safety audit method

4/18/2013

Final version | Stefan Kovacs

SAFETY AUDIT METHOD

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SAFETY AUDIT

Contents

INTRODUCTION.......................................................2

DICTIONARY.........................................................4

PROPOSED OBJECTIVES................................................8

METHODOLOGY........................................................9

CHECKLIST-OPERATIONAL SAFETY AUDIT................................11

ELECTRICAL EQUIPMENT SAFETY...................................11

CHEMICAL EXPOSURE...............................................14

TOOLS AND MACHINES..............................................16

Abrasive Wheel Grinders........................................16

Compressors and compressed air.................................17

Cranes.........................................................19

Hand Tools.....................................................21

FORKLIFTS AND INDUSTRIAL TRUCKS...................................22

MACHINE GUARDING..................................................24

CHECKLIST-MANAGEMENT SAFETY AUDIT.................................26

CHECKLIST-SAFETY INDICATORS AUDIT.................................34

RECAPITULATIVE AUDIT SCHEMA.......................................52

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SAFETY AUDIT

INTRODUCTION

The fact that we often fail to learn from experience is commonplace.Time after time accidents occur because well established safe procedures and practices have been ignored or forgotten. Investigation will often reveal that the basic cause of an accident has been the steady deterioration of working practices since a plantwas installed. It is incredible how quickly a well-constructed plantwith clear procedures and safeguards can become unsafe without management or workers being aware. A short cut in procedures becomesaccepted practice; a small malfunction of equipment is overcome by the operator and the ‘new’ procedure adopted as standard. And so it goes on, until the inevitable accident occurs and the manager cannotunderstand how he came to walk past the problem every day without seeing the hazard.

Safety audits are report indicators on the success of safety and health programs, environmental programs, and process safety management. Like financial and IRS audits, safety audits are structured evaluations on performance and compliance.

By definition, an OHS Management System audit is a ‘systematic examination against defined criteria to determine whether activitiesand related results comply with planned arrangements, and whether these arrangements are implemented effectively and are suitable to achieve the organisation’s policy and objectives’. An audit of an OHS Management System is separate from a workplace inspection program. Inspections are conducted to detect hazards in the workplace and to check how well risk controls are working for particular activities, processes or areas. Audits look at the procedures and processes that are intended to manage the entire health and safety program, rather than the individual deficiencies and failures identified during inspections. These two activities (audit and inspection) are complementary to each other and are not mutually exclusive.

A safety audit is a structured, methodical assessment of how workplace activities affect safety and health. It reveals how an organization is doing in maintaining a safe and healthy environment.Its goal is to ensure a safe and healthy workplace by striving to

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SAFETY AUDITeliminate unsafe practices and hazards that lead to injuries and accidents.

A safety audit is aimed at the reduction of exposure to all of the risk related conditions as part of an overall safety programme.The adoption of this systematic approach has, in some companies, originated from their concern generated by major accidents, or an internal realisation that safety standards may be falling, often brought about by better accident reporting and investigation.It therefore becomes possible to publish criteria and lead plant management, with specialist assistance, into more objective analysisof their activity, with resulting improved standards becoming a useful tool for reducing accidents.

An audit consists of two parts: collecting data about a program and evaluating the data.The audited program must comply with a variety of regulations and guidelines: environmental, safety, and health regulations; local and state requirements; and internal institutional performance requirements.

Governmental controls may include laws that cover environmental management,right-to-know issues, or process safety management.

An audit should identify the strengths as well as the weaknesses of a program.It should reveal to management and the employees where andhow they could and should make improvements.

Audits are not designed to assess the performance of individuals:

Audits should assess how effectively the system, including its structure, policies, planning activities, resourcing, operating procedures, and work practices combine together to manage the risks associated with the organisation’s business. Audits are not designedto measure the performance of individuals working within the system.

Audits also should generate information for management action:

In addition to helping a Regulator make decisions regarding self-insurance, audits provide the organisation’s management with fact-based information that can be used to review safety effectiveness and plan change that will ensure continual system improvements. The information generated through an audit will provide evidence of conformance or non-conformance with the audit criteria, however it

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SAFETY AUDITis not designed to provide detailed recommendations for solutions toany identified problems.

On-site audits require three main actions.

-First, arrange interviews with facility personnel who have key roles in developing or implementing safety management systems.

-Next, review documentation that defines safety system records or verifies completion of critical tasks.These tasks may include emergency preparedness; hazard identification,control, and monitoring; and safety education and training.

-Last, conduct field assessment of the facility or equipment. Here, the assessment might include verification of implementation of safety practices. For example, are only certified welders performinghot work (welding)? Does he or she have hot work permits?

Safety audits are intended to promote, improve and then maintain good safety performance.Safety audits (unlike accident statistics, which only record past accidents) are an instrument for the direct prevention of accidents, as they immediately generate positive actions across the whole business activity.

In other words, an audit should go beyond the ‘paper trail’ to establish the level of implementation within the workplace and whether the system contributes to improvement in health and safety performance. Evaluation of this evidence should enable the audit team to determine whether there is ‘conformance’ or ‘non-conformance’ with the audit criteria.

DICTIONARY

A dictionary of the most used terms in the safety audit is given below.

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SAFETY AUDITAudit

A systematic and independent examination against defined criteria todetermine whether health and safety activities and related results comply with planned arrangements, whether these arrangements are implemented effectively and whether they are suitable to achieve theorganisation’s policy and objectives.

Audit report

A written record of the audit, which accurately and concisely documents the objective evidence and clearly communicates the findings of the auditor(s) for each of the criteria included in the audit.

Audit Team

The auditors whose collective competence is appropriate to the activities to be audited and the related health and safety issues. The team is to be selected in accordance with the relevant regulator’s procedures.

Competent person

A person who has acquired through training, qualifications or experience, or a combination of these, the knowledge and skills enabling that person to perform the task required.

Conformance

A judgment made by an auditor that the activities undertaken and theresults achieved fulfil the specified requirements of the audit criteria. While further improvements may still be possible, the minimum requirements are being met.

Customer-supplied goods and services

Customer-supplied goods and services are those which are supplied tothe organisation by a customer. The organisation then performs work on that product or uses that service as part of another task.

Dispute

A dispute may arise in relation to:

•the identification of a workplace hazard;

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SAFETY AUDIT•the assessment of the level of risk of a workplace hazard;

•control of a workplace hazard;

•statutory duty; or

•workplace changes.

A dispute means a difference of opinion between two or more parties on a health and safety issue and which remains unresolved.

Employees

The term ‘employees’ covers all those who work for the organisation,including casuals, part-time workers, volunteers and contractors.

Facilities

Facilities refer to washrooms, showers, lockers, dining areas, drinking water etc. There may be specific legislative requirements and details in building regulations and codes.

Hazard

A source or a situation with a potential for harm in terms of injuryor illness, damage to property, damage to the environment, or a combination of these.

Hazard identification

The process of recognizing that a hazard exists and defining its characteristics.

Hazardous substance

A substance possessing toxic, reactive, flammable or explosive properties, or is otherwise harmful to persons or the environment. Where there are legislative references to hazardous substances the definition may vary from the definition given here.

Health and safety management system

That part of the overall management system which includes organisational structure, planning activities, responsibilities, practices, procedures, processes, and resources for developing, implementing, achieving, reviewing and maintaining the health and

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SAFETY AUDITsafety policy, and so managing the health and safety risks associated with the business of the organisation.

Health and safety objectives

Overall OHS goal in terms of OHS performance, arising from the occupational health and safety policy that an organisation sets itself to achieve, and which are quantified where practicable.

Health and safety policy

Statement by the organisation of its intentions and principles in relation to its overall health and safety performance which providesa framework for action and for the setting of its health and safety objectives and targets.

Health and safety target

A detailed performance requirement, quantified wherever practicable and pertaining to the organisation, that arises from the health and safety objectives, and that needs to be met in order to achieve those objectives.

Hierarchy of controls

Hazard control or risk reduction whereby options are considered in the following order (from most to least preferred): 1. elimination; 2. substitution; 3. engineering controls; 4. administrative controls; and 5. personal protective equipment and clothing. Variations to this hierarchy to meet local legislative or other requirements are acceptable where the variations do not alter the intent of the hierarchy.

Incident

An unplanned event resulting in, or having the potential for injury,ill health, damage or other loss.

Interested parties

Interested parties, may, depending on circumstances, include health and safety representatives, health and safety committees, contractors, regulatory authorities, community groups, non-government organisations, special interest groups and others.

Non-conformance

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SAFETY AUDITA judgment made by an auditor that the activities undertaken and theresults achieved do not fulfil the specified requirements of the audit criterion. This may be caused by the absence or inadequate implementation of a system or part of a system, documented systems or procedures not being followed or a minor or isolated lapse in a system or procedure.

Not able to be verified

A situation where a relevant system procedure has been developed, but because of the infrequent need to use the system procedure thereare no recent records or other form of verification available.

Not Applicable

A judgement made by an auditor that the requirements of a particularaudit criterion do not need to be met, because of the nature of the client organisation’s operations.

Objective Evidence

Qualitative or quantitative information that can verify the existence and effective operation of an aspect of an occupational health and safety management system. The information may be in the form of documents, electronic information, documented records, visual observations and discussion with employees and others. The audit records should provide enough information to allow evidence tobe identified, located and independently verified by another auditor. Evidence of a system being in operation for at least 3 months is required to verify conformance to an audit criterion.

Observation

A system deficiency of a minor nature that, in the auditor’s opinion, does not warrant the issue of a Non-conformance report.

Occupational health and safety policy

Statement by the organisation of its commitment, intentions and principles in relation to its overall occupational health and safetyperformance which provides a framework for action and for the setting of its occupational health and safety objectives and targets.

Organisation

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SAFETY AUDITCompany, corporation, firm, enterprise or institution, or other legal entity or part thereof, whether incorporated or not, public orprivate, that has its own function(s) and administration.

Personnel

A broad term that includes employees, contractors, labour hire employees and non-employees such as volunteers, unpaid work-experience staff and visitors.

Procedure

A document in text or graphic format that describes the reason, scope, steps to be followed and responsibilities for a component of the health and safety management system. It may also include definitions and references to other documents.

Process

A set of inter-related resources and activities that transform inputs into outputs.

Record

Document that furnishes objective evidence of activities performed or results achieved.

Resources

Resources include financial (e.g. money and time], physical (e.g. equipment, reference library) and human resources (e.g. health and safety coordinator, health and safety representative, health and safety consultant).

Risk

The combination of the frequency, or probability of occurrence, and consequence of a specified hazardous event.

Risk assessment

The overall process of estimating the magnitude of risk and decidingwhether the risk is tolerable.

Senior management

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SAFETY AUDITMay consist of an individual, or a group of individuals, with executive responsibility for the organisation.

Verification

Confirmation by examination and provision of objective evidence thatthe specified requirements of the audit criteria have been met.

PROPOSED OBJECTIVES

The objective of the safety audit is to evaluate the effectiveness of the company’s safety effort and make recommendations which lead to a reduction in accidents and minimisation of loss potential. Safety audits are an important part of a company’s control system and these checks ensure that deteriorating standards are detected. Examination of the defects exposed in this review results in hazardous conditions and potential accidents being avoided.

Regular audits should be based on the premise that resources should be made available to identify and eliminate hazards before accidentsoccur, rather than use the resource of manpower and materials only after injuries and damage to equipment have resulted in human suffering, significant monetary loss which, in certain circumstances, affect the profitability severely.Mistaken belief that management and sites are operating satisfactorily within the requirements of appropriate legislation/regulations and standards/codes of practice is eradicated, and the direct contact with individual workers has as its aim the resultant change in attitude and commitment to the use of safe working practices, which continual involvement and education generate. The safety audits willmonitor all activities performed on site, and in particular:

• The basic safety policy and organisation of the company.

• Management commitment and example on safety matters.

• Administration and safety activity.

• Accident reporting and investigation.

• Opportunity of injury – and record of every injury.

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SAFETY AUDIT• Safety committees.

• Working rules and practices for each company location, including visitors and contractors.

• Compliance with statutory regulations and company standards.

• Behaviour and unsafe acts of personnel and their relationship to compliance with safety rules.

• Activity related certification of employees.

• First Aid certified employees.

• Training needs and activities.

• Hazards review of process equipment for either new or existing facilities.

• Operating procedures.

• Safety work permits.

• Emergency procedures.

METHODOLOGY The audit system uses as a basis a three sided pyramid shown in the next figure.

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SAFETY AUDIT

Figure 1 The safety audit structure

Facet 1: is represented by Operational Safety Audit

Facet 2: is represented by Management Safety Audit

Facet 3: is represented by Safety Indicators Audit which are also the output of the system.

The checklist is composed by:

-main items, questions or statements- which should be assessed on a 1(not good) to 5 (excellent) scale with the help of

-auxiliary items- which are questions to be answered with yes and no.

An example of assessment is given next.

No Main Question Auxiliary Question Your Assessment

Safety of Electrical Equipment

1 2 3 4 5

x

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SAFETY AUDITNo Main Question Auxiliary Question Your Assessment

Are all electrical drawings available and updated ?

Yes No

x

Is there a preventive maintenance system in use for regular inspections/testing of all electrical equipment?

Yes No

x

Does this include verification of the electrical installation by a competent authority, e.g. including approved sub-contractors ?

Yes No

x

Are safe working practices established for carrying out work onelectrical equipment ?

Yes No

x

Are the employees working with electricitycertified ?

Yes No

x

Do these practices include the use of totalisolation and locking off electrical components in order to carry out inspection/testing/ maintenance work ?

Yes No

x

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SAFETY AUDITIf all the auxiliary questions are responded with yes the main question could be assessed at 5.

A evaluation on the 1...5 scale which is below or equal to 3 should be considered as a weak point ,all the evaluations above 3 are giving strong points.

All the weak points should be mitigated.

An average value would be computed for the three facets of the pyramid. The average value of those averages gives the safety value of the audited enterprise, workplace, etc. This safety value could be a very serious warning- for values below 3- as there is no proper safety inside such unit.

The results should be concentrated in the following tables.

OPERATIONAL SAFETY AUDIT

No Weak Point Name

Weak Pointassessmentvalue at Date:

Proposed measures to improvethe Weak Point

Responsible

Weak Pointre-assessmentvalue at Date:

MANAGEMENT SAFETY AUDIT

No Weak Point Name

Weak Pointassessmentvalue at Date:


Responsible


SAFETY INDICATORS AUDIT

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SAFETY AUDITNo Weak Point

NameWeak Pointassessmentvalue at Date:


Responsible


CHECKLIST-OPERATIONAL SAFETY AUDIT

ELECTRICAL EQUIPMENT SAFETY

On a 1(not safe) to 5 (excellent) scale please assess the main questions, helped by the auxiliary ones (which could be answered with yes/no)


1 Safety of Electrical Equipment

1 2 3 4 5

1.1 Are all electrical drawings available and updated ?

Yes No

1.2 Is there a preventive maintenance system in use for regular inspections/testing of all electrical equipment?

Yes No

1.3 Does this include verification of the electrical installation

Yes No

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by a competent authority, e.g. including approved sub-contractors ?

1.4 Are safe working practices established for carrying out work onelectrical equipment ?

Yes No

1.5 Are the employees working with electricitycertified ?

Yes No

1.6 Do these practices include the use of totalisolation and locking off electrical components in order to carry out inspection/testing/ maintenance work ?

Yes No

1.7 Are all electrical compounds, HV &LT switchrooms kept locked ?

Yes No

1.8 Is admission to electrical compounds/switch rooms strictly restricted to authorised personnel ?

Yes No

1.9 Are employees advised ofthe risks associated with electrical equipment ?

Yes No

1.10

Are instructions posted concerning first aid

Yes No

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measures in case of electrical accidents ?

1.11

Are instructions posted providing information incase of fire in electrical installations?

Yes No

1.12

Are approved fire extinguishers available for use with electrical equipment ?

Yes No

1.13

Are emergency circuit breakers clearly marked ?

Yes No

1.14

Is the emergency power supply in proper standbycondition ?

Yes No

1.15

Is emergency equipment energy source tested regularly, e.g. diesel generator sprinkler systems ?

Yes No

1.16

Are all alarm/trip systems on electrical installations and equipment checked regularly ?

Yes No

1.17

Are all components clearly identified with type and service ?

Yes No

1.18

Is all electrical equipment adequately

Yes No

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protected and enclosuressecured to prevent accidental contact with live conductors ?

1.19

Are all electrical consumers (motors/heaters) equipped with lockable isolation switches ?

Yes No

1.20

Are all motors provided with emergency stop buttons adjacent to the motor ?

Yes No

CHEMICAL EXPOSURE

On a 1 to 5 scale please estimate the safety assured against the chemical exposure, taking into account the auxiliary questions


2 Safety against chemical exposure

1 2 3 4 5

2.1 Is employee exposure to chemicals kept within acceptable levels?

Yes No

2.2 Are eyewash fountains and safety showers

Yes No

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provided in areas where caustic corrosive chemicals are handled?

2.3 Are all employees required to use personalprotective equipment when handling chemicals?

Yes No

2.4 Are flammable or toxic chemicals kept in closedcontainers when not in use?

Yes No

2.5 Where corrosive liquids are frequently handled in open containers or drawn from storage vessels or pipelines, are adequate means provided to neutralize or dispose of spills or overflows?

Yes No

2.6 Have standard operating procedures been established, and are they being followed, when cleaning up chemical spills?

Yes No

2.7 Are employees prohibitedfrom eating in areas where hazardous chemicals are present?

Yes No

2.8 Is personal protective equipment provided, used, and maintained whenever necessary?

Yes No

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2.9 If internal combustion engines are used, is carbon monoxide kept within acceptable levels?

Yes No

2.10

Are employees familiar with Threshold Limit Value (TLV) or Permissible Exposure Limit (PEL) of airborne contaminants and physical agents used in your workplace?

Yes No

2.11

Have industrial hygienists or environmental health specialists evaluated your work operations?

Yes No

2.12

Are employees instructedon the correct usage andlimitations of respirators?

Yes No

TOOLS AND MACHINESFor every specific tool there should be a checklist like in the following example.

Please estimate the safety of the specific tool on a 1 (not safety)to 5 (excellent safety) using the auxiliary questions as a lead on

Abrasive Wheel GrindersNo Main Question Auxiliary Question Your Assessment

3 Tool name: 1 2 3 4 5

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Abrasive Wheel Grinders

3.1 Is the work rest used and kept adjusted to within 1/8 inch of the wheel?

Yes No

3.2 Is the adjustable tongueon the top side of the grinder used and kept adjusted with within 1/4inch of the wheel?

Yes No

3.3 Do side guards cover thespindle, nut, flange, and 75 percent of the wheel diameter?

Yes No

3.4 Are bench and pedestal grinders permanently mounted?

Yes No

3.5 Are goggles or face shields always worn whengrinding?

Yes No

3.6 Is the maximum RPM rating of each abrasive wheel compatible with the RPM rating of the grinder motor?

Yes No

3.7 Are fixed or permanentlymounted grinders connected to their electrical supply systemwith metallic conduit orby another permanent

Yes No

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wiring method?

3.8 Does each grinder have an individual on/off switch?

Yes No

3.9 Before mounting new abrasive wheels, are they visually inspected and ring tested?

Yes No

3.10

Are dust collectors and powered exhausts provided on grinders used in operations that produce large amounts ofdust?

Yes No

3.11

Is cleanliness maintained around grinders?

Yes No

Compressors and compressed airPlease estimate the safety of the specific tool on a 1 (not safety)to 5 (excellent safety) using the auxiliary questions as a lead on

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3a Safety of compressors andusage of compressed air

1 2 3 4 5

3a.1

Are compressors equippedwith pressure-relief valves and pressure gauges?

Yes No

3a.2

Are compressor air intakes installed and equipped to ensure that only clean, uncontaminated air enters the compressor?

Yes No

3a.3

Are air filters installed on the compressor intake?

Yes No

3a.4

Are compressors operatedand lubricated in accordance with the manufacturer’s recommendations?

Yes No

3a.5

Are safety devices on compressed air systems check frequently?

Yes No

3a.6

Before any repair work is done on the pressure systems of the compressor, is the pressure bled off and the system locked out?

Yes No

3a.7

Are signs posted to warnof the automatic

Yes No

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starting feature of the compressors?

3a.8

Is it strictly prohibited to direct compressed air toward a person?

Yes No

3a.9

Are employees prohibitedfrom using compressed air (at over 29 psi)for cleaning purposes, including clothing?

Yes No

3a.10

When using compressed air for cleaning, do employees use personal protective equipment?

Yes No

3a.11

Is it prohibited to use compressed air to clean up or move combustible dust, if such action could cause the dust to be suspended in the air and cause a fire or explosion?

Yes No

Cranes


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3b Safety of cranes

1 2 3 4 5

3b.1

Are cranes visually inspected for defective components prior to the start of any work shift?

Yes No

3b.2

Are all electrically-operated cranes effectively grounded?

Yes No

3b.3

Is a crane preventive maintenance program established?

Yes No

3b.4

Is the load chart clearly visible to the operator?

Yes No

3b.5

Are all operators trained, and provided with the operator’s manual for the particular crane being operated?

Yes No

3b.6

Have construction industry crane operatorsbeen issued a valid operator’s card?

Yes No

3b.7

Are operating controls clearly identified?

Yes No

3b.8

Is the rated capacity visibly marked on each

Yes No

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crane?

3b.9

Is an audible warning device mounted on each crane?

Yes No

3b.10

Does each crane have a certificate indicating that testing and examinations have been performed?

Yes No

Hand ToolsPlease estimate the safety of the specific tool on a 1 (not safety)to 5 (excellent safety) using the auxiliary questions as a lead on


3c Safety in using handtools

1 2 3 4 5

3c.1

Are all tools and equipment (both company and employee-owned) in

Yes No

2


good working condition?

3c.2

Are hand tools such as chisels or punches (which develop mushroomed heads during use) conditioned or replaced as necessary?

Yes No

3c.3

Are tool-cutting edges kept sharp so the tool will move smoothly without binding or skipping?

Yes No

3c.4

Are tool handles wedged tightly in the head of all tools?

Yes No

3c.5

Are appropriate handles used on files and similar tools?

Yes No

3c.6

Are jacks checked periodically to assure that they are in good operating condition?

Yes No

3c.7

Are broken or fractured handles on hammers, axes, or similar equipment replaced promptly?

Yes No

3c.8

Are appropriate safety glasses, face shields, and similar equipment used while using hand tools or equipment whichmight produce flying

Yes No

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materials or be subject to breakage?

3c.9

Are broken hand tools parts replaced when necessary ?

Yes No

3c.10

Is eye and face protection used when driving hardened or tempered tools, bits, ornails?

Yes No

FORKLIFTS AND INDUSTRIAL TRUCKS



3d Safety at the usage of industrial trucks and forklifts

1 2 3 4 5

3d.1

Are only trained personnel allowed to operate industrial trucks?

Yes No

3d.2

Is substantial overhead protective equipment provided on high-lift rider equipment?

Yes No

2


3d.3

Are the required lift-truck operating rules posed and enforced and is the capacity rating posed in plain view of the operator?

Yes No

3d.4

Is directional lighting provided on each industrial truck that operates in an area withless than two foot-candles per square foot of general lighting?

Yes No

3d.5

Does each industrial truck have a warning horn, whistle, gong, or other device which can be clearly heard above the normal noise in the area where operated?

3d.6

Are the brakes on each industrial truck capableof bring the vehicle to a complete and safe stopwhen fully loaded?

Yes No

3d.7

Will the industrial truck’s parking brake effectively prevent the vehicle from moving whenunattended?

Yes No

3d.8

Are industrial trucks operating in areas whereflammable gases or vapors, combustible dust, or ignitable fibers may be present in

Yes No

2


the atmosphere, approvedfor such locations?

3d.9

Are motorized hand and hand/rider trucks so designed that the brakesare applied and power tothe drive motor shuts off when the operator releases his/her grip onthe device that controlsthe travel?

Yes No

3d.10

Are industrial truck with internal combustionengines (and operated inbuilding or enclosed areas) carefully checkedto ensure such operationdo not cause harmful concentrations of dangerous gases or fumes?

Yes No

MACHINE GUARDINGPlease estimate the safety of the specific tool on a 1 (not safety)to 5 (excellent safety) using the auxiliary questions as a lead on


3e Safety of machine guarding

1 2 3 4 5

3e.1

Is there an employee training program for

Yes No

2


safe methods of machine guarding?

3e.2

Is there adequate supervision to ensure that employees are following safe machine operating procedures?

Yes No

3e.3

Is there a regular program of safety inspection for machineryand equipment?

Yes No

3e.4

Is sufficient clearance provided around and between machines to allow for safe operations, set up and servicing, material handling, and waste removal?

Yes No

3e.5

Is equipment and machinery securely placed and anchored whennecessary to prevent tipping or other movement that could result in personal injury?

Yes No

3e.6

Are foot-operated switches guarded or arranged to prevent accidental actuation by personnel or falling objects?

Yes No

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3e.7

Are manually-operating valves and switches (controlling the operation of equipment and machines) clearly identified and readily accessible?

Yes No

3e.8

Are methods provided to protect the operator andother employees n the machine area from hazards created at the point of operation, ingoing nip points, rotating parts, flying chips, and sparks?

Yes No

3e.9

Are machinery guards secured and arranged so they do not offer a hazard in their use?

Yes No

3e.10

Are provisions made to prevent machines from automatically starting when power is restored (following a power failure or shut-down)?

Yes No

3e.11

If machinery is cleaned with compressed air, is air pressure controlled and personal protective equipment or other safeguards used to protect operators and other workers from eye and body injury?

Yes No

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SAFETY AUDIT

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SAFETY AUDIT

CHECKLIST-MANAGEMENT SAFETY AUDITOn a 1(not safe) to 5 (excellent) scale please assess the main questions, helped by the auxiliary ones (which could be answered with yes/no)


4 Enterprise management (safety management)

1 2 3 4 5

4.1 Has the Company Safety Policy been issued to personnel and has it been posted on notice boards ?

Yes No

4.2 There is a a Site SafetyAction Plan being used as an aid to improve/maintain safety standards

Yes No

4.3 Is allocation of safety esponsibilities kept up-to-date and is the management team totally committed to the attainment of their safety targets ?

Yes No

4.4 Has each employee had a Safety Training check completed for the type of area in which he now works ?

Yes No

4.5 Are individual training records available for all employees ?

Yes No

2


4.6 Is monitoring of training requirements being fulfilled ?

Yes No

4.7 Is there a system for issue and control of Permit to Work and Permit to Access forms ?

Yes No

4.8 Does the Enterprise Manager regularly receive information advising him of accidents/incidents which have occurred in his industry ? Does he communicate and discuss this information regularly with his personnel ?

Yes No

4.9 As a result of carrying out Emergency Drills, isaction taken to mitigatethe shortcomings ?

Yes No

5 Administration 1 2 3 4 5

5.1 Are there sufficient trained first aiders available at all times, including shift working ? There is an updated list with their contact information ?

Yes No

2


5.2 Does first aid equipmentmeet the stipulated requirements ?

Yes No

5.3 Is cleanup of the facility and especially of the workplaces satisfactory ?

Yes No

5.4 Are there sufficient safety indicators in place where needed ?

Yes No

5.5 When a new equipment is installed, is there a system to ensure that adequate drawings, operating instructions and appropriate specifications are available to Management ? Is all the data updated and accesible in the national language ?

Yes No

5.6 Is there a system for the control of contractors and visitorsto site ?

Yes No

5.7 Is emergency lighting checked/ tested at regular intervals ?

Yes No

5.8 Are alarms for the personnel and visitors checked /tested at regular intervals ?

Yes No

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6 Training 1 2 3 4 5

6.1 Has any hazard or emergency training been given to personnel ?

Yes No

6.2 Have all the people in the enterprise with specialist jobs been adequately rained/certificated e.g.high voltage equipment, breathing apparatus, fork lift trucks,safety valves, hoists and cranes ?

Yes No

6.3 Are safety critical procedures listed and posted adjacent to workstations used for training personnel ?

Yes No

6.4 Are management and supervision specialists directly involved in thetraining of personnel ?

Yes No

6.5 Do employees in contact with substances and products being training in order to understand :

- The properties of the materials;

- The need to store themin specific areas/places

Yes No

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;

- Appropriate handling methods;

- Fire risks;

- Disposal procedure;

-First aid requirements for these materials;

7 Safety statistics, records and registers

1 2 3 4 5

7.1 Are there records of potentialydangerous materials (used in the enterprise, currently or not) kept on site ?

Yes No

7.2 Are statutory records, factory registers etc kept and maintained ?

Yes No

7.3 Are the following records available on site:

-Accident Reports – on plant and at customers’ premises

-Lost Time Accidents

-Near Misses

-Safety Walks

-Safety Inspections

-Safety Audits

Yes No

2


-Minutes of Safety Meetings

-Personal safety records

-Training records

-Permit to Work certificates

-Maintenance checks on fire extinguishers

8 Safety management

1 2 3 4 5

8.1 Is there a site safety committee ?

Yes No

8.2 Are safety committee items followed through to a conclusion ?

Yes No

8.3 Is specialist protectiveclothing/equipment (PPE)regularly inspected so as to ensure it is in good condition and fit for use, e.g. rubber gloves for electrical use and aprons for chemical handling ?

Yes No

8.4 Are emergency showers tested regularly ?

Yes No

8.5 Is eye wash equipment Yes No

2


available at the predetermined locations ?

8.6 Are up-to-date Works Notices posted, e.g. Safety Committee reports? Are they displayed inthe appropriate places ?

Yes No

8.7 Are all alleyways/accesswalkways throughout factory kept clear ?

Yes No

8.8 Are fork lift truck working areas properly marked on the ground andsigns posted or, as an alternative, are pedestrian walkways clearly marked ?

Yes No

8.9 Are restricted areas clearly marked

and appropriate notices displayed

e.g.

-Non-smoking/non-flame;

-Traffic speed limits;

-Access speed limits;

-Access prohibited;

-Fork lift trucks;

-No parking;

Yes No

2


8.10

Do single manned sites have ‘dead man’ protection, e.g. walkie talkie, offsite alarm, closed circuit television set etc

Yes No

8.11

Are accidents and/or near misses fully documented and carefullyinvestigated ?

Yes No

8.12

Is implementation of recommendations arising from accidents/near misses formally monitored ?

Yes No

9 Emergency Control Procedures

1 2 3 4 5

9.1 Is there any emergency plan for the

site, posted in a conspicuous location, regularly updated,covering major accidents ?

Yes No

9.2 Has an Emergency ControlManager and a deputy been appointed ?

Yes No

9.3 Are emergency practice drills carried out at stipulated intervals andinvolving Fire Department, Police and

Yes No

2


Ambulance Service etc ?

9.4 Are all emergency stop buttons clearly marked on the site plan and tested regularly ?

Yes No

9.5 Does the layout of the site allowease of access of fire tenders in theevent of an emergency ?

Yes No

9.6 Is there a site plan showing thelocation of all bulk storage ofthe hazardous materials on site, and does it also show storage placesfor oil, paint, diesel oil, petrol etc ?

Yes No

9.7 Is a weatherproof site plan locatedin a prominent place near theentrance to the factory such thatthe Fire Department can use it forreference at time of an emergencyin the event that the EmergencyController’s office is not available ?

Yes No

9.8 Have telephone numbers beenposted for all emergencyservicesand expert advisers withnames ofcontacts where appropriate e.g.

Yes No

2


Fire Department, Doctor,Hospital,Police, Safety, Electrical, Gases,Chemicals etc ?

10 Fire Fighting 1 2 3 4 5

10.1

Are location of fire alarm points, fire hydrants etc complying with the site plan ?

Yes No

10.2

Is all this equipment inspectedregularly ?

Yes No

10.3

Is availability of waterfor firefighting adequate ?

Yes No

10.4

Are all fire exits and escape routesclear and free from obstruction ?

Yes No

10.5

Are all fire exit doors operable ?

Yes No

10.6

Are the Local Authorities aware ofthe nature of the risks at the site ?

Yes No

10.7

Are fire drills held at regularintervals with occasional simulationexercises ?

Yes No

2


10.8

Are the fire alarms regularly tested ?

Yes No

2

SAFETY AUDIT

CHECKLIST-SAFETY INDICATORS AUDIT

On a 1(not true) to 5 (excellent) scale please assess the following statements. Every statement could be considered as a key safety indicator (KSI) which should be worked upon if the assessment is below 3.5.

No Main Question Not applicable

Not verifiable

Your Assessment

11 Senior Management in consultation with all employees and/or their representatives, shall define and document its policy for, and commitment to occupational health and safety. The policy shall be endorsed andsupported by the most senior person within the organisation such as the Chief Executive Officer or Managing Director.

1 2 3 4 5

12 The health and safety policy is available to other parties, including regulatory authorities, suppliers, contractors, and those visiting the workplace.

1 2 3 4 5

13 The health and safety policy is maintained and reviewed periodically to ensure it remains relevant and appropriateto the organisation’s health andsafety risks.

1 2 3 4 5

14 The organisation identifies and monitors the content of all health and safety legislation,

1 2 3 4 5

2

SAFETY AUDITNo Main Question Not

applicable

Not verifiable

Your Assessment

standards, codes of practice, agreements and guidelines relevant to its operation.

15 The organisation’s procedures, work instructions and work practices reflect the requirements of current health and safety legislation, standards, codes of practice, agreements and guidelines.

1 2 3 4 5

16 Relevant personnel in the organisation are advised of, andhave ready access to, current relevant health and safety legislation, standards, codes ofpractice, agreements and guidelines.

1 2 3 4 5

17 The organisation and/or individual satisfies legal requirements to undertake specific activities, perform work or operate equipment including any:

a) licence;

b)certificate of competency;

c)notification;

d)registration;

e)approval, exemption and/or

f)other relevant requirements

1 2 3 4 5

18 Changes to health and safety legislation, standards, codes of

1 2 3 4 5

2


applicable

Not verifiable

Your Assessment

practice, agreements and guidelines generate a review of existing procedures

19 Health and safety objectives andtargets consistent with the organisation’s health and safetypolicy are documented, are appropriate to the organisation’s activities and consider:

a) legal requirements;

b)standards, codes and guidelines;

c)health and safety hazards and risks;

d)leadership and employee participation; and

e)technological developments.

1 2 3 4 5

20 Specific health and safety objectives and measurable targets have been established for all relevant functions and levels within the organisation.

1 2 3 4 5

21 The organisation sets health andsafety performance indicators that are consistent with its objectives and targets.

1 2 3 4 5

22 There is a health and safety management plan(s) that defines the means by which the organisation will achieve its

1 2 3 4 5

2


applicable

Not verifiable

Your Assessment

objectives and targets. The plan(s):

a) responds to legal requirements;

b)is based on an analysis of information relevant to the nature of the organisation’s activities, processes, products or services;

c)takes account of identified hazards and health and safety management systems failures;

d)aims to eliminate or reduce workplace illness and injury;

e)defines the organisation’s priorities;

f)sets timeframes;

g)allocates responsibility for achieving objectives and targetsto relevant functional levels;

h)states how the plan will be monitored.

23 The organisation documents its methodology to reduce health andsafety risks through hazard identification, risk assessment and development of risk control measures in accordance with the hierarchy of controls and legal requirements.

1 2 3 4 5

2


applicable

Not verifiable

Your Assessment

24 The organisation monitors its progress towards meeting the objectives and targets set in the health and safety plan and takes corrective actions to ensure progress is maintained.

1 2 3 4 5

25 Financial and physical resourceshave been identified, allocated and are periodically reviewed, to enable the effective implementation of the organisation’s health and safetymanagement system.

1 2 3 4 5

26 There are sufficient qualified and competent people to implement the organisation’s health and safety management system.

1 2 3 4 5

27 Those who represent employees onhealth and safety matters are provided with time and resourcesto effectively undertake this role.

1 2 3 4 5

28 All management can demonstrate an understanding of the organisation’s legal obligationsfor health and safety.

1 2 3 4 5

29 The specific health and safety responsibilities [including legislative obligations], authority to act and reporting relationships of all levels in the organisation have been defined, documented and

1 2 3 4 5

2


applicable

Not verifiable

Your Assessment

communicated.

30 Where contractors are utilised in the organisation, the health and safety responsibilities and accountabilities of the organisation and the contractor(s) have been clearly defined, allocated and communicated within the organisation and to the contractor(s) and their employees.

1 2 3 4 5

31 Employees (personnel )are held accountable for health and safety performance in accordancewith their defined responsibilities.

1 2 3 4 5

32 The specific requirements of tasks are identified and appliedto the recruitment and placementof personnel.

1 2 3 4 5

33 The organisation has establishedand implemented procedures for identifying and defining the health and safety training needs(including any prescribed by legislation) for all employees, contractors, labour hire employees or visitors, where relevant. A written training plan(s) based on the outcomes ofthe training needs shall be developed and implemented.

1 2 3 4 5

2


applicable

Not verifiable

Your Assessment

34 The organisation consults with employees to identify their training needs in relation to performing their work activitiessafely.

1 2 3 4 5

35 The organisation trains personnel to perform their work safely, and verifies their understanding of that training.

1 2 3 4 5

36 Training and assessment is delivered by persons with appropriate knowledge, skills and experience.

1 2 3 4 5

37 Tasks are allocated according tothe capability and level of training of personnel.

1 2 3 4 5

38 Management has received trainingin health and safety management principles and practices appropriate to their role and responsibilities within the organisation, and the relevant health and safety legislation.

1 2 3 4 5

39 The hazard identification, risk assessment and risk control process is undertaken by personnel competent in the use of the organisation’s methodology.

1 2 3 4 5

40 The organisation has identified the hazards, including public safety hazards, that are associated with its activities,

1 2 3 4 5

2


applicable

Not verifiable

Your Assessment

processes, products or services;assessed the risks involved; andimplemented suitable control measures. The risks shall be eliminated, or otherwise controlled and monitored, in accordance with hierarchy of controls and legal requirements.

41 The organisation documents all identified hazards, risk assessments and risk control plans.

1 2 3 4 5

42 Risks of identified hazards are assessed in consultation with employees having regard to the likelihood and consequence of injury, illness or incident occurring, based upon the:

a)legal requirements

b)evaluation of available information;

c)records of incidents, illness and disease;

d)the potential for emergency situations.

1 2 3 4 5

43 Identified control measures shall be implemented in accordance with the assigned risk control priorities.

1 2 3 4 5

44 Risk management procedures shallbe reviewed and revised where necessary to ensure relevance,

1 2 3 4 5

2


applicable

Not verifiable

Your Assessment

adequacy and compliance to health and safety management system requirements.

45 The organisation has a process for identifying and managing change that may impact on healthand safety.

1 2 3 4 5

46 The organisation determines those areas where access controls are required and ensures effective controls are implemented and maintained.

1 2 3 4 5

47 Health and safety requirements are identified, evaluated and incorporated into all purchasingspecifications for services.

1 2 3 4 5

48 Contractor health and safety performance is monitored and reviewed to ensure continued adherence to the organisation’s health and safety requirements or specifications.

1 2 3 4 5

49 The organisation determines their health and safety requirements prior to the purchase of goods, and communicates those specifications to the supplier.

1 2 3 4 5

50 Procedures shall be established and implemented for verifying that purchased goods conform to health and safety requirements, and any non-conformances shall

1 2 3 4 5

2


applicable

Not verifiable

Your Assessment

be addressed before the goods are put into operational use.

51 Hazard identification, risk assessment and the development of control measures are undertaken during the design stage of products, buildings or processes, or when the design ismodified.

1 2 3 4 5

52 Competent personnel verify that designs and modifications meet specified health and safety requirements.

1 2 3 4 5

53 There are procedures to ensure that materials and substances are disposed of in a manner thatminimizes risk of personal injury and illness.

1 2 3 4 5

54 Facilities and amenities in the workplace conform, as a minimum,to relevant legislation, standards and codes of practice.

1 2 3 4 5

55 The organisation documents procedures or work instructions for the safe handling, transfer and transport of hazardous substances and dangerous goods.

1 2 3 4 5

56 Comprehensive health and safety information on all hazardous substances and dangerous goods is readily accessible.

1 2 3 4 5

57 The organisation ensures that 1 2 3 4 5

2


applicable

Not verifiable

Your Assessment

hazardous substances and dangerous goods are safely stored.

58 There are ‘Permit to Work’ procedures for high-risk tasks.1

1 2 3 4 5

1 A ‘Permit to Work’ procedure is an administrative control used to reduce the risk of illness or injury arising from particular work situations. These are usually associated with construction, maintenance or cleaning operations. A Permit is a formal written authority given to appropriately trained personnel, to carry out work in areas where particular hazards or adverse conditions may be present. The permit, issued by an authorised person (not the person doing the work), confirms that the job in question has been assessed and clearly defines the safety precautions to be taken. The procedure must be rigorously enforced. The success of these procedures relies on effective training, supervision and maintenance of any necessary personal protective equipment, access and testing equipment. Permits are typically issued for entry to confined spaces, hot work activities such as welding, grinding, introduction of ignition sources in areas where flammable vapours may be present, use of radioactive sources, roof access, working at heights, high voltage installations and digging or trenching operations.

2


applicable

Not verifiable

Your Assessment

59 Where personal protective equipment is required, it is appropriate for the task, its provision is accompanied by suitable training, and it is used correctly and maintained ina serviceable condition.2

1 2 3 4 5

60 Plant and equipment is maintained and a record is kept which includes relevant details of inspections, maintenance, repair and alteration of plant.

1 2 3 4 5

61 There is a process for unsafe plant and equipment to be identified and quarantined or withdrawn from service.3

1 2 3 4 5

62 Appropriate controls are used toensure the safety of persons working on or near plant and equipment that is in the process

1 2 3 4 5

2 Personal protective equipment (PPE) is sometimes chosen as a permanent or temporary control measure to reduce personal risk exposure to certain hazards in the workplace. It is often used in conjunction with higher orderrisk controls, e.g. engineering. The use of PPE should be supported by instruction, training, supervision of use, regular maintenance and replacement procedures. The effectiveness of PPE as a risk control relies on ongoing administrative processes. It is therefore a lower order, less desirable risk control option.

3 The process should include a procedure to be developed to ensure that employees and others can report plant or equipment that appears unsafe and which may be in need of maintenance or replacement. Once the plant is confirmed as unsafe, the procedure should enable the identification and timely removal of the item of plant or equipment from service. Methods of isolation may include using a quarantine area, tagging the equipment, attaching a locking device, removing the energy source, etc.

2


applicable

Not verifiable

Your Assessment

of being cleaned, serviced, repaired or altered.4

63 Competent personnel verify that plant and equipment is safe before being returned to serviceafter repair or alteration.

1 2 3 4 5

64 Safety signs, (including regulatory, hazard, emergency information and fire signs), meet relevant standards and codes of practice, and are displayed in accordance with legal and organisational

1 2 3 4 5

4 Where there is the possibility of an inadvertent start-up of plant there must be a system to control access to the starting mechanisms or power sources. Other hazards may include the presence of toxic gases or lack of sufficient oxygen in the surrounding atmosphere, the need to energise the plant to check settings, or working on or around plant that is in operation. These situations need to be controlled to protect the safety of persons, such as cleaners, operators and maintenance employees.

Procedures for de-energising the plant, or a section of the plant, are necessary to prevent those persons coming into contact with dangerous or moving parts. For instance, a ‘lock out’ system involves the use of lockingdevices to isolate and prevent machinery becoming operational. Other engineering controls may be used to prevent plant operation or to ensure that the plant will only operate with limited, time delayed movements.

2


applicable

Not verifiable

Your Assessment

requirements.5

65 There are procedures to ensure that materials are transported, handled and stored in a safe manner.6

1 2 3 4 5

66 Individuals are supervised according to their capabilities and the degree of risk of the task.

1 2 3 4 5

5 Signs are used to assist with the communication of information about hazards at the workplace and to provide advice about responding in emergency situations. Certain warning signs are required to assist emergency personnel and authorities to effectively respond at an incident. An organisation needs to establish which safety signs are required to meet legislative requirements, industry and internal standards. To ensure a consistent approach and standard of presentation for all safety related signs, organisations should comply with the relevant legislative requirements and/or published standards.

6 Inappropriate transport, handling or storage of materials can increase therisk of injuries and illnesses. Inadequate systems may result in overloading of storage facilities, excessive reaching or lifting, restricted aisles and passageways, overcrowding or traffic congestion. The hazards associated with mobile plant are well documented. The organisation should aim for systems to manage mobile plant which are consistent with legal requirements, industry best practice and latest technology.

(Note: This criterion does not refer to hazardous substances or dangerous goods).

2


applicable

Not verifiable

Your Assessment

67 There are supervisory arrangements that ensure that tasks are performed safely and work instructions and proceduresare followed.7

1 2 3 4 5

68 There is a documented process which requires the organisation to identify potential health andsafety hazards, (including public safety hazards), assess the potential risks and determine appropriate risk control strategies when providing its goods and/or services to others whether undercontract or otherwise.8

1 2 3 4 5

7 Supervision will provide some confidence that tasks are performed in accordance with work instructions or procedures. The organisation should determine the resources, the arrangements and individual competencies required to deliver the necessary level of supervision.

8 Organisations that tender to supply goods or services to external parties,and enter into formal contracts, need to consider the health and safety implications of the proposed work. This reduces the possibility of injury and illness resulting from equipment failure, defective products or poor work practices. Public safety issues need to be included in these considerations, as do the suitability of plant and equipment, training of employees, site specific hazards, and legislative requirements.

The organisation needs to protect the health and safety of its employees whether or not the workplace is owned by and under the control of the employer. For example, community care employees, sales representatives and service technicians. The organisation may need to liaise with the customer to determine the necessary health and safety arrangements and to assess theenvironment in which the employees will be expected to work. For example, information may be gathered on environmental or other local hazards, what site induction and specific training will be provided, permit to work systems, status of equipment to be used, what supervision will be provided,

2


applicable

Not verifiable

Your Assessment

69 Customer-supplied goods and services used in the organisation’s work processes are subject to hazard identification, risk assessment and control prior to use.9

1 2 3 4 5

the name of the management representative for health and safety, the restricted areas and emergency and first aid response.

9 Customer-supplied goods and services are those which are supplied to the organisation by a customer. The organisation then performs work on that product or uses that service as part of another task.

Examples are raw materials or components supplied by a customer who requires the organisation to mix or process the materials into a product. Repair type industries routinely perform work on customer-supplied product.Testing laboratories provide services involving customer samples, includinginfectious and hazardous substances.

When customer-supplied goods or services are received they need to be assessed for safety in the same way as any other goods or services used by the organisation. This may involve undertaking a hazard identification and risk assessment prior to use. If necessary, customer-supplied product should be quarantined from other products until suitably assessed. Systems are needed which would identify any damage, deterioration, or changes in composition which could impact on health and safety at the workplace.

2


applicable

Not verifiable

Your Assessment

70 All substances in containers andtransfer systems are identified and clearly labelled to avoid inadvertent or inappropriate use.10

1 2 3 4 5

10 It is important that raw materials and other products can be easily identified to avoid incorrect use and subsequently any potential harm to people or damage to plant or property. Where this is likely, the packages, containers, tanks and pipelines should carry appropriate labels or other markings to meet the relevant standards and ensure the contents can be identified. In particular, hazardous substances and dangerous goods must beclearly and durably labelled to ensure the safety of persons required to handle those substances.

Where appropriate, non-hazardous substances should be clearly labelled to distinguish them from those that are hazardous. Where substances are decanted into smaller containers, the container must be suitable for the contents and clearly labelled. Labelling must include the relevant safety information.

The organisation should also ensure that any substances which are stored onsite are known and labelled appropriately, e.g. cleaning materials, gardening chemicals, etc. which might be stored for use by contractors.

2


applicable

Not verifiable

Your Assessment

71 Potential emergency situations have been identified and emergency procedures are documented and regularly reviewed.11

1 2 3 4 5

72 Potential emergency situations have been identified and emergency procedures are documented and regularly reviewed.

1 2 3 4 5

73 The organisation has allocated overall responsibility for control of emergency situations to specified individuals and communicated this information toall personnel.

1 2 3 4 5

74 Employees receive training and practice in emergency procedures

1 2 3 4 5

11 Emergency situations, which could originate both on and off-site, need tobe identified prior to the development of suitable emergency procedures.

On-site emergency situations may include:

•a hazardous chemical leak on the premises;a fire;a bomb threat or other threatening situation; or a medical emergency.

Off-site emergency situations could include:

•a building or a grass fire on an adjoining property;a chemical leak from anearby chemical complex; or a company vehicle involved in a road accident.

Documented arrangements must at least cover evacuation procedures and should be developed where possible with the help of expert advice. A regular review process will ensure that the procedures remain appropriate to the likely emergencies. It is logical to review procedures when alterations are made to the site, or in response to changes in the businessenvironment, e.g. security alerts. The frequency of reviews may also dependon the complexity of the procedures.

2


applicable

Not verifiable

Your Assessment

appropriate to their allocated emergency response responsibilities and the degree of risk.12

75 Competent persons have assessed the suitability, location and accessibility of emergency equipment.

1 2 3 4 5

76 Emergency and fire protection equipment, exit signs and alarm systems are inspected, tested and maintained at regular intervals.

1 2 3 4 5

12 To ensure an effective response to emergency situations, all employees need to be trained in the relevant emergency procedures. For instance, rescue and first aid procedures need to be rehearsed by employees who are required to work in confined spaces. Persons who are appointed to manage anemergency should receive training that will enable them to discharge those responsibilities confidently and competently. Employees also need to have the knowledge and confidence to take immediate action. Practices and rehearsals should cover all emergency situations, e.g. mock fire situations, medical emergencies, bomb threats, etc.

2


applicable

Not verifiable

Your Assessment

77 A dangerous goods and/or hazardous substances manifest orinventory system is in place andin accordance with legal requirements.13

1 2 3 4 5

78 The organisation has assessed its first aid requirements, and the first aid system in place isappropriate to the organisational risks.

1 2 3 4 5

79 The organisation has systems in place to assist employees who are exposed to critical incidents at work.14

1 2 3 4 5

13 An organisation needs to keep track of the range and quantity of dangerous goods and hazardous substances that are stored on its premises. This helps to manage storage areas, ensure that all Material Safety Data Sheets are obtained and, where required, manage notification requirements to the relevant authorities.

The inventory or manifest should list all dangerous goods and hazardous substances, and the quantities used or produced at the workplace. The inventory needs to be updated when new dangerous goods / hazardous substances are introduced or old ones are discontinued.

The inventory/manifest should be readily available and accessible to emergency authorities

14 A critical incident is any incident which directly or indirectly causes significant distress to a person, either at the time it occurs or later. Critical incident stress management is required in many industries, e.g. banking, emergency services, health care, etc.

As part of the hazard identification and risk assessment process, an organisation should identify the tasks or areas where employees may be exposed to critical incidents as a result of their work.

There should be procedures in place to support and assist employees.

2


applicable

Not verifiable

Your Assessment

80 There is a health and safety inspection, testing & monitoringprogram that is documented and implemented that:

a) meets legal requirements

b)defines intervals based on identified risk;

c)incorporates a reporting and corrective action process;

d)uses workplace specific checklist(s);

e)monitors conformance to the organisation’s safe working procedures; and

f)monitors the effectiveness of control measures.15

1 2 3 4 5

81 Inspections seek input and involvement from the personnel who are required to undertake the tasks being inspected.16

1 2 3 4 5

82 Engineering controls, including safety devices, are regularly inspected and tested to ensure their integrity.17

1 2 3 4 5

83 Monitoring of the workplace environment (general and personal) is conducted where appropriate and records of the

1 2 3 4 5

Effective system components will include policy, procedures, staff trainingand the provision for defusing, debriefing and counselling services by appropriately trained personnel.

2


applicable

Not verifiable

Your Assessment

results are maintained.18

84 Inspection, measuring and test equipment related to health and safety monitoring is appropriately identified, calibrated, maintained and stored.

1 2 3 4 5

85 The organisation has identified those situations where employee health surveillance should occurand has implemented systems to conduct this surveillance. The health of employees exposed to specific hazards is monitored, recorded, reported and action istaken to address any adverse effects.

1 2 3 4 5

86 There is a procedure, which includes involvement of operational line management, forthe investigation of injuries, illnesses, incidents and other systems failures impacting on health and safety.

1 2 3 4 5

87 Investigations shall:

a) be undertaken by a competent person(s) in accordance with theorganisation’s procedure;

b)identify the factor(s) that led to the injury, illness, incident or other system failure;

1 2 3 4 5

2


applicable

Not verifiable

Your Assessment

c)review the identified hazards,assessed risks and effectivenessof the control measures; and

d)recommend appropriate control measures and corrective actions.19

88 Responsibility is assigned to identified personnel for implementing and reviewing the effectiveness of corrective actions arising from investigations.

1 2 3 4 5

89 Corrective actions are discussedwith personnel affected prior toimplementation.

1 2 3 4 5

90 There are effective systems for management of health and safety records including their:

a) identification and traceability;

b)collection, indexing, filing;

c)access and confidentiality;

d)retention and maintenance;

e)protection against damage, deterioration or loss;

f)retrieval; and

g)disposal.20 21

1 2 3 4 5

91 There is a health and safety management systems audit

1 2 3 4 5

2


applicable

Not verifiable

Your Assessment

procedure that covers:

a)audit scope;

b)audit frequency;

18 The need for workplace monitoring of hazards such as noise, fumes, gases,vapours, dusts, radiation, cold, heat, etc. should be identified during thehazard identification and risk assessment process. Such monitoring may include personal dosimeters as well as static area monitors. The monitoringshould be conducted by competent personnel and records maintained. Additional monitoring requirements may exist where contaminated air, insufficient oxygen, or flammable vapours may be present in a confined space.

19 When an incident or more serious situation occurs, there needs to be a re-examination of the system which is implemented to manage the hazard, andwhether it is suitable. To do this, the organisation needs to review the situation from first principles, i.e. recheck that all the hazards were initially identified, and whether the risks were correctly assessed before the control measures were selected. Investigations too often seek someone to blame when things go wrong, instead of trying to find out what really caused or contributed to the unexpected outcome. The choice of risk controls, system of work, standard of training, supervision and reporting of previous incidents are some of the factors that might need to be considered.

The incident investigation reports should specify what remedial action is needed to prevent similar incidents occurring in the future. As some recommended actions may take time to implement (e.g. training), each recommendation should have an allocated time frame to allow those responsible to schedule their tasks. It would be expected that recommendations would, where possible, concentrate on systems and processesrather than on the deficiencies of individual workers.

20 An organisation needs to identify what health and safety records it requires to be kept and to determine how they will be collected and stored.The safe and organized storage of records will ensure that they are readilyavailable when required to those who are authorised to look at them. The disposal of the records will depend on the organisation’s needs and any specific legislative requirements for their retention, e.g. health

2


applicable

Not verifiable

Your Assessment

c)audit methodologies;

d)auditor selection, independence, competencies and responsibilities;

e)input from a representative

surveillance and risk assessment documentation.

21 Some examples of records that should be kept by an organisation are listed below:

o qualifications, skills, knowledge, competency and certifications;

o induction and training;

o inspection and test reports;

o audit reports;

o internal management system review reports;

o minutes of management review meetings;

o incident reports/accident reports and investigations;

o minutes of health and safety meetings, including health and safety executive meetings relating to health and safety

o statistical analysis of health and safety data;

o health and safety action plans;

o safety equipment records;

o hazardous substances and dangerous goods inventories;

o design reviews and approvals;

o risk management documentation.

o records pertaining to the engagement of contractors and their compliance with health and safety requirements

o records associated with supplier compliance including suppliers of goods,services and labour hire.

2


applicable

Not verifiable

Your Assessment

sample of personnel; and

f)the reporting of results.22

92 Scheduled audits are conducted to verify whether the health andsafety management systems:

a)comply with planned arrangements;

b)have been properly implementedand maintained; and

1 2 3 4 5

22 Persons selected as health and safety management systems auditors should have the relevant technical knowledge as well as training and understandingof auditing techniques. This includes technical competence in health and safety. A proficient auditor must be able to organize the work and adequately document all findings, as well as have good interpersonal skills.

Auditors should be able to carry out their work freely and objectively, a requirement that is difficult to achieve if they have been directly involved in the areas or systems under review. Therefore auditors may be selected from different departments or locations, or the organisation may choose to use external auditors. There are advantages and disadvantages with using external providers. The quality of the independence, objectivityand fresh viewpoint gained from using an external auditor needs to be weighed against the opportunity to enhance internal skills and the use of the in-house knowledge.

The audit procedures should require that the auditors confirm aspects of the system by observation and discussion with the people who work within the system. To provide confidence, those discussions should involve a reasonable number of the relevant employees, including the employee health and safety representatives for the area. However, it is important to include safeguards that will allow for employees to speak freely. The auditprocess must test the performance of the system, not target individuals.

The auditing procedures also need to state who carries the responsibility for the various stages of the audit activity and the standard of reporting required.

2


applicable

Not verifiable

Your Assessment

c)are effectively implemented across the organisation.

The audit program takes into consideration the significance of health and safety risks and the results of previous audits.23

93 Deficiencies highlighted by the audits are prioritised and progress monitored to ensure corrective action is implemented.

1 2 3 4 5

94 Senior management oversee a comprehensive documented review of the health and safety management system at defined intervals to ensure its continuing suitability and effectiveness in satisfying the organisation's stated health andsafety objectives and targets. The reviews take into account health and safety management systems audit results, performance indicators, resources, business continuity,

1 2 3 4 5

23 An organisation should have an internal mechanism to verify that all aspects of the health and safety management system are effectively operating as planned. This verification could be achieved by conducting a complete system audit or audits of parts of the system at more frequent intervals.

Audits should focus more regularly on those areas which carry the greatest risk exposure, the highest level of administrative controls and where problems have been identified in the past. The audit schedule should also take into account the complexity of the systems and the organisational structure.

2


applicable

Not verifiable

Your Assessment

changing circumstances and a commitment to continual improvement.24

95 Recommendations arising from health and safety management systems reviews generate actionsto improve performance.25

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24 Senior management have a responsibility to ensure that the systems in place within an organisation continue to meet the needs of that organisation. This can only be successful if the management system is reviewed on an ongoing basis like other aspects of the business. While senior management may not conduct the review themselves, they should closely manage the process and be accountable for the results.

The review should use what is known about the current health and safety performance of the organisation to set future direction. Senior management are also in a position to foresee or plan any other issues which may impacton the health and safety management system, such as changing suppliers, opening new outlets, setting up new production lines, or decommissioning older areas. Any upcoming legal and industry requirements also need consideration.

The organisation’s health and safety policy and objectives provide the framework for the system. It is the senior management’s prerogative and responsibility to alter that policy and the associated objectives where necessary, to better match the health and safety needs of the organisation.

25 Examples:

Records should be used to review and evaluate the effectiveness of the health and safety management system to prevent injury and illness in the workplace.

The outcomes of the review process should be used to modify and amend system’s criteria such as policy, objectives, responsibilities, planning arrangements procedures and instruments (tools and forms) to ensure relevance, currency and continuous improvement.

Review outcomes should be used to implement performance improvement strategies and ensure continuous improvement.

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SAFETY AUDIT

RECAPITULATIVE AUDIT SCHEMA

The following schema are giving the essence of the safety audit method.

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SAFETY AUDIT

Figure 2 Generic safety audit steps

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SAFETY AUDIT

Figure 3 Safety audit assessment schema

safety audit method

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