Niosh Sho 13-Auditing

Auditing
Safety and Health Officer

Certificate Course
1
Learning Objectives
• To define what is OSH audit

• To differentiate between inspection,
investigation and auditing
• To describe 3 types of audit
• To explain principles of auditing
• To explain steps in audit process
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Scope
• Importance of auditing
• Differences between Inspection,
investigation and auditing
• Principles of auditing
• The audit activities
• Activities during an audit
• Preparing an audit report
• Concluding an audit
Definition
• An OSH audit is a systematic, independent and
documented examination to determine whether
activities and related results conform to planned
arrangements and whether these arrangements
are suitable , effective and adequate implemented
effectively and are suitable for achieving the
organization's policy and objectives.
• Audit can be perform in many approach.

However, formal audit will be conducted based on
auditing guidelines (ISO 19011)
What is Audit?
S • Systematic
I • Independence
D • Documented
Audit:
Systematic, independent and documented process for obtaining
audit evidence (3.3) and evaluating it objectively to determine the
extent to which the audit criteria (3.2) are fulfilled.
(Source: MS 1722: Part 1:2005)
What we are looking in
Audit?
• Establish
Suitability Adequacy
• Document
Effectiveness
• Implement
• Maintain
• Continually Improve
Auditing is a Management Tool
• Originally applied to finance and
accounting to instill shareholder confidence
• It evaluates:
• Are procedures in place, Are people aware
of them, Are they being abide to?, Are they
adequate? Are there anybody
accountable?
• How well the management system is
functioning
• OSH auditing is important for the same
reason
Auditing Versus Inspection
• Audits are for organisations (not on
individuals) (long-term plans)
• Evaluating companywide health and safety
controls and management system
• Inspection are for things (short -
medium-term)
• Identifying equipment or condition in a
workplace for corrective and preventive action
• Investigation are for situations (ad hoc)
• Inquire into a situation or problem in order to
discover the root cause e.g. of an accident
Inspection Sets Standards on
Hardware Aspects
Health
• Drainage, lighting, ventilation; cleanliness
and overcrowding
Safety
• Guarding, hoists, lifts; ropes, cranes, access,
floors, stairs; fire prevention means of
escape
Inspection Sets Standards on
Hardware Aspects
Welfare
• Washing facilities, accommodation and first
aid
An inspection will produce an action list rather

than an audit assessment sheet
Inspection is Part of Auditing
Method
Interviewing
Observation
Reviewing
Inspection
Auditing and
Investigation Sampling
Types of Audits
First party: Auditing own organization
(internal audit)
Second party:Auditing a contractor,
supplier, etc.
Third party: Independent consultant or
Certifier audits of an
organization
Types of Audits
Source : ISO 19011:2011
Audit Effectiveness Depends on
Management Support
• Management authorise
– An audit policy and programme
– Responsibility, competent auditors, the
audit scope, the frequency of audits, audit
schedule, audit methodology and reporting
– Periodic audits to determine if OSH-MS
are in place, suitable, adequate, and
effective
• Review results of previous audits

Determining Frequency of
Audit
• Management System standard mention audit
shall be conducted at „planned intervals‟
• Dependent on the objectives of the audit
• e.g. Compliance (CF once in 15 months)
• Nature of workplace:
• Degree of risk
• Management program maturity
• Results of prior audits
• Incident history
• Company policies
• Output from management reviews
Principles of Auditing
1. Each audit must have its purpose,
objective, criteria and scope (activities
and areas)
2. Objectivity (only by independent and
competent auditors)
3. Professional and ethical conduct of the
audit (systematic, documented and
findings are based on verified evidence
and predetermined audit criteria)
Principles of Auditing
4. Thoroughness of work to ensure fair
presentation of audit findings and
conclusions
5. Must end with a written audit report

(FLER)
Audit Process
Initiating the audit
Appointing
audit leader,
Audit definition,
Audit feasibility,
audit team, contact
On-site audit
activities
Document Review opening meeting,
Review documents Communication, Audit Report
and records, Roles and the Prepare, approve,
Determine adequacy distribute
responsibilities,
(Create checklist)
Collecting and
verifying
information, Audit Completion
Preparing For Audit Document
audit findings, retension,
Preparing the audit
plan, conclusions, finalise audit
Assigning work to the closing meeting
audit team,
Preparing work
documents, audit Follow -
notes Up
Auditors
• Made up of one or more persons
(manday).
• A team approach:
– Widens involvement, improve co-
operation; allow more specialist skills to
be utilized.
Auditors
• Auditors should be independent of the
part of the organisation or the activity
that is to be audited.
• Need to be competent and

understand the task to be carried out.
(Nace Code)
The Objective, Scope and
Philosophy of Auditing
may vary as follows
Purpose: Meeting legal obligations
Audit Objective: Verify Regulatory

Compliance
The Objective, Scope and
Philosophy of Auditing
may vary as follows
Scope: Individual Facilities and
Operations
Criteria: Legal requirements
Philosophy: “Find problems & fix them

before they become an
issue!”
Audits must be Measured
Against a Criteria or Standard
(For example in the system of the court no one
can be charged unless there is a law against
it. The Penal Code is the criteria)
For auditing:
1. Industry and professional codes of practice
and conduct; (Responsible Care)
2. Legislation (CIMAH Regulations 1996, EQA
1974)
3. OSH Management system standards
(MS1722:2011, or OHSAS 18001 etc.)
Preparing for On-site Audit
Activities
1. Prepare the audit plan
– Audit objectives, scope and criteria,
roles and responsibilities of audit team,
functional units to be audited, etc.
2. Assign work to the audit team
Preparing for On-site Audit
Activities
3. Prepare work documents
– Forms, checklist, etc.
4. Collect sufficient information about

the organisation including
newspaper article
Preparing the Audit Plan
• Protocol
– A written step-by-step guide for
accomplishing the audit
• Preliminary Document Review
• Determine Interview Needs
Preparing the Audit Plan
• Site Safety & Health Requirements
• Information Required
– e.g. list of major hazardous chemicals and
applicable MSDS for those chemicals
Conducting On-site Audit
Activities
1. Conducting opening meeting
2. Collecting and verifying information
3. Generating audit findings
Conducting On-site Audit
Activities
4. Preparing audit conclusions
5. Conducting closing meeting
Opening Meeting and Audit
Preliminaries
• Introductory meeting with managers
• Discuss audit rationale and process
• Confirm auditee cooperation
Opening Meeting and Audit
Preliminaries
• Availability of facility
• Overview tour of area
Activities as Scheduled and
Planned
• Document Review
• Inspection
• Interviewing
• Sampling
• Observation
• Communicating
Collecting Audit Evidence
• Collect audit evidence through:
– Interviews, examination of documents and
observation of activities and conditions
– Indications of nonconformity to audit criteria
should be recorded
• Ensure:
– Representative sample of essential activities are
audited
– Relevant personnel are interviewed
– Relevant documentation examined
Subject Audited –
Plant Maintenance, Repair and Alteration
• Criteria • Examples of verification
There is a  Maintenance schedules in accordance
scheduled with manufacturers guidelines and
maintenance legislative requirements
program for  Detailed inspection procedures for all
plant and relevant items of plant and equipment
equipment. including timetables, checklists etc.
 Log books or other records that indicate
when service or maintenance is due
 Records of maintenance in accordance
with schedules
Document Inspection
Techniques
• Consistency with policy
• Cross checking with regulations
– Review existing and pending standards,
legislation, permits etc.
• Detail review of selected portion
• When reviewing permits, etc.
– Date of last entry
– Status of permits
– Signatory
Interview Strategy
• Ask the 5 “Ws” and the one “H”
– What, Where, When, Why, Who and How
• One to one meetings

– To get the true picture
• Strategic questioning
– To get above hidden agenda
– To ascertain levels of understanding and
awareness of relevant issues
Audit Findings
• The audit team should review all of their
audit evidence to determine where the MS
does not conform to the MS audit criteria.
• Ensure that findings of nonconformity are
documented in a clear, concise manner and
supported by audit evidence
• Review audit findings with the responsible
auditee manager to obtain
acknowledgement of the factual basis of all
findings of nonconformity
Closing Meeting
• Formal meeting where minutes of the
meeting and attendance are taken
• To present the audit findings and
conclusions
• Attendees include the auditee but
can also include the client and other
parties
Closing Meeting
• Findings to be acknowledged by the

auditee and to agree on the time
period for the auditee to present
corrective action plan
• If diverging opinions are not resolved

than both opinions are recorded
Audit Report
• The content of the final OSH Audit
Report should be:
– Clear
– Precise and
– Complete
• It should be dated and signed by the
auditor
Contents of Audit Report
1. Audit objectives and scope
2. Audit plan
3. Identification of the auditing team
4. Audited representatives
5. Dates of audit
6. Identification of the areas subject to
audit
Contents of Audit Report
7. The identification of reference documents
used
8. Details of identified non-conformances
9. Assessment of conformity with standards or
guidelines
10. The ability of the OSH-MS to achieve its
objectives
11. Distribution of audit report
Conducting Audit Follow-up
• Audit conclusion can point to corrective,
preventive and improvement actions
• Such actions are not part of the audit and
are undertaken by auditee within an
agreed timeframe
• The auditee should keep the audit client
informed of the status of these actions
• The completion and effectiveness of
corrective action should be verified
Summary
• Audit is a management tool that assesses
the organisation.
• Auditing is very formal and systematic

and may include inspections in its
activities.
• An audit always have scope, objective,

audit criteria, written report and follow-up.
Summary
• Before an audit is undertaken plans
that include document review and
other preparations are undertaken.
• Information is gathered during an

audit through document reviews,
inspection, interviewing, something
and observation.

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Auditing

Safety and Health Officer

• To define what is OSH audit

• Audit can be perform in many approach.

An inspection will produce an action list rather

Source : ISO 19011:2011

• Review results of previous audits

5. Must end with a written audit report

• Need to be competent and

Audit Objective: Verify Regulatory

Philosophy: “Find problems & fix them

4. Collect sufficient information about

• Preliminary Document Review

• Determine Interview Needs

• Site Safety & Health Requirements

2. Collecting and verifying information

3. Generating audit findings

5. Conducting closing meeting

• Discuss audit rationale and process

• Confirm auditee cooperation

• Overview tour of area

• One to one meetings

• Findings to be acknowledged by the

• If diverging opinions are not resolved

• Auditing is very formal and systematic

• An audit always have scope, objective,

• Information is gathered during an

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