ABCs of EMS Auditing

1
ABCs of EMS Auditing

• EPA Regions 9 10
• and
• The Federal Network for Sustainability

2
Audit Evidence

• Look for
• Consistency of identified aspects and observed
  aspects
• Whether activities match procedures
• Employee awareness of relevant EMS elements
• Effectiveness of the non-conformance process
• Effectiveness and adequacy of the system
• Top management commitment to the EMS

3
Basic Rules of Auditing

• Be objective- i.e., look at evidence do not make
  assumptions or allow your views to affect the
  findings,
• Be fair and consistent,
• Stay focused on the criteria,
• Stay within the scope and plan,
• Do not finalize findings until you have
  sufficient evidence.

4
The Three Cs of Auditing EMS

• Conformance
• Meets the requirements
• (implements the shalls)
• Consistency
• Various elements inter-related
• (significant aspects reflected in procedures,
  considered in objectives and targets, etc.)
• Continual Improvement
• Mechanisms in place for improvement
• (including correcting non-conformances and
  progress towards objectives and targets)