p37 planning the audit
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Planning the auditTRANSCRIPT
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Planning the Audit
EPA Regions 9 & 10
and
The Federal Network for Sustainability
2005
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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)
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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!
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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.
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Auditing Skills
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What is an Auditor?
An EMS Auditor obtains and documents objective evidence to determine whether an organization’s EMS is in conformance with the appropriate standards and requirements.
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Auditor Attributes Discussion
Working with other participants, please list some of the positive and negative attributes of an EMS auditor.
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Auditor Qualification Criteria
• Professional Skills• People Skills• Personal Attributes
An effective auditor should possess a combination of:
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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
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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
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Personal Attributes
• Diplomatic• Tactful• Decisive• Fair and honest• Ethical
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Maintaining Auditor Skills
• Environmental science and technology• Aspects of facility operations• Environmental laws and regulations• Environmental management systems• Audit procedures, processes and techniques
To remain efficient, auditors should maintain their current knowledge of:
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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
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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.