Question 1 Background:
A local University has a Safety Management System (SMS) in place in accordance to all the elements of OSHAS 18001 Management system framework requirement. Whilst the University does not want to be OSHAS 18001 certified, it has plans to be the Singapore BizSAFE Star. This is a business advantage when securing research funds from MNCs and the government as well as working with industrial collaborators. Above all, it defines a duty of care on the part of the University’s senior management.
The risk profile
The safety risk profile of a university is very diverse, ranging from processes and substances used, including the wastes produced. In terms of safety, the highest risks are a) fire and b) release of either chemicals or biological agents as airborne substance causing widespread risks. Physical hazards such as slips, trips and fall do exist but tends to be minor in terms of severity of accidents. Emerging issues also include the use of radioactive material and material with potential health risks such as carcinogens.
The structure
The University is divided into 9 faculties and departments depending on either teaching or administrative portfolios.
The faculty to be audited is Faculty of Xepris consisting of:
Faculty academia: 20 Administrative Staff:
20 Research staff: 50 (50% government funded and 50% industrial funding)
Research students: 50 (5 year PhD)
Research students: 20 (1.5 year Masters)
Main areas of research:
· Addition manufacturing methods using 3D printing with Class 4 lasers, including prototype development.
· Effective delivery of medicine using nanotechnology.
· Development of new super strong light weight polymer structures that will change the way building materials are used with tremendous benefit to third world countries.
Note: Medicine (poisons), laser (non-ionisation radiation), ultrafine metal powders (new material), metal structures (mechanical), chemicals (toxic, polymers, nano materials) are used. Chemicals used may have occupational diseases possibilities.
Most testing and experiments are done either within the laboratories of the faculty or with other faculties.
Legal compliance and procedures
SMS developed to be applied to the whole university as well as schools’ rules, policies, procedures and processes are available.
Legislations applicable Acts and its subsidiary legislations applicable are:
· Workplace Safety and Health Act
· Environmental Protection and Management Act
· Fire Safety Act · Radiation Protection Act
· Environmental Public Health Act
· Arms and Explosive Act · Poison Act
· Chemical Weapons (Prohibition) Act
· Biological And Toxin Act
· Public Utilities Act
Typical Acts like WICA, Employment Act, Smoking (Prohibition in certain places) Act, etc, are also applicable.
The Task: You have been appointed as an external auditor to conduct an internal audit of the SMS to determine its effectiveness in the Faculty of Xepris. The aims of the audit are the following:
· To ensure that SMS elements and activities conform to planned arrangements of OSHAS 18001 and are controlled and implemented effectively.
· Compliance with relevant legislative requirements.
· Identification of areas for improvement, leading to progressively better safety management
· Preparation for a planned BizSafe Star audit and rectify any shortcomings for the Star certification and registration with the Workplace Safety and Health Council (WSHC), Singapore.
You are to liaise with the University representative, Prof Lokhard, in matters relating to the audit.
Assumptions:
· Some lapses in licences are noted and not renewed on time, especially explosive precursor licence (from Singapore Police Force) and hazardous substances licence (NEA).
· Training online is set up. Procedures are in place. Most researchers are deemed competent and have obtained at least an undergraduate honours degree in their disciplines overseas, mainly from Singapore, Malaysia, China, India and Eastern Europe countries.
· Many old equipment are kept as these may be used in future research.
· You will need three days (on site) due to the diversity and complexity of the labs.
For this purpose, you are to:
(a) Formulate an audit plan proposal for the client, including areas to be visited. (You can assume there are five labs in each area of research.) (10 marks)
(b) Examine the major risks and associated risks to be reviewed. Apply the relevant auditing tools to devise an appropriate audit schedule to assess these risks. Include relevant checklists of interviews, site visits and documents to be inspected. From your checklist, evaluate FIVE (5) items your auditors have to gather evidence to show if the controls are adequate for the risks highlighted. (40 marks)
(c) Plan and define audit protocols and responsibilities for the audit team (area assigned and audit process). (10 marks)
(d) Select THREE (3) other auditors appropriate for this assignment. Discuss the rational or criteria for their selection. (Use fictitious names of auditors.) (5 marks)
(e) Prepare communication plans within the audit and the client. (5 marks)
(f) Illustrate how Xepris can attain BizSafe STAR (SS506 parts 1 and 2). Include some proposed timeline in your proposal. (10 marks)
(g) Prepare a report. You must also plan what has to be written in the event that the auditors cannot find any non-conformance issues based on the audit conducted this time. (10 marks)
