Stuart Malem & Donna O’Brien Regional Assessors

2. Stuart Malem & Donna O’BrienRegional Assessors

3. Let’s start this with a quick game Put your hand up if you have heard the phrase “don’t shoot the messenger”? OK, if we all keep that at the forefront of our minds for the next 60 minutes we should get through this just fine!

4. Honesty My name is Stuart Malem and I have carried out soft audits.

5. Wikipedia defines a soft audit as: “An integrated audit approach that focuses on the key and material components of four differing audit approaches relevant to an auditee, based on a detailed risk assessment performed annually” Sounds good doesn’t it?

6. What do we think it means? • Not carrying out a thorough audit? • Overlooking system inadequacies? • Overlooking nonconformances? • Letting the documented management system get left behind and just auditing the processes? • Not understanding the Company’s activities to be able to identify nonconformance? • Not being aware of current legislation? • Not covering basic mandatory requirements? • Raising OFI’s instead of minors and minors instead of majors? • Covering basic requirements but not auditing specifics such as Highways Sector Schemes?

7. General Issues 9001/14001/18001 • Site tour not being carried out / recorded within the report at stage 1 / 2 • Confirmation of processes not being confirmed / recorded within the report at stage 1 / 2 • Type of system implemented and how this is available at stage 1 • How long the system has been implemented for at stage 1 • Where a site visit is required to confirm scope activities this is not being planned appropriately within the 3 year cycle • Management reviews not covering all specified inputs / outputs

8. General Issues 9001/14001/18001Continued • Internal audits not being carried out by impartial person to the activity / covering the entire management system / or addressing internal issues • Sector scheme requirements not being covered e.g. highways • Close out of previous findings – understanding of C/P actions • Not escalating previous findings were no C/P actions have been implemented • Use of NQA logo • Internal procedures not reflecting actual working practice • Objectives and targets

9. Common ISO9001 issues • Scope not defined or scope documented within the management system but differing from that agreed with NQA and appearing on certificate • Exclusions not detailed or cannot be justifiably excluded • Process interaction not detailed within the management system • Mandatory procedures not in place • Policy statement not including all specified requirements

10. Common ISO14001 issues • No confirmation documented within the management system in relation to the company decision on external communication of significant aspects • Legal register not covering all applicable legislation / other requirements • Company not determining how the legal requirements apply to the aspects • Not all aspects reviewed under normal, abnormal and emergency operating conditions • Evaluation of compliance not appropriate • Emergency preparedness not being fully reviewed e.g. testing of procedure • No energy inspection has been carried out of the air-conditioning units(being one or more air conditioning units within a building with an effective rated output of more than 12kW in total) • Significant aspects not considered when setting objectives and targets

11. Common BS OHSAS 18001 issues • Legal register not covering all applicable legislation / other requirements • Evaluation of compliance not appropriate • Mandatory thorough examinations not being carried out on equipment e.g. LOLER / LEV / pressure systems • Where remedial action is required following thorough examinations these are not being reviewed • Suitable and sufficient risk assessments not being carried out which covers all routine and non routine activities • Emergency preparedness not being fully reviewed • Internal control measures for contractors not in place – contractor competency • Communication, participation and consultation not covered • Not considering identified risks when setting objectives and targets – planned reviews

12. Definition of Findings NQA Internal Procedure C14 Major NC • Absence of a procedure • Breakdown of a process • Number of minor NC’s Minor NC • Single lapse OFI • The Assessor has a concern but it’s not a nonconformance • Where it can be seen that not taking action may lead to a nonconformance

13. Why would we do this? • Laziness? • Complacency? • Lack of competence? • Lack of self-confidence? • Familiarity?

14. Why don’t we need to cover this? • We are all skilled professional auditors • We are all competent in the areas we audit • We are all motivated all day every day • It’s not me; it’s everyone else!

15. Why do we need to cover this? • Maybe we all need reminding every now and then • Maybe we all have off days • Maybe we sometimes find that we don’t fully understand the Company’s activities • Maybe we have all been in the situation where previous auditors have been soft

16. How can we stop it? • Be honest with ourselves • Don’t walk by; if you can see it has gone wrong in the past then act • Re-invigorate your audit technique • Just because you know the answer doesn’t stop you asking the question

17. If you don’t stand up for something you will fall for anything Malcolm X

18. Questions

19. Questions