IGC 1.

6 HEALTH AND SAFETY MANAGEMENT SYSTEMS - AUDIT AND REVIEW - ACT

1. Outline how the following techniques may be used to improve health and safety performance within
an organisation and the differences between them.
a. Safety inspections

Is a part of audit and carried out independently for premises, people, plant and machinery
and procedures. Can be done systematically with use of a checklist.
b. Externally led health and safety audits

Auditing is critical to a health and safety management system, but it is not a substitute for
other essential parts of the system like workplace inspections.
c. Analysis of accident statistics

Identifies trends in the accidents, frequencies.

The main difference between audits and other forms of monitoring (safety surveys,
inspections, tours and sampling) is primarily the breadth and depth of an audit.
2. A . Explain the meaning of the term health and safety audit

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.
b. outline the issues that need to be considered at the planning stage of the audit
Preparatory work :

meet the 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
On site:

Interviewing

Review and assessment of additional documents

Observation of physical conditions and work activities
Conclusion:

Assemble the evidence

Evaluate the evidence
Write an audit report
Presentation of findings to management and workforce representatives where appropriate
c.Identify two methods of gathering information during an audit.

Reviewing the documentation

Observation of the workplace

Interviewing various levels of workforce

3. A. Outline key areas that may be covered within a health and safety audit

HSE Policy

Worker participation

Responsibility and accountability

Competence and training

Documentation

Communication
b. Identify the documents that are likely to be examined during a health and safety audit

accident and incident records

risk assessments

HSE Policy

Maintenance records

Inspection records

Health surveillance records

Training records
c. Explain how the findings of a health and safety audit can be used to improve health and safety
performance

can identify the gaps in the management systems

can help in improving the competency of the organisation

may have solutions for many unresolved issues in the organisation

can showcase the non-compliances in the workplace
4. Outline four advantages and four disadvantages of undertaking a health and safety audit of an
organisations activities by
a. an internal auditor
advantages

are familiar with the workplace

aware of what is practicable for the industry

have the ability to see the improvements or a deterioration from the last audit

less expensive
disadvantages

may not get honest views from the workforce

not qualified auditors
may be subject to pressure from management and workforce
have time constraints imposed upon them

b. an external auditor
advantages

impartial in their presentation of the audit results

competent

up to date with the legal requirements

have a new perspective

disadvantages

unfamiliar with the workplace

may not be realistic in offering solutions
expensive
time consuming

5. A health and safety audit of a manufacturing company has identified a lack of compliance with many
of its health and safety procedures
a. describe the possible reasons for procedures not being followed

lack of management commitment

poor HSE culture in the organisation

ineffective communication

lack of workers consultation
b. outline the practical measures that could be taken to motivate employees to comply with health
and safety procedures

training

improved supervision

motivational programmes

carrying out consultation meetings
6. a. outline ways in which an organisation can monitor its health and safety performance

examine whether the health and safety policy reflects the organisations current priorities,
plans and targets

examine the effectiveness of the risk management in the workplace

checks on inspection and maintenance records

reviewing any enforcement actions

audit findings

accident and near miss data
c. identify eight measures that could be used by an organisation in order to monitor its health and
safety performance

sickness information

abseentism records

health surveillance reports

inspection records

survey reports

internal and external audit reports

training records

accident and ill health records

d. outline the reasons why an organisation should review and monitor its health and safety
performance

to ensure the organisation is following aims and objectives as specified in HSE Policy

to ensure they are legally compliant

to upgrade and move forward successfully in the Health and Safety management of risks
and hazards

to accept changes into the organisation
7. The Board of Directors of a large company decides to review its health and safety performance over
the past year
a. outline the role of the board in such a review

The management system must allow the board and senior management to receive the
reports of Health and Safety Policy review.

The board to utilise the reports to review and take corrective measures

Ensure there are periodic audits carried out to identify the gaps
b. List the topics that should be covered in the review

evaluation of compliance with legal and organisational requirements

incident data, recommendations and action plans, investigations

inspections, surveys, and tours

previous audit results
c. Outline the possible review periods for the various parts of the company
it is a continuous process and should be undertaken at every level of the organisation.

Monthly reviews of workforce supervisors etc

Departments to have a quarterly review

Annual review for the entire organisation