Unit GIC1 · Element 4: Health and Safety Monitoring and Measuring
Pages in this chapter (6 of 9)
4.3 Health and Safety Auditing
What an audit is
ISO 45001:2018, clause 3.32, defines an audit as a "systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled".
Audit criteria are the standard or legislation against which the audit is carried out, for example ISO 45001:2018.
Why management systems should be audited
The purpose of an OHS management system audit is to identify both the strengths and the weaknesses of the workplace's OHS programme. It is also used to:
- make sure appropriate management arrangements are in place and giving the intended results
- find weaknesses in safety processes and set out the corrective actions needed
- make sure adequate risk control systems exist, are carried out, and match the hazard profile of the organisation
- find areas where improvement is needed to protect workers from injury and illness
- make sure the OHS programme can help the organisation meet regulatory requirements
- check that safety and health programme activities are properly documented
- discover and identify potential hazards
- benchmark OHS practice
Audits and inspections compared
Audits and inspections are not mutually exclusive. It is common for an organisation to undergo both at the same time. The main differences are these.
| Audit | Inspection |
|---|---|
| Focuses on the management system | A simpler process of checking the workplace for uncontrolled hazards and dealing with any found |
| Evaluates evidence against defined criteria, using records, interviews and observations | Examines conditions and practices, and may use questions, records or measurements as well as observation |
| Needs competence in the audit method, criteria and work within scope | Needs competence appropriate to the hazards inspected; some inspections require specialist expertise |
| Can identify immediate and longer-term system improvements | Can identify immediate defects and issues requiring planned technical correction |
| May take several days or weeks | Takes less time |
| Can be internal or external | Normally done by internal resources |
| Needs agreed scope, criteria, evidence and resources | Needs risk-based planning, access, suitable methods and follow-up |
| Aims to improve systems at a high level | Focuses on activities and equipment at operational level |
Types of audit
- Product or service audit. Assesses whether a company's production line meets its stated quality targets. It focuses on one or more products or services and judges their fitness for use, and whether they meet the design requirements.
- Process audit. Looks at particular processes, activities or functions in the organisation. The auditor compares the actual process with its documented requirements.
- System audit. An audit of a management system such as ISO 45001:2018. It is a documented activity to verify, by examining and evaluating objective evidence, that the applicable elements of the system are appropriate and effective, and have been developed, documented and carried out in line with the specified requirements.
Page 6 of 9 in this chapter · page 36 of 39 in the book
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Summary notes for Element 4 · Cheat sheet · Glossary. A study aid, not published or endorsed by NEBOSH.