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S A F E T Y M A N A G E M E N T

Appearances can be decep-

tive.Just because a compa-

ny has not had any acci-

dents during the year does

not guarantee that its safety and health

program is working as well as itshould.Nor does it mean that employ-

ees at all levels are following both gov-

ernment regulations (OSHA,EPA,DOT,

etc.) and internal company policies.

Performing an end-of-the-year safety

program audit is one sure way to dis-

cover hidden problems that sometime

in the future might surface in the form

of accidents,citations,fines and/or liti-

gation.

Who Should Perform the Audit?A company has two options. It can

self-audit its safety program using an

internal auditing team or hire an exter-

nal consultant.Whichever method is

chosen,the crucial element is auditor

independence.The individuals evaluat-

ing the program must be free of per-

sonal/organizational bias and not sub-

ject to internal or external influences.

Conflicts of interest in self-audits

most often occur when the auditors

have in some way shaped the pro-

gram or activities. For that reason,the companys safety director, safety

committee members and/or project

managers are not the ideal people to

comprise an internal auditing team.

The audit team leader or consultant

should report directly to the presi-

dent or CEO.

Those performing the evaluation

must have the authority to review all

aspects of the safety and health pro-

gram policies and procedures,acci-

dent records, inspection reports, train-

ing records,maintenance reports,

emergency plan,etc. as well inter-

view managers and workers.To con-

duct worthwhile interviews, the audi-

tor must have the ability to listen andcommunicate effectively,and some-

times read between the lines.

Planning the Audit

The first step is to determine

whether a full or partial audit is

needed. The process can be used to

review any or all of the following:

safety and health policies and proce-

dures,employee training, regulatory

compliance, accident investigation

and reporting, inspection process,hazardous materials handling, envi-

ronmental policies and procedures,

fleet operations,etc.Once the

extent of the audit is determined,

the objectives must be defined and a

plan established for how the audit

will proceed.

Because the effectiveness of an

audit depends on

management and

worker participa-

tion,the purpose

of the process,how it will be

conducted and

the benefits

should be

explained to

managers and

employees before

the evaluation

begins.They

should clearly

understand that

their cooperation and candor is nec-

essary to ensure the success of the

audit.It also is important to point out

that the goal is to improve the safety

program rather than place blame.

Conducting the Audit

In brief, the audit involves review-

ing the documentation,observing

operations in the field and interview-

ing managers and workers to deter-

mine if the established policies and

procedures are being properly imple-

mented at all levels,and if not,what

corrective action needs to be taken.

For example, are workers working in

a safe manner based on the training

they have received? Is additionaltraining necessary? Is safety equip-

ment and PPE in use as required? Are

managers making regular inspections

and investigating accidents?

These are only a few of the ques-

tions the auditor should ask.The spe-

cific companys safety program and

policies will serve as the principal

Conducting Safety and Health

Program Audits

BY GEORGE KENNEDY, NUCA VICE PRESIDENT OF SAFETY

8 Utility Contractor | DECEMBER 2005

A year-end safety audit is one sure way to discover problemsthat could surface in the future. Photo: South Carolina DOT.

8/6/2019 Conducting s&h Programs Audits

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guide to what must be evaluated.

Additionally, the auditor may want

to make use of general checklists

e.g.,OSHA Instruction STD 3-1.1,which summarizes the makeup of a

basic safety and health program.This

document contains six sections: man-

agement commitment and leader-

ship; assignment of responsibility;

identification and control of hazards;

training and education;recordkeep-

ing and hazard analysis; and first aid

and medical assistance.

Reporting and Documenting the Audit

After the audit has been completed,

the results and conclusions should be

documented in a final report.The

report should then be reviewed by

the companys executive management

and safety department.

Corrective Action

Once approved, the audit results

should be disseminated and correc-

tive action taken. It then may be pos-

sible to make substantial improve-

ments in some areas as problems are

spotted during the audit process,butthey should be recorded in the

action plan for correcting the remain-

ing deficiencies.

That plan should include a set of

recommendations (with the defi-

ciencies ranked by priority), a plan

to implement the recommendations

and a timeline for doing so.

Benefits of a Safety Audit Program

To sum up, a company benefits from

an audit by:

Helping management evaluate theoverall effectiveness of the program

Showing management what areas

are deficient and what corrective

action is required

Heightening management and

worker awareness of the safety

program

Ensuring that the program is

implemented as planned,and

Helping reduce injuries/illnesses,

regulatory violations and claims.

A safety and health program audit

provides managers with the infor-

mation they need to improve a

companys safety performance.Because there is always room for

improvement, audits should be

done annually.

For a lengthier discussion of safety

and health program audits and a

handy one-page checklist of the basic

questions that should be asked andanswered,NUCA members can refer

to the January/February 2005 issue of

NUCA Safety News.UC

DECEMBER 2005 | Utility Contractor 9

S A F E T Y M A N A G E M E N T