TRAINING OF SAFETY AUDITORS
ALBERT W.K. KWOK & ALEXANDER C.S. CHAN
Industrial Centre
The Hong Kong Polytechnic University
Hong Kong SAR, China
ABSTRACT
Safety audit is considered as a systematic tool to monitor the effectiveness of safety management
performance of an organisation. Under the Factories and Industrial Undertakings (Safety
Management) Regulation approved by the Legislative Council of the Government of Hong Kong SAR
in November 1999, safety audit will be enforced in the industries with high accident rate such as
construction industry. In light of the imminent need of safety auditors in the community, the Industrial
Centre of The Hong Kong Polytechnic University initiated to organise a part-time training programme
"Safety Auditors Training Scheme" (SATS) to train up suitable safety practitioners to become
competent safety auditors for meeting the industry's demand.
This paper will give an overview of the development, the syllabus and training methods of the safety
auditors training scheme. Besides, the input of industrial partnership in training and students'
feedback are discussed, which would be constructive for continuous improvement of this kind of
training programme.
KEYWORDS:
Industrial partner, legislation, safety auditors, training
1.
INTRODUCTION
The Industrial Centre of The Hong Kong Polytechnic University (PolyU) launched the “Safety Auditor
Training Scheme” (SATS) in 1997. The authors of the paper will describe how the academic institution works
together with the industrial sector to train safety auditors to meet the imminent need of the community. In
development of the safety auditor training programme, the authors experienced the value of partnering in
industrial training. In this paper, the course syllabus, teaching / training methodology and quality assurance
mechanism of the training programme are discussed.
2.
DEVELOPMENT OF SATS
Safety Auditors Training Scheme (SATS) is a part-time training programme specially designed to provide
training for preparing suitable candidates for positions of safety auditor in accordance with the training
requirements stipulated in the Factories and Industrial Undertakings (Safety Management) Regulation enacted in
November 1999 (HKSAR, 1999). The purpose of the Regulation is to require the proprietors and contractors
specified to implement a mandatory safety management system. According to their size of operations, the
proprietors and contractors have to appoint the registered safety auditors to conduct safety audits or to appoint
safety review officers to conduct safety review (safety audit in a small scale).
2.1. Legislative Safety Management System
Within the context of the legislation, there embraced fourteen process elements underlying the main key
backbones of a safety management system. These elements are:
(1)
Safety policy
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
(12)
(13)
(14)
Safety organisation
Safety training
In-house safety rules and regulations
Programme for inspection of hazardous conditions
Accident/incident investigation
Personal protection programme
Emergency preparedness
Safety committee
Evaluation, selection and control of sub-contractors
Job hazard analysis
Safety promotion
Process control programme
Health assurance programme
To elaborate each of the above elements of the safety management system, the Occupational Safety and Health
Branch of the Labour Department published a guidebook, "A Guide to Safety Management.” (HKSAR, 1999).
The guidebook presented a management model for developing, implementing and maintaining an occupational
safety and health management system (Fig. 1). Safety audit is spelled out as an indispensable tool to measure the
performance and effectiveness of the safety system being implemented. The safety management legislation
requests safety audits covering the above management elements to be enforced in the industries with high accident
rates such as construction industry.
Legends:
Information Link
Control Link
Fig. 1 Safety Management System Model
2.2. Safety Auditors Training Scheme Provider
Competent auditor is vital in any kind of auditing exercises, therefore it is essential to train up adequate number
of competent safety auditors from the current safety practitioners. In this regard, the Labour Department grouped the
interested safety training providers to organise suitable training programmes for the potential safety auditors. The
Hong Kong Polytechnic University (PolyU) was one of the tertiary institutions being invited. The course proposal
by the Industrial Centre of the PolyU was approved by the Labour Department in late 1996 and the course was
then named as "Safety Auditors Training Scheme", in abbreviation, SATS.
3.
The Curriculum of SATS
The Safety Auditor Training Scheme aims:

To review contemporary best practice in occupational safety and health (OSH) management, and to
familiarise participants with the local legal requirements on OSH management, audit and review.

To develop a thorough understanding of the concepts, principles, methods and techniques of modern safety
management and safety auditing, covering the key process elements of safety management.

To familiarise participants with the details of safety audit procedures and practice, and to develop
competence in conducting a safety audit for the assessment of the effectiveness of OSH management system
and safety strategies.

To satisfy one of the pre-requisites for becoming a Registered Safety Auditor under the new F&IU
Regulation.
Based on the above criteria, the curriculum of SATS is designed to cover the following three main areas:
Part 1
Part 2
Part 3
3.1






3.2


Safety Management
Safety Auditing
Final Audit Project
Total:
36 hours of lectures
36 hours of lectures
36 hours of field work and report writing
108 hours
Part 1 keyword syllabus
Needs of OSH management, human factors and safety culture
- A brief discussion on factors that influence OSH management formulation, human behaviour and
safety culture.
Legal requirement on safety and health management
- The General Duties Provisions
- The legal framework on safety and health management system, safety audit and review
Advanced safety concepts
- Stages of control
- Loss control
- Total loss control management
Safety management principles
- The functions of management
- Loss control management and goals
- Activities for management control
Key process elements in safety management system
- 14 elements in line with the corresponding safety management elements stipulated by the Labour
Department of Hong Kong, as mentioned above.
Successful safety and health management example
- Use of a successful safety and health management system as an example for discussion to reinforce
participants' knowledge on safety management principles and activities.
Part 2 keyword syllabus
Introduction to Safety Auditing
- Comparison between measurement by consequences and safety auditing
- Benefits of a comprehensive safety audit
- Audit objectives
- Comparison between quality auditing and safety auditing.
Safety Auditing Techniques
- Different stages of a typical safety audit
- Practical steps in safety audit
- Audit skills
- Interviewing technique



- Report writing technique
Introduction to common auditing systems
- Participants are introduced to some proprietary safety auditing systems before going into safety
auditing in detail.
Exercise in developing in-house safety auditing system
- Through this exercise, participants should have a thorough understanding of what are the basic
concepts in a safety auditing system and how it functions.
Practical Exercise
- It is designed to let the participants obtain hand-on auditing experience.
3.3. Part 3 keyword syllabus
In Part 3, each student of SATS will have to carry out an audit project that will include the following activities:
Stage 1
Stage 2
Stage 3
Activities
Base-line audit
 Prepare an audit plan
 Conduct an audit
 Submit an audit report.
Remarks
Selection of suitable
workplace for audit:
subject to supervisor’s
approval
Follow-up audit
 Prepare an audit plan
 Conduct an audit
 Submit the final audit report.
Oral presentation of audit findings and
comments as an auditor to his/her client
Three months after Stage 1
Assessment of audit
presentation skill
3.4. Assessment of students’ performance
Assessment is an important part of the validation process through which the standard of training is ensured.
Students' performance in Part 1 and Part 2 of the Scheme will be assessed by written examinations. In order to
get a "Pass" in the training programme, a participant has to:
(a) attain a minimum of 75% in the result of written examinations (Parts 1 & 2),
(b) complete the project with a pass grade of "C" or above (Part 3), and
(c) attend the lectures (Parts 1 & 2) for not less than 75%.
Meeting the above assessment criteria, the participant will be eligible for the award of a "Certificate of
Attainment in Safety Auditing" issued by The Hong Kong Polytechnic University.
4.
Industrial Training Partner
The Industrial Centre has a broad and long experience of 20 years in providing occupational safety and
health training for the personnels working in the manufacturing and construction industries as well as the public
utilities. For this particular scheme in safety auditor training, the Industrial Centre brought in expertise assistance
from its local professional network. The Society of Accredited Safety Auditors (SASA) of Hong Kong was
invited as an industrial training partner. In this respect, the Centre is responsible for lecturing of majority of the
theoretical subject matters, while senior members of SASA take roles in lecturing the auditing skills and project
supervision. With their good relationships and exposures in different industries, SASA provides good sources in
finding suitable construction sites and factories for the students in their audit projects. Furthermore, SASA
developed for the SATS an audit package – “Safety Management Audit for Construction (SMA-CON)” as the
main auditing tool for the students' practical exercises and project works.
The conceptual framework of SMA-CON is to perform assessment on occupational safety and health
management system (OSHMS) which is based on the British Standard BS8800: 1996, Guide to Occupational
Health and Safety Management Systems. The SMA-CON audit programme is divided into 15 sections. The first
14 sections are in line with the corresponding safety management elements stipulated by the Labour Department
of Hong Kong. Section 15 focuses on site or workplace conditions, which is an indicator of the effectiveness of
implementing the OSHMS (Kam & Wong, 1998).
Recently our industrial partner SASA has successfully developed a new safety audit package "SMART"
(Safety Management Audit Rating Tool) which can have a wider range of applications. It is suitable for safety
practitioners working in different industries including construction, manufacturing, container, catering, services
as well as educational institutions. The SMART will be used (to replace SMA-CON) for the next intake of our
SATS programme. Definitely the students will get much benefit from it.
5.
Course Monitoring Mechanism
Quality assurance is highly prioritised among all issues in the training programme. This Scheme is subject
to validation and periodic reviews by the Labour Department of HKSAR in accordance with the published
guidelines approved by the authority concerned. In ensuring the quality of training service provided, there is a
course monitoring mechanism established which provides moderation both internally and externally. The Scheme
is managed by the Industrial Centre and the School of Professional Education and Executive Development
(SPEED) of the PolyU, and it is monitored by an internal Moderation Committee which aims to maintain the
standard and oversee the training quality. In addition, an officer from the Labour Department has participated as
an External Examiner to provide external moderation inputs and advice on quality issues of the Scheme.
6.
Student Feed Backs
In addition to the mechanism of course quality review by internal and external moderation, trainees’ views are
valued. At the end of each course, the students are required to complete a questionnaire and give comments on
the course contents and teaching performance. Most of the comments and suggestions are encouraging and
constructive, these in return drives the working parties in the Scheme to strive for betterment in the programme
quality.
7.
Summary
To summarise the operations of the Safety Auditors Training Scheme as discussed above, the operation processes
are consolidated and illustrated in Fig. 2 below.
Trainees - Safety Practitioners
INPUT
Trainers - PolyU IC Staff & Industrial Partner
Lectures on Theories:
Part 1- Safety Management
Part 2 - Safety Auditing
PROCESS
Part 3: Individual Projects
Hand on Practice on
Safety Audit
 Choice of Sites
 Baseline Audit
 Follow up Audit
Assessments:
 Written Examinations on Theories
(75% to pass)
 Audit Project Report Writing & Oral
Presentation (Grade C minimum)
OUTPUT
Academically Qualified Safety Auditors
(Awarded with the Certificate of Attainment in Safety Auditing)
REVIEW
QA Monitoring:
 External - Labour Department
 Internal - Moderation Committee
 Student Feed-back
Fig. 2
8.
Operation Process of the Safety Auditors Training Scheme
Conclusion
The development and implementation of the Safety Auditors Training Scheme demonstrate a good example of
collaboration of the academic and industrial partners in training competent new bloods in its professional
discipline. A responsible training service provider seeks for continual improvement. Further to the internal and
external moderation of the course, students’ views and feedback after the completion of the course are valuable
for further enhancement of the training programme. Other than the output of competent safety auditors to the
community, the partnership in training creates a wonderful network in sharing of specialist knowledge. In this
regard, teaching staff members involved in the programme can gain extensive practical experience in safety
auditing by participating in the supervision of projects together with the visiting lecturers (experienced safety
auditors). It signifies a significant value of personal development in proficiency of safety auditing skills among
the staff members of the Industrial Centre.
REFERENCE
1.
2.
3.
4.
Chan C.S., Alexander & Kwok W.K, Albert, 2000, ‘Safety Auditors Training Scheme (SATS)’, Proceeding
of 6th Annual Conference of the Australian and New Zealand Association of Occupational Health and
Safety Educators, [CD-ROM], pp. 104-111
HKSAR, 1999, ‘Factory and Industrial Undertaking (Safety Management) Regulation’, Chapter 59AF of
Factory and Industrial Undertaking Ordinance. [Online], available: http://www.justice.gov.hk/Home.htm
[March 2000, 31].
HKSAR, 1999, ‘What is a safety management system’, A Guide to Safety Management, Occupational
Safety & Health Branch Labour Department, HKSAR, pp. 2-4
Kam Y.K. & Wong Y.Y., 1998, ‘Introduction to SMA-CON: Safety Audit for Construction’, Progress in
Safety Science & Technology, Science Press, Beijing, p.883