Auditing Flashcards
What activities does an auditor complete during the post-audit?
- Analyzes finding, complete report
- Audit presentation
What does CAR stand for in Auditing
Corrective Action Request: A factual statement of the non-conformance identified
2 major classifications of audit documentation
- Directive documents
- Describe what should be done. Example: HSE policy - Operational records
- document what actually occurs in the company. Example: meeting minutes, completed hazard assessment forms
3 phases of an interview
- Opening
- Questioning
- Closing
Name 8 Reasons for Conducting HSE Management Systems Audits
- To establish a baseline from which to measure improvements
- As a result of a serious incident
- To comply with a government order
- To demonstrate due diligence
- To benchmark with other company branches
- As part of a financial incentive program
- To enable the company to bid on certain jobs
- For public relations purposes
Advantages of using an internal auditor
- Knowledgeable about industry or organization hazards
- Aware of historical information regarding program development
- Understands objectives of organization
- Knows the people
What activities does an auditor complete in the pre-audit?
- Writes Proposal
- Initial meeting/clarification of issues
- Writes contract
Develops audit plan
Disadvantages of internal auditor
- May be subjective
- Vested interest in the audit results
- May be inexperienced in audit skills
- Position may report to those audited
- May be seen as a policeman
Advantages of using an external auditor
- No history with the company
- No vested interest in the audit results
- Familiar with basic OHS regulations and principles
- Trained in audit technical skills (interviews, document review, etc.)
Personal attributes of Auditors
- Open-minded
- Mature
- Possess sound judgment
- Have good analytical skills
- Have tenacity
- Ability to perceive situations realistically
- Understand complex operations from a broad perspective
9 Common elements in many health and safety management system audits
- Management policies and commitment
- Hazard identification and evaluation process
- Hazard control process
- Work area inspections
- Incident reporting, investigations and follow-up
- Employee competency
- Emergency preparedness
- System administration and quality control
- Workers’ Compensation Board claims management and return to work processes
What activities does an auditor complete during the on-site audit?
- Pre-audit meeting
- On-site validation – document review, interviews, observation tours
- Post-audit debriefing
Why are un-scored audit protocols preferred by professional auditors?
The auditor may be better able to make recommendations that address systemic issues noted that if corrected can significantly improve occupational health and safety management system performance
What are 5 desired outcomes of the audit interview process
- Confirmed validation of documentation and observations
- Compliance with audit instructions regarding validation methods
- Provision of a human perspective and verbal account of the system
- Representative sampling providing information quickly
- Evidence of system impacts on employees
Disadvantages of external auditor
- Not aware of hidden hazards
- May be unaware of industry specific hazards or regulations
- May not understand history of program development
