NEBOSH NGC1 'ACT' (element 5)

Question 1

AUDITING

Answer 1

A systematic, objective, critical evaluation of a organisations SMS.

Question 2

AUDITING WILL CHECK THAT:

Answer 2

. Appropriate management arrangements are in place
. Adequate risk control systems exist, implemented and
appropriate
. Appropriate workplace precautions in place

Question 3

DISTINCTION BETWEEN AUDIT - INSPECTION

Answer 3

AUDIT - Focuses on management systems.
. Examines Docs i.e. SMS-RA’s-Arrangements-SSW etc.
. Examines records i.e. Training-Maintenance-
Inspections etc.
. Verifies existing workplace standards by interviews
and direct observations

INSPECTIONS - Focuses on checking workplace for uncontrolled hazards and rectifying.

Question 4

PRE-AUDIT PREPARATION

Answer 4

Time/Date of Audit - all necessary personnel/resources can be made available during the audit.

Audit Scope - what topic - HS, HSE etc.

Audit Area/Extent - one dpt.?, whole site?

Who is Required - Auditors will need to be accompanied and management access required for info.

Information Gathering - copies of relevant Docs.

Question 5

DURING THE AUDIT

Answer 5

3 Methods to gather factual evidence
. Reference to paperwork
. Interviews
. Direct Observation

Question 6

TYPICAL INFO EXAMINED DURING AUDITS

Answer 6

. HS Policy
  . RA's
  . Training Records
  . Safety Meeting Minutes
  . Maintenance Records
  . Accident Investigation Reports
  . Emergency Arrangements
  . Inspection Reports.

TOP TIER sites to send a SITE SAFETY REPORT to the authority for approval.

Question 7

END OF AUDIT

Answer 7

. Verbal feedback provided
. A written report - recommendations, priorities and
timescale for improvement
. Audit to be followed up and correction of non-
conformities actioned before NEXT Audit

Question 8

RESPONSIBILITY FOR AUDITS

Answer 8

It is the responsibility of the organisation to establish and implement HS Auditing.

Question 9

EXTERNAL AUDIT PRO’S AND CON’S

Answer 9

ADVANTAGES
. Independent of any internal influence
. Fresh pair of eyes
. May have wider overall workplace experience
. More weight to recommendations

DISADVANTAGES
  . Expensive
  . Time consuming
  . May not understand business model
  . Worker intimidation > incomplete evidence

Question 10

INTERNAL AUDIT PRO’S AND CON’S

Answer 10

ADVANTAGES
  . Less expensive
  . Auditors know the business > realistic goals
  . Improves ownership of issues found
  . Builds internal competence

DISADVANTAGES
. Certain issues unnoticed
. Knowledge of industry or legal standards ?
. Auditing skills? May need training
. Not independent - internal influences ?

Question 11

REVIEWING HS PERFORMANCE

Answer 11

Should be done routinely by managers at all levels to ensure SMS working efficiently.
Relies on data - Accident, Inspection, Absence, Safety tours, Audits etc.
Safety specialists usually play a key role.
Senior management have role in evaluating the info. so that appropriate resources/priorities allocated.
Reviews enable actions to be taken for HS continual improvement

Question 12

PURPOSE OF REGULAR REVIEWS

Answer 12

. Are we on target
. if not, why not
. What do we have to change

Question 13

PERFORMANCE INDICATORS:

Answer 13

. Accident/Incident data
  . Inspections
  . Absence and Sickness data
  . Safety surveys, tours and sampling
  . Audit reports
  . Achievement of Objectives
  . Enforcement action
  . Previous management reviews
  . Other sources - complaints worker/external, quality 
    assurance reports, changes in Legal Standards

Question 14

CONTINUAL IMPROVEMENT

Answer 14

Senior Management - set strategic targets

Middle Management - Review performance in areas they control and set targets to meet the strategic targets

Junior Management - Review performance and set local targets to allow strategic targets to be met