# data[].attributes.body
- follow up actions to rectify non-conformities
- processes put in place for non-conformity investigation and reporting
- corrective actions established and implemented in timely manner
- effectiveness of corrective actions taken has to be reviewed

# data[].attributes.body
- meeting to present audit findings, conclusions
- attendence neded
-  Diverging opinions on the audit findings to be discussed and resolved if possible. If not, the opinions shall be recorded
-  Recommendations can be presented
-  Chaired by audit team leader

things that are covered:
EG: audit team leader
- thank company
- explain how audit conducted
- present positive findings (conformity)
- present negative findings (non-conformities)
- present areas for improvement
- state dats of issurance of audit report
- share follow up plan
- meeting closure

# data[].attributes.body
Can be positive (conformities: fulfillment of requirement)
can be negative (non-conformities:  Non-fulfilment of a requirement )

Major and minor non-conformities
- major:  Statutory and regulatory requirements, management systems’ requirements not effectively implemented or there is a significant impact on the management system/ organisation
- minor: low probability if negative impact on the management systems

recording of non-conformities:
items such as reference to audit criteria, audit evidence, declaration of nonconformity and audit findings are to be considered

methos of writing non-conformity: cite the audit criteri, followed by quoting the evidence

# data[].attributes.headline
gathering of objective evidence (physical inspection)

# data[].attributes.subject
gathering of objective evidence (physical inspection)

# data[].attributes.body
- Physical inspection  is the most reliable method to collect objective evidence with actual activity/ surrounding work environment and conditions being inspected/ observed
- Applied to gather/ confirm findings from Document Review and/ or Interview of Personnel
- planning required to determine logistics needed and area to cover and to minimise disruption to operations
-  Auditors should always be escorted by auditees

things to look out for:
- hazards on site (chemical, physical, biological, ergonomic)
- operational controls put in place (PPE, warning signs, means of access, detection equipment)

# data[].attributes.body
types of questions
- open ended ( to promote open discussions, use of 5W1H)
- close ended (able to obtain definitive answer, claridy doubts, use of Do and Can)
- leading questions (to confirm understanding, summarise information, use of Don'e you?)
- appreciative inquiry (focus on what goes well, reflective, promote ideas for improvement, use of "comparing... you said...what if")

# data[].attributes.body
-  Explain the reason for interview and inform that notes will be taken
-  Ask the auditees to describe their work
-  Ask role-specific questions
-  Summarise the results from interview and reviewed with the interviewed individual
-  Thank the interviewed individuals for their participation and cooperation

# data[].attributes.headline
Gathering of objective evidence (interview)

# data[].attributes.subject
Gathering of objective evidence (interview)

# data[].attributes.body
- is useful as it is the fastest way of collecting information
- is able to clarify unclear information during documented review
- get real response
to ensure effectiveness:
- take note of the environment (on-to-on interview, ensure auditees about confidentiality, workers are at ease)
- use verbal and non verbal communication (friendly tone, habdshakes, show respect to auditee)
- asking of role specific questions
(to leaders, questions related to policy)
(to operators, questions related to operation and PPE worn during work)

# data[].attributes.body
allow auditors to ensure
- all documents and records and adequate and appropriate
- information in documents and records are applicable to scope of audit

# data[].attributes.body
- Serves as a guide for the auditor
- composed of a set of questions derived from the audit criteria
-is an essential tool for planning of audit

checklist should:
- provide focus to the audit
- act as a memory jogger
- used as a tool to confirm all aspects have been covered
- a tool to ensure that audit evidence is captured

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Process of collecting and verifying of information

# data[].attributes.subject
Process of collecting and verifying of information

# data[].attributes.body
(up to down)
- source of information
- collecting by appropriate sampling
- audit evidence
- evaluating against audit criteria
- audit findings
- reviewing
- audit conclusions

# data[].attributes.body
Audit team members:
- OH&S management representative
- self intro, introduction of auditing company and team, stating the need and objective of the audit)
- WSH representitive
- welcome, self introduction, stating the need and objective of the audit, safety introduction)
- Depratment/ site manager
- Welcome, self introduction, company overview, safety protocols
- area manager
- self introduction, departmental overview, safety protocol
- Audit team leader
- introduction of audit team and roles, stating audit scope and criteria, stating audit plan, schedule and method, communication sapects and logistics such as PPE required, escort if needed and access, methods to report audit outcome, conditions under which audit may be terminated, feedback, closing meeting date, time and lastly clarifications from client if any

# data[].attributes.body
-confirm the agreemtn of all participants to the audit plan
- introduce the audit team and roles
- ensure all planned audit activities can be performed
- recording of  attendence
- mmeeting is chaied by audit team leader
- attended by
- auditee management
- OHS management representative
- area manager
- WSH representative
- Audit team
-auditee

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Pre audit activities - these include:
- schedule audit with the various departments
- selection of audit team members
Planning of audit (define audit scope, shedule/plan and logistics)
- gathering of information (on company being audited, previous audit findings, OHSMS)

On-site audit activities
- opening meeting
gathering of evidence (through documented information, interiews, physical inspection.observation)
- identification of audit findings
- recommendations
- closing meeting

Post audit activities
- draft report for company
- final report
- audit follow ups
- development of action plan
- tracking of corrective actions

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Inputs to review and improve audit programmes
- results and trends from monitoring of audit program
- needs and expectations of interested parties
- proposal for new or alternative audit methods
- new methods to evaluate auditors
- confidentiality and information security that arise due to audit programme

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Aspects of audit programe that can be monitored
- audit schedule met
- audit objectives achieved
- performance of audit team members
- feedback from auditees
- satisfactories of availability of documented information

# data[].attributes.body
- Upon establishment of audit programme and identification of resources, indicidual managinf audit program is to carry out operational planning and coordination of activities for audit programme
- sharing of audit programme to auditee
- defining audit objectives, scope, criteria and extend for audit
- identifying audit methods
- aoppointing audit team members
- assigning responsiblilities to audit team leader
- manage and maintain audit programmes records
- process put in place to manage, retain records fo audit programmes
- records for
- audit programmes (eg: audit schedule, objectives, scope, criterias)
- audit activities (audit plan, reports, non conformance reports)
- audit teams (competence records, criteria for audit team selection)

# data[].attributes.body
competence of individual managing the audit programme is evaluated based on
- audit principles, methods and processes
- management system standard
information about the auditee and its context
- statuory regulatory requirements
- technical expertise (WSH knowledge, facility management)

considerations in determining extent of audit programme
- size and nature of organisation
- functionality
- complexity of organisation
- risks and opportunities
- level of maturity of management system
results of previous audits, management review, audit programme review
- changes in business operations
- needs and expectations of interested parties

resources needed for audit programme
- finance and time
- audit team (number of auditors, people inside audit team)
- audit methods (on/off site)
- audit needs (travel time and costs)
- equipment, technology, communication technology
- documented information
- access to facilities for inspection, site verification

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Plan: determining and evaluating audit programme risks and opportunities

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Plan: determining and evaluating audit programme risks and opportunities

# data[].attributes.body
individual managinf audit program has to share the risks and opportunities associated with audit programmes to auditee
Example of risks: insufficient monitoring of audit programme
Example of opportunities: training of workers to be competent when conducting internal audit

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Plan: establishing audit programme objectives

# data[].attributes.subject
Plan: establishing audit programme objectives

# data[].attributes.body
Audit programme objectives are established to:
- enable audit programme to be conducted and implemented effectively
- address organisational needs;
- evaluation of compliance on legal requirements
- verification of conformance with management system standards
- verification of conformance with customer requirement
-  verification of conformance for suppliers/ vendors’ selection
-  meeting the stakeholders’ requirements
-  seek areas for improvement on the management system

# data[].attributes.body
Certification is  s the procedure by which a third party gives written assurance that a product, process, system or person conforms to specified requirements

Certification process:
step 1: company is to enquire and develop systems
step 2:
-  stage 1 audit: rediness check (see how ready organisation is for certification audit)
- stage 2 audit: on site conformance (evaluating audit evidence to see to what extenf audit criteria is fulfilled)
step 3: cerficate
step 4: routine surveillence audit
step 5L re-certification (after 3 years)

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Internal audits: first party audits
- conducted by or on behalf of the organisation itself
External audits: second hand audit
- conducted by parties having interest in organisation (Eg: customers)
External audits: third party audit
- conducted by independent auditing organisations such as certification/ registration of conformity or governmental agencies

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(top to bottom)
IAF - IAF ensures that the accreditation body members only accredit competent bodies and establish mutual recognition arrangement between members

Accreditation bodies - established at national level and demmed as competent to evaluate and accredit certification bodies

Certification bodies - indeoendant agencies that have been accredited and deemed competent to conduct certification audits against various standards

Certified organisations - organisations that have been audited against relevant tandards and certified

Customers - recipient of goods/services from certified organisation

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personal behaviour
- ethical (integrity, confidentiality, professional behaviour, objectivity), observant
- generic knowledge and skills in:
-audit principles, procedures, methods
- management system and reference documents
- applicable legal and contractual requirements
- discipline and sector specific knowledge and skills
- Environmental management system requirements and principles
- technical and environmental aspects of operation
- relevant work experiences, auditor training and audit experience

# data[].attributes.body
it is the audit approach that considers the risks and opportunities
- this approach should influence the planning, conducting and reporting of audits to ensure audits are focused on matters that are significant for audit client, in order to achieve audit program objectives

# data[].attributes.body
it is the rational method for reaching reliable and reproducible audit conclusions in a systematic audit process
- audit evidence should be verifiable, be based on samples of information available
- appropriate use of sampling should be applied, since it is closely related to the confidence that can be placed in audit conclusions

# data[].attributes.body
it is the basis for the impartiality of the audit and objectivity of audit conclusions.
- auditors should be independant of activity being audited wherever practicle, must be free of biasness and conflict of interests
- for internal audit, auditors should be independant from function being audited, should maintain objectivity throughout the audit process to ensure that the audit findings and conclusions are based only on the audit evidence
- for small organizations, even if it is not possible for internal audits to be fully independant, every effort should be made to remove bias and encourge objectivity

# data[].attributes.body
it is the security of information
- auditors have to exercise discretion in use and protection of information required in the course of their duties
- audit information is not to be used in appropriately for personal gain of auditor or audit client or in a manner detriemental to the lgitmate interests of the auditee. this includes proper handling of sensitive/confidential information

# data[].attributes.body
is the application of diligence and judgement in auditing
- auditors should exercise due care in accordance to the importance of the task they perform and the confidence placed in them by the audit client and other interested clients
- have the ability to make reasoned judgements in all audit situations

# data[].attributes.body
it is the obligation to report truthfully and accurately
- audit findings, conclusiona and report is to be reported truthfully and accurately
- obstacles faced during audit, unresolved diverging opinions between audit team and auditee is to be reported
- communication should be truthful, objective, accurate, complete, clear and timely

# data[].attributes.body
Integrity is the foundation of professionalism. it is the quality of being honest and having strong moral principles
auditors/individuals managing audit should:
- perform their work ethically, with honesty and responsibility
- only take on audit activities if one is competent
- has to perform work in an impartial manner (fair and unbiased)
- be aware of any influences that may be imposed on their judgement during auditting

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Records needed for internal audit include:

# data[].attributes.subject
Records needed for internal audit include:

# data[].attributes.body
documents, record of internal audit such as:
- auditor training records
- audit plan
- audit reports

# data[].attributes.body
To conform, organisation has to:
- plan, establish, implement and maintain an audit programme where considerations (frequency of audit, responsibilities of person in charge or auditors) are put in place.
- Assign auditors to carry out audit objectively and impartially
- communicate audit results with managers, workers and other relevant interested parties (eg: stakeholders)
- identify root causes and take corrective action to address non-conformities
- retain audit programme and audit results as documented information

# data[].attributes.body
used as part of any OHSMS to meet requirements of the standards and whe management needs confidence that the systems are working in accordance to plans

# data[].attributes.body
use to provide confidence about the robustness of the systems/processes

# data[].attributes.body
used to gather quantitative measurement to prove conformance to requirement