Health and Safety Auditing
Definition, Scope and Purpose of Auditing
Auditing is the:
- systematic,
- objective, and
- critical evaluation of an organisation’s health and safety management system.
Group Exercise
What is the difference between an audit and an inspection?
The Distinction Between Audits and Inspections
Inspection:
- Checks the workplace.
- Checks records.
- Usually, quick.
- Lower cost.
- May only require basic competence.
- Part of an audit.
Looks at the physical reality of the workplace.
Audit:
- Examines documents.
- Examines procedures.
- Interviews workers.
- Verifies standards.
- Checks the workplace.
- Can be a long process.
- Usually, expensive.
- Requires a high level of competence.
Looks at the management system that lies behind this.
Pre-Audit Preparations
The following should be defined:
- Timescales.
- Scope of the audit.
- Area and extent of the audit.
- Who will be required.
- What documentation will be required.
During the Audit
Auditors use three methods to gather information:
- Paperwork – documents and records.
- Interviews – managers and workers.
- Observation – workplace, equipment, activities and behaviour.
During the Audit
Typical records/documents examined during an audit:
- Health and safety policy.
- Risk assessments and safe systems of work.
- Training records.
- Minutes of safety committee meetings.
- Maintenance records and details of failures.
- Records of health and safety monitoring activities (e.g. tours, inspections, surveys).
- Accident investigation reports and data, including near-miss information.
- Emergency arrangements.
- Inspection reports from insurance companies.
- Output from regulator visits (e.g. visit reports, enforcement actions).
- Records of worker complaints.
At the End of the Audit
- Usual to hold a close-out meeting.
- Followed with a written report.
- It is the responsibility of management at all levels to ensure recommendations for improvement are communicated and implemented.
- Audit may be necessary for certification, e.g. to ISO 45001.
Group Exercise
Discuss the advantages and disadvantages of an external and an internal audit
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External and Internal Audit
External Audits
Advantages
- Independent of any internal influence.
- Fresh pair of eyes.
- May have wider experience of different types of workplace.
- Recommendations often carry more weight.
Disadvantages
- Expensive.
- Time-consuming.
- May not understand the business so make impractical suggestions.
- May intimidate workers so get incomplete evidence.
Internal Audits
Advantages:
- Less expensive.
- Auditors already know the business so know what can be realistically achieved.
- Improves ownership of issues found.
- Builds competence internally.
Disadvantages:
- Auditors may not notice certain issues.
- Auditors may not have good knowledge of industry or legal standards.
- Auditors may not possess auditing skills so may need training.
- Auditors are not independent so may be subject to internal influence.