ADOSH-SF Technical Guideline: Audit and Inspection

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Abu Dhabi Occupational Safety and
Health System Framework
(ADOSH-SF)
ADOSH-SF Technical Guideline
Audit and Inspection
Version 4.0
July 2024

ADOSH-SF – Technical Guideline
Audit and Inspection
Version 4.0 – 15 th July 2024
Page 2 of 22
Table of Contents
1. Introduction ....................................................................................................................................................... 3
2. Definitions .......................................................................................................................................................... 3
3. Internal Audit .................................................................................................................................................... 4
3.1. Audit program / Procedure ................................................................................................................ 4
3.2. Auditing Documentation / Records ................................................................................................ 7
3.3. Undertaking an Audit .......................................................................................................................... 8
4. ADOSH-SF – Third Party Compliance Audit ........................................................................................... 15
4.1. Scope of the Audit .............................................................................................................................. 15
4.2. Selection of the Auditor ................................................................................................................... 15
4.3. Audit Reporting ................................................................................................................................... 16
4.4. Audit Timeframes ............................................................................................................................... 16
5. OSH Inspections ............................................................................................................................................. 17
5.1. Inspection Program ............................................................................................................................ 17
5.2. Random Inspections........................................................................................................................... 18
5.3. Selection of Inspectors ..................................................................................................................... 18
5.4. Inspection Documentation .............................................................................................................. 18
5.5. Inspection Program Monitoring and Review............................................................................. 18
6. Non Conformance and Corrective Action .............................................................................................. 19
6.1. Developing a Procedure ................................................................................................................... 19
7. Document Amendment Record ................................................................................................................. 20

ADOSH-SF – Technical Guideline
Audit and Inspection
Version 4.0 – 15 th July 2024
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1. Introduction
(a) This technical guideline provides additional information to assist entities comply with
the requirements of
ADOSH-SF- Element 8 – Audit and Inspection. The contents of this
technical guide are not mandatory; however adopting the information within this
guide will assist you in compliance to the requirement of the Element.
2. Definitions
(a) An audit has been defined within the
ADOSH-SF as:
(i) a systematic, independent and documented process for obtaining audit
evidence and evaluating it objectively to determine the extent to which audit
criteria are fulfilled.
(b) An inspection has been defined within the
ADOSH-SF as:
(i) physical on-site verification that work is performed and equipment is maintained
in accordance with existing OSH standards and procedures.
(c) A non-conformance has been defined within the
ADOSH-SF as:
(i) is a non-fulfillment of a requirement. Specifically, a nonconformance is any
deviation from work standards, practices, procedures, regulations, management
system performance etc. that could either directly or indirectly lead to injury or
illness, property damage, damage to the workplace environment, or a
combination of these.
(d) A corrective action has been defined within the
ADOSH-SF as:
(i) corrective actions are steps that are taken to remove the causes of an existing
non conformity or undesirable situation. The corrective action process is
designed to prevent the recurrence of nonconformities or undesirable
situations.

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Audit and Inspection
Version 4.0 – 15 th July 2024
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3. Internal Audit
(a) Under the requirements of
ADOSH-SF - Element 8 – Audit and Inspection, section 3.1,
all entities are required to develop an audit program / procedure which as a minimum
covers the following issues:
(i) The entity OSH audit program / procedure(s) shall address, at a minimum:
1. scope, criteria, and objectives of audits to be conducted;
2. audit program responsibilities, competencies and resources;
3. audit program planning and implementation processes, including;
• criteria;
• frequency and schedules;
• methods of collecting and verifying information;
• reporting audit results; and
• audit program record keeping;
4. audit program monitoring and review; and
5. internal and external reporting requirements.
(ii) The internal audit criteria shall cover
ADOSH-SF relevant requirements
applicable to the entity
3.1. Audit program / Procedure
3.1.1. Scope of the Program
(a) The scope of the audit program will be defined by a number of issues, such as:
(i) OSH management system requirements .
(ii) the entity should define what activities / jurisdictions will be covered. For the
purposes of the OSHMS this should cover all the undertakings of the entity.
(iii) the entity should also consider when developing the scope of the audit program
to consider the activities of the entities supply chain. It is a requirement under
ADOSH-SF – Element 3 – Management of Contractors – section 3.1.1(f) to monitor
the performance of all contractors, which also includes their compliance to the
entities OSHSM and their own internal management systems.

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Audit and Inspection
Version 4.0 – 15 th July 2024
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3.1.2. Roles and Responsibilities
(a) The responsibility for the management and implementation of the audit program
should be assigned to one or more individuals who have a general understanding of
auditing principles and OSH competencies as well as an understanding of the technical
and business requirements for the activities that are going to be audited.
(b) When selecting the individual(s) to hold responsibility for the auditing program, the
entity should ensure that they have independence from the activities being audited.
(c) Larger organisations may already have an auditing function within the business and
the responsibility for OSHMS auditing should be given to this department. This
ensures independence.
(d) For smaller organisations that don’t have a separate auditing function or the resources
to include this function, they may wish to consider the auditing program being led by
a senior manager outside of the OSH department to ensure independence.
(e) Persons who are assigned responsibility for an auditing program should:
(i) establish the scope, intent and objectives of the program;
(ii) establish the auditing procedures;
(iii) establish the roles and responsibilities for the program;
(iv) shall ensure that the entity has sufficient competent resources to undertake the
auditing program;
(v) shall ensure the implementation the auditing program;
(vi) shall ensure adequate records are kept;
(vii) shall ensure that senior management and other relevant stakeholders are
updated on the results of auditing and subsequent non-conformances and
corrective actions; and
(viii) shall monitor, review and improve the program.
3.1.3. Audit Program and Frequency
(a) Following the setting of the scope of the audit program and nominating an individual
to hold responsibility, the entity should now consider developing a robust audit
program to cover all the undertakings of the entity.
(b) For smaller entities, they may set up their auditing program to cover the entire
business in one audit, however those with a larger more complex business may decide
to split the business by department, undertaking or through elements of the
management system.
(c) There is no right or wrong way to develop the auditing program, as long as the entity
ensures that the output from the program meets the requirements of
ADOSH-SF -
Element 8 – Audit and Inspection and also covers all undertakings of the entity.
(d) Following the setting of program, entities should then decide on what frequency they
are going to internally audit their business. The program should ensure that all
elements of the management system and / or activities are audited at least annually.

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Audit and Inspection
Version 4.0 – 15 th July 2024
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(e) Entities may decide that although they will only cover all activities annually, due to
risk, complexity or business critical requirements, certain activities / processes may be
audited on a more frequent basis.
(f) The decision on the frequency of the audits should be risk based. Following
implementation of the auditing program, entities should ensure that they continually
update their program to reflect the outputs of the audit(s) (entities should also use
other outputs from their OSHMS, such as risk assessments, incidents etc. to determine
frequency) with those areas of the business that are deemed higher risk or have seen
poor performance during audits should be audited on a more regular basis.
3.1.4. Auditing Resources
(a) Under the requirements of
ADOSH-SF - Element 8 – Audit and Inspection, section 3.2,
all entities are required to ensure that all internal auditors are suitability experienced,
knowledgeable and competent to undertake audits.
(b) The
ADOSH-SF does not require entities to ensure that all internal auditors hold an
internationally recognized auditing certificate. This requirement is only required for
external auditing, see section 4.
(c) Although auditors are not required to hold an internationally recognized auditing
certificate, they are required to understand the principles of auditing and also the
technical business requirements of the activity that is being audited.
(d) When considering the resources that are required for the internal audit program, the
entity should consider the following issues:
(i) frequency and number of audits that are required;
(ii) internal organisation of the entity;
(iii) competency requirements; and
(iv) independence to the OSHMS and the actual area of the entity being audited.
(e) The issues listed above will help the entity determine the number of internal auditors
that are required to fully implement their audit program.
(f) As highlighted in section 3.1.3, there is no right or wrong when determining the
resources that are required to undertake the internal audit function, it should be
determined through the auditing program requirements and also the competencies
that are required.
(g) Depending on the size and complexity of the entity, the entity may decide to
nominate people in different departments to undertake internal audits as an
additional function to their normal role. This approach can work well when the entity
has decided to implement the internal audit requirements through a series of audits
rather than one complete audit on the entire system.
(h) It should be noted however that the nominated internal auditors should not be
allowed to audit their own department or function to ensure the independence of
the auditor.

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Audit and Inspection
Version 4.0 – 15 th July 2024
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3.1.5. Auditing Program Implementation
(a) The responsible person should ensure that prior to actual implementation of the
program, all relevant stakeholders within the entity are informed of the program and
are fully aware of the audit requirements.
(b) This should also include clear communication of the program requirements and audit
frequencies.
3.1.6. Monitoring and Review
(a) An integral part of the audit program that is developed for the entity should entail the
monitoring and review of the program to ensure it is meeting the requirements of the
ADOSH-SF and also those of the entity.
(b) The implementation of the audit program should be monitored to ensure it is meeting
the objectives and also to identify any areas for improvement. When undertaking the
review the entity should consider:
(i) feedback for auditee’s, auditors and other relevant stakeholders;
(ii) adherence to the audit schedule program; and
(iii) outputs from the audits.
(iv) Corrective Action Plans
(c) The review process should feed into the overall management review program as
required by
ADOSH-SF - Element 9 – Compliance and Management Review.
3.2. Auditing Documentation / Records
(a) As r
equired by ADOSH-SF - Element 8 – Audit and Inspection section 3.1(a)(iii)(1) the
entity shall develop a standard checklist(s) to assist the auditor when undertaking the
audit.
(b) The checklist(s) that are developed should cover all areas of the entities OSHMS and
also the activities that are being undertaken. Large complex entities may wish to
develop specific checklists for each department/function that they audit.
(c) Although it is a mandatory requirement to develop a checklist, these should not be
developed in a manner that is restrictive to the auditor. Checklists should be
developed to ensure audits are performed in a consistent manner and to assist the
auditor.
(d) It is also recommended that checklists are not developed with Yes/No answers, but in
the main have open questions that require the auditee(s) to provide evidence to
demonstrate compliance to the specific requirements.
(e) The primary purpose of the Internal Audit Checklist is to keep the auditor focused on
the task at hand. The checklist is supposed to serve as an aide memoir not as the
entire audit.

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Audit and Inspection
Version 4.0 – 15 th July 2024
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(f) When developing the audit documentation / records, each entity should consider
developing the following records as part of their procedure (samples of some of these
documents are included as Appendix 1 of this guidance):
(i) introductory / pre-audit meeting record;
(ii) pre-audit documentation requirements;
(iii) meeting attendance records;
(iv) non-conformance report (this record is a mandatory requirement under
ADOSH-
SF - Element 8 – Audit and Inspection section 3.5);
(v) auditing checklist (criteria); and
(vi) interview forms – if the audit scope requires the interview of stakeholders to
verify information.
3.3. Undertaking an Audit
(a) This section contains general good practice that has been developed on the planning
and conducting of an actual audit. The guidance is intended to assist entities when
developing their audit procedures; however these should be specific to their own
entity and undertaking. Figure 1 below outlines the basic steps that should be
considered when undertaking an audit.

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Audit and Inspection
Version 4.0 – 15 th July 2024
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Initiating the Audit
• Appointing an Audit Team leader
• Defining audit objectives, scope and criteria
• Selecting the audit team
• Establishing initial contact with the auditee
Conducting Document Review
• Reviewing relevant management system documents, including records, and
determining their adequacy with respect to the audit criteria
Preparing for audit activities
• Preparation of the audit plan
• Assigning work to the audit team
• Preparing audit documents
Undertaking the audit
• Conduct opening meeting
• Communication during the audit
• Collecting and verifying information
• Generating audit findings
• Preparing audit conclusions
• Conducting closing meeting
Preparation, approving and distribution of the audit Report
• Preparing the audit report
• Approving and distributing the audit report
Conducting audit follow up
Figure One – Overview of Audit Activities

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Audit and Inspection
Version 4.0 – 15 th July 2024
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3.3.1. Initiating the Audit
3.3.1.1. Appointing an Internal Audit Team Leader
(a) Depending on the scope or complexity of the audit, there may be a need for more than
one person to undertake the internal audit. In this case an audit team leader should
be appointed.
(b) The person that is appointed the audit team leader or lead auditor should be
considered competent and also have the relevant technical knowledge of the task /
process being audited.
3.3.1.2. Defining Audit Scope, Objectives and Criteria
(a) Prior to undertaking the audit, a clear scope, objectives and criteria need to be
documented.
(b) The audit scope should describe the extent and boundaries of the audit, such as
physical locations, organizational units, activities and processes to be audited, as well
as the time period covered by the audit.
(c) The audit criteria are used as a reference against which conformity is determined and
may include applicable policies, procedures, standards, laws and regulations,
management system requirements, contractual requirements or industry/business
sector codes of conduct.
(d) The audit objectives should be defined by the auditor. The audit scope and criteria
should be defined between the audit client and the audit team leader in accordance
with audit programme procedures. Any changes to the audit objectives, scope or
criteria should be agreed to by the same parties.
3.3.1.3. Selecting the Audit Team
(a) There may be a need in some circumstances for additional people to form an audit
team. This is normally the case for large complex organisation.
(b) The audit team should be selected taking into account the competencies required by
the tasks or activities being audited. The entity should also consider the independence
of the audit team members for the tasks or activities.
3.3.1.4. Establishing Initial Contact with the Auditee
(a) The auditor should establish initial contact with the auditee in advance of the planned
audit date. The purpose of the initial contact is to:
(i) to establish communication channels with the auditee’s representative;
(ii) to provide information on the proposed timing and audit team composition;
(iii) to request access to relevant documents, including records;
(iv) to determine applicable site safety rules;
(v) to make arrangements for the audit; and
(vi) to agree on the attendance of observers and the need for guides for the audit
team.

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Audit and Inspection
Version 4.0 – 15 th July 2024
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3.3.2. Conducting Document Review
(a) Prior to the audit, the auditor should review the relevant documentation related to
the department, task or activity that is being audited. This could include:
(i) organization chart;
(ii) previous reports for similar audits / inspections (e.g. OHSAS Audits);
(iii) last internal audit report made by the entity;
(iv) minutes of any OSH meeting(s) held recently;
(v) OSH plan / strategy for the entity; and
(vi) reports of any accidents/incidents that have occurred.
(b) The document review should provide the auditor with information on the
performance of the department, any non-conformances that were raised and other
ongoing issues.
(c) This information should help shape the direction of the audit plan.
3.3.3. Preparing for On-Site Audit Activities
3.3.3.1. Preparing the Audit Plan
(a) An audit plan should be prepared for the audit that will facilitate the scheduling and
coordination of auditing activities.
(b) The detail that is required in the plan will be determined by the size and complexity
of the audit.
(c) If the audit is small and only concentrating on one department and will be completed
in a short timeframe, the auditor may decide that a full plan is not required, however
for more complex, multi-site audits, a plan should be developed.
(d) The plan should cover the following information:
(i) the audit criteria and any reference documents;
(ii) the audit scope, including identification of the organizational and functional
units and processes to be audited;
(iii) the dates and places where the on-site audit activities are to be conducted;
(iv) the expected time and duration of on-site audit activities, including meetings
with the auditee’s management and audit team meetings;
(v) the roles and responsibilities of the audit team members and accompanying
persons;
(vi) the allocation of appropriate resources to critical areas of the audit;
(vii) The audit plan should also cover the following, as appropriate:
(viii) identification of the auditee’s representative for the audit;
(ix) the working and reporting language of the audit where this is different from the
language of the auditor and/or the auditee;
(x) the audit report topics;
(xi) logistic arrangements (travel, on-site facilities, etc.);
(xii) matters related to confidentiality; and
(xiii) any audit follow-up actions.

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Audit and Inspection
Version 4.0 – 15 th July 2024
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(e) The plan should be agreed with the auditee prior to the on-site auditing starts so
that it can be agreed and any required resources or facilities are available on the day
of the audit.
3.3.3.2. Assigning Work to the Audit Team Members
(a) Prior to conducting the audit, if there is a requirement for multiple auditors, the audit
team leader should assign each member clear responsibility for elements of the audit.
3.3.3.3. Preparing Auditing Documentation
(a) The auditor should ensure that all documentation required for the audit is available
and reflects the agreed scope, criteria and objectives of the audit.
(b) There may be a need to add additional items to the audit checklists, based upon
information highlighted previously or in the document review.
3.3.4. Undertaking the Audit
3.3.4.1. Opening Meeting
(a) An opening meeting should be held with the auditee’s management or, where
appropriate, those responsible for the functions or processes to be audited. The
purpose of an opening meeting is:
(i) Introduce the auditor(s) to the auditee;
(ii) to confirm the audit plan;
(iii) to provide a short summary of how the audit activities will be undertaken;
(iv) to confirm communication channels; and
(v) to provide an opportunity for the auditee to ask questions.
3.3.4.2. Communication during the Audit
(a) Depending upon the scope and complexity of the audit, it may be necessary to make
formal arrangements for communication within the audit team and with the auditee
during the audit.
3.3.4.3. Verifying Evidence
(a) During the audit, information relevant to the audit objectives, scope and criteria,
including information relating to interfaces between functions, activities and
processes, should be collected by appropriate sampling and should be verified. Only
information that is verifiable may be audit evidence. Audit evidence should be
recorded.
(b) The audit evidence is based on samples of the available information. Therefore there
is an element of uncertainty in auditing, and those acting upon the audit conclusions
should be aware of this uncertainty.
(c) Each relevant procedure should be examined and supporting documentation should
be made available as required by the procedure. The documentation should be
examined to ensure it meets agreed standards.

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Audit and Inspection
Version 4.0 – 15 th July 2024
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(d) Following the examination of the procedure and supporting documentation, there may
be further scope to test the implementation of the procedure by viewing the actual
practices. Compare what the procedure requires against what actually happens on
site.
(e) In general while conducting the audit, the auditors(s) will need to interview various
personnel on site. A good approach on interviewing is for the audit team to pose the
same question to the supervisor and members of his team individually. Asking several
layers of supervisors the same question may also be revealing.
(f) The audit team should ask open-ended questions, avoid judgements and not condone
any incorrect actions on site.
(g) Interviews and observations during the site visits will provide evidence of strengths
and weaknesses in the system. The audit team prior to documenting these findings
in the audit report will ensure that these facts are verified. This will be done via cross
checks with other auditor(s), additional interviews or cross referencing documents and
procedures.
(h) For more complex audits, it is good practice for the audit team to meet on a regular
basis to discuss the information that has been collected thus far and the general
findings of the audit. This is also a good time to cross check evidence with the audit
team.
3.3.4.4. Preparing Audit Conclusions
(a) Following completion of the audit, the audit team should review the entire audit
findings and agree on levels of non-conformity for any areas where non-compliance
to the system has been identified.
(b) The audit team should also agree on any follow up requirements
(c) Further the team should ensure that they have collected sufficient samples of
evidence to justify the information they will be providing in the audit report.
3.3.4.5. Closing Meeting
(a) On completion of the audit, a close out meeting should be held. The close out meeting
can be a formal meeting that is recorded or an informal meeting that just
communicates the results of the audit. This should be defined within the entities audit
and inspection procedures. (see section 3(a)).
(b) The auditor should present and overview of the audit findings and also any non-
conformances that have been identified.
(c) If during the close out meeting agreement cannot be reached on any non-conformities
that have been raised, these issues should be recorded.
(d) The auditor should also ensure that clear timescales are provided for the delivery of
the audit report (if not required during the closing meeting) and any follow up actions
that may be required.

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Audit and Inspection
Version 4.0 – 15 th July 2024
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3.3.5. Preparing, Approving and Distribution of the Audit Report
3.3.5.1. Preparation of the Audit Report
(a) The auditor should prepare a full audit report that will provide a clear complete,
accurate, concise and clear record of the audit, and should include or refer to the
following:
(i) the audit objectives;
(ii) the audit scope, particularly identification of the organizational and functional
units or processes audited and the time period covered;
(iii) identification of the audit client;
(iv) identification of audit team leader and members;
(v) the dates and places where the on-site audit activities were conducted;
(vi) the audit criteria;
(vii) the audit findings; and
(viii) the audit conclusions.
(b) The audit report may also include or refer to the following, as appropriate:
(i) the audit plan;
(ii) a list of auditee representatives;
(iii) a summary of the audit process, including the uncertainty and/or any obstacles
encountered that could decrease the reliability of the audit conclusions;
(iv) confirmation that the audit objectives have been accomplished within the audit
scope in accordance with the audit plan;
(v) any areas not covered, although within the audit scope;
(vi) any unresolved diverging opinions between the audit team and the auditee;
(vii) recommendations for improvement, if specified in the audit objectives;
(viii) agreed follow-up action plans, if any;
(ix) a statement of the confidential nature of the contents; and
(x) the distribution list for the audit report.
3.3.5.2. Approving and Distributing the Report
(a) The internal auditing procedure will define the specific approval and distribution
requirements for the report.
(b) The report should be issued to the auditee and also any other recipient that were
agreed within the audit plan.
3.3.6. Conducting Audit Follow Up
(a) The conclusions of the audit may indicate the need for corrective, preventive or
improvement actions, as applicable. Such actions are usually decided and undertaken
by the auditee within an agreed timeframe and are not considered to be part of the
audit.
(b) Dependant on the internal audit schedule and/or the auditing procedure, there may be
a need to undertake a follow up audit on the specific issue to verify that the corrective
action that was agreed has actually been implemented.

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Audit and Inspection
Version 4.0 – 15 th July 2024
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4. ADOSH-SF – Third Party Compliance Audit
(a) Under the requirements of ADOSH-SF
- Element 8 – Audit and Inspection – section 3(a)
(iv), all entities are require to undergo an annual third party compliance audit of their
OSHMS.
(b) The actual process for undertaking a third party audit will not differ substantially from
that of internal auditing, however the entity will need to define the requirements
within their procedure for following elements of external auditing:
(i) appointment of auditors;
(ii) internal communication;
(iii) management of external audits; and
(iv) reporting of audit results.
4.1. Scope of the Audit
(a) The external audit is designed to be a systematic, independent and documented
process for obtaining audit evidence and evaluating it objectively to determine the
extent to which audit criteria are fulfilled.
(b) The minimum criteria of this audit shall include:
(i) a review of the entity’s approved OSHMS to ensure compliance to the
ADOSH-
SF;
(ii) a systematic examination to determine whether activities and related results
conform to planned arrangements. The audit shall determine whether these
arrangements are implemented effectively and are suitable in achieving the
entity's policy and objectives; and
(iii) The entity shall ensure that scope and duration of the audit is reasonable and in
line with the size and complexity of their operations. Entitles shall give
consideration to the guidelines within
IAF guideline; IAF-MD5:2013.
(c) The annual audit that has to be undertaken should not be confused with a
certification audit for the requirements of ISO 45001, however as the
ADOSH-SF
contains similar principles, external auditors can combine the requirements of both
types of audits to reduce the cost and time burden to entities.
4.2. Selection of the Auditor
(a) This annual audit shall be undertaken by an auditor who is registered by the ADPHC
in Qudorat Program as per the requirements of
ADOSH-SF – Mechanism 7– Occupational
Safety and Health Practitioner and Service Provider Registration.
(b) Registration as an OSH Auditor with ADPHC is a process to ensure auditor(s) have the
appropriate competence (qualifications, knowledge and experience) to conduct the
audit.
(c) External Auditors, Certification Bodies and Auditing Companies engaged to undertake
an annual third party external compliance audit shall be registered with ADPHC in
Qudorat Program for conducting the 3rd party external OSH MS compliance audit in

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Version 4.0 – 15 th July 2024
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compliance with
ADOSH-SF – Mechanism 7 – Occupational Safety and Health
Practitioner and Service Provider Registration..
(d) To ensure objectivity and that no conflicts of interest exist, the third party external
audit shall not be performed by an auditor / company who has assisted or is employed
by an entity that was contracted to develop and/or implement the entities OSH MS
within the last two years. Entities are to select an audit team that has relevant sector
specific experience
.
(e) Entities must note that the entity engaged to undertake the 3rd party audit, along with
the auditors engaged by the auditing company, are registered with ADPHC. Failure to
ensure this will result in the audit report being rejected.
(f) Entities are to select an audit team that has relevant sector specific experience.
4.3. Audit Reporting
(a) The annual external compliance audit results shall be submitted to the concerned SRA
by completing and submitting
ADOSH-SF - Form
F – Annual External OSHMS Audit Form
within 30 days of the entity receiving the report.
(b) The intent of this audit is to provide evidence and inform the concerned SRA of the
level of compliance of an entity to the
ADOSH-SF and to the entity’s approved OSHMS.
This is an important component of the entity’s commitment to demonstrating self-
regulation.
4.4. Audit Timeframes
(a) Entities shall undertake their initial third party external compliance audit within one
year of official notification of approval of their entity OSHMS from the concerned SRA.
(b) Subsequent annual audits shall be undertaken within one year of the previous third
party external compliance audit date.

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Version 4.0 – 15 th July 2024
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5. OSH Inspections
(a) Under the requirements
of ADOSH-SF - Element 8 – Audit and Inspection, section 3.2,
all entities are required to develop an inspection program / procedure which as a
minimum covers the following issues:
(i) scope, criteria and objectives of inspections to be conducted;
(ii) inspection program responsibilities, competencies and resources;
(iii) inspection program planning and implementation processes, including;
1. criteria;
2. frequency and schedules;
3. methods of collecting and verifying information;
4. reporting inspection results;
5. non-conformance and corrective action process; and
6. inspection program record keeping.
7. inspection program monitoring and review; and
(iv) internal reporting requirements.
(b) An inspection is a physical on-site verification that work is performed and equipment
is maintained in accordance with existing OSH standards and procedures.
5.1. Inspection Program
(a) The inspection program should cover all the activities that the entity undertakes and
should be developed on a risk based approach.
(b) When developing an inspection program, the entity should review the outputs of their
OSHMS to determine which areas of their business require more frequent inspections
than others.
(c) It is good practice to ensure that all areas of the business are inspected as a minimum
twice per year. However for more medium to high risk activities/processes the entity
should consider monthly inspections.
(d) The inspection program should be communicated to all relevant stakeholders within
the entity so they are aware of the requirements.

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5.2. Random Inspections
(a) Although the program should detail what the planned inspection requirements are,
the entity should also consider undertaking random inspections when the need arises.
(b) Random inspections should be used to compliment the planned inspections and also
to verify their results.
(c) Further the frequency of random inspections should be based upon the outputs of the
OSHMS and where poor compliance is seen, it may be that the entity decides to
undertake more frequent random inspections.
5.3. Selection of Inspectors
(a) In line with section 3.1.4, there are no formal training requirements for internal
inspectors other than they should be considered competent to undertake the
inspection, both in terms of the principles of inspections and also the
tasks/activity/area they are inspecting.
5.4. Inspection Documentation
(a) The entity should develop checklist that can be used to standardise the inspections
being undertaken. Inspection checklists should be developed as basic checklists that
can verify work practices and equipment is being maintained in line with the entities
OSHMS requirements.
(b) Depending on the size and complexity of the entity, it may be decided to develop
several checklists to cover the undertakings. These can be split by function or even
by hazards, with Fire Safety being an example.
(c) The checklist should ask a series of basic questions around the requirements of the
OSHMS and known hazards.
5.5. Inspection Program Monitoring and Review
(a) An integral part of the inspection program that is developed for the entity should
entail the monitoring and review of the program to ensure it is meeting the
requirements of the
ADOSH-SF and also those of the entity.
(b) The implementation of the inspection program should be monitored to ensure it is
meeting the objectives and also to identify any areas for improvement. When
undertaking the review the entity should consider:
(i) Feedback for auditee’s, inspectors and other relevant stakeholders;
(ii) Adherence to the inspection schedule program; and
(iii) Findings / Outputs from the inspections.
(c) The review process should feed into the overall management review program as
required by
ADOSH-SF - Element 9 – Compliance and Management Review.

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Version 4.0 – 15 th July 2024
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6. Non Conformance and Corrective Action
(a) Under the requirements
of ADOSH-SF - Element 8 – Audit and Inspection, section 3.5,
all entities are required to develop an inspection program / procedure which as a
minimum covers the following issues:
(i) identifying and correcting non-conformity(s) and taking actions(s) to mitigate
their OSH consequences;
(ii) means to report potential non-conformances at appropriate levels throughout
the organisation;
(iii) means to record, monitor and manage all reported non-conformances
appropriate to the OSHMS;
(iv) investigating non-conformity(s), determining their root cause(s) and taking
actions to avoid their reoccurrence;
(v) evaluating the need for action(s) to prevent non-conformity(s) and
implementing appropriate actions designed to avoid their occurrence;
(vi) recording and communicating the results of corrective action(s) and
preventative action(s) taken; and
(vii) reviewing the effectiveness of corrective action(s) and preventative action(s)
taken as part of the close-out procedure.
6.1. Developing a Procedure
(a) The management of identified non-conformances and subsequent corrective actions
is vital to the success of the entities OSHMS.
(b) Entities will identify problems with their OSHMS (especially in the early phases)
through audits, measurement, or other activities. In addition, the OSHMS will need to
change as the facility adapts and grows. To deal with system deficiencies, the entity
needs a process to ensure that:
(i) problems (including nonconformities) are identified and investigated;
(ii) root causes are identified;
(iii) corrective and preventive actions are identified and implemented; and
(iv) actions are tracked and their effectiveness is verified.
(c) A vital part of corrective and preventive action procedures that is regularly overlooked
is the monitoring of identified actions. Most entities are very good at identifying
corrective and preventative actions, however fail to have a robust procedure to ensure
that the action is completed and actually puts in place controls that reduce risk.
(d) Entities should consider the development of a corrective and preventative action
register that tracks each issues through from raising the form to completion. Further
some entities will integrate this register with other action registers to give them a
total tracking system for all actions form the OSHMS.
(e) All corrective and preventive actions should be tracked for effectiveness as well as
being completed. Prior to implementation of an action, it is required under
ADOSH-SF
- Element 8 – Audit and Inspection, section 3.5(c) to complete or review the relevant
risk assessments to ensure that the action is appropriate.

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Audit and Inspection
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7. Document Amendment Record
Version Revision Date Description of Amendment Page/s Affected
4.0 15th July 2024
System acronym updated from OSHAD-
SF to ADOSH-SF to accurately reflect
document title
Throughout
Change from OSHAD to ADPHC
Change of Logo
Minor editorial changes throughout the
document without changing requirements.
Title of Mechanism 7.0 updated to
ADOSH-SF – Mechanism 7–
Occupational Safety and Health
Practitioner and Service Provider
Registration.
OSHAD-SF - Mechanism 8.0 - OSH
Practitioner Registration deleted

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