Element 5 - Auditing.

Question 1

Define what a Health and Safety Audit is?

Answer 1

Auditing is the systematic, objective, critical evaluation of an organisation’s health and safety management.

Question 2

Auditing is a mechanism for verifying that an organisation’s safety management system is in place and operating effectively. What three the three factors to a health and safety audit?

Answer 2

1. Systematic - the audit follows a series of logical stages and follows a prepared plan.
2. Objective - all findings are evidence based.
3. Critical - it highlights all reas of non-compliance or non-conformance.

Question 3

What are the distinctions between and audit and inspection?

Answer 3

1. Audit focuses on management systems.
2. Audit examines documents such as the health and safety policy, arrangements, procedures, RAMS and SSW.
3. Looks closely at records such as those to verify training, maintenance, inspections, statutory examinations.
4. Verifies the performance that exists within the workplace by interview or direct observation.

Question 4

Pre audit preparations should be made. What should be defined prior to the commencement of an audit (5)?

Answer 4

1. Date and time of the Audit - so that resources and personnal are available.
2. The scope of the audit - is it just health and safety or are there other factors to be considered such as environmental.
3. The area and extent of the audit - one department? Whole site? All sites?
4. Who will be required - auditors will need to be accompanied during their visit and will need managers information.
5. Information-gathering - it is common for auditors to ask for copies of relevant documents.

Question 5

During the Audit the auditors will use three methods to gather factual information, what are they?

Answer 5

1. Reference to paperwork - the documents and records that indicate what should be happening and what has happened relevant to a particular issue.
2. Interviews - word of mouthevidence given by managers and workers.
3. Direct observation - of the workplace, equipment, activitites and behaviour.

An auditors favorite phrases are: ‘show me’ and “prove it”.

Question 6

What typical information is examined during an audit (12)?

Answer 6

1. Health and Safety Policy.
2. Roles and responsibilities.
3. Risk assessments and the controls of any specific hazards.
4. Training records.
5. Contractor control records and arrangements.
6. Minutes of safety meetings
7. Maintenance records.
8. Accident investigations reports.
9. Emergency arrangments such as fire prevention.
10. Inspection reports.
11. Enforcement history.
12. Recommendations from other audits.

Question 7

What happens at the end of the audit (4)?

Answer 7

1. Berbal feedback is usually provided at the end of an audit.
2. Written report will follow and make recommendations.
3. Audit report presentented to Senior Management for feedback ad praise.
4. Management take action if required.

Question 8

Reviewing health and safety performance is a key part of any health and safety management system.

Why should an organisation review its health and safety performance?

Answer 8

1. To identify if the orgnaisation is on target . if not, why not?
2. To continually improve. What do we have to change so that we can continually improve.
3. Because monitoring is an essential part of any management system.
4. Because reviews are a required part of any safety management system.

Question 9

What issues should be considered in performance reviews (10)?

Answer 9

1. Legal compliance.
2. Accident and incident data.
3. Safety surveys, tours, sampling and inspections.
4. Absence and sickness data.
5. Audit reports.
6. Achievement of objectives.
7. Enforcement action.
8. Previous management reviews.
9. Legal and best practice developments.
10. Other sources.