SAFETY AND HEALTH

AUDITING
 CHAPTER ONE
SCHEDULE THE AUDIT
What is a health and safety audit?
A health and safety audit is an expert assessment of an
organisation's health and safety policies, systems and
procedures. Primarily, audits enable you to protect employees
and customers from harm. But ultimately a correctly
conducted audit can also safeguard the very existence of the
company.
 CHAPTER ONE
SCHEDULE THE AUDIT
Schedule the Audit
You should audit high-risk and other crucial processes at least
quarterly or twice a year. Your compliance auditor will
recommend auditing newly-developed processes quarterly.
Audits become less frequent as process become refined and
stable
 CHAPTER ONE
SCHEDULE THE AUDIT
• Identify liaison
• Meeting Rooms - Data Access
• PPE
• Accommodations
• Special site requirements or rules
• Pre audit document and records request -site plans - org charts - relevant
standards, procedures and guidelines - process flows - prior audits
• Communication of audit criteria
• Develop a detailed Audit Interview Schedule in consultation with Audit Team Leader (ATL)
• Assign individuals who will participate directly
• Audits usually take 1 and ½ weeks with three or more auditors
• Schedule should be flexible to follow leads
 CHAPTER ONE
SCHEDULE THE AUDIT
Follow these five steps and you'll be on your way to catching
hazards:
• Step #1: Preparing for an Audit. ...
• Step #2: Conduct the Audit. ...
• Step #3: Create an Audit Report and Recommended Actions. .
• Step #4: Set Corrective Action Priorities. ...
• Step #5: Publish Audit Results.
 CHAPTER ONE
COMMUNICATION
Communication: It is the process of meaningful interaction among persons of an
organization & external interested parties related to the EHS Management System.
PROCEDURE:
5.1 The Communication with Internal and External Agencies shall be done in order
to ensure that:
• Internal functions at various levels are aware of the EHS Management
System including the Significant Aspects / Hazards in their working area.
• The Communication from Interested Parties is received, documented and
responded to the concerned.
• Processes for Communication with External Interested Parties on Significant
Environmental Aspects/ hazards are considered.
• 5.2 The decisions taken regarding the concerned EHS Issues raised by any of
the Interested Parties shall be routed through EHS MR.
• 5.3 The following table shows the various methods by which the Internal and
external communication is established and the responsibility for the same.
 CHAPTER ONE
INTERNAL COMMUNICATION
Topic For Personnel To Be Mode Of
S.No. Resp. For Communication
Communication Communicated Communication

Awareness on the purpose of EHS

1. Management System
All Employees EHS MR & CFT Notice Board & Training Programme

2. EHS Policy All Employees EHS MR, Dept Head Poster, Cards, Display boards & Training

Respective Head of the Departments &

3. Role & Responsibility Concerned Employees
HR
Work Instruction / Procedures

Group Discussion,
Management
4. Objectives And Targets All employees Respective Head of the Departments
Review Meeting, Posters

5. Emails, Minutes of Meetings, Notes

EHS Issues Concerned Div. Heads EHS MR
Presentation.

Legal and other regulatory

6. requirements.
Concerned Employees Legal Team Mail mentioning legal requirement, Minute of Meeting.

7. EHS Performance Management Review Committee EHS MR Management Review Meeting

 CHAPTER ONE
EXTERNAL COMMUNICATION
Topic For
S.No. Interested Party Mode Of Communication Resp. of Receiving, Recording and Communicating
Communication

1. Customer Any relevant Information as required by the Customer Verbal/ Letter/ emails Marketing

2. Local Community Any EHS Concerns raised Verbal / Letter/ emails HR

Request for improving Environmental & Safety Protection.

3. Supplier Any Other Issues raised Letter/ emails Purchase
Significant Impacts / Risks from their operations.

Request for improving Environmental Protection

4. Visitors / Contractor’s Any Other Issues raised. Verbal/ Letter / Notice board/emails Concern HOD’s
Significant Impacts / Risks from their operations.

5. Banks & Insurers Relevant Information as required Letter/emails Finance

Press-Release, Interviews, Presentation at

6. Media Initiatives taken by Organization & Subsequent Development
Seminar/websites Director

a) Response to Show-Cause
7. Regulators (Govt. Authorities, Ministries) Letter/emails HR
b) Consents
 CHAPTER ONE
NUMBER OF AUDITORS REQUIRED
Auditor
Person with the competence to conduct an audit.

Four Point Pledge for an Auditor

• I shall check compliance to the requirements within the scope of the audit criteria
• I am here to facilitate improvement
• I am here not to find faults or non conformities
• I will contribute to the effectiveness of the system

An Auditor is an Improvement Facilitator

But not a fault finder
 CHAPTER ONE
REGULATIONS AND COMPANY POLICY REVIEW

The Importance of Policies in the Workplace. Policies are important in a workplace as

it helps reinforce and clarify the standards expected of employees and help employers
manage staff more effectively as it defines what is acceptable and unacceptable in
the workplace.

Policies and Procedures for Health and Safety

Protecting employees’ safety and well-being should be every organization’s top priority.
When writing your health and safety policies, include information about how to deal with
illness or injury at work, equipment safety guidelines and how to report a health or safety
concern. Also include procedures to follow in the event of a fire or natural disaster.
 CHAPTER TWO
AUDIT
FACILITY TOUR
Facility tours means regularly scheduled tours of plants, factories, working
farms, or institutions where the tours are conducted on a regularly
scheduled daily basis for the general public without the need for
reservations conducted during normal working.

The objectives of a safety audit should be to maintain a safe place of work

through hazard recognition and removal, to verify employees are following
the most effective safety procedures, to make certain the facility, equipment,
and operations meet the required local, state, and federal, health,
and safety requirements
 CHAPTER TWO
AUDIT
DOCUMENTATION REVIEW
Audits take time, but they're valuable tools to determine compliance and
benchmark environmental efforts that are being made. Having your
paperwork in order before an audit begins helps the process run more
smoothly and efficiently.
Audit documentation also facilitates the planning, performance, and
supervision of the engagement, and is the basis for the review of
the quality of the work because it provides the reviewer with
written documentation of the evidence supporting the auditor's significant
conclusions.
 CHAPTER TWO
AUDIT
FACILITY INSPECTION
EHS Audits: Is Your Facility Prepared. An environmental health and safety
(EHS) audit is a systematic, objective tool to assess regulatory
compliance in the workplace. An audit usually involves a survey of the
workplace to Identify what regulations apply to the facility.
Inspections are a key part of good health and safety management. They
allow you to check that your workplace and work activities are healthy
and safe. An inspection helps you identify hazards or processes that are not
working efficiently and decide what measures to take before they lead to an
accident or incident.
 CHAPTER TWO
AUDIT
EMPLOYEES INTERVIEWS
Many auditors use an informal technique when holding an interview.
The auditors understand that employees are nervous and concerned about
saying something wrong. While the interview will be held in private,
witnesses or legal counsel may be present to aid in answering the questions
and documenting responses.
 CHAPTER TWO
AUDIT
MANAGEMENT UPDATES
EHS stands for “environment, health, and safety,” and for many companies, a crucial part of
their processes is EHS management, meaning the codification and practice of procedures
aimed at ensuring the safety of workers and their surroundings. These are some of the
areas EHS processes strive to protect and make safer.
Management audit is a systematic examination of decisions and actions of
the management to analyse the performance. Management Audit focuses on results,
evaluating the effectiveness and suitability of controls by challenging underlying rules,
procedures and methods.
 CHAPTER THREE
POST AUDIT
COMPLETE THE AUDIT DOCUMENTS
6 Documents You Need for an Environmental Audit
1. Maps & Floor Plans
Existing maps and floor plans offer a quick view of the facility and can be used to define the scope of an
audit. If they haven’t been updated for a while, and processes have changed, they can also be a clue that
plans and procedures might need a thorough review.
2. Permits
It’s common for facilities to have permits for everything from air emissions to wastewater treatment. Having
a current copy of each permit allows auditors to verify that the facility is in compliance with the terms in each
permit.
3. Inspection reports
Many environmental regulations require daily, weekly, monthly or “regular” inspections. The forms or
checklists used during these inspections help prove that each inspection has been completed. Hazardous
waste manifests, sampling data and other similar reports are additional tools that can help auditors
determine diligence with recordkeeping requirements.
 CHAPTER THREE
POST AUDIT
Cont’d
4.Chemical Lists
Maintaining a list of the raw materials and chemicals used onsite, as well as their locations and volumes,
helps determine whether or not certain environmental regulations are applicable to the facility. It’s also a
step for compliance with OSHA’s Hazard Communication Standard.
5. Plans & Procedures
Pull out environmental plans and procedures, best management practices and other documents to show
how your facility is working to control and prevent spills and releases. For facilities subject to the EPA’s Risk
Management Plan (RMP) requirements, this could include the written prevention and emergency response
programs. For others, it could be Standard Operating Procedures (SOPs), contingency plans, emergency
action plans or other similar documents.
6. Training Records
Employee training records, tests and certificates can be used to show that staff members have the
knowledge and/or skills to perform assigned duties. They can also be used as proof of ongoing efforts to
maintain and grow environmental programs at the facility.
Audits take time, but they’re valuable tools to determine compliance and benchmark environmental
efforts that are being made. Having your paperwork in order before an audit begins helps the
process run more smoothly and efficiently.
 CHAPTER THREE
POST AUDIT
What is audit documentation and why is it important to a quality audit?
Audit documentation also facilitates the planning, performance, and
supervision of the engagement, and is the basis for the review of
the quality of the work because it provides the reviewer with
written documentation of the evidence supporting the auditor's significant
conclusions.
 CHAPTER THREE
POST AUDIT
DISTRIBUTE THE AUDIT DOCUMENTS

Typically, the auditing organization will distribute the audit report to the client
(person with authority to require the audit) and any person in
the audited organization who has authority to address the audit findings. When other
parties request distribution of the report, a myriad of issues and concerns surface.
 CHAPTER FOUR
DOCUMENTATION REVIEW
VOLUME OF RECORDS
Having a record keeping system in place allows you to track proficiencies
and deficiencies. Once identified, keeping records of the corrective actions
for your deficiencies will help OSHA and EPA auditors see how your
facility is trying to be in compliance with required regulations.
 CHAPTER FOUR
DOCUMENTATION REVIEWS
WRITTEN PROGRAMS AND POLICIES
It is essential to any safety program that all procedures are
written down. Writing down the program allows the communication of the
hazard as well as the procedures for minimizing exposure to the hazard and
allows the procedure to be checked, measured and or audited.
 CHAPTER FOUR
DOCUMENTATION REVIEWS
Who is responsible for writing the health and safety policy?
The policy should be written in consultation with the health and
safety committee or representative, or with workers or their representatives.
However the written occupational health and safety policy statement is a
pledge to employees and therefore the employer is responsible for content.
 CHAPTER FOUR
DOCUMENTATION REVIEWS
SUPPORTING DOCUMENTATION
Examples of the types of records you must keep include, but are not limited to:
• Employee orientation records.
• Workplace inspection reports and records of corrective actions taken.
• Incident investigation reports and records of corrective actions taken.
• Records of employee and supervisor training with the date, attendance and topics covered.
• Joint health and safety committee (JHSC) minutes showing what steps have been taken to address
health and safety issues.
• Equipment log books and maintenance records.
• First aid records, medical certificates and hearing tests.
• Sampling and monitoring records for work around harmful substances (asbestos, mould) and physical
agents (noise, vibration, radiation).
• Records of visits by a health and safety officer.
• Safety Data Sheets (SDS) of hazardous products used in a workplace
 CHAPTER FOUR
DOCUMENTATION REVIEWS
Examples of the types of records you should keep include, but are not limited to:
• Records of meetings and crew talks where health and safety issues were discussed.
• Subcontractor pre-qualification documents.
• Supervisors’ notes and logs of safety activities.
• Records showing the use of progressive discipline to enforce safety rules.
• Forms and checklists, such as confined space entry permits, that show that you require
workers to follow safe work procedures.
• Emergency response plan, records of drills and any resulting improvements.
 CHAPTER FOUR
DOCUMENTATION REVIEWS
The health and safety program must have a record management
system that includes:
• Reports of employee training.
• Incident statistics.
• Work procedures.
• Records of all health and safety inspections and any follow-up.
• Records of any health and safety related investigations and any follow-up.
• Records of all maintenance of facilities or equipment in the workplace and
any follow-up.
 CHAPTER FOUR
DOCUMENTATION REVIEWS
TRAINING DOCUMENTATION
Employee training must also be documented. Are employees aware of the
hazards in the workplace, are they trained to use procedures and equipment
or other controls to reduce or eliminate those hazards, and are they
provided the tools they need to protect themselves? In many cases
documentation is more than just a list of attendees; some regulations require
that the training content, measurement data and other items be included in
the documentation
 CHAPTER FIVE
CREATING AN AUDIT PROGRAM
PURPOSE
To provide evidence of proper planning and a record of the work done that conforms
to auditing standards. To provide a basis for delegation and coordinating the audit work. To
control the time spent on gathering sufficient appropriate audit evidence.
Advantages Of Audit Program
• Audit Program Saves Time And Labor. ...
• Audit Program Increases Efficiency. ...
• Audit Program Helps To Control. ...
• Audit Program Helps To Maintain Uniformity. ...
• Audit Program Helps To Make Responsible. ...
• Audit Program Helps To Maintain Continuity. ...
• Audit Program Helps To Present As Proof.
 CHAPTER FIVE
CREATING AN AUDIT PROGRAM
PURPOSE
1. To work with each other and with the people who will carry out the plans
2. To clarify objectives
3. To set goals for each division
4. To establish policies and standard methods to guide those who do the work
5. To develop programmes, strategies and schedules to keep the work moving
towards the objectives
6. To decide who should participate in formulating policies
7. To determine how much freedom of action should be given to subordinates.
 CHAPTER FIVE
CREATING AN AUDIT PROGRAM
IMPORTANCE
1. Establishes the intended means of achieving the objectives of the audit
2. Assists in the direction and control of the work
3. Ensures that attention is devoted to critical aspects of the audit
4. Ensures that the work is completed
 CHAPTER FIVE
CREATING AN AUDIT PROGRAM

Preparing the Audit Plan

• Determine what work papers we will need to conduct audit .
• Prepare work papers develop the questions to consider asking
• Annotate (add a notes) procedures or work instructions
• Is a flowchart of the process to be audited available?
• The work papers act as guide to conduct the audit
 CHAPTER FIVE
CREATING AN AUDIT PROGRAM
IMPLEMENTATION
An increasing number of globally operating corporations implement an EHS
audit as part of their environmental management. Through
the implementation of an EHS audit, we propose plans and strategy for
meeting various legal requirements concerning the environment and
occupational safety and health.
 CHAPTER FIVE
CREATING AN AUDIT PROGRAM
AUDIT FREQUENCY
You should audit high-risk and other crucial processes at least quarterly or
twice a year. Your compliance auditor will recommend auditing newly-
developed processes quarterly. Audits become less frequent as process
become refined and stable.
 CHAPTER FIVE
CREATING AN AUDIT PROGRAM
RESPONSIBILITIES
Your job duties as an environmental auditor are to plan auditing projects, conduct site visits and
inspections, detect violations of environmental regulations, gather data, prepare reports,
recommend steps for improvement, reviewing findings with business management.

Auditors' Responsibilities
The auditor's responsibility is to express an opinion on whether management has fairly
presented the information in the financial statements. To do so, the auditor collects evidence to
obtain reasonable assurance that the accounts are free of material misstatement.
 CHAPTER FIVE
CREATING AN AUDIT PROGRAM
Considerations Before the Audit
• Clearly defined objectives and scope for the audit?
• Team identification and assignments?
• Specific audit plan for the audit including timing?
• Flowcharts or maps of the processes, areas and activities about to be
examined? • Review and preliminary analysis of the formal (documented)
requirements?
• Communication and agreement with the parties about to be audited?
• Work papers prepared to guide the auditors in conducting the audit?
 CHAPTER FIVE
CREATING AN AUDIT PROGRAM
How do you write a safety audit report?
The audit should:
• Identify the risks and the levels of those risks within the workplace;
• Identify strengths and weaknesses in your safety procedures;
• Assess whether your safety procedures are legally compliant;
• Compare current documentation and practices against best practice and
legal obligations;
 CHAPTER FIVE
CREATING AN AUDIT PROGRAM
AUDIT REPORT
Writing A Great Audit Report
• Know your audience. One of the more difficult aspects of writing an audit
report is understanding your intended audience.
• Use a standard templates for your audit report.
• Generate a clear and concise list of findings.
• Timely distribution of the audit report.
• Audit report–Conclusion.
• About the author.
 CHAPTER SIX
CREATING AN AUDIT PROTOCOL
WRITING AUDIT QUESTIONS.

Keep questions brief and to the point, avoiding jargon. Write questions in a
way that non-experts can easily understand, since not all auditors will be
familiar with the process. LPAs should take less than 15 minutes to
complete, another important reason to make questions as straightforward as
possible.
 CHAPTER SIX
CREATING AN AUDIT PROTOCOL
BASIC AUDITS

An environmental health and safety (EHS) audit is a systematic, objective

tool to assess regulatory compliance in the workplace. An audit usually
involves a survey of the workplace to, identify what regulations apply to the
facility.
 CHAPTER SIX
CREATING AN AUDIT PROTOCOL
How to conduct a health and safety audit
The goal of a health and safety audit is to assist in the continuous improvement of
your company’s OHS procedures. The audit should:
• Identify the risks and the levels of those risks within the workplace.
• Identify strengths and weaknesses in your safety procedures.
• Assess whether your safety procedures are legally compliant.
• Compare current documentation and practices against best practice and legal
obligations.
• Recommend improvements in your safety procedures.
• Ensure that there adequate resources available to manage OHS.
• Ensure that the resources devoted to health and safety are being utilised
effectively.
 CHAPTER SIX
CREATING AN AUDIT PROTOCOL
COMPLEX AUDITS

“Complex” generally refers to audits where two or more of the complexity

factors are ranked as high risk. “Very complex” generally refers
to audits where three or more of the complexity factors are ranked as high
risk.
 CHAPTER SEVEN
AUDIT LOGISTICS
TRAVEL
A logistics audit is used to measure the company's performance and
concerns all its skills or only some part of the logistics system. During
a logistics audit, the proper implementation of a certain number of processes
is verified and validated, similar to a quality audit.
 CHAPTER SEVEN
AUDIT LOGISTICS
ON-SITE PLANNING
On-site audit means an on-site examination of a company's records to verify
information on which a permit is based, and to determine compliance with
the state uniform program requirements.
Audit planning is a vital area of the audit primarily conducted at the
beginning of audit process to ensure that appropriate attention is devoted to
important areas, potential problems are promptly identified, work is
completed expeditiously and work is properly coordinated.
 CHAPTER SEVEN
AUDIT LOGISTICS
AUDIT TEAM LOCATIONS
What Is an Audit Department?
An audit department is a unit within a company or organization that is
responsible for evaluating operational procedures, risk management, control
functions, and governance processes.
This includes determining the locations or business units at which to
perform audit procedures, as well as the nature, timing, and extent of the
procedures to be performed at those individual locations or business units.
 CHAPTER EIGHT
WORKPLACE SAFETY AUDITING
WORKPLACE SAFETY AUDITING
A workplace audit is a strategic review of your human resources policies,
procedures and practices.You fill in a detailed questionnaire about your
employees, culture, policies, procedures, contracts, pay structure and plans
for the future.
A safety audit is a general term used to describe an activity where a facility
gathers information about one or more aspects of the workplace in order to
evaluate the risk levels for health or safety issues. This means a safety
audit is typically only done after a safety plan for the facility is already in
place.
 CHAPTER EIGHT
WORKPLACE SAFETY AUDITING
INJURY RATES
What is the number one cause of injury in the workplace?
The top three leading causes of work-related injuries
1)overexertion
2)bodily reaction, slips, trips and falls,
3)contact with objects & equipment
Account for more than 84% of all nonfatal injuries involving days away
from work.
 CHAPTER EIGHT
WORKPLACE SAFETY AUDITING

Which part of the body is most frequently injured in the workplace?

The National Electronic Injury Surveillance System reports that the fingers
and hand are the most frequent body parts injured at work and treated in
hospital emergency departments.
 CHAPTER EIGHT
WORKPLACE SAFETY AUDITING
Follow these 10 tips to prevent an injury and protect your workforce.
Incorporate a safety and wellness plan.
Conduct pre-placement physicals.
Educate employees and management staff.
Research safety vulnerabilities.
Provide protection equipment.
Have adequate staffing levels.
Don't take shortcuts.
Inspect and maintain all company vehicles.
Monitor safety measures.
Keep an orderly workplace.
 CHAPTER EIGHT
WORKPLACE SAFETY AUDITING
HOUSEKEEPING AUDITS
Operational housekeeping audits start by reviewing the written procedures
for housekeeping personnel. These procedures are then followed through a
room that has been recently been cleaned to determine if the procedures
have been followed.
A housekeeping SOP (Standard Operating Procedure) is a documented,
step-by-step process on how to effectively perform housekeeping
procedures, such as daily cleaning and maintenance tasks.
 CHAPTER EIGHT
WORKPLACE SAFETY AUDITING
What is a 5S Audit Checklist?
A 5S audit checklist is a system used to evaluate 5S implementation in the
workplace. It helps ensure that a workplace follows the 5S principles:
Seiri (Sort),
Seiton (Systematize),
Seiso (Shining),
Seiketsu (Standardizing),
Shitsuke (Sustaining).
 CHAPTER EIGHT
WORKPLACE SAFETY AUDITING
What is the definition of good housekeeping?
General care,
cleanliness,
orderliness,
maintenance of business or property.
Good housekeeping is an important consideration in underwriting of fire
hazard and other forms of insurance, as well as in certification by fire,
health, and industrial safety agencies.
 CHAPTER EIGHT
WORKPLACE SAFETY AUDITING
SPECIFIC AUDIT

EHS Audits: Is Your Facility Prepared. An environmental health and safety

(EHS) audit is a systematic, objective tool to assess regulatory compliance
in the workplace. An audit usually involves a survey of the workplace to
Identify what regulations apply to the facility.
 CHAPTER EIGHT
WORKPLACE SAFETY AUDITING
 CHAPTER EIGHT
WORKPLACE SAFETY AUDITING
Is your Safety Management System (SMS) effective in actually guiding safety
behavior?
Most SMS audits focus solely on the presence and quality of documentation, rather
than being concerned with its reach and day-to-day effectiveness.
We use three assessment criteria:
[a] the presence of a system to control risks (i.e. documentation);
[b] the levels of compliance to the system; and
[c] potential severity of impact of non-compliance. The audit scores for each
criterion are combined to produce an effectiveness score for each System Element
audited, that in combination with Safety Surveys and Behavioral Safety scores can
be used to produce a comprehensive Safety Culture Profile.
 CHAPTER EIGHT
WORKPLACE SAFETY AUDITING
How you can benefit:
You will receive effective and relevant assessment from our highly qualified
and trained Safety Professionals of your SMS that will highlight the positives
and any opportunities for change. Should you desire, we also offer support
throughout the development, implementation and maintenance of your SMS.
What is an SMS?
There are several Health & Safety Management Systems where the
objective is to help companies control their HSE risks, that you can
benchmark your company against, These include OHSAS 18001 and ILO
2000. Well developed and executed Safety Management Systems provide
companies with a competitive edge because they reflect global consensus
of good safety management practices.
 CHAPTER EIGHT
WORKPLACE SAFETY AUDITING
We use a Safety Management System schematic based on scientific
research into accident causation chains as the basis for developing,
implementing and auditing. This approach reflects best practice and all
current International Standards.
Why use external personnel?
Using our personnel can be beneficial to a company, as they share their
knowledge and experience of the most up-to-date Health & Safety
Management Systems with company personnel.
 CHAPTER EIGHT
WORKPLACE SAFETY AUDITING
EMPLOYEE PERCEPTION SURVEYS
A safety perception survey provides a quantitative measure of how
employees feel about current safety policies and procedures, and provides
them an opportunity to share their recommendations for improvement.
Employee perception is a process by which individuals organize and
interpret their sensory impressions in order to give meaning to their
environment.
Perception not only creates our experience of the world around us, it allows
us to act within our environment. Perception is very important in
understanding human behavior because every person perceives the world
and approaches life problems differently.
SAFETY AND HEALTH AUDITING

THE END
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