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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 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.