secbe sdl accelerate ems willmott dixon – ellmer construction month 6 – audit and review 7 april...

SECBE SDL Accelerate EMS

Willmott Dixon – Ellmer Construction

Month 6 – Audit and Review

7 April 2008

Approach

Stage 1:Establishing Audit

Programmes

Stage 4Improving the EMS

Stage 2:Corrective &

Preventative ActionStage 3:

Management Review

Stage 6:Preparing for your

ISO14001 Assessment

Stage 5:Improving Environmental

Performance

Outline

• Auditing and Audit

Programming

• Exercise 1

• Corrective and

Preventative Action

• Management Review• Exercise 2• Outputs from

Management Review• Preparing for your

Assessment• Exercise 3• Questions & Answers

EMS Structure

– Your POLICY covers the most significant ASPECTS and IMPACTS

– OBJECTIVES and TARGETS support the commitments of the POLICY.

– INDICATORS track progress against TARGETS

– ACTIONS enable the organisation to meet their TARGETS.

– ACTIONS might require PROCEDURES to help control them.

– The EMP outlines activities for the operation of the EMS and RESPONSIBLITIES for carrying these out.

– The EMP highlights resource requirements.

Some Examples from you!

• Aspects and Impacts

• Objectives/ Targets

• Indicators

• Actions

• Procedures

• EMPs and Responsibilities

Auditing

• What is an Audit?

• Why Conduct Audits?

What Needs to be Audited ?

• Environmental Management System

• Scope ?• How Often ?• When ?• By Who ?

Audit Procedures

• ISO14001 requirement– Scope– Frequency– Responsibilities for Conducting Audits– Requirements for Auditors– How the Audits will be Conducted– How Results are Reported, and to Whom– How Audit Results are Followed Up

Typical Audit Procedure

Assessors &Auditors

Management Review

Planning and publishing the audit schedule

Responsibilities for audit activities

Selecting auditors

Audit notification

Audit preparation

Reporting findings

UNDERTAKING THE AUDIT

Raising non-conformances

Corrective Actions

Verify follow up activities

Audit report

Audit - Programming

– Clearly identify scope, who, and when

– How much of the system will be audited at each audit?

– Avoid busy periods– Make audits manageable– Monitor past audits for

problem areas– Ensure programme

reflects importance– Monitor progress

against schedule

Preparing for an Audit

– Establish the scope of the Audit

– Review past Audits– Obtain relevant

procedures– Gain understanding of

the EMS requirements– Prepare introductory

questions / checklist– Use pre-formatted

questionnaires if appropriate

Undertaking the Audit

• The Opening Meeting– Introduce the team– Explain the purpose of the audit– Discuss audit plan inc.

timescales and closing meeting• The Audit

– Follow the checklist agree areas of non conformance

• The Closing Meeting– A summary and verification of

the audit findings– Discuss the findings of the audit


• Conducting Audits– Record Questions and

Responses - and Who– Collect Evidence– Ask Open Questions– Probe Areas in Doubt– Help Auditees– Avoid Confrontation– Be Open About Findings– Don’t get Side Tracked


Objective Evidence

In Depth Interviews

Specific Questions (from checklist)

Observations from Activities

Examination of Records

Concluding Audits

• Follow Up & Closure– Feedback summary of findings – Identify both Conformances and

Non-Conformances– Agree action to rectify NCF’s– Agree timeframe and who is

responsible– Sign, date, and correctly reference

audit records– Identify status of audit report [e.g.

CARs Outstanding]– Verify corrective actions– Close off audits and retain,

accessibly, for period as specified

Typical EMS Audit Reporting Structure

Evidence collected during the audit

Requirements of ISO 14001 or procedure criteria

EMS Auditors Internal Meeting

ConformanceNon-Conformance

Observa’s Major NCF Minor NCF

Agree follow up activities with timescales

EMS Audit conclusions presented in report by auditors

VERIFY

Auditor Competence

• Assessors will check audits for evidence that the system is being maintained

• They will look at the quality of the audits

• Competence:

– Experience– Knowledge– Training

Audit Programmes

• Operational

– Focus on Activities– Focus on Abnormal or

Irregular Situations• Management System

– Focus on the management requirements stipulated in the EMS

OperationsEmergencies

MANAGEMENT

What Needs Auditing ?

• Operations– Procedures

• Operational

• Irregular

• Emergency

– Activities– Processes– Products– Sites, Areas or

Sections– Contracts– Teams or Shifts– Individuals

• Management

– Responsibilities– Procedures

• Legislation

• Aspects and Impacts

• Training

• Communication

• Auditing

• Document Control

– Clauses• Policy

• EMP

• Management Review

• Records

Establishing an Audit Programme

• What Constitutes an Audit ?

– Checks, Tests, Drills, Client Inspections, Third

Party Assessments

• Think how you can integrate existing practices

• Make the scope of audits manageable

• Schedule audits thoughtfully

• Communicate with auditors and auditees

• Make allowance for spot audits

Exercise 1

Audit Programming

Lunchtime

Corrective & Preventative Action

• What do you do if you find a problem ?

• What do you do if you spot a potential problem ?

• What do you do to try and identify problems before they occur ?

• What do you do to prevent a problem re-occurring

ISO14001 Requirements

• Define Responsibility & Authorities for:

– Handling & Investigating– Taking Action

• To mitigate• To prevent in future

• Appropriate Response to Nature & Impact of Non-Conformance

• Update any Procedures as a Result

Corrective Action

• Procedures for Correcting Problems

• Action Plans

– WHAT– WHEN– WHO

• Responsibility Defined• Check Back - Verification• Monitor Future

Performance• Learn good practice

Preventative Actions

• Reducing Risk

– Procedures– Communication– Information– Training– Responsibilities– Preparedness– Audits– Reviews

Spotting Problems

• Formal

– Audits – Checks– Reviews– Performance

Analysis• Ad-Hoc

– Feedback

Management Review

• OK !

• Environment…..

• Looks Good….

• Moving on….

• Any Other Business….

• Have you heard my latest

ring tone ?

Management Review

• What ?…….

• You don’t mean we have

to go through all this

stuff….

• WHY ?

Exercise 2

Management Review

ISO14001

• Requirements

– Review of the EMS– Documented

• Review shall address

– Policy– Objectives– Other Elements of the EMS

• In light of Audit Results• Changing Circumstances• Commitment to Continual Improvement

Make it Work for You

• Treat the Management Review as an Opportunity

– Management Attention

– Feedback and Input

– Documented Commitment

– Accountability

Management

Review

What does the Management Review Look Like ?

• What Format ?

• How Often ?

• How Long ?

• Can you Integrate into Other Meetings ?

Barriers

• What do you think will be the barriers for your management reviews ?

Good Practice

• What might you do to overcome some of these barriers ?

• What do you think is good practice when holding management reviews ?

• What do you think should be the outputs from a management review ?

Exercise 3

Preparing for Your

ISO14001 Assessment

Preparing for your ISO14001 Assessment

• Familiarise yourself with the clauses and requirements of ISO14001 and how they apply to your organisation.

• Check through the requirements of the standard to test if you can demonstrate that your organisation’s EMS has met them.

• Ensure that any improvement requirements previously identified by your assessor have been addressed.

• Ensure that any schedules developed (e.g. audits, management reviews) have been maintained.

• Avoid introducing unnecessary bureaucracy at the last minute. If the system is working (and you can prove it) this is often the best evidence.

Preparing for your ISO14001 Assessment cont.

• Allow enough time in your preparation, as you don’t know what corrective action you might discover is needed.

• Make sure all documentation that will be required during the assessment is to hand and in a legible format for the assessor to review.

• Communicate to all personnel and sub-contractors about the assessment in advance. Key personnel might need more notice to make their own preparations.

• Conduct a last minute check of the site, looking for obvious signs of problems.

• Present a good first impression to the assessor which shows that the ‘management of the environment is a priority at your organisation’.

Some Tips

• Verify that the EMS meets the requirements of each clause of ISO14001.

• Check that the EMS has actively been maintained since the Acorn Method Audits.

• Check that the EMS documentation remains applicable if activities have changed.

• Ensure that the EMS documentation has been distributed correctly.

• Check the knowledge of employees and sub-contractors relative to their involvement within the EMS.

Some Tips cont.

• Undertake briefing sessions with employees and sub-contractors where EMS knowledge has been forgotten.

• Check that all records are in place and are up to date.

• Check the housekeeping of the site to verify that it continues to be compliant with the EMS.

• Contact your certification agency before the audit to discuss their requirements and the itinerary for the audit.

Assessments:DON’Ts

• Be defensive or too

confrontational

• Try and bluff your way out

• Try and lead the auditor

• Be obstructive

• Try and waste time

• Talk for others

Assessments:DO’s

• Notify people• Brief people• Involve Top Management • Make the system visible• Present a competent image • Be objective• Show eagerness to learn• Be helpful• Emphasise your successes• Explain plans for the future• Be honest

• Any Questions?

Summary

• Audit Programming

• Corrective Action

• Preventative Action

• Management Review

• Outputs from the Management Review

• Preparing for your ISO14001 Assessment

• Revisit outputs from the day

• Personal Action Plans

• Feedback Forms

Question & Answers

Stage 1:Establishing Audit

Programmes

Stage 4Improving the EMS

Stage 2:Corrective &

Preventative ActionStage 3:

Management Review

Stage 6:Preparing for your

ISO14001 Assessment

Stage 5:Improving Environmental

Performance

Stage 1

• Achievement Criteria

– Auditing Procedures

– Audit Programme

– Evidence of Audits Conducted

– Plans in Place for Reporting &

Reviewing Audit Findings

RETURN

Stage 2


– Responsibilities Defined for Undertaking Corrective or Preventative Action

– Corrective & Preventative Actions Agreed where Non Conformances are Identified

RETURN

Stage 3


– Schedule of Management Reviews– Evidence that Reviews Assess the

Continuing Suitability and Effectiveness of the EMS :

• Results from Audits• Performance against Objectives and Targets• Concerns among relevant interested parties• Policy, Objectives, and Procedures• Changing Circumstances

RETURN

Stage 4


– Evidence of Environmental

Performance Initiatives

RETURN

Stage 5


– Evidence of EMS Improvement

Initiatives

RETURN

Stage 6


– Review your EMS against ISO14001

• Pass your Assessment

RETURN

secbe sdl accelerate ems willmott dixon – ellmer construction month 6 – audit and review 7 april...

Documents

audit scheduleresponsibilities

audit programmingexercise

audit findingsdiscuss

audit programmingclearly

whomhow audit results

auditdiscuss audit plan

schedule slide

questions answersslide