5.1 Health And Safety Auditing Flashcards Preview

NGC1 Section 5: (ACT) > 5.1 Health And Safety Auditing > Flashcards

Flashcards in 5.1 Health And Safety Auditing Deck (15):
1

Give a definition of what an audit is:


"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".

2

Nebosh Learning Outcome 2016

5.1 Explain the purpose of, and procedures, for health and safety auditing

5.1 Health and safety auditing
- Meaning of the term ‘health and safety audit’
- Scope and purpose of auditing health and safety management systems
- Distinction between audits and inspections
- Pre-audit preparations, information gathering, notifications and interviews, selection of staff, competence of auditors, time, resources
- Responsibility for audits
- Advantages and disadvantages of external and internal audits
- Actions taken following audit (eg, correcting nonconformities).

3

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

- 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.

4


What does the auditing process involve:

Collecting information about the health and safety management system
and
Making judgements about its adequacy and performance.

5

List - The three sources of information that an auditor can draw from:


- Visual observation
- Interviewing individuals
- Examining documents

6

List - The disadvantages of using external auditors:

- 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

7

List - Some of the advantages of using external auditors:

- 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.

8


List- Some of the advantages of using internal auditors


- 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

9

List - Some of the Disadvantages of using internal auditors:


- 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

10

List - Some of the Disadvantages of using internal auditors:


- 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

11

List - Some of the Disadvantages of using internal auditors:


- 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

12


What is the main distinction between audits and inspections?


- The difference between audits and other forms of monitoring (safety surveys, inspections, tours and sampling) is primarily the breadth and depth of an audit.
- Surveys look at only one aspect of the safety management system
- Inspections are frequent regular local monitoring normally carried out by line managers
- Tours concentrate on management commitment
- Sampling looks at only one area or subject over a short limited time.

13

Pre-audit preparations

Auditing involves sampling:
so initially it is necessary to decide how much sampling is needed for the assessment to be reliable.
The type of audit and its complexity will relate to:


- Its objectives and scope
- To the size and complexity of the organisation
- To the length of time that the existing health and safety management system has been in operation.

14

Preparatory Work:

Information sources including interviewing people, looking at documents and checking physical conditions are usually approached in what order:


a) Preparatory work meet with relevant managers and employee representatives to discuss and agree the objectives and scope of the audit
- Prepare and agree the audit procedure with managers
- Gather and consider documentation.
b) On site interviewing
- Review and assessment of additional documents
- Observation of physical conditions and work activities.
c) Conclusion assemble the evidence
- Evaluate the evidence; write an audit report.

15

Responsibility for audits

External Vs Internal Audits

HSE UK INDG417(rev 1)

Who have a primary duty to ensure that they establish adequate systems for managing health and safety at work?


- Directors

- Senior Managers