Getting the most out of Document Review

1
Getting the most out of Document Review

• David Chatfield
• David Chatfield Associates

2
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

3
Overall Process - continued

• Respond to auditors 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

4
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 EHSS
  management system and confirm their roles
• Brief all employees on the status of the
  management system development
• Emphasize the value that this type of EHSS
  management system brings to a facility
• Get people involved

5
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 EHSS management system
• Consider the independence aspect (financial
  stake, family member, ex employee)
• Review the auditors 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)

6
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

7
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

8
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 EHSS documents is very useful
• Table of contents of certain procedures such as
  the Emergency Plans is very useful

9
Respond to auditors phone questions

• Phone call clarification is very likely
• Try not to be defensive
• However support your system if it works for you

10
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

11
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

12
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

13
Complete the action plan

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

14
Prepare for the on site audit

• Keep the team involved
• Build your management system (continual
  Improvement)

15
Contact Details

• David Chatfield
• David Chatfield Associates LLC
• 13 Quail Run
• Newburyport, MA 01950
• P 978 764 9040
• F 978 935 9004
• E dchatfield_at_davidchatfield.com
• W www.davidchatfield.com