Getting the most out of document review
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Getting the most out of Document Review. David Chatfield David Chatfield Associates. Overall Process. Communicate to and involve Team Members in the process Identify and select an auditor Set up Document Review arrangements Prepare the checklist

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Getting the most out of Document Review

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Getting the most out of document review

Getting the most out of Document Review

David Chatfield

David Chatfield Associates

1


Overall process

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

2


Overall process continued

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

3


Communicate to and involve team members in the process

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

4


Identify and select an auditor

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)

  • 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)

5


Set up document review arrangements

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

6


Prepare the checklist

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

7


Compile the supporting documentation send to auditor

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

8


Respond to auditor s phone questions

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

9


Review the report and clarify any misunderstandings

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

10


Communicate the report to the team

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

11


Develop an action plan to address the non conformances

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

12


Complete the action plan

Complete the action plan

  • Completion of the action plan includes close out by the auditor

13


Prepare for the on site audit

Prepare for the on site audit

  • Keep the team involved

  • Build your management system (continual Improvement)

14


Contact details

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

15


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