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1. General overview of the audit program
1.1 Frequency and scope of audits - Audits are performed at a frequency determined to be appropriate by the EMS
Coordinator.
At a minimum each EMS core element will be audited at least once
per year.
The Schedule of Past and Planned Audits
summarizes the audit schedule, the general scope of audits and audit
results/reports.
The scope and frequency of audits are determined based
on consideration of the following:
- the importance of activities
- the results of previous audits
- the results of management reviews
- the base's performance versus established EMS objectives and targets
1.2 Staffing of audit teams - The base strives to develop
audit teams that possess the overall expertise and skills needed to conduct
EMS audits that provide sufficient benefit to the EMS. When selecting
EMS auditors, consideration is given to
the following criteria:
- Competence - auditors should possess the appropriate combination of
knowledge, skills and experience to perform audit responsibilities
- Objectivity - auditors should be independent of the activities they audit;
they should be free from bias and conflict of interest throughout the audit
process
All audits are conducted by appropriately trained and
qualified auditors, as described in the
STRUCTURE AND RESPONSIBILITY and
TRAINING
EMS elements.
The base may elect to use internal or external resources, or a
combination of both, to conduct EMS audits. Audit teams may
consist of one or more trained, qualified auditors. A Lead Auditor is
designated for all EMS audits.
1.3 Due professional care and confidentiality - Auditors should use
a level of care, diligence, and judgment expected of any auditor in similar
circumstances while conducting a EMS audit. Unless required by law, EMS
auditors are not permitted to disclose information or documents obtained
during or after the audit, including the audit report, to any third party
without written approval of the EMS Core Team.
2. The audit process - EMS audit activities are
performed in a three-stage process that includes: preparation, evaluation and
reporting. Each of the stages of the base's EMS audit process are described below.
2.1 Audit preparation - The EMS Coordinator and
the designated Lead Auditor collaborate to complete an Audit Plan prior
to each EMS audit (view
September 2007 Internal Audit Plan and Summary Report). The Audit Plan
establishes audit objectives, scope, criteria,
staffing, reporting requirements, etc.
The Lead Auditor notifies personnel who will
be affected by the audit (including audit team members and those being
audited) within a reasonable time period prior to the audit.
The Lead Auditor prepares the audit team to
conduct the audit. This includes providing audit team members with the audit
plan, audit assignments and relevant supporting documentation (e.g.,
protocols, checklists, procedures, previous audit reports, etc.). The Lead
Auditor also consults with audit team members prior to the audit to verify
that they have reviewed the necessary audit information and clearly understand
their audit assignments.
Each auditor is responsible for reviewing the documentation that is
provided to them by the Lead Auditor to develop an understanding of the
objectives and scope of the audit and the nature of the installation's EMS.
2.2 Evaluation of the EMS - The overall objective of
the audit program is to evaluate the installation's existing EMS against the USMC EMS
Conformance Guide and against the
installation's documentation
describing that system. This objective is accomplished by the
audit team's evaluation of the implementation and effectiveness of the EMS. The following activities are performed during the
evaluation phase of the audit:
- Opening meeting - The Audit Team holds a brief opening meeting
with affected installation personnel to review the scope, plan and schedule for the audit.
- Evaluation/audit activities - Using their
audit protocol checklists as
guides and conducting interviews with appropriate installation personnel, the audit team
separates and gathers objective evidence (e.g., controlled
documents, records and confirmed statements) to verify conformance to EMS
requirements. Activities may include: interviews with
installation personnel, review of pertinent records, observation of activities and
processes, etc. Auditors must maintain notes of audit activities so that
nonconformance items/audit findings can be effectively described during the
reporting phase of the audit.
- Closing meeting - The audit team holds a closing meeting with
affected personnel to review the preliminary findings of the audit and clarify any open or
inaccurate items.
2.3 Reporting - The Lead Auditor directs the following reporting
efforts:
3. Audit follow-up and corrective action - Audit findings that require corrective action are
managed in accordance with the
PROBLEM SOLVING
EMS element.
It is the responsibility of the personnel being audited, not the audit team
members, to handle correction action associated with audit findings.
Audit reports, including audit findings and the results of related
corrective action, are reviewed by the installation's Environmental Leadership Council
while
performing MANAGEMENT REVIEW.
4. Review by EMS Management Review Team - The EMS
Management Review Team of MCAS Miramar reviewed the EMS program
developed by the EMS Core Team. The EMS
Management Review Team determined that the program is aligned with the HQMC
Conformance Guide and has met the deadlines for implementation December 31,
2005 and full conformance December 31, 2007.
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