Steps For Hse Auditing Procedure 6e2k7
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Mario Soares, MPH, CBSP, SM(NRCM), RBP Director, Environmental Health and Safety & Infection Prevention and Control
At the conclusion of the presentation, the audience will understand: ◦ The regulations impacting the EHS field. ◦ Internal and external auditing strategies conducted to ensure compliance. ◦ Challenges with auditing EHS practices. ◦ Impact on current and future strategies.
INTERNAL
Value in improving the bottom line of the business. Based on the effectiveness of processes in the safety management system. Identify gaps and creates opportunities for improvement. Cost avoidance.
EXTERNAL
Conformance to applicable regulations and standards.
The primary purpose of a safety internal audit is to that an organization has a safety management system in place that meets the stated requirements. ◦ Comparing documentation. ◦ Reviewing records. ◦ Evaluating safety activities (state and federal requirements). ◦ Verification of conformance.
conformance to applicable regulations and standards. conformance to documented procedures. effectiveness of safety processes in the system. Identify opportunities to improve the safety system.
OSHA/TAC EPA/TCEQ DOT/IATA NIH NFPA/City/AHJ CDC/APHIS (USDA) NEC FDA DOE
Step 1: Define and understand the scope of the audit Step 2: Review applicable standards and regulations Step 3: Prepare process models Step 4: Review applicable documentation Step 5: Review previous audits Step 6: Create an effective checklist Step 7: Perform a pre-audit meeting
Step 1: Define and understand the scope of the audit by requesting ◦ Copies of procedures or other documentation to be audited. ◦ Copies of processes to be audited. ◦ Results from previous audits.
Step 2: Review applicable standards and regulations ◦ Clearly define the sections of the standards apply. ◦ If requirements are unclear, seek clarification with the auditee. ◦ Tool to understand process methodology.
Step 3: Prepare process models ◦ Understand the inputs and outputs of the process. Control
Input
Activity
Activity Process
Resources
Activity
Output
Step 3: Prepare process models (cont.) ◦ What METRICS are maintained to determine the effectiveness of the process? ◦ Who participates in the process? ◦ What information is needed to perform the process effectively? (procedures, work instructions, manuals, etc.) ◦ What PPE, training, engineering controls , equipment calibrations are required for the process?
Step 4: Review applicable documentation ◦ Safety manual
◦ Procedures ◦ Work instructions
Step 5: Review previous audits ◦ Both internal and external audits. ◦ Evaluate the effectiveness of action taken for previous findings. ◦ Repetitive audit findings in a given area may be an indicator of a broken process.
Step 6: Create an effective checklist/tool ◦ Can be designed to fully evaluate conformance to specific regulations standards and documents. ◦ Evaluate effectiveness of safety process. ◦ Must be used as a guidance tool for the audit and not a script.
Step 7: Perform a pre-audit meeting ◦ ◦ ◦ ◦
Purpose of the audit. The audit plan. The time and location of the closing meeting. Questions or from the auditee.
Always invite questions from the auditee.
Invite the auditee to read the notes taken during the audit and correct any errors.
Invite the auditee to raise any safety concerns or questions that may need attention.
the auditee is the customer.
◦ Broad scope – “Safety is everyone’s responsibility.” ◦ Very technical field with several subspecialty areas. ◦ Multiple tiers of regulations and standards.
Safety management systems are audited.
Parts of safety process are typically audited.
Conformance with specified regulations and standards.
Safety Management System
Regulatory Compliance
Safety Process
Safety Management System
Regulatory Compliance Safety Process
PROCESS AUDITING Process Auditing (Layout) OP- Opportunity F- Findings
Main Audit Area 6
4.2.1
5.5.1
4.2.4
1
3
5
5.4.1
8.4
7
9
8.5.1 (OP) 10 8.5.2 (F) 8.5.3 (OP)
2
4 6.2.2
4.2.3
Inputs
8 8.2.3
Look for: *If your meting goals (OK) *If not, ask what’s holding you back (NG-Can Lead to):
Outputs
1) Do you have a documented procedure? 2) How do you know it is the latest revision? 3) Who has the responsibility and authority for this process? 4) What are the training requirements? 5) Show me the training records. 6) Walk me through the process 7) What are your objectives for this process? 8) Show/explain to me how you monitor & measures this process. 9) What do you do with the data you’ve collected? 10) Is there any opportunity for corrective or preventive actions or continual improvement?
Depending on responses, it can lead you to other areas: 6.1 8.2.3 6.3 or 6.4
At the conclusion of the presentation, the audience will understand: ◦ The regulations impacting the EHS field. ◦ Internal and external auditing strategies conducted to ensure compliance. ◦ Challenges with auditing EHS practices. ◦ Impact on current and future strategies.
INTERNAL
Value in improving the bottom line of the business. Based on the effectiveness of processes in the safety management system. Identify gaps and creates opportunities for improvement. Cost avoidance.
EXTERNAL
Conformance to applicable regulations and standards.
The primary purpose of a safety internal audit is to that an organization has a safety management system in place that meets the stated requirements. ◦ Comparing documentation. ◦ Reviewing records. ◦ Evaluating safety activities (state and federal requirements). ◦ Verification of conformance.
conformance to applicable regulations and standards. conformance to documented procedures. effectiveness of safety processes in the system. Identify opportunities to improve the safety system.
OSHA/TAC EPA/TCEQ DOT/IATA NIH NFPA/City/AHJ CDC/APHIS (USDA) NEC FDA DOE
Step 1: Define and understand the scope of the audit Step 2: Review applicable standards and regulations Step 3: Prepare process models Step 4: Review applicable documentation Step 5: Review previous audits Step 6: Create an effective checklist Step 7: Perform a pre-audit meeting
Step 1: Define and understand the scope of the audit by requesting ◦ Copies of procedures or other documentation to be audited. ◦ Copies of processes to be audited. ◦ Results from previous audits.
Step 2: Review applicable standards and regulations ◦ Clearly define the sections of the standards apply. ◦ If requirements are unclear, seek clarification with the auditee. ◦ Tool to understand process methodology.
Step 3: Prepare process models ◦ Understand the inputs and outputs of the process. Control
Input
Activity
Activity Process
Resources
Activity
Output
Step 3: Prepare process models (cont.) ◦ What METRICS are maintained to determine the effectiveness of the process? ◦ Who participates in the process? ◦ What information is needed to perform the process effectively? (procedures, work instructions, manuals, etc.) ◦ What PPE, training, engineering controls , equipment calibrations are required for the process?
Step 4: Review applicable documentation ◦ Safety manual
◦ Procedures ◦ Work instructions
Step 5: Review previous audits ◦ Both internal and external audits. ◦ Evaluate the effectiveness of action taken for previous findings. ◦ Repetitive audit findings in a given area may be an indicator of a broken process.
Step 6: Create an effective checklist/tool ◦ Can be designed to fully evaluate conformance to specific regulations standards and documents. ◦ Evaluate effectiveness of safety process. ◦ Must be used as a guidance tool for the audit and not a script.
Step 7: Perform a pre-audit meeting ◦ ◦ ◦ ◦
Purpose of the audit. The audit plan. The time and location of the closing meeting. Questions or from the auditee.
Always invite questions from the auditee.
Invite the auditee to read the notes taken during the audit and correct any errors.
Invite the auditee to raise any safety concerns or questions that may need attention.
the auditee is the customer.
◦ Broad scope – “Safety is everyone’s responsibility.” ◦ Very technical field with several subspecialty areas. ◦ Multiple tiers of regulations and standards.
Safety management systems are audited.
Parts of safety process are typically audited.
Conformance with specified regulations and standards.
Safety Management System
Regulatory Compliance
Safety Process
Safety Management System
Regulatory Compliance Safety Process
PROCESS AUDITING Process Auditing (Layout) OP- Opportunity F- Findings
Main Audit Area 6
4.2.1
5.5.1
4.2.4
1
3
5
5.4.1
8.4
7
9
8.5.1 (OP) 10 8.5.2 (F) 8.5.3 (OP)
2
4 6.2.2
4.2.3
Inputs
8 8.2.3
Look for: *If your meting goals (OK) *If not, ask what’s holding you back (NG-Can Lead to):
Outputs
1) Do you have a documented procedure? 2) How do you know it is the latest revision? 3) Who has the responsibility and authority for this process? 4) What are the training requirements? 5) Show me the training records. 6) Walk me through the process 7) What are your objectives for this process? 8) Show/explain to me how you monitor & measures this process. 9) What do you do with the data you’ve collected? 10) Is there any opportunity for corrective or preventive actions or continual improvement?
Depending on responses, it can lead you to other areas: 6.1 8.2.3 6.3 or 6.4
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