Basics of Auditing

An audit is a systematic and independent examination to determine whether quality activities and related results comply with planned arrangements and whether these arrangements are implemented effectively and are suitable to achieve objectives. Safety audits may be internal, completed by safety staff, or external, performed by hired consultants of others. Safety audits generally examines the quality of a safety management system, but may also be conducted to evaluate the design and performance of individual programs, plans, processes, procedures, and practices. The safety audit is an effective tool to determine if and what required and best-practice improvements are needed in a company's safety function.

Safety audits are intended to determine the extent to which the safety management system, its programs, plans, processes, procedures, and practices do the following:

1. 1. Achieves its stated goals and objectives.
2. 2. Conforms to OSHA and other regulatory agency requirements.
3. 3. Complies with company vision and mission.

Sample Safety Management System (SMS) Audit

The sample audit and safety inspection checklists contained herein are designed to help you evaluate the quality of your company's safety management system design and performance. It should be revised as need to best meet your organization's needs. SMS audits should be reviewed at least annually to look at each of the critical components of the SMS to determine what is working well and what changes, if any, are needed. When you identify needs that should be addressed, you have the basis for a new safety and health objective for program improvement. This audit does not replace any provision, standard, or rule contained in the OSHAct of 1970.

_____ Does the company have a comprehensive written safety and health program that addresses the following key elements:

1. Management commitment;

2. Employee involvement;

3. Management and labor accountability;

4. Incident and accident investigation policy and procedures;

5. Safety training;

6. Hazard identification and control; and

7. Periodic program review.

_____ Has responsibility for developing and monitoring the safety and health program been delegated to a person or office?

_____ Has responsibility for carrying out the safety and health program been assigned to all levels of the line organization (managers and supervisors) and employees?

_____ Are managers and supervisors carrying out their safety and health supervision, training, and enforcement responsibilities?

_____ Are employees carrying out their safety and health compliance and reporting responsibilities?

_____ Is there an accountability system for ensuring managers and supervisors carry out their safety and health supervision, training and enforcement responsibilities?

_____ Is there an accountability system for ensuring employees comply with safety and health rules and hazard/injury reporting responsibilities?

_____ Is there a system that provides communication with affected employees on occupational safety and health matters (meetings, training programs, posting, written communications, a system of hazard reporting, etc.)?

_____ Does the communication system include provisions designed to encourage employees to inform the employer of hazards at the work site without fear of reprisal?

_____ Is there a system for identifying and evaluating workplace hazards whenever new substances, processes, procedures or equipment are introduced into the workplace, and whenever the employer receives notification of a new or previously unrecognized hazard?

_____ Are periodic inspections for safety and health scheduled and carried out by managers and supervisors, and the safety committee?

_____ Are inspection records kept which identify unsafe conditions and practices?

_____ Is there an incident and accident investigation program?

_____ Are unsafe and unhealthful conditions and work practices corrected immediately, with the most hazardous exposures corrected first?

_____ Do employees know the safety and health hazards specific to their job assignments?

_____ Is training provided to all employees when they are first hired and when they receive new job assignments?

_____ Are training needs of employees evaluated whenever new substances, processes, procedures, or equipment are introduced into the workplace, and whenever the employer received notification of a new or previously unrecognized hazard?

_____ Are records kept documenting safety and health training for each employee by name or other identifier, training dates, types of training, and training provider?

_____ Does the employer have a labor-management safety and health committee?

Source: OSHAcademy

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