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Planning the Audit

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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


1
Planning the Audit
  • EPA Regions 9 10
  • and
  • The Federal Network for Sustainability
  • 2005

2
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)

3
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!

4
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.

5
Auditing Skills
6
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.
7
Auditor Attributes Discussion
  • Working with other participants, please list
    some of the positive and negative attributes of
    an EMS auditor.

8
Auditor Qualification Criteria
An effective auditor should possess a combination
of
  • Professional Skills
  • People Skills
  • Personal Attributes

9
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

10
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

11
Personal Attributes
  • Diplomatic
  • Tactful
  • Decisive
  • Fair and honest
  • Ethical

12
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

13
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
    law
  • following procedures that provide for quality
    assurance

14
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.
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