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It is recommended that a team be established to conduct safety audit. Each team should be comprised of at least three to five people representing a variety of departments. To ensure neutrality and objectivity, it is suggested that team members should not audit their own department. Audits may also be conducted by qualified consultants. Audit Team members should review all existing safety program material in advance of the safety audit. Safety Audits are conducted for the purpose of health, safety, and fire hazard identification. During these surveys, assessments are made for compliance to applicable regulations and fire codes as well as the detection of unsafe hazards. Audits also provide an evaluation of workplace compliance to Occupational Safety and Health Administration (OSHA) standards relating workplace and worker safety.

Work Site Safety Audits

Audits of work sites are conducted for the purpose of health, safety, and fire hazard identification. During these surveys, assessments are made for compliance to applicable building and fire codes and the detection of unsafe hazards.

Work site audits also provide an evaluation of compliance to Occupational Safety and Health Administration (OSHA) standards relating to ergonomics, respirator use, hearing conservation, blood-borne pathogens and use of personal protective equipment. Ergonomics, the study of work and the relationships of carious stressors on the individual, can be identified through the building audits. The objective of ergonomics is to adapt the job and workplace to the worker by designing tasks, workstations, tools, and equipment to the abilities of the worker. Conducting a single annual comprehensive safety audit can actually hide the facts and hazards that you may want to discover. The single annual audit approach may tend to create a safety "ramp up" effect, by managers and supervisors, as the audit time approaches.

A better approach may be to schedule various specific safety audits throughout the year on a ten month schedule. The eleventh month should be reserved for a comprehensive annual audit. Consider using the same topic schedule for your annual refresher training program.

What safety audits are not

Safety Audits are primarily to check the effectiveness of the various programs, they do not take the place of regular facility inspections. Facility safety inspections for hazards and their control should be performed on a weekly basis by supervisors and on a monthly basis by management.

The big four

There are four basic questions a safety audit should answer. The persons or team designated to conduct the audits should take a fact finding approach to gather data. These auditors should be familiar with both the company program and the various local, state and federal requirements.

All safety audit comments, recommendations and corrective actions should focus on these four questions: 1. Does the program cover all regulatory and best industry practice requirements? 2. Are the program requirements being met? 3. Is there documented proof of compliance? 4. Is employee training effective – can and do they apply specific safe behaviors?

Phase One - Safety Audit Preparation

Step One - one week prior to the audit, inform all affected managers and supervisors. They should be directed to have all records, documents and procedures available when the audits starts.

Step Two - Review all past program area audits and corrective action recommendations.

Step Three - Review all company, local, state and federal requirements for the specific program. Become familiar with the document, inspection and training requirements.

Step Four - Determine the scope of the audit. This can be based on accident and inspection reports and input from various managers. Set a start and stop time & date for the audit.

Phase Two - Fact Finding

A fact finding event is used to gather all applicable information. Auditors should make an effort not to form an opinion or make evaluative comments during this phase.

A Team Approach - If a safety audit team is used, make assignments to each person that defines their area of inspection. Ensure they have the proper program background information and documents.

Safety Audit Areas - most audits can be broken down into these areas:

Employee knowledge – OSHA standards require "effective training" - an effective program ensures that employees have the knowledge required to operate in a safe manner on a daily basis. The level of knowledge required depends on the specific activities in which the employee is involved and their specific duties and responsibilities. Generally, managers and supervisors should have a higher level of knowledge than general employees. This includes practical knowledge of program administration, management and training. They should be able to discuss all elements of each program that affects their assigned employees. Many programs divide employees into these two groups- authorized employees and affected employees. Authorized employees must have a high level of working knowledge involving hazard identification and hazard control procedures. Determining employee level of knowledge can be achieved though written quizzes, formal interviews or informal questions in the workplace.

Written Program Review - during the safety audit, a comprehensive review of the written program should be conducted. This review should compare the company program to requirements for hazard identification and control, required employee training and record keeping against the local, state and federal requirements. Additionally, if applicable, the company insurance carrier should be asked to conduct an independent written program review.

Program Administration - This part of the safety audit review checks the implementation and management of specific program requirements. This section asks these and other similar questions: • Is there a person assigned and trained to manage the program? • Are specific duties and responsibilities assigned? • Are sufficient assets provided? • Is there an effective and on-going employee training program?

Record & Document Review - Missing or incomplete documents or records is a good indication that a program that is not working as designed. Records are the company's only means of proving that specific regulatory requirements have been met. Record review also includes a look at the results, recommendations and corrective actions from the last program audit.

Equipment and Material - This area of an safety audit inspects the material condition and applicability of the equipment for hazard control in a specific program. Examples of audit questions for this area are: • Is the equipment in a safe condition? • Is there adequate equipment to conduct tasks safely? • Is personal protective equipment used and stored properly? • Is equipment, such as exit lights, emergency lights, fire extinguishers, material storage and handling equipment designed and staged to control hazards effectively?

General Area Walk-Through - While safety audits are not designed to be comprehensive physical wall-to-wall facility inspections, a general walk-though of work areas can provide additional insight into the effectiveness of safety programs. Auditors should take written notes of unsafe conditions and unsafe acts observed during the walk-through.

Phase Three - Review of Findings of the safety audit

After all documents, written programs, procedures, work practices and equipment have been inspected, gather your team and material together to formulate a concise report that details all areas of the program. Remember to focus on the four basic questions mentioned earlier. Each program requirement should be addressed with deficiencies noted. Include comments of a positive nature for each element that is being effectively managed.

Phase Four - Recommendations from the safety audit

Develop recommended actions for each deficient condition of the program. Careful forethought should be applied to ensure that this is not a process that simply makes more rules, additional record keeping requirement or makes production tasks more difficult. Examine the manner and means in which the current deficient elements are managed to determine if there is a simpler procedure that can be employed.

Phase Five - Corrective Actions from the safety audit

Development of corrective action should involve the managers and supervisor who will be required to execute the corrections. Set priorities based on level of hazard. All corrective actions should be assigned a completion and review date. Records of completed corrective actions should be reviewed through the normal management chain and then be filed for use during the next audit.

Phase Six - Publish the Safety Audit results

It is essential to let all supervisors and manager know the basic findings and recommendations. Don’t forget to acknowledge those departments, managers and supervisors who are properly executing their responsibilities. After a few audits, everyone will want to show up on the plus side of the results, making the safety mangers job much easier..

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• SafetyCulture
• Safety Audit

A Quick Guide to the Functions and Hows of a Safety Audit

Find out what a safety audit is, why perform one, the functions of a safety audit, and how to conduct a safety audit within your organization.

What is a Safety Audit?

A safety audit is a systematic process aimed at identifying the hazards and risks in a workplace and assessing whether existing measures comply with applicable industry standards and regulations. Safety audits collect relevant information about the organization’s safety, reliability, efficiency, and effectiveness. During the audit, auditors observe the work environment, equipment, and different processes to determine the organization’s adherence to safety practices, identify areas for improvement, and ensure that safety protocols are being followed properly.

Safety audits are different from on-the-spot inspections that companies perform regularly. When conducting a safety audit, the auditor needs to comprehensively review the company, find issues, and propose solutions to the issues, along with different ways to enhance the organization.

A safety audit needs to be thorough. Auditors can’t leave any stone unturned as this can result in issues in the future. Through a safety audit, organizations can identify risks that they may not have caught during regular operations and mitigate the risks to keep the employees safe.

Why Perform a Safety Audit?

Depending on applicable regulations and industry standards, safety audits may be required for some industries .  For others where safety audits are not required, however, they are still a great practice for organizations to help them prevent any incidents. It’s important for organizations to gauge their current safety practices to assess their effectiveness and to identify any other risks that they have yet to address.

When running a business, safety should be a top priority. That said, workplace safety is a dense and, at times, complex undertaking that requires a multi-angle approach. It’s easy to miss certain risks or issues, and a safety audit is designed to thoroughly assess the organization’s safety habits to determine its current state.

The biggest benefit of conducting a safety audit is improving the culture in an organization and establishing good habits in employees. Other reasons organizations may want to conduct a safety audit include:

• Finding risks and hazards early and addressing them right away
• Showing the employees that the company is dedicated to their health and safety
• Ensuring that the organization is complying with relevant safety standards
• Identifying areas wherein the organization can improve their safety habits
• Proposing and facilitating improvements
• Determining whether or not the teams are using safety programs and protocols effectively

What are the Functions of a Safety Audit?

Companies can choose to conduct their safety audits internally and build their auditing team. However, it’s generally more effective when organizations hire an independent third-party organization to conduct the audit for them as it saves them time while also ensuring a non-biased audit.

And when the team conducts an audit, the main goal of these audits is to keep the workers out of immediate danger and unnecessary risk. Regardless of the organization’s industry, there are going to be risks and hazards in the workplace that employees may face during operations.

Some risks can be eliminated, while others can only be mitigated. The goal of a safety audit is to determine whether the organization’s safety protocol is effectively accomplishing this goal, whether it’s covering all the risks, and if the employees are following the protocol while on the job.

Safety audits also exist to aid organizations in designing a proper safety program. Since a comprehensive audit will determine all operational and safety risks within an organization, the auditing team can also propose potential solutions and methods to these risks and hazards, which further improves employee safety.

Additionally, certain industries have their own safety requirements that they need to follow during operations. With a safety audit, companies can determine whether or not they are abiding by the appropriate protocols designed to keep employees safe.

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How to Conduct a Safety Audit

Safety audits can be conducted internally or through a third party. The exact elements and steps in conducting a safety audit may vary depending on the organization, employees, industry, and other factors. However, here are some of the steps that are a part of most, if not all, safety audits.

The first step in conducting a safety audit involves planning. This includes determining the auditing team, the scope of the audit, and which areas of the organization the audit targets. This is a crucial part of the process as it serves as the foundation upon which the rest of the audit is built.

The next step for the team is executing the audit according to their strategy. During this phase, auditors will assess current safety practices and note down any potential risks that may not have been acknowledged before. Executing a safety audit requires the team to strictly follow the plan and make sure they leave no stone unturned. You can use a safety audit checklist to serve as the team’s tool in performing the audit.

Create Your Own Safety Audit Checklist

Eliminate manual tasks and streamline your operations.

Generating a Report

With the data from their assessments, the team can start building a report. Safety audit reports must be comprehensive and should contain everything that the auditors caught while executing their auditing plan. This includes any violations, risks, and protocol deviations that they find.

Identify Corrective Action

From the report, the auditing team can begin identifying potential solutions and corrective actions to the problems and issues they outlined in their report. This part of the process must include input and attendance of the organization’s managers, as they will later be in charge of implementing the corrective actions.

Once the audit is complete, the final step is publishing the results. It’s crucial that the results of the audit be available to all the employees in the organization.

Conducting a Comprehensive Safety Audit with SafetyCulture (formerly iAuditor)

Why safetyculture.

Even with an auditing team, conducting a safety audit is a lot of work, and it’s important that everything is working according to plan for a successful audit. This is why organizations need to use all the tools at their disposal to make it easier to perform the audit and to ensure that the audit is comprehensive.

And one comprehensive workplace tool that teams can use when conducting a safety audit is  SafetyCulture . This is a tool that can help improve the implementation of safe practices in  any industry  through effective safety audits.

With SafetyCulture, it will be much easier to conduct a safety audit that identifies all the issues in the workplace with proper and achievable solutions. Some of the key SafetyCulture features to help with safety audits include:

• A  set of smart inspection checklists  for different industries that teams can use to ensure that they follow all the steps and cover all bases when assessing an organization’s safety practices
• Generate report s  in minutes to save auditors time and effort when gathering and presenting data
• A reporting system to allow workers to  report any potential workplace and safety issues  they run into
• Assigning action s  to ensure everyone on the team understands their job and how to do it
• Integrations  with tons of different workplace apps that can further streamline the safety audit process
• Training  modules available in-app to ensure workers are aware of proper safety procedures and auditing practices

FAQs about Safety Audits

What is a safety audit checklist.

Safety audit checklists are a set of tasks that auditors need to do, along with areas and tools they need to check when conducting an audit. These checklists are essential to ensure that everyone on the team accomplishes all the tasks necessary for the audit.

Who Conducts Safety Audits?

Organizations may conduct safety audits internally with their own team. However, safety audits are more effective when conducted by an independent third party.

Does OSHA Require Safety Audits?

OSHA generally doesn’t require safety audits within an organization, but certain job types require safety audits to be conducted. OSHA’s stance on safety audits is that they are an effective method of developing a safety plan for the organization’s specific processes and operations.

What is the Difference Between a Safety Audit and Safety Inspection?

While they both assess a company’s safety habits, safety audits and safety inspections are not the same. An audit is more in-depth and performed to improve and assess a company’s safety. An inspection is typically done to ensure compliance, which may include checking whether or not the appropriate inspections have been performed.

Leon Altomonte

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Safety Audits: Four Key Questions and How to Do Them Right

Toby graham.

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Is your workplace safety program working as intended? Are your people as safe, healthy, and productive as possible?

The only way to find out is through a safety audit.

Also called health and safety audits  or EHS audits  ( “EHS” stands for “environment, health, and safety” ), safety audits are the gold standard for testing workplace safety program effectiveness. Safety audits help employers keep their workers out of danger, avoid legal risks, increase efficiency, and determine whether they’re in compliance with federal and state regulations.

As such, safety audits are an essential component of any safety program. And before long, if you conduct them regularly, the audits will pay for themselves.

Here’s everything you need to know about safety audits and why your organization should conduct them on an ongoing basis.

What Is a Safety Audit?

An audit is a systematic review of something. It’s a sweeping, rigorous, and sometimes-painful process meant to verify that what’s supposed to be happening is  happening—or that what was claimed to have happened did  actually happen.

Audits are typically conducted by independent entities rather than the person or organization undergoing the audit. In other words, you can’t audit yourself. You may not know what to look for, and even if you did, you couldn’t be objective about it.

Consider an Internal Revenue Service audit, for instance. When someone gets audited by the IRS, a government agent combs through that person’s financial records to check for errors and missing information and to determine if the individual filed their taxes correctly. The taxpayer couldn’t do this themselves, as a)  they’re probably not an accounting expert and  b)  would have an incentive to overlook errors and misrepresent their finances.

Most people dread the possibility of an IRS audit, but if they really have nothing to fear if they’ve been doing what they’re supposed to be doing—namely, keeping detailed, accurate records and paying what they owe on time.

A safety audit is similar in terms of depth and objective analysis. However, unlike an IRS audit, there’s no immediate penalty if errors emerge—as long as you take action quickly.

Audits are considered a best practice, especially for large and mid-sized employers. The Occupational Safety and Health Administration  recommends that employers of all kinds conduct regular safety audits  “to promptly correct all violations of the [Occupational Safety and Health Act] that are discovered in order to ensure safety and health in the workplace.” And while OSHA doesn’t mandate them, the agency increasingly expects to see them— shaming  and imposing hefty fines  on companies that don’t conduct them regularly.

During a safety audit, an auditor or team of auditors scrutinizes your organization’s safety program for gaps, problems, and inefficiencies. The auditing party has 3 basic priorities:

• Uncover issues that endanger people’s health and safety.
• Identify areas of non-compliance with occupational health and safety regulations.
• Assess other opportunities to improve the program.

A good safety auditor will tell you in no uncertain terms what your organization is doing well and what needs to be fixed. As with an IRS audit, there’s nothing to fear if your safety program is operating as it should. But if your people are exhibiting unsafe behaviors or working in hazardous conditions, if your program is deficient or cumbersome—or if you have no formal program in place—you’ll have some work ahead of you.

Fortunately, your auditor may be able to help you get on the right track quickly and with minimal expense. Many safety auditors are also safety consultants , meaning they specialize in improving organizational safety and health. They’re like physicians—diagnosing the symptoms of poor EHS performance and then treating any underlying causes.

Safety Audits vs. Safety Inspections: What’s the Difference?

Safety audits and safety inspections are not the same things. Yes, they’re similar in that both involve an examination of an organization’s EHS program, and yes, the two terms are often used interchangeably. 

That said, each term has a specific meaning, and mixing them up could get you in trouble. 

An audit is distinct from an inspection in 2 fundamental ways:

1. Safety audits are more in-depth than safety inspections. 

2. Safety audits and safety inspections are typically performed by different people. 

Learn more in our article: Safety Audits vs. Safety Inspections: What’s the Difference? 

What Does a Safety Audit Look Like?

Whoever performs it, a safety audit usually involves the same basic steps:

1. Preparation. An organization decides that it’s time for an audit, and selects a safety auditor. Many companies have access to auditors through their EHS solution providers; others need to look within their networks or search for the right individual or firm to hire. The parties then get in touch and plan for the audit, determining scope, timeline, and objectives. At this point, the auditor may request some initial documentation and information from the organization, or simply set a date to visit the company’s facilities.

2. Conducting the audit.  One or more safety auditors investigate the organization’s premises, procedures, people, and programs, paying close attention to any clear or potential hazards, safety issues, and regulatory violations. Many aspects of the process can occur electronically, but most audits necessitate a physical visit. Depending on the style and type of audit being conducted, an auditor may use a checklist, grade the organization in various categories, and/or jot down qualitative thoughts and observations. Auditors often take pictures, interview employees and organizational leadership, and collect other forms of evidence. This information is confidential—it stays between the auditor and the company getting audited.

3. Reporting. Once the audit is completed, the auditor creates a report detailing their findings. This report typically summarizes what is and isn’t working, indicating the relative priority and severity of different safety issues with various forms of data, charts, and graphs. Good safety auditors also provide recommendations for safety program improvements.

4. Corrective and preventive actions.  Either on their own or with the help of the safety auditor, the organization’s internal team gets to work addressing the audit findings. Effective follow-through involves taking both corrective and preventive actions —correcting existing problems and preventing future sources of risk from developing further. Again, the best safety auditors are also safety consultants and can ensure this occurs in a thorough, timely, and cost-effective manner.

How Often Should Safety Audits Happen?

Generally speaking, an organization should conduct a safety audit at least once per year.  

However, some organizations—particularly larger organizations—perform safety audits more often (e.g. every 6 or 3 months) to minimize their risks. Other companies are obligated to perform audits at specific dates due to internal policies, pressure from customers or shareholders, or orders from OSHA or another regulatory body.

Significant changes in business, technology, laws and regulations, working conditions, and workforce composition also trigger safety audits. For example, if you recently opened a plant in another state, hired 100 new employees, or purchased a fleet of forklifts, it’s probably a good idea to conduct a safety audit.

What are the Benefits of Performing a Safety Audit?

Regularly occurring safety audits offer myriad benefits to organizations, as well as their employees, contractors, and customers:

• improved workforce safety
• fewer accidents, injuries, and illnesses
• lower workers’ compensation costs
• fewer legal claims
• less regulatory uncertainty and compliance risk
• less turnover
• greater productivity
• improved employee morale
• improved efficiency
• improved publicity and reputation
• better decision-making

With the right cadence, technology, and safety partner by your side, safety audits will quickly pay for themselves. Calculate your safety ROI.

Access Expert Safety Auditors + EHS Software and Training with KPA

KPA is the leader in both safety audit software and EHS consulting services. Our team has the knowledge and tools you need to keep your employees safe, minimize your risks, and maximize your organization’s performance.

KPA’s safety consultants will address safety issues at your facilities before they lead to injuries, fines, and lawsuits. Working on-site , remotely , or both, your KPA Risk Management Consultant will work with you to identify potential risks, develop programs and training, and take action to mitigate risk. Our goal is to help ensure a safe workplace for your employees through programs aligned with EPA and OSHA requirements, so your people can work at their best—while you avoid citations and potential legal action.

Plus, we provide award-winning, interactive safety training  covering over 100 key topics—ranging from equipment and machine safety to industry regulations, internal policies, ethics, employment law, harassment prevention, and more.

It’s all supported by our powerful, cloud-based EHS software platform that helps organizations across industries maintain safety cultures, streamline operations, and comprehensively manage risk.

Find out how KPA can turn your organization into a better, safer place to work. 

Toby manages the marketing communications team here at KPA. She's on a quest to help people tell clear, fun stories that their audience can relate to. She's a HUGE sugar junkie...and usually starts wandering the halls looking for cookies around 3pm daily.

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Preparing for a Workplace Safety Audit: Tips & Best Practices

Safety audits play a big role in maintaining a safe and healthy work environment, ensuring compliance with regulations, and preventing accidents and injuries. In this guide, the experts at Safety By Design will walk you through the steps to prepare your workplace for a safety audit.

Why Safety Audits Matter

Why care about safety audits? They’re not just bureaucratic hurdles. They’re important for identifying hazards , ensuring compliance, improving efficiency, and boosting morale by creating a safe environment for everyone.

So, what exactly is a workplace safety audit?

A safety audit is a systematic evaluation of the workplace to assess compliance with safety regulations , identify potential hazards, and ensure the effectiveness of safety measures. It involves reviewing safety protocols, conducting inspections, and analyzing safety records to proactively address risks and promote a safe working environment.

Start with a Self-Audit

Before the official audit, conduct an internal self-audit. This helps you catch issues early and shows your commitment to safety. Here’s how:

• Gather Your Team : Include representatives from different departments.
• Review Documentation : Check safety records, training logs, and incident reports .
• Inspect the Workplace : Walk through the site and look for potential hazards.
• Identify Gaps : Note areas needing improvement and create an action plan.

How to Prepare Your Workplace for a Safety Audit

When preparing for a safety evaluation , focus on key areas that can significantly impact workplace safety. Here’s a deeper dive into these critical areas:

1. Review Safety Policies and Procedures

First things first, it’s essential to review all your safety policies and procedures. Make sure they’re up-to-date and aligned with regulations. This includes everything from emergency action plans to personal protective equipment protocols. Take the time to ensure that everyone in your organization understands these policies and knows their role in maintaining a safe work environment.

2. Conduct a Thorough Safety Inspection

Next up, conduct a thorough safety inspection of your workplace. This involves identifying and addressing any potential hazards or non-compliance issues. Walk through each area of your facility with a critical eye, looking for anything that could risk employees’ health or safety. This might include everything from faulty machinery to trip hazards to improper storage of hazardous materials .

3. Provide Safety Training

Once you’ve identified any areas for improvement, it’s time to provide safety training to your employees. Make sure everyone is trained on safety procedures and protocols relevant to their role. This might include training on how to use safety equipment properly, how to respond to emergencies , and how to identify and report hazards. Remember, safety training isn’t a one-time thing – it should be an ongoing process to ensure everyone stays up-to-date on best practices.

4. Maintain Records

Keep accurate records of safety training, incident reports, and equipment maintenance. This documentation is crucial for demonstrating compliance during a safety audit. Make sure your records are organized and easily accessible so that you can quickly provide them if needed during the audit process.

5. Implement Corrective Actions

If the safety inspection uncovers any issues or areas of non-compliance, it’s essential to address them promptly. Implement corrective actions to fix the problems and prevent them from happening again. This might involve repairing faulty equipment, updating safety procedures, and providing additional workplace safety training to employees.

6. Communicate with Employees

Keeping your team informed and engaged throughout the workplace safety audit process is a must. Communicate with employees about the audit process, why it’s important, and what they can do to help ensure a successful outcome. Encourage them to report any safety concerns they observe and make them feel like active participants in maintaining a safe work environment. This is where having a safety committee can be beneficial.

7. Review Previous Audit Findings

Finally, take the time to review any findings from previous workplace safety audits. Learn from past mistakes and use them as an opportunity to improve your safety processes moving forward. By continually striving to enhance workplace safety, you can create a work environment where everyone feels safe, valued, and empowered.

Post-Audit Actions

Following a workplace safety audit, proactive follow-up is essential to address identified issues and drive continuous improvement. Here’s how to ensure effective post-audit actions:

• Root Cause Analysis : Conduct thorough investigations to identify the root causes of any safety deficiencies identified during the audit.
• Corrective Action Plans : Develop comprehensive corrective action plans outlining specific steps, responsibilities, and timelines for addressing identified issues.
• Performance Monitoring : Implement systems for monitoring and tracking the progress of corrective actions to ensure timely completion and effectiveness.
• Continuous Improvement : Foster a safety culture of constant improvement by soliciting feedback from employees, evaluating the effectiveness of implemented changes, and making adjustments as needed to further improve workplace safety.

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Table of Contents

What is a safety audit, safety audits vs. safety inspections, the benefits of conducting safety audits, how to conduct a proper safety audit, why use a safety audit checklist, the bottom line, the proper way to conduct a safety audit.

Unlike more localized safety inspections, a safety audit evaluates and assesses an organization’s safety processes, procedures, and control measures.

According to the Bureau of Labor Statistics, 5,486 workers were killed on the job in 2022. This represents a 5.7% increase from the previous year, meaning that this figure is not only tragic, but an indicator of a worrisome trend.

Employers need to do their part to curb these trends. These numbers could be lower, and it’s our duty to make each year safer than the last, rather than the other way around.

The majority of these incidents could have been mitigated or entirely prevented by taking the right safety measures. That includes regular safety audits , as well as using checklists and implementing systems to ensure the success of those audits.

The primary goal of a safety audit is to evaluate compliance with safety regulations and the overall performance of the safety program.

Safety inspections quite limited in their scope. They are targeted and localized assessment. They tend to focus on one particular hazard, a single work task, or one area of the workplace.

Safety audits are take a broader, big picture look at a company’s safety program and its performance. It’s an attempt to take stock of safety at an organizational level, rather than pinpoint specific safety issues in the workplace.

Safety inspections should be carried out frequently. Various aspects of a given job, the equipment used to carry out, and the work environment should be subject to regular inspections to swiftly identify and correct hazards.

Due to their broad scope, safety audits are carried out far less frequently. Typically, the audits will take place once a year. However, larger companies, companies struggling with compliance issues, and those operating in high-risk industries may opt for biannual or quarterly safety audits.

Auditors and Inspectors

Safety inspections are typically carried out by an internal team. Typically, the responsibility falls to the company’s safety department or its dedicated safety committee.

While audits can be conducted internally, some companies will prefer to hire external auditors to assess their safety performance. Third party auditors can be brought in to eliminate bias, ensure that the auditors are skilled and experienced, or at the demand of shareholders.

(See 6 Steps to Prepare for Unexpected OSHA Visits for related reading)

The main benefit of conducting regular safety audits is to ensure the continuous improvement of the organization’s health and safety procedures.

Safety audits can also:

Identify Overlooked Risks in the Workplace

Conducting a thorough inspection of the worksite can reveal hazards that have not been adequately controlled, new risks that have been introduced since the safety policies were last updated, and potentially hazardous wear and tear that should be dealt with.

Provide an Updated Assessment of Risk Levels

The severity of known hazards can change over the course of time. Ageing machinery and old infrastructure can become riskier and require more maintenance as the years pass. Environmental hazards that were previously considered minor can become serious concerns as high heat, wildfire smoke , and heavy storms increase in severity and frequency. New equipment and changes to the worksite’s layout can also increase the level of risk.

A complete safety audit will assess all of these factors and more.

Identify Strengths and Weaknesses in Safety Processes and Procedures

Taking the pulse of your safety program will help you identify areas that should be targeted for improvement. It will also highlight your safety strengths, which can provide insights into what works and whether those successful strategies can be applied to other aspects of the safety program.

Make Recommendations for Improvements

A safety audit isn’t simply a run-down of safety issues on the worksite and the limitations of existing controls. It also provides specific recommendations for correcting hazardous conditions (e.g. better ventilation to dissipate fumes), improving existing safety policies (e.g. more robust heat stress protocols), and fostering a stronger safety culture among the workforce (e.g. instituting a safety mentorship program ).

Ensure That Adequate Resources Are Devoted to Safety

If the safety program is constrained by its limited budget, it’s worth considering whether greater investments are needed. Improving your safety performance might require, for instance, better PPE, upgraded safety software, more employee training, or additional safety personnel .

Assess Whether the Company and Its safety Program Are Compliant with Safety Regulations

A thorough review of the safety management system and the worksite will also compare the policies and the on-the-ground conditions with applicable safety regulations. The goal is to ensure that the workplace is fully compliant, remedy any compliance issues that arise, and anticipate upcoming regulatory changes.

There are six steps that are essential to the success and effectiveness of workplace safety audits.

Step 1: Prepare for the Audit

• Prior to conducting the safety audit, inform all managers and supervisors so that all of the necessary documents, records, and procedures are readily available when the audit begins
• Review past audits and their recommendations for corrective action, as well as the legal requirements and training requirements for the specific programs or areas to be audited
• Determine the scope of the audit
• Set a timeline for conducting the audit
• Create an audit checklist to ensure that every aspect of the safety program and the worksite are evaluated

Step 2: Initial Research and Fact-finding

• For team-based auditing, give assignments to each member of the team and clearly define the area they will be auditing to ensure that they gather all the applicable information
• Employee knowledge
• Written program review (to compare the company’s program to federal requirements for hazard identification , hazard control , record keeping, and employee training)
• Program administration (to check the implementation and management of specific program requirements)
• Record and document review (to check for missing or incomplete documents or records)
• Equipment and material (to determine their applicability in controlling hazards for the specific program)
• General area walkthrough

Step 3: Review the Findings

• Does the program cover all regulatory and best industry practice requirements?
• Are the program requirements being met?
• Is there documented proof of compliance?
• Is employee training effective?
• Address each program requirement taking note of all deficiencies

Step 4: Make Recommendations Based on the Data Obtained

• For each deficiency noted, develop recommended actions
• Prioritize the risk controls using the hierarchy of hazard control

(Learn more about The Hierarchy of Hazard Controls .)

Step 5: Take Corrective Action

• Involve the managers and supervisors who will be responsible for executing the corrections
• Assign a completion and review date to all corrective actions to be implemented
• Set priorities based on level of hazard
• Review the records of completed corrective actions through the normal management chain and ensure that these records are filed for use during the next workplace safety audit

Step 6: Publish the Results

• Make the basic findings and recommendations of the safety audit available to all managers and supervisors
• It is also important to acknowledge those departments who are properly executing their responsibilities

A checklist might seem like an overly simple tool for tackling something as large and comprehensive as a safety audit. But it’s precisely the complexity of the audit that makes a checklist essential. A well-prepared checklist streamlines the audit process, breaks it down into manageable steps, and ensures that nothing gets overlooked.

Here are some of the benefits of using a checklist when conducting your safety audit.

Provides a Roadmap for the Auditors

Working through a checklist gives each auditor a clear idea of which tasks they have to carry out. If the checklist is properly organized, it will also guide them through each step in a logical order. This makes the process far more efficient, with less time wasted.

Ensures a More Thorough Audit

There are many elements to consider, inspect, and assess when doing a safety audit. A checklist gives you the assurance that you’ve covered them all.

Acts as a Template for Your Audit

Existing checklists can be used as templates when designing your safety audit.

Going through checklists from previous years or consulting audit checklists from other organizations can be a good starting point when planning your audit. It can also show you whether any components are missing from your audit that should be added before the process begins.

Streamlines Documentation and Recordkeeping

Using a checklist means you’re essentially documenting the audit as it’s being carried out, rather than simply preparing a report after the fact.

Consulting completed checklists can also save time and reduce errors when putting together the audit report.

Encourages Consistency

Working off the same checklist means the auditors will not only follow the same procedure, but record their findings in a similar fashion as well.

This consistency and uniformity makes compiling disparate reports less of a headache, removes unnecessary confusion, and allows you to compare results more easily .

Workplace safety audits assess whether safety management systems are operating as they should. More often than not, workplace injuries and accidents are the outcomes of minor issues that could have been identified by conducting workplace safety audits. Audits protect both employees and the organizations by reducing injuries, lowering operating costs, and increasing productivity.

Related Terms

• Safety Audit
• Workplace Inspection
• Safety Inspector
• Safety Compliance
• Hazard Identification Study
• End of Service Life Indicator
• Safe Operating Methods
• Reaction Time
• Safety Tour

Written by Kurina Baksh

Kurina Baksh is a Health, Safety and Environment Professional from Trinidad and Tobago. As a recent graduate in the field, she is trained to analyze and advise on a wide range of issues related to her area of expertise. Currently, she is an independent consultant who develops public outreach and education programmes for an international clientele. She strongly believes that increasing public outreach and education can promote hazard awareness and ultimately save lives.

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Safety Audit Checklist

Enhance safety and compliance with our comprehensive Safety Audit Checklist. This free PDF template is designed to help you conduct thorough safety audits to assess and improve safety practices within your organization. By conducting regular safety audits, businesses can identify areas of improvement, address safety concerns, and create a safer work environment for employees and stakeholders.

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What is a Safety Audit Checklist?

A Safety Audit Checklist is a systematic tool used to evaluate safety practices, procedures, and compliance within an organization. It includes a series of checkpoints designed to assess various aspects of safety management, such as hazard identification, employee training, emergency preparedness, and regulatory compliance. Regular safety audits are crucial for maintaining a high standard of safety, preventing incidents, and ensuring legal compliance.

Key Areas to Inspect in a Safety Audit Checklist:

• Hazard Identification: Evaluate the identification and assessment of workplace hazards.
• Safety Policies and Procedures: Review the implementation of safety policies and procedures.
• Employee Training: Assess the adequacy of safety training and awareness programs.
• Emergency Response: Verify the readiness and effectiveness of emergency response plans.
• Safety Equipment: Inspect the availability and condition of safety equipment.
• Record Keeping: Review safety documentation and incident records.

Common Safety Audit Checklist Findings:

Frequent issues found during safety audits include:

• Lack of Hazard Communication: Inadequate communication of workplace hazards to employees.
• Outdated Procedures: Use of outdated or incomplete safety policies and procedures.
• Inadequate Training: Employees not adequately trained to handle emergencies or hazards.

Safety Audit Checklist Best Practices:

• Scheduled Audits: Conduct regular safety audits at predefined intervals.
• Thorough Assessment: Ensure a comprehensive review of all safety aspects.
• Management Involvement: Involve management in safety audit processes and decisions.
• Corrective Action: Address identified safety deficiencies with appropriate corrective measures.

Safetymint for your Safety Audits:

Streamline your safety audits with Safetymint, our advanced digital inspection software. Safetymint simplifies the audit process, making it easy to conduct and document safety assessments efficiently. Our cloud-based platform ensures data security and stability, making it the ideal solution for all your audit needs. Try Safetymint free for 14 days and strengthen your safety management practices. Sign up for the 14-day free trial

Disclaimer: The Safety Audit Checklist provided by Safetymint is intended for general informational purposes only. Each organization may have unique safety requirements based on its industry, operations, and regulatory obligations. Users of this template are encouraged to review and customize the checklist to align with their specific organization, environment, and safety goals.

Related Checklists

GMP Audit Checklist

Pre-Startup Safety Review (PSSR) Checklist

Construction punch list checklist, project closeout checklist.

Daily Report Checklist

Risk Inspection Checklist

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Prepping for the Pre-Inspection Opening Conference

When OSHA inspects a facility, they don’t give advance notice. The compliance officer should hold an opening conference to explain the reason for and scope of the OSHA inspection. However, if the receptionist who greets the compliance officer doesn’t know who to notify, the compliance officer may start the inspection without your knowledge – this has happened to some employers. To avoid having an OSHA compliance officer conducting a safety inspection without an escort, make sure your receptionists know what to do when someone from OSHA shows up and presents credentials.

Ed Zalewski | Sr. Editor, EHS

AUDITS & INSPECTIONS FAQs

What is a safety inspection.

Under the Occupational Safety and Health Act of 1970 (the Act), the Occupational Safety and Health Administration (OSHA) is authorized to conduct workplace inspections to determine whether employers are complying with standards issued by the Agency for safe and healthful workplaces.

What should a safety audit include?

An 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 a company or facility.
• Determine whether environmental and workplace safety requirements, and corporate policies and procedures regarding compliance are being followed.
• Assess management systems currently in place to ensure compliance. An audit may also look at and evaluate the methods used to achieve compliance.

How often should I be performing hazard assessments?

The short answer is “as often as they are needed.” The frequency of hazard assessments will depend on a variety of factors. In an office environment, inspections may not be needed frequently. However, in factory settings, inspections may need to be conducted regularly. The employer must determine how “regularly” to conduct inspections based on its evaluation of potential risks. In addition, hazard assessments are likely needed when new equipment or processes are introduced.

Do I have to let an OSHA inspector in if they don’t have a warrant?

Technically, yes, the regulation at 29 CFR 1903.3 says that compliance officers “are authorized to enter without delay” in order to conduct inspections. An employer does have the right to require that the inspector obtain a warrant, but the inspector will be able to obtain one (because the regulation clearly authorizes the inspection). Although demanding a warrant is an employer’s right, the request may create the impression that the employer has something to hide, and the inspection may not go as smoothly once the compliance officer returns with the warrant.

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A Guide to Safety Audits and Inspections

At the most basic level, safety audits and inspections serve as critical tools in the identification and management of hazards in the workplace.

A safety audit is a structured process of collecting independent information on the efficiency, effectiveness, and reliability of an organization's total health and safety management system. It helps identify areas of strength and weakness, providing a path for continuous improvement.

A safety inspection, on the other hand, is a routine process that focuses on the immediate safety aspects of the environment. It includes assessing machinery, buildings, and equipment to ensure they meet certain safety standards and regulations.

The significance of safety audits and inspections cannot be overstated. They are the bedrock upon which a safe working environment is built and maintained. Regular audits and inspections not only foster compliance with health and safety regulations, but they also contribute to employee wellbeing and productivity.

Beyond this, they offer businesses financial protection. By proactively identifying and mitigating risks, organizations can avoid costly incidents, reduce insurance premiums, and enhance their reputation among stakeholders.

Understanding the Regulatory Landscape

The safety of employees is not just a moral responsibility, but a legal one as well. Regulatory bodies across the world have established comprehensive laws and regulations for various industries, which must be adhered to.

In the United States, for instance, the Occupational Safety and Health Administration (OSHA) imposes regulations to assure safe working conditions. Internationally, the International Organization for Standardization (ISO) sets a variety of standards, including ISO 45001 , which relates to occupational health and safety management systems.

Understanding these regulatory requirements is crucial to conducting effective safety audits and inspections, and achieving compliance. As we delve further into this guide, we will shed light on these requirements and standards, and present best practices to meet and exceed them.

The Importance of Safety Audits and Inspections

As we delve deeper into the importance of safety audits and inspections, let's consider them from several perspectives, ranging from enhancing workplace safety to improving organizational reputation.

A. Enhancing Workplace Safety

Safety audits and inspections play a pivotal role in enhancing workplace safety. These processes offer a systematic, objective tool for identifying potential hazards, unsafe work practices, and risk factors in a working environment. By identifying and mitigating these issues, safety audits and inspections help create a safer, healthier workplace.

Consider the complex machinery in a manufacturing plant, the chemical hazards in a laboratory, or the physical dangers on a construction site. Regular audits and inspections can identify equipment that is improperly installed or maintained, processes that expose workers to harmful substances, or environments that pose physical risks. By doing so, they provide opportunities to rectify these issues and protect workers.

B. Ensuring Compliance with Safety Regulations

Regulatory bodies worldwide have laid down safety and health standards that organizations must comply with. Safety audits and inspections are key to ensuring such compliance.

Non-compliance can result in hefty fines and penalties, legal action, and even shutdown of operations in severe cases. Regular audits and inspections help organizations stay abreast of their compliance status, giving them a chance to rectify shortcomings before they attract punitive measures or cause accidents.

C. Reducing Accidents and Incidents

A significant part of accident prevention is the early identification of potential hazards. By proactively identifying and mitigating risks, safety audits and inspections contribute significantly to reducing workplace accidents and incidents.

Safety audits scrutinize processes, practices, and systems for any potential hazards or non-compliance, while safety inspections catch physical hazards or equipment malfunctions that could lead to accidents. Together, they form a robust system that significantly diminishes the possibility of workplace accidents.

D. Improving Organizational Efficiency and Reputation

A safer workplace is often a more efficient one. When employees work without fear of accidents, and systems and machinery function as they should, productivity increases. Thus, safety audits and inspections indirectly contribute to improving organizational efficiency.

Furthermore, a good safety record enhances a company's reputation. It attracts talent, instils confidence in clients and stakeholders, and demonstrates corporate responsibility. It shows that the organization values its people and takes its obligations seriously.

E. Case Study: The Implications of Neglecting Safety Audits

To truly understand the importance of safety audits and inspections, let's examine the consequences of neglecting them. The Chernobyl nuclear disaster in 1986 serves as a stark reminder.

A flawed reactor design coupled with inadequately trained personnel led to an explosion during a safety test. The subsequent release of radioactive materials resulted in numerous immediate deaths, long-term health impacts, and the displacement of hundreds of thousands of people.

Post-accident investigations pointed to numerous safety procedure violations, reflecting a lack of proper safety audits and inspections. While regulatory safety standards existed, the absence of a robust system to enforce these standards contributed to the disaster. The Chernobyl disaster underscores the vital importance of not just having safety standards, but also regularly auditing and inspecting to ensure compliance with these standards.

Key Regulatory Requirements and Standards

A number of regulatory bodies have established comprehensive safety and health standards. Understanding these requirements is crucial to conducting effective safety audits and inspections. Let's delve into some of the key standards and their implications.

A. Occupational Safety and Health Administration (OSHA) Standards

OSHA , a U.S. agency responsible for the enforcement of safety and health legislation, has defined numerous standards designed to ensure a safe working environment. These cover a wide array of areas including, but not limited to, exposure to hazardous chemicals, use of personal protective equipment, fall protection, and machine guarding.

OSHA regularly conducts inspections to ensure compliance, and non-compliance can result in penalties. Safety audits that address OSHA regulations help organizations prepare for these inspections, maintain a safe workplace, and avoid penalties.

B. International Organization for Standardization (ISO) Standards

The ISO provides several standards relevant to safety audits and inspections, the most prominent of which is ISO 45001. This standard provides guidelines for occupational health and safety (OH&S) management systems and is intended to help organizations, regardless of their size or the nature of their work, to provide safe and healthy workplaces.

ISO 45001 encourages a proactive approach to managing OH&S risks, and while it's not legally mandatory, certification can demonstrate a commitment to worker safety and effective risk management.

C. National Fire Protection Association (NFPA) Standards

The NFPA  is a global self-funded nonprofit organization, established in 1896, which creates and maintains private, copyrighted standards and codes for usage and adoption by local governments. These standards aim to minimize the possibility and effects of fire and other risks.

A key standard, NFPA 101, the Life Safety Code, prescribes minimum building design, construction, operation, and maintenance requirements necessary to protect occupants from danger caused by fire, smoke, and toxic fumes. Regular safety audits and inspections help ensure that these and other NFPA standards are met, reducing the risk of fire and its impacts.

D. Environmental Protection Agency (EPA) Standards

While the focus of safety audits is often worker safety, it's also important to consider environmental safety. The EPA in the U.S. sets standards related to environmental health, such as air and water quality, and regulates the use and disposal of hazardous substances.

Compliance with EPA standards not only protects the environment but also ensures worker safety. For instance, regulations around air quality protect workers from exposure to harmful airborne substances. Regular safety audits and inspections should consider these environmental standards as part of a comprehensive approach to safety.

Best Practices for Conducting Safety Audits and Inspections

Carrying out safety audits and inspections requires careful preparation, execution, and follow-up to be effective. In this section, we will explore the best practices at each stage of this process.

A. Preparing for an Audit

Training of Audit Team

The effectiveness of a safety audit begins with the competence of the audit team. Team members should be knowledgeable about the relevant safety standards and experienced in the auditing process. Consider arranging specialized training sessions for the audit team members to ensure they are up to date with the latest regulations and auditing techniques.

Pre-Audit Documentation

Before the audit, gather all necessary documentation such as previous audit reports, accident reports, worker complaints, and any relevant operational documents. Reviewing these will provide a baseline understanding of the company's safety performance and areas that need particular attention.

B. During the Audit

Open-Ended Questioning Techniques

To gain a comprehensive view of the safety situation, auditors should use open-ended questions during their audit. These encourage detailed responses, providing more insight than simple yes/no questions. For instance, instead of asking "Are safety protocols followed?", ask "How are safety protocols implemented and monitored?"

Evaluating Compliance with Standards

An essential part of the audit process is to evaluate the level of compliance with established safety standards. This involves a systematic review of operations, practices, and processes against regulatory requirements. Any gaps in compliance should be identified and recorded for further action.

Documenting Findings

Accurate and comprehensive documentation of audit findings is crucial. This should include observed non-compliances, potential hazards, and areas for improvement. It's also important to document good practices that can be built upon or replicated elsewhere in the organization.

C. Post Audit

Review and Analysis

Post-audit, a thorough review and analysis of the findings should be conducted. This includes examining root causes of non-compliance or potential hazards and understanding the broader implications for worker safety.

Action Plan Development

Based on the review and analysis, an action plan should be developed to address the audit findings. This could involve rectifying non-compliances, mitigating identified risks, and implementing suggestions for improvement. The plan should clearly assign responsibilities and set timelines for action.

Follow-up and Continuous Improvement

The audit process does not end with the implementation of the action plan. Regular follow-up is needed to ensure that the actions taken are effective in improving safety. Additionally, the entire process should be viewed as part of a cycle of continuous improvement. Insights gained from each audit should feed into the preparation for the next, driving ongoing improvement in safety performance.

Paper-based vs Digital Tools for Safety Audits and Inspections

Safety audits and inspections can be performed using traditional paper-based tools or modern digital solutions. Each has its own set of advantages and drawbacks. Let's explore both options in depth.

A. Pros and Cons of Paper-Based Tools

On the surface, paper-based tools might seem like a cost-effective option as they require less upfront investment. However, the ongoing costs of printing, storage, and manual data entry can add up over time .

Accessibility and Convenience

While paper checklists and forms can be easily accessed and used anywhere, they can also be inconvenient. Field staff may need to carry around bulky folders, and transferring information to a central database typically involves manual data entry.

Storage and Retrieval

Storing paper records requires physical space and efficient filing systems. Retrieving specific documents or data can be time-consuming. In addition, paper records are vulnerable to damage or loss due to accidents or natural disasters.

B. Pros and Cons of Digital Tools

Real-Time Data Collection and Analysis

Digital tools enable real-time data collection and instant analysis. Audit results can be viewed and evaluated immediately, speeding up decision-making and action planning. Additionally, digital tools can provide advanced analytics, generating insights that are not easily achievable with paper records.

Collaboration and Sharing

Digital platforms facilitate collaboration, allowing multiple users to view and contribute to the audit process in real-time. Audit findings can be shared instantly with relevant parties, streamlining communication and enhancing transparency.

Security and Compliance

Digital tools offer robust security features, protecting sensitive data from unauthorized access. They also make it easier to comply with record-keeping regulations, as electronic records can be backed up and retrieved easily.

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How to Conduct a Workplace Health and Safety Audit in 6 Steps

by Jake Cole | May 27, 2020 | Resources , Safety 101 , WHS Legislation

Whether you’re doing your first health and safety audit or simplify your existing process, these six steps (and free template) will help you on your way. 

When it comes to analysing a business’ workplace health and safety (WHS) performance, audits are fundamental. But they’re not always seen this way.

If the word ‘audit’ conjures up a montage of clipboards, inspections, and interrogations, you’ve either had terrible experiences or you’re expecting the worst.

Safety audits shouldn’t be a policing process. They’re key for finding out where your safety performance currently sits, and where it needs to be – as per the agreed parameters. So think of them as a positive learning opportunity to improve the safety of your team.

Who can conduct a health and safety audit?

WHS auditors can be internal employees or someone external. Some businesses prefer to conduct their audits in-house, as they know the areas they want to focus on. Others prefer to hire someone externally to utilise a fresh set of eyes and perspective.

Some businesses choose both and conduct an internal audit as a precursor to the external audit. Others use the audit to tease out any deficiencies in specific processes or areas of the business.

For the sake of this article, let’s say you’re a small business owner conducting an internal audit on your own company.

Your task is to compare what’s happening in your business with what’s written in your safety management system . This will highlight any gaps you need to close in your business. If you don’t have a safety management system, get in touch and we can create one for you.

Why is a Health and Safety Audit Important?

As well as identifying gaps, health and safety audits are important for challenging the benchmarks you’ve set out in your safety management system.

They’re really helpful for coming up with actionable steps you can take to improve your business’ safety, and can be used to:

• Document that your safety management system complies with legislation
• Test if your safety management system is achieving its objectives
• See if your safety management system is maintaining the performance criteria and the auditing system is effective
• Assess whether your organisation has completed any previous modification compliance audits, when necessary
• Constantly improve your organisation

What Types of Safety Audits are There?

There are many types of safety audits, but the two most widely used are:

• Management system audits
• Safety function audits

Management System Audits:

A management system audit  is “horizontal”. This means it looks across the entire company structure and considers the broad, in-depth scope of management policies and procedures that are in place to manage the organisation’s health and safety at the site.

Management system audits are typically assessed against the following standards:

• AS/NZS 4801 – Occupational Health and Safety Management System
• ISO 45001 – Occupational Health and Safety
• OHSAS 18001 – Occupational Health and Safety Management System
• ISO 14001 – Environmental Management
• ISO 9001 – Quality Assurance

Safety Function Audits:

Safety function audits are “vertical”. This means they look at the detail of a specific activity through a vertical slice of the organisation’s structure, from senior management to the workplace.

Safety function audits include, but are not limited to:

• Classified plant and administration
• Electrical safety management systems
• Emergency preparedness
• Fixed plant
• Isolation and tagout
• Manual tasks
• Traffic management

The Safety Audit Process – 6 Steps

Most internal health and safety audits can follow a six-step process…

1. Identify Areas to Audit

First things first, you need to make a note of each area of the business that should be audited. Some areas have simple processes, while others are more complex.

It’s important that an internal audit doesn’t try to do everything at once.  .

Whatever the area of focus, you should use a  ‘systematic and disciplined approach to their work’  according to The Institute of Internal Auditors Australia.

You also need to set benchmarks and standards, and make sure everyone agrees on them before the audit takes place.

2. Decide How Often to Audit

Choosing how often to audit will depend on the size of your business, the industry you’re in and if your work environment is continuously changing (like a construction site).

However, some timings are decided for you, for example HACCP audits must be completed quarterly.

It’s likely that some areas of your business will need auditing more often than others as they carry higher health and safety risks.

Your safety management system should outline how often you need to audit different areas, but you may wish to change the frequency – i.e. from quarterly to monthly, or monthly to weekly – depending on the risks.

Once you know how often you want to audit each area, put it in your calendar. It’s easy for the months to roll past and for internal audits to not happen, so schedule them out for the year ahead. Send out a copy of the calendar so an upcoming audit is never a surprise to staff.

3. Conduct the Audit

Again, the audit process will look different depending on your organisation and the area being audited.

You may need to test equipment, or ask staff to explain a process and compare it to what’s written on the policy to assess competency and potential training shortfalls.

• Start with a kick-off meeting. The kick-off meeting is a good opportunity to introduce the audit team and key participants, explaining the purpose and approach of the audit, and establishing the required communication protocols.
• Carry out in-field observations and interviews. In-filed observations don’t mean hiding behind equipment with your camera ready to snap someone being non-compliant. The approach should be casual and inclusive to understand how the processes work in reality. Likewise, interviews shouldn’t feel like interrogations, they should be in the field with the people that are most familiar with the processes.
• Collect evidence. Collecting evidence is important as it helps demonstrate the outcome of the audit and can be used to help improve the system in the future or celebrate the success you are achieving. Evidence could be completed documents, photos, and interview statements.

4. Document the Results

Take notes as you go to help you write your report.

You need to review any collected documents and notes, and comprehensively write up your findings. Document any gaps in compliance to ensure they appear in your report.

Make sure while you are documenting the audit findings, you’re communicating these with the   (the people you’re asking questions or interviewing). Give them the opportunity to discuss the findings (e.g. a non-conformance) before you make the report.

5. Report the Findings

No one likes wordy reports, and your audit’s report is the same. Use a tabular format with graphs, diagrams and photos to make information easier to find and understand.

And don’t be afraid to pump up your own tyres. The report should cover positive notes about things your organisation is doing well. Lessons could be learned from them and applied to gaps and shortcomings in other areas of the business.

The  Institute of Internal Auditors Australia  recommends you include a consequence/impact/effect for why something occurred. Determining the cause and discussing the best action to take with management can lead to the best outcome.

As a small business owner and decision maker, your report is vital for highlighting how to improve your business’ safety.

If you’re not the decision maker, your report will need to go to management. They should read the report and take appropriate actions towards improvement.

If the report doesn’t generate any actions, the audit was a waste of time. To help things along, you should create an audit action plan…

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6. Create an Audit Action Plan

Now that you’ve found areas to improve, what are you going to do about them?

It’s so easy to file the report away and continue business as usual. But you need to create an audit action plan to improve your business.

Audit action plans document what needs to be actioned, any notices issued, and informs the workplace health and safety representative/s of the outcome.

There are three categories in an action plan:

• Non-compliance – the organisation is in breach of a requirement and urgent action is required to fix any non-compliant issues. If the contravention can’t be rectified in a day or two, a Notice to Remedy with a due date is provided.
• Observation – the opinion of the auditor (and therefore subjective). The organisation can decide whether to implement any changes based on the advice provided, it isn’t mandatory.
• Opportunity for Improvement – a suggestion for making a change that could lead to a better outcome, but it’s not compulsory.

Use what you’ve highlighted in your report to guide your action plan and justify why you’re doing what you’re doing. Decide what’s important and communicate it back to the organisation so that everyone is on the same page.

Remember to revert back to your action plan regularly to continuously improve your organisation.

The action an organisation takes after an audit is what matters the most. Make it a priority to fix any non-compliance issues and look at observations as opportunities for improvement.

Changes should be carefully considered and – if management agrees – implemented when practical.

We hope this has helped simplify your WHS audits. If you want it even simpler, get in touch today and we’d be happy to help you out.

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How to Conduct an Effective Safety Audit: The Ultimate Guide

Ensuring workplace safety is one of the most vital responsibilities of any employer. A healthy and safe work environment encourages productivity and efficiency, and workers who know that their employers care for their safety are motivated to work better. Employers and employees need to work together to create such a safe and healthy workplace by implementing an effective safety program, which would include a risk management process , regular safety meetings with employees, and more.

Of course, safety is dynamic and new safety issues may come up with even minor changes in operations. So it’s important to keep an eye on whether your workplace safety program is working as it’s supposed to. The best way to gauge the efficiency and effectiveness of your safety management system is through a safety audit. Conducting regular audits ensures regulatory compliance and also helps you identify and correct safety hazards that could potentially lead to serious workplace injuries or even fatalities.

In this article, we’ll outline what exactly a safety audit is, how to conduct one, and some best practices to follow.

What Are Safety Audits?

A safety audit is a systematic review to analyze the risks and hazards in the workplace and evaluate the effectiveness and reliability of the safety procedures set up in the organization. It can be performed by internal or external safety officers. The main objectives of a safety audit are to determine if the organization’s safety program is being implemented, to identify the gaps in that safety program, and to outline corrective actions to fix the gaps found.

A safety audit involves a rigorous observation of business operations, the work environment, the condition of equipment, the behavior of the workers, and other details to ensure that you have a good workplace safety plan in place, and that it is being implemented according to industry safety standards. Questions such as, “How do workers address safety concerns ?”, “What controls are in place to mitigate safety hazards?”, and, “How regular and effective is the workplace safety training?” are addressed during a safety audit.

3 Types of Safety Audits

There are three types of safety audits, depending on who conducts them and what they are for. They include:

• Compliance audits: In these audits, the company’s safety policies and rules are reviewed by an official safety auditor to ensure that the safety program complies with the standards set by the Occupational Safety and Health Administration (OSHA) . Auditors evaluate the company’s safety plans, regulations, safety training programs, and recordkeeping. If you fail this audit, you could face hefty penalties from OSHA.
• Program audits: These are typically more focused than compliance audits, evaluating your safety programs directly. These audits make a detailed analysis of the effectiveness of your safety regulations by interviewing employees and inspecting operations. They are useful to identify gaps and weaknesses in your safety program, enabling you to take corrective action quickly.
• Management system audits: These audits can be considered a combination of compliance and program audits as they determine whether your safety program effectively conforms to both company policy and OSHA standards. They involve a comprehensive approach including compliance reviews, workplace observations, and worker interviews and evaluations to get an overall picture of your safety program.

The Steps of a Successful Safety Audit

The specific things that a safety audit investigates may vary depending on the type and size of business, but every audit has the following five basic steps:

Step 1: Plan for the Audit

The first step in any systematic process is planning. Before starting an audit, it’s important to inform all managers and supervisors being audited so that they can have all records and documents ready when the audit begins. To ensure continuity, it’s also a good idea to review past audit reports, especially corrective action recommendations, so that you can check if those recommendations have been implemented. 

It’s also important to determine who will perform the audit: external consultants or an internal audit team. If internal, your team should be diverse as that enables a broad perspective. Finally, you need to determine the scope of the audit, set objectives, and gather materials such as an audit checklist, past safety inspection reports, and regulatory documents to ensure that the objectives are met.

Step 2: Conduct the Audit

Once the audit has been planned, it’s time to actually conduct it. This involves:

• Reviewing plans and policy documents: This is both to identify gaps in the written procedure itself and to compare the written process with actual operations
• Talking to workers on the floor: Employees who operate equipment or work in areas being audited can provide insight not only into the current safety processes but also areas that could be handled differently.
• Observing operations directly: In addition to talking to the experts (i.e., the workers themselves and their supervisors), auditors should also observe the processes being followed. This could help identify potential hazards and compliance issues. Depending on the type of audit, the auditors may use an audit checklist or write down qualitative observations.

Step 3: Prepare a Report

Once the audit is completed, team members compile their notes into a systematic report that summarizes their findings. The audit report mentions the audited areas, who conducted the audit, and a list of everyone interviewed. 

A good report is objective and concise and includes specific, detailed information about both positive as well as negative findings. 

It also outlines recommended actions to correct gaps and weaknesses found during the audit and indicates the relative priority and severity of the various safety issues and corrective actions listed.

Step 4: Implement Corrective and Preventive Actions

The corrective actions recommended in an audit report need to be implemented. The organization’s internal team (mainly the managers and supervisors directly involved), with or without the help of the audit team, should set priorities based on the urgency and severity of each safety hazard found. 

The team would then assign specific tasks to mitigate the hazards and set follow-up and completion dates to ensure implementation. To make the audit report more effective and useful during future inspections, the team can devise a way to record completed actions on the audit report itself.

Step 5: Communicate the Results

Finally, it’s always good to keep your employees in the loop as it encourages a healthy safety culture in the workplace. Posting audit results on the company’s intranet pages or in common areas that all workers can access encourages transparency and allows employees to see what you’re doing to keep them safe. 

In addition, relevant stakeholders such as specific supervisors need to know the basic findings and recommendations, so it’s good to inform them separately as well.

Safety Audit Best Practices

For safety audits to be effective and valuable, it’s good to follow some general best practices while conducting them. Some of them are:

Conduct Safety Audits Regularly

It’s a generally accepted practice that safety audits are conducted about once a year. But this may lead to lax work practices that don’t follow safety management standards during the year, with compliance only seriously ensured closer to when the audit occurs. 

Instead, it might be more effective to have targeted safety audits scheduled throughout the year (e.g., every department audited on a rotating basis), followed by a comprehensive company-wide safety audit once a year. 

In addition, a safety audit should be conducted every time operations, regulations, working conditions, or your workforce changes. For example, if you start a new production line or open a new worksite with 50 new employees, it’s good to audit any safety issues that may arise due to the change.

Use Competent and Objective Auditors

A safety audit is only as good as the team who conducts it. So, whether you hire external safety professionals or use an internal auditing team, it’s always a good idea to choose carefully. If you’re hiring external consultants, do your research to ensure that they’re a good fit for what you require. If you’re keeping it in-house, create a cross-functional team that is well-versed in both the processes being audited and the current internal and regulatory safety standards.

Ensure Compliance

Even if your safety audit is not a compliance audit, it’s good to review your safety procedures for compliance. Ensure that your audit complies with OSHA standards by cross-checking your checklists and auditing procedure with local, state, and federal regulations and customizing your materials to include all the checks necessary for compliance.

Use the Right Materials for Your Audit

It’s a common practice to use safety audit checklists or templates to guide you through the audit and ensure that you don’t miss anything. Such templates can usually be downloaded for free from different online sources. But it’s always a good idea to check these general templates over and customize them to fit your specific use case. For example, if the template asks you to check for controls related to hazardous materials, but your operations don’t involve any such materials, such a point should probably be removed. On the other hand, if you have machinery that requires lockout procedures but there is no mention of this in the template, you may have to add it in.

Digitize Your Safety Audits to Ease Your Way

Conducting safety audits manually (using paper documentation or vast spreadsheets) can be time-consuming and unreliable. An online platform such as Pulpstream’s Auditing Solution can make your work much easier and more accurate. Such a platform can enable you to:

• Record and store observations, interviews, and other evidence on any device (even working offline)
• Integrate past inspection and audit reports, latest compliance requirements, and your company’s safety policy documents and use powerful analytical tools to identify gaps and provide sophisticated insights
• Use customizable workflows, checklists, and forms to record everything online and share the information with the rest of the auditing team as well as other stakeholders automatically
• Create, assign, and track corrective actions by generating tasks and automatically triggering actions for specific users

A single auditing platform would help cut down paperwork, remove the hassle of tedious spreadsheets, provide better insights, and make communications and action-assignment much smoother.

Unlock the power of digitization to make your auditing more efficient. Book a free demo with Pulpstream today!

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What Is a Safety Audit? Definition, Process, Types and Tips

A Safety Audit is a critical and structured examination that assesses and scrutinizes an organization’s safety protocols, identifying potential hazards and ensuring adherence to established safety standards and regulations. This essential process, pivotal in fostering a secure and compliant working environment, is integral for organizations aiming to uphold the well-being of their workforce and cultivate a culture centered around safety awareness and responsibility.

In this blog, we will explore the intricate details of a Safety Audit, delving into its definition, significance, the meticulous processes involved, and the different types—Internal and External Audits, each serving unique purposes in enhancing workplace safety. Additionally, we will offer practical and actionable tips for conducting these audits effectively, providing a comprehensive guide for those seeking to fortify organizational safety and compliance.

What Is a Safety Audit?

A safety audit is a systematic, structured process aimed at evaluating the effectiveness, reliability, and efficiency of an organization’s health and safety management system. It involves a thorough examination of the workplace, including reviewing safety documentation and observing work practices, equipment, and environment, to identify any potential hazards or areas of non-compliance with applicable regulations and standards.

The audit assesses whether the safety protocols in place are adequate and effective in maintaining a safe working environment and whether employees are adhering to established safety procedures.

Importance of Safety Audits

• Compliance with Regulations: Safety audits ensure that an organization is in compliance with local, state, and federal safety regulations, helping to avoid legal complications and penalties.
• Risk Identification: Audits help in identifying various risks and hazards present in the workplace , allowing for the implementation of corrective measures to mitigate these risks.
• Enhanced Safety: Regular safety audits lead to the identification and elimination of unsafe conditions and practices, thereby reducing the likelihood of accidents and injuries.
• Improved Employee Morale: Knowing that the organization is committed to maintaining a safe work environment boosts employee morale and productivity.
• Cost Reduction: By preventing accidents and occupational illnesses, safety audits help reduce the costs associated with medical expenses, compensation, and downtime.
• Continuous Improvement: Safety audits facilitate the continuous improvement of safety management systems by identifying areas of weakness and recommending improvements.
• Enhanced Reputation: Demonstrating a commitment to safety can enhance an organization’s reputation among clients, customers, employees, and stakeholders.
• Training and Development: The findings of a safety audit can be used to develop training programs to educate employees about safe work practices and procedures.
• Documentation and Accountability: Audits provide documentation of safety efforts and ensure accountability at all levels within the organization for maintaining safety standards.
• Proactive Approach: Conducting safety audits is a proactive approach to managing workplace safety, allowing organizations to anticipate and address issues before they escalate into serious problems.

A Safety Audit is crucial as it acts as a preventive measure, ensuring that the workplace is safe and compliant with all safety regulations. It fosters a safety-conscious culture within the organization, promotes the well-being of employees, and contributes to the overall success and sustainability of the organization.

Safety Audit Process | How To Perform It

Performing a Safety Audit involves a systematic process to assess and improve the effectiveness of health and safety management systems within an organization. Here’s a step-by-step guide on how to perform a Safety Audit:

1. Planning

• Define the Scope: This involves outlining the specific areas, departments, or processes that the audit will cover. It sets the boundaries for the audit and helps in allocating resources effectively.
• Assemble the Audit Team: Select individuals who have the requisite knowledge and experience in health and safety. Including external consultants can provide an unbiased and objective perspective, ensuring the audit’s credibility.
• Develop an Audit Schedule: Establish clear timelines for each stage of the audit, from planning to follow-up, ensuring that the audit is conducted in a systematic and organized manner.
• Prepare Checklists: Develop detailed checklists based on applicable safety standards and regulations. These serve as a guide during the on-site inspection and help in ensuring that no aspect is overlooked.

2. Preliminary Assessment

• Review Documentation: Analyze existing safety policies, procedures, training records, incident reports, and risk assessments to understand the current state of safety management and to identify any gaps or inconsistencies.
• Identify Legal Requirements: Research and list all the local, state, and federal safety regulations and standards that are applicable to the organization to ensure that the audit addresses all legal compliance aspects.

3. On-site Inspection

• Conduct Walkthroughs: Perform a detailed inspection of the workplace to identify any visible hazards, unsafe behaviors, and areas of non-compliance with safety procedures. This involves examining the work environment, equipment, and facilities.
• Observe Operations: Monitor employees as they perform their tasks to identify any unsafe practices and conditions that may not be evident during a walkthrough. This helps in understanding the practical implementation of safety procedures.
• Evaluate Control Measures: Assess the effectiveness of existing safety controls, such as barriers, ventilation systems, and personal protective equipment, to determine whether they are adequate in mitigating risks.
• Interview Employees: Conduct discussions with workers and managers to gather insights into their understanding and perception of safety procedures and to identify any concerns or suggestions they may have. This helps in understanding the safety culture within the organization.

4. Data Analysis

• Identify Non-compliance: Scrutinize the collected data to pinpoint areas where the organization is falling short of adhering to legal mandates or its own internal safety protocols. This involves a meticulous comparison between the existing practices and the established standards.
• Assess Risks: Evaluate the potential risks and hazards identified during the audit. This involves determining the likelihood and severity of each risk, considering both immediate and long-term impacts.
• Prioritize Findings: Arrange the identified issues in order of their significance and potential to cause harm, allowing for a structured approach to addressing the most critical issues first.

5. Report Generation

• Document Findings: Record all the findings of the audit in a clear and concise manner, ensuring that every detail, observation, non-compliance, and risk is accurately represented. This serves as a formal record of the audit’s outcomes.
• Develop Recommendations: Based on the findings, formulate practical and effective corrective actions and improvements to rectify the identified issues and enhance the overall safety within the organization.
• Present the Report: Share the comprehensive audit report with all relevant stakeholders, including management, employees, and, if necessary, regulatory bodies, ensuring transparency and collective understanding of the audit outcomes.

6. Implementation of Recommendations

• Develop Action Plans: Create detailed and structured plans outlining the steps to implement the recommended corrective actions, assigning responsibilities, and setting timelines for completion.
• Monitor Progress: Regularly review and assess the progress in implementing the corrective actions, ensuring adherence to the action plans and addressing any obstacles or delays in implementation.
• Provide Support: Extend guidance, resources, and support to the individuals or teams responsible for implementing the corrective actions, facilitating effective and efficient execution.

7. Follow-up

• Verify Implementation: Conduct subsequent inspections to ensure that the corrective actions have been properly implemented and are in compliance with the recommended standards.
• Evaluate Effectiveness: Assess the efficacy of the implemented actions in mitigating the identified risks and enhancing safety, making adjustments if the desired outcomes are not achieved.
• Adjust Strategies: Modify and refine safety strategies, protocols, and procedures based on the outcomes and learnings from the implemented actions, ensuring continuous improvement in safety management.

8. Continuous Improvement

• Review Audit Process: Post-audit, evaluate the effectiveness and efficiency of the audit process itself and identify areas for improvement to enhance the quality of future audits.
• Update Safety Management System: Revise and update safety policies , procedures, training programs, and other elements of the safety management system based on the findings and recommendations from the audit.
• Conduct Regular Audits: Establish a schedule for conducting regular safety audits to ensure ongoing compliance, identify new risks, and continuously improve the organization’s health and safety performance.

Types Of Safety Audit

Safety Audits can be broadly categorized into Internal and External Audits, each serving distinct purposes and offering unique perspectives on an organization’s safety management system.

1. Internal Safety Audit

An Internal Safety Audit is conducted by the organization’s own staff members or a department within the organization. It is a self-assessment tool used to identify safety concerns, non-compliances, and areas for improvement within the organization.

Characteristics:

• Familiarity: Internal auditors have a deep understanding of the organization’s processes, culture, and operational nuances.
• Frequency: These audits can be conducted more frequently due to the availability of internal resources.
• Cost: Generally, less expensive as it utilizes internal resources.
• Focus: Often focuses on routine safety practices, compliance with internal policies, and operational safety concerns.

Objectives:

• To assess compliance with the organization’s own safety policies and procedures.
• To identify and address safety concerns and hazards promptly.
• To foster a proactive safety culture within the organization.
• To facilitate continuous improvement in safety performance.

Limitations:

• Bias: There may be a risk of bias or lack of objectivity due to internal relationships and familiarity with processes.
• Limited Perspective: May lack exposure to best practices and standards used in other organizations or industries.

2. External Safety Audit:

An External Safety Audit is conducted by independent external experts or consultants who are not employees of the organization. It provides an unbiased and objective assessment of the organization’s safety management system.

• Objectivity: External auditors bring an unbiased perspective, free from internal influences or preconceptions.
• Expertise: Often have specialized knowledge and experience in safety standards and best practices across industries.
• Comprehensiveness: Tend to be more thorough and comprehensive, assessing compliance with external regulations and industry standards.
• Cost: Can be more expensive due to the specialized expertise and external consultation fees.
• To provide an independent and objective assessment of safety practices and compliance.
• To benchmark the organization’s safety performance against industry standards and best practices.
• To identify areas of non-compliance with external regulations and standards.
• To offer expert recommendations for improving safety management systems.
• Familiarity: External auditors may lack familiarity with the organization’s specific operational nuances and cultural context.
• Availability: Scheduling and availability can be challenging, and it may take more time to organize external audits.

20 Tips For Performing A Safety Audit

When performing a Safety Audit, consider the following tips to ensure the process is effective, thorough, and yields actionable insights:

• Be Consistent: Establish a regular schedule for performing safety audits. Consistency helps in identifying and addressing issues promptly and maintains a continuous focus on safety.
• Involve a Diverse Team: Include individuals from different departments and levels within the organization. A diverse team brings varied perspectives and insights, making the audit more comprehensive.
• Use Checklists: Develop detailed checklists based on applicable safety standards and regulations. Checklists ensure that every aspect is covered and serve as a guide during the on-site inspection.
• Maintain Objectivity: Approach the audit with an open and unbiased mind. Avoid preconceived notions and be receptive to findings, even if they are unexpected or unfavorable.
• Encourage Employee Participation: Involve employees in the audit process. Their insights and experiences can provide valuable information about the practical aspects of safety in the workplace.
• Prioritize Findings: After identifying non-compliances and risks, prioritize them based on their potential impact on health and safety. Addressing the most critical issues first is crucial.
• Provide Clear Recommendations: Offer clear, practical, and actionable recommendations to address the identified issues. Vague or generic recommendations can lead to ineffective implementation.
• Ensure Confidentiality: Maintain the confidentiality of sensitive information obtained during the audit. This encourages openness and honest communication from employees.
• Document Thoroughly: Keep detailed records of the audit process, findings, recommendations, and follow-up actions. Proper documentation is essential for accountability and future reference.
• Communicate Results Effectively: Present the audit findings and recommendations in a clear and concise manner to all relevant stakeholders. Effective communication ensures understanding and commitment to implementing corrective actions.
• Follow-Up: Conduct follow-up assessments to verify the implementation and effectiveness of the recommended corrective actions. This ensures sustained compliance and improvement.
• Focus on Continuous Improvement: Use the audit findings to refine and enhance safety policies, procedures, and training programs. Continuous improvement is key to maintaining a safe and healthy workplace.
• Seek External Expertise: Consider involving external consultants or experts for an unbiased and objective perspective. External auditors can also bring new insights and best practices from other organizations.
• Be Comprehensive: Cover all areas of the organization and assess all elements of the safety management system. A comprehensive approach ensures that no aspect is overlooked.
• Encourage a Positive Safety Culture: Use the audit process to reinforce the importance of safety and encourage a positive safety culture within the organization. This fosters a sense of collective responsibility for maintaining a safe workplace.
• Leverage Technology: Utilize software and technology to streamline the audit process, manage data, and track progress. Technology can enhance the efficiency and accuracy of safety audits.
• Address Employee Concerns: Pay attention to the concerns and suggestions of employees. Addressing their concerns demonstrates the organization’s commitment to employee well-being.
• Stay Updated on Regulations: Regularly review and stay informed about the latest safety regulations and industry standards. This ensures that the audit addresses all current legal and compliance requirements.
• Promote Learning: Use the audit as a learning opportunity for everyone involved. Encourage the sharing of knowledge, experiences, and best practices to enhance safety awareness and competence.
• Set Clear Objectives: Clearly define the objectives of the safety audit. Having clear goals helps in focusing the audit process and measuring the success of the audit.

By incorporating these tips, organizations can ensure that their safety audits are more effective, thorough, and contribute significantly to the enhancement of workplace safety .

In conclusion, a Safety Audit is an indispensable tool in the organizational safety toolkit, serving as a comprehensive examination to assess and enhance workplace safety protocols and compliance. By understanding the definition, significance, processes, and types of Safety Audits, organizations can effectively implement and leverage this tool to identify potential hazards, ensure adherence to safety standards, and foster a culture of safety and responsibility.

The practical tips provided herein offer a roadmap for conducting thorough and effective Safety Audits, enabling organizations to safeguard their most valuable asset—their employees, and create a more secure, compliant, and hazard-free working environment, ultimately contributing to the overall success and sustainability of the organization.

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5 Important Steps to an Effective Safety Audit

An effective Safety audit is one that has be proven to ensure that the business has a safety program in place to reduce incidents and mitigate safety risk to their workers.

Most importantly, “in place” means policies and procedures that have been tested, trained, and demonstrated in practice, as evidenced by the audit program.

This article will give you a summary outline of safety audit procedures. A valuable comprehensive resource towards the implementation of your safety audit plan is the Occupational Safety & Health Administration ( OSHA ) safety and management guide. The 5-step safety audit steps below outline provide a management summary and structured approach towards the development of an effective safety audit.

Step #1: Audit Planning

The key components of an Audit Plan are the basic documentation of the: “ who, what and where .”

• The “ Who ” refers to the audit team, that may be external consultant type with specific expertise in safety or diversified cross-functional internal team that has been trained on “what” to do
• The “ What ” refers to audit scope to include the documented tasks, checklists other evaluation guides to complete a successful audit
• The “ Where ” can include the designation of targeted areas of the workplace, as necessary

The planning step is the key to the entire process , since the audit plan defines the procedures and sets the safety test baseline.

Step #2: Audit Execution

With a trained team identified, scope and baseline documentation defined, the next step is to conduct the audit as planned.

The baseline documentation is used to effectively compare written procedures to activity in the workplace. Variation from established safety procedures are documented, along with observations of the actual work conditions, and any important input from the workers involved.

The audit execution should go beyond just “checking the checklist”, with a pass/fail approach. The tone should be set to inform everyone involved that safety audits are a tool to track progress towards specific safety objectives and also used to gather input from workforce as part of a continuous process improvement effort .

Step #3: Compile the Audit Report

Part of the team’s training is to ensure a well-documented report that details any variances to the audit baseline, important audit findings and describe things that are working well in addition to any problem areas.

Problem areas or negative finding are addressed in the recommended actions section of the audit report to start the process improvement efforts needed.

Step #4: Set Corrective Action Plans and Process Improvements in Motion

The audit execution and report go beyond a simple pass/fail approach.

The findings should contribute to the continuous process improvement effort towards optimal workplace safety. Audit findings may identify significant corrective actions that need to be immediately set in place for worker safety, but most often baseline variations and input from workforce are addressed as part of continual improvement activity.

Process improvement follow-up would include prioritizing tasks , with assignments and suspense dates.

Step #5: Communicate Results

It is important that all employees have a transparent understanding of the audit, and their safety status. Workers have been trained in safety procedures and adherence to those procedures is essential in reducing workplace incident.

The proper communication of audit results creates an awareness of the company’s safety efforts and the collaborative safety results achieved by supervisors and line employees.

The published audit results affirm that the company has invested in an effective safety program to reduce incidents and mitigate safety risk to their workers.

How Advanced Consulting & Training Can Help

As a leader in safety training & consulting in Ontario, we’ve helped countless companies, organizations and work sites with their safety audits over the years. From preparing the framework for a new safety audit to updating the existing safety audit process, you can count on our expertise in safety audits.

Contact us today to find out more about how we can help your organization be a leader in safety.

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OSHA 29 CFR 1910 Audits: Everything you need to know.

Workplace safety is an essential aspect of industrial and manufacturing operations. Government organizations such as OSHA are diligent in monitoring workplace safety standards. The rule that deals specifically with industry operations is the 29 CFR 1910 .

In this article, you will learn everything you need to know about this safety regulation, how to prepare and conduct both self and external inspections and audits.

What Does 29 CFR 1910 Stand For?

OSHA CFR Title 29 (labour) sets rules and regulations concerning workplace safety. After a series of workplace injuries and fatalities, the Occupational Safety and Health Administration was chartered in 1970. There was an average of 11 illnesses per 100 workers and fatalities were as high as 14,000. It was essential to establish rules and guidelines that could improve workplace safety. Ever since 29 CFR 1910 regulations were established, workplace-related illnesses have gone down to 3.6 per 100 workers and fatalities dropped down to 4,340 in 2009. The OSHA CFR 29 rule has 20 subparts that cover a wide range of industrial operations ranging from welding, cutting, and brazing (subpart Q), down to toxic and hazardous substances present in the facility (subpart Z).

Following these standards will ensure workplace safety and you must be aware of which parts apply to your facility. Constantly monitoring this is a good way to ensure that you avoid OSHA penalties and fines – this article will show you how to efficiently audit yourself for 29 CFR safety standards.

Table of Contents (Click to jump to a topic)

What is the difference between an osha audit and an inspection, how is a safety audit conducted, does osha require self-inspections.

What are the 5 steps of an OSHA Inspection?

How Do I Pass an OSHA Inspection?

What are the 4 types of OSHA Violations?

What D oes OSHA Safety A udit Mean?

A safety audit should be able to show you how your routine processes and employee safety training could potentially cause incidents and how to prevent these incidents before occurrence. You can perform routine internal safety audits , and this will greatly improve your external audits as well as your company safety culture. Safety audits define your safety standing clearly to allow you to make useful changes.

How often should safety audits be done?

Comprehensive safety audits should be done at least once a year and regular safety audits in departments can be carried out with varying frequency depending on department requirements. Your safety team should be able to deduce when they can be done. 

Safety audits are done for a variety of reasons:

• To check if your safety practices are coinciding with OSHA requirements.
• To demonstrate clearly that you meet the OSHA requirements.
• To promote a workplace safety culture and address injuries.
• After a workplace injury, doing an audit can help to pinpoint the risks associated with the injury and to prevent it from happening again.
• Audits can also be done to promote a safety culture within your company. 

A safety inspection is a process of d ocumenting and identifying safety hazards and unsafe practices. These can be conducted both internally and externally. The external OSHA inspections are conducted by a safety inspector from OSHA and follow the steps mentioned in this article about safety audits. Internal inspections can also be conducted by a designated employee or internal team. The safety inspection generally checks if safeguards are in place, checking if any equipment-associated hazards are unaddressed, checking for toxic substances in the vicinity, and identifying any possible unsafe actions. Inspections are customized and can cover even other practices that may not necessarily be regulated under 29 CFR. For example, checking janitorial logs to ensure things are being kept hygienic, or that there aren't any burnt-out lightbulbs in common spaces.

OSHA safety audits review safety programs and strategies, but an inspection evaluates current practices. They measure and collect information about how reliable and effective a safety program is, check if it meets your company's stated goals and examine your employee safety training and response effort.

Safety audits follow strict guidelines and have specific questions that must be addressed in order to be in compliance. When conducting an audit, you must make sure that you answer all the OSHA CFR 29 part 1910 questions that are relevant to your facility provided in safety audit forms.

OSHA may request an audit report during their ongoing reviews, but it is not required before conducting an assessment. If you identify a hazard during your OSHA self-audit , OSHA would like to know if the hazard has been corrected, if you have taken any steps to avoid recurrence or if there is no available permanent solution, OSHA will check if you, as the employer, has provided interim employee protection. The term 'audit' and 'inspections' may be used interchangeably because of the significant overlap in the practices that they entail.

What Types of Safety Audits are There?

The three types of safety audits are:

• Compliance audits . These are audits in which safety rules and policies are reviewed by an official auditor. Failure to pass a safety audit can lead to OSHA penalties. Compliance audits often evaluate safety programs, regulations, recordkeeping, and employee training programs that your company implements. 29 CFR 1910.119, paragraph (o) that addresses compliance audits specifically states that " Employers shall certify that they have evaluated compliance with the provisions of this section at least every three years to verify that the procedures and practices developed under the standard are adequate and are being followed."
• Program audits. These generally test your safety programs directly. They check how effective your programs are and can identify gaps in your programs that could leave you vulnerable to incidents.
• Management system audits . These establish if your safety program properly addresses your company policy and OSHA regulations. This type of safety audit includes compliance reviewing, worker evaluations, and interviews and workplace observations.

"Employers shall certify that they have evaluated compliance with the provisions of this section at least every three years to verify that the procedures and practices developed under the standard are adequate and are being followed."

 - 29 CFR 1910.119, specifically, paragraph (o)

Firstly, appoint a team of internal auditors that are responsible for checking your safety practices. This team will be responsible for conducting training sessions and demonstrating compliance to OSHA auditors in case of an OSHA safety audit. You can also achieve this by appointing employees from different departments to do routine checks.

The next step in this process is to evaluate your processes and materials to see if any of them are covered in any 29 CFR 1910 subparts. OSHA provides an OSHA self-audit checklist of things to consider before starting your audit. Make sure you have all the relevant questions for your facility.

The third step is when you conduct the audit and comprehensively answer and address all the OSHA questions. This process can be challenging because it is difficult to determine which safety practices are covered by 29 CFR. An option would be to use audit software. ERA's audit software flags the various facility practices or chemicals that are covered by 29 CFR 1910. If you are not using EHS software, you can make manual decision trees to determine which operations within your facility are covered by 29CFR.

Remember, this looks different for each industry. For example, if you store explosive chemicals, a software solution would be useful to effectively track these chemicals and provide information on hazards readily. In other industries such as tanks, the safety considerations include knowing if there is proper airflow in tanks and during tank cleaning such as safety practices during cleaning. Therefore, using a tracking tool and storing information in a central database is the best approach.

Interviewing your employees is also an important step in the auditing process. This will help you pinpoint any hazards that you may have missed in the process. The workers who are often on the floor and are hands-on with the equipment are a good resource to show you where potential risks are present.

The internal audit measures must yield comprehensive reports. OSHA occasionally requests copies of the reports in case of a complaint filed about your facility. Any time you do a self-audit, even if you find zero reportable issues, you should keep careful documentation and store that report securely somewhere it can easily be found.

OSHA generally is on the lookout for the most cited safety standards when they conduct an audit. Therefore, when you prepare for this, you must be familiar with the most common citations.

What are the OSHA top 10 most frequently cited standards?:

In 2020 the most common citations were:

• Fall Protection – General Requirements (1926.501): 5,424 violations
• Hazard Communication (1910.1200): 3,199
• Respiratory Protection (1910.134): 2,649
• Scaffolding (1926.451): 2,538
• Ladders (1926.1053): 2,129
• Lockout/Tagout (1910.147): 2,065
• Powered Industrial Trucks (1910.178): 1,932
• Fall Protection – Training Requirements (1926.503): 1,621
• Personal Protective and Life Saving Equipment – Eye and Face Protection (1926.102): 1,369
• Machine Guarding violations (1910.212): 1,313

Pay special attention to any of the citations mentioned above when you are doing your internal audit.

OSHA does not require self-inspections but there are many benefits of doing these self-inspections. If you complete your internal inspection thoroughly, you will be well prepared if an inspector comes to your facility unannounced. You do not need to give OSHA your audit reports in advance, but they will be useful if there is a complaint filed for your facility.

Doing self-inspections has many benefits. These include more efficient safety practices and saving money from potential hazards or OSHA penalties. Self-inspections also help you to be proactive about potential hazards and help you be ready for im pending OSHA audits.

ERA’s health and safety audit software is ideal for internal inspections and can cover the full range of safety, manufacturing operations and chemical inspections within your facility.

It is also essen tial to know what to do if an OSHA inspector visits your facility. In the next section, we will cover the requirements for an OSHA inspection an d all the requirements for these.

How OSHA Handles Complaints - OSHA Inspection Priority

OSHA's top priority for inspections is the imminent danger . This is when there is an immediate risk that needs to be addressed concerning worker safety. The next priority is where there is fatality/catastrophe that is reported to OSHA. This requires OSHA to perform an inspection immediately.

The next priority that may get OSHA’s attention is if there is a complaint associated with your facility. If a worker or worker representative files a complaint, OSHA may or may not inspect your facility. Anyone in the company or facility can file a complaint about a safety or health hazard. If you have a comprehensive audit-ready OSHA sometimes uses that as a reference before conducting an inspection.

Industries with high injury and illness rates for specific hazards or other exposures are inspected routinely to ensure that they are encouraging good safety practices. These are known as programmed inspections and rank the lowest on OSHA’s list of inspection priorities.

Whether you are audited at random or routinely, you must be properly prepared and the next section outlines what you should expect dur ing an OSHA inspection.

What Are the 5 steps of an OSHA Inspection?

OSHA inspections have five main steps that are followed for a smooth inspection. The steps include preparation, presentation of credentials by the inspector, opening conference, facility walk-through, and a closing conference . When you are expecting an inspector to come, it is essential to prepare accordingly.

Preparation

When you are preparing for an audit, you need to ensure that you have all your internal audit information readily available. This includes setting up a team of internal audit conductors to associate with the OSHA inspector. You must also have all your records ready for the inspection. Information includes documented training logs, record keeping, equipment inspection records, safety and health policies, review of insurance and third-party audits, hazard assessment and abatement review of previous audits and citations. ERA’s Health and safety module can help with all the document management and it works in conjunction with the compliance module which is a reminder system for routine inspections to make this process easier for you. It also provides incident record-keeping in the incident module. This houses any recordable incident in the previous year to allow you to demonstrate compliance to OSHA.

Before the inspection, you must also designate an employee representative.

Presentation of Credentials – Opening Conference

Confirm the identity of the inspection officer. The inspector generally speaks to your designated employee and this session should be brief and to the point. Make sure you have your OSHA required log available and other OSHA required information. It is essential to compile all this information beforehand.

Walk Around

The inspector examines the site, processes, operations, equipment, machines, and devices for OSHA compliance. They should be accompanied by your management or designated internal inspectors. The inspector may also talk to employees about potential or existing risks and hazards. If they find any apparent violations, they will bring them to your attention as the employer.

Closing Conference

During the closing conference, the inspector reviews the conditions found with the employer or your employee representative and informs you of whether citations will be issued and outline your rights to appeal. They determine the citations and financial penalties for any unsafe work practices or risks.

ERA’s system has customized inspection questions and automatic forms that help you to readily provide this information to the inspector. 

Being adequately prepared is the best way to have a smooth OSHA inspection. There are many best practices that companies use and employing these will make your life infinitely easier.

Effective data storage is a good way to pass the inspection because inspectors often check your facility history before conducting an inspection. Using reporting software makes it easy to store information about all your facilities in a centralized platform. Having a centralized place to store your data makes it easier to retrieve in case of an inspection.

Performing routine internal audits is also a good way of ensuring that you pass an OSHA inspection. During internal audits, you may find safety hazards or loopholes in hazardous chemical records. It is essential to address these immediately. With the help of workplace safety software, you can e ffectively store all the information for all the subparts of 29 CFR that apply to your facility. For example, ERA’s software solution stores all your facility's chemical information and identifies hazardous chemicals for you from the SDSs that are provided for your facility. This means that you don’t miss anything.

Lastly, appoint a company representative who is familiar with the facility for the walkthrough and be polite to the inspector. These seem like small factors, but they can help you to pass your inspection .

What Are the 4 Types of OSHA Violations?

Many facilities and organizations violate OSHA regulations in a variety of ways. Some companies fall short in their documentation, training, or routine inspections. A Georgia-based company once was prosecuted for failure to adequately train employees on hazardous energy sources and failure to conduct inspections for their energy control processes. All these violations have different definitions based on OSHA requirements.

OSHA’s definitions for various types of violations include:

A willful violation is defined as when an employer intentionally and knowingly commits a violation. An example when a company fails to put in place adequate measures to protect it's workers, such as leaving doors to dangerous moving parts open and other safety hazards.

A serious violation is defined by OSHA as situations where there is a significant probability that death or serious physical harm could result and that the employer knew or should have known. An example of this can be when employers are not provided with sufficient fall protection equipment.

Other than serious. This is a violation that relates directly to safety and health but probably would not cause death or serious physical harm. These can be as simple as not posting notices in the workspace or poor record-keeping or other insufficiencies in safety procedures.

Repeated. This is a violation that is the same or like a prior violation. A violation is deemed repeated if it is issued within three years of the previous citation.

What Are the Penalties for OSHA Violations?

OSHA penalties increase with the nature of the violation. Penalties for serious violations are $975 per violation and a maximum of $14,502. For other-than-serious violations, the minimum is $0, and the maximum is also $14,502. For willful or repeated violations, the minimum is $10,358 and a maximum of $145,027. For a repeated other-than-serious violation that would not have a penalty otherwise, a gravity-based penalty of $414 will be given for the first repeated violation, $1,035 for the second, and $2,071 for the third. For failure to abate, the penalty is $14,502 per day beyond the abatement date. Note that these amounts are adjusted for inflation whenever necessary.

How ERA Can Help

ERA's software has both audit and inspection features. The software allows you to build custom inspections with smart forms and its intelligent AI helps you to use t his information to check which 29CFR subtitles apply to you. It also provides a centralized place to store facility and chemical data. The OSHA safety audit checklist and questions provided by the audit module are congruent with OSHA requirements and this means you’ll be able to effectively address the re quired data without wasting time on irrelevant facility information. It houses a list of audits with features including automated defibrillator inspection, annual asbestos training, bloodborne pathogen training paint booth cleaning, heat stress training and many more.

The system is completely customizable to you allows you to load all the questions you need and also provides you with questions based on regulation.

If you would like to learn more about ERA’s audit and inspection tools, you can book a consultation call below.

This Blog Was Co-Authored By: 

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The importance of conducting safety audits

• November 16, 2018
• by Sandra Melo
• Inspections / Audits , Use Cases

Table of Contents

Safety audits are essential for any industry because they are procedures designed to keep people safe, improve operational efficiency and reduce maintenance costs and the findings are used to improve safety, help with equipment scheduling, set budgets, among other things. A safety audit is a structured assessment and evaluation of how workplace activities can affect health and safety. It helps organizations to evaluate and optimize their health and safety programs and improve safety management. Safety audits are not synonymous of safety inspections because while the first examine and evaluate whether safety programs and practices are meeting the organization’s goals, the last are periodical inspections that look for hazards, risks, and other issues that might prevent a company from operating safely. The purposes of carrying out safety audits are establishing whether the company is in compliance with safety legislation and identifying weaknesses and deficiencies in their safety programs and processes. A safety audit identifies different levels of risk in all the particular areas of an organization. Safety audits can help the workplace to become safer and improve the organization’s health and safety procedures.

How to conduct a safety audit

Every organization should conduct periodic workplace safety audits . It is very important to have this sort of assessments to ensure that the work environment is protected and prepared to handle any hazardous occurrence that may happen. The following steps are vital to carry out effective workplace safety audits.

Determine the scope and objectives of the audit

Checking standards and codes that apply to the audited processes can help the audit team members set goals and add to their skill sets. The results of previous audits can be another source of useful information especially if an objective is to analyse if the recommendations of previous audits have been implemented and are working.

Create a report with recommended actions

After the audit, the person or team in charge of the assigment should compile all notes into a report that summarizes findings. The report should include a list of recommended actions based on the findings.

Set priority actions

Audits can reveal the need for major corrective actions and minor actions that the company should consider to implement in the short or long term. The audit team should work with managers and supervisors to set priorities based on the finding. Issues that possess biggest risks should receive priority over items with lower risks.

Propose actions to optimize health and safety

After finishing the assignment, the team in charge should make some recommendations based on the data obtained and assign a completion and review date to all corrective actions to be implemented.

Publish safety audit results

Posting audit results also helps everyone within an organization understand any changes that may be necessary and how those changes will increase their personal safety. It also acknowledges the audit team, as well as the contributions of managers and employees who were part of the process.

Conducting safety audits require time and effort, however, they provide worthwhile results that can take a company to the next level in matters related to health and safety. Audits can also trigger proactive safety changes that can help prevent employee injuries, illness and death. Workplace safety audits attempt to identify whether safety management systems are operating effectively and efficiently. In general, workplace injuries and accidents are the result of minor issues that could have been identified by conducting workplace safety audits earlier. Therefore, these assessments protect both employees and the organizations by reducing injuries and operating costs and, as a result of this, increasing productivity. DataScope can help you to build mobile safety inspection forms to identify and report workplace safety issues. These forms will enable your technicians in the field to carry out accurate safety audit using mobile devices. Using the  DataScope app, you can create rich and detailed safety records and custom documents that can be shared with inspectors and regulatory bodies.     DataScope  is a platform which allows various industries to streamline, organize and evaluate the work of their field staffs thanks to online forms which provide real time indicators 100% adaptable to any field.

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Safety Audit

• EHS Guidelines
• Case Studies

Safety Audit :

The health and safety management audit our members adopted is a structured process of collecting independent information on the efficiency, effectiveness and reliability of the total H&S management system and drawing up plans for corrective action.

Auditing examines each stages in the H&S management system by measuring compliance with the controls the organization has developed, with the ultimate aim of assessing their effectiveness and their validity for the future.

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 minimization 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 accidents occur, 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.

The safety audits will monitor all activities performed on site, and in particular:

• The basic safety policy and organization 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.
• Safety committees.
• Working rules and practices for each company location, including visitors and contractors.
• Compliance with statutory regulations and company standards.
• Behavior 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.

• Safety work permits.
• Emergency procedures.

Application of  safety audit:

Safety audits are conducted in order to assess the degree of compliance with the applicable safety regulatory requirements and with the procedural provisions of a Safety Management System(SMS) if one is in place. They are intended to provide assurance of the safety management functions, including staffing, compliance with applicable regulations, levels of competency and training.

Safety audits are used to ensure that:

• Organizations SMS has a sound structure and adequate staffing levels;
• Approved procedures and instructions are complied with;
• The required level of personnel competency and training to operate equipment and facilities,and to maintain their levels of performance, is achieved;
• Equipment performance is adequate for the safety levels of the service provided;
• Effective arrangements exist for promoting safety, monitoring safety performance and processing safety issues;
• Adequate arrangements exist to handle foreseeable emergencies.

Safety audits are carried out by a single individual or a team of people who are competent (adequately qualified, experienced and trained) and have a satisfactory degree of independence from the audited organization or unit. The frequency of the audits depends on the regulatory/management policy. For example some State authorities may conduct annual safety audits; others may consider that a full safety audit is only necessary at a few years interval.

Description of Safety Audit Practice:

Safety audit practice subjects each area of a company’s activity to a systematic critical examination with the object of minimizing human suffering and monetary loss. Every component of the total systems included, e.g. management policy, attitudes training, features of the process, layout and construction of the plant, operating procedures, emergency plans, personal protection standards, accident records,etc.

An audit, as in the fields of accountancy, aims to disclose the strengths, the weaknesses and the main areas of vulnerability or risk, and is carried out by appropriately qualified personnel.It is important to ensure that the attitude of all personnel to safety audit practice is positive. It may need to be pointed out that the reason for the audit is to help the plant management to establish those areas within the plant where additional effort is required to ensure safety at all times. The audit is not there to find fault with the efforts of local manage. The safety audit is an aid to sound, safe, plant management.

Audits will involve plant operatives and review training, work experience, knowledge of procedures, emergency procedures and other plant operating instructions.

A formal report and action plan is subsequently prepared and monitored.

Types of safety audit:

There are three types of audit , which classified under three category as follows.

2. program audit.

3. Management system audit.

1. Compliance audit

The most basic audit is a compliance or condition inspection. OSHA does not specifically require that companies conduct safety and health audits, but OSHA regulations are written such that employers must furnish their employees with a place of employment that is free from recognized hazards and complies with certain OSHA standards. Management then develops programs for each employee to comply with certain standards, rules and regulations. In addition, compliance requirements dictate certain record-keeping, programs and training requirements. A true compliance audit will look at all three factors — conformance, record-keeping and training.

A safety audit based on OSHA compliance will determine whether the company can provide a safe and healthful workplace. But this audit on its own tends to focus more on unsafe conditions rather than unsafe acts and behaviors. However, the majority of accidents occur from unsafe acts, i.e., you can have a wet floor (unsafe condition), but an injury may not occur until someone walks on the wet floor and slips (unsafe act). It is impossible to have a workplace free from unsafe conditions all of the time, because conditions and people change and the potential that someone will create unsafe conditions is always present.

2. Program audit:

To achieve a goal of reducing accidents and incidents as well as unsafe acts and conditions which result in accidents, you must have programs in place that dictate how to implement safety rules or requirements. An example of a regulatory requirement is to record accidents on an OSHA 300 log and to do so within six days. A program requirement would describe the method one would use to investigate the accident.  OSHA, while providing suggestions for investigating an accident, does not regulate how to investigate. So it is up to the company to define and write down the procedure for investigating the accident in order to implement the safety rule or requirement and to make it meaningful. Having done so, the company now has a safety program in place for the procedure.

A program audit is an analysis that gauges the implementation and strategy of these safety programs. Is the company following its own procedures and programs?

One drawback to a program audit is determining what to use as a standard. There is plenty of guidance but not much consistency in professional practice when it comes to what should be included in safety programs. There are some fundamentals, however. For one, 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. If unsafe acts create unsafe conditions, you need a program to communicate how to stop doing those things.

One challenge is that keeping safety programs current requires being able to manage change. New facilities, equipment and personnel (i.e., change in shift hours if it means an increase in workers’ exposure time) require changes in safety programs.

Both the compliance and program audit are useful snapshots to indicate potential exposures and risks. The value of these audits is to find the safety gaps so they can be closed. Another value is to verify if people are really following established safety guidelines. But an audit that is conducted only once a year is limited if there is no ongoing process by which to measure peoples’ performance how often and how well are employees using and following safety programs.

Management systems audit

Who conducts the safety audit.

The Safety Audit is an interdisciplinary self-assessment tool, so the work is conducted by a community team of domestic violence experts and key workers who represent the systems that are being examined. Team members collect data and meet as a group to discuss the Audit findings; recommend changes in policy, procedure, and training; strategics how to implement the recommended changes; and help implement, monitor, and evaluate the changes over time.

What happens during a Safety Audit?

The process involves examining whether institutional policies and practice enhance the safety of battered women and their children, as well as enforce perpetrator accountability. The Safety Audit does not assess individual effectiveness or actions. An Audit involves mapping the system, interviewing and observing workers, analyzing paperwork and other texts generated in the handling of domestic violence cases. Recommendations coming out of an Audit process are directed toward institutional changes that will enhance victim safety and perpetrator accountability.

Who serves on the Safety Audit Team:

The Audit team typically consists of practitioners from agencies involved in the case processing under review. All Audit teams have a significant presence of community-based advocates who have expertise in the dynamics of domestic abuse and a close relationship with victims of battering. The goal is to have an analysis that incorporates the knowledge of a cross section of people who work with these cases everyday. Audit team members must be committed to inter agency cooperative work, confidentiality as agreed upon by the team, and an openness to find and fix problems without creating or deepening inter agency conflicts.

Safety Audit Preparation:

Step One - one week prior to the audit, inform all affected managers and supervisors. They should be directed to have all records, documents and procedures available when the audits starts.

Step Two - Review all past program area audits and corrective action recommendations.

Step Three - Review all company, local, state and federal requirements for the specific program. Become familiar with the document, inspection and training requirements.

Step Four - Determine the scope of the audit. This can be based on accident and inspection reports and input from various managers. Set a start and stop time & date for the audit.

Fact Finding:

A fact finding event is used to gather all applicable information. Auditors should make an effort not to form an opinion or make evaluative comments during this phase.

A Team Approach - If a safety audit team is used, make assignments to each person that defines their area of inspection. Ensure they have the proper program background information and documents.

Safety Audit Areas - most audits can be broken down into these areas:

Employee knowledge – OSHA standards require "effective training" - an effective program ensures that employees have the knowledge required to operate in a safe manner on a daily basis. The level of knowledge required depends on the specific activities in which the employee is involved and their specific duties and responsibilities. Generally, managers and supervisors should have a higher level of knowledge than general employees. This includes practical knowledge of program administration, management and training. They should be able to discuss all elements of each program that affects their assigned employees. Many programs divide employees into these two groups- authorized employees and affected employees. Authorized employees must have a high level of working knowledge involving hazard identification and hazard control procedures. Determining employee level of knowledge can be achieved though written quizzes, formal interviews or informal questions in the workplace.

Written Program Review - during the safety audit, a comprehensive review of the written program should be conducted. This review should compare the company program to requirements for hazard identification and control, required employee training and record keeping against the local, state and federal requirements. Additionally, if applicable, the company insurance carrier should be asked to conduct an independent written program review. Program Administration - This part of the safety audit review checks the implementation and management of specific program requirements. This section asks these and other similar questions:

• Is there an effective and on-going employee training program?

• Are specific duties and responsibilities assigned?

• Are sufficient assets provided?

Record & Document Review - Missing or incomplete documents or records is a good indication that a program that is not working as designed. Records are the company's only means of proving that specific regulatory requirements have been met. Record review also includes a look at the results, recommendations and corrective actions from the last program audit.

Equipment and Material - This area of an safety audit inspects the material condition and applicability of the equipment for hazard control in a specific program. Examples of audit questions for this area are:

• Is the equipment in a safe condition?

• Is there adequate equipment to conduct tasks safely?

• Is personal protective equipment used and stored properly?

• Is equipment, such as exit lights, emergency lights, fire extinguishers, material storage and handling equipment designed and staged to control hazards effectively?

Review of Findings of the safety audit:

After all documents, written programs, procedures, work practices and equipment have been inspected, gather your team and material together to formulate a concise report that details all areas of the program. Remember to focus on the four basic questions mentioned earlier. Each program requirement should be addressed with deficiencies noted. Include comments of a positive nature for each element that is being effectively managed.

Recommendations from the safety audit:

Develop recommended actions for each deficient condition of the program. Careful forethought should be applied to ensure that this is not a process that simply makes more rules,additional record keeping requirement or makes production tasks more difficult. Examine the manner and means in which the current deficient elements are managed to determine if there is a simpler procedure that can be employed.

Corrective Actions from the safety audit:

Development of corrective action should involve the managers and supervisor who will be required to execute the corrections. Set priorities based on level of hazard. All corrective actions should be assigned a completion and review date. Records of completed corrective actions should be reviewed through the normal management chain and then be filed for use during the next audit.

Publish the Safety Audit results:

It is essential to let all supervisors and manager know the basic findings and recommendations. Don’t forget to acknowledge those departments, managers and supervisors who are properly executing their responsibilities. After a few audits, everyone will want to show up on the plus side of the results, making the safety mangers job much easier.

What are the outcomes of a Safety Audit:

• Discovering gaps in safety and accountability within the case processing systems under review, i.e., answering the “Audit question.”
• Specific recommendations for system change that enable community partners to close the discovered gaps.
• New expertise in a process that can be used for ongoing community planning, evaluation, and problem-solving.
• New ways of community partners to work together.

Safety Audit Team:

Safety audits should be carried out at general management level and at each plant or site. The audit team members should be carefully selected for their knowledge and experience in the field of audit, from general management, plant management, and other safety specialists.

• Site Plant Manager • Site Plant Foreman • Safety Specialist.

As safety audits are carried out at a number of levels in a factory, e.g. small department, followed by operating and then general management level, it is essential that a team member at the lowest level is also incorporated in the next level team, and so on,so as to ensure a common approach, improved ease of reporting and communication.

When safety audits are carried out at a Main Branch satellite works, it is recommended that one of the Safety Audit Team who conducted the audit at the satellite works, participate in the Main Branch Team.

The indications given for frequency, duration, team composition and areas of activity may be adjusted according to plant size.

Safety Audit Report:

Local management must be involved in the review of the findings of the audit team before the audit team leaves site.

Following the audits, a report should be issued containing the following:

• A description of all findings relative to items needing a proposal for remedial action.
• A description of any defects detected on equipment and initial proposals for remedial actions.
• The names and job titles of those people who are responsible for initiating remedial actions.
• The need for any revision of operating instructions or company standards.
• Agreed target dates for completion (which realistically allow sufficient time for thorough technical.
• assessment and consequent changes, if necessary).

Copies of the audit report shall be given to the local plant manager and to the company management, who will take decisions and supervise follow-up actions agreed by the safety audit team.

Monitoring and Follow-up:

Monitoring of approved safety audit conclusions and recommendations is an important activity to ensure improvement of the safety level of a plant or company.

It is the responsibility of the Plant Manager to see that audit conclusions and recommendations are implemented by the agreed target dates.

Appendix A: Proposed Characteristics of Safety Audits, Safety Inspections and Safety Walks

Third Party Audits ( external auditing ):

An organization which possesses the necessary expertise and technical experience to verify on behalf of a State authority the compliance of an air navigation service provider with the applicable regulatory requirements is called a qualified entity.

Internal Safety Audits ( self auditing ):

Internal safety audits and safety surveys should be used to assess the level of compliance with the applicable regulatory framework and the organizational SMS processes and procedures, to verify the effectiveness of such processes and procedures and to identify corrective measures if needed. Planning of the audits should take into account the safety significance of the processes to be audited and the results of previous audits. An annual audit program should include:

• Definition of the audits, in terms of criteria, scope, frequency, and methods;
• Description of the processes used to select the auditors;
• The requirement that individuals shall not audit their own work;
• Documented procedures for assignment of responsibilities, planning and conduct of audits, reporting results and maintaining records;
• Audits of contractors and vendors.

Click the below link to download the audit forms

Quarterly safety audit form

Annual safety audit form