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Safety Audit

Donna Mae Galaez
Definition of Audit
 Critical systematic inspection of an
organization‘s activities in order to
minimize losses due to accidents.

 It provides guidelines for verifying the
existence and implementation of elements
of occupational safety and health system
and for verifying the system’s ability to
achieve defined safety objectives.
Necessity of an audit.

 Examine and evaluate the status of OSH
management based
 Examine and evaluate the status of health
and safety management
performance based on sampling
of actual practices and / or
equipment in an operation.
Necessity of an audit

 Provide feedback that can
be verified by inspection and evaluation of the work.
 Confirm the extent of compliance
with legislative requirements,
standards, procedures and guidelines.
 Recommend any necessary changes and
monitoring.
 Improving health and safety standards in line with
the policies and objectives.
Formation of an audit committee.

 The audit team shall consist of;
a. Auditor General
b. Auditors
c. Observers (if applicable)
QUALIFICATIONS OF AUDITORS

Auditor Chief
- Has attended the
Basic Advanced Auditing Safety and Health,
- More than 2 times involved as an observer
in the Safety and Health Internal Audit
QUALIFICATIONS OF AUDITORS

Auditors
- Attended Basic Health and Safety Auditing,
or a qualified internal auditor ISO 9001.
 Was involved as an observer during the Health
and Safety Internal Audit at least once.
 Auditors should not an
officer or employee of the audited.
QUALIFICATIONS OF AUDITORS

Observer
 Any of its officers and employees who are
interested, contractors or suppliers.
Criteria for selection of auditors
 The nature and requirements of auditors.
 Unbiased
 Qualifications and experience is required.
Duties of auditor
 Timely schedule for audit.
 Able to handle the unexpected
 Promptly inform any issues / new hazards
 Keeping proper records relating
to the process and results of audit
TYPE OF SAFETY AUDIT
Methods of taking and analyzing data.
a. Interview
b. Questionnaires
c. Observations
d. Checklist
e. Confirmation
f. Review documents, records and work
processes
Action before Audit
 Audit Scope
The client in consultation with lead auditor makes
the final decisions on which OS&H system elements,
physical locations and organizational activities are
to be audited within a specified time frame.

 Audit Frequency
External (those carried out by agencies external to
the auditee organization) – once in two years, or
specified
Internal (carried out by the employees designated by
the management) – once a year
Action before Audit
 Audit Plan
- Be finalized after consultation with lead
auditor and the client
Includes:
- the audit objectives and scope
- identification of reference documents
- size of the audit team
- identification of the organizational units to be audited
- the schedule for audit activities
- the schedule of meetings
- the list of documents to be pursued by the audit team
- audit report distribution and the expected date of issue
Actions during the Audit
Chief Auditor  shall began with
a meeting (Opening Meeting):

 The purpose of an opening meeting is to:
 introduce the members of the audit team
 review the scope and the objectives of the audit
 provide a short summary of the methods and
procedures to be used
 establish the official communication links
 confirm that the resources and facilities needed by the
audit team are available
 fix a schedule of visits to individual plants/departments
Actions during the Audit

 Collecting Evidence
- Through interviews, examination of documents,
and observation of activities and conditions in the
areas of concern.

 Audit Observations
- Should be documented in clear, concise manner
supported by evidence
Actions during the Audit

 Audit Recommendations
- The desired end result of a OS&H audit is the
identification of primarily unrecognized hazards

These recommendations are of two types:
- for improvement in the system’s specified
requirements
- for more effective implementation of the specified
requirements of the system.
Actions during the Audit
 At the end of the OS&H audit, the audit team
should hold a meeting with the firm being
audited (Closing Meeting)
 Purpose:
 present audit observations and recommendations
to the management
 to ensure that they clearly understand the results
of the audit
After Action Audit
 Audit Report Preparation
- prepared under the direction of the lead auditor,
who is responsible for its accuracy and completeness.

 Report Content
- should be dated and signed by the lead auditor
Includes:
- executive summary
- scope and objectives
- audit methodology
- identification of reference documents
- observations of nonconformities and good practices
- recommendations
After Action Audit
 Auditors must be approved by the
auditee for corrective action and set a completion
date of corrective action
 Auditors shall conduct the review of the corrective
action completion date of corrective action
 Chief auditor shall submit HEALTH AND
SAFETY AUDIT REPORT to the Chairman of
the Health and Safety Management /Occupational
Safety and Health Officer no later than 7 working
days after the closing meeting
 
Action on audit reports
 Spread the final report
 Make a plan of action
 Monitor the action taken.
What To Document
 What was wrong
 Where it occurred
 Action taken (or recommended) to correct
 Assigned responsibility to correct (or get
management to delegate)
 The correction due date
 A follow-up or verification date
Communicate Results
 Management, supervisors and employees
need to know the results of the audit /
inspection
Follow Up

 Have hazards or behavior been eliminated or
modified?
 Are trends developing that need to be addressed?
Management Safety Audit Tools
Diekemper & Spartz (D&S)

 Rating scale: poor, fair, good, excellent
Complete Health and Safety Evaluation
(CHASE)

Rating Scale
 Yes (2-6 points)
 No (0 point)

 Chase II – for 100 employees
or more
International Safety Rating System (ISRS)

Rating Scale
 Yes
 No
International Safety Rating System (ISRS)
 The International Safety Rating System (ISRS)
was devised to measure an organization's
effectiveness in safety management by
independently auditing the level of safety
applied to 20 elements and giving
organizations an overall safety rating scored
out of 10.
Safety Management Achievement Program
(SafetyMap)

Three Levels:
 Initial Level
 Transition Level
 Advanced Level
Performing Safety Audits
Guide for Personal Audits

The guide has five
steps
 Audit
 React
 Communicate
 Follow up
 Raise standards
Audit

 Get into one of the work areas on a regular
basis
 Develop your own system
 Do not combine a safety audit with other
visits
 Audit must be designed to evaluate safety
 Take notes
React
 How you react is the strongest element in
improving the safety culture
 Your reaction tells what is acceptable and
not acceptable
 You must come away from each inspection
with a reaction:
1. Acceptable because...
2. Not acceptable because...
3. Deteriorated because...
4. Improved because…
Communicate

 In order for the contact to be productive,
your subordinate/co-worker must understand
that:
 You inspected his or her area
 You are pleased (or displeased) with what you saw
because of…
 You expect him or her to react to your comments
and to improve
 You will audit the area again in a specified number
of days
Follow Up

 Critical for success of the safety program
 Allows you to demonstrate that it is
important
 Must communicate your assessment to the
employees
Raise Standards
 Will see improvement if the first four steps
are followed
 Keep raising your expectations and help
provide leadership
 Solve the obvious problems then fine tune
the safety and housekeeping efforts
Key Points: Becoming a Good
Observer

 Effective observation includes:
 Be selective
 Know what to look for
 Practice
 Keep an open mind
 Guard against habit and familiarity
 Do not be satisfied with general impressions
 Record observations systematically
Observation Techniques

To become a good observer, a person
must:
 Stop for 10 to 30 seconds before entering an
area to ascertain where employees are
working
 Be alert for unsafe practices
 Observe activity -- do not avoid the action
Observation Techniques
 Remember ABBI -- look Above, Below,
Behind, Inside
 Develop a questioning attitude

 Use senses
 sight
 hearing
 smell
 touch
Inspections and Field Observations

 Use a checklist
 Ask questions
 Take notes
 Respect lines of communication
 Draw conclusions
Audit Practices

 Concentrate on people and their actions
because actions of people account for more
than 96 percent of all injuries
 When to audit
 Where to audit
 How much to audit
 Auditing contractors