Unit 26 - Audits

Audits and Inspections
Mike O’Toole, PhD

ERAUShort-Course
10/15/2019
Inspection Vs Auditing
Inspection – Limited in Scope

Inspections of guards, ladders, fire extinguishers, etc.
Audit – Comprehensive more process based

Lockout, Hazard Communication, Confined Space Entry
The Program …
Must tailored to the conditions of the

workplace and must be appropriate for
the hazards to which employees are
exposed
Goes beyond the specific requirements of
the regulations to address all hazards
Core Elements of a Safety
Program
(i) Management leadership

(ii) Employee participation;
(iii)Hazard identification and assessment;
(iv)Hazard prevention and control;
(v) Information sharing and training; and
(vi)Evaluation of program effectiveness
Effective Components
• Management policy statement

• Assigned responsibilities (w/authority)
• Formal accountability process
• Rules / procedures
• Disciplinary action system
• Inspection process (self inspections)
• Incident Investigations
• Program Reviews
Management Leadership
• Establish responsibilities for managers,

supervisors, and employees
• Hold them accountable for carrying out those
responsibilities
• Provide authority and resources to carry out their
safety and health responsibilities
• Identify managers, supervisors, or employees to:
• Receive and respond to reports about workplace safety
conditions
• Where appropriate, to initiate corrective action.
Employee Participation
Employers basic obligation:

Provide employees with opportunities for
participation to:
• establish program elements
• implement program elements and
• evaluate the program
Enabling Employee Participation?
• Regularly communicate with

employees about workplace safety
• Provide employees with access to
information relevant to the program
• Provide ways for employees to
become involved in hazard
identification and assessment,
training, and program evaluation
Enabling Employee Participation?
• Establish a way for employees to

report job-related hazards promptly
and to make recommendations about
appropriate ways to control those
hazards
• Provide prompt responses to such
reports and recommendations
Hazard Identification &
Assessment
Inspections:
• Initial (baseline), periodic/follow-up and targeted
(change to the workplace)
• Evaluate new equipment, materials, and
processes for hazards before they are
introduced into the workplace
• Assess and rank the severity of identified
hazards
Hazard Identification &
Assessment
• Provide a system to report

identified hazards
• Investigate mishaps and close
call incidents
Note: Some standards impose additional, more specific
requirements for hazard identification and assessment.
WHY Investigate an Accident?
• To determine direct and indirect

causes
• Document facts (reports and routing)
• Provide appropriate corrective action
• Prevent similar accidents
• Provide information on costs
• Provide information on costs
• Promote safety
When to Investigate an Accident?
ASAP
memories fade
Site conditions may change
Prompt investigation shows concern for
employees
Priority for injured victim
Not disturb accident scene
Hazard Prevention and Control
Hazards identified by the employer's

hazard identification and assessment
process must be controlled or
eliminated as required by a relevant
standard.
Hazard Prevention and Control
• Engineering out the hazard is preferred

• When elimination not possible administrative
control may be appropriate (ex. Job Rotation)
• Prioritizing, tracking, setting deadlines for
timely hazard control/correction is important
• Plan and prepare for known hazards (ex.
emergency drills)
Training and Information
Each employee is provided with training in the

safety and health program
1. Education/information
2. Practice procedures (IE fire extinguisher use)
Each employee exposed to a hazard is provided

with information and training related to that hazard
What Training Information?
The nature of the hazards to which the

employee is exposed and how to
recognize them (general and specific
as needed)
What is being done to control these
hazards
What Training Information?
What protective measures the

employee must follow to prevent or
minimize exposure to these hazards
The provisions of applicable standards
Timing of the Training
• Initial training
• Refresher training
• Change in workplace conditions
• New hazards introduced
• Violation of safety rules
• Maintain all Training records!!
Evaluation of program effectiveness
Evaluate the safety and health program

to ensure that it is effective and
appropriate to workplace conditions
• As often as necessary to ensure
program effectiveness
• Thereafter at least once every two years
• NOTE: Some standards specify review periods
Additional Considerations
• Establish core values for safety

• Employee safety perception surveys
• Safety modeling
• Positive performance coaching –
Teambuilding
• Behavioral feedback & reinforcement
• Require managers to discuss safety
in all meetings
Have all levels of management

participate during inspections, audits,
and accident/incident investigations
Have managers participate in safety
meetings
Develop an audit scoring systems

Have site managers present to top
management a report for accidents /
injuries
Phone calls from senior management

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Audits and Inspections

Mike O’Toole, PhD

Inspection – Limited in Scope

Audit – Comprehensive more process based

Must tailored to the conditions of the

(i) Management leadership

• Management policy statement

• Establish responsibilities for managers,

Employers basic obligation:

• Regularly communicate with

• Establish a way for employees to

• Provide a system to report

• To determine direct and indirect

Hazards identified by the employer's

• Engineering out the hazard is preferred

Each employee is provided with training in the

Each employee exposed to a hazard is provided

The nature of the hazards to which the

What protective measures the

Evaluate the safety and health program

• Establish core values for safety

Have all levels of management

Develop an audit scoring systems

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