Systems Audits: Going Beyond Inspections

Most employers conduct inspections or what some call walkthroughs, and many employers conduct audits, as well. But, there are some employers that don't conduct audits — and there are some that think they conduct audits, but what they really conduct are inspections or walkthroughs.

Inspections and walkthroughs are extremely important and in many cases dictated by government regulations. So, their importance cannot be discounted.

But, going beyond the simple inspection or walkthrough process — and implementing an effective audit process is also important.

What is an Inspection?

Simply stated, an inspection is the process of closely looking at the workplace for hazardous conditions or compliance violations. There are a variety of inspections that employers conduct — some at the department level, some at the equipment level, and some company-wide.

Typically, an inspection is based on either OSHA standards, industry standards, manufacturer's requirements, or a combination. Inspections are heavily associated with checklists (as you can find in this manual) — where you walk around and compare what you see to what's on the checklist.

What is a Systems Audit?

A simple definition of a systems audit is: the process of verifying whether the safety system conforms to the audit criteria and that the system is effective.

The audit criteria can be OSHA standards, company policies and procedures, or ANSI or industry standards. So, when you think of a systems audit, remember, it's more than just a regulatory check; it involves looking at your safety management system to identify strengths and weaknesses.

Differences Between Inspections and Audits

Now that we've defined what an inspection and an audit are, we can start to see the differences between the two processes. The following table provides an overview of these differences.

Inspections vs. audits
Inspections	Audits
Focus on physical items or conditions	Focus on processes and systems
"Look and see" approach	Interview, review documentation, and "look and see"
"Yes/no" answers	Progressive scale — "Nothing in place" to "Fully in place and satisfactory"
Done by employees on the floor, supervisor, safety committee	Done by objective party (safety manager, outside consultant, insurance representative)
Not very time consuming — usually 15 minutes to an hour	Can take several hours or days
Frequent — Daily/weekly/monthly/quarterly	Infrequent — Annual, bi-annual
Primarily focuses on weaknesses	Focuses on weaknesses and strengths
Identifies a hazard, fixes THAT hazard	Deals with system-wide problems (root cause of an isolated hazard)
Corrective actions are straightforward	Corrective actions are often broad, performance-oriented
Document/follow-up	Document/follow-up — more detailed findings
Required by OSHA in many cases	Not required in most cases. BUT: PPE hazard assessment Lockout/Tagout periodic inspection Confined spaces assessment Process Safety Management of Highly Hazardous Chemicals, 1910.119 Construction Jobsites, 1926.20(b)(2)