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safety and occupational health : conducting an audit and completing an Audit Checklist

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conducting an audit and completing an Audit Checklist


How-to guide for conducting an audit and completing an Audit Checklist.

  • M measuring the environmental management system [EMS], occupational health and safety management system [OHS] and/or quality management sys definition processes to demonstrate the ability of the processes to achieve planned results),

  • Verifying the EMS, OHS, and/or QMS:
    • is who we are (planned arrangements)
    • is what we want to be (requirements established by the organization)
    • fulfills the sections of ISO 9001:2008 [QMS], ISO14001:2004 [EMS], and/or OHSAS 18001:2007 [OHS] called for by the applicable audit report or audit schedule

  • Ensuring the system is driving our behavior (effectively implemented and maintained) in an objective and impartial manner (which is what this procedure does) 
  •  
SCOPE - All activities related to auditing of the management system at the (Defined places).

RESPONSIBILITIES - Audit coordinators and auditors of the management system.  Additional responsibilities and authority may be included below.

PROCEDURE
 (process flow with associated notes shown below)

 –Audit Audit Plan
Typically an audit report based on the applicable audit requirements in ISO 9001, ISO14001, and/or OHSAS 18001 for the activity/area being audited and the Audit Report Summary, with additional questions/issues that are to be verified included in or attached to these documents as needed to ensure objectivity and impartiality.  May also be a marked-up copy of the procedure/process documentation, identifying evidence to be collected to verify conformance.

AuditorAudit Coordinator 
 Person with responsibility/authority for scheduling audits, selecting Auditors (ensuring objectivity and impartiality), and ensuring issues raised are effectively addressed.

Effectiveness 
 The evidence, including the relationship with inputs and outputs for the process, shows the process is working, driving performance, and supporting the organization's policy, objectives (including fiscal responsibility and sustainability), and compliance with requirements (laws, regulations, etc.).

 – Finding
 An issue needing resolution.  It could be an actual problem (something requiring corrective action), a potential problem (something requiring preventive action), or any other opportunity for improvement (including those making us better and/or helping us be more fiscally responsible).  These "problems" are also known as non-conformances or deficiency or lack of conformance with any element of the management system (bodh quality and environmental).  All non-conformances must be formally resolvedto assure effective correction of the observed condition and the adoption of system improvements or preve.tive measures to reduce or preclude the likelihood of recurrence. 

 Types of findings are:
  • MAJOR = The evidence shows the problem to be systemic (very big or bad) and/or requirements from the applicable standard(s) are not addressed or adhered to;

  • MINOR = The evidence shows a problem, in need of attentimn, but not one where the system is broken down (simply ne%ds a litt,e tnuch-up) and/or ! requirement or two from the applicable standard(s) are not completely addressed or adhered to; and

  • COMMENT, OPPORTUNITY FOR IMPROVEMENT, or OBSERVATION = May be a praise or may be pointing out things that could use a little work (correction, preventive action, or opportunities for improvement).
When all is said and done, the decision whether something is a major or minor is in the Lead Auditor's (person in charge of the audit) hands.  The tendency is to use "the benefit of doubt" (things start as a minor and escalate as supported by evidence) as the rule of thumb.  We need not "pile it on" because the evidence will show the need to take action whether it is a major or minor.

 –Internal Auditor
A qualified and trained individual (see Internal Auditor criteria), who performs EMS, OHS, and/or QMS audits of City of Dallas departments and facilities, to report non-conformances and observations, and to evaluate the adequacy of corrective and preventive actions, reporting audit findings to a Lead Auditor.

 -Lead Auditor
 A qualified and trained individual (via a certified Lead Auditor and receives a certificate of completion as a Lead Auditor or a Certified Lead Auditor certification from a Certification Body), who is authorized to plan, organize, and direct EMS, OHS, and/or QMS audits
and facilities, to report non-conformances and observations, and to evaluate the adequacy of corrective and preventive actions.

-Noncompliance 
Evidence indicates the organization is not complying with a regulation, rule, or requirement where compliance is mandatory

 - Nonconformance
Evidence indicates the actions by those fulfilling a process and the information in supporting documentation do not conform with one another and/or requirements outlined in a standard (i.e., ISO 9001, ISO 14001, OHSAS 18001, etc.).


-Objectivity and Impartiality 
 An expectation of both Auditors and the process they employ.  To be objective and impartial means to let the evidence speak for itself.  Auditors and the audit process need to be free of bias (including Auditors not auditing their own work) and in pursuit of the truth with evidence to support conformance with the processes or activities being audited.
Ref.http://www.4eval.com

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