Once the accountant is no longer 'helpful', much of the benefit of the audit is lost. If these standards are new to the auditor, it is essential that the auditor checks the verifiability of the standards before committing to conducting the audit. It is part of the auditor's preparation to ensure that the exercise is seen in a positive rather than negative light.
Before conducting the audit, it is essential that everyone understands the scope of the audit. In these circumstances, verifying the events recorded in the procedure may be part of the auditor's checklist. Thus, it is always necessary to ensure that the audit checklist responses meet the intent of the procedure being audited.
It is the job of the auditor to be able to see the forest for the trees. The auditor must ensure that he or she has obtained a correct understanding of the discussion. It must be remembered that it is not the role of the auditor to show how smart he or she is.
The credibility of the auditor and the audit process depend largely on the openness of the auditor. It is the delicate task of the chief auditor to ensure that the meeting remains harmonious and constructive. It is quite possible that the auditor and the auditee have different expectations about the outcome of the audit.
It is the responsibility of the lead auditor to manage the audit process. The auditor must agree with the auditee which aspects will be included in the scope of the audit. Accession meeting: Meeting between the auditor and the audited at the start of the audit.
Auditor Guidance
A udit P rePArAtionS
Thank you for the opportunity to conduct a Level __ safety, health and environmental management audit at your site. Audit discussions with designated persons responsible for managing various aspects of health and safety performance. Factory verification discussions with staff at all levels to confirm information gathered during audit interviews.
Introductory Review Meeting: This should be attended by all members of the senior management team and all other stakeholders. The induction meeting will be short (twenty minutes) and will explain the process to be followed. Leadership Discussions: (You will be asked to nominate one person to speak on each of the topics on the audit scope list.) The people nominated should be the people who have the most knowledge on each topic and are not necessarily leaders.
The day will be spent either at the facility or looking at training records etc. The scope of the audit will include environmental management as well as health and safety to meet your requirements. However, it is cheaper and sometimes more clear to have a report that is only "Key Recommendations".
The report is usually initially submitted as a draft to ensure that the audit sampling method has not picked up anything that is not representative. Attached to this letter is an initial checklist of the safety, health and environmental aspects that you may wish to include in the scope of the audit. The final scope is agreed between you and me at least three weeks before the audit date).
Please call me to let me know if these provisional dates are suitable and so that we can agree which aspects of your safety, health and environmental management systems you wish to include in the scope of the audit. An auditor's manual is a loose-leaf file that compiles information for the benefit of auditors.
A udit o bServAtionS
Detailed findings (optional – only include this at the specific request of the auditee as this will significantly increase the length of the report). Local management and employees are to be congratulated for the high level of environmental awareness observed in the company, for the quality of the health systems and for the excellent fire safety management processes. Additional areas of excellence were observed in the engineering area, where design and equipment standards are high, and maintenance information procedures and routine SHE assurance work were found to exceed requirements.
Detailed work in the areas of Legionella monitoring and control, laboratory procedures and VDU evaluations is worthy of special recognition. The desire to improve was clearly evident, as evidenced by the recent work on new control procedures for contractors and flares, whereby some new ideas were immediately accepted during the audit. The auditor's primary concern is that the systematic approach used for manufacturing quality control does not extend to the SHE domain.
This is of particular concern in the area of safe systems of work where isolation standards are not well adhered to. Reliable safety, health and environmental systems should be established and enforced through a routine local audit programme. The practice of focusing on safety matters, particularly through safety representatives and the safety manager, appears to be bypassing line management.
Every opportunity should be taken to reinforce the concept that SHE management is the responsibility of line management, supported by functional experts and representatives. Greater communication about SHE, including "learning points", could go a long way in raising awareness of SHE at all levels. It is important that training "needs" are clearly defined for all individuals so that gaps in skills and knowledge can be identified and filled.
Although engineering SHE assurance is generally of a high standard, arrangements must be made to ensure the routine trial testing of critical safety and environmental protection journeys. Staff are well aware of "food contact" controls for product health and safety, but there is little knowledge of other product regulatory matters.
Plaudit 2 Audit Protocol2 Audit Protocol
Where engineering controls are required to control exposure (eg fume hoods, local exhaust etc.), check records to ensure these are regularly inspected and tested. 006 audit check How to confirm action notes Ok. 01 Is there an approved spokesperson to speak to the media about SHE matters.
