Audit Team Selection

The lead auditor should be fully knowledgeable of the audit scope and criteria, lead the site inspection, be the main point of contact between the auditee and the auditors, and ensure the overall competency of the audit team

Auditors who have working knowledge of the auditee should be involved in the process from the outset to help with audit planning, provide background information and, if necessary, accompany the auditor on the inspection

Similarly , the Team members may assist with audit evaluations, comment on draft reports and provide input to the follow up action required.

Technical experts may be called in to provide specialist knowledge. They may accompany the team on the audit inspection if required or be referred to when necessary

Lead auditors must be appropriately trained and experienced. The following evaluation criteria may be used for the selection of the lead auditor 

Minimum competency requirements have been set as:

• •Participation in at least one audit as an auditor within the previous 3 years;
• Competent and certified to OHSAS19011;
• OHS Lead auditor training as approved by OH&S;
• •Technical understanding of the risks associated with activities; being conducted in the academic/administrative or controlled entity being audited.

Auditors must be appropriately trained and experienced. The following evaluation criteria may be used for the selection of the auditors 

Minimum competency requirements have been set as:

• Participation in at least one audit as an observer prior to participating in an OHS audit;
•  Competent and certified to OHSAS19011;
•  OHS Auditor training as approved by OH&S;
• Technical understanding of the risks associated with activities; being conducted in the academic/administrative or controlled entity being audited.

WSH Audit Scheduling

The audit schedule is established during the pre-audit meeting where gathering of  the pre-audit information were undertaken. The audit schedule is prepared for the on-site activities

Upon establishment of  the audit schedule, the audit schedule shall be disseminate to all relevant stakeholders at least 2 weeks in advance or accordingly to organizational procedures

In general an audit scheduling may include

• Date and time
• Location to be audited
• Audit activities to be carried out
• Duration of audit activities
• Physical areas to be inspected
• WSH management system elements to be audited such as procedures, instructions, legal requirements, codes of elements ISO 14001/
• SS ISO 45001:2018
• Occupational health and safety management systems — Requirements with guidance for use
• Auditor ‘s schedule
• Auditee’s schedule

Here is sample of audit plan and audit schedule

Proposed Audit Plan for Company XXX Occupational Safety and Health Management System Auditing

Audit Program Communication

It is necessary for the lead auditors to communicate the audit programme to the auditee or relevant parties which may include:

• Management
• Management representatives of management systems
• Auditors
• Auditees

The types of communication channel used for the communication of the audit programme with the respective stakeholders is tabulated below

WSH Auditing Guidelines

The credibility of an audit depends on the proper management of the audit activities using the quality assurance procedures and record keeping

The purpose of quality assurance procedures is to ensure that all audit tasks are carried out consistently and accordingly to the site established audit plan and according to the audit schedule.

At the beginning of each audit, the lead auditor shall prepare a quality plan identifying the quality assurance procedures to be undertaken. The plan should contain:

• a record of the actions required for ensuring quality work
• verification by team leaders  responsible for that required actions have been undertaken
• the people who will review the work
• the expected time for the review.

The plan ensures consistency through a structured process of peer review. An example of a quality assurance plan :

RECORD KEEPING

The purpose of record keeping is to ensure the proper and systematic recording of information and observations collected during a compliance audit. Good record keeping and filing procedures will ensure that all supporting documentation and observations are kept for future reference. All audit information should be stored in a file and a new file opened for each Compliance  audit.  Each file should contain a number of subsections to store the audit information in an orderly manner.

Audit Programme Procedure

Lead Auditor shall establish the audit programme procedures through the planning of the  audit activities, development and communicating of the audit plan to the auditee. In general the audit process involves tasks that can be grouped into pre-site visit activities, on-site activities and post-site visit activities as follows:

Activity

Pre-site visit activities

Planning and preparing for the audit

Collecting background information

Compiling checklists

On-site activities

Conducting an opening meeting

Collecting audit evidence through gathering information, observations and interviews, and sampling

Conducting a closing meeting

Post-site visit activities

Evaluating audit evidence

Compiling a compliance audit report

Developing a follow-up action program

Conducting a regulatory review

Careful and thorough planning of the audit activities is critical to the audit’s success as the proper conduct of a site inspection.

Pre Site Visit Activities

Pre-site visit activities should be properly planned by ensuring that appropriate resources and equipment are available and time is allocated to carry out the audit in the most efficient and effective way.

Audit planning and communication of audit plans and it’s requirements 

An audit plan outlines the following key elements and the products that the audit will generate

• the audit activities to meet audit objective and scope
• the audit schedule
• the audit scope and criteria
• Logistic arrangement
• Work areas to be audited
• Document to be reviewed
• Persons to be interviewed
• Audit personnel and their responsibilities
• Audit reporting (format, topics, language, submission schedule)
• Matters relating to confidentiality
• Follow up requirements

WSH Audit Resources

 An Audit program resource are tangible or non tangible things required for the planning, organizing and conducting of one or more audits within a specific time frame. For WSH Programme audit, the audit programme resources may include:-

Finance resources for development, implement, manage and improve audit activities. 

Audit programme resource such as the use of external auditor due to difficulties involved with auditing areas where operational responsibilities or chain of command cause independence issues during an internal audit

Audit techniques

Audit programme resources such as the use of audit technique guide may be require during auditing with the objective to provide information to enable auditors to effectively audit issues pertaining to Workplace Safety and Health by providing the background information, Identify frequent and/or unique issues, provide examination techniques and Supply applicable law

Auditor

Audit programme resources such as the verification of the audit risk by external professional body due to the possibility that the auditors' findings, conclusions, recommendations, or assurance may be improper or incomplete, as a result of factors such as evidence that is not sufficient and/or appropriate, an inadequate audit process, or intentional omissions or misleading information due to misrepresentation or fraud. The assessment of audit risk involves both qualitative and quantitative considerations. Factors such as the time frames, complexity, or sensitivity of the work; size of the program in terms of dollar amounts and number of citizens served; adequacy of the audited entity's systems and processes to detect inconsistencies, significant errors, or fraud; and auditors' access to records, also impact audit risk

Subject matter experts

Audit programme resource such as engaging  the subject matter of experts (external professional body or local regulatory agency) for advice should the areas to be audited is a specialized one and none of the audit team members have prior knowledge nor experience

Instruments and Equipments

Audit programme resource such as the engagement of MOM approved authorised examiners for the conduct of the inspection, testing and maintenance of the statutory equipments of steam boilers, pressure vessels and steam receiver as well as the lifting equipment, gears and accessories as well as the engagement of the original equipment manufacturer for reviewing quality of the equipments by assessing the conditions of the statutory equipments for consistency and their legal enforceability

Personal protective equipment for auditors

Audit programme resource such as the availability of the required PPE for Auditors site access during an audit and provision of PPE training to auditors on the use of the PPE

Travelling time and accommodation for external auditors

Audit programme resource such as the cost of transportation to the site to be audited as well as the cost of accommodation for the auditors if the auditors resides in a foreign country 

Audit Programme Responsibilities

The organization audit programme responsibilities can be found in the organization internal audit protocol .Internal audit protocol is a document that sets out the roles, responsibilities and processes of stakeholders for the planning, conduct, reporting and follow up of planned audit work. 

The objective of the internal audit protocol is to ensure that Safety and Health Management System (SHMS) audits are conducted in a manner acceptable to the Occupational Safety and Health Division (OSHD), approved Workplace Safety and Health (WSH) Auditing Organizations and WSH Auditors are required to adhere to these guidelines..

Following the selection of suitable employees as auditors for the formation of the internal audit team, the roles of the audit team, the lead auditor and the team auditor shall be prescribed with roles and responsibilities

Roles and responsibilities of internal audit team

The roles and responsibilities of the internal audit members may include:

i)Lead auditor

• Lead audit team
• Assign auditor scope of work
• Compile audit reports
• Make audit opening meeting presentation
• Make audit closing meeting presentation

ii) Team auditor

• Conduct audit
• Report audit findings
• Make recommendations
• Write audit report

iii) Audit Team

• Inspection checklist
• Interview checklist
• Observation Checklist
• Auditors Notes
• Logistic arrangement
• List of documents to be reviewed
• List of persons to be interviewed

Overview of audit questionnaire checklist

The audit checklist derived its questionnaires based on

• Singapore Standard SS 506 series on Occupational Safety and Health Management System; and
• The Universal Assessment Instrument ( UAI) published by the American Industrial Hygiene Association ( AIHA)          

The organization WSH management system elements to be audited against            include:

• Safety Policy, including the allocation and delegation of responsibilities for safety
• Safety work practice
• Safety training
• Group meetings
• Incident investigation and regulations
• In-house safety rules and regulations
• Safety promotion
• System for evaluation, selection and control of contractors
• Safety Inspection
• Maintenance regime
• Risk assessment 
• Control of movement and use of the hazardous chemicals
• Occupational health programmes
• Emergency preparedness

Audit Methodology

Each audit must be conducted by at least two approved WSH Auditors. Both WSH Auditors may be a full-time employee of the WSH Auditing Organisation or a part-time WSH Auditor engaged by the same Organisation.

The WSH Auditors must exercise all due diligence when carrying out the audit to ensure quality and impartiality. The on-site SHMS audit protocol must comprise the following steps:

(i) Opening meeting;

(ii) Familiarisation tour;

(iii) Assessment of written SHMS;

(iv) Verification of the effective implementation of SHMS, which includes review of documents, interviewing of personnel and physical inspection

(v) Evaluation of findings; and

(vi) Exit meeting.

Audit Report

The approved WSH Auditors who carried out the audit must prepare a report

presenting the findings and conclusions on all elements of the SHMS. The audit report must be signed by the WSH Auditors.

(i) Opening meeting;

(ii) Familiarisation tour;

(iii) Assessment of written SHMS;

(iv) Verification of the effective implementation of SHMS, which includes review of documents, interviewing of personnel and physical inspection

(v) Evaluation of findings; and

(vi) Exit meeting.

AUDIT PROGRAMME RESPONSIBILITIES

The organization audit programme responsibilities can be found in the organization internal audit protocol .Internal audit protocol is a document that sets out the roles, responsibilities and processes of stakeholders for the planning, conduct, reporting and follow up of planned audit work. 

The objective of the internal audit protocol is to ensure that Safety and Health Management System (SHMS) audits are conducted in a manner acceptable to the Occupational Safety and Health Division (OSHD), approved Workplace Safety and Health (WSH) Auditing Organisations and WSH Auditors are required to adhere to these guidelines..

Following the selection of suitable employees as auditors for the formation of the internal audit team, the roles of the audit team, the lead auditor and the team auditor shall be prescribed with roles and responsibilities

Understanding of Audit Principle

The audit team shall have good understanding of the Audit Principles stipulated in the Workplace Safety and Health Auditing Organization Application Guidelines which include the following:-

Scope of Audit

The SHMS audit must be conducted in accordance with the relevant WSH legislation and guidelines set out for each industry. The audit must evaluate the SHMS based on the WSH Act and its subsidiary legislation, as well as the following legal requirement stipulated in the Workplace Safety and Health (Safety and Health Management System and Auditing) Regulations 2009

WORKPLACES TO APPOINT WORKPLACE SAFETY AND HEALTH AUDITORS

Classes or description of workplaces Frequency of audit 1. Any worksite with a contract sum of $30 million or more At least once every 6 months 2. Any shipyard in which 200 or more persons are employed At least once every 12 months 3. Any factory engaged in the manufacturing of fabricated metal products, machinery or equipment and in which 100 or more persons are employed At least once every 12 months 4. Any factory engaged in the processing or manufacturing of petroleum, petroleum products, petrochemicals or petrochemical products At least once every 24 months 5. Any premises where the bulk storage of toxic or flammable liquid is carried on by way of trade or for the purpose of gain and which has a storage capacity of 5,000 or more cubic metres for such toxic or flammable liquid At least once every 24 months 6. Any factory engaged in the manufacturing of — At least once every 24 months (a) fluorine, chlorine, hydrogen fluoride or carbon monoxide; or (b) synthetic polymers 7. Any factory engaged in the manufacturing of pharmaceutical products or their intermediates At least once every 24 months 8. Any factory engaged in the manufacturing of semiconductor wafers At least once every 24 months.

Formation of Internal Audit Team

Organization  shall identify and select suitable employees who have the relevant knowledge , skills and technical know-how to be part of their internal audit team in order to ensure the competency of the audit team.

Internal audit team usually comprise of:

• Lead auditor
• Team auditor

Roles and responsibilities of internal audit team

The roles and responsibilities of the internal audit members may include:

i)Lead auditor

• Lead audit team
• Assign auditor scope of work
• Compile audit reports
• Make audit opening meeting presentation
• Make audit closing meeting presentation

ii) Team auditor

• Conduct audit
• Report audit findings
• Make recommendations
• Write audit report

Selection of Auditor based on the the auditor technical knowledge in the subject to be audited and using the following evaluation criteria which include:

• Evaluation of individual persons as an auditor, such as:

• Personal attributes
• Knowledge and skills
• Education and qualification
• Work experience
• Audit experience

Business understanding relevant to the activities to be audited

Auditor shall establish the audit plan taking into consideration:-

• the audit activities to be able to meet the organization audit objectives and scope
• audit schedule
• date, time and place of audit
• expected time duration for audit
• expected time for meetings.

Audit scope and criteria:

• Logistic arrangement
• Travel
• Accommodation
• On-site facilities
• Area to be covered
• Document to be reviewed
• Persons to be interviewed
• Audit personnel and their responsibilities
• Audit reporting
• Format
• Topics
• Language
• Submission schedule
• Matters relating to confidentiality
• Follow-up requirements

Audit Programme Objective and Scope

An organization shall establish it’s WSH audit programme by establishing the audit objectives which may include:

• Verification of compliance with legal requirements
• Verification of conformance with customers requirement
• Meeting certification requirements
• Meeting Organizational requirements
• Improvement to management system

Similarly, an organization should also analysis the organizational audit needs which may include:

• Compliance with Legal and other requirements
• Mandatory requirements
• Customer’s requirements
• WSH Management system requirements

Following which an organization shall also establish the audit scopes to meet the  type of audit identified and it’s objectives which may include the following audit criteria:-

• Legal requirements
• Singapore Standards and Code of Practice
• Industrial standards
• Certification requirements
• Accreditation requirements
• Registration requirements
• Customer’s requirements
• Contractual requirements
• WSH management system requirements

Following the establishment of  the audit criteria, an organization shall then establish & assign the audit programme responsibilities which may include:

• Establishment of audit objectives and scope
• Provision of resources
• Development of audit plans
• Implementation of audit plans
• Conduct of audit
• Report of audit
• Monitor and review and improvement of audit programme

Types of WSH Audits

An audit is the organized examination or formal evaluation exercise. It involves the measurements, tests, and gauges applied to certain characteristics in regard to an object or activity

The results of the measurement are usually compared to specified requirements and standards for determining whether the item or activity is in line with these targets

There are numerous types of WSH audits and this may include:

• Management system
• WSH internal audit
• Environment
• Compliance audit 
• Second Party Audit
• Third Party Audit
• Certification Audit
  -SS ISO 45001
  

However in this post, l will only provide brief explanation on the Second party audit, third party audit, compliance audit and certification audit as follows:

Second party audit

Second party audit is an audit of another organization’s workplace safety and health program not under the direct control or within the organizational structure of the auditing organization.

Second party audits are usually performed by the customer upon it’s suppliers ( or potential suppliers) to ascertain whether or not the supplier can meet existing or proposed contractual requirements

Third party audit

Third party audit is an assessment of an organization’s quality system conducted by an independent, outside auditor or team of auditors. When referring to a third party audit as it applies to an international quality standard such as ISO 14000 the term “third party” is synonymous with a WSJ system registrar whose primary responsibility is to assess an organization’s quality system for conformance to that standard and issue a certificate of conformance(  upon completion of successful assessment)

Compliance audit

A comprehensive review of some aspect of the internal operations of a company that requires certification by a regulatory body to verify that it is in compliance with mandatory guidelines

Example would be MOM Safety Management System requirements Compliance audit and NEA Safety Audit for Hazardous Substances

Certification Audit

A certification audit is executed to check the quality management system of a company. An independent certification authority executes this type of audit.

An organizational audit needs may include:

• Compliance with legal and other requirements
• Mandatory requirements
• Customer’s requirements
• WSH Management systems requirements
• The applicable WSH Audit relevant to an organization may include: 
• SS ISO 45001: Occupational health and safety management systems – Requirements with guidance for use
• NEA safety audit for hazardous substances
• Compliance audit
  WSH internal audit
• Second Party Audit

• Third Party Audit
• Occupational Health audit
• Surveillance audits ( to management system certification)
• WSH programme audit based on:
  -Health
  -Training
  -Inspection
  -Maintenance
  -Chemical Management
  -Emergency preparedness
  -Personal protective equipment

Workplace SHMS Benefits

Safety and Health Management Systems Regulations 2009 [Safety and Health Management Systems (SHMS) Audit] took  effect from 1 March 2010. Under the law, it is mandatory for the following workplaces to have their Safety and Health Management  Systems (SHMS) audited by MOM approved auditors within the specified period.

Every workplace should have its Safety and Health Management System (SHMS)  audited or reviewed periodically to ensure continuous improvements in their Workplace Safety & Health

 A documented health and safety management system can provide: 

•  A framework to identify health and safety issues and assess risk in the current workplace

•  Methods to eliminate the identified issues and risks

•  Methods to evaluate performance against set goals

•  Promotion of effective worksite-based health and safety

•  Improvement in overall company performance

•  Increased practical health and safety knowledge and skills

•  Empowerment of employees to take an active role in their own   protection to enhance  the quality of employee work life. 

The system should address legal requirements, all employees (part time and full time), and workplace visitors. What Benefits Can Be Realized? 

The benefits of implementing an effective health and safety management  include: 

•  Improving management commitment and employee involvement

•  Providing ways to Measure the effectiveness of a health and safety program

•  Improving worker protection by eliminating serious hazards

•  Reducing worker risk of death, injury and illness on the job

•  Reducing workers' compensation rates and other costs,  lowering  absenteeism, and increasing productivity and morale

•  Reducing damage to company property and costs associated with idle periods

•  Helping keep turnover down and attract new employees

•  Stimulating employees to continually improve systems

•  Improving relationship with OSHA 

SHMS Audit Guidelines

To ensure that Safety and Health Management System (SHMS) audits are conducted in a manner acceptable to the Occupational Safety and Health Division (OSHD), approved Workplace Safety and Health (WSH) Auditing Organizations and WSH Auditors are required to adhere to the GUIDELINES ON THE AUDITS OF SAFETY AND HEALTH MANAGEMENT SYSTEMS 

The guideline provides the scope of the audit where the safety and health management system must be conducted in accordance with the relevant WSH legislation and guidelines set out for each industry. The audit must evaluate the SHMS based on the WSH Act and its subsidiary legislation as well as Singapore Standard as well as Singapore Standard SS ISO 45001: Occupational health and safety management systems – Requirements with guidance for use .

In the engagement of external independent auditor, an organization have to ensure the engaged external Auditor is an independent external auditor where the auditing organization nor it’s employees have any prior business relationship under a contract for service or provides safety consultancy services in order to ensure the objectivity and impartiality in an SHMS audit

Two approved WSH Auditors shall be engaged by the organization and both WSH Auditors may be a full-time employee of the WSH Auditing Organization or a part-time WSH Auditor engaged by the same Organization. 

And during the on-site SHMS audit , the auditors shall adhere to the audit protocol which comprises of the following steps: 

(i) Opening meeting; 

(ii) Familiarization tour; 

(iii) Assessment of written SHMS; 

(iv) Verification of the effective implementation of SHMS, which includes review 

     of documents, interviewing of personnel and physical inspection 

(v) Evaluation of findings; and 

(vi) Exit meeting. 

The auditors shall prepare and signed the audit report presenting the findings and conclusions on all elements of the SHMS upon completion of the audit

WSH SMS Regulations 2009 Interpretation

Singapore Workplace Safety & Health  (Safety and Health Management System and Auditing) Regulations 2009 stipulate that every workplace which falls under any of the workplaces category in the Second Schedule is require to implement a safety and health management system for the purpose of ensuring the safety and health of persons at work .

Excerpts taken from the SECOND SCHEDULE

SECOND SCHEDULE

Regulation 8(1)

WORKPLACES TO IMPLEMENT SAFETY AND HEALTH MANAGEMENT SYSTEM

1. Any premises which is a worksite.

2. Any premises which is a shipyard.

3. Any factory engaged in the manufacturing of fabricated metal products, machinery or equipment and in which 100 or more persons are employed.

4. Any factory engaged in the processing or manufacturing of petroleum, petroleum products, petrochemicals or petrochemical products.

5. Any premises where the bulk storage of toxic or flammable liquid is carried on by way of trade or for the purpose of gain and which has a storage capacity of 5,000 or more cubic metres for such toxic or flammable liquid.

6. Any factory engaged in the manufacturing of —

(a) fluorine, chlorine, hydrogen fluoride or carbon monoxide; and

(b) synthetic polymers.

7. Any factory engaged in the manufacturing of pharmaceutical products or their intermediates.

8. Any factory engaged in the manufacturing of semiconductor wafers.

If your organization falls in any of the 

In addition Regulation 9 of the regulation also stipulate the requirement of the duty of the occupier of any workplace specified in the Third Schedule to appoint a workplace safety and health auditor to audit the safety and health management system of the workplace at a frequency as specified in that Schedule.

To learn more about the Workplace Safety and Health (Safety and Health Management System and Auditing) Regulations 2009, check out the Singapore Statues Online