QHSE Audit: Methodology and Best Practices

The QHSE audit is an essential tool of the management system. It is used to assess compliance, effectiveness, and continuous improvement. This article presents the audit methodology according to ISO 19011.

Definition

The QHSE audit is a systematic, independent, and documented process conducted to determine whether an organization's activities and related results conform to defined criteria (ISO 9001:2015, ISO 14001:2015, ISO 45001:2018, ISO 22000:2018, legislation, internal procedures). It is an essential management tool that allows for judging the effectiveness of the system and identifying areas for improvement.

Unlike an inspection, which detects specific non-conformities, an audit is a structured and planned process. It follows a recognized methodology, conducted by a competent and independent auditor.

ISO 19011:2018: Guidelines for Auditing

The standard ISO 19011:2018 provides guidelines for auditing management systems. It is the international reference for conducting internal, external, and certification audits.

ISO 19011:2018 covers:

The principles of auditing (integrity, fairness, confidentiality, independence, evidence-based approach, risk-based approach)
The management of an audit program
The competence and evaluation of auditors
The conduct of an audit

Types of Audits

Three main types of audits are distinguished:

1. Internal Audit (First-Party)

Conducted by the organization itself, the internal audit verifies the conformity of its management system. It is led by the QHSE manager and carried out by internal auditors (who may be trained). The internal audit is an explicit requirement of ISO 9001:2015, ISO 14001:2015, and ISO 45001:2018.

2. External Audit (Second-Party)

Conducted by a client or principal contractor at its supplier's premises. It aims to ensure the supplier's ability to meet contractual requirements (quality, safety, environment).

3. Certification Audit (Third-Party)

Conducted by an independent accredited certification body. It leads to the issuance or maintenance of a certificate (ISO 9001:2015, ISO 14001:2015, ISO 45001:2018, etc.).

Audit Process

A complete audit follows four phases:

1. Preparation

Definition of scope, objectives, and criteria
Preliminary document review
Development of the audit plan and checklist
Notification to the audited entity

2. Execution

Opening meeting
Evidence gathering (interviews, observation, document review)
Findings and classification (conformity, minor non-conformity, major non-conformity, observation, opportunity for improvement)
Closing meeting

3. Reporting

Drafting the audit report
Distribution to stakeholders
Proposed corrective action plan

4. Follow-up

Verification of implemented corrective actions
Closure of non-conformities
Follow-up in subsequent audits

Auditor Qualities

A competent QHSE auditor combines knowledge, skills, and personal attributes:

Knowledge: of the standards (ISO 9001:2015, ISO 14001:2015, ISO 45001:2018), the industry sector, and audit techniques
Interpersonal skills: listening, paraphrasing, openness, tact
Independence and objectivity: absence of a hierarchical link with the audited entity
Critical thinking: analysis, judgment based on evidence
Communication: ability to report clearly and formulate factual findings

Application in Morocco

In Morocco, QHSE audits are conducted by specialized firms, certification bodies (IMANOR, Bureau Veritas, SGS), and trained internal auditors. The IICP HSE Academy offers training in internal QHSE auditing in accordance with ISO 19011:2018 and prepares candidates for auditor certification.

Sources et références

Code du travail marocain (Loi n° 65-99), Titre IV — articles 281 et suivants (principes généraux de prévention) ILO NATLEX : https://natlex.ilo.org/dyn/natlex2/r/natlex/fe/details?p3_isn=67319
INRS — Outils et méthodes d'audit (portail risques) https://www.inrs.fr/risques.html
ISO 19011:2018 — Guidelines for auditing management systems https://www.iso.org/standard/66763.html