Purpose
An audit is a systematic, independent, and documented process for obtaining audit evidence. Evaluation is objective, to determine the extent to which the audit criteria are fulfilled. The audit schedule will be based on the OH&S importance of the activity concerned and the results of previous audits.
It is in independent process and includes provisions for ensuring objectivity and impartiality.
An internal audit is conducted by the organisation itself, or by an external party on its behalf. Audits of the OHSMS take place according to a written procedure, and information on the results of audits will be provided to management.
The organisation will conduct internal audits at planned intervals to provide information on whether the OH&S management system:
- conforms to the organisation’s own requirements for its OH&S management system, including the OH&S policy and OH&S objectives and the requirements of industry legislation
- conforms to the requirements of Standard ISO 45001 Clause 9.2
- is effectively implemented and maintainedTerminologyAudit evidence is records, statements of fact and other information which are relevant to the audit criteria and verifiable.
Audit criteria are sets of policies, procedures or requirements used as a reference against which audit evidence is compared.
Conformity – fulfilment of a requirement.
Non-conformity – non-fulfilment of a requirement. Non-conformity relates to requirements in International Standards as well as additional OH&S management system requirements the organisation establishes.
Corrective action – action to eliminate the cause of a non-conformity or an incident and to prevent a reoccurrence.
Continual improvement – recurring activity to enhance performance. Enhancing performance relates to the use of the OH&S management system to achieve improvement in overall OH&S performance consistent with the policy and objective. (Continual does not mean continuous, so it does not all need to occur at once).
Process
The organisation will:
• plan, establish, implement, and maintain an audit programme(s) including the frequency, methods, responsibilities, consultation, planning requirements and reporting, which will consider the importance of the processes and the results of previous audits, as well as:
o significant changes impacting the organisation
o performance evaluation and improvement results o significant OH&S risks, hazards, and opportunities
- define the audit criteria and scope for each audit
- select competent auditors and conduct audits to ensure objectivity and the impartiality of the audit process.Auditors will be independent of the process being audited
- ensure that the results of the audits are reported to relevant management
- ensure that relevant audit findings are reported to relevant workers, and where they exist, workers’representatives, and relevant interested parties
- take appropriate action to address nonconformities and continually improve OH&S performance
- retain documented information as evidence of the implementation of the audit programme and the results. All records of OHSMS audits will be retained
Procedure
Audits are scheduled by the Health and Safety Representative or Consultant. It is the responsibility of the Health and Safety Representative or Consultant to ensure that each procedure or risk control is audited at least once a year. The form on pages 2.5 and 2.6 is to be used for the annual audit. Additional review forms for HSR and HSM are ideally completed six-monthly and are on pages 2.7 and 2.8
Only trained auditors will be used to carry out internal audits on the Health and Safety management system. The proof of training given (certificates etc.) will be filed in the relevant Training Records file. (Section 7).
Assessment checklists are to be provided by the Health and Safety Consultant in accordance to the standard to be assessed against. The findings are recorded on the right-hand side of the document, where ample space is provided.
Each clause is assessed, as appropriate, by reviewing the appropriate section(s) of the policy and any supporting documentation, as evidence to demonstrate that the procedure or control is being followed. The depth of assessment must be such that full compliance is demonstrated, or alternatively deficiencies are demonstrated. Where controlled documents are used in the area being assessed, they are checked for availability and for being the most recent version.
Responsibility and Authority
The Health and Safety Representative or Consultant have the responsibility to conduct internal audits and to ensure they are completed on time.
Audit Findings
Audit findings are recorded on the provided and appropriate Audit Worksheet, along with the date of the audit and the name of the auditor. Following the completion of the audit, the auditor enters the date on the report.
Where no discrepancies are found, the findings are reported back to the Management Representative. Only then are the completed internal audits filed in Section 1 of this folder.
Where it was found necessary to take corrective action, either to the activity or the procedures, the auditor raises a Risk ID Reporting form (Page 10.2).
All action required following audits is to be recorded in section 10 of the folder (as above) and updated on the appropriate section of the risk register (Section 10). Any other amendments are to be recorded on the fourth page, in the front section of the policy.
After the internal audits have been completed, the findings will be reported back to the Management Representative and then are to be filed away in Section 1 of the folder, for future reference.
Audit Criteria
Audits of the OH&SMS will take place according to a written procedure.
Audit schedules are to be based on the OH&S importance of the activity concerned. Auditors shall be independent of the process being audited.
Information on the results of audits is to be provided to management.
Records of OH&SMS audits will be retained.
SSSP Review/Audit
Audits of the SSSP will take place if the scope of work changes, if there are any alterations to the plan, and as required. Records of SSSP Review will be retained.
“Procedure: specified way to carry out an activity or a process”