SHE inspections and audits

Inspections are continuous processes of vigilance. The type and timing of inspections are not primarily dictated by the occurrence of events. Rather, such activities have to be integrated as vital parts of the company s scheduled SHE management activities. 

A main aim of the inspections is to check the technical standard of the workplaces by identifying and correcting deviations from regulatory requirements and company standards (i.e. first-order feedback according to 

There are different types of inspections. Below are some examples  

The employer s duty to perform regular inspections of the workplaces is laid down in the legislation of many countries and in voluntary SHE management standards (Section 2.2). According to internal control legislation in e.g. the Scandinavian countries, the United Kingdom and the USA, the employer must 

We start by looking into the traditional workplace inspections that are carried out by the supervisor and safety representative, possibly with support from the SHE staff. There are documented routines for such inspections in companies that have implemented a formal SHE management system. 

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Each day for almost 3 months nonstop we trained up to 30 employees, managers, and union members on the 1-day inspection and auditing courses. Line managers, union representatives, and safety staff attended the 5 days training required for safety and health representatives, and a five-star safety and health representative jacket was presented to all who completed the course. This jacket became a prize possession, and employees flocked to the training to complete the courses and be presented with this jacket. I watched many an employee receive his or her jacket and attendance certificate from the general manager at the final class presentation, and there was a look of pride and achievement on the employee s face when he or she first donned the jacket. The employees wore it with pride. 

In our model of a SHE information system in Chapter 1, we identified four different subsystems, i.e. data collection, data analysis or processing, a memory and distribution of information. We will here first focus on the data-collection subsystem. Chapter 12 presents an overview and Chapters 13 and 14 give details about different methods of data collection in accident and near-accident reporting and investigation, workplace inspections and SHE audits. We will then proceed in Chapter 15 to go through some basic principles for the establishment of a memory (database) on accident risks. After that, we will review different methods for data analysis based on data from accidents and near-accidents in particular. In practice, it is not always easy to separate data collection from data analysis or processing, because these activities often interact. 

SHE performance measurement utilises all four sub-systems of a SHE information system. The performance indicators apply data from the different sources presented in Chapter 12 such as accident and near-accident reporting, workplace inspections and SHE audits. The data is analysed and presented in a specific way, enabling comparison with goals, previous results, results of other companies, etc. 

Accidents and near accidents are unwanted events occurring at random points in time. At the same time, they represent opportunities of learning about hazards and causal factors at the workplace and in the company. We should grab the opportunities when they occur and conduct adequate investigations. Workplace inspections and SHE audits are pre-planned activities that also represent opportunities of learning. They focus on deviations, contributing factors and root causes and not, in the first place, on hazards. 

SHE audits are the main tools of Norskoil s SHE manager for follow-up on safety in construction. The contractor s site safety co-ordinator also performs audits of this type. The audit team checks actual performance against regulatory and contractual requirements and the yards SHE programmes. The audits usually consist of two parts, i.e. a system part and a technical part. In the system audit, the SHE manager checks SHE documentation and practices in relation to the commitments in the SHE programme. The technical audit is carried out as workplace inspection. The audits follow a schedule and each audit covers a separate theme. Below are examples of audit themes ... 

Are the feedback loops closed Are the routines for the reporting and investigation of accidents and near accidents and for the execution of workplace inspections and SHE audits adequate Are the results used in decisions to improve safety, and is there a follow-up of the implementation of the actions decided upon Does the company meet the requirements in relation to reporting to the authorities Have the routines been documented and are they known to the people concerned ... 

Preapproval inspections can be very comprehensive in nature. Firms therefore need to be well prepared before the arrival of the FDA investigators. The field investigator will in all likelihood audit development data during the course of the inspection for authenticity as well as for accuracy. Additionally, he or she will determine if the facilities, personnel, equipment, and laboratory methods adequately support the manufacturing process in the NDA. The items likely to be reviewed by the FDA investigator(s) during the course of the inspection are shown inTable 2. 

Whether or not an investigator seeks additional support or is accompanied by a partner, he or she is required to prepare a detailed report of the audit that will accompany the FDA-483 list of observations if one was issued. Fie or she will also recommend approval or suggest that FDA withhold approval based on the inspection. The district office and headquarters do not necessarily have to adhere to the recommendations however, they typically do. 

Quality and Compliance Fulfill regulatory expectations of QA/QC Unit — responsible for interpretation of regulatory requirements into policy and procedures. He or she is responsible for validation oversight (compliance audits and approval of key validation documentation). This role is typically also responsible for inspection-related liaison with regulatory authorities. 

Despite the many demands that require safety and health professionals to be chained to their desk, it is essential that safety and health professionals allot time in their weekly schedule to be actively involved within the operations. Although safety and health professionals often perform weekly inspections, job hazard observations, safety audits, and related activity, it is import for safety and health professionals to make time to meet and talk with every employee on every job. Safety and health professionals should engage the employee and ask the employee to explain what he or she does in his or her job function. 

The inspectors are usually addressed by first-name, if he or she does not present and behave in a very formal way. This is common in the United States and, however, should not be interpreted as a chummy form of address (as it may imply for Europeans). It should be remembered that the inspection is a formal administrative act, similar to a tax audit or judicial investigation, despite the relaxed and casual appearance, or speech of the inspectors. Monitor the situation thoughtful and focused, and try to help the inspector to make his or her work as comfortable as possible. The general behavior shoirld be characterized by friendliness and commitment, because people from the American culture are accustomed to a friendly and open environment. A natural smile or friendly gesture is the best guarantee that you will reach the human touch of the inspectors. 

Reporting and collection of data on accident risks by means of accident and near-accident investigations, workplace inspections, SHE audits and risk analyses. Methods of data collection include observation, interviews, self-reporting, group discussions, electronic registration, etc. 

When we design a database on accidents and near accidents, we also have to consider what other types of data we may want to store in later developments of the database. In the end, we may, for example, be interested in integrating data from accident and near-accident investigations with reports on unsafe conditions, nonconformities, workplace inspections, risk analysis and SHE audits in a common database. 

Internal distribution of individual reports Accidents and near accidents Unsafe conditions Workplace inspections Nonconformities Risk analysis SHE audits... 

Similar routines have to be developed for the reporting of unsafe conditions, workplace inspections, risk analyses, SHE audits, etc. Responsibilities and routines have to be documented in procedures and work instructions. 

Efforts should be made to simplify the form for the registration of accidents and near accidents as far as possible. It is an important principle that the design of the form shall not create a barrier towards the reporting and investigation of accidents and near accidents. Some of the data are fed directly into the computer and need not show up on the form for the supervisor s first report. No specific form is needed for the in-depth investigations. Checklists should be developed to support the investigations. There are also other tools to be considered such as checklists and record sheets for use in workplace inspections, risk analyses and SHE audits. 

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