SECBE SDL Accelerate EMS Willmott Dixon – Ellmer Construction Month 6 – Audit and Review 7 April 2008

Approach Stage 1: Establishing Audit Programmes Stage 4 Improving the EMS Stage 2: Corrective & Preventative Action Stage 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 or procedure criteria EMS Auditors Internal Meeting ConformanceNon-Conformance Observa’sMajor NCFMinor 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 Operations Emergencies MANAGEMENTMANAGEMENT

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 ISO 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 4 Improving the EMS Stage 2: Corrective & Preventative Action Stage 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