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 of:

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 law
following procedures that provide for quality assurance

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.