SECBE SDL Accelerate EMS

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

2. Approach Stage 1: Establishing Audit Programmes Stage 2: Corrective & Preventative Action Stage 3: Management Review Stage 4 Improving the EMS Stage 5: Improving Environmental Performance Stage 6: Preparing for your ISO14001 Assessment

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

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.

5. Some Examples from you! Aspects and Impacts Objectives/ Targets Indicators Actions Procedures EMPs and Responsibilities

6. Auditing What is an Audit? Why Conduct Audits?

7. What Needs to be Audited ? Environmental Management System Scope ? How Often ? When ? By Who ?

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

9. Typical Audit Procedure Planning and publishing the audit schedule UNDERTAKING THE AUDIT Responsibilities for audit activities Reporting findings Raising non-conformances Selecting auditors Corrective Actions Audit notification Verify follow up activities Audit preparation Audit report Assessors & Auditors Management Review

10. 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

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

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

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

14. Undertaking the Audit In Depth Interviews Objective Evidence Observations from Activities Examination of Records Specific Questions (from checklist)

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

16. Typical EMS Audit Reporting Structure Evidence collected during the audit Requirements of ISO 14001 or procedure criteria EMS Auditors Internal Meeting Non-Conformance Conformance Observa’s Major NCF Minor NCF EMS Audit conclusions presented in report by auditors Agree follow up activities with timescales VERIFY

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

18. Audit Programmes Operational Focus on Activities Focus on Abnormal or Irregular Situations Management System Focus on the management requirements stipulated in the EMS M A N A G E M E N T Operations Emergencies

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

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

21. Exercise 1 Audit Programming

22. Lunchtime

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

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

25. Corrective Action Procedures for Correcting Problems Action Plans WHAT WHEN WHO Responsibility Defined Check Back - Verification Monitor Future Performance Learn good practice

26. Preventative Actions Reducing Risk Procedures Communication Information Training Responsibilities Preparedness Audits Reviews

27. Spotting Problems Formal Audits Checks Reviews Performance Analysis Ad-Hoc Feedback

28. Management Review OK ! Environment….. Looks Good…. Moving on…. Any Other Business…. Have you heard my latest ring tone ?

29. Management Review What ?……. You don’t mean we have to go through all this stuff…. WHY ?

30. Exercise 2 Management Review

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

32. Make it Work for You Treat the Management Review as an Opportunity Management Attention Feedback and Input Documented Commitment Accountability Management Review

33. What does the Management Review Look Like ? What Format ? How Often ? How Long ? Can you Integrate into Other Meetings ?

34. Barriers What do you think will be the barriers for your management reviews ?

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 ?

36. Exercise 3 Preparing for Your ISO14001 Assessment

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.

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’.

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.

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.

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

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

43. Any Questions?

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

45. Question & Answers Stage 1: Establishing Audit Programmes Stage 2: Corrective & Preventative Action Stage 3: Management Review Stage 4 Improving the EMS Stage 5: Improving Environmental Performance Stage 6: Preparing for your ISO14001 Assessment

46. Stage 1 Achievement Criteria Auditing Procedures Audit Programme Evidence of Audits Conducted Plans in Place for Reporting & Reviewing Audit Findings RETURN

47. Stage 2 Achievement Criteria Responsibilities Defined for Undertaking Corrective or Preventative Action Corrective & Preventative Actions Agreed where Non Conformances are Identified RETURN

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

49. Stage 4 Achievement Criteria Evidence of Environmental Performance Initiatives RETURN

50. Stage 5 Achievement Criteria Evidence of EMS Improvement Initiatives RETURN