NEBOSH

International
General Certificate

Copyright RMS Publishing

IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 1
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 Licence details

RMS Publishing Limited

Victoria House, Lower High Street, Stourbridge DY8 1TA

© ACT Associates Limited.

First Edition September 2007.

All rights reserved. No part of this presentation may be stored in a retrieval system, reproduced, or transmitted in any form or by any means,
electronic, mechanical, photocopying, recording or otherwise without either the prior written permission of the Publishers.
This presentation may not be lent, resold, hired out or otherwise disposed of by way of trade in any form other than that in which it is published,
without the prior consent of the Publishers.
This presentation may not be reproduced in any form without prior consent of the Publishers other than a single copy thumbnail handout for
immediate use by the tutor.

Whilst every effort is made to ensure the completeness and accuracy of the information contained herein, RMS/ACT can bear no liability for any
omission or error.

Issued to: Strabag

Single Licence
Licence No: 860409

Copyright RMS Publishing

IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 2
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 NEBOSH
International
General Certificate

Copyright RMS Publishing

IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 3
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 Unit IGC1
Management of
International health
and safety
Copyright RMS Publishing
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 Element 7

Monitoring, review
and audit
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Monitoring, review and audit

Learning outcomes

7.1 Outline and differentiate between active (pro-active)

monitoring procedures, including inspections, sampling, tours
and reactive monitoring procedures, explaining their role
within a monitoring regime
7.2 Outline the role of workplace inspections, and communicate
findings in the form of an effective and persuasive report
7.3 Explain the purpose of regular reviews of health and safety
performance, the means by which reviews might be
undertaken and the criteria that will influence the frequency
of such reviews
7.4 Explain the meaning of the term ‘health and safety audit’
and describe the preparations that may be needed prior to an
audit and the information that may be needed during an audit
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Monitoring, review and audit

Contents of element

7.1 Active and reactive monitoring

7.2 Workplace inspections
7.3 Review of health and safety performance
7.4 Auditing

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Monitoring, review and audit

Contents of element

7.1 Active and reactive monitoring

7.2 Workplace inspections
7.3 Review of health and safety performance
7.4 Auditing

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Monitoring, review and audit
Active and reactive monitoring

• Active monitoring measures

• Use of safety inspections, sampling and tours
• Reactive monitoring measures

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Monitoring, review and audit
Active and reactive monitoring
Active monitoring measures

• Objectives of active monitoring

• Methods of active monitoring
• Monitoring performance standards
• Systematic inspection of plant and premises

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Monitoring, review and audit
Active and reactive monitoring
Active monitoring measures
Objectives of active monitoring
• Check health and safety plans have been implemented
• Monitor the extent of compliance with the organisation’s
systems/procedures, and with its legislative/technical
standards
Organisations need to know:
• Where they are
• Where they want to be
• What is the difference - and why

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Monitoring, review and audit
Active and reactive monitoring
Active monitoring measures
Methods of active monitoring
• Monitor specific objectives
• Periodic examination of documents
• Systematic inspection of premises
• Environmental monitoring and health surveillance
• Systematic direct observation of work and behaviour
• The operation of audit systems
• Consideration of regular reports on health and safety
performance

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Monitoring, review and audit
Active and reactive monitoring
Active monitoring measures
Monitoring performance standards
• Health and safety performance in organisations that manage
health and safety effectively is measured against established
standards
• The success of action to manage risks is assessed through
active monitoring involving a range of techniques
• Deficiencies in control measures are assessed through reactive
monitoring
• Identifying the underlying causes and the implications for the
structure and operation of the health and safety management
system

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Monitoring, review and audit
Active and reactive monitoring
Active monitoring measures
Systematic inspection of plant and premises
• Identify health and safety conditions, providing an
indication of the effectiveness of controls used to prevent
sub-standard conditions
• If inspections are done on a timely basis it is possible to
limit the harmful effects
• Periodic inspection provides a monitoring method that
gives early indication of standards by comparison with
the previous results of inspections over time

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Monitoring, review and audit
Active and reactive monitoring
Use of safety inspections, sampling and tours

• Safety inspections
• Safety sampling
• Tours

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Monitoring, review and audit
Active and reactive monitoring
Use of safety inspections, sampling and tours
Safety inspections
Four different types are:
• General workplace inspections
• Statutory inspections
• Preventive maintenance inspections
• Pre-use ‘checks’ of equipment

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Monitoring, review and audit
Active and reactive monitoring
Use of safety inspections, sampling and tours
Safety sampling
• Only a partial amount of group / area is examined

Conducted relating to:

• Specific hazards
• Good practice
• General workplace hazards

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Monitoring, review and audit
Active and reactive monitoring
Use of safety inspections, sampling and tours
Tours
• Opportunity for management to explore effectiveness of
risk control measures by planned visits to the workplace
• Management commitment visible which develops a
positive health and safety culture
• Gives an accurate picture of work conditions
• Can indicate deficiencies or success in managers
• Provides forum for gaining viewpoint of employees
• Details of tour and outcomes must be recorded

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Monitoring, review and audit
Active and reactive monitoring
Reactive monitoring measures
Objectives of reactive monitoring
Analyse data relating to:
• Accidents/near-misses
• Ill-health
• Other downgrading events

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Monitoring, review and audit
Active and reactive monitoring
Reactive monitoring measures
Reactive monitoring measures
Deemed to be after the event and are therefore reactive
monitoring measures:
• Identification
• Reporting
• Investigation
• Collation of data and statistics, on the events

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Monitoring, review and audit
Active and reactive monitoring
Reactive monitoring measures
Reactive monitoring measures
Events monitored:
• Injuries
• Cases of illness
• Property damage
• Near misses
• Dangerous occurrences
• Complaints by the workforce
• Enforcement actions

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Monitoring, review and audit
Active and reactive monitoring
Reactive monitoring measures
Accident statistics

Frequency rate = No. accidents in period x 100,000

Total hrs worked during the period

Incidence rate = No. accidents in period x 1,000

Average no. employed

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Monitoring, review and audit
Active and reactive monitoring
Reactive monitoring measures
Dangerous occurrences
‘an accident not resulting in personal injury Reportable to
an enforcing authority’
Typical dangerous occurrences might include:
• A collapse in a scaffold over 5 metres
• The failure of any load bearing part of any lift, hoist, crane
or derrick

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Monitoring, review and audit
Active and reactive monitoring
Reactive monitoring measures
Ill-health
‘harm to a worker’s health caused by their work’
• This term refers to harm to a worker’s health caused by
their work and will include harm to health in a physical or
mental capacity
• This will include types of harm, as in a notified disease
e.g. dermatitis

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Monitoring, review and audit
Active and reactive monitoring
Reactive monitoring measures
Complaints by workforce
• These complaints made by workers or others may be done informally (verbally) or in writing to
supervisors or management
• Supporting evidence:
- Accident data
- Recorded near-misses
- Slips/trips/falls
• Complaints should be considered carefully as they may be an indicator of ineffective/dangerous
working practices/procedures and risk assessments should be formally reviewed

Copyright RMS Publishing

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Monitoring, review and audit
Active and reactive monitoring
Reactive monitoring measures
Enforcement action
‘the legal enforcement of improvement or prohibition notices
of dangerous machinery OR equipment’
• These legal enforcement notices imposed by local health
and safety inspectors normally occur following the
reporting of a major accident or reportable incident

Copyright RMS Publishing

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Monitoring, review and audit

Contents of element

7.1 Active and reactive monitoring

7.2 Workplace inspections
7.3 Review of health and safety performance
7.4 Auditing

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Monitoring, review and audit
Workplace inspections
Role of workplace inspections

• Identify health and safety status

• What improvements are needed
• Identify workplace hazards
• Whenever a sub-standard (at risk) situation is identified two
critical steps must be taken:
• Each situation must be evaluated as to its risk potential
• The underlying cause(s) of the situation must be identified

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Monitoring, review and audit
Workplace inspections
Role of workplace inspections
A simple approach to risk evaluation levels (rating) and
allocation of time for actions may follow the method below:
• High risk (likely to cause a major loss) - complete within 24
hours
• Moderate risk (likely to cause a serious loss) - complete
within 7 days (1 month if preferred)
• Low risk (will possibly cause a minor loss) - complete within
30 days (3 months if preferred)

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Monitoring, review and audit
Workplace inspections
Role of workplace inspections
Factors governing frequency and type of inspection

Frequency might be increased or even decreased if any of the

following occur:
• Changes in legislation
• Modifications are made to existing plant/machinery
• Re-location of equipment or changes in environment
• Equipment fails the test
• Accident data / near-misses recorded by workers

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Monitoring, review and audit
Workplace inspections
Role of workplace inspections
Factors governing frequency and type of inspection

Inspections fall into two main categories:

• Mandatory, as stated within legislation or local rules, for
example, for safe maintenance of lifting equipment
• Routine, conducted by a competent person

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Monitoring, review and audit
Workplace inspections
Role of workplace inspections
Competence of inspector

• Inspectors must have relevant qualifications and

experience
• Knowledge of the specified plant / machinery and they
should also be trained in risk assessments
• Resources should be available relating to any Government,
EU or International legislation

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Monitoring, review and audit
Workplace inspections
Role of workplace inspections
Use of checklists

• These can be useful aids, especially when information/data

is incorporated from plant designers and manufacturers
• These may also limit what is inspected

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Monitoring, review and audit
Workplace inspections
Role of workplace inspections
The requirements for effective report writing
• Style
• Structure
• Emphasis
• Persuasiveness
• Introduction and background
• Summary
• Main body of the report
• Recommendations
• Conclusions

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Monitoring, review and audit

Contents of element

7.1 Active and reactive monitoring

7.2 Workplace inspections
7.3 Review of health and safety performance
7.4 Auditing

Copyright RMS Publishing

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Monitoring, review and audit
Review of health and safety performance

• Gathering information to review health and safety

performance
• Reporting on health and safety performance
• Role of senior management team
• Feeding into action and development plans as part of
continuous improvement

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Monitoring, review and audit
Review of health and safety performance
Gathering information to review health and
safety performance
• Accident and incident data
• Inspections
• Absences and sickness
• Surveys, tours and sampling
• Quality assurance reports, audits, monitoring data /
records / reports, complaints

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Monitoring, review and audit
Review of health and safety performance
Gathering information to review health and
safety performance
• Systematic learning from all relevant experience through
regular reviews of performance
• Draws on data from monitoring activities and audits
• Forms basis of continuous improvement
• Helps maintain a management system that is fresh,
dynamic, appropriate and effective

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Monitoring, review and audit
Review of health and safety performance
Gathering information to review health and
safety performance
Accident and incident data
• Accident trend an analysis is after the event
• Any analysis should consider potential for each
occurrence to have resulted in a more significant
outcome
Two elements to consider:
• Quality of planning before the event
• Failure of controls

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Monitoring, review and audit
Review of health and safety performance
Gathering information to review health and
safety performance
Inspections
• Identify general workplace hazards before they result in
any harmful outcome
Extract from Audit 123 Level 2 Vol 1 of 2 Auditor’s Guidance
5/02 Chains Ropes and Lifting Tackle Consider:
Does the organisation ensure that Examined by a competent person
statutory inspections are carried out? Examined every period of six months
Notes: Register of examination
Certificate of test and examination
Distinguishing number or mark
Safe working load (SWL) - displayed
Fault procedure
Monitoring

Source: RMS.

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Monitoring, review and audit
Review of health and safety performance
Gathering information to review health and
safety performance
Absences and sickness
• Data should be collected
• Data should be analysed
• Determine if resulted from work or working environment
issues
• Determine causes e.g. shift working

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Monitoring, review and audit
Review of health and safety performance
Gathering information to review health and
safety performance
Surveys, tours and sampling
• A survey is an identification of need e.g. noise survey
• Tours are best carried out by most senior management
so as to cut through the “glue”
• Sampling is a technique to identify a ‘representative
portion to illustrate the whole’

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Monitoring, review and audit
Review of health and safety performance
Gathering information to review health and
safety performance
Surveys, tours and sampling
Sampling - extract from Audit 123 Level 3 Section 1 Workbook

Source: RMS.

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Monitoring, review and audit
Review of health and safety performance
Reporting on health and safety performance
• Should be reported at board level
• Include a statement within the annual report
• Should be available to all employees

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Monitoring, review and audit
Review of health and safety performance
Role of senior management team
• Role of the management team is to treat health, safety
and the environment as equal partners to other business
issues

Policy Statement abstract:

“Safety is an integral part of business excellence and,
together with product and service quality, and corporate
health and profitability, is the foundation for our future
success”
Source: Standard Wire Corporation circa. 1996.

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Monitoring, review and audit
Review of health and safety performance
Role of senior management team
Extract from Audit 123 Level 3 Section 1 Auditor’s Guidance
Ref No. Validation Material
1/1/05 Health and safety as an equal
partnership
Do managers readily accept that health
and safety is a manageable item and
should be seen to have equal standing
with production and quality?
Notes:
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Evaluation
Consider:
• Board commitment e.g. policy statement
• Appointment of a Director for health and safety
• Included in job descriptions/responsibility
statements
• Accepted as a line management responsibility
• Included fully in all technical, procedural and
behavioural standards of performance
• Identified in appraisal documents
• Planned allocation of time to health and safety
issues
• Health and safety performance measured and
reported on equal basis with other management
objectives
Source: RMS.
Monitoring, review and audit
Review of health and safety performance
Feeding into action and development plans as part
of continuous improvement
• Important for health and safety reviews to take place in an
analytical way
• Identifies objectives and actions to improve health and safety
• Feeds into development / improvement plans
• Strategic level plans enables production of local level plans
through information cascade
• Maintains health and safety within an organisation in a
dynamic way leading to continuous improvement

Copyright RMS Publishing

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Monitoring, review and audit

Contents of element

7.1 Active and reactive monitoring

7.2 Workplace inspections
7.3 Review of health and safety performance
7.4 Auditing

Copyright RMS Publishing

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Monitoring, review and audit
Auditing

• Scope and purpose of auditing health and safety

management systems
• Pre-audit preparations
• Responsibility for audits
• Advantages and disadvantages of external and internal
audits

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Monitoring, review and audit
Auditing
Scope and purpose of auditing health and safety
management systems
An audit is a systematic, critical examination of an
organisation’s systems to determine the extent of compliance
with a set of agreed standards
Evaluation of compliance with:
- Health and safety programme procedures
- Set occupational health standards
- Physical safeguards
- Fire prevention/control standards

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Monitoring, review and audit
Auditing
Pre-audit preparations
• Structured and co-ordinated
• Utilise audit checklists
• Assess documents, interview people and observe the
workplace
• Decide on interviewees and organise timetable
• Inform people of what documents to make available
• Structured interviews
• A detailed report of findings and recommendations on
outcome

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Monitoring, review and audit
Auditing
Responsibility for audits

• A manager
• A representative from the workforce
• A health and safety professional

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Monitoring, review and audit
Auditing
Advantages and disadvantages of external and
internal audits
Internal
Advantages:
• Buy in
• Local knowledge
• Awareness of industry
• Familiar with workforce strengths and weaknesses
• Cheaper
• Easier

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Monitoring, review and audit
Auditing
Advantages and disadvantages of external and
internal audits
Internal
Disadvantages:
• Not possess auditing skills
• Not current with legislation and best practice
• Other responsibilities
• Pressure from management
• Time constraints

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Monitoring, review and audit
Auditing
Advantages and disadvantages of external and
internal audits
External
Advantages:
• Impartial
• Offer solutions considered unsolvable within
• Not inhibited by criticism
• Fresh pair of eyes

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Monitoring, review and audit
Auditing
Advantages and disadvantages of external and
internal audits
External
Disadvantages:
• Plan well
• Individuals not forthcoming
• Unrealistic targets may be sought

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Monitoring, review and audit
Auditing
Sample page from Audit 123 system

Source: RMS Publishing

Copyright RMS Publishing
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Monitoring, review and audit

Contents of element

7.1 Active and reactive monitoring

7.2 Workplace inspections
7.3 Review of health and safety performance
7.4 Auditing

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 Element 7

Monitoring, review
and audit
Copyright RMS Publishing
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 Unit IGC1
Management of
International health
and safety
Copyright RMS Publishing
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 NEBOSH
International
General Certificate

Copyright RMS Publishing

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