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To be provided upon request by auditors
Documents (‘live’ files, editable) and records (historical document, not editable) are adequate and appropriate
- Information is complete (based on the management system’s requirements)
- Content is correct (based on statutory and regulatory requirements)
- Information is consistent with other documents (aligned with the procedures in the organisation)
- Information is current/ up-to-date
Information in documents and records applicable to the scope of audit

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Using 5W1H to interview personnel in the workplace to see whether they know about the company's OHS&MS system & Policies

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Going on-site inspection to see if the company is up to code

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Thank client for engaging your company to perform the internal/ external audit
Self introduction and introduce the other auditors (or observers) and their roles
Explain/ clarify audit scope and audit criteria
Explain/ clarify audit plan –audit schedule, audit method/ area
Communication aspects-e.g. language used, non disclosure agreement
Logistics –PPE needed, translator/ escort needed, access required

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Safety introduction (emergencies evacuation, safety rules, Personal Protective Equipment (PPE) requirements)

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Welcome/ Self introduction
Introduce Auditing Company/ Team
The need/ objective of this audit

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Self introduction
Departmental overview –organisationchart, products/ services, facilities overview
Safety protocol (emergencies evacuation, dos and don'ts)

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Confirm the agreement of all participants (auditee, audit team) to the audit plan.
- Introduce the audit team and their roles
- Ensure that all planned audit activities can be performed
Attendance to be recorded (especially for external audits)
Chaired by audit team leader
Attended by:
Site Manager
OH&S Management Representative
Area Manager
WSH Representative
Audit team (team leader and auditors)

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Draft report for company
Final report
Audit follow-up
Develop action plan
Track (corrective) actions

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Opening meeting
Gather objective evidence via:
- Document review
- Interview of Personnel
- Physical inspection/ field verification
Identify audit findings
Recommendations
Closing meeting

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Schedule audit with various department/ initiate contact with Certification Body

Select audit team members

Plan audit
- Define audit scope
- Audit schedule/ plan
- Logistics
Gather information
- Company
- Previous audit findings
- OH&S MS

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Major
Minor
Opportunity for improvement or recommendations

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- Competence records
- Criteria for audit team selection

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- Audit plan
- Audit reports
- Nonconformance reports
- Correction action reports
- Audit followup reports

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- Audit schedule
- Audit objectives/ scope/ criteria
- Risks and opportunities associated with the programme

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Reviewing and improving audit programme

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Monitoring audit programme

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Implementing audit programme

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Establishing audit programme

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Determining and evaluating audit programme risks and opportunities

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Establishing audit programme objectives

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Internal audits are first party audits conducted on behalf of the organization
External audits are second party audits conducted by interested parties i.e. customers & third part audits which are conducted by independent auditing organisations, such as those providing certification/ registration of conformity or governmental agencies

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Classified under:
Personal behaviour
Generic Knowledge & Skills
Discipline & Sector specific knowledge and skills
Work experience, auditor training & audit experience

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The risk-based approach should substantively influence the planning, conducting and reporting of audits in order to ensure that audits are focused on matters that are significant for the audit client, and for achieving the audit programme objectives.

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Audit evidence should be verifiable and be based on samples of information available

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Auditors should be independant of the activity being audited wherever practicable, and should be in all cases free from bias or conflict of interest.

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Auditors should excercise discretion in the use and protection of information obtained from the audit
Auditors/Auditees should not misappropriate audit findings and use them for personal gain.

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Auditors should exercise due care in accordance with the importance of the task they perform and the confidence placed in them by the audit client and other interested parties.

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The audit findings, conclusions should be reported truthfully and accurately the audit activities.
Obstacles encountered during the audit and unresolved opinions between audit team and auditee should be reported

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Performs work ethically, honestly & responsibly
Only undertake audit activities if they know they are competent

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- Integrity
- Fair Presentation
- Due Professional Care
- Confidentiality
- Independence
- Evidence-Based Approach
- Risk-Based Approach