Element 5 Act

Question 1

Why Audit?

Answer 1

To ensure:
Apt management arrangements are in place
Adequate RCSs exist and implemented
Apt workplace precautions are in place

Question 2

Effective Auditing

Answer 2

Auditor
Ethical conduct
Fair presentation
Due professional care

Audit process
Independence
Evidence based

Question 3

Planning an Audit

Answer 3

Select competent team, independent of area
Determine scope and objectives
Develop checklist, questionnaires. Agree relevant guidance and standards to be applied
Allocate resources
Agree timescales
Management have key role

Question 4

Audit Process

Collecting Information

Answer 4

Interviewing individuals
Examining documents
Visual observations

Question 5

Audit Process

Making Judgements

Answer 5

Needs comparison against relevant benchmark e.g.legal standards, HSE guidance, industry standards etc

Question 6

Internal v External Audits

Internal

Answer 6

Advantages
Familiar with workplace tasks, processes
awareness of standards
Familiar with workforce
cheaper and easier to arrange

Disadvantages
May not have auditing skills
not up to date with legal requirements
Unaware of best practice in other organisations
Subject to pressure from management and workers
Time pressure

Question 7

Internal v External Audits

External

Answer 7

Advantages
Correct skills
less inhibited
Up to date with legal and best practice
Fresh pair of eyes

Disadvantages
Unfamiliar with workplace tasks, processes
Unfamiliar with workforce, difficulty with cooperation
Unfamiliar with industry, may seek unrealistic standards
Cost

Question 8

Difference between Audits and Inspections

Answer 8

Audits
Focus on management system
Visual/Observations AND docs, interviews etc
Evaluating the efficiency/effectiveness of management ssystem componenets
Independent of local line management

Inspections
Focus on workplace, equipment, activities
Visual/Observational
Looking for inadequately controlled hazards
Involve local managers

Question 9

Things to be considered during a H and S Performance Review

Answer 9

Compliance
New legislation or best practice
Active monitoring data
Reactive data monitoring
External comms/complaints
Results of consultation
Progress against action plans
Actions from previous reviews