MINTRA audit or safety and health audit, also known as MTPE audit, is a systematic, independent, and documented procedure that is carried out to regularly evaluate compliance with the law on occupational safety and health. It is carried out by an independent auditor authorized by the Ministry of Labor and Employment Promotion.
In practice, I have received many questions about these audits. Here I summarize some of the questions that usually arise in these scenarios.
Why should we execute a MINTRA audit?
Companies must execute periodic audits of the occupational health and safety management system by auditors registered with the Ministry of Labor and Employment Promotion. This is in compliance with the Law 29783, its regulation, and the Supreme Decree 014-2013-TR, Regulation of the Register of auditors authorized for the periodic evaluation of the occupational health and safety management system.
According to Article 43 of Law 29783, the employer conducts periodic audits to verify whether the occupational health and safety management system has been applied, is appropriate, and effective for the prevention of occupational risks and the safety and health of workers.
Are all companies required to carry out audits of their occupational health and safety management systems?
No, companies with up to 10 workers and whose activity is not included in the "List of high-risk productive activities" are only required to carry out audits of their occupational health and safety management system when ordered to do so by the Labor Inspection. The rest of the companies are required to carry out the periodic evaluation audit of their occupational health and safety management system.
What is the frequency with which MINTRA audits should be carried out?
According to Article 15 of Supreme Decree No. 014-2013-TR, "Approves the regulation of the register of auditors authorized for the periodic evaluation of the occupational health and safety management system," the frequency of audits for employers carrying out risk activities is every two (2) years, employers who do not carry out risk activities will carry them out every three (3) years, and companies with up to 10 workers, and that are not considered high-risk, only carry out the audit when ordered to do so by the Labor Inspection.
It is worth mentioning that according to Article 145 of Supreme Decree No. 024-2016-EM, Mining Occupational Safety and Health Regulation, the mining activity holder must carry out external audits within the first three months of each year in order to verify the effectiveness of its occupational safety and health management system for the prevention of occupational risks and the occupational safety and health of workers, in accordance with Article 3 of Supreme Decree No. 016-2009-EM.
What productive activities are considered high-risk?
High-risk activities are listed in Annex 5 (updated as of 03-06-2022 by Supreme Decree No. 008-2022-SA) of the Regulation of the Law on Modernization of Social Security in Health, approved by Supreme Decree No. 009-97-SA and its amending regulations.
Who can carry out MINTRA/MTPE audits?
The auditor is chosen from the list of auditors registered in the "Register of auditors authorized for the periodic evaluation of the Occupational Health and Safety Management System," in accordance with the provisions of Supreme Decree No. 014-2013-TR. This means that this audit can only be carried out by auditors registered and authorized by the Ministry of Labor and Employment Promotion. To belong to this register, the applicant must meet a series of personal and professional requirements; in this way, the ministry ensures the technical knowledge and experience in occupational health and safety audits of the auditor.
How is the auditor authorized by the Ministry of Labor and Employment Promotion chosen?
According to Article 16 of Supreme Decree No. 014-2013-TR, "Approves the regulation of the register of auditors authorized for the periodic evaluation of the Occupational Health and Safety Management System," the employer must choose an auditor registered in the register; considering, in addition, the specialty, size, activity, number of workers, risk levels, and the results of inspections by the Labor Administrative Authority if applicable, among other criteria, to guarantee the suitability of the auditor.