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.
6. 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.
8. Auditor Qualification Criteria
• Professional Skills
• People Skills
• Personal Attributes
An effective auditor should possess a
combination of:
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
12. 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:
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.
