Transcript Getting the most out of Document Review

Getting the most out of
Document Review
David Chatfield
David Chatfield Associates
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Overall Process
• Communicate to and involve Team
Members in the process
• Identify and select an auditor
• Set up Document Review arrangements
• Prepare the checklist
• Compile the supporting documentation
and send to auditor
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Overall Process - continued
• Respond to auditor’s phone questions
• Review the report and clarify any
misunderstandings
• Communicate the report to the team
• Develop an action plan to address the non
conformances
• Complete the action plan
• Prepare for the on site audit
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Communicate to and involve Team
Members in the process
• Implementing and maintaining a management
system is a team effort
• Present to the Management Team the overall
EHS&S management system and confirm their
roles
• Brief all employees on the status of the
management system development
• Emphasize the value that this type of EHS&S
management system brings to a facility
• Get people involved
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Identify and select an auditor
• SOCMA has a list of approved auditors
• The selected auditor needs to be independent and objective.
– The selected auditor will not have been involved in the design of your
EHS&S management system
– Consider the independence aspect (financial stake, family member, ex
employee)
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Review the auditor’s procedure for carrying out the audit
Confirm availability
Cost & terms (including close out arrangements)
Usual company procedures for approving vendors
Need for confidentiality agreement
Need for background check
Agree scope (tier, facility, excluded operations)
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Set up Document Review
arrangements
• Agree when the package is going to be received
by the auditor
• Agree format of the package (electronic, hard
copy, mixture)
• Agree when auditor will complete the review
• Leave time for clarifying misunderstandings
• Leave time for agreeing an
action plan
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Prepare the checklist
• Use the input for the PEV as a starting
point for the description of practices
• Update with the improvements you have
made since the PEV
• Cover E, H, S, & S
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Compile the supporting
documentation & send to Auditor
• Identify the key documents that describe the
management system procedures
• Provide examples that the procedure has been
implemented
• Consider if there is anything that should be confidential
and how that will be handled particularly security
procedures
• Master lists of operational controls can demonstrate the
breadth of your system
• Master list of all EHS&S documents is very useful
• Table of contents of certain procedures such as the
Emergency Plans is very useful
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Respond to auditor’s phone
questions
• Phone call clarification is very likely
• Try not to be defensive
• However support your system if it works
for you
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Review the report and clarify any
misunderstandings
• Make sure you understand the auditors
opinion
• Contact the auditor if you believe the
auditor has not understood your
management system
• If you disagree with the auditor there is a
resolution process
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Communicate the report to the
team
• The auditor will identify some of your best
practices. This is an opportunity to
reinforce those good practices
• Communicate the non conformances and
the underlying issues
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Develop an action plan to address
the non conformances
• Get team involvement
• Get the Facility Manger to sign off on the
action plan
• Get the Auditor to agree that the action
plan is acceptable
• Prioritize on the most important
• You have 6 months (at least) to close out
• Include time for auditor close out
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Complete the action plan
• Completion of the action plan includes
close out by the auditor
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Prepare for the on site audit
• Keep the team involved
• Build your management system (continual
Improvement)
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Contact Details
David Chatfield
David Chatfield Associates LLC
13 Quail Run
Newburyport, MA 01950
P: 978 764 9040
F; 978 935 9004
E: [email protected]
W: www.davidchatfield.com
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