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
Slide 3
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
Slide 4
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.
Slide 5
Some Examples from you!
• Aspects and Impacts
• Objectives/ Targets
• Indicators
• Actions
• Procedures
• EMPs and Responsibilities
Slide 6
Auditing
• What is an Audit?
• Why Conduct Audits?
Slide 7
What Needs to be Audited ?
• Environmental Management System
• Scope ?• How Often ?• When ?• By Who ?
Slide 8
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
Slide 11
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
Slide 12
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
Slide 13
Undertaking 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
Slide 14
Undertaking the Audit
Objective Evidence
In Depth Interviews
Specific Questions (from checklist)
Observations from Activities
Examination of Records
Slide 15
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
Slide 16
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
Slide 17
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
Slide 18
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
Slide 19
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
Slide 20
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
Slide 23
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
Slide 24
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
Slide 25
Corrective Action
• Procedures for Correcting Problems
• Action Plans
– WHAT– WHEN– WHO
• Responsibility Defined• Check Back - Verification• Monitor Future
Performance• Learn good practice
Slide 26
Preventative Actions
• Reducing Risk
– Procedures– Communication– Information– Training– Responsibilities– Preparedness– Audits– Reviews
Slide 27
Spotting Problems
• Formal
– Audits – Checks– Reviews– Performance
Analysis• Ad-Hoc
– Feedback
Slide 28
Management Review
• OK !
• Environment…..
• Looks Good….
• Moving on….
• Any Other Business….
• Have you heard my latest
ring tone ?
Slide 29
Management Review
• What ?…….
• You don’t mean we have
to go through all this
stuff….
• WHY ?
Exercise 2
Management Review
Slide 31
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
Slide 32
Make it Work for You
• Treat the Management Review as an Opportunity
– Management Attention
– Feedback and Input
– Documented Commitment
– Accountability
Management
Review
Slide 33
What does the Management Review Look Like ?
• What Format ?
• How Often ?
• How Long ?
• Can you Integrate into Other Meetings ?
Slide 34
Barriers
• What do you think will be the barriers for your management reviews ?
Slide 35
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
Slide 37
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.
Slide 38
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’.
Slide 39
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.
Slide 40
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.
Slide 41
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
Slide 42
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?
Slide 44
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
Slide 46
Stage 1
• Achievement Criteria
– Auditing Procedures
– Audit Programme
– Evidence of Audits Conducted
– Plans in Place for Reporting &
Reviewing Audit Findings
RETURN
Slide 47
Stage 2
• Achievement Criteria
– Responsibilities Defined for Undertaking Corrective or Preventative Action
– Corrective & Preventative Actions Agreed where Non Conformances are Identified
RETURN
Slide 48
Stage 3
• Achievement Criteria
– 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
Slide 49
Stage 4
• Achievement Criteria
– Evidence of Environmental
Performance Initiatives
RETURN
Slide 50
Stage 5
• Achievement Criteria
– Evidence of EMS Improvement
Initiatives
RETURN
Slide 51
Stage 6
• Achievement Criteria
– Review your EMS against ISO14001
• Pass your Assessment
RETURN