CPEA flashcards

38 cards. Read the term and the definition here. The deck at the top of this page is optional.

Audit criteria

The set of policies, procedures, regulations, permit conditions, and standards against which conformity is judged. Criteria must be defined and communicated before fieldwork begins.

Audit evidence

Records, statements of fact, observations, and measurements that are verifiable and relevant to the audit criteria. Findings must be traceable back to recorded evidence.

Major nonconformity

A systemic failure or absence of a required control that creates significant risk or likely regulatory breach. It typically requires containment and corrective action before the next scheduled audit.

Minor nonconformity

An isolated lapse in an otherwise functioning control, with limited risk and no evidence of system breakdown. It still requires root cause analysis and verified correction.

Observation finding

A condition that presents risk or weak practice but does not clearly breach a defined requirement. It is reported for improvement without a formal nonconformity grade.

Opening meeting purpose

Confirms scope, criteria, schedule, methods, confidentiality, safety arrangements, and the closing meeting plan. Attendance and any scope changes are recorded.

Sampling rationale

The documented justification for how many records, locations, or people were examined. It should reflect risk, control history, and population variability rather than convenience.

Auditor independence

Auditors must not assess activities they performed or managed within the review period. Any impairment is declared and mitigated in writing before fieldwork.

Permit condition traceability

Each permit condition should map to an operating procedure, a monitoring frequency, and a reporting obligation. Missing links are common audit findings.

Calibration record check

Confirms the instrument used for compliance monitoring was calibrated against a traceable standard within its stated interval, and that out-of-tolerance units were withdrawn.

Averaging period mismatch

Comparing a monitoring result to a permit limit using the wrong averaging time. This is a frequent cause of false exceedance conclusions during audits.

Waste accumulation start date

The date hazardous waste first enters a container, which starts the accumulation clock. Auditors verify the date is marked and within allowed storage time.

Manifest traceability

The chain of documentation linking waste generation to the permitted disposal facility. Auditors confirm the final destination and that returned copies are on file.

Stormwater inspection evidence

Records showing required site inspections occurred at the specified frequency, with identified deficiencies and documented corrective actions closed out.

Chemical threshold aggregation

Totaling a substance across all containers and locations on site to test storage-limit and emergency-planning thresholds. Failure to aggregate is a common finding.

Hierarchy of controls

Ranking of hazard controls from elimination and substitution through engineering and administrative controls to PPE. Reliance on PPE alone is audited as a control-adequacy gap.

Similar exposure group

A group of workers with comparable exposure profiles due to similar tasks, materials, and conditions. Exposure sampling is designed around these groups.

Respirator fit testing

Documented evidence that a tight-fitting respirator seals on the individual user, repeated at the required interval. Records must match the model actually issued.

Energy control procedure

A machine-specific lockout/tagout document listing all energy sources, isolation points, stored-energy dissipation steps, and verification of de-energization.

Permit-required confined space

A space with a hazardous atmosphere, engulfment potential, or configuration that could trap or asphyxiate. Entry requires a permit unless documented otherwise.

Near miss recording

Documentation of events that could have caused harm but did not. Auditors check near misses are captured, investigated, and used to drive corrective action.

Audit program cycle

The repeating sequence of setting objectives, planning, conducting audits, reporting, verifying corrective action, and reviewing program performance to inform the next cycle.

Corrective action effectiveness check

Verification that an implemented action actually removed the root cause and the condition has not recurred. Closing on the action plan alone is insufficient.

Repeat finding rate

The proportion of findings that recur from prior audits. A high rate points to weakness in root cause analysis and corrective action, not individual performance.

Risk-based audit frequency

Scheduling audits by hazard severity, regulatory exposure, recent change, and past performance. Higher-risk activities are audited more often and in greater depth.

Document control test

Checks that the current revision is available at the point of use, obsolete copies are removed or marked, and changes were approved by the originating function.

Finding structure

A finding states the requirement, the objective evidence, and the gap. This structure makes the finding verifiable and defensible during dispute.

Imminent danger notification

Immediate escalation to site management when an audit reveals a condition likely to cause serious harm. Time, condition, and response are documented.

Open-question interviewing

Asking workers to describe how a task is actually performed before confirming specifics. It reduces coached answers and reveals real practice.

Dissenting view documentation

When management disputes a finding, the disagreement is recorded with the evidence and criterion. Findings are not removed to resolve conflict.

Management of change review

For process, chemical, or equipment changes, auditors verify hazard review before implementation, updated procedures, training, and permit or notification updates.

Chain of custody

Documentation tracking a sample from collection through analysis, showing who handled it and when. It protects the evidential value of monitoring results.

Legal register currency

Confirmation that the compliance register reflects requirements in force at the audit date, including amendments still within transition periods.

Training effectiveness evidence

Records showing training occurred before task assignment, plus confirmation that workers can describe the hazard controls relevant to their own job.

Significant environmental aspect

An activity or product element with or potentially having a significant environmental impact, considering normal, abnormal, and emergency conditions.

Residual risk grading

Risk remaining after corrective action is applied. It sets the verification priority and interval for closing the finding.

Secondary containment check

Verification that containment capacity and condition can hold a release, that drainage is protected, and that spill response equipment is available and inspected.

Waste vendor due diligence

Evidence that disposal contractors hold required permits and acceptable EHS performance, reviewed periodically rather than only at contracting.