challenge your audit process march 2016

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The world’s leading sustainability consultancy

Challenge Your Audit ProcessMarch, 2016


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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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


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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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


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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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!


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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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!”


Challenging Your Audit Process…“A Better Way…”

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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


Active Planning…

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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


Corrective / Preventive Action Planning

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More Work….More Value

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Assess each finding independently (projected date?)


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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More Work….More Value

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Manage the “Other Stuff” list and manage it aggressively!

What are you really saying?


� 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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Matthew J. Boardman, CSPEnvironmental Resources Management, Inc.[616] [email protected]

challenge your audit process march 2016

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