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WEEK 1 – ELEMENT 7

Monitoring, Review
& Audit © TWI Gulf WLL 2008
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Reasons for Monitoring

• Identify sub-standard H & S practices
• Identify Trends
• Compare actual performance against targets
• To benchmark
• Identify use and effectiveness of control measures
• Make decisions on suitable remedial measures
• Set priorities and establish realistic timescales
• Assess compliance with legal requirements
• Provide information to Board, Committees etc. © TWI Gulf WLL 2008
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Two types of Monitoring

1. Reactive or negative monitoring

2. Active or proactive or positive
monitoring

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Monitoring Health and Safety
Reactive Monitoring

a) Examining accident figures

b) Claims records
c) Other Reactive Monitoring methods
 Number of defects reported following safety
inspection
 Any enforcement action against the company
 Prosecutions
 Legal mandates
© TWI Gulf WLL 2008
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Health and Safety Monitoring
Pro-active Monitoring
• Safety Audit
• Safety Inspections
• Safety Surveys
• Safety Tour
• Safety Sampling
• Benchmarking
• HAZOPS
• Health Surveillance
• Performance Review © TWI Gulf WLL 2008
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Safety Audit
A safety audit is a thorough, critical examination of an
organisation’s safety management systems and
procedures.
It is normally a lengthy process carried out by a trained
auditor, often someone from outside the organisation
looking at the strengths and weaknesses of the
organisation.
It is a structured way of assessing the health and safety
performance of an organisation by supplying answers to
a series of questions and often involves a scoring system
so that improvements can be made.

© TWI Gulf WLL 2008

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Pre - Audit Preparation & Procedure

• Setting audit objectives
• Selecting the audit team
• Contact with organisation being audited
• Undertaking the audit
• Draw conclusions
• Report and presentation
• Action by the organisation
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a) Safety Audit Documents

Documents looked at during audits include:
•Safety policy
•Risk assessment procedures
•Safety monitoring procedures
•Maintenance records
•Accident and incident reports
•Health surveillance records
•Training records
•Inspection records
•Previous audit reports © TWI Gulf WLL 2008
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Internal Audits
Advantages
•Easier to arrange
•Lower cost as the Organisation
•Employees they may not feel so threatened

Disadvantages
•Could be influenced by internal relationships
•Conclusions may not be taken seriously.
•The auditor may make assumptions

© TWI Gulf WLL 2008

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External Audits
Disadvantages
•Require more time to organise
•Be more expensive
•Employees may feel more threatened

Advantages
•Auditor will be completely independent
•Auditor will ask questions and not make
assumptions.
•Auditor in independent and unbiased
•More weight may be given to their conclusions
© TWI Gulf WLL 2008
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Safety Inspections

A safety inspection involves

•The straightforward observation of a workplace
&/or the activities or equipment within it.
•A safety inspection is usually carried out by a
manager, employee representative and Safety
Advisor & is often aided by the use of a checklist.
•It may be carried out routinely & has the aim of
identifying hazards & assessing the use &
effectiveness of control measures.
© TWI Gulf WLL 2008
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Workplace Inspections
Limitations

•It is only a snapshot in time

• Some hazards not visible
• Some hazards not always present during the
inspections and may occur later in the process
• Unsafe practices may not occur during the
inspection if the employees know the inspection
is taking place
© TWI Gulf WLL 2008
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Workplace Inspections

Types of inspection
•General workplace inspection
•Statutory inspection

Frequency of inspections
•Depend upon purpose and level of
risk

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Workplace Inspections
Competence of Inspectors:

 Knowledge of workplace inspection

and the hazards associated with the
process etc.
 Knowledge of hazards and controls
in the workplace
 Experience of the process etc.
 Training in inspection techniques
 Good communication and
writing skills
© TWI Gulf WLL 2008
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Safety Inspection Checklist

• Housekeeping • Machinery
• Electrical Safety • Internal Transport
• Provision and use of • Emergency Equipment
PPE • Welfare Facilities
• Use and Storage of • Systems of Work
Hazardous Substances • Working Environment
• Manual Handling
• Traffic Routes

© TWI Gulf WLL 2008

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Strengths of Using Checklists to

complete a H&S Inspection
1. Enables prior preparation & planning
2. More structured & systematic
3. Prevents issues being overlooked
4. Ensures consistent approach
5. Immediate record
6. Easy method for comparison & audit

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Weaknesses of Checklists
1. Blinkered (inflexible) approach
2. Not reviewed or updated to account for
changes
3. Inspections become routine no follow-up
questions asked
4. No scope for secondary issues to be
considered
5. Untrained person conducting inspection
6. Inspection procedure leading to Human
error or abuse
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In summary inspection reports can:

 Identify workplace hazards
 Introduce control measures
 Involve consultation with the workforce
 Benchmark improvements
 Cover all aspects of the workplace

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Other Proactive Methods

• Safety Surveys (focusing on particular
activities) may be carried out by
specialists

• Safety Tours (where unscheduled,

less formal workplace inspections are
carried out to check on issues such as
housekeeping or the use of personal
protective equipment)
© TWI Gulf WLL 2008
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Other Proactive Methods (con’t)

• Safety Sampling (involving the targeting of

specific areas)

• Benchmarking (where an organisation’s

performance in certain areas is compared
with that of similar organisations)

• Hazard and operability studies: (Formal

critical examination of the process at the
design stage)
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Performance Review
Does the organisation?
• Achieve its H&S objectives
• Implement effective risk controls
• Ensure the effectiveness of training,
communication and consultation
programmes
• Learn from management system failures
• Meet legal standards
• Reduce the risk of accidents and ill-health

© TWI Gulf WLL 2008

NEBOSH

MONITORING REVIEW & AUDIT

Summary of Monitoring Techniques
Reactive
• Accidents
• Incidents
• Ill health statistics
• Near misses
• Dangerous occurrences
• Complaints by workforce
• Prosecutions
• Civil Claims
Proactive
• Safety audits
• Safety inspections
• Safety surveys
• Safety tour
• Safety sampling
• Benchmarking
• HAZOP
• Health surveillance
• Performance review

© TWI Gulf WLL 2008