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Health and Safety,
Environment and
Quality Audits

Internal auditing is an essential tool for managing compliance, and for initiating and
driving continual improvement in any organization’s systematic HSEQ performance.

Health and Safety, Environment and Quality Audits includes the latest health and safety,
environmental and quality management system standards – ISO 9001, ISO 14001 and
ISO 45001. It delivers a powerful and proven approach to risk-based auditing of business-
critical risk areas using ISO, or your own management systems. It connects the ‘PDCA’
approach to implementing management systems with auditing by focusing on the
organization’s context and the needs and expectations of interested parties. The novel
approach leads HSEQ practitioners and senior and line managers alike to concentrate on
the most significant risks to their objectives, and provides a step-by-step route through
The Audit AdventureTM to provide a high-level, future-focused audit opinion. The whole
approach is aligned to the international standard guidance for auditing management
systems (ISO 19011).

This unique guide to HSEQ and operations integrity auditing has become the standard
work in the field over three editions while securing bestseller status in Australasia, Europe,
North America and South Africa. It is essential reading for senior managers and auditors
alike – it remains the ‘go to’ title for those who aspire to drive a prosperous and thriving
business based on world-class HSEQ management and performance.

Stephen Asbury is Managing Director of AllSafe Group Limited, and a Six Sigma Green
Belt. He is a Chartered Fellow of IOSH (CFIOSH), a Chartered Environmentalist (CEnv) and a
Professional Member Emeritus of ASSP. This is his sixth book for Routledge.
Health
and Safety,
Environment
and Quality
Audits
A Risk-based Approach
Third Edition

Stephen Asbury
Third edition published 2018
by Routledge
2 Park Square, Milton Park, Abingdon, Oxon, OX14 4RN

and by Routledge
711 Third Avenue, New York, NY 10017

Routledge is an imprint of the Taylor & Francis Group, an informa business

© 2018 Stephen Asbury

The right of Stephen Asbury to be identified as author of this work has been
asserted by him in accordance with sections 77 and 78 of the Copyright,
Designs and Patents Act 1988.

All rights reserved. No part of this book may be reprinted or reproduced or

utilised in any form or by any electronic, mechanical, or other means, now
known or hereafter invented, including photocopying and recording, or in
any information storage or retrieval system, without permission in writing
from the publishers.

Trademark notice: Product or corporate names may be trademarks or

registered trademarks, and are used only for identification and explanation
without intent to infringe.

First edition published by Butterworth Heinemann 2006

Second edition published by Routledge 2014

British Library Cataloguing-in-Publication Data

A catalogue record for this book is available from the British Library

Library of Congress Cataloging-in-Publication Data

Names: Asbury, Stephen, author.
Title: Health and safety, environment and quality audits : a risk-based
approach / Stephen Asbury.
Description: Third edition. | Abingdon, Oxon ; New York, NY :
Routledge, 2018. | Includes bibliographical references and index.
Identifiers: LCCN 2017056823| ISBN 9780815375715 (hbk) |
ISBN 9780815375395 (pbk) | ISBN 9781351239349 (ebk)
Subjects: LCSH: Total quality management. | Organization. | Auditing. | MESH:
Total Quality Management—standards | Management Audit—standards |
Organizational Culture | Safety Management—standards
Classification: LCC HD62.15 .A845 2018 | NLM HD 62.15 | DDC 658.5/62—dc23
LC record available at https://lccn.loc.gov/2017056823

ISBN: 978-0-8153-7571-5 (hbk)

ISBN: 978-0-8153-7539-5 (pbk)
ISBN: 978-1-351-23934-9 (ebk)

Typeset in TheSans
by Keystroke, Neville Lodge, Tettenhall, Wolverhampton

Visit the companion website: www.routledge.com/cw/asbury

Contents

List of Figures vii

List of Tables xi
List of Case Studies xiii
About the Author xv
Foreword xvii
Endorsements xix
Preface to the Third Edition xxv
Preface to the Second Edition xxix
Preface to the First Edition xxxiii
Acknowledgements xxxvii

Introduction 1

1 Context of the Organization 8

2 Management Systems and Business Control 52

3 ISO 19011 and Initiating Audit Culture 93

4 Relationships with Auditees 135

5 The Audit AdventureTM 157

6 Prepare Audit Activities 169

7 Conduct the Audit 198

8 Teamwork and the Conscious Use of Language 235

9 Conclude the Audit 252

10 Write the Audit Report and Follow Up 288

Appendix 1 A-Factors 309

Appendix 2 Preparation, Preparation, Preparation 320

vi CONTENTS

Appendix 3 Pre-audit Letter 328

Appendix 4 Guide to Online Content 331

Appendix 5 Example Examination Questions 333

List of Abbreviations 337

Glossary of Operations Integrity Language 339
Further Reading 347
References 353
Comments from Training Course Participants 359
Index 362
List of Figures

F.1 ISO 19011 Initiate: I need an Audit AdventureTM soon vi

P.1 Silos: How management systems are sometimes implemented and audited xxvi
P.2 A dozen examples of corporate failings, 2007 to date xxx
P.3 Major non-US business control failings xxxv
I.1 Prototype ‘flying car’ 2
I.2 The beautiful beach and cove, Poldhu, Cornwall, UK 4
I.3 The Audit Adventure™: A flattened and simplified dynamic 4
I.4 Time: It flies by . . . 5
I.5 The Audit Adventure™ 7
1.1 Basic PEST recording tool 12
1.2 Simple schematic for the transformation of inputs to outputs 13
1.3 Example of a classic hierarchical organization chart 20
1.4 A model for democratic government 22
1.5 Connecting business environment (Context) to Vision, Mission and Business
objectives 38
1.6 The Four Ts: Four choices for managing a risk 43
1.7 The essence of enterprise 45
1.8 A simple risk-ranking matrix, showing the ‘Black Swan’ characteristic 46
1.9 A more developed risk-ranking matrix, the PEARL matrix 47
2.1 Business control gone mad – for safety, please use a life jacket during water
activities 53
2.2 A timeline of management system thinkers 56
2.3 W. Edwards Deming in the 1950s 57
2.4 The PDCA cycle, commonly known as the ‘Deming Wheel’ 59
2.5 ISO 9001, ISO 14001 and ISO 45001 64
2.6 ILO-OSH 2001 65
2.7 Example of a sector’s own HSE-MS 66
2.8 The Asbury and Ball Management System model for Corporate Social
Responsibility (2016) 70
2.9 The five groups of interested parties or ‘stakeholders’ 75
2.10 My Business Control Framework (BCF) 77
viii LIST OF FIGURES

2.11Layers of control provide risk-reducing barriers 82

2.12An organization’s environmental factors 84
2.13Achieving success by aligning objectives at all levels in the organization 87
3.1 Audit is a mirror; it reflects what is there 94
3.2 Relationship between ISO 19011:2011 and ISO/IEC 17021:2015 97
3.3 From Groan to Growth! 104
3.4 The three levels of audit 109
3.5 The deployment of assurance activities in typical organizations 111
3.6 A Food Hygiene Rating certificate (following an apparently successful
third-party audit) 114
3.7 A representation of an organization’s audit plan, in which each jigsaw piece
represents a single audit 116
3.8 Graph showing the numbers of IRCA certificated auditors, 1984–2016
(1984–1991 estimated) 127
3.9 An IRCA OH&S Lead Auditor certification card 129
4.1 Seek, sort and share 140
4.2 Potentially useful contacts to be developed during the conduct of an audit 146
5.1 The Audit AdventureTM: Prepare, Conduct, Report 158
5.2 The Audit AdventureTM: The high-level view from the top 159
5.3 The Audit AdventureTM: Know what you are looking for 160
5.4 The Audit Adventure TM: Top-down, bottom-up 161
5.5 The Audit AdventureTM: Planning the division of time 163
5.6 A typical timing plan for a two-week audit (20/60/20) 164
6.1 Activities of the Prepare stage 172
6.2 The main features of a typical Terms of Reference document 174
6.3 Audit time plan showing the allocation of onsite and offsite time 186
6.4 Scheduling the lead auditor’s review and determining the use of planned
contingency time 186
6.5 Six well-known risk families 188
6.6 An example audit work plan showing seven selected risks 191
6.7 Mapping work plan items to interviewees creates agendas for each interview 192
6.8 An example of an audit finding working paper (AFWP) 196
7.1 The work plan keeps the audit team on track 200
7.2 Audit thought process, with the Review sub-stage highlighted 201
7.3 PDCA: How management systems should be implemented and audited 202
7.4 Get to the level of detail you need 210
7.5 Missouri ‘Show-Me State’ licence plate 212
7.6 Audit thought process, with the Verify sub-stage highlighted 217
7.7 Decide the level of detail necessary to Verify each risk 218
7.8 Six sampling techniques for auditors: C-COVER 226
8.1 Useful form (1): Initial review of the context, objectives, and risks 240
8.2 Useful form (2): Initial operational risk identification 241
9.1 From detail to high-level opinion; bringing it all together 253
 LIST OF FIGURES ix

9.2 The lead auditor updates the work plan 255

9.3 Ideas for grouping your audit findings 258
9.4 Tracking down the root cause of basic control weaknesses 261
9.5 Consolidate the number of findings for senior management 264
9.6 Allocating facts from each interview to BCF wall charts 265
9.7 Wall charts help an audit team to share their information 266
9.8 Records of the work done on the client’s premises 267
9.9 The spillage of crude oil into the Gulf of Mexico 273
9.10 Typical structure of Part 2 of the audit report 276
9.11 Adding facts from the AFWP to the BCF wall charts 277
9.12 Cross-referencing between the results of each work plan item and the
cumulative performance of each BCF element 277
9.13 The audit opinion reflects the audit team’s independent assessment of the
organization’s ability to meet its objectives 279
9.14 A typical structure for a two-part-plus-appendices audit report 282
9.15 The conclusion is always delivered at high level 287
10.1 How a win-win conclusion should feel 289
10.2 How many errors can you spot? 304
10.3 The Audit Adventure™ – after the audit is completed, the audit team can look
back on a job well done 307
List of Tables

1.1 Legal influences on business activities 33

2.1 Example of a sector’s own HSE-MS 68
2.2 A guide for mapping typical controls with the five HSEQ-MS elements 78
2.3 Risk universe – example categories of risk 89
6.1 Audit working paper retention guidelines 195
7.1 Suggested sample sizes for any size of population 231
9.1 Control assessment matrix (CAM) 271
10.1 Example table summarizing the assessment of my BCF 299
List of Case Studies

Even Giants Can Fall 17

Business Environments Can Be Very Turbulent 18
Scarcity and Inelasticity 27
Gone on a Bosman 32
What Could Go Wrong with ‘Spongy Hands’? 36
Polar Explorers Dice with Death (A True Case Study?) 40
Low Probability, High Consequence Events, or ‘Black Swans’ 44
CSR and Labour Relations 69
We Want Good H&S Standards, but our Stakeholders are not Interested in External
Certifications, Gongs or Whistles 74
The Space Shuttle Columbia, 1 February 2003 76
I Don’t Know. I Only Work Here 90
A Measure of Progress over Time 91
Hot under the Collar 91
Right First Time, Best Practice OH&S 94
It’s All OK 95
Methyl Isocyanate (MIC) Release, Bhopal, India, 2–3 December 1984 99
Establishing Audit Assets in a Global Upstream Petrochemicals Group 103
Spend to Save 108
Integrating the Audit Model as Audit Culture Advances 110
Esso Longford Gas Plant Explosion, Victoria, Australia, 25 September 1998 111
How ISO 9001-certified Organizations see ISO 9001 112
The Evolution of a Quality Management System 113
Auditing Excellence Was Noticed by the Client 124
Independence Should Be Highly Prized 126
Passing Off 132
Escorted off the Premises 136
Words or Deeds? 139
The Facts Stacked Up 142
How Relationship Auditing Benefited a Law Firm 145
Contacts Are Always Useful (and Can Be Valuable) 146
xiv LIST OF CASE STUDIES

Hone Your Soft Skills 148

Speak the Language of the Customer 151
Dress in the Style of the Customer 151
State Your Audit Opinion Early 152
The Impact of ‘Big Guns’ 154
Audit Reports – Shared or Secret? 167
To Include or Exclude? 175
Read All About It! 177
Keep Abreast of Legal News 178
Use All the Sources of Information Available to You 178
They Thought They Could Blag It! 184
Naked Royalty 189
Risk Rating of 103.1 199
Sometimes It’s the Small Stuff that Matters . . . 203
Lifeboats in the Desert 204
First Class Home 214
The Russian Connection 220
It’s All Documented, but Would It REALLY Work? 221
Benefits of Health and Safety Audits in a Medium-sized Public Sector Organization 222
Listen for the Whistle! 230
A Day Around the Pool – An Alternative Use of our Contingency Time . . . 233
Auditing the Audit Process 257
Keep Asking Questions 261
Two Years On, One Month Off 275
He Loved the Good News 286
Carnage 304
Learn to Punctuate 305
About the Author

Stephen Asbury is the Managing Director of AllSafe Group Limited, a leading consulting,
auditing and training organization. In a career spanning over thirty years, Stephen has
authored six books and around fifty journal articles and conference papers on safety and
business risk management. His career has encompassed a variety of senior management
roles in employment, consultancy and as an adviser to the London insurance market.
Stephen has worked in over sixty countries, on six continents, while engaged on a broad
range of technical consultancy assignments at medium- and high-value assets in the
construction, polymers, heavy engineering, oil and gas, rail, and pharmaceuticals sectors.

Stephen is a Chartered Fellow of the Institution of Occupational Safety and Health, a

Professional Member Emeritus of the American Society of Safety Professionals, and is
registered by the Society for the Environment as a Chartered Environmentalist. After
college, his first qualification was in law. He is presently completing his PhD. in London.

In his leisure time he enjoys theatre, scuba diving and F1 motorsport.

AllSafe Group Limited

www.theallsafegroup.com
www.stephenasbury.com
[email protected]
[email protected]
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