Occupational Health & Safety Audit and Risk Management

Posted on Nov 16, 2024 in Other subjects

1. Function of Audits as a Management Tool

Audits are a systematic, independent review of management activities or systems. They verify proper execution and compliance, aiming to:

  1. Detect and identify weaknesses in OHS management systems for improvement.
  2. Check compliance with all applicable regulations.
  3. Evaluate management effectiveness regarding company policy and objectives.
  4. Verify the effectiveness of corrective actions for identified deficiencies.
  5. Protect the organization from potential liabilities.

2. Objectives of Occupational Health and Safety (OHS) Audits

  1. Detect and identify weaknesses in OHS management systems and implement improvements.
  2. Ensure compliance with all current regulations.
  3. Evaluate management’s effectiveness in adhering to company policies and objectives.
  4. Verify the effectiveness of corrective actions implemented to address deficiencies.
  5. Protect the organization from potential liabilities.

3. Audit Program Extension

The audit program’s extension defines the scope, including activities, plants, or sites to be audited, and the relevant legal regulations or internal rules. Adequate resources must be allocated to achieve the specified objectives.

4. Requirements for Audit Staff

  1. Auditors must be approved according to established audit criteria.
  2. Auditors should maintain independence from the areas being audited, as much as possible.
  3. Auditors must possess knowledge, experience, and familiarity with the activities or areas under audit.
  4. Auditors should have appropriate training and experience in auditing work.
  5. Auditors can be internal (belonging to the company) or external (non-business).

5. Audit Methodology: Actions During the Audit Stage

  1. Initial meeting with the manager (external audit) or interviews with selected personnel (internal audit).
  2. Information gathering and comparison with legal requirements and the company’s management system (identifying strengths and weaknesses).
  3. Assessment of audit compliance evidence by identifying deviations from audit standards.
  4. Reporting of audit results (sharing findings in a final meeting with plant personnel).

6. Non-Conformity Categories and Grading Criteria

Category 1: Complete failure to comply with specified procedures.

Category 2: Complete failure to comply with some sections or requirements of the rules or procedures.

Category 3: Deficient performance under the established rules and procedures.

7. Pre-Audit Responsibilities of the Audit Team Leader

  1. Confirm and define the scope of the audit.
  2. Schedule team meetings.
  3. Gather and distribute relevant information.
  4. Review current legislation, policy rules, and plant procedures.
  5. Conduct a preliminary plant visit, if necessary.
  6. Ensure appropriate protocols or checklists are available to reflect company requirements.
  7. Prepare audit documents.
  8. Confirm the audit program with the audit team and the company.

8. Non-Conformities in the Risk Management System

Non-conformities include accidents, incidents, breaches or deviations from safety requirements, industrial hygiene, occupational health regulations (legislative or internal), issues with products, equipment, activities, documentation, etc.

9. Non-Compliances in Manufacturing and Production Activities

  1. Accidents and near misses.
  2. Deviations identified during various preventive techniques (surveys, observations, job safety analysis, etc.).
  3. Traffic accidents during the transport of dangerous goods and lack of safety documentation for such materials.

10. Corrective and Preventive Action Stages

Implementation of Actions: All corrective and preventive actions must have a designated responsible person and an assigned execution date.

Documentation and Registration: Documentation of corrective and preventive actions in safety, quality, and environment must be provided to avoid redundancies.

11. Reactive and Preventive Indicators

Reactive Indicators: Derived from events such as accidents, occupational diseases, or deviations from management system requirements.

Preventive Indicators: Represent efforts made to eliminate accidents and ensure compliance with management system requirements.

12. Examples of Reactive and Preventive Indicators

Reactive Indicators: Severity rate, frequency rate, accident and incident rate ratio, loss rate, etc.

Preventive Indicators: Index of intent, intensity index, monitoring index, target compliance indicator.

13. Costs of Safety

  1. Resources allocated to health and safety investments.
  2. Resources allocated to fixed safety costs.
  3. Costs due to non-safety (accidents and resulting losses).
  4. Resources for protection against antisocial acts.
  5. Costs of insurance policies.
  6. Compensation received from insurance companies due to accident-related damages.

14. Elements of a Safety Management System

An integral part of the organization’s management that addresses risks associated with the company’s activities.

Elements of the OHS System:

  1. General Requirements
  2. OHS Policy
  3. Planning
  4. Implementation and Operation
  5. Checking and Corrective Action
  6. Management Review

15. Safety Policy Requirements

The organization’s upper management defines the OHS policy. The policy outlines overall objectives and commitment to improving safety and health performance.

The Policy must:

  • Be appropriate to the nature and scale of OHS risks.
  • Include a commitment to continuous improvement and compliance with applicable legislation and other subscribed requirements.
  • Be documented, implemented, and maintained.

16. Methodology for Hazard Identification and Risk Assessment

  1. Define the scope, nature, and timing for proactive risk assessment.
  2. Provide risk classification and identify risks for elimination or control through appropriate measures.
  3. Align with operating experience and the effectiveness of risk control measures.
  4. Provide information for resource allocation and training needs identification.
  5. Define and develop controls to monitor required actions and ensure effectiveness and timeliness.

18. Factors Influencing Event Consequences

  • Nature and amount of energy released.
  • Nature and quantity of hazardous substances in the affected area.
  • Presence of other hazards in the affected area (synergy).
  • Emergency response effectiveness.
  • Local weather conditions (lighting, noise, space, etc.).
  • Number of exposed individuals and their vulnerability.

20. Establishing Objectives for Continuous Improvement

Objectives should consider legal and other OHS requirements, hazards and risks, technological, financial, and operational options, business requirements, and stakeholder perspectives.

21. Proactive and Reactive Objectives

Proactive Objectives: Apply to risk control and preventive measures. Example: Implement a comprehensive suite of OHS monitoring techniques.

Reactive Objectives: Apply to risk management, corrective actions, and reactive performance parameters (incidents, accidents, occupational diseases, etc.).

22. Characteristics of Well-Defined Objectives

  • Aligned with the policy.
  • Consistent with other organizational objectives.
  • Deployed within the organization (assigning responsibility for achieving each objective).
  • Documented for clarity and communication.
  • Achievable within a specific timeframe.
  • Challenging yet realistic.
  • Measurable (translating objectives into quantifiable goals).

23. Stages of Risk Management

Hazard Identification – Risk Assessment for each Hazard – Selection of Intolerable Risks – Proposal of Preventive Measures – Implementation of Preventive Measures – Verification of Measure Effectiveness

24. Benefits of Risk Analysis

  • Improved business performance.
  • Prioritization of risks and optimization of risk reduction costs.
  • Support for strategic and business planning.
  • Common understanding of business risks.
  • Increased stakeholder confidence.

25. Steps to Develop an Inventory of Critical Tasks

Two main stages: 1. Subdivision of occupations into their component tasks. 2. Identification of critical tasks within each occupation.

26. Definitions of Critical Area, Equipment, and Process

Critical Area: Plant area containing equipment, materials, or machines, or where vital tasks are performed, with high potential for personnel or property loss.

Critical Equipment: Equipment that, under sub-standard conditions or incorrect operation, could fail or be damaged, leading to significant production losses or injuries.

Critical Process: (Definition not provided in the original text)

27. Steps to Develop an Inventory of Critical Areas and Equipment

Two stages: 1. Divide the plant’s physical space into component areas and list all equipment within each area. 2. Determine the criticality of each area and its equipment.

28. Tips for Conducting an Inventory of Critical Areas or Equipment

  • Use a standardized form for data recording.
  • Subdivide physical space based on risk.
  • List unsafe conditions for each area or equipment.
  • Prioritize areas and equipment by decreasing criticality.

29. Definition of “Average Probability of Loss Occurrence”

The arithmetic average of all probabilities of occurrence associated with significant sub-standard conditions or actions related to areas or equipment.

30. Definitions of Task and Critical Task

Task: A sequence of steps or activities performed by an individual as part of their occupation to achieve an assigned result.

Critical Task: A task performed under existing conditions that has a high probability of resulting in serious loss.

Alternative II

  1. The greater the exposure to a potentially dangerous situation, c) the greater the associated risk.
  2. The scale of consequence values considers: c) Damage to persons and property.
  3. In impact analysis, priority should be given to: c) persons.
  4. The justification factor represents: c) The effectiveness of expenditure for the proposed action.
  5. The justification factor can be used to compare spending effectiveness: a) In various alternative control measures.
  6. The justification for the proposed risk reduction action controls: c) only 1, 2 and 3.
  7. A justification value of less than 10: c) Indicates that the risk reduction is too small to justify the expense.
  8. The following values (0 = no earlier than six months, 1 = two to six months, 2 = between one and five weeks, 3 = within the next 72 hours) represent: d) Scale of proximity of occurrence.
  9. A critical task inventory is essential for planning activities such as: b) only 1 and 3.