My Reading on ASQ CQA HB Part I-IA~IE-s

Part IE1
Discovery Of Illegal Or Unsafe Conditions Or Activities
Auditors are in a unique position to observe illegal or unsafe conditions during the course of an audit because
of their access to almost any area necessary for successful completion of the audit. Auditors must know what to
do when these activities are observed.
When Unsafe Activities Are Observed
In some industries, an auditor may need to access potentially hazardous areas in a company during the course
of an audit. Auditors are usually provided with personal protective equipment such as goggles or hard hats.
Normally, auditors face no physical danger as long as regulations are enforced and the process is functioning
properly. Sometimes, however, negligence or inexperience on the part of the auditee’s employees, a deficiency
or malfunction of equipment or a process, or a combination of these may result in potentially dangerous
situations. When an unsafe practice (such as open containers of hazardous chemicals near work areas,
release of controlled chemicals, or flammable materials near a welding station) is observed, whether within or
outside the scope of an audit, an auditor must not ignore it.
• In an internal audit, an auditor should immediately inform an auditee representative and the audit team
leader, who will inform the auditee manager so that the problem can be resolved.
• In an external audit (second or third- party audit), the auditor must immediately inform the auditee and
create a record of the situation. (and inform the audit team leader?)
If anyone on the audit team is endangered, the audit must be stopped and the auditors returned to a safe area.
In most situations, management welcomes information about liability risks or other potential dangers.
Charlie Chong/ Fion Zhang