The lead auditor is responsible for:
Agreeing on the audit dates
•
Agreeing on the scope
•
Ensuring that there are auditable standards against which compliance can
•
be assessed
Agreeing on the audit program with the audit manager
•
Identifying the preaudit documentation requirements
•
Providing suitable audit checklists or protocols
•
Compiling the audit manual (if required)
•
Chairing the entry meeting
•
Managing the audit process
•
Optimizing the skills and knowledge of the other auditors
•
Keeping the auditees informed of progress during the audit
•
Chairing the exit meeting
•
Compiling and editing the audit report
•
Obtaining a copy of the most recent audit report covering the same location
•
and scope
appendix 1.4
exAmPleof Audit notificAtion letter Dear __________
Occupational Health, safety, and environmental Management audit
Thank you for the opportunity to carry out a Level __ Safety, Health, and Environmental management audit at your site. I would suggest that the audit should be scheduled for week commencing ________________.
I would propose that the audit program should follow our usual process of:
1. Audit discussions with nominated persons responsible for managing vari- ous aspects of health and safety performance.
2. Physical condition inspections of most site areas.
3. Verification discussions on the plant with staff at all levels to confirm the information gathered during audit interviews.
Based on my previous experience I would suggest that a program for the audit would be along the following lines:
1. Proposed Audit Program Day 1
Auditor health and safety induction
Audit entry meeting: All members of the senior management team and any other interested parties should attend this. The entry meeting will be short (twenty minutes) and will explain the process that is to be followed. I suggest a starting time of _________.
Management discussions: (You will be asked to nominate one person to talk about each of the topics on the audit scope list.) The nomi- nated people should be the most knowledgeable person on site on each topic, and are not necessarily managers. I shall be interested in hearing about what procedures or instructions exist, what training has been done and how you ensure compliance. I normally allow an average of fifteen minutes for each subject.
Day 2
Site tour and verification discussions (starting at _______). I normally start the day following up the topics discussed with managers the previous day. The day will be spent either on the plant or looking at training records, etc.
Day 3
Management discussions (starting at _______).
Day 4
Site tour and verification discussions: Follow-up of Day 3 manage- ment discussions.
Day 5
Site tour and verification discussions (starting at ________). Follow-up of management discussions.
Exit meeting preparation (____ hrs). This is for me to prepare for the exit meeting.
Exit meeting (______ hrs). To be attended by those who attended the entry meeting on Day 1. This meeting usually takes about an hour.
The scope of the audits will include environmental management as well as health and safety, in order to meet your requirements.
2. Reporting: Following our normal practice I usually produce a report simi- lar to the example attached which includes detailed auditor comments as well as the “Key Recommendations.” However, it is cheaper and sometimes clearer to have a report that is “Key Recommendations” only. Please let me know your preference. The report is usually submitted initially as a draft to ensure that the audit sampling approach has not picked up something that is nonrepresentative.
3. Audit Scope: Attached to this letter is an initial checklist of those Safety, Health, and Environmental aspects that you may want to include in the scope of the audit. (Final scope to be agreed on between you and me at least three weeks before the audit date.)
Please give me a call to let me know if these provisional dates are suitable and so that we can agree on what aspects of your Safety, Health, and Environmental man- agement systems you wish to include in the audit scope.
I look forward to having this opportunity to learn from the good practices that you have in place.
Yours sincerely,
appendix 1.5
tyPicAl Sequenceof Audit ProceSSeS The Standard Initial Data Gathering
Initial Data Gathering
Verification Checklist/ Protocol
Entry meeting
Familiarization Tour Formal discussions
Verification Informal discussions
Observations
Converge nonconformances Exit meeting Formal discussions
appendix 1.6
contentSof Auditor’S mAnuAl
The auditor’s manual is a loose-leaf file in which information is compiled for the benefit of the auditors. Typically it might contain copies of the following:
Audit notification letter and communications with the auditee
•
Audit scope
•
Entry meeting presentational material or notes
•
Audit program
•
Location layout plan (for large and complex offices or factories)
•
Organization chart of the management of the audited unit
•
Previous audit reports
•
Auditor’s guidance notes or rules
•
Checklists or protocols
•
Quantitative reporting process if required
•
Blank copies of auditor’s working papers
•
Target numbers of discussions to be carried out
•
appendix 1.7
Auditor’S PerSonAl equiPment
Appropriate personal protective equipment for the site visits and
•
inspections
Relevant audit checklist or protocol
•
Notepaper
•
Pens/pencils
•
Highlighter marker pens
•
Self-adhesive notes
•
Clipboard (to allow note-taking during site visits)
•
appendix 1.8
The audit checklist should be derived from the standard being audited, by asking the questions identified in the checklist preparation flowchart:
Read the procedure
Checklist Preparation
Flowchart Does an audit checklist or protocol
already exist?
Has the procedure changed since the last
audit?
checklistDoes cover key elements of procedure?
Prepare New / Revised procedure
Does compliance with the checklist fully meet the intent
of the procedure?
An appropriate checklist now exists
Identify WHAT?WHO?
WHEN?
HOW?
Yes
Yes
Yes Yes
No
No No
No
appendix 1.9