International General

Certificate
Element 4 Notebook
Element 4.1 - Active and
reactive monitoring
Assessment criteria:
Discuss common methods and indicators used to monitor the
effectiveness of management systems

At the end of this module, you should understand methods and

indicators used to monitor the effectiveness of management
systems.
Outline the purpose of health and safety performance monitoring.
Explain the difference between active and reactive monitoring.
Explain why lessons need to be learnt from beneficial and adverse events
and how this information should be captured.
Outline the difference between leading and lagging indicators
 Summary

Assessment criteria:
Discuss common methods and indicators used to monitor the effectiveness
of management systems

At the end of this module, you should understand methods and indicators
used to monitor the effectiveness of management systems.

Do I fully understand:
The difference between active and reactive monitoring
Active monitoring methods and their usefulness
Reactive monitoring methods and their usefulness
Why lessons need to be learnt from beneficial and adverse events
The difference between leading and lagging indicators
Element 4.2 -
Investigating incidents
Assessment criteria:
Explain why and how incidents should be investigated, recorded and
reported

At the end of this module, you should understand the levels of

investigation and reporting requirements and be able to take part in
incident investigations.
Explain the definitions of the seven types of occurrences.
Outline accident and incident causation including ratio studies and the
domino theory .
Explain the different levels of investigation.
Outline the incident investigation steps.
What are the reasons for recording and reporting incidents? Explain why
incidents may not be reported.
Explain how incidents can be recorded.
 Summary

Assessment criteria:
Explain why and how incidents should be investigated, recorded and
reported.

At the end of this module, you should understand the levels of

investigation and reporting requirements and be able to take part in
incident investigations.

Do I fully understand:
The different levels of investigations
Basic steps to investigating incidents
External reporting requirements
Element 4.3 - Health
and safety auditing
Assessment criteria:
Explain what an audit is and why and how they are used to
evaluate a management system

At the end of this module, the learner will be able to help their
employer to check their health and safety management system
effectiveness - through monitoring, audits and reviews.
Explain what an audit is and what it aims to establish.
What is the difference between audits and inspections?
What are the different types of audit?
Explain the stages of an audit.
 Summary

Assessment criteria:
Explain what an audit is and why and how they are used to evaluate a
management system

At the end of this module, the learner will be able to help their employer to
check their health and safety management system effectiveness - through
monitoring, audits and reviews.

Do I fully understand:
The definition of the term ‘audit’
Why health and safety management systems should be audited
Difference between audits and inspections
Types of audit
Advantages and disadvantages of internal and external audits
The audit stages
Element 4.4 - Review of
health and safety
performance

Assessment criteria:
Explain why and how regular reviews of health and safety
performance are needed

At the end of this module, learners will be able to help their

employer to check their health and safety management system
effectiveness - through monitoring, audits and reviews.
Explain why health and safety performance should be reviewed and what
the review should consider.
Explain reporting on health and safety performance and the review of
outputs.
 Summary

Assessment criteria:
Explain why and how regular reviews of health and safety performance
are needed

At the end of this module, learners will be able to help their employer to
check their health and safety management system effectiveness - through
monitoring, audits and reviews.

Do I fully understand:
Why health and safety performance should be reviewed
What should be considered as part of the review
Reporting on performance and feeding the findings into action and
development plans
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Ferriby Road success@sheilds.org
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