Audit plan

INTRODUCTION

Company XXXX is a global manufacturer of polymeric medical grade components and systems for injectable drug delivery, including stoppers, seals for vials, and closures.In view of Company XXXX varying customer’s products dimensional and functional requirements, it’s facility stored and employed significant amount of hazardous and flammables chemicals for it’s manufacturing operations.

Similarly to power and fuel up it’s utility and manufacturing operations, Company XXXX house statutory equipment such as the steam boilers, pressure vessel ,  air compressor and cooling tower in its site located at XXXX.

Following two fatal accidents and numerous safety lapses reported in its manufacturing site prompted Company XXXX Director to formally invite the HSE Consultancy and Services Pte Ltd to conduct an audit on it’s Safety and Health Management System to identify the strengths and weaknesses of its Safety and Health Management System

OBJECTIVE

The purpose of the Safety Management System audit is to assess Company XXXX Safety Management System Manual based on the WSH Act and its subsidiary legislation as well as the Singapore Standard SS 506 Part 3 : 2006 Occupational safety and health (OSH) management system – Requirements for the chemical ,by gathering evidence on System Implementation through Sampling, Document Review, Interview of Personnel and Physical Inspection.

SCOPE

The scope of this audit was limited to assessing 7 Elements out of the 14 Elements of Company XXXX Safety and Health Management System

The Safety and Health Management System Elements Assessed are tabulated below

Element #	Element Description
Element 1	Safety Policy
Element 2	Safe Work Procedure
Element 3	Safety Training
Element 4	Group Meetings
Element 5	Incident Investigation and Analysis
Element 9	Safety Inspections
Element 11	Hazard Analysis

 

The Safety and Health Management System audit is undertaken in Company XXXX located at XXXX

The Auditee site comprised of the following utilities and facilities which will be inspected
on site during the scheduled audit from period 20 July 2013 to 21 July 2013

 

Utilities / Facilities located in Company XXXX

Steam Boiler

Air Compressor room

Autoclave

Toxic Industrial Waste Storage

Chemicals Storage

Flammable Chemical Storage

Steam Boiler

Air Compressor room

Cooling Tower

Dust Collector

 

AUDIT CRITERIA

The audit criteria strictly adhere to the Ministry of Manpower Guidelines on the Audits of Safety and Health Management System where the audit on the SHMS is conducted in accordance with the relevant WSH legislation and guidelines set out for each industry.

The audit on the SHMS is based on the WSH Act and its subsidiary legislation as well as the Singapore Standard SS 506 Part 3 : 2006 Occupational safety and health (OSH) management system – Requirements for the chemical industry

AUDIT PROTOCOL

The following on-site SHMS audit protocols are to be observed by the auditors. And the activities involve in each phase is tabulated under audit methodology

·         Pre-audit Activities

·         On-Site Audit Activities

·         Post Audit Activities

 

AUDIT METHODOLOGY/PROCESS

The conduct of the Safety and Health Management System in Company XXXX involve various phases, which include the pre-audit phase, audit phase and post audit phase activities

Tabulated below is the list of activities undertaken during the various audit phases

 

Audit Phase	Activities	Responsibility	Timeline
Pre-Audit Phase	Gathering of background information from audited organization using pre-audit questionnaires and obtain previous year audit report	Lead auditor email organization   Audited organization furnish the organization background information as per established questionnaire	2 weeks
	Developed audit plan and audit schedule upon received required information from the organization	Lead auditor	1 weeks
Pre-Audit meeting with Auditee	Pre-site visit by lead auditor to confirm the audit plan which include audit schedule ,audit sampling, audit methodology ,audit criteria	Lead auditor	1 weeks
	Notification of confirmation of audit date, audit agenda, audit plan, and audit schedule	Lead auditor	1 month
Audit Phase	Opening address -explain to auditee the audit objective, audit purpose, scope and audit methodology and identify personnel for interview	Lead auditor	-
	Familiarization tour by site audit coordinator to  provide an overall view of the site facility to the audit team	Site audit coordinator	-

 

Audit Phase	Activities	Responsibility	Timeline
Audit Phase	Documentation Review -assess site safety and health management system manual , -Safety Policy -Statutory equipment inspection schedule -WSH training records of workers, supervisors and managers -safe work procedures for high risk activities -safety committee inspection records -safety committee team meeting minutes -risk assessment of risk activities   Use of checklist to confirm findings from the assessment of the company SHMS during documentation review phase	Team Auditor	-
	Interview of Person   Interview of person which include contractors, workers, supervisors, engineers and managers for verification of information   Use of checklist to confirm findings from the assessment of the company SHMS during the interview of personnel phase	Lead Auditor	-
Audit Phase	Site Physical Inspection   Observe processes and procedures related to health and safety which include housekeeping, production processes, job task, machine, equipment function and the use of PPE etc to confirm findings gathered from the document review and interview of personnel   To ascertain actual physical system compliance in the factory   Obtain general impression of the state of the safety and health of the factory   Use of checklist to confirm findings from the assessment of the company SHMS during site physical inspection phase	Team Auditor	-
Audit Phase	Closing meeting   Closing address with site management presenting the audit findings, observations  and conclusion and allow clarification from site management   Timeline on receiving of official audit report   Timeline on the follow up of the identified action items	Lead Auditor	-
Post-Audit Activities	Preparation of draft SHMS Audit report for Company XXXX management team and give them 2 week grace period to review and comment   Issue the final SHMS Audit report 1 month from the date of actual audit   Develop Action Plan on identified audit findings by   ·         Proposed Action ·         Resolve differences ·         Establish Responsibility ·         Determine schedule for next follow up   Follow up to monitor progress of audit action progress, verification of audit action items and verification of effectiveness of action items

 

 

INTERVIEW PERSONNEL

During the interview of personnel, Company XXXX employees from different levels of the
organizational hierarchy which include company management, line management, workers,
OSH personnel and even subcontractors and suppliers are randomly selected and sampled.

The names of the interviewees were withheld and not disclosed nor published in this audit
 report for confidentiality reasons

Interview checklist developed for the purpose of assessing the SHMS Elements and designed for different levels of staffs within Company XXXX organizational hierarchy are used to assess Company XXXX SHSMS effectiveness

Company XXXX Audit Coordinator is responsible for over-seeing the coordination and the scheduling
of Company XXXX  employees for interview with the auditors.

AUDIT CLASSIFICATION

Audit Finding Classification

At the completion of the audit, the lead auditor will discuss with the team auditor to make an assessment about the findings taking into consideration both positive and negative aspects and classify the audit findings based on the following criteria

Major

An audit finding is Major if any of the following criteria apply, presenting a significant risk:

-an EHS Management System element is largely missing or its implementation is almost completely ineffective

-the site doesn’t comply with a legal obligation

-repeat findings have arisen for the same issue in consecutive audits

-a significant risk (to EHS) is present.

Minor

An audit finding is Minor if any of the following criteria apply, presenting a non-significant  risk:

-an effective but incomplete system element requires some improvements

-non-significant risk (to EHS) is present.

SUGGESTION

-A Suggestion will be made if the auditor is aware of situations which may benefit the site. This need not be limited to the scope of the audit.