Occupational Hazard Prevention Audit Process

Posted on Nov 25, 2024 in Law & Jurisprudence

Occupational Hazard Prevention Audit Theory

Item 4: The Audit Process

Contents

  1. Introduction
  2. Objectives
  3. The Audit Process
  4. Initiation of the Audit
  5. Preparation and Planning
  6. Implementation
  7. Termination
  8. Technical Standards for the Final Report
  9. Notes on OHSAS 18001 Audits
  10. Synopsis
I. Introduction

This chapter summarizes the techniques and stages of conducting an audit. It addresses complex aspects not normatively fixed and elaborates on evidence collection for the final report. It also covers the legally established structure and content of the final report, pre-delivery circumstances, and criteria adopted by the National Institute for Occupational Safety and Occupational Health for conducting audits using OHSAS standards.

II. Objectives
  • Understand the different phases of an audit.
  • Describe the Final Audit Report.
  • Provide insights into national and international audit criteria.
III. The Audit Process

The audit process identifies methods and actions for independent auditors of prevention systems. Article 30.3 of Royal Decree 39/1997 mandates the audit methodology to include:

  1. Analysis of documentation: prevention plan, risk assessment, preventive planning, and other relevant company information.
  2. Field analysis: verifying documentation accuracy through site visits and sampling techniques.
  3. Assessment: adequacy of the company’s prevention system.
  4. Conclusions: effectiveness of the company’s occupational hazard prevention.

The audit process consists of four phases (five with the final report):

  • Initiation
  • Preparation and Planning
  • Implementation
  • Completion
  • Final Report
IV. Initiation of the Audit

The initiation involves crucial initial steps with the audit team and the organization’s management system. Diligence in this phase is crucial. The following activities are considered:

  • Preliminary meeting
  • Determining the scope
  • Contract or letter of request
  • Preliminary analysis of the management system

Preliminary Meeting: This meeting collects data on:

  • Activity
  • Structure and organization
  • Workplace situation
  • Common hazards
  • Governing Law
  • Number of workers
  • Work teams
  • Audit type
  • Audit deadline
V. Preparation and Planning

Preparation and planning involve creating a flexible audit plan outlining the strategy, objectives, scope, and procedures. The plan should include:

  • Objectives and scope
  • Responsible personnel
  • Reference documents (e.g., prevention plan, OHSAS 18001)
  • Audit team members
  • Audit language
  • Date and location
  • Areas to be audited
  • Duration of activities
  • Workplaces audited
  • Materiality criteria
  • Audit risk assessment
  • Reliability of internal controls
  • Expert participation
  • Audit tests and sampling
  • Meeting schedule
  • Confidentiality requirements
  • Report distribution
VI. Implementation

This phase involves fieldwork, evidence collection, and analysis. An initial meeting reviews objectives, scope, methods, communication links, and resources. Evidence collection is crucial for an objective opinion, using methods like:

  • Documentary inspection
  • Process observation
  • Interviews
  • Visual inspection
  • Measurements
VII. Termination

This phase focuses on finalizing the audit report. A final meeting presents the results to the auditee. The report, as per Royal Decree 39/1997, must include:

  1. Auditor identification
  2. Company identification
  3. Purpose and scope
  4. Report date
  5. Basis of the audit (including worker representative information)
  6. Methodology and standards used
  7. Description of audited elements and results
  8. Conclusion on prevention effectiveness and employer compliance
  9. Auditor signature
VIII. Technical Standards on the Final Report

The auditor must adhere to specific standards, including assessing the prevention system’s compliance with legislation, integration within the company, adequacy of resources, risk assessment accuracy, and expressing a clear opinion. The report should include:

  • Title (“Audit Report”)
  • Client identification
  • Audited entity identification
  • Scope of the audit (documents, standards, limitations)
  • Results (opinion on suitability and effectiveness)
  • Exceptions (nonconformities and reasons)
  • Conclusions (relevant matters not impacting the opinion)
  • Auditor’s name, address, and registration
  • Auditor’s signature
  • Report date
IX. Notes on OHSAS 18001 Audits

OHSAS 18001:2007 is a voluntary standard for occupational health and safety management systems. It emphasizes continuous improvement (PDCA) and management commitment. The standard requires an audit program to determine system compliance, implementation, effectiveness, and to provide management information.

X. Synopsis

The audit process includes initiation, preparation and planning, implementation, completion, and the final report. Two main criteria are currently used for audits: those by the National Institute for Occupational Safety and Occupational Health and those established by OHSAS 18001.