Conducting the audit
When deciding on what type of audit to perform, develop a checklist that can be used during the actual audit. This can serve as a template for future audits, allowing auditors to add or delete items depending on the specifics of the inspection. There are several resources that can help with checklist development. Company hazard communication plans, local codes, chemical storage guidelines, municipal, provincial and federal laws and international standards are good starting points. Employees may also suggest other checklist items based on safety training, trade shows or their own independent research.
In most cases, the best time to conduct a safety audit is when normal operations and work practices can be observed. An exception would be when an inspection of the physical structure, fittings, drain covers or return inlets at an aquatic facility is being conducted. In this case, the audit would be best carried out during non-active times, when there are no bathers present.
A facility auditor must be able to recognize and make recommendations to remove or reduce exposure hazards. He or she should verify whether employees are following safety procedures, are able to perform their job responsibilities and can respond appropriately to emergency situations. For example, lifeguard audits at an aquatic facility will demonstrate the employees’ ability to perform rescues and administer aid to a victim, while also verifying all staff have completed the necessary certifications and training for their respective jobs. Similarly, a builder should verify that employees or subcontractors use appropriate personal protective equipment (PPE).
It is also important to ensure the facility, equipment and operations meet the required local and federal health and safety requirements, as well as best industry business practices. In addition, audits make certain that proper records supporting the required health, safety and medical activities are maintained.
Reporting the audit results
Audit results should be communicated to affected management and employees, documenting the outcome of the audit along with any planned or completed corrective action. Keep in mind it is important to communicate what employees are doing right, as well as what they are doing wrong. When completing an audit report, avoid stating opinions; the more impartial the statements are, the better. For example, stating the main drain cover is missing and needs to be replaced immediately is objective; stating the main drain cover could cause injury is subjective. Impartiality becomes critical if the audit is requested during a legal action.
Be specific about the hazards identified. The location and description of each hazard should be noted in sufficient detail, including the location, name of department areas, date and time of the audit. Including these specifics is helpful, as it will make it easier to carry out the specified corrective action. Digital photographs can also be included in a report to clarify written observations.
For instance, instead of merely noting the presence of a generic hazard (e.g. ‘fire hazard’), a facility audit report should provide more details, for example:
- frayed wire on hand drill number 237;
- flammable material underneath table in area 5;
- liquid water clarifiers stored above National Fire Protection Association (NFPA) Class 1 solid oxidizer chemicals on storage shelf; or
- delivery personnel from Company X were not using appropriate back braces when unloading pallets to storage room during delivery.
When documenting hazards, the report should also detail what needs to be done to correct them; it may also identify who is responsible for taking the corrective action. To the best of the auditor’s ability, the report should highlight audit results and corrective actions in order of severity. This helps ensure the most pressing matters are dealt with first.
If the auditor is not qualified to identify appropriate corrective actions, the report should document the concern so qualified personnel can formulate possible solutions to the issue and, more importantly, the underlying cause, which also needs to be addressed in any corrective measures.
For example, wiping up a wet area on the floor removes the immediate problem but does not remove the cause. If the water came from a leaking pipe, it is important the leak be repaired to prevent a more serious water problem.
If the hazard poses an immediate and dangerous threat to workers or the public, the facility or area must be closed until the necessary corrective steps have been taken to eliminate it. In some cases, a temporary corrective action must be taken to prevent accidents until a permanent solution can be implemented—for example, roping off the affected area, tagging and locking out equipment or posting warning signs. This will control exposure to the hazard until it can be minimized or eliminated.
