Strategic H&S Audit
What is required
Kelburn Risk Management has developed a structured auditing process designed to independently and accurately collect information on the efficiency, effectiveness and reliability of an organisation’s current health and safety arrangements.
The Strategic Audit from Kelburn Risk Management aims to establish that:
- appropriate management arrangements are in place;
- adequate risk control systems exist; and
- appropriate workplace precautions are in place.
Our Approach
- Deliver services to the very highest levels of professional integrity and competence.
- Apply intelligence to the work in hand – we believe that risk management information needs to be put into meaningful context.
The methodology for undertaking the Strategic Audit is described by the following key stages:
Key Stage 1
– Understanding the organisation and discussing and agreeing objectives and scope of the audit
At the beginning of the process we would:
- Understand the organisation in terms of what it does, how it is structured and organised and how it is managed.
- Agree the objectives and scope of the audit in terms of the key people to be interviewed, and the number of sites/activities to be included.
- Establish timelines for delivering the various stages of the process.
- Determine the format of the audit report and the way in which its findings would be communicated to the organisation’s managers/directors.
Key Stage 2
– Collecting Information
The method of collecting health and safety information would be determined as part of the scoping exercise described in key stage 1. Furthermore, the scoping exercise would also help determine how much sampling needs to be done to make a reliable assessment.
The nature and complexity of the audit would vary according to the:
- objectives and scope;
- the size, sophistication and complexity of the organisation;
- and the maturity of the existing health and safety arrangements.
Our Approach cont.d
Information would be collected via three main sources:
Key Stage 3 – Making Judgements
The adequacy of the health and safety arrangements would be judged against legal standards, HSE guidance and applicable industry standards. In particular, judgements can be made against the following recognised standards:
HSG 65 – Successful Health and Safety management.
Occupational Health and Safety Series (OHSAS) 18001.
The areas of health and safety management that would be covered by the audit would include:
- Interviewing individuals – to gain information about the operation of the health and safety management arrangements and the perceptions, knowledge, understanding, managing practices, skill and competence of managers and employees at various levels.
- Examining documents – assessing records, performance standards, procedures and instructions for completeness, accuracy and reliability.
- Visual observation – of physical conditions and work activities to examine compliance with legal requirements and verify implementation and effectiveness of workplace precautions.
Key Stage 3 – Making Judgements
The adequacy of the health and safety arrangements would be judged against legal standards, HSE guidance and applicable industry standards. In particular, judgements can be made against the following recognised standards:
HSG 65 – Successful Health and Safety management.
Occupational Health and Safety Series (OHSAS) 18001.
The areas of health and safety management that would be covered by the audit would include:
- Policy – an effective health and safety policy sets a clear direction for the organisation to follow.
- Organisation – an effective management structure and arrangements must be in place for delivering the policy.
- Planning and implementation – a planned and systematic approach to implementing the health and safety policy is achieved through an effective health and safety management system.
- Performance measurement – measuring performance against an agreed standard would reveal when and where improvement is needed.
- Auditing and reviewing performance – enables the organisation to learn from all relevant experience and to apply the lessons.
Report Format
- Introduction - covering the scope and objective of the audit
- Executive Summary - including a summary of the key findings and conclusions
- Health and Safety Risk Profile - a quantified measurement of risk for the organisation which focuses on key health and safety criteria
- Audit findings - containing the qualitative positive as well as negative findings
- Action Plan - a prioritised plan detailing any recommended improvements
With specific reference to the action plan, recommendations would be prioritised on the likelihood of enforcement action being taken, i.e. the failure would potentially result in:
- Prosecution and / or a Prohibition Notice being served
- Improvement Notice being served
- Warning letter being received
- Advice being issued
Note: In relation to the audit findings and action plan items, these would be backed up with actual practical examples to provide illustrations to managers as to why these observations are being made.
The Strategic Health and Safety Audit report would initially be presented to you in draft format to confirm that the scope and objectives have been strictly adhered to, as well as ensuring the style etc. is acceptable. Once comments have been received from you, the final version is issued.