Health, Safety, Environmental, and Quality Auditing

Wayne Pardy; Terri Andrews

doi:10.5771/9798892050470

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Copyright year: 2025
ISBN-Print: 979-8-89205-046-3
ISBN-Online: 979-8-89205-047-0
Publisher: Bernan, Lanham
Language: English
Pages: 466
Product type: Book Titles

1. Contents No access
2. Acknowledgments No access
1. 1. Growth of Regulations No access
  2. Growth in Visibility No access
  3. Continuing Enforcement No access
2. Impact on the Regulated Community No access
3. Defining HSEQ Audits No access
4. 1. What’s In a Name? An Audit by Any Other Name Is Still an Audit No access
5. 1. The Continuing Evolution of Guidelines and Standards No access
  2. Incorporating Security and Social Responsibility No access
  3. Conducting Supply Chain Audits No access
  4. Conducting Third-Party Audit Program Evaluations No access
  5. Improving International HSEQ Audits No access
  6. The Use of Digital/Cell Phone Cameras No access
6. References No access
1. 1. Example: Canadian Offshore Oil and Gas Industry No access
  2. Audits and Safety Inspections No access
2. References No access
1. Introduction No access
2. Function of HSEQ Audits No access
3. Role of HSEQ Audits in Regulatory Compliance No access
4. Practical Considerations and Recommendations for Performing Self-Assessments No access
5. References No access
1. Principles of an Audit Program No access
2. 1. Establishing an HSEQ Audit Policy or Procedure No access
  2. Program Objectives for HSEQ Audits No access
  3. Roles and Responsibilities No access
  4. Legal Protections No access
  5. Scope and Coverage No access
  6. Regulatory Differences to Be Reflected in Quality Audit—Example 1 No access
  7. Project Quality Auditing No access
  8. Project Auditing Process No access
  9. Project Audit Schedule No access
  10. Regulatory Differences to Be Reflected in Quality Audit—Example 2 No access
  11. Facility Audit Schedules No access
  12. Auditor Selection and Training No access
  13. Audit Reports and Documentation No access
  14. Audit Program Management and Evaluation No access
  15. Audit Program Support Tools No access
3. 1. HSEQ Record-Keeping/Records-Retention Procedures No access
  2. External Regulatory Inspection Procedures No access
4. Continuous Review No access
5. Evaluating the Results and Implementing the Solutions No access
6. References No access
1. Introduction No access
2. 1. ISO 45001 No access
  2. Development No access
  3. Certification No access
  4. 1. ISO 45001 changes compared to OHSAS 18001 No access
3. 1. Voluntary Public Reporting No access
  2. Third-Party Program Evaluations and Certifications No access
  3. Benchmarking Studies No access
4. References No access
1. Program Name No access
2. Purpose No access
3. Program Organization No access
4. Program Scope No access
5. 1. Audit Methodology No access
6. 1. Reporting of Findings No access
  2. Follow-Up Mechanisms No access
7. 1. Audit Staffing No access
  2. Audit Duration No access
  3. Number of Facilities Audited per Year No access
  4. Frequency of Audits No access
8. Conclusion No access
9. References No access
1. 1. 1. Precisely Define the Scope No access
  2. 2. Select Target Companies Using a Variety of Techniques No access
  3. 3. Create Participation Incentives No access
  4. 4. Develop Measurable Criteria No access
  5. 5. Utilize Focus Group Sessions No access
2. Best Practices No access
3. Reports to Management No access
4. Relationship to Compensation No access
5. Emergency Response No access
6. Next-Site Participation No access
7. Use of Laptop and Tablet Computers, Intranets, and the Internet No access
8. Assessment of Ancillary Operations No access
9. Use of Verification Audits No access
10. Site-Satisfaction Questionnaire No access
11. Periodic Third-Party Evaluations No access
12. Development of an Audit Program News or Chat Group No access
13. Biggest Challenges No access
14. The Program Manual No access
15. 1. Integrated HSEQ Management System Checklist No access
  2. Part 1: Context of the Organization No access
  3. Part 2: Leadership. Leadership and Commitment No access
  4. Part 3: Planning. Actions to Address Risks and Opportunities No access
  5. Part 4: Support No access
  6. Part 5: Operation No access
  7. Part 6: Performance Evaluation No access
  8. Part 7: Improvement No access
16. Integrated Audit Checklist No access
17. Detailed Audit Checklist Sections No access
18. ISO 9001:2015 Specific Checklist Points No access
19. ISO 14001:2015 Specific Checklist Points No access
20. ISO 45001:2018 Specific Checklist Points No access
21. Additional References from Standards No access
22. Impact of ChatGPT on HSEQ Auditing No access
23. How ChatGPT Can Be Used by Professional HSEQ Auditors No access
24. Practical Examples No access
25. Future Developments No access
26. Jurisdictional Regulatory Review No access
27. Unclear or Unknown Corporate Standards No access
28. Misleading Closing Meeting and Conferences No access
29. Timeliness and Quality of the Audit Report No access
30. Insufficient Follow-Up No access
31. Lack of Program Metrics No access
32. References No access
1. The Need No access
2. Competency Framework No access
3. Selecting the Trainers No access
4. Selecting the Trainees No access
5. Selecting the Setting No access
6. 1. Lecture No access
7. Keys to Making It Work No access
8. Characteristics and Qualifications of Good Auditors No access
9. 1. The Worst Attributes No access
  2. The Best Attributes No access
10. Making Good Things Happen No access
11. Conclusion No access
12. References No access
1. 1. 1. Explicit Top-Management Support No access
  2. 2. Program and Auditor Independence No access
  3. 3. Appropriate Audit Team Staffing No access
  4. 4. Comprehensive Written Audit Procedures No access
  5. 5. Defined Program Objectives and Scope No access
  6. 6. Adequate Program Resources No access
  7. 7. Audit Frequency Based on Risk No access
  8. 8. Documented Audit Process No access
  9. 9. Documentation of Audit Findings No access
  10. 10. Resolution of Corrective Actions No access
  11. 11. Appropriate Quality-Assurance Measures No access
2. How Are the Evaluations Conducted? No access
3. References No access
1. Regulatory Databases No access
2. Commercially Available Audit Protocols No access
3. Advantages No access
4. Disadvantages No access
5. HSEQ Audit Software—Information Management Databases No access
6. Control of Documented Information (Documents and Records) No access
7. Confessions of a Vice President of HSEQ Management System Software No access
8. Audit Management Technology No access
9. Customer Communication and Feedback No access
10. HSEQ Software—Modules and Processes No access
11. Defining Your Functional Needs for HSEQ Software No access
12. 1. 1. HSE Compliance Module Essential Features No access
  2. 2. Internal Audit and Inspection Module Essential Features No access
  3. 3. Action Management Module Essential Features No access
  4. 4. General Considerations No access
13. 1. Comparing Two Integrated Quality and Safety Management Systems: QMS versus SMS No access
  2. Do You Have Too Many Software Systems? No access
  3. About Q5 and Quality Management Systems No access
  4. Some Quality Software Programs Have Evolved No access
  5. Better Integrated Quality and Safety Management Software No access
  6. Final Thoughts on Integrated Quality and Safety Management Systems No access
14. E-Auditing: Beware Pencil Whipping (or Digital Smartphone or Tablet Whipping) No access
15. Traditional Responses to HSEQ Audit Document Management No access
16. The Advantages of Integrated Data-Management Systems No access
17. Evaluating Auditing Software Systems No access
18. References No access
1. 1. 1. Develop an HSEQ Audit Policy and Procedure No access
  2. 2. Set Up the Organization No access
  3. 3. Develop Tools No access
  4. 4. Train Staff No access
  5. 5. Test the Program No access
  6. 6. Set a Review Schedule No access
  7. 7. Conduct Audits No access
  8. 8. Implement the Full Program No access
2. 1. Assessment Tools No access
  2. Management Reports No access
  3. HSEQ Audit Staff Management—Keeping Them Engaged No access
  4. Quality Assurance No access
  5. Maintaining Awareness No access
3. Conclusion No access
4. References No access
1. Introduction No access
2. 1. Team Selection and Formation No access
3. 1. Audit Background No access
  2. Team Leader Only No access
  3. All Team Members (Including Team Leader) No access
  4. Completion and Review of the Preaudit Questionnaire No access
  5. Review of Relevant Regulations No access
  6. Definition of Audit Scope and Establishment of Team Responsibilities No access
  7. Development of a Detailed Audit Agenda or Plan No access
  8. Review of Audit Protocols No access
  9. Arrange Logistics No access
4. 1. On-Site Activities No access
5. 1. Orientation Tour No access
  2. Overview of Management Systems and the Organization No access
  3. Records/Documentation Review No access
  4. 1. Schedule Interviews Ahead of Time (If Possible) No access
    2. Conduct Interviews in the Workspaces No access
    3. Be Sensitive to the Interviewee’s Nervousness and Defensiveness No access
    4. Avoid Closed-ended Yes/No Responses to Questions No access
    5. Be Open to Follow-Up Interviews with Other Staff No access
6. 1. Preparing for the Closing Conference No access
  2. Conducting the Closing Conference No access
7. References No access
1. 1. 1. Take Charge of the Meeting No access
  2. 2. Be Organized No access
  3. 3. Discuss Logistics No access
  4. 4. Find Out What’s Happening at the Site No access
  5. 5. Schedule Additional Conferences No access
  6. 6. Address Important Topics No access
2. 1. 1. Take Charge of the Meeting No access
  2. 2. Be Organized No access
  3. 3. Be Appreciative but Do Not Bury the Message No access
  4. 4. Set Priorities No access
  5. 5. Minimize Praise for “Acceptable” Performance No access
  6. 6. Respond Professionally to Challenges No access
  7. 7. Focus on Root Causes but Avoid Evaluations of Staff Performance No access
  8. 8. Understand How to Handle Repeat Findings No access
  9. 9. Avoid Comparisons No access
  10. 10. Avoid Guarantees or Absolutes No access
  11. 11. Leave Some Form of Written Findings (If You Can) No access
  12. 12. Discuss the Next Steps No access
  13. 13. Solicit Site Feedback No access
3. References No access
1. 1. Keep the Customer in Mind No access
  2. Look for Underlying Causes No access
  3. Organize Daily No access
  4. Pinpoint the Bottom Line of Interviews No access
  5. Develop an Annotated Outline No access
  6. Challenge Each Other No access
  7. Develop a Consistent Debriefing Approach No access
2. 1. Organize for Monitoring No access
  2. Start Early No access
  3. Establish a Report Format No access
  4. Pay Attention to Repeat Findings No access
  5. Be Careful of Good Management Practices or Opportunities for Improvement (OFI) No access
  6. Set Priorities No access
  7. Be Clear and Concise No access
  8. Deemphasize Numbers No access
  9. Use Evidence in the Discussion of Findings No access
3. 1. Assure Legal Review of Reports where Required No access
  2. Limit Distribution of the Report No access
  3. Accept No Mistakes No access
  4. Remove Barriers to Efficiency No access
  5. Develop Action Plans No access
  6. Train the Auditors No access
4. References No access
1. Develop and Maintain a “Living” Agenda throughout the Audit No access
2. You Will Never Finish, so Manage Your Time Wisely No access
3. Keep a Balance between Records Review, Interviews, and Observation No access
4. “Things” Will Happen on the Audit, so Be Flexible No access
5. Always Be on Time, Even When the Facility Staff Are Not No access
6. Remember Site Staff Will Always Consider Audits a Performance Evaluation No access
7. Remember That Despite the Existence of Governmental Regulations and Company Policies, Procedure or ISO Standards, Considerable Judgment Is Still Required No access
8. Remember That Every Country, State, Province, and Region Is Different No access
9. Learn and Apply the Audit Protocols, but Do Not Forget to Use Your Common Sense and Natural Curiosity No access
10. Try to Observe Things as They Happen No access
11. Observe Ancillary Operations (If Possible) No access
12. Observe, Articulate, and Write—in That Order No access
13. Remember That Writing Is the Hardest Part; Developing “Bulletproof” Findings Is an Elusive Goal No access
14. Write the Findings as You Go No access
15. Prepare Well for the Opening and Closing Conferences No access
16. Make Sure the Facility Hears the Real Story in the Closing Conference No access
17. Plan to Be Done When You Depart No access
18. Enjoy Yourself No access
19. References No access
1. Key On-Site Activities No access
2. 1. 1. Failure to Understand How Much Time Is Actually Available No access
    2. Poorly Designed Audit Agendas No access
    3. Failure to Focus Full Attention on the Audit No access
    4. Failure to Schedule Time Needed to Produce On-Site Deliverables No access
  2. 1. Improper Sample Size No access
    2. Lack of Auditor Independence in Verification Activities No access
    3. Lack of Field Verification No access
  3. Poor Balance among Records Review, Interviews, and Observations No access
  4. Disorganized Records Review No access
  5. Poor Interviewing Techniques No access
  6. Poor Finding Communication No access
  7. Poorly Structured Closing Conferences No access
3. The Top Three Things to Remember No access
4. References No access
1. 1. Statement of Observation No access
  2. Statement of Requirement No access
  3. Citation or Regulatory Reference No access
  4. 1. Regulatory Findings No access
    2. Policy and Procedure Findings No access
    3. Guidance/Observation Findings No access
    4. Commendations No access
  5. Finding Level No access
  6. Recommendation (Corrective Action/Preventive Action) No access
  7. Audit “Findings Forms” or Templates No access
2. 1. Vague Observation Statements No access
  2. No Statement of Requirement No access
  3. Lack of Citations or Applicable Regulatory References No access
  4. Overly Stringent Priority Classifications No access
  5. Other Challenges and Pitfalls No access
3. References No access
1. Exploring Your Integrated Auditing Opportunities No access
2. Sample Content for and Internal Audit Procedure No access
3. President (or Other Top-Management Representative) No access
4. Managers and Supervisors No access
5. Employees and Staff No access
6. Audit Initiation No access
7. Frequency of Audits No access
8. Internal HSEQ Auditor Qualifications and Training No access
9. Audit Planning, Scheduling, and Preparing for Audits No access
10. Opening Meeting No access
11. Conducting the Audit No access
12. 1. Reporting Audit Results No access
13. Audit Action Plan No access
14. Audit Findings Analysis and Review No access
15. Auditor (Extreme) Bias—Beware of Registration Auditors Bearing Books No access
16. References No access
1. Table of Contents No access
2. 1. What Is Involved No access
3. Auditing Overview No access
4. 1. What No access
  2. Why No access
  3. When No access
  4. Where No access
  5. Who No access
  6. How to Perform an Audit No access
  7. Activities Involved in the Audit Process No access
5. 1. Inform Participants No access
  2. The Date(s) of the Audit No access
  3. The Purpose of the Audit No access
  4. Who Will Be Involved No access
  5. The Types of Activities that Will Occur No access
  6. How Results Will Be Communicated No access
  7. Locate Necessary Information No access
  8. Gather Tools No access
  9. Performing the Audit No access
  10. Step One: Preaudit Review No access
  11. Required Training No access
6. 1. Audit Instrument Section Pages No access
  2. Referencing Numbers No access
  3. Audit Question No access
  4. Score Weighting No access
7. 1. Points Awarded No access
  2. Audit Guidelines No access
8. 1. Documentation Technique No access
  2. Selecting Documentation No access
  3. Documentation Types No access
  4. Assessing Documentation No access
  5. Dos and Don’ts of Referencing Documentation No access
  6. Documentation Technique—Review No access
9. 1. Purpose No access
  2. Checklist No access
  3. Visiting Sites No access
  4. Interview Technique No access
10. Interview Questionnaires (Checklists) No access
11. 1. Who Should Be Interviewed? No access
  2. Selecting Interviewees When On-site No access
  3. Dos and Don’ts When Conducting an Interview No access
  4. Communication Skills No access
  5. Concluding an Interview No access
  6. Interview Technique—Review No access
12. 1. Interview Summary—Using the Interview Response Summary Tool No access
  2. Observation Summary No access
  3. Documentation Summary No access
  4. Check for Accuracy No access
  5. Analyzing Results No access
13. 1. Cor® Executive Summary Sheet No access
  2. COR® Audit—Corrective Action Plan No access
  3. Making Recommendations No access
  4. Close-out Meeting No access
1. Personnel Definitions No access
2. Other Definitions No access
3. Acronyms No access
1. ISO 45001:2018 OHS Audit Tool No access
1. 1.0Purpose No access
2. 2.0Scope No access
3. 3.0Audit Schedule No access
4. 4.0 Interview List—Potential Interviewees No access
5. 5.0 Audit Basis No access
6. 6.0 Exit Interview, Closing Meeting, and Action Tracking No access
7. 7.0 Reporting/Distribution No access
8. 8.0 Documentation Requirements—Pre-Audit No access
9. 9.0 Comments or Questions No access
1. Contents No access
1. What Is an Audit? No access
2. Management System Audits No access
3. Types of Audits No access
4. 1. Process Interaction Flow No access
5. 1. Audit Program No access
  2. Example: Audit Planning Matrix No access
  3. Audit Schedule No access
6. Auditing Principles No access
7. Auditors No access
8. Who Can Be an Auditor No access
9. 1. Team Lead (Lead Auditor) No access
  2. Auditors No access
  3. Technical Experts No access
  4. Observers No access
  5. Trainees No access
10. Phases of an Audit No access
11. 1. Initiating the Audit No access
  2. Audit Objectives No access
12. 1. Audit Plan No access
  2. Audit Checklist No access
13. 1. Step 1: Open the Audit No access
  2. Step 2: Conduct the Audit No access
  3. Step 3: Close the Audit No access
  4. Conducting Interviews No access
  5. What is a Good Question? No access
  6. Open-Ended Questions No access
  7. Pointed Questions No access
  8. Summary No access
  9. Objective Evidence No access
  10. Fact versus Inference No access
  11. Definition of a Fact No access
  12. Definition of an Inference No access
14. 1. Content of the Audit Report No access
  2. Audit Findings No access
  3. Noncompliance No access
  4. Nonconformance No access
  5. Area of Concern/Risk No access
  6. Observation No access
  7. Improvement Opportunity No access
  8. Positive Observations No access
  9. Documenting Audit Findings No access
  10. Example Statement of Nonconformance No access
15. 1. Follow-up Audits No access
16. Summary No access
17. References No access
ChatGPT-generated integrated HSEQ Audit Checklist No access Pages 441 - 448
Index No access Pages 449 - 462
1. Co-Principal Author—Terri Andrews No access
2. Co-Principal Author—Wayne Pardy No access