IGC1 - Element 7 Monitoring, Review & Audit (1st Ed) v.1.0

NEBOSH International General Certificate
Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 1 860409
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RMS Publishing Limited Victoria House, Lower High Street, Stourbridge DY8 1TA ACT Associates Limited. First Edition September 2007. All rights reserved. No part of this presentation may be stored in a retrieval system, reproduced, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise without either the prior written permission of the Publishers. This presentation may not be lent, resold, hired out or otherwise disposed of by way of trade in any form other than that in which it is published, without the prior consent of the Publishers. This presentation may not be reproduced in any form without prior consent of the Publishers other than a single copy thumbnail handout for immediate use by the tutor. Whilst every effort is made to ensure the completeness and accuracy of the information contained herein, RMS/ACT can bear no liability for any omission or error.
Issued to: Strabag Single Licence Licence No: 860409

Unit IGC1 Management of International health and safety

Element 7 Monitoring, review and audit

Monitoring, review and audit
Learning outcomes
7.1 Outline and differentiate between active (pro-active) monitoring procedures, including inspections, sampling, tours and reactive monitoring procedures, explaining their role within a monitoring regime Outline the role of workplace inspections, and communicate findings in the form of an effective and persuasive report Explain the purpose of regular reviews of health and safety performance, the means by which reviews might be undertaken and the criteria that will influence the frequency of such reviews Explain the meaning of the term health and safety audit and describe the preparations that may be needed prior to an audit and the information that may be needed during an audit
7.2
7.3
7.4
Contents of element
7.1 7.2 7.3 7.4 Active and reactive monitoring Workplace inspections Review of health and safety performance Auditing
Contents of element

Active and reactive monitoring
Active monitoring measures Use of safety inspections, sampling and tours Reactive monitoring measures

Active monitoring measures

Objectives of active monitoring Methods of active monitoring Monitoring performance standards Systematic inspection of plant and premises


Objectives of active monitoring Check health and safety plans have been implemented Monitor the extent of compliance with the organisations systems/procedures, and with its legislative/technical standards Organisations need to know: Where they are Where they want to be What is the difference - and why


Methods of active monitoring Monitor specific objectives Periodic examination of documents Systematic inspection of premises Environmental monitoring and health surveillance Systematic direct observation of work and behaviour The operation of audit systems Consideration of regular reports on health and safety performance


Monitoring performance standards Health and safety performance in organisations that manage health and safety effectively is measured against established standards The success of action to manage risks is assessed through active monitoring involving a range of techniques Deficiencies in control measures are assessed through reactive monitoring Identifying the underlying causes and the implications for the structure and operation of the health and safety management system


Systematic inspection of plant and premises Identify health and safety conditions, providing an indication of the effectiveness of controls used to prevent sub-standard conditions If inspections are done on a timely basis it is possible to limit the harmful effects Periodic inspection provides a monitoring method that gives early indication of standards by comparison with the previous results of inspections over time

Use of safety inspections, sampling and tours

Safety inspections Safety sampling Tours


Safety inspections Four different types are: General workplace inspections Statutory inspections Preventive maintenance inspections Pre-use checks of equipment


Safety sampling Only a partial amount of group / area is examined Conducted relating to: Specific hazards Good practice General workplace hazards


Tours Opportunity for management to explore effectiveness of risk control measures by planned visits to the workplace Management commitment visible which develops a positive health and safety culture Gives an accurate picture of work conditions Can indicate deficiencies or success in managers Provides forum for gaining viewpoint of employees Details of tour and outcomes must be recorded

Reactive monitoring measures

Objectives of reactive monitoring Analyse data relating to: Accidents/near-misses Ill-health Other downgrading events


Reactive monitoring measures Deemed to be after the event and are therefore reactive monitoring measures: Identification Reporting Investigation Collation of data and statistics, on the events


Events monitored: Injuries Cases of illness Property damage Near misses Dangerous occurrences Complaints by the workforce Enforcement actions


Accident statistics Frequency rate = No. accidents in period x 100,000 Total hrs worked during the period = No. accidents in period x 1,000 Average no. employed
Incidence rate


Dangerous occurrences
an accident not resulting in personal injury Reportable to an enforcing authority Typical dangerous occurrences might include: A collapse in a scaffold over 5 metres The failure of any load bearing part of any lift, hoist, crane or derrick


Ill-health
harm to a workers health caused by their work This term refers to harm to a workers health caused by their work and will include harm to health in a physical or mental capacity This will include types of harm, as in a notified disease e.g. dermatitis


Complaints by workforce These complaints made by workers or others may be done informally (verbally) or in writing to supervisors or management Supporting evidence: - Accident data - Recorded near-misses - Slips/trips/falls Complaints should be considered carefully as they may be an indicator of ineffective/dangerous working practices/procedures and risk assessments should be formally reviewed


Enforcement action the legal enforcement of improvement or prohibition notices of dangerous machinery OR equipment These legal enforcement notices imposed by local health and safety inspectors normally occur following the reporting of a major accident or reportable incident
Contents of element

Workplace inspections
Role of workplace inspections

Identify health and safety status What improvements are needed Identify workplace hazards Whenever a sub-standard (at risk) situation is identified two critical steps must be taken: Each situation must be evaluated as to its risk potential The underlying cause(s) of the situation must be identified


A simple approach to risk evaluation levels (rating) and allocation of time for actions may follow the method below: High risk (likely to cause a major loss) - complete within 24 hours Moderate risk (likely to cause a serious loss) - complete within 7 days (1 month if preferred) Low risk (will possibly cause a minor loss) - complete within 30 days (3 months if preferred)


Factors governing frequency and type of inspection Frequency might be increased or even decreased if any of the following occur: Changes in legislation Modifications are made to existing plant/machinery Re-location of equipment or changes in environment Equipment fails the test Accident data / near-misses recorded by workers


Factors governing frequency and type of inspection Inspections fall into two main categories: Mandatory, as stated within legislation or local rules, for example, for safe maintenance of lifting equipment Routine, conducted by a competent person


Competence of inspector Inspectors must have relevant qualifications and experience Knowledge of the specified plant / machinery and they should also be trained in risk assessments Resources should be available relating to any Government, EU or International legislation


Use of checklists These can be useful aids, especially when information/data is incorporated from plant designers and manufacturers These may also limit what is inspected


The requirements for effective report writing Style Structure Emphasis Persuasiveness Introduction and background Summary Main body of the report Recommendations Conclusions
Contents of element

Review of health and safety performance
Gathering information to review health and safety performance Reporting on health and safety performance Role of senior management team Feeding into action and development plans as part of continuous improvement

Gathering information to review health and safety performance

Accident and incident data Inspections Absences and sickness Surveys, tours and sampling Quality assurance reports, audits, monitoring data / records / reports, complaints


Systematic learning from all relevant experience through regular reviews of performance Draws on data from monitoring activities and audits Forms basis of continuous improvement Helps maintain a management system that is fresh, dynamic, appropriate and effective


Accident and incident data Accident trend an analysis is after the event Any analysis should consider potential for each occurrence to have resulted in a more significant outcome Two elements to consider: Quality of planning before the event Failure of controls


Inspections Identify general workplace hazards before they result in any harmful outcome
Extract from Audit 123 Level 2 Vol 1 of 2 Auditors Guidance
5/02 Chains Ropes and Lifting Tackle Does the organisation ensure that statutory inspections are carried out? Notes: Consider: Examined by a competent person Examined every period of six months Register of examination Certificate of test and examination Distinguishing number or mark Safe working load (SWL) - displayed Fault procedure Monitoring
Source: RMS.


Absences and sickness
Data should be collected Data should be analysed Determine if resulted from work or working environment issues Determine causes e.g. shift working


Surveys, tours and sampling A survey is an identification of need e.g. noise survey Tours are best carried out by most senior management so as to cut through the glue Sampling is a technique to identify a representative portion to illustrate the whole


Surveys, tours and sampling
Sampling - extract from Audit 123 Level 3 Section 1 Workbook
Source: RMS.

Reporting on health and safety performance

Should be reported at board level Include a statement within the annual report Should be available to all employees

Role of senior management team

Role of the management team is to treat health, safety and the environment as equal partners to other business issues Policy Statement abstract: Safety is an integral part of business excellence and, together with product and service quality, and corporate health and profitability, is the foundation for our future success
Source: Standard Wire Corporation circa. 1996.

Role of senior management team

Extract from Audit 123 Level 3 Section 1 Auditors Guidance
Ref No. 1/1/05 Validation Material Health and safety as an equal partnership Do managers readily accept that health and safety is a manageable item and should be seen to have equal standing with production and quality? Notes: Evaluation Consider: Board commitment e.g. policy statement Appointment of a Director for health and safety Included in job descriptions/responsibility statements Accepted as a line management responsibility Included fully in all technical, procedural and behavioural standards of performance Identified in appraisal documents Planned allocation of time to health and safety issues Health and safety performance measured and reported on equal basis with other management objectives
Source: RMS.

Feeding into action and development plans as part of continuous improvement

Important for health and safety reviews to take place in an analytical way Identifies objectives and actions to improve health and safety Feeds into development / improvement plans Strategic level plans enables production of local level plans through information cascade Maintains health and safety within an organisation in a dynamic way leading to continuous improvement
Contents of element

Auditing
Scope and purpose of auditing health and safety management systems Pre-audit preparations Responsibility for audits Advantages and disadvantages of external and internal audits

Auditing
Scope and purpose of auditing health and safety management systems

An audit is a systematic, critical examination of an organisations systems to determine the extent of compliance with a set of agreed standards Evaluation of compliance with: - Health and safety programme procedures - Set occupational health standards - Physical safeguards - Fire prevention/control standards

Auditing
Pre-audit preparations
Structured and co-ordinated Utilise audit checklists Assess documents, interview people and observe the workplace Decide on interviewees and organise timetable Inform people of what documents to make available Structured interviews A detailed report of findings and recommendations on outcome

Auditing
Responsibility for audits

A manager A representative from the workforce A health and safety professional

Auditing
Advantages and disadvantages of external and internal audits

Internal Advantages: Buy in Local knowledge Awareness of industry Familiar with workforce strengths and weaknesses Cheaper Easier

Auditing

Internal Disadvantages: Not possess auditing skills Not current with legislation and best practice Other responsibilities Pressure from management Time constraints

Auditing

External Advantages: Impartial Offer solutions considered unsolvable within Not inhibited by criticism Fresh pair of eyes

Auditing

External Disadvantages: Plan well Individuals not forthcoming Unrealistic targets may be sought

Auditing
Sample page from Audit 123 system
Source: RMS Publishing Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 57 860409
Contents of element
Element 7 Monitoring, review and audit

Unit IGC1 Management of International health and safety



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NEBOSH International General Certificate

Issued to: Strabag Single Licence Licence No: 860409

NEBOSH International General Certificate

Unit IGC1 Management of International health and safety

Element 7 Monitoring, review and audit

Monitoring, review and audit

Monitoring, review and audit

Monitoring, review and audit

Monitoring, review and audit

Monitoring, review and audit

Active monitoring measures

Monitoring, review and audit

Active monitoring measures

Monitoring, review and audit

Active monitoring measures

Monitoring, review and audit

Active monitoring measures

Monitoring, review and audit

Active monitoring measures

Monitoring, review and audit

Use of safety inspections, sampling and tours

Monitoring, review and audit

Use of safety inspections, sampling and tours

Monitoring, review and audit

Use of safety inspections, sampling and tours

Monitoring, review and audit

Use of safety inspections, sampling and tours

Monitoring, review and audit

Reactive monitoring measures

Monitoring, review and audit

Reactive monitoring measures

Monitoring, review and audit

Reactive monitoring measures

Monitoring, review and audit

Reactive monitoring measures

Monitoring, review and audit

Reactive monitoring measures

Monitoring, review and audit

Reactive monitoring measures

Monitoring, review and audit

Reactive monitoring measures

Monitoring, review and audit

Reactive monitoring measures

Monitoring, review and audit

Monitoring, review and audit

Role of workplace inspections

Monitoring, review and audit

Role of workplace inspections

Monitoring, review and audit

Role of workplace inspections

Monitoring, review and audit

Role of workplace inspections

Monitoring, review and audit

Role of workplace inspections

Monitoring, review and audit

Role of workplace inspections

Monitoring, review and audit

Role of workplace inspections

Monitoring, review and audit

Monitoring, review and audit

Monitoring, review and audit

Gathering information to review health and safety performance

Monitoring, review and audit

IGC1 - Element 7 Monitoring, Review & Audit (1st Ed) v.1.0

IGC1 - Element 7 Monitoring, Review & Audit (1st Ed) v.1.0