ISO 14001:2004 Environmental Management Systems Lead Auditor Course

ISO 14001:2004 Environmental
Management Systems
Lead Auditor Course
Instructor Guide
Issue 4.2 October 23, 2008
12110 Sunset Hills Road 6205 Airport Road

Suite 200 Building A, Suite 102
Reston, VA 20190 Mississauga, ON L4V1E1
USA Canada
800-862-4977 800 862 6752
703-437-9001 (Fax) 416 620 9911 (Fax)
www.bsiamerica.com
Course Code : EMS-042-01-EN-US
This material is for the personal use of an instructor teaching this course presented by BSI
Learning.
ISO 14001:2004 Environmental Management Systems Lead Auditor CourseInstructor Guide
No part of the materials may be reproduced, stored electronically, or transmitted in any form or by
any means without the prior written consent of BSI Learning.
Course PreTab EMS-042-01-EN-US Issue 4.2:10/23/08 The British Standards Institution 2008 2 of 14
INSTRUCTOR GUIDE CONTENTS
This section of the Instructor Guide contains the following information vital to the proper
administration of this course:
INSTRUCTOR GUIDE CONTENTS..................................................................................2

1. General....................................................................................................................3
2. The Course..............................................................................................................3
3. Course Documentation...........................................................................................5
4. Course Ethos...........................................................................................................5
5. Instructor Qualifications..........................................................................................5
6. Learning Objectives................................................................................................6
7. Administrating the Exercises...................................................................................7
8. Student Assessment................................................................................................8
8.1 Continual Evaluation....................................................................................8
8.2 Written Examination...................................................................................10
8.3 Exam Re-sits..............................................................................................11
9. Sample Exam.........................................................................................................11
10. Course Reporting..................................................................................................11
11. Prerequisite Exercise Review...............................................................................12
12. Training Room Set-Up..........................................................................................12
Appendix A Preferred Training Room Set-up................................................................13
The instructor should note that details for Exercise administration and for Exercise answers are
included behind the Exercise Tab of the Instructor Guide.
1. GENERAL
This guide provides instructors with information that facilitates a clear, organized, and authoritative
delivery of the EMS Lead Auditor course. The guide makes up a part of the course documentation
in total and is provided for instructional guidance for course instructors. This guide is restricted
information and may be issued only as controlled copies only to those personnel qualified and
authorized to deliver the course.
This introductory section states the overall course objectives. Instructors must pay particular
attention to coverage of all materials and must ensure that all requirements are fulfilled each time
the course is offered. Each instructor is expected to read this guide and do the advance preparation
and daily lesson planning needed to successfully deliver the course. Adherence
to time schedules, content, quality system elements, and other specified course requirements
is essential.
Instructors are welcome to suggest improvements to the course or this guide. Please send
feedback to courses.msamericas@bsigroup.com at BSI Learning. In the spirit of continual
improvement, corrections and suggestions for improvements are encouraged and will be taken into
consideration for future updates.
2. THE COURSE
This course covers in five days the requirements for environmental auditor training as outlined
in ISO 19011:2002 and ISO 14001:2004. No other course may be included within this Lead Auditor
course.
The course also relies on the requirements of ISO 19011:2002, "Guidelines for Quality and/or
Environmental Management Systems" to teach the auditing process as applicable to environmental
management systems.
On day one, the course covers the requirements of ISO 14001:2004. It is required for students to
complete a prerequisite exercise to ensure their knowledge of ISO 14001:2004 before the course
begins. The prerequisite exercise will be covered during class and will count toward the continual
assessment of the student.
On day two, the course finishes the review of the requirements of ISO 14001:2004 and discusses
requirements of applicable regulations. On day two, the course will also cover the concepts and
principles of auditing and the process of managing the audit program.
Days three and four concentrate on conducting an environmental management system audit as
outlined in ISO 19011:2002. On days three and four students will conduct detailed exercises to
practice and demonstrate their knowledge of conducting audits to ISO 14001:2004.
The course comprises formal classroom sessions (tutorial) and student participation (exercises).
50% of the course involves student participation, including individual exercises, team-based
workshops, and class discussion. Answers to the Exercises are included in the Instructor Guide
behind the Exercises Tab.
Reference is made throughout the materials to ISO 14001. Please note, for purposes of this
course, the full reference is to ISO 14001:2004. Course materials use definitions consistent with
section three definitions of ISO 14001:2004 and ISO 19011:2002.
The course is designed for forty (40) contact hours over five consecutive days, excluding time for
lunch, and breaks unless approval is grated by RABQSA to modify this requirement. An additional
two (2) hours is required to conduct the exam. Although instructors may deviate slightly from the
agenda, they must ensure that at least that at least forty hours of instruction occurs in either the
form of tutorials or exercises. Refer to the Agenda Tab for a detailed day-by-day agenda and slide
sequence (as required by clause 3.2.3 of RABQSA document Training Course Certification,
RABQSA TP4.EMSLA, if the course is given through interpreters, this time shall be increased as
required to meet the learning objectives).
The number of students in a class can be no greater than twenty and should be no fewer than four.
For classes with more than 10 students, two instructors are required. Students are required to be in
attendance for the full duration of the course. Absence, or tardiness, shall be reflected in the
student performance evaluation. Each course offering shall be presented by at least one instructor,
who is actively involved in the instruction and evaluations for the full duration. Even if additional
resources or instructors are used, the lead instructor is responsible for the entire course offering.
We encourage sharing of examples from students having relevant process or industry experience.
Some specific examples will be utilized for illustration and explanation. Otherwise, the course puts
no particular emphasis on any specific process or industry. It is not product or organizational
specific, but universal in application, within the scope of application described.
3. COURSE DOCUMENTATION
Students are provided with a bound course manual. The Student Manual is organized in sections
for easy reference. Familiarize yourself and the students with the layout. The agenda gives the
schedule of daily activities and is found at the front of the Student Manual. Copies of presentation
slides used during the tutorials are included in the manual after the Slides Tab. There is ample
room for notes. The Text Tab contains detailed discussions of ISO 14001:2004, ISO 19011:2002,
and the auditing process. The Case Study Tab includes all of the case study material. A packet of
audit scenario handouts should also be included with the Student Manuals shipped to the course
site. Instructions on when to use the handouts are included behind the Exercise Tab. Additionally, a
copy of the exams should be sent along with the Student Manuals in a sealed envelope.
Materials are maintained as controlled documentation. Only the Instructional Systems Designer has
authority to make or delegate changes to the courseware.
4. COURSE ETHOS
Instructors should be aware of the ethos of the course. The design of the course is based on the
idea of the instructors role as a mentor and coach, rather than simply a lecturer. Therefore,
Instructors should encourage the students to participate and assist those who may experience
difficulties. See that student individual concerns are addressed as much as practical.
5. INSTRUCTOR QUALIFICATIONS
Only qualified and authorized instructors meeting the requirements of the course provider shall
teach this course.
6. LEARNING OBJECTIVES
A participant who completes this course should be able to:
Understand Environmental Management Definitions, Concepts, and Guidelines

Understand the Purpose of the ISO 14000 Series
Understand the Requirements of the ISO 14001:2004 Standard
Identify Aspects and Impacts
Manage an Audit Program
Initiate the Audit and Conducting Opening Meetings
Understand Auditor Responsibilities
Conduct On-site Activities
Understand Environmental Legislation
Communicate Effectively during the Audit
Generate Audit Findings
Prepare Audit Conclusions
Conduct Closing meetings
Reporting Audit Results
Conduct an Audit Follow-up
Understand the Registration Process
As required by section 2.2 of the RABQSA Training Course Certification document, an attendee
who successfully completes this course shall be able to:
Explain the purpose and intent of the ISO 14000 series of standards
Describe the continuing process of development of the ISO 14000 series and ISO 19011, the
impact that these developments may have on the audit process, and the need for auditors to
keep up to date
Explain the intent and requirement of each clause of ISO 14001:2004
Identify the audit evidence needed to demonstrate conformity to the requirements of ISO
14001:2004
Evaluate the effectiveness of an entire EMS
Describe the difference between legal compliance and conformity with ISO standards, and
the significance of these terms when conducting audits
Describe the systems of certified registration and the differing functions of the accreditation
bodies, certification bodies, auditor certification bodies, and training course approval bodies
Describe the process of registration of an organizations EMS, including but not limited to:
a. Initial assessment process and purpose of 2 stages
b. Potential outcomes and registration decisions
c. Considerations for multi-site registrations
Describe the environmental audit process as defined in the current revision of ISO 19011
Compare the types of audits and their objectives; including:

a. Systems audits
b. Compliance audits
c. Site audits (i.e., due diligence)
d. Process audits
e. Internal audits
Explain and identify EMS scopes (e.g. organization-specific; centralized; facility-specific; site-
specific, etc.)
Understand the RABQSA certification criteria and Auditors code of conduct for EMS auditors
Understand the hierarchy of environmental legislation and regulation processes, including
the relationship of federal, state, and local agencies, and how
to evaluate whether an auditees system has effectively identified
resource information
Perform the phases of an EMS audit as described in ISO 19011, including, but not limited to:
a. Audit planning and preparation, including document review and team selection
b. Conduct of meetings (opening, debriefing, and closing)
c. Conduct of interviews (effective interpersonal skills and interviewing techniques
including an ability to listen and question)
d. Evaluation of evidence collected during the audit and preparation of reports of
conformity and nonconformity to the audit criteria
e. Completion of an audit report
f. Evaluation of corrective action to audit findings
Describe the process for follow-up investigations, including audits as required
7. ADMINISTRATING THE EXERCISES

Detailed instructions for the administration of the exercises are included behind the Exercises Tab of
the Instructor Guide. The instructor must be present at all times while students are working on
exercises. Minor deviation for time and content is permissible based upon class size and
ability.
8. STUDENT ASSESSMENT
The student performance on the course will be assessed continually by the instructors. It is
important that the Instructors complete the electronic EMS Lead Auditor Marking Matrix at the end of
each day. The Matrix is located in the "Instructor Toolkit" folder of the electronic course materials
(EMS LAC Instructor Marking Matrix.xls).
To earn a Certificate of Successful Completion, students must pass two criteria:
1. Continual evaluation
2. Two-hour written exam
Students must earn a 70% or higher on both the daily continual evaluation and the two-hour written
exam. If a student does not pass both, then they cannot receive a Certificate of Successful
Completion.1 If a student passes the continual evaluation but fails the exam, they may re-sit the
exam within 12 months after the date of the initial examination; however, a student who fails the
continual evaluation must satisfactorily complete another full training course before being eligible to
receive a Certificate of Successful Completion.
Additional details about the continual evaluation and written exam are included in the following
sections.
8.1 Continual Evaluation
Students must be evaluated by the instructor after each exercise on a number of areas such as:
Contribution to discussions, questioning of instructors, communication to the class, reporting

of situations accurately, and effective participation in team activities and in role playing
The clarity and technical soundness of each attendees written assignments
Each attendees attitude, personal attributes, skills, manner, and suitability as a future auditor
and audit team leader
Each attendees attendance, punctuality, and participation in all class activities
The instructor must record the students contribution to, and participation in, all course exercises,
discussions, and activities. These notes will be used to assign points for each exercise to assess
student performance. Students who do not participate in exercises must receive a score of zero for
those exercises. Attendees are required to be in attendance for the entire duration of the course.
Failure to do so must be reflected in the attendees' continual and final evaluations.
1
These requirements are outlined in clause 4 of the RABQSA document Training Course Certification, RABQSA
TP4.EMSLA.
If an individual students performance on any of the above criteria is not satisfactory, the
instructor(s) must discuss these concerns privately and immediately with the student and arrange
additional coaching where appropriate. If attendees are visibly having difficulty with the exercises or
the difficulty is reflected in the continual evaluation, the instructor should note this on the electronic
EMS Lead Auditor Marking Matrix.
The continual evaluation score is determined by reference to the following scale:
A score of 1 = Very Poor

A score of 2 = Poor
A score of 3 = Satisfactory
A score of 4 = Good
A score of 5 = Very Good
For some of the exercises (10, Sample Exam), more than 5 points will be awarded due to the length
and importance of the exercises. The table below outlines the continual evaluation scores to be
assigned for each exercise:
Exercises Continual Evaluation Points

Prerequisite 5 points
Exercise 2 5 points
Exercise 3 5 points
Exercise 4 5 points
Exercise 5 5 points
Exercise 6 5 points
Exercise 7 5 points
Exercise 8 5 points
Exercise 9 5 points
Exercise 10 10 points for participation as auditor in the role-play
10 points for participation as auditee in the role-play
10 points for participation in class discussion debriefs for each of the scenarios
Exercise 11 5 points
Sample Exam 5 points for completing the Sample Exam
5 points for participation in the Sample Exam debrief
Total 100 points
For Exercise 10, the following scale will be used to evaluate this components of the exercise worth
10 points:
A score of 1-2 = Very Poor

A score of 3-4 = Poor
A score of 5-6 = Satisfactory
A score of 7-8 = Good
A score of 9-10 = Very Good
The 1-5 scoring scale is used for all other exercise.
Instructors will find additional guidance on evaluating student performance on each exercise behind
the Exercises Tab of the Instructor Guide. Students who fail the continual evaluation must take the
course again.
8.2 Written Examination
On day 5 of the course, students will take a two-hour written exam covering the application of
principles and practices employed during an Environmental management system audit. At least
75% of the exam is based on questions that require essay responses. The remainder of the
examination grade will be based on multiple-choice, true/false and/or short answer questions. 2
Instructors will ensure the two-hour time limit is strictly enforced and will be present throughout the
entire exam. However, students with a disability that affects their capability to complete the exam in
the allotted time may be allowed thirty extra minutes. Students for which English as a second
language may also be allowed thirty extra minutes and may use an appropriate two-language
dictionary3.
The exams will remain in a sealed envelope throughout the course, and will only be removed by the
instructor when administering the exam on day 5. After completing the exam, students will turn their
exam into the instructor who will grade the exams and return them to the BSI offices.
During the exam, students may only use the following reference materials:
Copies of the environmental standards (i.e., ISO 14001:2004, ISO 19011:2002)

Student manuals provided by BSI
Any personal notes made by the student during the course
The examination is worth 100 points. The passing grade is 70%. The examinations of students who
receive between a 60% and 75% will be re-graded.
2
The assessment criteria for the written exam are designed to meet the requirements of clause 4.2.7 and 4.2.8 of
RABQSA TP4.EMSLA.
3
The time period exceptions allowed for the written exam are designed to meet the requirements of clause 4.2.5 of
RABQSA TP4.EMSLA.
8.3 Exam Re-sits
A student who fails the written examination, but has passed the continuous evaluation, shall be
allowed one re-examination within 12 months of taking the EMS Lead Auditor course. 4 A different
exam paper will be used for the re-sit, and the re-sit exam must be taken in the presence of an
approved instructor as described in the course procedures.
If a student fails the re-sit examination, the student must retake the complete training course to
become eligible for another examination.
9. SAMPLE EXAM
The sample exam is used to acquaint students with the types of questions on the course exam and
give them practice in managing their time for a successful result. The agenda has all sections of the
sample exam being completed on Day 4 (as outlined in the course agenda) with appropriate time
being included for discussion. If class hours are running long due to class size and active
participation, some sections of the sample exam can be shortened.
10. COURSE REPORTING

After completion of the course, please submit the following by e-mail to the appropriate course
coordinator:
Completed Instructor Feedback Form A814.
Completed Electronic Onsite Roster.
Exam Summary Report - (A826) (1 per student)
Instructor Marking Matrix
At the conclusion of the course the instructor is to ship the graded exams to the course coordinator.
Instructors must record the start and finish times for each day, the amount of time for breaks and
lunch and the continuing assessment scores on the EMS Lead Auditor Marking Matrix.
Students should expect their certificates from BSI Management Systems within 4-6 weeks of
the completion of the course.
44
The assessment criteria for the re-sit examination are designed to meet the requirements of clause 4.4 of RABQSA
TP4.EMSLA.
11. PREREQUISITE EXERCISE REVIEW

Students are required to conduct a prerequisite exercise before attending the course. Answers to
the perquisite are included behind the Exercises Tab of the Instructor Manual. On Day 1, the
instructor must take 30 minutes to review students responses to the prerequisite exercise. The
instructor will also need to record students participation in this review on the electronic EMS Lead
Auditor Marking Matrix.
12. TRAINING ROOM SET-UP

Before beginning the course, the lead instructor must set up a laptop and LCD projector. Contact a
Training Coordinator to ensure the proper audio-visual equipment will be available for the course.
The Instructor should be in the training room at least 30 minutes prior to the start of the 1 st day to set
up equipment and greet the students.
Instructors should check in advance with the facility provider about lunch and refreshment details
See Appendix A to view a schematic of the preferred training room set-up for this course.
APPENDIX A PREFERRED TRAINING ROOM SET-UP
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ISO 14001:2004 Environmental Management Systems Lead Auditor Course

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ISO 14001:2004 Environmental

12110 Sunset Hills Road 6205 Airport Road

Course Code : EMS-042-01-EN-US

INSTRUCTOR GUIDE CONTENTS

INSTRUCTOR GUIDE CONTENTS..................................................................................2

Understand Environmental Management Definitions, Concepts, and Guidelines

Compare the types of audits and their objectives; including:

7. ADMINISTRATING THE EXERCISES

To earn a Certificate of Successful Completion, students must pass two criteria:

8.1 Continual Evaluation

Contribution to discussions, questioning of instructors, communication to the class, reporting

The continual evaluation score is determined by reference to the following scale:

A score of 1 = Very Poor

Exercises Continual Evaluation Points

A score of 1-2 = Very Poor

The 1-5 scoring scale is used for all other exercise.

8.2 Written Examination

Copies of the environmental standards (i.e., ISO 14001:2004, ISO 19011:2002)

8.3 Exam Re-sits

10. COURSE REPORTING

11. PREREQUISITE EXERCISE REVIEW

12. TRAINING ROOM SET-UP

APPENDIX A PREFERRED TRAINING ROOM SET-UP

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