Week 9 Review

Question 1

What is Auditing?

Answer 1

Systematic, independent and documented process for obtaining objective evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled.

Question 2

What is an audit client?

Answer 2

Organization or person requesting an audit.

Question 3

What is an auditee?

Answer 3

Organization as a whole or parts them of being audited.

Question 4

What is an auditor?

Answer 4

A person who conducts the audit.

Question 5

What is an audit team?

Answer 5

One or more persons conducting an audit, supported id needed by technical experts.

Question 6

What are not classified as audits under ISO 19011?

Answer 6

It is key to know that audit is used a lot to descirbe analysis and data collection
○ Waste audits are not audits
○ Energy audits are not
○ Phase I EIA is not an audit

Question 7

What are auditor challenges and limitations.

Answer 7

• Auditor independence is key
  
  • Maintain objectvity from ISO 19011
    ○ Internal audits are done either by the organization or on behalf them
    ○ External audits are done by second or third part individuals.
    § Second party audits can be done by consumers who have an interest in the organization
    § Third party audits are conducted by independent auditing organizations, such as those providing certification/registration of confomrity or governmental agencies.
  • Auditors do not provide advice they identify non-conformancies and may provide corrective action

Question 8

Basic steps to auditing from ISO 19011:2018

Answer 8

• Planning
  ○ Document review
  ○ On-site prepare/plan
  
  • Conduct
    ○ Meetings
    ○ Collect evidence
    ○ Present findings to auditee
  • Report
    ○ Formal report client

Question 9

The Steps in detail

Answer 9

Step 1 Planning
- Be professional and organized
- Establish clients
- Clarify audits
- Review available documents before site vist
○ Manuals, records, reports, from the auditee
- Asses audit risks
Step 2 Conduct
- Opening meeting
- Evidence
○ Documentatition & review
○ Interviews with people
○ Obervation of facility
- Evaluate evidence against audit criteria - with audit team
- Closing meeting with auditee
Intial Findings to auditee
- Team develops findings when conducting the audit
- Communicare ro auditee at closing meeting on-site
Step 3 Report goes to client
- Prepare audit report
- Clear and concise
- Executive summary
Reflection
- Evidence is typically over last year operation
○ Using history to support future
○ Continual improvement loop
- Not an inspection
- Not hunting for non-conformancies