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

Planning and
Auditing 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
 Active Reactive

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
Effective Writing
Writing

 Who will read it?

 What are the aims?
 What layout is
required?
 What style is
appropriate?
 What are the terms of
reference?
 Style
Style
 Short Sentences - KISS
 Short Words - No Jargon
 Active Verbs
 Technical Terms / Acronyms
 Repetition - Avoid
 Visual Aids - Charts, Graphs or Pictures
 Examples
 Drafts
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
Report Writing
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.