challenge your audit process march 2016
TRANSCRIPT
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The world’s leading sustainability consultancy
Challenge Your Audit ProcessMarch, 2016
The world’s leading sustainability consultancy
Questions..
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Who has been audited?
Who has served as an auditor on an audit team?
What value do you feel you received as a result of the audit?
� High
� Fair
� Low
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The world’s leading sustainability consultancy
Audit…
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“The systematic examination to determine whether activities
and related results conform to planned arrangements and
whether these arrangements are implemented effectively and
are suitable for achieving the organization’s policy and
objectives.”
- OHSAS 18001 definition of an audit
The world’s leading sustainability consultancy
Audit…
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“The systematic examination to determine whether
activities and related results conform to planned
arrangements and whether these arrangements are
implemented effectively and are suitable for achieving the
organization’s policy and objectives.”
- OHSAS 18001 definition of an audit
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The world’s leading sustainability consultancy
Audit Different than Inspection?
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Periodic
Formal
Comprehensive
Process-Based
Conducted by specialists
Involves people
Frequent
Calendar-based
More focused
(equipment or Dept.)
Checklist-based
Physical in nature
Au
dit
Ins
pe
ctio
n
Encourages “deep dive”
into issues and analysis to
identify system failures
Encourages routine
identification & correction of
hazards
The world’s leading sustainability consultancy
Why Audit?
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� Provide assurance
� Organization policies, procedures, standards
� Regulatory compliance
� Identify best practices
� Identify opportunities for improvement
� Identify potential liabilities
� Foster transparency
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The world’s leading sustainability consultancy
Why Audit?
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� Provide assurance
� Organization policies, procedures, standards
� Regulatory compliance
� Identify best practices
� Identify opportunities for improvement
� Identify potential liabilities
� Foster transparency
PREVENT INJURIES!
The world’s leading sustainability consultancy
Typical EHS Audit Process
Audit Planning Stage (3-6 months)
Audit Team Identified
Logistics Planning
Protocol Development
Pre-Audit Questionnaire
On-Site Visit
Opening Meeting
Site Overview Tour
Gathering Evidence
(interviews, records review, inspection, etc.)
Closing Meeting
Reporting
Exception-Based Report
Regulatory Citations
Suggested Corrective Action
Corrective Action
Assignment of Responsibilities
Assignment of Timelines
Documenting Closure
Report-backs to Corporate
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The world’s leading sustainability consultancy
Shortcomings of Compliance Audits…
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Responsibility
for follow up
becomes a “one
man show!”
“Audits are more
focused on paper
and process than
people!”
“It’s just a part of
the game. We’ve
learned how to
survive an audit.”
“The last
thing I need
another list
of to-do’s.”
“We’re from
Corporate and
we’re here to
help!”
The world’s leading sustainability consultancy
Challenging Your Audit Process…“A Better Way…”
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The world’s leading sustainability consultancy
Participate Actively.
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Get the audit protocol!
Plan, plan, plan!! (Months ahead of time..)
Be transparent…[Don’t forget your MISSION as a safety
professional!]
Hold others accountable!
� Places ownership/responsibility where it should be
� Increases awareness of H&S matters
� Frees your time to be a resource and a leader
� Improves safety integration by involving more people in the process
The world’s leading sustainability consultancy
Active Planning…
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The world’s leading sustainability consultancy
Corrective / Preventive Action Planning
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Is there a difference?
� Corrective Action – Elimination of root cause of a problem.
Permanent.
� Preventive Action – Elimination of cause of a problem which has not
occurred.
Not every Corrective Action requires a Preventive Action
(Analysis…)
CAPA typically required by corporate
The world’s leading sustainability consultancy
Corrective / Preventive Action Planning
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The world’s leading sustainability consultancy
More Work….More Value
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Assess each finding independently (projected date?)
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Enter Risk into the Equation…
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Risk vs. Compliance (i.e., regulatory findings vs. “other stuff”)
“Other Stuff” is an indicator of true safety culture
� How housekeeping is managed (or not)
� How unsafe postures/ergonomics are handled (or not)
� How aerosol cans are managed (or not)
� “Minor” slip/trip hazards
� Labeling
� Etc.
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The world’s leading sustainability consultancy
More Work….More Value
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Manage the “Other Stuff” list and manage it aggressively!
What are you really saying?
The world’s leading sustainability consultancy
� Don’t (ever) lose sight of our mission
� Be an active participant in the audit process
� Be transparent
� Corrective Action planning – value in, value out!
� Pay attention to the small stuff!
Summary
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The world’s leading sustainability consultancy
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Matthew J. Boardman, CSPEnvironmental Resources Management, Inc.[616] [email protected]