Purpose
The scope of an audit is to evaluate the management system of the organisation in accordance with the criteria as laid down in the guidelines as published in AS 4801, ISO 9001, ISO 14001, ISO 31000. At all times the Auditor must comply with the RABQSA ethical conduct – Code of Practice.
Audits are by purpose a thorough examination of the process of the Management System to look for opportunities to improve.
The audit should not attempt to cover all areas/segments of the business at one time but ideally, should be scheduled and undertaken monthly.
Scope
The audit process is to assess compliance with Legislative and {{ organisation.name }} requirements. The outcomes should provide vital information to the Senior Management. If an external auditor is to perform the audit then a knowledgeable person should accompany the auditor to provide information (an audit guide).
Policy Statement
Principles of Auditing
For an audit to be successful and to be a tool for use in the business to assist Senior Management in improving your business there are some things that an Auditor is required to do:
- Exercise Ethical conduct
- Report truthfully and accurately
- Apply diligence and judgement in auditing
- Be independent and impartial and ensure objectivity
- Reach reliable and reproducible audit conclusions by using a systematic, evidence-based audit process
- Ensure only trained and competent auditors assist in the process
Audit criteria
The Risk Management System (RMS) will be evaluated for conformance with the following Standards:
- AS/NZS 4801 Occupational Health & Safety Management Systems
- ISO 9001:2015 Quality Management Systems
- ISO 14001:2015 Environmental Management
- ISO 31000:2009 Risk Management
Conducting Audit
The audit must be planned and the planning should consider:
- Audit personnel (internal or external or both), time, location, duration
- Auditor must have knowledge of Company Policy and legislative requirements, audit processes and reporting technique
- Audit topics -What target areas of compliance
- Authority to perform audit
- Audit document
The Audit team will include a Lead Auditor and an Assistant.
The Auditor will require access to Company system to be able to answer questions that they may have in relation to your business.
Audit Preparation
By using a standardised Safety Management System you should have prepared evidence of the following:
- WHS Policy
- Planning
- Risk Management
- Monitor & Review
- Hazard Identification
- Document Control
- Implementation
- Reporting
- Emergency management
Documentation
Provide a copy of List of incidents in the last 12 months.
Present specific examples of documentation once the above have been reviewed to verify implementation (e.g. selecting workers at random and requesting a copy of the following): staff are selected at random for the provision of evidence.
Training needs analysis
Assessment of worker’s competency to perform tasks.
It is intended that the audit will be conducted initially by the provision of documents for review. You will be provided with a report detailing any and all non-conformances for you to action. The auditor will then arrange a time, determined within a mutually convenient timeframe, where they will review all outstanding non-conformance issues and will render a judgement of compliant or non-compliant.
Audit Frequency
AS4801 certification is required every 2 years. This means that you must continue to use the system on every job and maintain records in accordance with the performance criteria detailed in your audit report.