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Figure 1
The EHS Added Value Audit Process
PRE-AUDIT ACTIVITIES ON-SITE ACTIVITIES POST-AUDIT ACTIVITIES
q q q
Select Locations Conduct Opening Conference Review Findings, Best
and Schedule Audits, Clarify Process and Expectations Practices, and Proposed
Coordinate with Orientation Tour Due Dates. Conduct
Management Finalize Interview Schedule Debriefing Meeting
Pre-Closing Meeting.
Pre-Audit Team Meeting: Review the Draft Report with EHS
Team Information, Monitoring Late
and Operating Unit Personnel
Audit Resources, Findings Using
and Facility-Specific an Automated Audit
Information Tracking System
Closing Conference.
Discuss Potential Best Practices
Review Draft Report and Findings
Discuss Completion Dates
Volume 18 Number 1
Planning and Conducting an EHS Audit
Continued from page 5
Knowledge transfer includes an team is comfortable with its preparations, The Facility Orientation Tour. It is
understanding of the responsibility to all of the final arrangements should be strongly recommended that the audit team
facilitate various activities as part of the communicated with the facility to avoid participates in an orientation tour with
teams audit duties including analyzing any misunderstandings. facility representatives prior to beginning
loss leaders for trends prior to conducting the program reviews. The primary purpose
the audit, sharing and harvesting best On-Site Phase Activities is to observe facility infrastructure, briefly
practices during and after the audit, and On-site activities during the audit observe personnel performing their jobs,
using the guest auditor program as both a include: audit opening conference, an and identify areas that may require more
mentoring tool for team members during orientation tour, applicable program in-depth review. It is always helpful to
the audit and a means of distributing best reviews (a two-step methodology), have a facility diagram and a means of
practices between facilities. employee interviews, record reviews, recording observations during the tour.
daily debriefings, recommendations After the tour, the team leader coordinates
Consistency and quality are critical if your development (or findings), pre-closing with the team and the appropriate
audit program is committed to delivering conference with EHS personnel, and the facility staff to review the proposed audit
a high-quality product consistently to closing conference with the full staff for agenda and finalize the interview and
those involved in the process. The best the purpose of reviewing the draft report. documentation review schedules.
opportunity to accomplish this on a
regular basis is through the use of web- EHS Program Reviews. Facilities are
based technology systems, including Post-Audit Phase Activities required to comply with: all applicable
Aon Safetylogic. Post-audit activities are generally national, state, and local laws and
focused on finalizing the draft report, regulations; company EHS policy and
The EHS added value audit process is assisting the site in either developing the EHS guidelines; divisional policies; and
divided into three phases that take place corrective action plan or approving it locally developed standard operating
over several weeks. Phases include the when submitted, and tracking all findings procedures (SOPs). In order to verify
pre-audit, the on-site, and the post- through to completion. Some form of that the facility has evaluated the EHS
audit phases. Each phase is distinct in its verification of the closure activities is risks associated with its operations,
activities, and each subsequent phase can recommended. and is in compliance, the EHS audit
be viewed as a progression. Collectively, process uses a two-step approach. This
they make up the entire audit process and Beginning the Audit is designed to review program content
depend on each other in order for the The Opening Conference. The opening and implementation. The audit team
audit to be successful. (See Figure 1.) conference is scheduled in advance and will determine whether the facility
is held as early as possible on the first day has developed the appropriate written
Pre-Audit Phase Activities of the audit. This is to advise the facility programs, policies, and/or procedures
There are several essential pre-audit of the function of the corporate EHS to address EHS risks and impacts. The
activities. These include developing department, in general, and the EHS team will also decide whether or not the
a schedule, notifying the selected audit process, in particular. programs are effectively implemented.
facilities, selecting teams for each audit,
and coordination with the sites prior The team leader is generally responsible Team members use specially designed
to the audit. The use of a pre-audit for conducting the team portion of the protocols (or checklists) to evaluate
questionnaire is a very valuable method opening. The site managing director or a each applicable program. Protocols are
of communicating with the facility to designated representative usually presents available off the shelf, in hard copy,
be audited before the audit and sharing an overview of the site, processes, or electronic versions for all states
the results with the team. Some of these or services provided; EHS goals and and most countries, but can be costly.
activities are typically completed in the objectives; changes since the last audit; Unfortunately, they are often outdated
preceding year in order to allow both significant environmental impacts; risk before they get to the end user. Larger
the facility and the team members to management programs; loss experience; companies often develop their own
schedule the time necessary to conduct any pending or outstanding regulatory protocols to be more specific not only to
the audit. When all of the information issues; safety performance data; and status regulations, but also to company policies
has been received from the various of any remaining open action items from and procedures.
sources, the team leader or lead auditor prior audits. The purpose and contents
should conduct a team meeting to review of the audit process should be clearly
everything from travel arrangements to communicated to the facility by the team
specific team assignments. When the leader during these proceedings.
Volume 18 Number 1
Planning and Conducting an EHS Audit
Continued from page 7
Post-Audit Activities Issuing the Final Report and loss prevention programs; potential
The team leader generally completes the The final audit report often includes capital expenditures related to the
post-audit activities. These include a a cover letter, an executive summary, findings; and potential best practices.
variety of tasks that take the audit report and complete listing of all findings. Final closure of the report is established
from a draft developed at the site during This report is issued to the managing when all findings are completed within
the audit through to a final document. facility director from the corporate EHS the timeline specified and agreed upon.
department with copies to the site EHS Requesting feedback from the audited
Facility Action Plans and representative, various corporate and facility on the audit process and its
Completion Dates division operations, and legal personnel. impact on the operations is another way
The facility is generally responsible for to add value to the process. This can be
the development of an action plan with
closure dates that reflect reasonable
n The real key to success, accomplished by developing a survey and
requesting completion by the facility at
timelines to address all findings. They however, is that a the conclusion of the entire process.
are the most familiar with the resources properly conducted EHS
needed and any potential restrictions. The audit process can be an arduous
Assistance with developing the action audit will identify loss one for both the team and facility
plan is also available from the audit leaders that impact a management. But with proper planning,
team leader and the corporate EHS
department. The final action plan
companys bottom line coordination, and attention to the
details, the benefits can go a very long
is generally approved by local site and compliance gaps. way toward making your facilities safer
management prior to being submitted. and better places to work. The real key
The cover letter generally includes the to success, however, is that a properly
purpose of the audit; a brief facility conducted EHS audit will identify loss
overview; a summary and table of leaders that impact a companys bottom
findings from previous and current line and compliance gaps. Those are
audits; a brief overview of facility added value components that senior
management systems, environmental management will understand and
programs, occupational health, safety, support. n
Volume 18 Number 1