Extended technical audit (ETA) is a process with a help of which a competent independent Russian Register specialist (expert) collects and evaluates evidence of measurable information related to a specific economic system, to determine and report in his conclusion a degree of this information compliance with set criteria.
ETA subject includes separate kinds of safety, such as:
- Industrial safety;
- Transport safety;
- Environmental safety;
- Occupational safety;
- Fire safety;
- Sanitation and hygiene;
- Radiation safety;
- Emergency response.
They determine and provide an overall human safety as safety subject and are directly interrelated, being links of one chain. Loss of any link directly or indirectly results in the employee’s health or life hazard. Accordingly, a combined impact of nonconformities in several areas, increase the employee’s health and life risks.
The impact of industrial disasters, emergencies and incidents, currently registered very often, both on employees and environment and population is difficult to predict.
Regardless of numerous audits by both external and internal auditors, often real state of things in respect of safety leaves much to be desired. In a number of cases desk-top approach and dependence, fear of disclosure and drawing of supervision bodies’ attention preclude from demonstrating available violations and nonconformities. Often during such audits complex and consistent recommendations for elimination of raised nonconformities and causes of nonconformities are not fully developed, not reviewed and therefore adjustment of current organization structure and production processes is not proposed.
How it is conducted
Extended technical audits are specified in respect of safety areas, classified and independent.
Conduction of ETA and independent expertise is conducted base on the experts’ impartiality and competence principles.
As work tools in conduction of audits experts develop or update standard check-lists for primary ETA areas taking into account specific character of audited objects.
All conclusions of the members of Expert Committee on ETA objects are supported by documented evidence and objective data.
Directly during the audits each expert in the audited safety areas maintains a log of violations recording raised nonconformities referencing a certain clause of normative document, determining causes of violations, potential consequences and their levels.
Causes of violations are associated with experts in personnel competence, resources, lack of control or monitoring, responsibility and authorities.
Potential consequences of nonconformities are ranked in the following order:
- threat of fine sanctions occurrence;
- environmental damage;
- human (personnel or population) health damage;
- reputation injury, material and financial injury.
The level (scope) of consequence is measured as minor, major, major with major damages.
Raised nonconformities are recorded by the experts by photo- and video shooting with further preparation of photo-evidence logs, constituting an integral part of final reports submitted to the Customer.
At the stage of independent expertise conduction, consolidated logs of violations in respect of objects and safety areas are formed as a basis for final report. Related tables form a Final table of violations, which demonstrates nonconformities in safety areas, total number of raised nonconformities for each specific audit object and summarized data on the organization in general. Nonconformities with medium and high level of adverse potential consequences come into account separately.
Final audit results are also presented as diagrams and histograms of violations’ distribution among audit areas and certain objects.
Thus, ETA results are recorded as a detailed report, covering the following:
- all raised violations and nonconformities;
- the results of analysis and assessment of legal and financial risks and consequences;
- facts, conclusions and recommendations of experts;
- other sections agreed with the Customer.
Benefits and value of ETA
Extended technical audit is unique, as depending on current tasks and audited safety areas the required number of experts or groups is formed, taking into account qualifications according to diplomas, work experience in fields of activity, experts qualification confirmed with licenses, certificates and attestations. This approach ensured an integrated approach, objectivity, competence and independence of the experts’ opinions in certain safety areas both during the audits and at the stage of preparation and presentation of Final consolidated reports to the Customer.
At Customer’s own discretion conduction of audits and combination in any safety areas, with any number of objects, including information and competence of personnel, is possible.
Audit objects and audited areas are any organizations in any sectors of industry, as RR possesses experts with competence codes confirmed by certificates; in case of considerable amount of work, number of objects, remoteness of RR subdivisions, RR can provide several audit-specific expert teams without damage to the terms and quality of works.
Their results are based only on raised facts and determined evidence.
Realization of ETA objectives provides the Customer with actual value by means of:
- determination of current and potential risks and nonconformities, analysis and assessment of potential consequences;
- development and increase of effectiveness of corporate work environment and management system;
- decrease of internal individual, industrial, environmental, strategic and reputation risks down to the acceptable level;
- promotion of the enterprise’s financial stability and increase of its investment appeal.
Audit and assessment of the Organization’s production activity is conducted for compliance with current statutory requirements, normative and technical documentation and corporate standards in certain safety areas with obligatory account of their applicability to specific kinds of production activity.