Transportation Safety Management Internal Audit Explanation 2. Target of internal audit Top management

Support Administrative Scrivener Corporation specializes in supporting the introduction and operation of transportation safety management systems, and also provides support for internal audits conducted by businesses.

 

■I don't know how to conduct an internal audit

■You assume that you have conducted an internal audit, but you are not sure where the problem actually lies.

■ Internal audit personnel are not trained and internal audits cannot be conducted effectively.

 

Please feel free to contact us if you are such a business.

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2. Target of internal audit Top management

 

Creating an atmosphere for internal audits

 

When conducting internal audits of transportation safety management, the involvement of top management and other management is very important, and the ability to conduct effective internal audits depends on the active involvement of management.

 

First and foremost, to conduct an internal audit.Creating a company atmosphere.

 

Internal audits are something that those who are being audited never want to undergo; they have to spend time on audits, and employees who are not following company rules will try to hide their violation of the rules. .

 

For audit staff who conduct audits, they are the ones who find problems within the company, so if they give priority to things like interpersonal relationships with the employees being audited, they will end up being naive.

 

If many problems are found, they may be reprimanded about what kind of guidance they are providing on a regular basis, or they may have to do more follow-up work after the audit. I end up working.

 

Management is required to create an atmosphere within the company that removes obstacles to effectively implementing internal audits.

 

It is necessary to make all employees within the company understand the purpose of conducting internal audits and have them cooperate with internal audits.

 

 

Internal audit of top management

 

Top management is also subject to internal audits. The guidelines provided by the Ministry of Land, Infrastructure, Transport and Tourism clearly state the ``responsibilities of top management'' as the safety management efforts expected of transport operators, and internal auditsAudits focused on how people are involved in building a safety management system and the status of fulfilling their responsibilities.We will continue to do so.

 

Specifically, the involvement and responsibilities of top management are as follows.

 

① Thoroughly ensure compliance with relevant laws and regulations and the principle of putting safety first within the business operator.

② Establish a safety policy.

③ Formulate priority safety measures by instructing the safety general manager, etc.

④ Respond to serious accidents by instructing the safety general manager, etc.

⑤ In order to build and improve the safety management system and ensure transportation safety, we will instruct the safety general manager, etc., to provide necessary personnel, information, transportation facilities, etc. (vehicles, ships, aircraft, etc.) and facilities).

⑥ Conduct a management review.

⑦ Top management shall exercise leadership and instruct the safety supervisor, etc. to establish and improve the following initiatives, thereby ensuring that the safety management system functions appropriately.

・Safety policy

・Priority safety measures

・Responsibilities of the safety general manager

・Responsibility and authority of personnel

・Ensuring information transmission and communication

・Collection and utilization of accident, near-miss information, etc.

・Response to serious accidents, etc.

・Ensuring compliance with related laws and regulations

・Education, training, etc. necessary for building and improving safety management systems

·Internal audit

・Management review and continuous improvement

・Creation and management of documents

・Creation and maintenance of records

 

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Transportation safety management refers to the efforts of railway, automobile, marine, and aviation transport operators to work together from top management to the front lines to establish and maintain a safety management system that incorporates the so-called "PDCA cycle" concept. It is defined as carrying out specific initiatives.

　

There are certain scopes of businesses that are required to complete procedures with the Transport Bureau, but transportation safety management is mandatory for all businesses.

　

■Businesses that are required to create and submit safety management regulations (transport safety management manual) from October 1, 2013

Target business operator	Type of business
①Chartered bus business	Expanded scope to all businesses
②Public bus business (those with permission for chartered outsourcing operation)	Expanded scope to all businesses
③Public bus business (excluding ②)	A total of over 200 commercial vehicles for bus rides
④Specified passenger business	A total of 200 or more business vehicles for specified passengers
⑤Truck business	A total of 300 or more business vehicles (excluding towed vehicles)

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Guidelines on how to proceed with safety management in transportation business operators Internal audit 　 1) The operator shall conduct an internal audit to confirm the following matters regarding efforts to establish and improve the safety management system. The scope of internal audits is the overall safety management system, and is conducted on top management, general safety managers, etc., and on-site implementation departments as necessary. In addition, businesses can utilize outside human resources to conduct internal audits as necessary. 　 ① Are the efforts to build and improve the safety management system in compliance with the safety management regulations and other regulations and procedures regarding the safety management system determined by the operator? 　 ② Is the safety management system being properly operated and functioning effectively? 　 　 2) The general procedures for internal audits are as follows. 　 ① The business operator shall formulate an audit plan that includes the audit policy, priority confirmation items, etc., taking into consideration the status of initiatives to be audited, past audit results, etc. 　 ② The business operator shall determine the scope, frequency, and method of auditing, and shall conduct internal audits of top management, safety supervisors, etc. at least once every year. Furthermore, in the event of a serious accident, etc., we will conduct necessary internal audits as appropriate. 　 ③ When conducting internal audits, the business operator shall ensure the objectivity of the audit, such as by having a person who is not engaged in the operations of the department undergoing the internal audit conduct the audit. 　 ④ In order to effectively implement internal audits, the business operator shall provide necessary education and training to those in charge of internal audits (hereinafter referred to as "internal audit personnel") regarding internal audit methods, etc. 　 ⑤ After completing the audit, internal audit personnel shall promptly compile the audit results and report them to top management and the safety supervisor, as well as explain and communicate the audit results to the relevant personnel of the audited department. 　 ⑥ The person in charge of the audited department shall implement the necessary corrective and preventive measures in order to eliminate the causes of problems pointed out in the audit without delay. 　 ⑦ The operator shall verify the details of the measures taken and report the verification details in a management review. 　 　 3) When conducting internal audits, top management and others will provide support by ensuring that the importance of internal audits is thoroughly known within the business. 　 　 4) In order to promote effective internal audit efforts for building and improving safety management systems, business operators should regularly monitor and verify the status of internal audit efforts and the competence of internal audit personnel, and Review and improve methods, education and training for internal audit personnel, etc.