This document outlines the learning objectives and elements of a training course on leading an environment, health, and safety internal audit. The course aims to teach learners how to plan, conduct, and report on an EHS audit. It covers topics such as maintaining ethical conduct, developing audit tools, collecting evidence, and presenting findings. The document provides detailed information on each step of the audit process and emphasizes the importance of proper planning, documentation, and communication between the auditor and the audited organization.
2. Purpose:
At the end of this unit the learner should be able to:
Plan an EHS audit
Develop an EHS audit tool
Organize the assembly of information, data and
EHS records
Lead EHS audit activities
Report on the outcomes of the EHS audit
3. Knowledge learning outcomes
Element 1: Plan an Environment Health and Safety audit
Element 2: Develop Environment Health and Safety audit
tool performance requirements
Element 3: Conduct Environment Health and Safety audit
activities
Element 4: Report on the outcomes of the Environment
Health and Safety audit
4. Element 1:
Plan an Environment Health and Safety audit
1.1 Maintain ethical conduct at all times including observing strict
confidentiality over documents and information provided by
respondents
1.2 Explain the technical responsibilities of an EHS auditor
1.3 Define the scope and objectives of an audit
1.4 Obtain the organization’s operational documentation
1.5 Determine the resources required to conduct the audit
1.6 Assign the timing, schedule and responsibilities for an audit
1.7 Submit an audit plan for approval
8. Element 1:
Plan an Environment Health and Safety audit
1.1 Maintain ethical conduct at all times including
observing strict confidentiality over documents and
information provided by respondents
1.2 Explain the technical responsibilities of an EHS
auditor
1.3 Define the scope and objectives of an audit
1.4 Obtain the organization’s operational
documentation
1.5 Determine the resources required to conduct the
audit
1.6 Assign the timing, schedule and responsibilities
for an audit
1.7 Submit an audit plan for approval
9. 1.1 Maintain ethical conduct at all times including
observing strict confidentiality over documents and
information provided by respondents
Definition of OHS Audit:
Audit: A systematic, independent and documented
process for obtaining audit evidence and evaluating it
objectively to determine the extent to which audit criteria
are fulfilled.
Audit Evidence: Implies records, statements of facts or
other information relevant to the audit criteria and
verifiable
Objective Evidence: Qualitative or quantitative
information, records, or statements of fact, pertaining to
implementation of OSHMS based on observation,
measurement, or test, and which can be verified.
10. confidentiality, which means preserving
authorized restrictions on access and
disclosure, including means for protecting
personal privacy and proprietary
information; and
availability, which means ensuring timely
and reliable access to and use of
information
Information is power, Make sure correct
people who receives it.
11. Ethical responsibilities for EHS Auditor
Ethically, EHS auditors are obliged to:
EHS auditors are obliged to: Provide true and
accurate information concerning their
investigations; Not issue inaccurate EHS audit
reports; and Notify the relevant authorities of
any imminent hazard to workers, the
community or the environment, or fraudulent
activity, as soon as practicably possible during
the course of conducting an EHS audit, as
required by law.
12. 1.2 Explain the technical responsibilities of an EHS
auditor
Auditor: A person who is qualified to systematically examine management
system. A person who is registered by OSHAD based on Qudorat
requirements, international standards, experience and qualifications in
conducting OSH audits.
Lead Auditor: A person who is qualified to systematically lead group of
auditors to examine management system. A person who is registered by
OSHAD as «Lead Auditor» based on Qudorat requirements, international
standards, experience and qualifications in conducting OSH audits.
13. Responsibilities of EHS Auditors
Technically, EHS auditors are obliged to:
Refer to the most recent guidelines developed by the relevant authorities and
updated international standards in the course of conducting an EHS audit;
Utilize best practice methods while conducting assessments;
Exercise due care, diligence, and professional judgment while conducting their
activities to a standard expected of a qualified EHS auditor;
Ensure confidentiality;
Offer services only in areas within their competence and scope of certification;
and Ensure that EHS audit statements or reports are based on sound
observations and logical deductions and analysis.
14. Audit Scope:
The boundaries of audit, i.e. location, organizational units,
activities and processes to be audited.
Objective:
Objective is why are you making the audit?.
Ensure compliance with legal requirements
Ensure effectiveness of OHS system
Ensure Effectiveness of controls
Frequency:
Frequency of an audit is how long between audit conducted.
It will be defined according to Legal requirements, Company standards,
Risk rate.
Usually it is once every year
1.3 Define the scope and objectives of an audit
15. 1.4 Obtain the organization’s operational
documentation
Organizations have roadmap for all operations
in form of process workflow.
Obtaining these procedures, instructions and
charts, will help understanding for the
process
Auditing involves sampling, so initially it is
necessary to decide how much sampling is
needed for the assessment to be reliable. The
type of audit and its complexity will relate to its
objectives and scope, to the size and complexity
of the organization and to the length of time
that the existing health and safety management
system has been in operation.
16. 1.5 Determine the resources required to
conduct the audit
Prepare to Audit:
What kind of preparations required for the
audit?
You will need to prepare the following for audit:
Auditor
Facilities
Transportation
Tools and documents
Times and period of audit
System components
Grading criteria
Communication and Reporting
17. What could actually happen if you don’t prepare well
for the audit?
Conflictions
Different criteria for grading
Inaccurate results
Unorganized reporting
Wrong conclusions and actions
18. 1.6 Assign the timing, schedule and
responsibilities for an audit
Conducting OHS audit on a company must be
well organized. You will need to arrange your
time for audit according to the company/site
you are auditing.
For example a company starts on 9:00 a.m.
You will also need to arrange schedule of
auditing. Audit schedule is arranging
departments audit, and what will be audited,
when will be audited and with whom.
19. 1.6 Assign the timing, schedule and
responsibilities for an audit
Responsibilities of an Auditor:
The auditor has responsibilities, it includes
certain objectivity, evidence collection, certain
areas to be covered, scopes to be covered and
different topics to be considered.
These responsibilities Must be defined and
communicated.
An auditor definition and competency:
Auditor: a person appointed and authorized to
examine certain parts, topics, systems n certain
time and according to certain standards.
20. 1.6 Assign the timing, schedule and
responsibilities for an audit
Competency of an Auditor:
A competency:
It is the ability of an individual to perform a job
or task properly, being a set of defined
knowledge, skills, and behavior. The Framework
provides a structured guide, enabling the
identification, evaluation, and development of
those competencies in individual internal
auditors and ensure external auditors are
competent.
The competency of an auditor is defined by his
training, experience, understanding for the
process he is auditing, education, certifications
from certain bodies
21. 1.7 Submit an audit plan for approval
The audit plan should address:
Audit site and boundary with overview;
Scope and objectives;
Site personnel interview, site inspection, audit protocols, site logistics and administrative
arrangement;
Audit schedule and milestones.
This Plan should be communicated to all stockholders (All benefits and engaged to the audit
process) for approval
Documentation for every step of the audit is essential. It defines how accurate the audit and
serve as reference for correcting r reviewing the process or the findings.
Documented plan should be communicated to everybody involved in the audit process.
A two ways communication must be established to get feedback on the process, results and
applying any modifications.
22. Element 2:
Develop Environment Health and Safety audit tool
performance requirements
2.1 Determine audit tools to be used with team
2.2 Verify that audit tools enable collection of required evidence in a
timely and efficient manner
23. 2.1 Determine audit tools to be used
with team
Audit tools: A prepared
methods to be used in the
audit to check and record all
aspects of requirements. It is
used for checking, recording
and unifying data collection
and recording process.
24. 2.1 Determine audit tools to be used
with team
Checklists
Checklists are very useful tools to use to ensure that:
• Different tasks or topics are included during the audit; and
• Nothing is missed, in specialized cases where a complex range of issues and
questions need to be asked.
One of the limitations of checklists is that there is a tendency to rely too much on
a checklist and not look at:
• Matters that arise beyond the contents of the checklist or secondary questions;
and
• Issues that may develop as a result of other information or observations.
A checklist with all sections carefully ticked off is not necessarily a true reflection
of, say, a fully compliant site. It is for that reason that additional information needs
to be used in support of checklists.
25. 2.1 Determine audit tools to be used
with team
Questionnaires (Audit Protocols)
Audit protocols or audit questionnaires are based upon
checklists questionnaires but include more detail and
sometimes logistical information and data relating to the
audit and the site being audited.
When developing protocols, every effort should be made
to avoid generating questions that can be answered by a
simple “yes” or “no”.
Questioning
Questioning should be posed in a neutral, friendly
manner to prevent the auditee feeling defensive or
threatened by the nature and content of the questions.
26. 2.1 Determine audit tools to be used
with team
Observation
Observation is a disciplined activity which must be:
• Carried out in a very deliberate and controlled manner; and
• Accurately noted, analysed and recorded
Photographs
Photographs are a very valuable aid in the audit process. However, in order
to use them, formal approval to bring a camera on to site for the audit
must be obtained before the audit begins.
27. 2.1 Determine audit tools to be used
with team
Research
It is useful to try and undertake some background research and
investigation into the site to be audited.
Familiarization with the operations, products, raw materials reports, press
material and newspaper articles all provides useful background
information to supplement questioning sessions and help understand the
operational processes.
28. 2.2 Verify that audit tools enable collection of
required evidence in a timely and efficient manner
Ensure audit tools accurately reflect the criteria of the audit, the nature of
risks, and that relevant information and data types are identified
Ensure audit tools focus on OHS management processes
Ensure audit tools can be used with consistent outcomes by all members
of the audit team
Ensure audit tools can be used to collect evidence in a timely and efficient
manner
Trial audit tools to ensure effectiveness and correctly modify as required
29. Element 3:
Conduct Environment Health and Safety audit
activities
3.1 Conduct a preliminary evaluation by the audit team
3.2 Conduct initial meetings and worksite familiarization
3.3 Monitor audit plan progress with stakeholders to ensure audit
objectives and time lines are met
3.4 Coordinate the collection of records of evidence and findings in
required format
3.5 Verify that data collection and audit activities comply with legal
requirements and are conducted ethically
3.6 Arrange close-out meetings with key personnel in accordance
with the audit plan
30. 3.1 Conduct a preliminary evaluation
by the audit team
It is useful to have an auditor meeting before the audit to allocate specific
assignments to auditors and confirm details and deadlines.
The EHS auditor should review all information and data relevant to the
scope and objectives of the audit, including but not limited to the:
• Activities currently and previously undertaken on and around the premises/location;
• Industry best practice;
• Roles and responsibilities within the auditee’s organization;
• History relating to compliance with statutory controls, including licenses and
notices;
31. 3.1 Conduct a preliminary evaluation
by the audit team
• Wastes generated, including emissions to air, emissions to water,
discharges to land (e.g. waste burial), discharges to groundwater, and
noise;
• Waste management, including waste storage, handling, transport and
disposal;
• EHS impact, including adequacy of EHS monitoring and reporting;
• EHS protection measures, including pollution control equipment,
materials handling, contingency plans, and process control;
• Management tools, including any EHSMS, and organization policies and
procedures; and
• Previous EHS audit reports and records of any follow up action.
32. 3.2 Conduct initial meetings and
worksite familiarization
A pre-audit meeting is the opportunity to:
• Meet the auditee and deal with any concerns;
• Gather any documentation that the audit team can study before arriving on site;
• Hand over the audit protocol and audit plan to discuss in advance of the audit
itself;
• Reinforce the scope and objectives of the audit; and
• Discuss practicalities associated with the audit (e.g. key staff, photographs on site,
site tour, access to documentation, etc.).
33. 3.3 Monitor audit plan progress with stakeholders
to ensure audit objectives and time lines are met
Lead EHS audit activities
Monitor the progress of the audit plan with management and/or audit
team members to ensure resources are being used as planned, and that
the audit objectives and audit timelines are being achieved.
34. 3.4 Coordinate the collection of records of
evidence and findings in required format
Valid and reliable evidence (VARKS):
The evidence collected is weather reflecting
the true nature/case of EHS management
system and risk controls or it will be wrong
deduction.
The accuracy of evidence comes from checking
with management, workforce and verify it with
the documents provided.
35. 3.5 Verify that data collection and audit activities comply
with legal requirements and are conducted ethically
An EHS assessment audit is an instrument used to check that an EHS
Impact Assessment complies with the minimum legal requirements.
You need to review data collected legally and ethically. Only collect data
you are authorized to collect. No irrelevant data to be collected or used
Time must be allowed for the team to:
• Consolidate its findings; and
• Prepare the basis for the preliminary report back to be given at the exit
meeting.
integrity, which means guarding against improper information
modification or destruction, and includes ensuring information
nonrepudiation and authenticity;
36. 3.6 Arrange close-out meetings with key personnel in
accordance with the audit plan
The exit meeting is run by the lead auditor and is the mechanism to
feedback broad, preliminary findings to site management and staff before
the audit team leaves the site.
This must be organized in the audit plan (attendees, points to be
mentioned, strength, weakness and overview for the audit conducted)
37. Element 4:
Report on the outcomes of the Environment Health
and Safety audit
4.1 Present the summary audit findings and recommendations to
management at a close-out meeting
4.2 Evaluate results against the audit criteria in conjunction with
management
4.3 Present objective evidence with clear and concise findings,
including the benefits to be achieved by adoption of the audit report
recommendations
4.4 Anticipate possible challenges to the report
4.5 Document recommendations to management regarding corrective
action and follow-up processes clearly and concisely
38. 4.1 Present the summary audit findings and
recommendations to management at a close-out
meeting
A close-out meeting will be held with management at the end of audit.
Lead Auditor will be presenting findings collected by his team to make sure
both sides are aware of it. Recommendations suggested by the audit team will
be presented in this close out meeting.
All findings must be recorded and communicated to key personals in the site.
A verbal communication of an audit summary to be communicated with key
personals during the closing meeting of an audit.
It includes the process since beginning, results, pass/fail, NCR
Present NCR (Non Conformities) with explanation of the evidence and
conclusions.
Recommendations for the NCR and hazards found.
39. 4.2 Evaluate results against the audit criteria in
conjunction with management
Scoring systems can be used in auditing along with
judgements and recommendations. This can be
seen as a useful way to compare sites or monitor
progress over time.
Site management, tend to understand the audit
results in more simple way. You can use scoring
system to provide general score for system
strength.
Every criteria audited, must be evaluated and has
confirming evidence.
You can use descriptive scoring system or
numerical. (Low medium and high) (1,2,3,4 and 5).
40. The report should contain the following information:
The objectives of the EHS audit;
The scope of the audit, including the audit criteria;
When the audit was conducted;
Audit methodology, including:
the documentation reviewed;
site visits;
data collection and evaluation;
the manner and extent of the involvement of expert support team members in the conduct of audit;
Evidence used to assess the audit criteria;
Findings;
Conclusions;
Recommendations to address areas of non-compliance; and
41. OHS Report form
1. The title page
2. Executive summery
3. Contents
4. Introduction
5. Main body
6. Conclusion
7. Recommendations and corrective
actions
8. Appendices
OHS
INSPECTION
REPORT
43. 4.3 Present objective evidence with clear and concise
findings, including the benefits to be achieved by adoption
of the audit report recommendations
Recommendations from the audit is important to be
relevant, suitable and accepted by auditee.
Recommendations to be built in accordance with the
inspections and accurate review for documents.
Recommendations to be given after reviewing and
checking with key personals inn the site.
The recommendations to be specific, clear, timely
suitable, with relevance to standards and suitably
communicated to make sure the receivers accept it.
45. 4.5 Document recommendations to management
regarding corrective action and follow-up processes
clearly and concisely
Very crucial in OHS inspection reports
Have to be specific & achievable
Responsible parties must be assigned
Time limit must be set clear; according to the
risk level
Based on the findings (to rectify violations)
