the departments of
Alpha Galvanizing Limited specified to the groups:

Groups Specified Department

1 QHSE and Top Management
2 Purchase and Stores
3 Sales/Dispatch and Marketing
4 Human Resources and Maintenance

DURATION

a) Preparation: 30 minutes
b) Presentation and review: 10 Minutes per group

AIDS

ISO14001:2015

Flip Chart

Case Study Manual

MARKING

a) 10 marks for complete/correct coverage

b) Deduct 0.5 marks for each omission or incorrect check points

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EXERCISE -09(Activity Sheet)

AUDIT CHECKLIST
Process/Department Date Of Audit
Auditor Auditee
Standard

Clause # Question Observation/Comments Confirming(

Y/N)

6.2.1 Has the organization established EMS Policy, Procedure of Compliance,

Environmental objectives at relevant Aspect Impact Register
functions, levels and process needed for the
EMS considering significant aspects,
associated compliance obligation and has
considered its risk and opportunities?
6.2.1.a Are the environment objectives consistent EMS Policy, Compliance Register,
with the environmental policy? Impact Register, Frequency of evaluation
6.2.1.b & Are environment objective measurable and Frequency of evaluation, Impact Register
c monitored?
6.2.1.d & Are environment objectives communicated EMS policy, Impact Register, Interview
e and updated as required? with employees
6.2.1. Does the organization maintain documented EMS Policy, Any Waste Management
information on the environment objectives? disposal records, previous audit evidence

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AUDIT CHECKLIST
Process/Department Date Of Audit
Auditor Auditee
Standard

Clause # Question Observation/Comments Confirming(

Y/N)

AUDIT CHECKLIST
Process/Department Date of Audit
Auditor Auditee
Standard

Clause # Question Observation/Comments Confirming(

Y/N)

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AUDIT CHECKLIST
Process/Department
Auditor
Standard

Clause # Question Observation/Comments Confirming(

Y/N)

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AUDIT CHECKLIST
Process/Department Date Of Audit
Auditor Auditee
Standard

Clause # Question Observation/Comments Confirming(

Y/N)

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AUDIT CHECKLIST
Process/Department Date Of Audit
Auditor Auditee
Standard

Clause # Question Observation/Comments Confirming(

Y/N)

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AUDIT CHECKLIST
Process/Department Date Of Audit
Auditor Auditee
Standard

Clause # Question Observation/Comments Confirming(

Y/N)

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AUDIT CHECKLIST
Process/Department Date Of Audit
Auditor Auditee
Standard

Clause # Question Observation/Comments Confirming(

Y/N)

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Exercise-10
Opening Meeting

ACTIVITY

As a group, carry out the opening meeting covering all the points as required.

Auditors Auditee Situation

Group 1 Trainer Top Management of the
company has to leave for some
emergency.
Group2 Trainer Customer makes a condition
that Non-compliance be
recorded.
Group 3 Trainer Customer wish to finish the
audit early than the schedule
Group 4 Trainer Customer don’t want to let audit
be done in some departments
due to non-availability of the
responsible persons

DURATION

a) Preparation: 10minutes
b) Presentation and review: 10Minutes per group.

MARKING

10 marks for complete/correct coverage

Deduct 0.5 marks for each omission or incorrect check points

*The trainer with role play as auditee and delegates as auditor.

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OPENING/ CLOSING MEETING CHECKLIST

Please Please
Opening Meeting Closing Meeting
Tick Tick
1. Introduction of the participants with role 1. Thank for Selecting KBS and Hospitality

2. Confirmation of language to be used 2. Closing Meeting Attendance Sheet

3. Verify No Conflict of Interest a. Summarize Assessment
-Confidentiality and Conflict of Interest b. Audit on sampling basis
Statements c. Positive Aspects and Concerns;
4. Opening Meeting Attendance Sheet d. Quality System;
e. Confidentiality;
5. Verify Audit Objectives, Scope & Criteria f. Non-Conformance Report and
Responses;
6. Audit Process Reviewed
g. Classification of Findings;
7. Methods and procedures to be used for
sampling and objective evidence
3. Customer’s Questions of Findings
8. Daily Meeting to keep client informed on
audit progress
7. Certification Assessment Report
9. Definitions of Findings including Grading
as Major, Minor & Observation 8. Appeal Process:
10. Recommendation Definitions
11. Closing Meeting

14. Guide’s Name/Position: / 9. Recommendation to Certify/ Maintain:

10.  YES  NO or  HOLD

15. Review Assessment Schedule 11. If YES

16. Working Hours Final Verification of Scope
17. Lunch Arrangement 12. What happens if changes are made by customer to
18. Closing Meeting quality system
19. Any Change? : If Yes, Note on Copy of the 13. What happens if changes are made by KBS to
Assessment Schedule and attach to this certification system
sheet. 14. Confirm Non-Conformance Actions
20. Confirmation of the status of findings of 15. Next Assessment
the previous review or audit, if applicable

21. Confirm Official Communication Links 17. If NO or HOLD

18. Verification Assessment, if applicable

22. Confirm Working and Meeting Room 19. Corrective Action of NCR
Provisions 20. Due date of correction and Corrective Action on

NCR
23. Confirmation of work safety, emergency
21. Procedure of verification of correction and
and security procedures for audit team
corrective action on NCR
24. Conditions under which the audit may be 23. Complaints process: expression of dissatisfaction,
terminated other than appeal, by any person or organization
25. Appeal Process: [Request by the customer to KBS relating to its activities/ actions in writing
or other parties for reconsideration of any
decision made by KBS related to its
certification process]. The process is
defined in KBS procedure P-06 available
on KBS website.

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26. Answer Any Question 25. Answer Any Question

27. General Comment: 26. General Comment:

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Exercise-11
(Audit Role Play)

ACTIVITY

As a group, delegates are to assume roles of auditors. The tutor(s) act as auditee(s)
for each group and answer questions of the auditors truthfully and present available
documentary evidence requested by the auditors, as available.

This exercise should be carried out by each group in the agreed time one by one.

Each Auditor group will audit the same departments allotted in Exercise 9 for
preparation of checklist and Tutor will ensure that all groups collectively audit all
departments of the Alfa(case study) covering all the clauses of ISO 14001.

The roles of the auditee will be as per the organisation Chart and the organisation
Chart and roles in annexure 4 in the case study manual

DURATION

45 minutes per group

AIDS
a) Audit Plan (Previous exercise)
b) Case Manual

Exercise: Audit Role Play

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

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Exercise-12
(Writing an NCR)

ACTIVITY

As a group
a) Examine the audit findings of Stage 2 audit of Alpha Galvanizing Limited,
listed in the Format AF/S2 (enclosed).
b) Determine C (conformity), NC (nonconformity) and OFI (Opportunity for
Improvement);
c) If found to be NC, determine whether the NC is ‘major’ or ‘minor’.

DURATION

a) Preparation: 20 minutes
b) Presentation and review: 5 minutes per group

AIDS

a) Case Study Manual

b) ISO14001:2015
c) Flip Chart

MARKING

a)10 marks for all correct answers

b) Deduct 0.5 marks for each (i) incorrect identification and (ii) each incorrect
grading

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Exercise-12(Activity Sheet)

Department QHSE
S. No. Audit findings C/NC/OFI Clause No. Major/ Minor

1 Though the maintenance department

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

Department Purchase
S. No. Audit findings C/NC/OFI Clause No. Major/ Minor

1 While auditing ‘Purchase’

department, it is found that all
personnel are aware of
Environmental Policy; however the
policy is not displayed.
2 Controls required for the outsourced
processes are not defined in the
purchase process

Department Top Management

S. No. Audit findings C/NC/OFI Clause No. Major/ Minor

1 The EMS policy has no commitment

to comply with legal & other

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

Department Human Resources

S. No. Audit findings C/NC/OFI Clause No. Major/ Minor

1 Documented information related to

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

Department Sales & Dispatch

S. No. Audit findings C/NC/OFI Clause No. Major/ Minor

1 Some of the personnel from sales &

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

Department Maintenance
S. No. Audit findings C/NC/OFI Clause No. Major/ Minor

1 The maintenance record of milling

machine reveals that on numerous

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occasion it was repaired for oil

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

Department Production
S. No. Audit findings C/NC/OFI Clause No. Major/ Minor

1 The documents reveal that a new

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

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Exercise 13
(Closing Meeting)

ACTIVITY

As a group, carry out the closing meeting covering all the requirements.

Auditors Auditee Situation

Group 1 Trainer The client doesn’t accept some
of the non -compliances
Group2 Trainer The client wants to change the
scope of the certification
Group 3 Trainer Client is threatening the audit
team for seeking favour

Group 4 Trainer Client is providing inducements

DURATION

Preparation: 10 minutes
Presentation and review: 10 Minutes per group.

MARKING

b) 10 marks for complete/correct coverage

c) Deduct 0.5 marks for each omission or incorrect check points

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Exercise-14
(Display of Audit Report)

ACTIVITY

Display of Audit Reports for Stage 2

AIDS:
a. ISO 14001:2015
b. Case Study Manual
c. Flip chart
Audit findings (identified during ‘Role Play’).

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An

AUDIT REPORT

Submitted to

M/s Alpha Galvanizing Limited

Address: Jhamarkotra, Udaipur -313015

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 STAGE 2
Audit Report  RE-CERTIFICATION

Management
Representative
Audit Criteria Exclusion None.
[Standard]
Audit Objectives  Determination of the conformity of the client’s management
system, or parts of it, with audit criteria;
 Evaluation of the ability of the management system to ensure that
the client organization meets applicable statutory, regulatory and
contractual requirements;
 Evaluation of the effectiveness of the management system to
ensure that the client organization is continually meeting its
specified objectives;
 Identification of areas for potential improvement of the
management system.

Audit Scope
[confirmed]
Audit Site[s]

Date[s] of audit

Technical Code

Team Leader

Audit Team Auditor[s]

Technical Expert

Brief Profile of the .

organization
Including main products/
services and customers

Positive features

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Evaluation of
Internal Audits

Evaluation of
Management Review

Non-Conformities

Observations/ areas for

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

Non-Conformities

Observations/ areas for

potential Improvement
Overall Comment on the
compliance of the system, to
the requirements of the

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standard for meeting

organization policies and
objectives including
performance of the
management system over the
period of certification and
review of previous surveillance
audit reports.

Conclusion and Recommendation

Based on the information and audit evidences gathered audit team concluded to:
√ Recommend for grant of certification: subject to receipt of acceptable CAP.
 Recommend for follow up assessment
 Recommend for full assessment again
Remarks: -

I pledge that the report and records will remain confidential and will not be shared with
any other person or organization and abide with the confidentiality and no conflict of
interest agreement signed.
Sd/
(Signature) Team Leader
 Audit Plan [F-05]  Attendance Sheet [F-13]
 Audit schedule [F-08]  Confidentiality [ F-14]
 Scope of Certification [F-12]
 Assessment Checklist [F-17]
Attachments
 Non-Conformity Reports [F- Audit Programme [F-16]
10]

 For Office use only

 Stage 2
 Surveillance [no ]
Attendance Sheet  Recertification

Date Dd/mm/yyyy Ref No.

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Organization
Closing
No Name & Designation/ Department Opening Meeting Meeting
1

10

11

12

13

14

15

Scope of Certification

Organization Ref. No.:

Address(s)

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Standard

Recommended
Scope statement

Exclusion(s)
Team Leader’s comments:

If final scope is
different from
Application

Confirmation

Organization .sd/- (Signature) Team Leader .sd/- (Signature)

▶ To be finalized at closing meeting during stage 2 audit

◻ Stage 2
Recertification
Non-Conformity Report
Surveillance
[No.]

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Organization Ref. No.

Date NCR no.

Category of NC  major  minor Process/

Area
Standard Clause no.

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

Sign: Auditor Sign: Client Representative

Summary of Root Cause analysis and Proposed Correction and Corrective Action

Date of Target
Response Date
Review of RCA and Proposed Correction & Corrective action:

Acceptable:  Yes or  No
Comment:

Team Leader ____________________________(Signature)Date: / /

Verification of Effectiveness of the action taken and closure of non-conformity [This

section to be completed in the next assessment]

Nonconformity closed:  Yes  No. If No, Issue a new NCR

Comment:

Verified by ___________________________(Signature) Date: / /

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Exercise-15
Review of corrective action Activity

ACTIVITY

As a group, study the proposed corrective actions for the audit findings of Alpha
Galvanizing Limited
Conclude with justification whether the proposed corrective actions are acceptable or
not acceptable.

DURATION

a) Preparation: 20minutes
b) Presentation and review: 5minutes per group
AIDS

a) Audit findings and the proposed corrective actions

b) ISO 14001:2015

MARKING

a) 1 Mark for each correct conclusion.

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Exercise-15(Activity Sheet)

S. Audit findings Proposed Action Acceptable Comments

No. (Yes/No)
1 Though the maintenance department has The audit programme will
repeated nonconformities during previous be modified next time
audits , the audit programme for the
organization prepared by the QHSE
Manager remains the same for last 5 years
2 There was no evidence that the QHSE As per the current practice
Manager has reported the results of the acknowledgement
internal audits with the relevant evidence was not retained.
management Hereafter the evidence of
internal audit report receipt
from relevant management
would be maintained by
the QHSE Manager

3 From minutes of management Review The point of “Internal and

meeting 1st Feb 2019its is not evident that external issue changes”
the changes in the internal and external was missed by the
issues relevant to the environmental executive whore prepared
management system were discussed during agenda for the
the management review meeting management review
meeting since he did not
have enough knowledge
about the MRM inputs.
The executive would be
provided training on the
topic and agenda would be
verified by competent
person from next time
4 Controls required for the outsourced The purchase process at
processes are not defined in the purchase the point of use was not
process the most current version.
The QHSE manager would
recall all the old version of
document and replace it
with latest version of
documents in all the
departments

S. Audit findings Proposed Action Acceptable Comments

No. (Yes/No)
5 The EMS policy has no commitment to EMS policy will be
comply with legal & other requirements changed
6 Legal register reviewed and approved the Though the legal register
by the General Manager is available was being the reviewed
however the frequency for evaluation of every six month the review
legal register is not defined frequency was not defined
in the QHSE
documentation. QHSE
documentation would be
modified to include the
review frequency as once

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in every six month

7 From the statement of General Manager, it Legal & other requirement
is evident that the Legal & Other will be taken into account
requirements are not taken into account while planning
while planning.
8 Planning to achieve EMS objective Responsibility would be
relating to the reduction of electricity defined
consumption does not include
determination of responsibility
9 Documented information related to ISO Training record will be
14001:2015 awareness training undergone maintained
by Head HR, is not evidenced.(Training is
mandatory as per competency matrix)
10 No evidence of evaluation of effectiveness Effectiveness will be
of the training imparted to Shri Suhail Sing evaluated
(Worker)
11 Training need identification form used by Version number would be
HR department does not have a revision provided
status/date on it. The HR Manager told the
auditor that the auditor that this form was
never revised, therefore the revision
status/date is not mentioned on the form
12 Some of the personnel from sales & Those staff would be made
dispatch department is not aware about the aware of significant
Significant environmental aspects of the environmental
department aspect/impact

S. Audit findings Proposed Action Acceptable Comments

No. (Yes/No)
13 The maintenance record of milling Corrective action criteria
machine reveals that on numerous and action taken to be was
occasion it was repaired for oil leakage not defined in the
there was no evidence of any further action maintenance plan for the
on the issue milling machine. Such
criteria would be defined
for all the machines to
ensure timely corrective
action
14 The documents reveal that a new Aspect/impact register
machinery was procured and installed in would be modified
the metal coating section, Aspect/impact
register was not updated

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