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NEBOSH General Certificate

Unit 16

Monitoring,
Review
&
Audit

Session Aims

An understanding of the proactive and


reactive monitoring systems

An understanding of the scope and


nature of a health and safety audit

Learning Objectives
To be able to use a variety of proactive
and reactive monitoring procedures
To be able to carry out a workplace
inspection produce action plan
Use different types of safety inspection
To be able to review performance
Explain meaning and preparations
needed for an audit

The Main Elements


in HS(G) 65
Policy

Organising

Auditing

Planning and
Implementing
Measuring
Performance
Reviewing
Performance

Safety Culture
Indicators

Accidents

Absenteeism

Sickness Rates

Staff Turnover

Legislation Compliance

Staff Complaints

Safety Culture
Safe Person

Competent Person

Communicates with workers by providing:

Safety Briefings that stress safety when giving work


instructions

Encouragement via a reward scheme or pat on the


back

Feedback on hazard identification and control


measures in place

Information, Instruction, Training & Supervision

Co-operation

Control

Job Safety Analysis

Cradle to grave approach to a specific task

Identify and evaluate the risks involved in that task

Break down the task into sections

Evaluate each section and decide on the control


measures necessary to reduce the associated risks

Hazards - Risk - Likelihood - Severity


Practicable or Reasonably Practicable

Inspections & Audits


Hazard & Operability Studies
(HAZOP)

Used in potentially high-risk industries such


as a petro-chemical plant

Based on what if questioning - What if:

The pump fails?

The flow rate detector mis-reads?

The gas supply is interrupted?

Why Monitor?
The Management of Health & Safety at Work
Regulations 1992 - Regulation 5

Every employer shall make and give effect to


such arrangements as are appropriate,
having regard to the nature of his activities
and the size of his undertaking, for the
effective planning, organisation, control,
monitoring and review of the preventive and
protective measures

Monitoring

Proactive - The systematic inspection


of plant and premises. Checking to
ensure that your standards are being
maintained.

Reactive - Something has gone wrong.


Standards have not been maintained or
a control measure has failed.

Monitoring

Proactive - look at what is actually happening

compared to what is written in plans and standards.


Reactive - events direct us to look again at control
measures:

accidents
near misses
dangerous occurrences
ill-health
complaints by the workforce
enforcement action

Reactive

Active

Assess action needed to deal with immediate risk


Assess level and nature of investigation needed
Investigate
Results & Analysis
Review Process

Inspections

A physical inspection of premises, plant and


equipment. Undertaken by:

Directors / Supervisors / Line Managers

Health & Safety Advisor

Joint teams of managers and employees

Safety Representatives

Inspecting either together or working


separately and then comparing notes

Proactive Monitoring

Safety Audits - Thorough, systematic and critical


examination of systems and procedures

Workplace Inspections - Physical inspection of the


workplace or aspects of the workplace

Safety Surveys - Detailed investigation of of one


aspect of the workplace

Safety Tours - Brief examination of one or more aspect


of the workplace

Safety Sampling - Inspection limited to a specific area


or aspect of the workplace e.g. fire doors

Proactive Monitoring
Safety Audits

A safety audit is: A thorough, systematic and critical


examination of safety management systems and
procedures
It should:
Asses the quality & implementation of the
safety policy
Identify potential risks and their associated
control measures
Analyse workplace activities and assess if they
are being carried out safely

Proactive Monitoring
Safety Representatives

The Safety Representatives & Safety Committee


Regulations 1977

Safety Representatives may conduct inspections in


the following circumstances:

After substantial changes to plant and equipment

After substantial changes in processes or


methods

Following notifiable accident or dangerous


occurrence

Following notifiable disease

Proactive Monitoring
Safety Survey

A safety survey is a detailed investigation of one


aspect of the workplace. Could be a survey of:
Noise
Dust
Temperature
Lighting
Fumes

and/or Vapours

Proactive Monitoring
Safety Tour

A safety tour is a brief examination of one or more aspects


of workplace activities: Could be conducted by a small
management team to:

Display commitment to health and safety

Gain familiarisation with layout

Compare theory with reality

Plan future series of inspections

Meet the staff

Proactive Monitoring
Safety Sampling

Safety sampling is limited to certain areas or aspects of the


workplace. Could be an inspection of all:

Fire doors
Prohibition signs (Red & White)
Mandatory signs (Blue & White)
Safety signs (Green & White)
PPE
Electrical portable appliances
Washrooms & toilets
All canteen facilities

Reactive Monitoring

Something has gone wrong. Standards have not


been maintained or a control measure has failed. We
are now involved with reporting of:

Injuries and cases of ill health


Near-misses
Hazards
Weaknesses or omissions in performance
standards
Enforcement action by HSE or Local Auth

Safety Audit
Football Club

Considerations:
Equipment
Chemicals
Traffic
Buildings
Fire Precautions
Electricity Supply & Electrical Equipment
Ground Location & Layout
Visitors
Labour
Documentation

Safety Audit

Independent Expertise

An independent expert can be:

Engineering Surveyors

Insurance Company Staff

Insurance Brokers

Claims Investigators

Consultants

Health & Safety Inspectors

Local Authority Inspectors

Inspections & Audits

Prioritising Results - Action


Plan
Likelihood x Severity = Risk Rating

Urgent - Requiring immediate action


Routine - Requiring action over a period of time

Football Club Urgent:

Wiring for lights in the shower room

Use of equipment

Football Club Routine:

Soakaways from the showers

Improved system for control of contractors

Audits & Inspections


Frequency

Depends on the workplace environment and the


nature of the associated hazards. Rule of thumb:

Audit - Annually or every 2 to 3 years

Inspections - More frequently (monthly or every


few months)

Note: Frequency should be detailed in the company


safety policy

Report Writing

Senior Mangers need to know what they


need to do, by when & how much it will cost

Use executive summaries

Findings linked to an action plan (SMART)

Spread responsibility for action

Have an different person for each action to


ensure action plan is completed & progress
is monitored

Effective Writing
Who will read it?
What are the aims?
What layout is
required?
What style is
appropriate?
What are the terms
of reference?

Style
Short Sentences - KISS
Short Words - No Jargon
Active Verbs
Technical Terms / Acronyms
Repetition - Avoid
Visual Aids - Charts, Graphs or Pictures
Examples

Drafts
Brain storm & jot down your thoughts.
Expand your thoughts.
Discard irrelevant issues.
Read it as if you were receiving it.
Read it aloud to check for tone.
Simplify the content (no long words).
Check all verbs - are they necessary?

Report Writing
Introduction - Your terms of reference.
Summary - Short outline of important points
Method - What you did to comply with your
terms of reference.
Findings - A logical list of what you found.
Conclusions - Nothing new at this stage.
Recommendations - Relevant & achievable.

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