Safety Audit

Donna Mae Galaez

Definition of Audit
Critical systematic inspection of an
organizations 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 systems ability to
achieve defined safety objectives.
Necessity of an audit.

Examine and evaluate the status of OSH

management based
Examineandevaluate thestatus ofhealth
and safetymanagement
performancebased onsampling
ofactualpracticesand/or
equipmentinanoperation.
Necessity of an audit

Providefeedbackthat can
beverifiedbyinspectionandevaluation ofthework.
Confirm theextent of compliance
withlegislativerequirements,
standards,proceduresand guidelines.
Recommend anynecessarychangesand
monitoring.
Improvinghealth and safetystandardsin linewith
thepoliciesand objectives.
Formation of an audit committee.

The audit teamshallconsistof;

a.AuditorGeneral
b.Auditors
c.Observers(ifapplicable)
QUALIFICATIONSOF AUDITORS

AuditorChief
- Has attendedthe
BasicAdvancedAuditingSafety and Health,
- More than2timesinvolvedasan observer
intheSafetyandHealth InternalAudit
QUALIFICATIONSOF AUDITORS

Auditors
- AttendedBasicHealth and SafetyAuditing,
oraqualifiedinternal auditorISO9001.
Was involvedas anobserverduring theHealth
and SafetyInternal Auditat leastonce.
Auditorsshouldnotan
officeroremployeeoftheaudited.
QUALIFICATIONSOF AUDITORS

Observer
Any ofits officers andemployeeswhoare
interested, contractorsorsuppliers.
Criteria for selection ofauditors
The natureandrequirements ofauditors.
Unbiased
Qualifications and experienceis required.
Duties ofauditor
Timelyscheduleforaudit.
Able to handletheunexpected
Promptlyinformanyissues/new hazards
Keepingproperrecordsrelating
totheprocessandresults ofaudit
TYPE OF SAFETYAUDIT
Methods of taking and analyzing data.
a.Interview
b.Questionnaires
c.Observations
d.Checklist
e.Confirmation
f.Reviewdocuments,recordsandwork
processes
Actionbefore 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
Actionbefore 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
Actionsduringthe Audit
Chief Auditorshallbeganwith
ameeting(OpeningMeeting):

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
Actionsduringthe 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
Actionsduringthe 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 systems specified
requirements
- for more effective implementation of the specified
requirements of the system.
Actionsduringthe Audit
At the end of the OS&H audit, the audit team
should hold a meeting with the firm being
audited (ClosingMeeting)
Purpose:
present audit observations and recommendations
to the management
to ensure that they clearly understand the results
of the audit
AfterActionAudit
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
AfterActionAudit
Auditorsmust beapproved bythe
auditeeforcorrective actionand set acompletion
date ofcorrective action
Auditorsshallconduct the review ofthecorrective
actioncompletion date ofcorrective action
ChiefauditorshallsubmitHEALTH AND
SAFETYAUDITREPORT to theChairman of
theHealth and Safety Management/Occupational
Safety andHealthOfficerno laterthan7working
days afterthe closingmeeting

Actiononauditreports
Spread thefinal report
Make aplanof action
Monitorthe actiontaken.
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