ISO 14001:2015 Awareness

TRAINING

COMPANY/AGENCY : BERONG NICKEL CORPORATION

ADDRESS : 156 Manalo St. Puerto Princesa City, Palawan

 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
Course Objectives: Notes:

• Learn and understand the process of performing internal audit. ____________________

• Understand the importance of performing audits.
• Apply the Principles of Auditing ____________________
• Be qualified as an Internal Auditor for EMS. ____________________
ISO 14001:2015 standard requires that: ____________________
____________________
• 9.2.1
The organization shall conduct internal audits at planned intervals ____________________
to provide information on whether the EMS: ____________________
Conforms to:
•
• The organization’s own requirements for its EMS…
____________________
• The requirements of this international standard ____________________
Is effectively implemented and maintained
•
____________________
____________________
• 9.2.2 – Internal Audit Programme ____________________
A. The Audit Programme defines the following:
• Frequency ____________________
• Methods ____________________
• Responsibilities
• Planning Requirements ____________________
• Reporting ____________________
B. Determine audit criteria and scope of each audit
____________________
C. Select auditors and conduct audits to ensure objectivity and the ____________________
impartiality of the audit process ____________________
D. Ensure results are reported to:
- relevant managers ____________________
- Workers including worker representatives ____________________
- Interested Parties
E. Take actions to address nonconformities and continually improve EMS
____________________
Performance ____________________
F. Retain documented information ____________________
Note: see ISO 19011:2018 for Guidance ____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
1 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
Audit is not a ____________________
____________________
____________________
but rather suitability assessment ____________________
____________________
____________________
Terms & Definitions ____________________
G. Audit – Systematic, independent and documented process for obtaining
____________________
“audit evidence” and evaluating it objectively to determine the extent to ____________________
which “audit criteria” are fulfilled. ____________________
H. Audit Criteria – set of requirements used as a reference against which
audit evidence is compared. ____________________
a. Note: Requirements may include policies, procedures, work ____________________
instructions, legal requirements, contractual obligations, etc.
I. Combined Audit – audit carried out together with a single auditee on two ____________________
or more Management Systems. ____________________
J. Auditor – Person who conducts an audit. An individual with the relevant
skills and experience to perform audits. ____________________
K. Auditee – Organization as a whole, or part thereof being audited. ____________________
L. Audit Team – one or more auditors conducting an audit, supported if
needed by technical experts.
____________________
M. Technical Expert – person who provides technical knowledge or expertise ____________________
to the team.
N. Audit Scope – extent and boundaries of an audit
____________________
O. Audit Findings – results of the evaluation of the collected audit evidence ____________________
against audit criteria ____________________
P. Note1: Audit findings indicate conformity or nonconformity
Q. Note2: Audit findings can lead to the identification of risks, opportunities ____________________
for improvement or recording good practices. ____________________
R. Conformity – Fulfillment of a requirement
S. Nonconformity – Non-fulfillment of a requirement ____________________
____________________
____________________

2 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
Classification of Nonconformity ____________________
• Major Nonconformity – is described as the absence, or complete breakdown, ____________________
of a required system. ____________________
• Minor Nonconformity – is described as an isolated failure to comply with a
specified requirement of the EMS. However, a number of related minor ____________________
nonconformities seen in different areas of the organization, can be clasified ____________________
as “MAJOR”.
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
KINDS OF AUDIT ____________________
• ADEQUACY AUDIT – This is normally an office-based exercise determining
____________________
the extent to which the documented system (the EMS Manual and ____________________
associated documented information) meets the requirements of the EMS
standard.
____________________
____________________
• COMPLIANCE AUDIT – This is the audit which seeks to establish the extent ____________________
to which the documented system is implemented and observed by the
workforce i.e., are people complying the EMS? ____________________
____________________
TYPES OF AUDITS
____________________
• 1st Party: ____________________
o Internal Audit ____________________
o Conducted by internal auditors
• 2 Party:
nd ____________________
o External Audit ____________________
o Auditor comes from Supply Chain ____________________
o External Provider Audit
3 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
• 3rd Party: ____________________
o External Audit
o Independent body
____________________
o Certification or Accreditation ____________________
o Statutory or regulatory compliance ____________________
Auditors’ qualifications
____________________
____________________
• The success of the auditing program depends significantly ____________________
upon the selection of the right people for the task
____________________
COMPETENCE AND EVALUATION OF AUDITORS ____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
THE EMS AUDITOR
____________________
____________________
• Auditing Skills ____________________
o Time Management
 Be Punctual and Prepared ____________________
 Prior Notification to area being audited ____________________
 False Trials and “Unimportant Many” ____________________
 Time wasting discussion or friendly
conversation ____________________
 Excessive Breaks ____________________
o Fact Finding ____________________
 Rough flowchart of area or processes
o Communication Skills ____________________
 Verbal Communication ____________________
 Body Language ____________________
 Style and sound of speech
4 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
 Facial Expression ____________________
 Range of Literacy
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
TYPES OF QUESTIONS ____________________
____________________
Open Questions – Should be used whenever possible. Those that cannot be
•
answered by a simple “YES” or “NO.” It allows the auditee to explain his
____________________
process. ____________________
Probing Questions – “Follow-up” or “Focusing Question.” Answer is
•
specific.
____________________
• Closed Questions – Can be answered by “YES” or “NO”. This should be used ____________________
for verification purposes only. ____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________

5 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
THOUGHT SPEED ____________________
• Average person speaks at 120 words per minute
____________________
• Our “thought speed” can cope 400 ~ 600 words per minute ____________________
Good listener use this to . . . ____________________
WHEN LISTENING ____________________
• Analyze what’s being said. ____________________
• Summarize what’s being said.
• Take brief but informative notes. ____________________
• Do not evaluate the speaker. ____________________
• Listen to message behind the words.
____________________
AUTHOR EFFECTIVENESS ____________________
• Do not measure an efficient auditor by the number of ____________________
observations recorded / not recorded
• The ability to identify nonconformities and provide ____________________
recommendations on ways to improve the process should be ____________________
viewed as a positive ____________________
____________________
How to make your Audit Work? ____________________
Effective Implementation of Audit Programme ____________________
____________________
____________________
____________________
____________________
____________________
____________________

6 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________

7 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
____________________
Audit Risks and Opportunities
Opportunities ____________________
____________________
• Allowing Multiple Audits in one Site
• Minimizing Time and Distance Travel to Sites ____________________
• Matching Level of Competence (Audit Team) ____________________
• Aligning Audit Date with Availability of Auditees
____________________
Audit Programme must take into consideration: ____________________
• Complexity of processes
____________________
• Results of Previous audits ____________________
• Internal & External Audits ____________________
• Changes affecting the Organization ____________________
• Risks
• Environmental Importance of Process
____________________
• New or revised statutory & regulatory requirements ____________________
• Critical areas ____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________

8 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
Establishing Contact with Auditee ____________________
____________________
Team Leader should ensure that contact is made with the auditee to:
•
• Confirm communication channels with the auditee
____________________
• Confirm authority to conduct the audit ____________________
• Provide relevant information ____________________
• Audit Objectives
• Scope
____________________
• Criteria ____________________
• Methods ____________________
• Audit Team composition
• Request relevant information for planning (e.g. Risks &
____________________
Opportunities, Statutory and Regulatory Requirements, etc.) ____________________
• Treatment of Confidential Information ____________________
Determining Feasibility of Audit
____________________
____________________
• Sufficient information is available for planning & conducting the ____________________
audit ____________________
• Adequate cooperation from the auditee ____________________
• Adequate time and resources for conducting the audit
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________

9 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
Conducting an Audit
____________________
Preparing Audit Activities ____________________
____________________
• Performing Review of Documented Information
• Audit Planning
____________________
• Assigning Work to Audit Team ____________________
• Preparing Documented Information For Audit ____________________
____________________
PERFORMING REVIEW OF DOCUMENTED INFORMATION
• Gather information to better understand auditee’s operation:
____________________
• Management System Documents & Re ____________________
• Previous Audit Reports ____________________
• Pending CARs, etc.
____________________
____________________
AUDIT PLANNING
• Develop an Audit Plan
____________________
• Annual Audit Plan ____________________
• Detailed Audit Plan ____________________
• Dates, places and time duration of the audit to be
conducted ____________________
• Audit objectives and scope ____________________
• Methodology for auditing the EMS appropriate for
the organization; ____________________
• Auditees; ____________________
____________________
____________________
____________________

10 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
Audit Planning Details ____________________
When planning, take into account… ____________________
• Identification of Auditee’s Representative(s)
• Working and reporting language. ____________________
• Logistics and communication arrangements (e.g. site ____________________
inspections, the need for interpreters)
• Matters related to confidentiality and information security ____________________
• Any follow-up actions from previous audits (e.g. pending CARs, ____________________
lessons learned)
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
PREPARING DOCUMENTED INFORMATION FOR AUDIT ____________________
Preparing the following:
____________________
____________________
Physical or Digital Checklist
•
• Audit Sampling Details
____________________
• Audio Visual Presentation* ____________________
____________________
*Note: If determined to be necessary
____________________
____________________
____________________

11 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
AUDIT CHECKLIST ____________________
• Purpose of Checklist
• To ensure all aspects are addressed ____________________
• To act as a prompt to the auditor ____________________
• Aid time management
• Can be used as auditor’s notes ____________________
____________________
• Sources for Creating a Checklist
• Compliance to the ISO standard. ____________________
• Compliance to documented Quality Management System ____________________
• Ideas from other auditors
• Known or Classic Problems
____________________
• Previous Checklists ____________________
• Risk Assessment
• Key Elements of Procedures
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________

12 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
Opening Meeting ____________________
• The opening meeting is an introductory meeting that the lead auditor
politely and diplomatically chairs. ____________________
• Purpose: ____________________
• Introduction of the participants, including observers and ____________________
guides, and an outline of their roles;
• Confirmation of the audit objectives, scope and criteria; ____________________
• Presentation of the methodology to be used to conduct the ____________________
audit, including advising the auditee that the audit evidence ____________________
will be based on a sample of the information available;
• Confirmation of matters relating to confidentiality and ____________________
information security; ____________________
• Information on the methodology of reporting audit findings ____________________
including grading, if any;
• Confirmation that the resources and facilities needed by the ____________________
audit team are available; ____________________
____________________
•Communicating During Audit
o The audit team should confer periodically to exchange ____________________
information, assess audit progress and reassign work ____________________
between the audit team members, as needed. ____________________
o During the audit, the audit team leader should periodically
communicate the progress, any significant findings and ____________________
any concerns to the auditee and audit client, as ____________________
appropriate, including changes in the Audit Plan. ____________________
• Collecting Audit Evidence
o Information gathered through interviews should be ____________________
verified by acquiring supporting information from ____________________
independent sources such as: ____________________
 Observations
 Records/Documented Information ____________________
 Results of existing measurements ____________________
Types of Evidence ____________________
• Physical Evidence
o Evidence that can be observed or touched, such as missing ____________________
man-hole covers for oil interceptors. ____________________
o However, this information alone is insufficient to verify ____________________
compliance, it will just guide the auditor to further trail
evidence that the EMS has been implemented. ____________________
____________________
• Documentary Evidence ____________________
o Evidence that is traceable through a paper trail, although it
cannot accurately confirm that an activity occurred (but as an ____________________
auditor, trust the integrity of the records presented). ____________________
o Example: Inspection report, training attendance ____________________

13 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
• Circumstantial Evidence ____________________
o Observed situation caused by circumstance
o Evidence, such as a poorly maintained record system, is
____________________
limited to indicating an impression and cannot be used as ____________________
audit evidence. ____________________
o Auditor will still further trail record and look for documentary
evidence.
____________________
____________________
• Admissible Evidence ____________________
o Evidence emanates from discussion and interviews,
o A verbal statement given by management or the auditee
____________________
responsible for the area. ____________________
o The auditor will still further trail a documentary evidence. ____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
Generating Audit Findings
• Audit evidence should be evaluated against the audit criteria in order
____________________
to determine audit findings. ____________________
• Audit findings can indicate ____________________
o Conformity; or
o Nonconformity
____________________
• Nonconformities can be graded depending on the context of the ____________________
organization and its risks. This grading can be quantitative (e.g. 1 to ____________________
5) and qualitative (e.g. minor, major)
____________________
Determining Audit Conclusions ____________________
• Conclusion ____________________
o Effectively Implemented
o Maintained
____________________
o Intended Outcomes are Achieved ____________________
____________________
• Closing Meeting
o During the Closing Meeting:
____________________
 Acknowledging the auditees for their help and ____________________
cooperation. ____________________
 Stating confidentiality will be maintained
14 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
 A brief summary of the audit ____________________
 Stating audit results and conclusions
 During the Closing Meeting: ____________________
• Invite questions from the auditees ____________________
• Setting Deadlines: ____________________
o CAR
o Release of Audit Report
____________________
o Closing of NCs and Follow-up Activities ____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
Preparing & Distributing the Audit Report
____________________
• Summary of Audit Findings ____________________
• Prepared by the Lead Auditor ____________________
• Contains the following details:
• The areas audited; ____________________
• The agreed objectives, scope and plan of the audit; ____________________
• The agreed criteria and the documents against which the audit was
conducted; ____________________
• A summary of the audit findings and obstacles encountered ____________________
A nonconformity ____________________
____________________
• a non-fulfillment of a requirement. It is a failure to deliver what is
required of you or your activity or process or system.
____________________
____________________
____________________
Example of a Nonconformity Report
____________________
6.1.1 of ISO 14001:2015 requires the organization to determine risks and ____________________
opportunities for its management system, however, the organization has
not identified associated Risks and Opportunities of the EMS. ____________________

15 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
____________________
10.2.1 b) – evaluate the need for action to eliminate the cause(s) of the
nonconformity, in order that it does not recur or occur elsewhere; ____________________
____________________
• Reviewing & analyzing the NC
• Determining Causes ____________________
• Determining if similar nonconformities exists (in other areas), or could ____________________
potentially occur.
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
Completing the Audit
• The audit is completed when all planned audit activities have been carried ____________________
out, or as otherwise agreed with the audit client/auditee (e.g. there might ____________________
be an unexpected situation that prevents the audit being completed
according to the audit plan). ____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
Conduct Audit Follow-up
16 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying
 ISO 14001:2015 Internal Audit Training
Incorporating ISO 19011:2018 Guidelines for auditing
Macro Vision Consultancy
____________________
• The outcome of the audit can, depending on the audit objectives, indicate
the need for: ____________________
• Corrections; ____________________
• Corrective actions; or
• Opportunities for improvement ____________________
• Auditees shall determine and implement the corrective action. ____________________
• Auditors shall verify the effectiveness of actions taken.
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________
____________________

MACRO VISION CONSULTANCY

Telephone No.:(02)868-4152
Email Add: [email protected]
[email protected]
Mobile Num: Globe: 0977-8233295/Smart: 0999-9931163
Website : http://www.mvconsultancy.info

17 | Copyright of Macro Vision Consultancy. All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or
transmitted, in any form or by any means, electronic, mechanical, photocopying