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Learning Outcomes
Management of International • Explain the purpose of, and procedures for, health
Health and Safety and safety auditing.
• Explain the purpose of, and procedures for,
Element 5: Health and Safety regular reviews of health and safety
performance.
Management Systems – ACT

Health and Safety Audits

Auditing is the:
• systematic,
Unit IGC1: Element 5.1 • objective, and
• critical evaluation

HEALTH AND SAFETY AUDITING of an organisation’s health and safety

management system.

Group Discussion Point Distinction Between Audit and

Inspection
What is the difference between an audit and
Audit Inspection
an inspection?
Examines documents. Checks the workplace.
Examines procedures. Checks records.
Interviews workers. Usually quick.
Verifies standards. Lower cost.
Can be a long process. May only require basic
Usually expensive. competence.
Requires a high level of Part of an audit.
competence.

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Pre-Audit Preparations
Audit Procedure:
• Objective of the audit is determined The following should be defined:
• Forming the audit team.
• Timescales.
• Collect the relevant documents
• Informing audit schedule • Scope of the audit.
• Pre audit meeting. • Area and extent of the audit.
• Audit (Site inspection, Interviews)
• Who will be required.
• Post audit meeting
• Report submission • What documentation will be required.
• Action by the organisation. • Auditor competence.
• Time and resources for auditors.

During the Audit Documents

Typical information examined during an audit:
Auditors use three methods to gather information: • Health and safety policy.
• Paperwork - documents and records. • Risk assessments.
• Interviews - managers and workers. • Training records.
• Minutes of safety-committee meetings.
• Observation - workplace, equipment, activities and
• Maintenance records.
behaviour.
• Record of monitoring activities.
• Accident-investigation reports and data.
• Emergency arrangements.
• Inspection reports from insurance companies.
• Regulator visitors.
• Worker complaints.

The End of the Audit Responsibility for the Audit

Verbal feedback session: • The organisation.

• To managers. • External authorities:
• Highlights of the audit. – Enforcement agencies.
– Insurance companies.
Written report to management:
– Accreditation centres (OHSAS 18001, etc.)
• Findings.
• Recommendations.
• Priorities and timescales. It is the responsibility of management at all levels to
ensure recommendations for improvement are
communicated and implemented.

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Whole Group Exercise Internal Audits

Advantages Disadvantages
Discuss the advantages and disadvantages of • Less expensive • Auditors may not notice
certain issues
an external and an internal audit. • Auditors are already
familiar with the • Auditors may not have
workplace and what is good knowledge of
practicable industry or legal
Internal standards
• Can see changes since last
Audits audit • Auditors may not possess
• Improves ownership of auditing skills so may
issues found need training
• Builds competence • Auditors are not
internally independent so may be
subject to internal
• Workplace more at ease influence
• Familiarity with workplace
and individuals

External Audits Correcting Non-Conformities

Advantages Disadvantages
• Independent of any • Expensive Major non-conformance:
internal influence • Time-consuming • Significant issue, needs urgent action.
• Fresh pair of eyes • May not understand the
External • May have wider business so make
experienced at auditing impractical suggestions
Audits Minor non-conformance:
• Experience of different • May intimidate workers
types of workplace so get incomplete • Less serious issue, unlikely to result in injury or
• Recommendations often evidence failure of management system.
carry more weight
• Up to date with law • Observations.
• More able to be critical • Opinion given by auditor.

End-of-Section Quiz

1. Define “auditing”.
2. What is the difference between an audit
and a workplace inspection? Unit IGC 1: Element 5.2
3. What types of information might be
examined during an audit? REVIEW OF HEALTH AND SAFETY
PERFORMANCE

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Levels of Review
Performance review
Full management system review:
• By the board, annually.
The process of assessing the overall performance and
monitoring results of an organization, so as to evaluate the Management team review:
current performance against standards and thereby taking
necessary actions to continually improve the system • Every quarter, feeds to full review.

Departmental review:
• Monthly, by line manager to ensure on track.

Whole Group Exercise

Reasons for Having Regular Reviews
What measurements of health and safety
• Essential part of management system.
• To identify any deficiencies & take action to continually
performance should be included in the annual
improve review?
• To review trends
• To compare actual performance against the established
targets
• To benchmark performance
• To identify the use and effectiveness of control measures
• To set priorities and establish realistic timescales
• Assess compliance with legal requirements
• Provide information to senior management, & share
holders

Performance Indicators Outputs from Review

• Compliance with legal and organisational requirements,
new developments. Management reports:
• Accident and incident data, and corrective actions. − Minutes circulated.
• Inspections, surveys, tours, sampling.
− Records maintained.
• Absence and sickness data.
• Quality assurance reports. − Actions closed out.
• Audit reports.
• External communications and complaints. Annual report to shareholders:
• Consultation results.
• Achievement of objectives.
− For some organisations.
• Actions from previous management reviews.
• Legal & enforcement actions Continual improvement.
• Achievements & best practice developments.

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Continual Improvement End-of-Section Quiz

Review evaluates performance against 1. Why should an organisation carry out

standards: reviews of health and safety performance?
• Action taken as a result to improve. 2. What should be considered in the
Board/senior managers:
management review of health and safety
• Set targets as a result of review/amend policy.
performance?
Middle managers:
• Review performance.
• Set targets for their area.
Junior managers:
• Review local performance.
• Set targets for their area.

Review of standards Benefits of reviewing standards

Factors influencing: • Up to date with current standards
• Legislation • Continual improvement
• Accident trend • Demonstrates management commitment
• Enforcement actions • Improves staff culture and morale
• Client & customer considerations • Reduce incident rates
• Suggestions from trade unions & • Updated with legislation
professional bodies • Improves company reputation
• Manufacture information • Improving audit results
• Process & equipment change
• External audit results

Methods to communicate Elements of evaluation

monitoring results
• Proactive monitoring: It monitors the achievement of
• Team briefings plans and the degree of compliance with standards before
• Posting on notice boards an Accident, Incident on Ill Health.
• Reactive monitoring: It monitors the action taken and the
• Refresher trainings degree of compliance following an Accident, Incident on Ill
• Tool box talks Health.
• Performance review: The process of assessing the overall
• Intranet, newsletters performance and monitoring results of an organization, so
• Booklets as to evaluate the current performance against standards
and thereby taking necessary actions to continually
• Safety committee meetings improve the system
• Induction trainings