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IGC1 Element 5 New Syllabus
IGC1 Element 5 New Syllabus
Unit IGC1
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Learning Outcomes
On completion of this element, you should be able to
demonstrate understanding of the content through the
application of knowledge to familiar and unfamiliar
situations. In particular you should be able to:
• O
‹ utline the principles, purpose and role of active and
reactive monitoring
• Explain the purpose of, and procedures for, health and
safety auditing
• Explain the purpose of, and procedures for, investigating
incidents (accidents, cases of work-related ill-health and
other occurrences)
• Describe the legal and organisational requirements for
recording and reporting incidents
• Explain the purpose of and, procedures for, regular
reviews of health and safety performance
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Unit IGC 1
Element 5.1
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Active and Reactive Monitoring
Active
• Looking at control measures to
see if they are correct and being used before
accidents, etc. are caused
• Measures progress
Reactive
• Using accident, incident and
ill-health data to highlight areas
of concern
• Measures failure
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Performance Standards
Conformance/non-conformance with
standards:
• Number and quality of risk assessments
• Health and safety training to schedule
• Consultative committee meetings to
schedule
• Workplace inspections to schedule
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Systematic Inspections
Observation Plant • Machinery
• Vehicles
Premises • Workplace
• Environment
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Safety Inspections, Sampling,
Surveys and Tours
Safety Inspection
• Examination of workplace, statutory inspection, plant
and machinery, pre-use checks
Safety Sampling
• Representative sample to judge compliance
• Less time-consuming
Safety Survey
• Detailed examination of one issue, topic
Safety Tour
• High profile inspection by managers
• Can be used to observe behaviours too
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Other Standards
• Health Surveillance
– Monitoring worker health - a proactive measure
– Shows effectiveness of controls
• Benchmarking
– Comparison to other organisations
– Can compare between sectors
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Workplace Inspections
Factors to consider:
• Type of inspection
• Frequency of inspection
• Allocation of responsibilities
• Competence of the inspector
• Objectivity of inspector
• Use of checklists
• Action planning for problems
found
• Training for inspectors
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Example Inspection System
Bank head office:
• Purpose – monitor H&S standards
• Frequency – monthly
• Persons responsible – managers at different
levels
• Competence – one day course
• Inspection checklist – general checklist,
tailored if required
• Follow up arrangements – an action plan
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Use of Checklists
Advantages Disadvantages
• Ensures all • May ignore items
points covered not on checklist
• Consistent
approach
• Form of written
record
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Group Syndicate Exercise
In groups, list the topic headings that should
be included on an inspection checklist for
use in your workplace.
Design a rough format for the inspection
checksheet.
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Workplace Inspections
Typical topics:
• Fire safety
• Housekeeping
• Environment issues
• Traffic routes
• Chemical safety
• Machinery safety
• Electrical safety
• Welfare facilities
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Allocation of Responsibilities
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Effective Report Writing
Style – formal, free of jargon or slang, factual, persuasive,
clear, concise
Structure – executive summary, introduction, main body,
recommendations, conclusions
Content – significant findings, evidence of findings
Justified recommendations – moral, legal, economic
arguments, action plan
Recommended action Priority Timescale Responsible
Person
Tidy the office Medium 1 week Office
Supervisor
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Reactive Monitoring
• Dealing with things that went
wrong!
• Accidents, incidents, ill-health,
other unwanted events and
situations
– highlights areas of concern
– things that have already gone wrong
– measures failure
• 2 methods
– lessons from one specific event, e.g.
an accident
– data collected over a period
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Statistics
Data collected and reported about:
• Accidents
• Dangerous occurrences
• Near-misses
• Ill-health cases
• Worker complaints
• Enforcement action
Assist in analysing
• Trends – events over a period of time
• Patterns – hot spots of certain types, e.g. injury
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Group Discussion Point
• An organisation has 2 sites carrying out
similar operations
• Company A has 300 workers and has had 10
accidents
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Accident Rate
Accident Incidence Rate (AIR)
'accidents per 1000 workers'
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Use of Statistics
• Potential issues
• Data may be manipulated
• Incidents may go unreported
• Sudden increase in reporting of incidents can
suggest a decrease in performance
– Could be due to improved reporting.
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Other Reactive Measures
• Enforcement actions
• Often required during pre-tender
qualifications
• Civil claims
• Total cost of claims can be calculated
• May be affected by:
– Advertising campaigns
– Dissatisfaction with organisation
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End of Section Quiz
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Unit IGC 1
Element 5.2
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Health and Safety Audits
Auditing is the:
• systematic
• objective
• critical evaluation
of an organisation’s health and
safety management system
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Group Discussion Point
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Distinction Between Audit and
Inspection
Audit Inspection
• Examines documents • Checks the workplace
• Examines procedures • Checks records
• Interviews workers • Usually quick
• Verifies standards • Lower cost
• Checks the workplace • May only require basic
• Can be a long process competence
• Usually expensive • Part of an audit
• Requires a high level of
competence
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Pre Audit Preparations
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During the Audit
Auditors use three methods to gather information:
• Paperwork - documents and records
• Interviews - managers and workers
• Observation - workplace, equipment, activities and
behaviour
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Documents
Typical information examined during an audit:
• Heath and safety policy
• Risk assessments
• Training records
• Minutes of safety committee meetings
• Maintenance records
• Record of monitoring activities
• Accident investigation reports and data
• Emergency arrangements
• Inspection reports from insurance companies
• Regulator visitors
• Worker complaints
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The End of the Audit
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Responsibility for the Audit
• The organisation
• External authorities:
– enforcement agencies
– insurance companies
– accreditation centre's (OHSAS 18001, etc.)
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Whole Group Exercise
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External Audits
Advantages Disadvantages
• Independent of any • Expensive
internal influence • Time consuming
• Fresh pair of eyes • May not understand the
External • May have wider business so make
experienced at impractical suggestions
Audits
auditing • May intimidate workers so
• Experience of different get incomplete evidence
types of workplace
• Recommendations
often carry more
weight
• Up to date with law
• More able to be
critical
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Internal Audits
Advantages Disadvantages
• Less expensive • Auditors may not notice
• Auditors are already certain issues
familiar with the • Auditors may not have
workplace and what is good knowledge of
practicable industry or legal
Internal standards
• Can see changes since last
Audits audit • Auditors may not
• Improves ownership of possess auditing skills so
issues found may need training
• Builds competence • Auditors are not
internally independent so may be
subject to internal
• Workplace more at ease
influence
• Familiarity with
workplace and individuals
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Correcting Non-Conformities
Major non-conformance
• Significant issue, needs urgent action
Minor non-conformance
• Less serious issue, unlikely to result in injury or
failure of management system
• Observations
• Opinion given by auditor
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End of Section Quiz
1. Define “auditing”.
2. What is the difference between an
audit and a workplace inspection?
3. What types of information might be
examined during an audit?
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Unit IGC 1
Element 5.3
Investigating Incidents
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Incident Investigations
Reasons to carry out investigations:
• Identify the causes
• Prevent recurrence
• Collect evidence
• Legal reasons
• Insurance purposes
• Staff morale
• Disciplinary purposes
• To update risk assessments
• Discover trends
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Types of Incident
Near-miss
An unplanned, unwanted event that had the potential to
lead to injury, damage or loss but did not
Accident
An unplanned, unwanted event which leads to injury,
damage or loss
• Injury accident - where the unplanned, unwanted
event leads to some sort of personal injury,
e.g. a cut hand
• Damage only accident - where the unplanned,
unwanted event leads to equipment or property
damage but not personal injury,
e.g. a wall is demolished
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Types of Incident
Dangerous occurrence
• A specified event that has to be reported to
the relevant authority by statute law,
e.g. a major gas leak
Ill-health
• A disease or medical condition that is directly
attributable to work,
e.g. dermatitis as a result of exposure to skin
irritants
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Level of Investigation
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Basic Investigation Procedure
Safety of the scene
• Is the area safe to approach?
• Is immediate action needed to eliminate
danger before casualties are approached?
Casualty care
• First-aid treatment
• Hospitalisation
– Also consider that
bystanders
may be in shock
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Basic Investigation Procedure
Step 1
• Gather factual information
Step 2
• Analyse the information and draw
conclusions
Step 3
• Identify suitable control measures
Step 4
• Plan the remedial action
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Step 1 - Gathering Information
• Secure the scene
• Identify witnesses
• Collect factual
information
− Photo/sketch
− Measurements
− Notes
− Mark up plans
− Samples
• Interview witnesses
• Examine documents
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Group Discussion Point
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Witness Interview Technique
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Group Discussion Point
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Document Examination
• Site plans
• Company health and safety policy
• Risk assessments
• Training records
• Safe systems of work
• Permits-to-work
• Maintenance records
• Previous accident reports
• Sickness records
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Step 2 – Analysing Information
Immediate Causes:
• Unsafe acts
• Unsafe conditions
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Forklift Truck Accident
Immediate Causes:
– Failure to secure the pallet
– Poor positioning of the truck close to the pedestrian exit
– Aggressive braking by the driver
– Inattentive pedestrian steps into the path of the forklift truck
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Step 3 – Identifying Suitable Control
Measures
For Immediate Causes
• Clean up the spill
• Replace the missing guard
• Relocate the trailing cable
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Step 4 – Plan the Remedial Actions
• Dangerous conditions must be dealt with
immediately
• Interim actions may be possible
• Underlying causes will require more complex
actions
– will take time, effort, disruption, money
– need for prioritisation
Recommended action Priority Timescale Responsible
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End of Section Quiz
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Unit IGC 1
Element 5.4
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Internal Incident Reporting
Reasons for reporting incidents:
• To trigger the provision of
first aid
• Preserve accident scene
• Enable investigations to be
carried out to prevent recurrence
• Legal requirement to report
some incidents
• Record for civil claims
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Group Syndicate Exercise
What sort of things are likely to hinder
good accident and near-miss reporting?
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Barriers to Reporting
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Accident Record Contents
• Name and address of casualty
• Date and time of accident
• Location of accident
• Details of injury
• Details of treatment given
• Description of event causing injury
• Details of any equipment or substances involved
• Witnesses’ names and contact details
• Details of person completing the record
• Signatures
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Internal and External Incident
Reporting
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Externally Reportable Events
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Data Collection & Analysis
Analysis of data:
• What is the trend in accident/incidence rate over the
past 5 years?
• What are the most common types of accident?
• What are the most common types of injury?
• Between what times of the day do most accidents
occur?
• Which part of the body is most frequently injured?
• Which department has the highest accident rate?
• What is the accident rate trend for a particular part of
the organisation?
• Where do most accidents occur in the workplace?
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Lessons Learnt
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End of Section Quiz
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Unit IGC 1
Element 5.5
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Levels of Review
• Departmental review
− Monthly, by line manager to ensure on
track
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Reasons for Having Regular Reviews
• Are we on target?
• If not, why not?
• What do we have to change
to continually improve?
• Essential part of management system
• Requirement of ISO certification
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Whole Group Exercise
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Performance Indicators
• Compliance with legal and organisational
requirements, new developments
• Accident and incident data + corrective actions
• Inspections, surveys, tours, sampling
• Absence and sickness data
• Quality assurance reports
• Audit reports
• Monitoring data/records
• External communications and complaints
• Consultation results
• Achievement of objectives
• Enforcement action
• Actions from previous management reviews
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Outputs from Review
• Management reports
− Minutes circulated
− Records maintained
− Actions closed out
• Continual Improvement
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Continuous Improvement
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End of Section Quiz
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