Professional Documents
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The Secret to
A Successful
Safety Program
9 Steps for a Safety Audit
That Gives Results
80003460
SPECIAL REPORT
The Secret to
A Successful
Safety Program
9 Steps for a Safety Audit
That Gives Results
80003400
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The Secret to a Successful Safety Program: 9 Steps for a Safety Audit That Gives Results
Table of Contents
Safety and Health Audits—An Important Part of Your Program . . . . . . . . 1
What Are the Purposes of Effective Safety Inspections? . . . . . . . . . . . . . . . 2
1. Plan Your Safety Audit/Inspection Program . . . . . . . . . . . . . . . . . . . . . . 2
2. Decide on a General or Specific Audit . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Three Case Histories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Small Machine Shop—Spokane . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Injection Molding Plant—Houston . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Office Setting—Connecticut . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
3. Decide Who Will Conduct the Audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Outsiders Can Be Helpful . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
4. Decide What You Should Inspect For . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
5. Determine How Often You Should Inspect . . . . . . . . . . . . . . . . . . . . . . . 6
6. Determine if Your Audit Will Be Announced or Unannounced . . . . . . . 6
7. Set Priorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
8. Inform Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
One Company’s Hazard Priority Classification System . . . . . . . . . . . . . . . . 8
9. Develop Your Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Safety Audit/Inspection Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Why should you be doing audits and inspections? Here are a number of objectives:
◆ Spotlight unsafe conditions and equipment.
◆ Focus on unsafe work practices or behavior trends before they lead to injuries.
◆ Reveal the need for new safeguards.
◆ Involve many more employees in the safety program.
◆ Help sell the safety program within the organization, thereby enabling you to:
—Reevaluate the safety standards of the organization.
—Compare safety results against safety plans.
—Gauge the relative success of safety training efforts.
—Anticipate problems in advance of any OSHA inspection.
A good safety audit program does not come easily. The effort requires careful plan-
ning and diligent preparation. The program unfolds after you decide what you
want to cover in your inspections. The following questions should be considered
in laying plans for a safety audit program in your organization:
◆ What departments or operations will be covered in the inspection tour?
◆ What items or activities will be checked?
◆ How often will the inspections be carried out?
◆ Who will conduct the tours?
◆ How will the inspections be conducted?
◆ What type of follow-up activity will be put in place so that corrections are,
in fact, made?
◆ Does management understand that hazards or unsafe work practices will need
to be corrected and that this will require human resources, management, and
engineering expertise?
2 The Secret to a Successful Safety Program: 9 Steps for a Safety Audit That Gives Results
2. Decide on a General or
Specific Audit
The first question, experts in the safety audit field generally agree, should be: Do
you want to conduct a general inspection, or do you want to conduct a special
type of inspection?
General inspections are considered comprehensive reviews of all safety and indus-
trial health exposures in a given area or even a complete factory.
Special inspections (sometimes called targeted inspections) deal with specific
exposures in a given unit, section, or even facilitywide. Such an inspection might
focus on electrical hazards in machinery used for manufacturing, the hazards that
may have generated back injuries as recorded in the OSHA 300 log, or noticed dur-
ing a review of workers’ compensation reports. It could involve the facility’s com-
pliance with the OSHA Hazard Communication Standard and the development of
a checklist for compliance with the principal elements of that standard.
A good inspection program can include both the special and the general types of
inspections. For example, one month a program could involve a complete facility
tour for safety hazards; the next month the inspection program could focus on per-
sonal protective equipment and how it is used on the job. OSHA encourages such
a mixed approach, believing that a combination of the two types of programs can
strengthen a facility’s accident-prevention effort.
Office Setting—Connecticut
Do safety inspections belong in the office setting?
Absolutely! One Connecticut financial services organization suffered its first lost-
workday case when an employee tripped over a computer cord, fractured her
wrist, and suffered jaw and dental damage in the tumble. The organization then
developed a monthly safety tour checklist that focused on the following:
◆ Dangers of trips and falls
◆ Cautions required in lifting equipment or heavy boxes
◆ Importance of getting help with heavy moving tasks
◆ Dangers of overloading filing cabinets, which could fall forward
◆ Dangers of falling objects
◆ Dangers of paper and knife cuts
Additional special training was given to a few employees who regularly handle
chemicals in the photocopying process.
Note that in these examples, safety planners all focus on specifics—specifics that
translate themselves into checklists. An effective checklist is like the “eyes and
ears” of your safety program. (See sample checklists at the end of this report.)
Before you decide on your answer, you will want to consider the complexity of the
process, the nature of the inspection (general or specific), the time availability of
candidate inspectors, the expected frequency of the tours, and other factors.
4 The Secret to a Successful Safety Program: 9 Steps for a Safety Audit That Gives Results
In some manufacturing companies, the safety committee will take the lead in
inspections. In other operating units, a rotating team of supervisors, perhaps with
safety committee assistance, will head the task. Most experts, however, do recom-
mend involving the supervisor or manager. This makes it clear that line manage-
ment, not the Safety department, has responsibility for safety.
Inspecting complex technological operations may require specialized skills,
knowledge, training, or even certification. Such inspections should be conducted
only by people knowledgeable about the department of operation.
6 The Secret to a Successful Safety Program: 9 Steps for a Safety Audit That Gives Results
7. Set Priorities
How do you give inspection items some kind of priority status? With tight mainte-
nance budgets and workforce manning limitations, it is not always easy to give
safety items the priority they deserve. This is especially the case in these days of
pared budgets at the plant level.
A number of companies successful in the safety field have developed what they
call “priority listings” for the maintenance work and the management and supervi-
sory follow-up that needs to be done as a result of a safety inspection tour. Some
companies list as “red” those priorities that require immediate attention with the
color amber given to items of secondary importance.
Other organizations use the U-I-R approach, classifying these items according to
their importance with the designations of Urgent (U), Important (I), or Routine (R).
Still other organizations give a 1, 2, or 3 priority to safety recommendations,
depending on the relative importance of an item. Some companies have
approached the mass by developing an A, B, or C approach to these recommenda-
tions. See the accompanying page for one company’s hazard priority classification
system—an approach that could possibly be applied in your organization.
8. Inform Management
Even though safety audit reports are internal company documents, management
should understand that these safety inspection reports may be subject to review by
outside agencies such as OSHA or subpoenaed in a court case.
However, in July 2000, OSHA issued a policy statement stating that agency will not
routinely request self-audit reports at the start of an inspection, and the agency will
not use self-audit reports as a means of identifying hazards. Also, if the employer is
in the process of correcting the conditions found during a self-audit, OSHA will not
issue a willful citation.
The importance of management understanding and support for an audit program
before embarking on such a program cannot be overemphasized. Don’t start a
safety and health audit program unless your management is fully prepared to cor-
rect unsafe conditions and work practices uncovered in these inspections, includ-
ing setting aside money and the manpower to do the job.
The format of audit reports should also be prepared carefully and reviewed by legal
counsel to maximize the possibility of achieving a privilege against disclosure
should an outside agency such as OSHA demand to review these internal reports.
The audit format should avoid broad, encompassing questions that are likely to
produce broad, general recommendations; specific audit questions will likely
result in more focused recommendations.
On the safety inspection tour, classify all reported items with a PRIORITY LISTING
of 1, 2, 3, or 4, as explained below:
Priority 1
The most serious type of unsafe condition or unsafe work practice that could cause
loss of life, permanent disability, the loss of a body part (amputation or crippling
injury), or extensive loss of structure, equipment, or material.
Correction Plan: Determine responsibility for repair, replace immediately, or remove
from service. Determine basic cause of the problem and assign responsibility for cor-
rection and time deadline for correction. Review item at weekly management meet-
ing and safety steering committee meeting and set firm deadlines for correction.
Priority 2
Unsafe condition or work practice that could cause serious injury, industrial illness,
or disruptive property damage.
Correction Plan: Complete repairs or corrections or develop definitive training or
retraining plan, assign responsibility for correction immediately and a deadline for
correction, all not to exceed 30 days’ duration. Review at biweekly management
safety steering committee meeting.
Priority 3
Unsafe condition or unsafe work practice that might cause a recordable injury or
industrial illness or nondisruptive property damage.
Correction Plan: Give priority on regular maintenance schedule, advise supervi-
sors or managers in writing or develop training programs to overcome the prob-
lem. Assign responsibility for correction and set time frame for correction.
Priority 4
Minor condition, a housekeeping item or unsafe work practice infraction with little
likelihood of injury or illness other than perhaps a first-aid case.
Correction Plan: Work into regular maintenance schedule, advise supervisors to
retrain workers involved. Time frame for correction set and responsibility assigned.
8 The Secret to a Successful Safety Program: 9 Steps for a Safety Audit That Gives Results
9. Develop Your Checklist
Most management groups readily accept the importance of safety inspections and
audits. But too many hand the tour committee a clipboard and pencil and say,
“Here, take notes if you see any problems.” This is a waste of time and energy. The
committee roams about, not really focusing on what to look for.
However, once an item is on a checklist, it can’t be ignored—even if checking it
out promises to be difficult or unpleasant. For instance, without a checklist, you
won’t find inspectors crawling under machinery or performing particularly dirty
tests. But with a checklist, they don’t have much choice.
Following are a number of elements in typical manufacturing, maintenance, or
machine shop operations and in office or service settings that should aid you in
developing a safety inspection tour checklist tailored to your operations and needs.
Pick from the detailed list those items that fit your needs so that you may put your
inspection teams to productive work as the “eyes and ears” of your safety improve-
ment efforts.
Check in the boxes to the left those items you want to include in your audit checklist.
It is strongly recommended that you include opportunities for listing observed unsafe
practices, with comments, with each category grouping you establish in your own list.
Many of the following items will be appropriate for nearly any operation, though
some of them will not be applicable across the board. By the same token, the
nature of your own operation may dictate that you include some specific items in
your own checklist that have not been suggested here. The point is to provide your
auditors/inspectors with an aid to observation that is specifically tailored to the
work your organization does and the safety record it has amassed.
❏ OSHA Job Safety and Health Protection Poster or state equivalent posted on
bulletin boards
FLOORS
AISLES
❏ Clearly marked
❏ Unobstructed
STAIRS
LADDERS
10 The Secret to a Successful Safety Program: 9 Steps for a Safety Audit That Gives Results
❏ No splinters on wood ladders
SCAFFOLDS OR PLATFORMS
❏ Nonskid flooring
LIGHTING
NOISE CONTROL
❏ Employees wearing approved hearing protection properly inserted in the ear canal
12 The Secret to a Successful Safety Program: 9 Steps for a Safety Audit That Gives Results
EXITS AND EMERGENCY PREPAREDNESS
❏ Written and posted emergency evacuation plan with exit map for all areas
FIRE PROTECTION
❏ Master control valves for sprinklers locked open and easily accessible
❏ Electrically grounded
MACHINE TOOLS
14 The Secret to a Successful Safety Program: 9 Steps for a Safety Audit That Gives Results
❏ Any unsafe practices observed?
Comment: __________________________________________________________
___________________________________________________________________
❏ New medical procedures and safer devices reviewed, considered, and docu-
mented annually
❏ Healthcare workers and others who work with blood have been
offered HBV vaccination
❏ Bins, pails, cans, and other receptacles intended for reuse decontaminated on
a regular schedule
❏ Caps hand-tight
16 The Secret to a Successful Safety Program: 9 Steps for a Safety Audit That Gives Results
❏ Any unsafe practices observed?
Comment: __________________________________________________________
___________________________________________________________________
❏ Speed posted
❏ Slow-down ramps
❏ No riders
❏ Proper guarding of any nip points, rotating collars, cams, chucks, couplings,
clutches, shafts, flywheels, spindles, bolt ends, key ends
POWER SYSTEMS—HYDRAULIC
POWER SYSTEMS—ELECTRICAL
❏ Grounding tested
18 The Secret to a Successful Safety Program: 9 Steps for a Safety Audit That Gives Results
❏ Electrical specialists trained in the operation/maintenance of this
equipment
MACHINE GUARDING
LOCKOUT/TAGOUT SYSTEMS
❏ Annual retraining
20 The Secret to a Successful Safety Program: 9 Steps for a Safety Audit That Gives Results
❏ Goals for training sessions detailed in writing in clear terms
❏ Gloves or palm guards properly selected and used for each job
❏ Eye or face protection properly selected and used for each job
❏ Apron or protective clothing properly selected and used for each job
❏ Respiratory protection properly selected and provided, if necessary for the job
❏ Employee overexertion
EMPLOYEE TRAINING
OFFICES
22 The Secret to a Successful Safety Program: 9 Steps for a Safety Audit That Gives Results
❏ No unsafe ladders or trolleys
❏ Adequate ventilation
ELEVATORS
❏ Elevator inspected
WASTE DISPOSAL
❏ Special containers provide for different types of waste—oily rags, chemicls, scrap
paper and corrugated, garbage, medical waste, bloodborne pathogens waste, etc.
BUILDING EXTERIOR
24 The Secret to a Successful Safety Program: 9 Steps for a Safety Audit That Gives Results
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