• Class and Course

    ISO 14001:2015 Environmental Management System - Lead Auditor

    Course Summary

    •  ISO 14001:2015 “Environmental Management Systems “details the processes that enable an organization to achieve its Environmental Management objectives. ISO 19011:2018 “Guidelines For Auditing Management Systems” guides auditing management systems, including the principles of auditing, managing an audit program, and conducting management system audits, also guides the evaluation of competence of individuals involved in the audit process. In this course, delegates will learn to perform an audit as lead auditors of the EMS as per the requirements of the ISO 14001:2015 following the ISO 19011:18 guidelines.
    Course Objective
    Delegates will be able to
    • Explain the purpose and benefits of an Environmental Management System (EMS).
    • Learn the key principles and practices of effective EMS audits following ISO 19011:18 Guidelines
    • Describe the purpose of an ISO 14001:2015 EMS audit and how to satisfy third-party certification.
    • Gain the knowledge and skills required to undertake and lead a successful environmental management systems audit.
    • Explain the role of an auditor to plan, conduct, report, and follow up an audit following ISO 19011:2018 "Guidelines for auditing management systems".
    • Gain the skills to plan, conduct, report, and follow up an audit by ISO 19011:2018.
    • Classroom with Theoretical and Practical exercises
    The following points shall be discussed in the course:
    • How an Environmental Management System (EMS) is understood as a set of processes and practices that enable an organization to reduce its environmental impacts and increase its operating efficiency.
    • Environmental Culture in the Organization.
    • The Audit Process: Steps, resources, inputs, outputs.
    • Working with ISO 14001:2015 and 19011:2018 under the auditing process
    • High-Reliability Organizations (HRO´s), the future.

    Day 1
    Course Overview

    Clause-by-Clause Analysis of ISO 19011:2018 applied to ISO 14001:2015
    0. Introduction
    1. Scope
    2. Normative References   
    3. Terms and definitions    
    o   Workshop: Auditing Culture of the Organization - Self-assessment
    o    Activity: Personal Action Plan
    Clause-by-Clause Analysis of ISO 19011:2018 applied to ISO 14001:2015
    4. Principles of Auditing
    a) Integrity
    b) Fair presentation
    c) Due to professional care
    d) Confidentiality
    e) Independence
    f) Evidence-based approach
    g) Risk-based approach

    o   Internal and External Issues affecting the performance of the auditors.
    o   Identifying the risks linked to the principles of auditing
    o   The area of influence of the audit team.
    o   SWOT Analysis: Strengths, Weaknesses, Opportunities, and Threats to achieve EMS desired outcomes.
    o   Workshop: SWOT Analysis performed by the audit team - Self-assessment
    o   Activity: Personal Action Plan

    Day 2
    Day 1 Review
    5. Managing and Audit Programme applied to ISO 14001:2015
    • 5.1 General
    • 5.2 Establishing audit programme objectives
    • 5.3 Determining and evaluating audit programme risks and opportunities
    • 5.4 Establishing the audit programme
    • 5.4.1 Roles and responsibilities of the individual(s) managing the audit programme
    • 5.4.2 Competence of individual(s) managing audit programme
    • 5.4.3 Establishing the extent of the audit programme
    • 5.4.4 Determining audit programme resources
    SMART Objectives - Leading and Lagging performance indicators. 
    o Workshop: Audit Programme Objectives -  Self-assessment
    o Activity: Personal Action Plan

    • 5.5 Implementing audit programme
    • 5.5.1 General
    • 5.5.2 Defining the objectives, scope, and criteria for an individual audit
    • 5.5.3 Selecting and determining audit methods
    • 5.5.4 Selecting audit team members
    • 5.5.5 Assigning responsibility for an individual audit to the audit team leader
    • 5.5.6 Managing audit programme results
    • 5.5.7 Managing and maintaining audit programme records
    • 5.6 Monitoring audit programme
    • 5.7 Reviewing and improving audit programme
    o Workshop: Audit team competencies -  Self-assessment
    Activity: Personal Action Plan

    Day 3
    Day 2 Review

    • 6. Conducting an audit applied to ISO 14001:2015
    • 6.1 General
    • 6.2 Initiating audit
    • 6.2.1 General
    • 6.2.2 Establishing contact with auditee
    • 6.2.3 Determining feasibility of audit
    • 6.3 Preparing audit activities
    • 6.3.1 Performing review of documented information
    • 6.3.2 Audit planning
    • Risk-based approach to planning
    • Audit planning details
    • 6.3.3 Assigning work to audit team
    • 6.3.4 Preparing documented information for audit
    o Workshop: Risk-based approach to planning - Self-assessment
    o Activity: Personal Action Plan

    • 6.4 Conducting audit activities
    • 6.4.1 General
    • 6.4.2 Assigning roles and responsibilities of guides and observers
    • 6.4.3 Conducting opening meeting
    • 6.4.4 Communicating during the audit
    o Communication: definitions, audiences, strategies, plans, resources, and monitoring.
    o Opening meeting: agenda, conditions, inputs, and outputs. 

    o Workshop: Conducting opening meeting Self-assessment
    o Activity: Personal Action Plan

    Day 4
    Day 3 Review

    • 6.4.5 Audit information availability and access
    • 6.4.6 Reviewing documented information while conducting an audit
    • 6.4.7 Collecting and verifying information
    • 6.4.8 Generating audit findings
    • 6.4.9 Determining audit conclusions
    • Preparation for the closing meeting
    • Content of audit conclusions
    • 6.4.10 Conducting closing meeting
    • 6.5 Preparing and distributing audit report
    • 6.5.1 Preparing audit report
    • 6.5.2 Distributing audit report
    • 6.6 Completing audit
    6.7 Conducting audit follow-up
    o Evidence: definition, requirements, managing different types of evidence.
    o Interviews: roles and responsibilities, techniques and tools, recording results. 
    o Feedback: communicating results with a proactive approach.
    o Closing meeting: agenda, conditions, inputs, and outputs. 
    o Follow-up: procedure and expected results.
    o Workshop: Conducting interviews -  Self-assessment
    o Activity: Personal Action Plan

    Day 5
    Day 4 Review

    • 7. Competence and evaluation of auditors applied to ISO 14001:2015
    • 7.1 General
    • 7.2 Determining auditor competence
    • 7.2.1 General
    • 7.2.2 Personal behavior
    • 7.2.3 Knowledge and skills
    • General
    • Generic knowledge and skills of management system auditors
    • Discipline and sector-specific competence of auditors
    • Generic competence of audit team leader
    • Knowledge and skills for auditing multiple disciplines
    • 7.2.4 Achieving auditor competence
    • 7.2.5 Achieving audit team leader competence
    • 7.3 Establishing auditor evaluation criteria
    • 7.4 Selecting appropriate auditor evaluation method
    • 7.5 Conducting auditor evaluation
    • 7.6 Maintaining and improving auditor competence
    o Visible Behavior: Leadership, Commitment, and Accountability.
    o Responsibilities Matrix and Accountability Matrix.
    o Competencies Chart: Definitions, levels, assessment criteria, career path.
    o Competences Chart 
    o Workshop: Competences Self assessment  
    o Activity: Personal Action Plan

    • Annex A (informative) Additional guidance for auditors planning and conducting audits
    o Annex SL The high-level structure for modern ISO standards
    o High-Reliability Organizations (HRO’s) 
    o The certification process 
    o Course Summary
    o Personal Action Plans Review
    o Closure of the course

    • Anyone with the need to audit an organization's ISO 14001:2015 EMS according to the ISO 19011:2018 guidelines.

    • Fundamentals of Management System (QMS, OH&S, EMS).
    • The Plan-Do-Check-Act (PDCA) cycle.
    • A brief history of the ISO 14000 Standards Serie
    • ISO 14001:2015 framework, terms and definitions, processes and resources.
    • ISO 19011:2018 framework, terms and definitions, processes and resources.
    • The process flow for the management of an audit program.
    • Communication Management: Meetings, reports, and learned lessons.
    • The Audit Team: roles, responsibilities, activities, competencies, training, and continual improvement.

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