ELEMENT 3

REVIEW AND ASSESS THE EFFICIENCY AND

EFFECTIVENESS OF THE INSPECTION AND AUDIT
PROCESS FOR OH&S MANAGEMENT SYSTEM
 Learning outcomes

Justify the frequency and type of inspections and audits (Internal &
External) for the OH&S Management system in the context of organization

Review and assess the necessary competencies requirement for the

personnel involved in inspections and audits

Manage the provisioning of effective training as per the complexity of

processes and evaluate the effectiveness of imparted training

Evaluate the quality of inspections and audits

Present a case for the requirement of resources for inspections and

audits

Review and assess the effectiveness of inspection/ audit criteria

 Learning outcomes

Identify the requirements for any measuring and monitoring equipments including any
calibration arrangements for OH&S Management system processes

Review and assess the risks pertaining to inspections and audits

Evaluate the arrangements to measure the degree of conformance of the OH&S

Management system against the established criteria

Review and interpret the legal requirements and incorporate them into the
organization’s inspection and audit process

Investigate the root causes for the non conformances/ incidents and suggest corrective
actions

Review and assess the inspection and audit objectives and deliverables

Evaluate the arrangements for preventive actions in context of the organization

 Active Monitoring

WHAT IS ACTIVE MONITORING?

PURPOSE OF ACTIVE MONITORING

PERFORMANCE STANDARDS/CRITERIA FOR ACTIVE MONITORING

ORGANIZATIONAL CONTEXT AND PERFORMANCE STANDARDS

DEGREE OF CONFORMANCE
 Quiz

IS IT NECESSARY THAT ALL ORGANIZATIONS MAY

HAVE SET SAME PERFROMANCE STANDARDS? IF
NOT, EXPLAIN WHY?
 Systematic Inspections

WHAT TO INSPECT

WHEN TO INSPECT

HOW TO INSPECT

WHO WILL INSPECT

 Planning for workplace Inspections?

WHY PLAN

CONSIDERATIONS FOR PLANNING

- THE FREQUENCY OF INSPECTIONS

- THE TYPE OF INSPECTIONS
- COMPETENT INSPECTION STAFF
- RESOURCES BY TOP MANAGEMENT
- INSPECTION CRITERIA
- RESPONSIBILITIES AND AUTHORITIES
- THE PERFORMANCE INDICATORS
 Reactive Monitoring

WHAT IS REACTIVE MONITORING

WHY REACTIVE MONITORING

PERFORMANCE STANDARDS FOR REACTIVE MONITORING

TRENDS

PATTERNS
 Quiz

AN ORGANIZATION HAS A ROBUST SYSTEM FOR

ACTIVE MONITORING. WHY DO THEY NEED TO
HAVE A REACTIVE MONITORING SYSTEM THEN?
 Investigating Incidents

ROLE AND FUNCTION

- ISO STANDARDS REQUIREMENT

- APPLICABLE LEGAL REQUIREMENTS (IF ANY)
- FINANCIAL LOSS ASSESSMENT
- SAFETY CULTURE IMPROVEMENT
- IMPROVE THE TREND OF INCIDENT REPORTING
- CONTINUAL IMPROVEMENT OF OHS MANAGEMENT
SYSTEM
- IDENTIFY THE TRENDS AND PATTERNS
- DOCUMENT THE FACTS FOR FUTURE REFERENCE
- TO IDENTIFY THE TRAINING NEEDS
 Quiz

EXPLAIN HOW INCIDENT INVESTIGATION CAN

INFLUENCE SAFETY CULTURE OF THE
ORGANIZATION. GIVE EXAMPLES
 Investigation prerequisites

WHO TO DECIDE FOR INVESTIGATION?

THE RESPONSIBILITIES FOR CARRYING OUT INVESTIGATION.

INCIDENT SITE PRESERVATION

FIRST AID AND MEDICAL TREATMENT TO INJURED (IF ANY)

WITNESS VOLUNTEERS OR NOT

THE FACTS AND DATA RELIABILITY

 Quiz

EXPLAIN WHY SOME WITNESS WILL NOT COME

FORWARD TO PRESENT FACTS ABOUT INCIDENTS?
 Investigation Procedure

GATHER FACTUAL INFORMATION

INFORMATION SCRUTINY AND ANALYSIS

IDENTIFY THE CAUSES OF INCIDENT

SUGGEST CONTROL MEASURES

 Principles of good interviewing from witnesses
BUILD A RAPPORT

RELEVANT QUESTIONS ONLY

ELABORATE AND EXPLAIN

REMEMBER INCIDENT PERSPECTIVE ONLY.

OPEN ENDED QUESTIONS

PATIENCE

HUMAN PSYCHOLOGY. INTERVIEWER SILENCE CAN ELICIT INFORMATION

REMAIN NEUTRAL

UNDERSTANDING FOR CLOSED QUESTIONS

THANKING WITNESS AND GET A WRITTEN SIGNED STATEMENT

 Quiz

OUTLINE FACTORS WHICH MAY OFFEND A

WITNESS?
 Principles of good interviewing from witnesses
BUILD A RAPPORT

RELEVANT QUESTIONS ONLY

ELABORATE AND EXPLAIN

REMEMBER INCIDENT PERSPECTIVE ONLY.

OPEN ENDED QUESTIONS

PATIENCE

HUMAN PSYCHOLOGY. INTERVIEWER SILENCE CAN ELICIT INFORMATION

REMAIN NEUTRAL

UNDERSTANDING FOR CLOSED QUESTIONS

THANKING WITNESS AND GET A WRITTEN SIGNED STATEMENT

 Contents of an effective Investigation Reports

DATE, TIME AND LOCATION OF THE INCIDENT

DETAILS OF ANY INJURIES, ILL HEALTH OR DAMAGES

DESCRIPTION OF THE INCIDENT

THE SUPPORTED DOCUMENTS

IDENTIFICATION OF THE SITUATIONS AND PRACTICES WHICH RESULTED

INTO THE INCIDENT

CONTINUE……
 Contents of an effective Investigation Reports

THE INFORMATION ABOUT ANY MONITORING EQUIPMENT

REFERENCE TO ANY PROCEDURE

INVESTIGATION FINDINGS

CAUSES OF THE INCIDENTS

ESTIMATION OF THE LOSS

SUGGESTED CONTROL MEASURES

 Quiz

IS IT MANDATORY FOR TOP MANAGEMENT TO

COMPLY WITH THE RECOMMENDATIONS OF
INVESTIGATION REPORT? IF NOT EXPLAIN WHY
 Incident Recording & Reporting Procedure

WELL DOCUMENTED AND COMMUNICATED

UNDERSTOOD BY THE EMPLOYEES

FORMS AND DOCUMENTS ARE AVAILABLE AT POINT OF USE

IMPLEMENTATION THROUGH AWARENESS, TRAINING, SUPERVISION,

INSPECTIONS AND AUDITS

MEASURING EFFECTIVENESS OF THE PROCEDURE

 Quiz

OUTLINE WHY AN INCIDENT REPORTING SYSTEM

MAY BECOME INEFFECTIVE?
 Quiz
OUTLINE FACTORS WHICH CAN INFLUENCE IF
INVESTIGATION TO BE CARRIED OUT OR NOT
SUBSEQUENT TO AN INCIDENT REPORTING FORM
HAS BEEN RECEIVED?
Incident Causation
Theories
Heinrich's Domino Theory

WHAT DOES THE THEORY SAY?

HOW CAN THIS THEORY HELP IN PREVENTING INCIDENTS

 Heinrich’s Dominos – the Process
A PERSONAL INJURY (THE FINAL DOMINO) OCCURS ONLY AS A RESULT OF
AN ACCIDENT.

AN ACCIDENT OCCURS ONLY AS A RESULT OF A PERSONAL OR

MECHANICAL HAZARD.

PERSONAL AND MECHANICAL HAZARDS EXIST ONLY THROUGH THE FAULT

OF CARELESS PERSONS OR POORLY DESIGNED OR IMPROPERLY
MAINTAINED EQUIPMENT.

FAULTS OF PERSONS ARE INHERITED OR ACQUIRED AS A RESULT OF THEIR

SOCIAL ENVIRONMENT OR ACQUIRED BY ANCESTRY.

THE ENVIRONMENT IS WHERE AND HOW A PERSON WAS RAISED AND

EDUCATED.
 Heinrich’s Domino Theory – Critical Issues

SIGNIFICANCE OF THE FACTOR PRECEDING THE ACCIDENT

ACCIDENTS AND THE PROXIMATE CAUSES OF THOSE ACCIDENTS.

INCIDENTS SHOULD BE THE POINT OF ATTACK

 Heinrich’s Domino Theory – Corrective Action Sequence

(THE THREE “E”S)

ENGINEERING

EDUCATION

ENFORCEMENT
 Multi Causal Theory

WHAT DOES THE THEORY SAY?

SERIES OF EVENTS VS MULTI CAUSES

WHAT IS 5 WHY APPROACH AND WHY IT IS USED

 Quiz

GIVE AN EXAMPLE OF USING 5 WHY APPROACH TO

IDENTIFY THE ROOT CAUSE OF AN INCIDENT AT
WORKPLACE
 System theory of accident causation

WHAT DOES THE THEORY SAY?

THREE COMPONENTS:

PERSON (HOST)
MACHINE (AGENCY)
ENVIRONMENT.
 Health and Safety Auditing

WHAT IS AN AUDIT

PURPOSE OF AUDITING

SCOPE OF AUDITING

AUDIT CRITERIA

AUDIT OBJECTIVES

TYPE OF AUDITS

PROS AND CONS OF EACH AUDIT TYPE

AUDIT VS INSPECTIONS
 Audit Process

PRE AUDIT ACTIVITIES

CONDUCT OF ONSITE AUDIT

POST AUDIT ACTIVITIES

 Audit Process
PRE AUDIT ACTIVITIES

CONDUCT OF ONSITE AUDIT

POST AUDIT ACTIVITIES

 Audit Responsibility

WHY AUDITS?

RESOURCES FOR AUDITS

TOP MGT RESPONSIBILITY FOR AUDITS

EMPLOYEES’ RESPONSIBILITIES FOR AUDITS

 Quiz

WHY DO ORGANIZATIONS CARRY OUT AUDITS

ONCE THERE IS AN ONGOING PROCESS OF
INSPECTIONS IN PLACE THROUGHOUT THE YEAR?
 Processes involved in Monitoring & Measuring OH&S MS

IDENTIFICATION OF KEY PROCESSES

PERFORMANCE INDICATORS FOR KEY PROCESSES

MONITORING AND/OR MEASURING CRITERIA

INSPECTION & INTERNAL AUDIT SYSTEM IN PLACE

COMPETENCE OF PERSONNEL INVOLVED IN MONITORING, MEASURING

AND AUDITING

RISKS ASSESSED FOR ALL THE KEY PROCESSES

 Quiz

WHAT ARE KEY PROCESSES AND HOW DO

ORGANIZATIONS IDENTIFY THEM?
 Analyzing and Evaluating OH&S MS

WHAT IS ANALYZING OHS MS

WHO ANYLYZES

WHAT IS EVALUATING OHS MS

WHO EVALUATES

DIFFERENCE BETWEEN ANALYZING AND EVALUATING

CRITERIA FOR ANALYZING AND EVALUATING

 Quiz
WHY DO ORGANIZATIONS ANALYZE AND
EVALUATE THEIR OHS PERFORMANCE ONCE
INSPECTIONS AND AUDITS ARE ALREADY BEING
DONE EFFECTIVELY?
 Benefits of 3rd Party Accredited Certification

MARKETING ADVANTAGE

CAPTURING OVERSEAS MARKETS

GAINS CUSTOMERS TRUST AND LOYALTY

VALUE ADDITION IN THE OH&S MS

LEGAL & OTHER REQUIREMENTS ARE FULFILLED

2ND PARTY AUDITS MAY BE EXEMPTED FROM CLIENTS

 Sampling in audits and inspections

WHY SAMPLING?

HOW SAMPLING IS DONE

CHARACTERISTICS OF AN EFECTIVE SAMPLE

RISK INVOLVED IN SAMPLING

 Checklists

WHY CHECKLISTS?

HOW TO PREPARE CHECKLISTS

PROS AND CONS OF USING CHECKLISTS FOR AUDITS

 Audit principles

INTEGRITY

FAIR PRESENTATION

DUE PROFESSIONAL CARE

CONFIDENTIALITY

INDEPENDENCE

EVIDENCE-BASED APPROACH
 Quiz

OUTLINE WHY AUDITORS’ OPINION AND

PREFERENCES CAN UNDERMINE THE AUDIT
CONCLUSIONS?
 Objective Audit Evidence

WHAT IS OBJECTIVE EVIDENCE

HOW TO COLLECT OBJECTIVE EVIDENCE

- DOCUMENT REVIEW
- OBSERVATION
- INTERVIEWING

HOW TO RECORD OBJECTIVE EVIDENCE

VERIFICATION OF OBJECTIVE EVIDENCE

 Non Conformity (NC)

WHAT IS A NON CONFORMITY

HOW TO DETECT A NON CONFORMITY

IS A NON CONFORMITY GOOD OR BAD FOR ORGANIZATION

TYPE OF NON CONFORMITIES

HOW TO ADDRESS NON CONFORMITIES

COMPETENCE OF AUDITORS VS QUALITY OF NON CONFORMITY

 Non Conformity Report (NCR)

WHAT IS A NON CONFORMITY REPORT

WHO RAISES AN NCR

WHAT IS AN NC STATEMENT

FEATURES OF AN EFFECTIVE NC STATEMENT