1. In case of management systems like EMS & OHSMS, when product or service realization processes operate on a shift basis, the extent of auditing of each shift (read outside normal working hours) depends not only on the processes done in each shift but also the level of control of each shift that is demonstrated by the client.
2. There are no reference criteria to cover auditing beyond normal working hours on the basis of significant factors like industry sector being audited and gravity of environmental aspects or hazards, for verification of effectiveness of the management systems, which is an ultimate objective of auditing. In absence of such criteria, merely auditing of specific processes not covered during day time audit hours may not be adequate.
3. It is not only the issue of auditing processes which would not be available to be covered during the daytime auditing hours. The fundamental issue is that of verification of controls outside normal working hours when the conditions are different, and adverse (like no natural light, skeleton administrative personnel, uncertainty of availability of relevant emergency services, workmen staying awake to work against the normal biological clock, slow response as compared to daytime etc), and when the senior management and general shift personnel are not available.
4. On paper, and as per records, the system may appear to be under control with adequate controls in
place, but unless it is seen, it will amount only to collection of information without adequate assessment of ground reality to get confidence that the controls in place are working/implemented as projected and determined through records and personnel interviews during daytime auditing.
In view of the above, following approach has been decided –
1. As a minimum, auditing of 2nd/3rd shift (read as outside of normal working hours) shall be done at least once during the certification cycle. This does not prohibit planning auditing of shifts during subsequent audit events within the current certification cycle.
2. It is recommended to plan the shift auditing during the Stage 2 or recertification audit since the available audit days are more as compared to the Surveillance audits.
3. In the eventuality that auditing of shifts is not done during the Stage 2 or the recertification audit, the same shall be ensured during any of the surveillance audits. This shall be indicated in the surveillance plan.
4. The audit report template has been revised to make provision (under ‘Mandatory Auditors Notes’
section) for comments related to conformances with respect to implementation & effectiveness of the
operational controls outside the normal working hours, with specific focus on elements that need to be verified. These include Operational Controls, monitoring & measurement, emergency preparedness, internal communication, competence & awareness, etc.
5. Also, the report template includes a provision to record justification, in case the processes outside the normal working hours are not feasible to be audited. Typical examples could be simple & low risk processes (e.g. only packaging operations which have been audited during day hours), very less
manpower in 3 rd shift (mainly for safety supervision), 3rd shift operations suspended due to low demand, etc.
Keeping the factors of logistics in mind, we can take client in confidence for auditing shifts. To begin with, this should be relatively easy in organisations where auditors are on out-station/overnight assignments & would be staying in Hotels or Company Guest Houses (which generally are close to audit sites).
Also, we need not audit entire shift as such. We can break the total duration of 8 hrs in G -Shift and
Second/Night shift (e.g. 6 hours in General shift & 2 hours in late 2nd/3rd shift). Same needs to be reflected in audit plan and report. For shorter duration audits/audits not involving overnight stay, following approaches (but not limited to) may be adopted, as appropriate & with due consideration of the above-mentioned inputs -
• If the audit starts at the normal time (e.g. @ 09.30 am), then the same can be curtailed by 4.00 pm. The audit team waits at the site & then continues to complete the rest of the audit duration in the after-office hours. The 'waiting time' at the site can still be utilised to complete majority of the audit reporting activities.
• Start the audit around noon time & plan for 8 hours which will significantly get extended in the 2nd shift.
This ITB is applicable for predominantly the QHSE schemes and those schemes governed by IAF MD5, which requires that - Where product or service realization processes operate on a shift basis, the extent of auditing of each shift by the CAB depends on the processes done on each shift, and the level of control of each shift that is demonstrated by the client. The justification for not auditing each shift shall be documented.
2. There are no reference criteria to cover auditing beyond normal working hours on the basis of significant factors like industry sector being audited and gravity of environmental aspects or hazards, for verification of effectiveness of the management systems, which is an ultimate objective of auditing. In absence of such criteria, merely auditing of specific processes not covered during day time audit hours may not be adequate.
3. It is not only the issue of auditing processes which would not be available to be covered during the daytime auditing hours. The fundamental issue is that of verification of controls outside normal working hours when the conditions are different, and adverse (like no natural light, skeleton administrative personnel, uncertainty of availability of relevant emergency services, workmen staying awake to work against the normal biological clock, slow response as compared to daytime etc), and when the senior management and general shift personnel are not available.
4. On paper, and as per records, the system may appear to be under control with adequate controls in
place, but unless it is seen, it will amount only to collection of information without adequate assessment of ground reality to get confidence that the controls in place are working/implemented as projected and determined through records and personnel interviews during daytime auditing.
In view of the above, following approach has been decided –
1. As a minimum, auditing of 2nd/3rd shift (read as outside of normal working hours) shall be done at least once during the certification cycle. This does not prohibit planning auditing of shifts during subsequent audit events within the current certification cycle.
2. It is recommended to plan the shift auditing during the Stage 2 or recertification audit since the available audit days are more as compared to the Surveillance audits.
3. In the eventuality that auditing of shifts is not done during the Stage 2 or the recertification audit, the same shall be ensured during any of the surveillance audits. This shall be indicated in the surveillance plan.
4. The audit report template has been revised to make provision (under ‘Mandatory Auditors Notes’
section) for comments related to conformances with respect to implementation & effectiveness of the
operational controls outside the normal working hours, with specific focus on elements that need to be verified. These include Operational Controls, monitoring & measurement, emergency preparedness, internal communication, competence & awareness, etc.
5. Also, the report template includes a provision to record justification, in case the processes outside the normal working hours are not feasible to be audited. Typical examples could be simple & low risk processes (e.g. only packaging operations which have been audited during day hours), very less
manpower in 3 rd shift (mainly for safety supervision), 3rd shift operations suspended due to low demand, etc.
Keeping the factors of logistics in mind, we can take client in confidence for auditing shifts. To begin with, this should be relatively easy in organisations where auditors are on out-station/overnight assignments & would be staying in Hotels or Company Guest Houses (which generally are close to audit sites).
Also, we need not audit entire shift as such. We can break the total duration of 8 hrs in G -Shift and
Second/Night shift (e.g. 6 hours in General shift & 2 hours in late 2nd/3rd shift). Same needs to be reflected in audit plan and report. For shorter duration audits/audits not involving overnight stay, following approaches (but not limited to) may be adopted, as appropriate & with due consideration of the above-mentioned inputs -
• If the audit starts at the normal time (e.g. @ 09.30 am), then the same can be curtailed by 4.00 pm. The audit team waits at the site & then continues to complete the rest of the audit duration in the after-office hours. The 'waiting time' at the site can still be utilised to complete majority of the audit reporting activities.
• Start the audit around noon time & plan for 8 hours which will significantly get extended in the 2nd shift.
This ITB is applicable for predominantly the QHSE schemes and those schemes governed by IAF MD5, which requires that - Where product or service realization processes operate on a shift basis, the extent of auditing of each shift by the CAB depends on the processes done on each shift, and the level of control of each shift that is demonstrated by the client. The justification for not auditing each shift shall be documented.
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