ABSTRACT
Conducting the review of documentation should occur ˜rst among the three primary phases of conducting an audit, which are:
• Documentation review • Physical inspection • Employee interviews
Conducting the documentation review ˜rst will allow the auditor to gain an understanding of what the facility communicates as being in place. The documentation review process will include:
• Determine the volume of records to review • Read written programs and policies • Evaluate supporting documentation that is used in the implementation of
written programs and policies • Review the training documentation
The documentation review portion of the audit will involve reviewing documents covering a broad scope of applications. The magnitude of these documents calls into question the volume of records that should be reviewed during an audit. For example, within the context of an annual safety audit, documents to review will include things such as:
• Written programs. A facility could have twenty or more written programs when all compliance topics are taken into consideration.
