5.1 Health and Safety Auditing

Question 1

The HSE define an audit as:

Answer 1

“The structured process of collecting independent information on the efficiency,
effectiveness and reliability of the total health and safety management system and
drawing up plans for corrective action.”

Question 2

The aims of auditing a health and safety management system should be to establish
that:

Answer 2

 appropriate management arrangements are in place;
 adequate risk control systems exist, are implemented, and consistent with the
hazard profile of the organisation;
 appropriate workplace precautions are in place.

Question 3

An effective and reliable audit requires adherence to key principles relating to auditors
and the audit process, these are…

Answer 3

Ethical conduct
Fair presentation
Due professional care

Independence
Evidence-based approach

Question 4

The auditing process involves:

Answer 4

 collecting information about the health and safety management system; and
 making judgements about its adequacy and performance.

Question 5

Auditors have three information sources on which to draw:

Answer 5

Visual observation Interviewing individuals

Examining documents

Question 6

Advantages of using internal auditors

Answer 6

Familiarity with the 
workplace, its tasks and 
processes; 
 Awareness of practicable 
standards for the industry; 
 Able to see improvements or 
a deterioration from the last 
audit; 
 Familiarity with the workforce 
and individual’s qualities and 
attitude; and 
 less costly and easier to 
arrange audit

Question 7

Disadvantages of using internal auditors

Answer 7

 May not have recognised 
auditing skills; 
 May not be up to date with 
legal requirements; 
 Less likely to be aware of best 
practice in other organisations; 
 Subject to pressure from 
management and the 
workforce; and 
 Have time constraints imposed 
upon them

Question 8

Advantages of using external auditors

Answer 8

 Likely to possess auditing skills and credibility; 
 Less inhibited in criticising 
members of management or 
the workforce; 
 Likely to be up to date with 
legal requirements and best 
practice in other companies; 
and 
 View the organisation’s 
performance with a fresh pair 
of eyes

Question 9

disadvantages of using external auditors

Answer 9

 Unfamiliar with the workplace, 
tasks and processes; 
 Not familiar with the workforce 
and their attitudes to health 
and safety. May have difficulty 
in obtaining cooperation; 
 Unfamiliar with the industry 
and seek unrealistic standards; 
and 
 may be more costly than an 
internal staff member