Regardless of industry, maintaining a safe and compliant workplace is essential—and a robust health and safety management system (HSMS) is the blueprint for this. Health and safety management systems are designed to identify, control, and reduce risks associated with workplace safety and health.
The implementation of the HSMS itself is an important endeavour for any organisation looking to protect its workforce and meet legal obligations, and so are regular audits to keep it effective over time.
Audits help organisations remain compliant with evolving health and safety standards, including ISO 45001, and contribute to a culture of continuous improvement.
What is a health and safety management system (HSMS)?
An HSMS is a structured framework that helps organisations manage their health and safety risks. It includes policies, procedures, and practices designed to prevent workplace accidents and illnesses, ensuring that legal and regulatory requirements are met. The system typically involves risk assessments, safety training, emergency preparedness, and regular monitoring to proactively mitigate risks.
Understanding the purpose of health and safety management system audits
Audits are systematic evaluations of a health and safety management system. The aim is to verify compliance with legal standards, identify potential hazards, and improve overall system efficiency. There are different types of audits—internal, external, compliance, and certification audits—that organisations can conduct to ensure their HSMS remains effective.
- Internal audits are conducted by internal staff to ensure processes are being followed correctly.
- External audits involve a third-party auditor evaluating the system, often as part of certification requirements.
- Compliance audits focus specifically on ensuring that all applicable regulations and standards are met.
- Certification audits are required for certifications such as ISO 45001, where an external auditor assesses the organisation’s compliance with specific health and safety standards.
Regular audits allow you to keep your health and safety management system in place beyond a one-time review. It enables you to track progress, rectify non-conformances, and continuously improve the system.
Why are regular audits important?
Audits conducted sporadically might suffice for initial compliance, but regular audits provide a proactive approach to maintaining and improving the HSMS. They allow for the early identification of issues before they escalate into larger problems, ensuring that health and safety procedures evolve with changes in regulations, work environments, or technology.
The importance of regular audits can be summarised in three core areas:
- Compliance: Ensuring the HSMS consistently meets regulatory and certification requirements.
- Continuous improvement: Audits help pinpoint areas where processes can be refined or enhanced.
- Risk mitigation: By identifying potential hazards early, audits play a crucial role in preventing accidents and incidents.
Key benefits of regular audits for your HSMS
1. Ensuring legal compliance
Health and safety regulations are constantly evolving. If you fail to comply with these, this can result in hefty fines or operational shutdowns. Regular audits ensure that your HSMS is always up to date with the latest legal requirements, including compliance with national regulations and international standards like ISO 45001.
2. Improving organisational efficiency
Audits don’t just focus on safety—they also uncover inefficiencies. A thorough audit can reveal redundant processes, bottlenecks, or areas where resources are being wasted. Streamlining these processes not only enhances your HSMS’s effectiveness but also improves your organisation’s overall efficiency.
3. Building a culture of safety
One of the most powerful outcomes of regular audits is fostering a proactive safety culture. When audits become a routine part of your operations, safety moves beyond being a compliance issue. It becomes an integral part of your organisation’s DNA, employees prioritise safety in their daily work, and leadership demonstrates a commitment to maintaining a safe workplace.
4. Identifying and mitigating risks
A primary function of regular audits is risk identification. During an audit, potential hazards are identified, and mitigation strategies can be implemented before incidents occur. By systematically reviewing the workplace and safety procedures, audits help organisations stay ahead of risks, ensuring the safety of employees and visitors.
Enhancing compliance through ISO 45001 certification
ISO 45001 is the international standard for occupational health and safety management systems. Achieving this certification signals to stakeholders, employees, and clients that your organisation is committed to maintaining a safe working environment.
Role of ISO 45001
ISO 45001 outlines the requirements for an effective health and safety management system. It emphasises proactive measures and risk prevention, encouraging organisations to go beyond mere compliance with legal requirements. The standard focuses on continuous improvement and leadership’s involvement in fostering a safety culture.
How audits support certification
Regular audits play an integral role in obtaining and maintaining ISO 45001 certification. Audits ensure that your organisation complies with the evolving requirements of the standard, allowing you to identify gaps that need to be addressed for certification. Additionally, they provide an ongoing mechanism to ensure your HSMS remains aligned with best practices in health and safety management.
The audit process: A step-by-step overview
The audit process can be broken down into four key stages, each critical to ensuring a thorough and effective evaluation.
1. Planning and preparation
The first step is defining the objectives and scope of the audit. What areas will be reviewed, and what criteria will be used? This involves reviewing past audits and setting clear expectations for what the audit should achieve.
2. Execution
During the execution phase, auditors will conduct document reviews, site inspections, and interviews with staff. This is where evidence is gathered to evaluate the effectiveness of the HSMS and identify any non-conformances.
3. Reporting findings
Once the audit is complete, findings are documented in a report. This should include both non-conformances and areas where improvements can be made. The report should provide clear recommendations on how to address any gaps identified.
4. Corrective action plan
The final step is creating a corrective action plan. This should outline the steps the organisation will take to rectify non-conformances and improve its HSMS. It is important to assign responsibility and set deadlines for each action to ensure timely implementation.
Best practices for implementing effective audits
To maximise the efficacy of your audits, consider these best practices:
- Schedule audits based on risk: Tailor the frequency of your audits based on the risk level of specific areas or past performance. Higher-risk areas may require more frequent audits.
- Involve leadership and staff: Audits are more effective when leadership actively participates and staff are involved in the process. This ensures that everyone understands the importance of the audit and is committed to addressing its findings.
- Use audit findings for continuous improvement: Rather than viewing audit findings as punitive, treat them as opportunities for improvement. Regular audits should serve as a tool for refining your HSMS over time.
How technology can streamline your auditing process
The use of technology can significantly enhance the auditing process, making it more efficient and insightful.
- Audit management software: Compliance management and audit software can help automate various stages of the audit process, from planning to reporting, making audits less time-consuming and reducing the risk of human error.
- Data analysis and insights: Data collected during audits can be analysed to spot trends or recurring issues, providing valuable insights that can inform your HSMS strategy.
- Remote audits: With the rise of remote work, remote audits have become increasingly relevant. Technology enables auditors to review documents and even conduct virtual inspections, reducing the need for on-site visits.
Common pitfalls to avoid during audits
While audits are invaluable tools for improving your HSMS, there are some common pitfalls to be aware of:
- Relying on checklists alone: Checklists are helpful but shouldn’t be the only tool used in an audit. It’s important to take a holistic approach and look beyond simple checkbox compliance.
- Lack of follow-up: An audit is only as effective as the actions taken afterwards. Failing to follow up on corrective actions can render the audit meaningless.
- Not reviewing past audits: Each audit should build on the previous one. Failing to review past audits can lead to recurring issues going unresolved.
The long-term value of regular audits
Regular audits strengthen your organisation in more ways than one. Beyond improving safety and compliance, they promote resilience and operational success. By identifying risks early and ensuring compliance, audits contribute to a safer and more efficient workplace. Over time, this leads to a culture of continuous improvement where the health and safety management system remains dynamic and adaptable to changes in the business environment.
To further enhance your health and safety management, consult with our HSMS consultants, who can provide tailored advice and support as you prepare for certification. Call us today.