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EHS4019_Participate in an Environment Health and Safety 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 Criteria: A set of policies, procedures or requirements (used as a reference).
Audit Scope: The boundaries of audit, i.e. location, organizational units, activities and processes to be audited.
Auditor: 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 registered by OSHAD as «Lead Auditor» based on Qudorat requirements,
international standards, experience and qualifications in conducting OSH audits.
EHS Inspection: EHS audit is a physical on-site verification that work is performed and equipment is maintained
in accordance with existing EHS standards and procedures.
Audit Client: The client is the individual or organization that commissions the audit. In the case of an external
audit, it may be the Chief Executive Officer of an organisation or the EHS Manager. In the case of an internal audit,
it could be the department head or the Audit Manager.
Auditee: The auditee is, normally, the person who answers the questions put by the audit team and supplies the
necessary support data and evidence to back up verbal responses to questions. In practice, the auditee’s role is to
manage the logistics of the audit.
Non-Conformance: Non-conformance is any deviation from work standards, practices, procedures, regulations,
management system performance, and etc. that could either directly or indirectly lead to injury or illness, property
damage, damage to workplace environment, or a combination of these.
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.
OSHAD Audit Findings:
Positive Point: Worth mentioning points of strength, good practice which organization should continue.
Satisfactory: Fully meets requirements and expectations and effectively implemented.
Observation: Requirements and expectations are met, but with minor inadequacies or omissions and/ or in the
opinion of the auditor preventive action will improve effectiveness of the implemented OSHMS; corrective action is
not mandatory.
Minor Non Compliance: Issues which reduce the effectiveness of the OSHMS implementation, partial
breakdown of a process of OSHAD-SF; corrective action is mandatory
Major Non Compliance: Issues which can result in harm to human health & safety or a complete breakdown of
a process of OSHAD-SF or ‘Minor NC’ which is observed consistently in the organization; corrective action is
mandatory.
Corrective Action: Steps that are taken by an entity to remove the causes of a non conformity or undesirable
situation. The corrective action aims to prevent the recurrence of non-conformities or undesirable situations.
Corrective action is a process to prevent the recurrence of non-conformances.

4.1 Before the Audit


4.1.1 Audit Schedule: An annual audit schedule is developed by identifying the entities to be audited taking into
consideration the risk level, entities activities, performance and other criteria. The audit dates and duration (number
of audit days) selected for each entity based on the risk level, complexity of operations and entity’s number of
locations required to be audited.
4.1.2 Audit Scope: The objective of audit is to verify the effective implementation of OSHAD-SF requirements as
applicable to the entity’s operations and activities. The scope of OSHMS compliance audit includes review of
documents & records, interviews with selected facility staff and a sample inspection of equipment, operations,
activities, facilities and locations of the audited entity.
EHS4019_Participate in an Environment Health and Safety Audit

4.1.3 Audit Team: The audit team consists of lead auditor and a number of OSHAD auditors as per audit
requirements. The auditors are selected based on their experience and accredited training.
4.1.4 Audit Plan: OSHAD focal point contacts the entity to be audited requesting the below listed pre
audit information as minimum which are important for the lead auditor:
• Main activities
• Locations details
• High risk activities
• Audit focal point
• Any other information
The lead auditor develops the audit plan based on the information provided by the entity and on OSHAD-
SF criteria (Elements).
The audit plan generally includes:
• Meeting with the entity’s focal point
• Opening meeting with the entity’s top management representative
• Review the entity’s OSHMS documents including manual, procedures and records to ensure complying with
OSHAD-SF requirements (Elements)
• Auditors meeting to review and finalize the audit findings
• Closing meeting with the entity representative to inform about audit findings and signoff
4.2 Conducting the Audit:
OSHAD audit team conduct the audit according to the audit plan using audit checklist and following the audit scope
through the following steps:
4.2.1 Opening Meeting: The lead auditor conducts the opening meeting with entity’s representatives and he/she
introduces the audit team members, agrees on the audit plan and clarifies the scope of the audit and the mechanism
for determining the outcome of the audit and reviews previous results.

4.2.2 Evaluation Compliance: The audit team reviews all related documents including manual /
SoPs / procedures and samples of records and related documents such as:
• Risk registers • Training matrix • Emergency response plans • Evacuation drill reports
• Inspection reports • Internal audit reports • Legal registers • Targets and objectives programs •
Incident records • Management review MoM, • other related documents and records.
It also involves verifying the implementation of the corrective actions for non-compliance raised in any previous
audit reports (where applicable).
4.2.3 Closing Meeting:
The lead auditor and the entity representative signoff the “Closing Meeting Report” which includes the
noncompliance identified during the meeting.
4.3 After the Audit
This phase includes issuance of the audit report and sending it to the entity audited. Then the entity sets the corrective action
plans to close noncompliances identified in the reports. These plans are reviewed and approved by the lead auditor.
4.3.1 Preparing Audit Report:
The lead auditor writes the audit report, and then the report is reviewed and approved internally. The audit
report consists of the below findings:
• Positive • Satisfactory • Observation • Minor Non-compliance • Major Non-compliance
4.3.2 Issuing the Audit Report:
The audit report and the non-compliance forms are sent to the entity within an agreed timeframe. The entity shall submit the
corrective action plans to OSHAD within 30 days of receiving the report. Lead auditor reviews and accepts the corrective
action plan. OSHAD audit team verifies the effective implementation of the corrective actions in the next audit.
4.3.3 Follow-up Audit:
OSHAD may conduct a follow up audit on the entity depending on the audit findings and compliance status. The follow-up
audit schedule will be agreed with the entity.
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EHS4019_Participate in an Environment Health and Safety Audit

The scope of an EHS audit can range from an assessment of all EHS aspects of an organization activity to a focused
assessment of a small component of an activity.
Examples of EHS audits of activities include audits to:
 Assess the risk to air quality;
 Assess the risk to surface waters and groundwater; and
 Assess compliance of operations with Codes of Practice (CoPs).
When Is an Audit of an Activity Required?
Examples of instances, when an EHS audit of an activity may be required, include an EHS audit:
 Required by a statutory notice or license;
 Of an accredited licensee’s EHS management system for the purposes of certification of that system;
 If requested by the client;
 Required in accordance with codes of practice or guidance; and
 Required in accordance with management or operational guidance such as management plan or strategy.
Roles, Responsibilities and Activities within the EHS Audit

9.1.1 Lead Auditor

The lead auditor is responsible for:


 The organization and management of the audit and liaises with the client or the contact person in the case of an
internal audit;
 The organization, recruitment and management of the audit team; and
 Ensuring that the necessary deliverables from the audit, including the audit report, are delivered according to the
agreed timetable and plan.
9.1.2 Auditor
The auditor will undertake auditing tasks, alone or as a member of a team, and must be conscious of the ethical and
professional responsibilities of his task. This will include ensuring that the audit work is thorough, fair and accurate.
9.1.3 Technical Expert
In some cases, a technical expert will be included as a part of an audit team to assist with understanding and interpreting
technical aspects of the operation or site being audited.
9.1.4 Audit Team
The audit team must work together, under the leadership of the lead auditor, to ensure completion within the brief and scope
of the audit.
Roles of EHS Audit Personnel
The personnel responsible for conducting EHS audits within Abu Dhabi Emirate shall:
 Ensure the audit team has the appropriate range of knowledge and experience to conduct the audit;
 Establish the audit objectives, criteria, extent, and scope;
 Define responsibilities of the audit team, allocating adequate resources, and developing suitable procedures;
 Implement the audit plan or program;
 Maintain records to demonstrate implementation of the audit program; and
 Monitor the implementation of the audit plan or program; and
EHS4019_Participate in an Environment Health and Safety Audit

 Review the audit plan or program at various stages to determine whether the objectives have been met and to
identify areas requiring improvement or that can be improved.
9.2.2 Responsibilities of EHS Auditors
Ethically, 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.
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.
Audit Criteria
Audit criteria are the requirements against which the auditee and/or activity is assessed and will vary depending on the
objectives and scope of the EHS audit.
Audit criteria need to be chosen carefully to ensure that the objectives of the audit will be met. The figures and descriptors
that make up the audit criteria come from a variety of sources, including:
 Legislation;
 EHS regulations;
 Conditions contained in notices or licenses;
 Codes of practice;
 Policies, management plans or strategies;
 Guidelines or procedures; and
 Best practice.
Legislated policies or regulations should be reviewed for requirements relevant to the objectives of the audit and the
requirements used as criteria where appropriate.
In order to assess whether management structures are in place to ensure on-going compliance, site management plans (e.g.
an EHSMS, a waste management plan) may also be used as audit criteria.
9.3.5 Pre-Audit Meeting
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
EHS4019_Participate in an Environment Health and Safety Audit

 Discuss practicalities associated with the audit (e.g. key staff, photographs on site, site tour, access to
documentation, etc.).
9.3.6 Reviewing of Existing Information
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;
 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.
Tools and Techniques Used in EHS Audits
8.1 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.
8.2 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”.
8.3 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.
8.4 Observation Observation is a disciplined activity which must be:
 Carried out in a very deliberate and controlled manner; and
 Accurately noted, analysed and recorded.

8.5 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.
8.6 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.

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