igc1 - element 7 monitoring, review & audit (1st ed) v.1.0

7/27/2019 IGC1 - Element 7 Monitoring, Review & Audit (1st Ed) v.1.0

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Copyright RMS Publishing

IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 1

860409

NEBOSH

InternationalGeneral Certificate


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860409

Licence details

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 forimmediate 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 anyomission or error.

Issued to: Strabag

Single LicenceLicence No: 860409


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860409

NEBOSH



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860409

Unit IGC1

Management ofInternational health

and safety


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860409

Element 7

Monitoring, review

and audit


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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

7.2 Outline the role of workplace inspections, and communicatefindings in the form of an effective and persuasive report

7.3 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

7.4 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

Learning outcomes

Monitoring, review and audit


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7.1 Active and reactive monitoring

7.2 Workplace inspections

7.3 Review of health and safety performance

7.4 Auditing

Contents of element



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7.4 Auditing

Contents of element



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Active monitoring measures Use of safety inspections, sampling and tours

Reactive monitoring measures


Active and reactive monitoring


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Objectives of active monitoring

Methods of active monitoring

Monitoring performance standards

Systematic inspection of plant and premises


Active monitoring measures


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Objectives of active monitoring Check health and safety plans have been implemented

Monitorthe extent of compliance with the organisations

systems/procedures, and with its legislative/technical

standardsOrganisations need to know:

Where they are

Where they want to be

What is the difference - and why




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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




M it i i d dit


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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 assessedthrough 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




M it i i d dit


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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 tolimit 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




M it i i d dit


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Safety inspections

Safety sampling

Tours


Use of safety inspections, sampling and tours


M it i i d dit


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Four different types are:

General workplace inspections

Statutory inspections

Preventive maintenance inspections Pre-use checks of equipment




Safety inspections

M it i i d dit


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Only a partial amount of group / area is examined

Conducted relating to:

Specific hazards

Good practice

General workplace hazards




Safety sampling

Monitoring re ie and a dit


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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




Tours

Monitoring review and audit


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Objectives of reactive monitoringAnalyse data relating to:

Accidents/near-misses

Ill-health

Other downgrading events






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Deemed to be after the event and are therefore reactive

monitoring measures:

Identification

Reporting

Investigation

Collation of data and statistics, on the events







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Events monitored:

Injuries

Cases of illness

Property damage

Near misses

Dangerous occurrences

Complaints by the workforce

Enforcement actions







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Frequency rate = No. accidents in period x 100,000

Total hrs worked during the period

Incidence rate = No. accidents in period x 1,000

Average no. employed




Accident statistics



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an accident not resulting in personal injury Reportable to

an enforcing authority




Dangerous occurrences

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



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harm to a workers health caused by their work




Ill-health

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



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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 maybe an indicator of ineffective/dangerous working

practices/procedures and risk assessments should be

formally reviewed



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Enforcement actionthe 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 thereporting of a major accident or reportable incident



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7.4 Auditing

Contents of element




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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

Workplace inspections



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A simple approach to risk evaluation levels (rating) andallocation 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) - completewithin 7 days (1 month if preferred)

Low risk (will possibly cause a minor loss) - complete within

30 days (3 months if preferred)




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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



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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



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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



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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



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The requirements for effective report writing Style

Structure

Emphasis

Persuasiveness

Introduction and background

Summary

Main body of the report

Recommendations

Conclusions





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7.4 Auditing

Contents of element




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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

Review of health and safety performance



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Accident and incident data

Inspections

Absences and sickness

Surveys, tours and sampling

Quality assurance reports, audits, monitoring data /

records / reports, complaints


Gathering information to review health and

safety performance



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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



safety performance



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Accident trend an analysis is after the event

Any analysis should consider potential for each

occurrence to have resulted in a more significantoutcome

Two elements to consider:

Quality of planning before the event

Failure of controls



safety performanceAccident and incident data



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Monitoring, review and auditReview of health and safety performance


safety performanceInspections Identify general workplace hazards before they result in

any harmful outcome

5/02 Chains Ropes and Lifting TackleDoes the organisation ensure that

statutory inspections are carried out?Notes:

Consider:Examined by a competent personExamined every period of six monthsRegister of examinationCertificate of test and examinationDistinguishing number or mark

Safe working load (SWL) - displayed

Fault procedureMonitoring

Extract from Audit 123 Level 2 Vol 1 of 2 Auditors Guidance

Source: RMS.



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Data should be collected

Data should beanalysed

Determine if resulted from work or working environmentissues

Determine causes e.g. shift working



safety performanceAbsences and sickness



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o to g, e e a d aud t

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



safety performanceSurveys, tours and sampling



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g,Review of health and safety performance


safety performanceSurveys, tours and samplingSampling - extract from Audit 123 Level 3 Section 1 Workbook

Source: RMS.



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g,

Should be reported at board level

Include a statement within the annual report

Should be available to all employees


Reporting on health and safety performance



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g,

Role of the management team is to treat health, safetyand 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


Role of senior management team

Source: Standard Wire Corpo rat ion circa. 1996.



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g,

Extract from Audit 123 Level 3 Section 1Auditors Guidance


Role of senior management team

Ref No. Validation Material Evaluation1/1/05 Health and safety as an equal

partnershipDo managers readily accept that health

and safety is a manageable item and

should be seen to have equal standing

with production and quality?Notes:

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 managementobjectives

Source: RMS.



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g,

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


Feeding into action and development plans as part

of continuous improvement


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Scope and purpose of auditing health and safety

management systems

Pre-audit preparations

Responsibility for audits Advantages and disadvantages of external and internal

audits

g,Auditing



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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

g,

Scope and purpose of auditing health and safety

management systems

Auditing


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Internal

Advantages:

Buy in

Local knowledge Awareness of industry

Familiar with workforce strengths and weaknesses

Cheaper

Easier

g

Advantages and disadvantages of external and

internal audits

Auditing



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Internal

Disadvantages:

Not possess auditing skills

Not current with legislation and best practice Other responsibilities

Pressure from management

Time constraints


internal audits

Auditing



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External

Advantages:

Impartial

Offer solutions considered unsolvable within Not inhibited by criticism

Fresh pair of eyes


internal audits

Auditing



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External

Disadvantages:

Plan well

Individuals not forthcoming Unrealistic targets may be sought


internal audits

Auditing


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7.4 Auditing

Contents of element


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Element 7

Monitoring, review

and audit


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860409

Unit IGC1

Management ofInternational health

and safety


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