NEBOSH International General Certificate in

Occupational Safety and Health

Unit IGC1

Element 5: Health and Safety

Management Systems 4 –
Measuring, Audit and Review

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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:
• ‹Outline 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

Active and Reactive

Monitoring

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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

Interviewing People • Working methods

• Behaviour

Examination Procedures • Safe systems

• Method statements
• Permits-to-work

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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

• Inspections must follow through into

action.

Action required Responsible Date Due

person
Repair damaged Maintenance By 15th July 2011
fire extinguisher technician
bracket

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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

• Company B has 150 workers and has had 5

accidents

• Which has the “better” safety performance?

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 Accident Rate
Accident Incidence Rate (AIR)
'accidents per 1000 workers'

Number of accidents during a

AIR = specific period  1000
Average number of workers
during the same period

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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

1. What is meant by active monitoring?

2. What is meant by reactive monitoring?
3. Give examples of active monitoring
techniques
4. What topics could be considered in a
general workplace inspection?
5. What are accident rates used for?

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 Unit IGC 1
Element 5.2

Health and Safety Auditing

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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

What is the difference between an audit

and an inspection?

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 Distinction Between Audit and
Inspection
Audit
• Examines documents
• Examines procedures
• Interviews workers
• Verifies standards
• Checks the workplace
• Can be a long process
• Usually expensive
• Requires a high level of
competence
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Inspection
• Checks the workplace
• Checks records
• Usually quick
• Lower cost
• May only require basic
competence
• Part of an audit
 Pre Audit Preparations

The following should be defined:

• Timescales
• Scope of the audit
• Area and extent of the audit
• Who will be required
• What documentation will be required
• Auditor competence
• Time and resources for auditors

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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

Verbal feedback session

• To managers
• Highlights of the audit

Written Report to Management

• Findings
• Recommendations
• Priorities and timescales

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 Responsibility for the Audit
• The organisation
• External authorities:
– enforcement agencies
– insurance companies
– accreditation centre's (OHSAS 18001, etc.)

It is the responsibility of management at all

levels to ensure recommendations for
improvement are communicated and
implemented
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 Whole Group Exercise

Discuss the advantages and disadvantages

of an external and an internal audit

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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
Audits experienced at impractical suggestions
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
• Less expensive
• Auditors are already
familiar with the
workplace and what is
practicable
Internal
Audits • Can see changes since last
audit
• Improves ownership of
issues found
• Builds competence
internally
• Workplace more at ease
• Familiarity with
workplace and individuals
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Disadvantages
• Auditors may not notice
certain issues
• Auditors may not have
good knowledge of
industry or legal
standards
• Auditors may not
possess auditing skills so
may need training
• Auditors are not
independent so may be
subject to internal
influence
 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

• More minor incidents

• Investigated by line manager

• Major incidents, more complex events or

incidents with high potential
• Investigated by a team
– Safety specialist
– Senior Manager
– Technical specialist
– Worker representative
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 Whole Group Activity

Discuss the first thing you should do

when arriving at an accident scene
and then the later steps

Consider what type of equipment you

may need to assist you

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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

• You have to interview a witness who has

just seen his friend injured at work.

• Suggest some golden rules which should

be followed.

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 Witness Interview Technique
• Quiet room, no distractions
• Establish a rapport
• Explain the purpose, not about blame
• Use open questions, e.g. Who? What? Where?
When? Why? How?
• Keep an open mind
• Take notes
• Ask for a written statement
• Thank the witness

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 Group Discussion Point

• To practice using open questioning

techniques, find out what the person
sitting next to you did last night.
• Try to use only open questions.

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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

Underlying or Root Causes:

• Reasons behind the immediate causes
• Often failures in the management system
– No supervision
– No PPE provided
– No training
– No maintenance
– No checking or inspections
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– Inadequate or no risk assessments
 Group Syndicate Exercise

A worker is struck by a load

being carried on a pallet by a
forklift truck.

Outline possible immediate

and underlying causes of the
accident

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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

Underlying or Root Causes:

• No training for the driver
• Lack of segregation of vehicles and pedestrians
• Poor driver induction
• Poor truck maintenance
• No refresher training

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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

For Underlying or Root Causes

• More difficult
• Need to make changes
in management system

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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

Introduce induction Medium 1 month Warehouse

training for all new FLT Manager
drivers

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 End of Section Quiz

1. What are the main reasons for reporting an

incident?
2. What are the main reasons for investigating an
incident?
3. Who might investigate a minor injury to a
worker which had no real potential to be worse?
4. Who might a major incident be investigated?
5. What are the 4 key steps in incident
investigation?

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 Unit IGC 1
Element 5.4

Reporting and Recording

Incidents

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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?

What can an organisation do to make it

more likely that incidents will be reported?

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 Barriers to Reporting

• Unclear organisational policy

• No reporting system in place
• Culture of not reporting (peer pressure)
• Overly-complicated reporting procedures
• Excessive paperwork
• Takes too much time
• Blame culture
• Apathy – poor management response
• Concern over impact on organisation/individuals
• Reluctance to receive first aid

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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

Will depend upon the severity:

Internal External
• Directors • Family of the casualty
• Senior managers • External authorities
• Human resources • Insurance companies
managers • Public relations advisors
• Health, Safety
Environmental Advisors
• Worker representatives

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 Externally Reportable Events

• Some incidents need to be reported to

regulator by law, e.g.
− Fatality
− Major injury
− Dangerous occurrence
− Disease
− Lost time injuries

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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

• Action taken as a result of incident

• Published internally as “lessons learned”
− Shows company commitment to improving
− Allows improvements to be made
• Maintain confidentiality!

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 End of Section Quiz

1. Why might an employee not report an

incident?
2. What are the typical contents of an
internal incident report form?
3. Why is incident data collected?

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 Unit IGC 1
Element 5.5

Review of Health and Safety

Performance

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 Levels of Review
• Full management system review
− By the board, annually

• Management team review

− Every quarter, feeds to full 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

What measurements of health and safety

performance should be included in the annual
review?

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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

• Annual report to shareholders

− For some organisations

• Continual Improvement
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 Continuous Improvement

Review evaluates performance against

standards
– Action taken as a result to improve
• Board/Senior managers
– Set targets as a result of review/amend policy
• Middle Managers
– Review performance
– Set targets for their area
• Junior Managers
– Review local performance
– Set targets for their area

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 End of Section Quiz

1. Why should an organisation carry out

reviews of health and safety
performance?
2. What should be considered in the
management review of health and
safety performance?

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