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Planning the Audit


Planning the Audit EPA Regions 9 & 10 and The Federal Network for Sustainability 2005 Audit Planning Addresses the specifics of what, where, who, when and how: What ... – PowerPoint PPT presentation

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Title: Planning the Audit

Planning the Audit
  • EPA Regions 9 10
  • and
  • The Federal Network for Sustainability
  • 2005

Audit Planning
  • Addresses the specifics of what, where, who, when
    and how
  • What are the audit objectives?
  • Where will the audit be done? (i.e., scope)
  • When will the audit(s) occur? (how long?)
  • Who are the auditors?
  • Who are the initial interviewees?
  • How will the audit be done? (facility EMS
    procedure for auditing)

Audit Scope
  • Can all elements be done throughout facility at
    one time, or divide up throughout the year.
  • If divided, decide whether to do one element of
    the standard across the facility, or
  • All elements in parts of the facility,
  • Keep in mind consistency issue!

The Audit Team
  • Must collectively have knowledge of
  • EMS,
  • Auditing,
  • Process or activities,
  • Environmental legal and other requirements,
  • Environmental Science,
  • Any unique, site-specific needs.

Auditing Skills
What is an Auditor?
An EMS Auditor obtains and documents objective
evidence to determine whether an organizations
EMS is in conformance with the appropriate
standards and requirements.
Auditor Attributes Discussion
  • Working with other participants, please list
    some of the positive and negative attributes of
    an EMS auditor.

Auditor Qualification Criteria
An effective auditor should possess a combination
  • Professional Skills
  • People Skills
  • Personal Attributes

Professional Skills
  • Be detail oriented
  • Maintain independence and objectivity
  • Work in a systematic manner
  • Use an investigative approach
  • Identify appropriate sources of information
  • Relate to all levels of personnel
  • Use sound judgment based on objective evidence

People Skills
  • Be a good listener
  • Communicate clearly
  • Deal with people openly and freely
  • Use positive-feedback techniques
  • Discuss issues without arguing and be patient
  • Maintain the self-esteem of all parties

Personal Attributes
  • Diplomatic
  • Tactful
  • Decisive
  • Fair and honest
  • Ethical

Maintaining Auditor Skills
To remain efficient, auditors should maintain
their current knowledge of
  • Environmental science and technology
  • Aspects of facility operations
  • Environmental laws and regulations
  • Environmental management systems
  • Audit procedures, processes and techniques

Auditor Code of Ethics
  • Due professional care should be exercised by all
    auditors including
  • using care, diligence, skill and judgment
  • not disclosing information, unless required by
  • following procedures that provide for quality

Exercise 1
  • Read Facility Description, Facility Newsletter,
    Candidate descriptions, Fact Sheet for GovCo,
  • Group into Teams, Identify audit team (select
    appropriate candidates from candidate
    description, identify lead auditor,
  • Complete EMS Audit Plan.