5.1 Health And Safety Auditing Flashcards
Give a definition of what an audit is:
“The structured process of collecting independent information on the efficiency, effectiveness and reliability of the total health and safety management system and drawing up plans for corrective action”.
Nebosh Learning Outcome 2016
5.1 Explain the purpose of, and procedures, for health and safety auditing
5.1 Health and safety auditing
- Meaning of the term ‘health and safety audit’
- Scope and purpose of auditing health and safety management systems
- Distinction between audits and inspections
- Pre-audit preparations, information gathering, notifications and interviews, selection of staff, competence of auditors, time, resources
- Responsibility for audits
- Advantages and disadvantages of external and internal audits
- Actions taken following audit (eg, correcting nonconformities).
The aims of auditing a health and safety management system should be to establish
that:
- Appropriate management arrangements are in place
- Adequate risk control systems exist, are implemented, and consistent with the hazard profile of the organisation
- Appropriate workplace precautions are in place.
What does the auditing process involve:
Collecting information about the health and safety management system
and
Making judgements about its adequacy and performance.
List - The three sources of information that an auditor can draw from:
- Visual observation
- Interviewing individuals
- Examining documents
List - The disadvantages of using external auditors:
- Unfamiliar with the workplace, tasks and processes
- Not familiar with the workforce and their attitudes to health and safety.
- May have difficulty in obtaining cooperation
- Unfamiliar with the industry and seek unrealistic standards
and - May be more costly than an internal staff member
List - Some of the advantages of using external auditors:
- Likely to possess auditing skills and credibility
- Less inhibited in criticising members of management or the workforce
- Likely to be up to date with legal requirements and best practice in other companies
and - View the organisation’s performance with a fresh pair of eyes.
List- Some of the advantages of using internal auditors
- Familiarity with the workplace, its tasks and processes
- Awareness of practicable standards for the industry;
- Able to see improvements or a deterioration from the last audit
- Familiarity with the workforce and individual’s qualities and attitude
and - Less costly and easier to arrange audit
List - Some of the Disadvantages of using internal auditors:
- May not have recognised auditing skills
- May not be up to date with legal requirements
- Less likely to be aware of best practice in other organisations
- Subject to pressure from management and the
workforce
and - Have time constraints imposed upon them
List - Some of the Disadvantages of using internal auditors:
- May not have recognised auditing skills
- May not be up to date with legal requirements
- Less likely to be aware of best practice in other organisations
- Subject to pressure from management and the
workforce
and - Have time constraints imposed upon them
List - Some of the Disadvantages of using internal auditors:
- May not have recognised auditing skills
- May not be up to date with legal requirements
- Less likely to be aware of best practice in other organisations
- Subject to pressure from management and the
workforce
and - Have time constraints imposed upon them
What is the main distinction between audits and inspections?
- The difference between audits and other forms of monitoring (safety surveys, inspections, tours and sampling) is primarily the breadth and depth of an audit.
- Surveys look at only one aspect of the safety management system
- Inspections are frequent regular local monitoring normally carried out by line managers
- Tours concentrate on management commitment
- Sampling looks at only one area or subject over a short limited time.
Pre-audit preparations
Auditing involves sampling:
so initially it is necessary to decide how much sampling is needed for the assessment to be reliable.
The type of audit and its complexity will relate to:
- Its objectives and scope
- To the size and complexity of the organisation
- To the length of time that the existing health and safety management system has been in operation.
Preparatory Work:
Information sources including interviewing people, looking at documents and checking physical conditions are usually approached in what order:
a) Preparatory work meet with relevant managers and employee representatives to discuss and agree the objectives and scope of the audit
- Prepare and agree the audit procedure with managers
- Gather and consider documentation.
b) On site interviewing
- Review and assessment of additional documents
- Observation of physical conditions and work activities.
c) Conclusion assemble the evidence
- Evaluate the evidence; write an audit report.
Responsibility for audits
External Vs Internal Audits
HSE UK INDG417(rev 1)
Who have a primary duty to ensure that they establish adequate systems for managing health and safety at work?
- Directors
- Senior Managers
