OHS Audit Finding Definitions

C [Conformance]

The Faculty / Division has demonstrated:

• full implementation of University procedures, and
• compliance with legal requirements, and
• commitment to the principle of continual improvement

Based upon the sample audited is it evident that the organisation is conformant with University and legal requirements, and is active in implementing additional measures to achieve continual improvement.

AFI [Area for Improvement]

Recommendations that may assist the Faculty / Division to achieve continual improvement:

• to ensure more efficient implementation of University procedures (reductions in time, cost and resources)
• enhancements that may make the system more transparent to auditors, regulators and the University

The organisation is conformant with University and legal requirements and the recommendations are merely the opinion of the auditor. While failure to follow this advice will not in itself lead to Non Conformance, the recommendations are made based on the auditor’s experience in reviewing the approach of areas across the entire University.

RC [Requires Correction]

Based on the sample audited it is evident that:

• the organisation has not fully, effectively or consistently implemented University procedures, and / or
• there was evidence of isolated instances of apparent legal non-compliance.

Corrective Action should be undertaken as a priority to prevent the area falling into Non Conformance. The audit itself is a sampling exercise. If the sampling indicates isolated legal non-compliance, it is likely that a Regulator (WorkSafe or EPA) would reveal systematic non-compliance during more focused inspection or intervention.

Further, it is likely that both internal and external auditors will focus on issues identified as RC during subsequent audits. The criterion requiring correction may be linked or interdependent on other key systems. A failure relating to this criterion may therefore lead to a significant reduction in total system effectiveness, or wider legal non-compliance.

NC [Non Conformance]

The audit finds evidence that:

• there was an absence of system elements or a part of the system, and / or
• there was a failure to follow the documented systems or procedures, and / or
• a lapse in the system or procedure, and / or
• apparent systemic legal non-compliance.

Corrective Action must be undertaken to prevent injury, ensure continued Certification and to avoid potential prosecution by regulators. The Internal Auditor is required to report serious hazards or potentially dangerous occurrences to Senior Faculty / Division Management, the General Manager, EHS and the Director of Internal Audit. Non conformances are documented on Corrective Action Reports and remedial action will be confirmed by subsequent verification.

NV [Not Verified]

The auditor cannot confirm implementation of the system because:

• the related activity has not yet occurred to provide objective evidence, or
• the criterion was not examined during the audit, or
• evidence could not be provided due to unforeseen circumstance

It is clear that this is no indication of conformance. The auditor may not have reviewed key documents, interviewed staff or visited key areas owing to a number of issues including; staff absence or time constraints. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

 NA [Not Applicable]

The organisation is not required to implement systems to satisfy the specified criterion.