Download - HSE Auditors Training
![Page 1: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/1.jpg)
HSE Auditing
byAdebiyi Adeleke Adeosun
Paradigm Environmental System Consultants,Lagos.
![Page 2: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/2.jpg)
Why is HSE Audit becoming popular?
• Increasing corporate sensitivity to HSE problems
• Increasing complexity of the regulatory programs
“Corporate managers wants to verify the quality and effectiveness of their firms HSE MS- processes and procedures”
![Page 3: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/3.jpg)
Why is HSE Audit becoming popular?
HSE Audits are defined as a systematic, documented, periodic and objective review of facility operations and practices related to meeting HSE requirements
“they are different from regulatory agency inspections in that they are performed by or on behalf of the regulated entity, and deal with broader concerns than compliance with a single regulatory program
![Page 4: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/4.jpg)
Audits can be modified to achieve following objectives
• Identification of both regulated and unregulated risks to health and environment associated with processes and operations conducted on site
• Identification and evaluation of opportunities for waste minimisation
• Identification and planning and budgetary purpose, of those control investment necessary to meet anticipated regulatory developments
• Identification and evaluation of risks and liabilities involved in past on site and offsite disposal practices
![Page 5: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/5.jpg)
• Assessment of facilities emergency response capabilities
• Identification and evaluation of regulatory requirement and potential liabilities associated with major modification to existing facilities
• Compliance with regulatory requirement
Audits can be modified to achieve following objectives contd.
![Page 6: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/6.jpg)
Audit- a process which
…. Collects, analyse, interprets and documents information sufficient to achieve objectives
…..includes specific procedures to promptly prepare candid and appropriate written report on findings, corrective action, schedule and implementation
……quality assurance procedures to assure the accuracy and thoroughness through supervision, independent internal review and evaluation
![Page 7: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/7.jpg)
Two main criteria for effective audit• First, audit should be designed to be as comprehensive
as possible given the specific objectives in– Identifying activities and – Conditions Which could have adverse effect
• Second, it should not be seen as a one-time-only occurrence but as an integral part of the rational management process that includes evaluation of any problem identified in terms of potential consequence
Given these two criteria, a good audit should be multidimensional
•Compliance• risk evaluation
![Page 8: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/8.jpg)
Essential Element of an Effective Audit
• Top management support and commitment to follow up on audit findings
• Simple and manageable audit process• Utilisation of in-house personnel where possible• Appropriately trained staff• A standardised approach• Specific audit program objectives, scope,
resources and frequency
![Page 9: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/9.jpg)
Contd.
• Sensitivity to confidentiality• A process that obtains appropriate and
sufficient information• Procedures for documentation of findings,
follow up on corrective action of schedule for implementation
• A process that includes quality assurance procedures to ensure the accuracy of audits
![Page 10: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/10.jpg)
AUDITTYPE
ITEMSCONSIDERED
ORGANISATIONAFFECTED
MANAGEMENT
FUNCTIONAL
INSPECTION
COMMITTMENT
POLICIES
ORGANISATIONAL EFFECTIVENESS
RESOURCESREPORTING LINES
PROGRAMS AND PERMITS IN PLACE
TRAINING PROCEDURES
QA/QC
PROCEDURAL PRACTICESRECORD KEEPING PRACTICES
TRAINING /AWARENESS
HOUSE KEEPING
PHYSICAL COMPLIANCE OF FACILITY
TopManagement
MiddleManagement• Operations• Facility• HSE
Direct Labour• Operations• Facilities
![Page 11: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/11.jpg)
Pre Audit Activities• Select activity or activities to be audited• Ensure top management commitment
• Select audited objectives• Define audit scope
• Select audit team• Ensure independence and objectivity
Plan• Define roles and responsibilities• Ensure top management commitment
Prepare audit team• Understand activities and management system• Review previous audit/review
• Prepare questionnaire• Review questionnaire• Develop checklist
![Page 12: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/12.jpg)
On site Activities
• Discuss with personnel on site
Carry out a SWOT Analysis• Determine standard
Gather evidence• Inspect activities, processes• Review documents
Evaluate findings• Determine performance• Check for non conformances
Prepare audit findings and conclusions
![Page 13: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/13.jpg)
Post Audit Activities
Prepare Audit ReportCommunicate to the company
![Page 14: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/14.jpg)
Follow Up
Audit follow up•Develop corrective action plan•Establish mechanism to ensure
follow up
![Page 15: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/15.jpg)
HSE Management System Aspects
• Corporate Policy• Standard Operating Procedures• Organisational Assignment of
responsibilities/authority• Internal Inspection and evaluation system• Reporting system• Training and continuing education• Planning
![Page 16: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/16.jpg)
Types of Audit
• Regulatory Compliance Audit (RCA)• Process Safety Audit• Occupational Health Audit• Product Quality Audit• Liability Audit• Management System Audit
![Page 17: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/17.jpg)
Assessing Strength and Weakness
• Compile a list of issues from the questionnaires
• Rank issues in terms of risk• Compare obtained response with
– Policy objectives– Regulatory standards– Self-set targets– Industry best practices
![Page 18: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/18.jpg)
Internal Audit Program
• Definition
A relatively inexpensive proactive approach to staying on top of HSE regulatory onslaught, while keeping current with technological practices
![Page 19: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/19.jpg)
HSE Audit
…. is a means of measuring the performance of HSE activities or practices at a facility against some standards or commitment
![Page 20: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/20.jpg)
Standards?
“Standards” – generally written documents accepted by or imposed upon program management.
These documents then serve as yardsticks of measurement of performance
![Page 21: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/21.jpg)
Standard
Standards could be anything from– Federal– State– Local– Codes– Regulations to be established from engineering specs– Standard Operating Procedures (SOP)– Good management practices– Corporate or departmental policies– or just plain “common sense”
![Page 22: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/22.jpg)
Sufficient and reliable information
• Factual• Adequate• Convincing• Consistent• Candid• ClearThrough the use of appropriate techniques in
– Interviewing
![Page 23: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/23.jpg)
Why Internal Audit
“ If an appropriate effort is initiated by a facility for internal audit, then the facility should adequately be prepared for external audit.
Audit is a tool.
![Page 24: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/24.jpg)
Audit a tool?
• Management Tool– Appraisal of current compliance– Improvement of corporate image– Early warning device for impending problems
• Training Tool (Dry run)– Increasing overall level of awareness
![Page 25: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/25.jpg)
Audit a tool? (contd.)
• Risk Management Tool– Improvement of risk management system by
reducing HSE risks and liabilities
• Management accounting Tool– Control of compliance cost
• Line Management Tool– Improvement of overall performance at operating
level
![Page 26: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/26.jpg)
Audit a tool? (contd.)
• Program-wide Tool– Development of proactive management program
for optimising resources
• Bottom-line Tool– Reducing/elimination of non-compliance
conditions and fines due to violation
![Page 27: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/27.jpg)
Points to note!
Do not execute an internal audit of a facility unless top management intends to correct all non-compliance conditions or provide a reasonable schedule for implementation of corrective actions.
Audit documents are tenable for criminal prosecution of individual as well as citation and fines against corporations
![Page 28: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/28.jpg)
Once an audit of a facility is conducted and documented, the documentation can, under certain circumstances, be requested by regulators
![Page 29: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/29.jpg)
Basic Audit Tools
• The S/H/E audit process is most commonly supported by some important tools: the audit protocol and the working papers.
Audit Protocols
• Names for the various documents that guide the auditor while conducting the audit include audit protocols, audit work programs, review programs, checklists, and audit guides.
• An audit protocol represents a plan of how the auditor is to accomplish the objectives of the audit.
![Page 30: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/30.jpg)
Audit Protocols……..
• An audit protocol also provides the basis for assigning specific tasks to individual members of the audit team, for comparing what was accomplished with what was planned, and for summarizing and recording the work accomplished.
• A well-designed audit protocol can also be used to help train inexperienced auditors and reduce the amount of supervision required by the audit team leader.
• The audit protocol itself is a listing of auditing procedures that are to be performed to gain evidence about safety, health, and environmental practices.
![Page 31: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/31.jpg)
Who performs the audit ?
• Knowledge of auditing process• Knowledge of all applicable regulations and standards• An independent viewpoint• Familiarity with facility history and processes• Knowledge of corporate policy• An understanding of facility organisation• Knowledge of facilities management philosophy• Sensitivity to employees concerns
Basic qualities/skills of any auditor
![Page 32: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/32.jpg)
Use of consultants
• Experience in auditing process• Current expertise in multiple regulatory programs• Obtaining an impartial survey of facility• Quick turn around time• Minimal time spent and involvement by facility
personnel
Advantages
![Page 33: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/33.jpg)
Review all materials obtained
• All materials received must be– Thoroughly and critically reviewed
• Design and develop follow up question where necessary information is missing or poorly communicated
• Identify– Key players– Key issues– Types of facilities– Programme Strength and Weakness
![Page 34: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/34.jpg)
Preparation of Working Papers• Prepare a pre-visit questionnaire
a) List items to be provided to the team for review which may include
• Permit
• Inspection/Training records
• Analytical data
• Site inspectionb) A list of the questions to be answered concerning
• Organisational chart
• Resource allocation
• Assigned responsibilities
• Physical plant layout
Make responses simple – Yes or No or Not
Applicable
![Page 35: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/35.jpg)
Preparation of Working Papers
Lastly, send out pre-visit questions to the operations to be audited to be accompanied by an appropriate letter from the top management to announce the HSE audit
• topic• issues• timing
![Page 36: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/36.jpg)
List of departments that must be involved in the HSE Audit
• Management• Operations• Maintenance• Legal• Purchasing• HSE• Facility Support Engineering• QA• Emergency Response
![Page 37: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/37.jpg)
Basic Structure of a well executed audit
• Pre Audit• Field Visit• Post Audit• Follow-Up
![Page 38: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/38.jpg)
Pre Audit Activities
• Determination of goals and objectives• Selection of targets, subject and scope
(Scoping meeting)• Plan and Schedule (Planning meeting)• Preparation (checklist, questionnaires)• Kick off (Pre visit exchange of information)• Review of materials recieved
![Page 39: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/39.jpg)
Objectives
Objectives are created by top management
They may be part of– compliance order– Consent decree– Settlement agreement with regulatory agencies
![Page 40: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/40.jpg)
Audit ObjectivesDetermine conformance of the HSEMS with the audit criteria
To determine whether the HSEMS has been properly implemented and is being maintained
To identify areas for potential improvement
Assessment of the internal management reviews process to ensure continuing suitability and effectiveness of the HSEMS
Audit Objectives
![Page 41: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/41.jpg)
Objective Evidence
Objective evidenceObjective evidence Examination of system documentation
Interview, demonstrating training, understanding and competence
Observation of actual practice or physical evidence demonstrating compliance/control
Records (data, lists, report) demonstrating compliance/ capability/ performance
““First hand” evidence, First hand” evidence, based on witnessed based on witnessed
facts, not supposition, facts, not supposition, presumption, hearsay, presumption, hearsay, rumour, conjecture etcrumour, conjecture etc
![Page 42: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/42.jpg)
Records…• OS&H Policy• Safety organization chart• Training Records on safety, fire and first aid• Accident investigation reports• Accidents and dangerous occurrences-Statistics
and analysis• Records of tests and examination of equipment
and structures• Safe operating procedures for various operations
![Page 43: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/43.jpg)
Contd.• Record of work permits• Record of monitoring of flammable and
explosives• Maintenance and testing records of fire
detection and fire fighting equipment• Medical records of employees• Records of industrial hygiene surveys(noise,
ventilation, illumination levels, airborne and toxic substances, explosive gases)
• MSDS
![Page 44: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/44.jpg)
Contd.• Onsite emergency plans and record of
mockdrills• Records of waste disposal• Records of effluent discharge to the
environment• Housekeeping inspection records• Minutes of Safety committee meetings• Approval of layouts and other approvals from
statutory authorities
![Page 45: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/45.jpg)
Contd.• Records of any modifications carried out in
plant and process• Maintenance procedure records• Calibration and testing records• Shutdown maintenance procedures• In service inspection manuals, records
including that of material handling• Safety Budget• Statutory Records, Previous audit reports,
Transportation of Hazardous substances
![Page 46: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/46.jpg)
Strategy
This is the guideline to accomplishing objectives
It may be:– Assess organisational effectiveness (management
audit)– Assess facility operational effectiveness (facility
audit)– Assess facility condition (physical inspection)
![Page 47: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/47.jpg)
FrequencyThis is dependent on
1. The activity type or industry2. Internal/External pressure3. Program conditions
It may be a yearly (annual), two-or-three year cycle program or optionally1st year – occupational health audit2nd year – safety audit3rd year – Behavioral safety audit
![Page 48: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/48.jpg)
Scope (select Target, Subject,)
• Target – Small aspect of a facility– Entire facility
• SubjectThis may be regulatory or self assessment
program
![Page 49: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/49.jpg)
Depth
Once target and subject is set, a decision must be taken on the depth and breadth of efforts
A detailed look at all documents related to:–Management strategy–QA–Maintenance system–HSE records
could be undertaken
![Page 50: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/50.jpg)
Plan and Schedule
Good communication is critical here.• Inform auditees of
– Purpose– Extent of involvement– Schedule
• Plan and know– Who is auditing what– Who or what authorises the audit
![Page 51: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/51.jpg)
Be sensitive of operational schedules- Do not waste people’s time
Have an estimate of time needed to visit site and look over document, then double it.
Finally, stick to your schedule.
Plan and Schedule
![Page 52: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/52.jpg)
Reporting Findings• The report should follow the below format
– A brief introduction• Purpose• Authority• Strategy• Terms of Refefence• Scope
– Report of the site/facility inspection• Evaluation of records• Non compliances/Conformance• Areas for improvement• Conclusion
![Page 53: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/53.jpg)
Reporting Findings
• Recommendations
• Follow Up Action Plan
The report should have an executive summary where a synopsis of the entire report is included
![Page 54: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/54.jpg)
Post Audit Activities• Corrective Action
– Documentation of Action Close-Out– Documentation of Action Plan
• Development of Critical Success Factor (CSF)– Commitment– Allocation of Resources– Budget
• Follow Up and Verification (Cross Functional)
![Page 55: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/55.jpg)
Evaluating Finding and Result
• Rules– Do not draw unsubstantiated conclusions– State the exact nature of the problem– Avoid generalisation– Use familiar terminologies– Communicate extent of the problems
• Compliance• Non compliance
![Page 56: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/56.jpg)
Evaluating Finding and Result
• Follow the below steps– Priorities the problems/impact– Allocate responsibilities– Develop an action plan– Implementation of the plan– Assess the effectiveness of the plan and
recommend change where necessary– Document and communicate
![Page 57: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/57.jpg)
Conducting and audit (types of information)
Verbal
Physical
Documentary
Circumstantial
Anecdotal
Interviews
Site visit &
Observations
Reviews
ObjectiveEvidence
![Page 58: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/58.jpg)
Collecting audit evidence: Document review
Documents to reviewed include
Records of complaints and prosecution
Procedures and work instruction
Previous audits and inspection
reports
Legal documents-permits, waivers
EIA, EER report
Monitoring data
HSE Case/HSE MS
Process flow diagrams
Site and plant layout plans and diagrams
Incident records
Training records
![Page 59: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/59.jpg)
Collecting audit evidence: Site visit
Examples of areas to focus on during
site visit
Points of discharge to
surface waterGeneral
housekeeping
Accident & Emergency procedures and
activities related to actual or potential
hazards
Waste storage and disposal facilities
Chemicals and drum storage
Diesel storage area
![Page 60: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/60.jpg)
Audit findings
Audit findings
The audit team must review all of the audit evidence to determine whether the HSEMS conforms to audit criteria
Nonconformity issues are properly documented in a clear and concise way and are supported by objective audit evidence
The audit findings needs to be reviewed with the auditees
The audit findings should be agreed between the auditors and the auditees
![Page 61: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/61.jpg)
Audit findings
Audit findings
Major non-conformances
Minor non-conformances
Observation
![Page 62: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/62.jpg)
Legal Issues and Protection of Audit Document
States:
• The attorney-client privilege
• The work-product privilege
• The self evaluation privilege
![Page 63: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/63.jpg)
Gathering Audit Evidences-Field visit
Arrange a meeting or preferably informal session with each group
–Explain the purpose–Authority –Confidentiality agreements–Facility to be audited–Documents to be surveyed
Establish good rapport.
![Page 64: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/64.jpg)
Gathering Audit Evidence- Review program/documentations
• Present previous findings• Interview with pre-designed questionnaires• Questions must be in three parts
– Management (policies/resources)– Senior management (system)– Technical questions (procedures, process,
guidelines)
![Page 65: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/65.jpg)
Out briefingTwo separate sessions
– Management must be briefed first– All other key participants should be invited to a
general facility outbriefing
Outbriefing should be brief normally (15-30 mins)
Review• Good highlights• Bad highlights
![Page 66: HSE Auditors Training](https://reader033.vdocument.in/reader033/viewer/2022061119/546b1f56b4af9fc6128b4cba/html5/thumbnails/66.jpg)
Outbriefing
Take note of areas for improvement and stress that they are general impressions and that more detailed comment will be produced in an indepth report.