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Advantages and disadvantages of internal and external audits
Audits are often carried out by safety specialists from outside the organisation, or by in-house safety staff. Each has advantages and disadvantages.
| Advantages | Disadvantages | |
|---|---|---|
| Internal audit | Can use knowledge of the work, allow flexible scheduling and reduce external fees. | Objectivity can be weakened by auditing one's own work or internal pressure. Provide competent auditors, suitable independence, time and access. |
| External audit | Can provide a fresh view, wider experience and distance from internal pressures. | May involve additional fees and time to understand the work. External status does not by itself guarantee competence, objectivity or a complete assessment. |
The audit stages
The audit process has six stages.
1. Notification of the audit and timetable. Audit preparation covers everything done in advance by the interested parties, such as the auditor and the client, so that the audit meets the client's objective. It begins with the decision to conduct the audit and ends when the audit itself starts. An audit programme is prepared with particular objectives, taking account of management's priorities, the requirements of the OSH management system, legal or contractual requirements and clients' requirements. It includes a timetable showing how audit time is spread across the areas of the organisation.
2. Pre-audit preparations. These include:
- forming the audit team, which may include auditors, a team leader, translators and technical experts
- discussing and agreeing the objectives and scope of the audit with relevant managers, employees and their representatives
- collecting and reviewing documents so the team knows the OHS management system in place and the operations of the organisation, including operating procedures, previous audit findings, standards, legal requirements and internal procedures
- agreeing the resources and logistics needed, including transport, guides and relevant staff, and access to different areas of the site (especially important for classified organisations)
- preparing audit checklists as required
3. Information gathering. The centre of the audit is gathering and verifying information. Auditors review information and observe the workplace to verify that the work being done matches the safety and health requirements set by the organisation or a management system standard. Audit teams generally use three main activities.
- Review documentation and records, to learn how the system is designed and what should be happening in managing occupational safety and health and other risks. Items checked may include the OHS management system documentation, the OHS policy statement, emergency procedures, permit-to-work systems and procedures, minutes of OHS meetings, accident and incident reports and records, training records, and reports of or communications with the enforcing authority.
- Conduct employee interviews, speaking with workers about their understanding of established processes and procedures, how they carry them out, and whether the system is achieving its goal of controlling risk.
- Observe operations and activities. A visual assessment of the workplace helps decide whether the system is managing risk effectively and achieving continual improvement. It can also show whether the management system has changed the organisational culture.
4. Information analysis. Take notes as you go to help write the report. Review the documents and notes collected and write up the findings in full. Record any gaps in compliance so that they appear in the report. While documenting findings, share them with the people you questioned or interviewed, and give them a chance to discuss a finding, such as a non-conformance, before the report is written.
5. Completion of the audit report. The OHS auditor is responsible for finalising the report, which should include:
- the area and the element, procedure or process audited
- the composition of the audit team, the audit scope, and the people interviewed
- an executive summary
- observations and key findings (identified non-conformances)
- recommendations
The report must reflect all findings, positive or not. Findings highlight strengths, weaknesses and areas that need improvement.
6. Action. The report is usually presented to senior management for action or praise as required. For any improvement to the system, a management action plan is developed to reach the required targets and close the non-conformity.
Summary notes for Element 4 · Cheat sheet · Glossary. A study aid, not published or endorsed by NEBOSH.