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NEBOSH

National General Certificate

in

Occupational Safety and Health

Monitoring, Audit & Review Presented by Ravi Seepersad

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Learning Outcomes

On completion of this element, candidates should be able to demonstrate understanding

of the content through the application of knowledge to familiar and unfamiliar

situations. In particular they should be able to:

• Outline and differentiate between active (pro-active) monitoring

procedures, including inspections, sampling, tours and reactive

monitoring procedures, explaining their role within a monitoring regime

• Carry out a work place inspection, and communicate findings in the

form of an effective and persuasive report

• Explain the purpose of regular reviews of health and safety

performance, the means by which reviews might be undertaken and thecriteria that will influence the frequency of such reviews

• 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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Where & Why – Monitor, Audit & Review

HSG 65

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Monitoring/ Measuring Health &

Safety Performance

Measurement is a key component in any management

system. It forms the basis for continuous improvement.

You can‟t manage what you can‟t measure (Drucker)

By adopting prudent monitoring of Health and Safety

Management System and its components only then we are

able to identify areas for improvement, ensure proper

allocation of resources and effectively MANAGE safety,thus positively influencing Health & Safety Culture and

Profitability.

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WHY MEASURE PERFORMANCE?

Prudent monitoring of implemented systems provides information of

the effectiveness of current strategies, processes and activities.

Monitoring assists in the proper allocation of Health and Safety

resources – Money, time etc. Ensures continuous improvement, by providing timely data that

enables corrective action to be taken to control Health & Safety Risks.

Required by Law, under the Management of Health and Safety at

Work regulations 1999, Regulation 5: Formal arrangements must be devised (and recorded) for effective planning,

organization, control, monitoring and review of safety measures.

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Measuring Performance - Objectives

The position of the organization relative to health and safety aims

and objectives.

The position of the organization relative to the control of hazards

and risks.

How does the organization compare with others – Benchmarking

What is the reason for the current position?

Is the management doing the right things and if so are they doing

this consistently? Is the organization better or worse over time?

Is the management of health and safety efficient?

What is the health and safety culture within the organization?

Has the HSMS been implemented throughout the organisation?

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What do we do with this information?

This information collected helps in deciding:

The position of the organization in relation to its long term aim.

What progress is necessary and reasonable given currenteconomic, political and social conditions.

How are we to achieve our aims – Allows for the setting of

priorities and allocation of resources.

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The Traditional Approach - Disadvantages

There may be under-reporting – Why?

Often a matter of chance whether a particular incident causes an

injury

An injury is the particular consequence of an accident. Noindication may be provided as to the severity of the injuries

People can be absent from work for reasons which are not

related to the severity of the incident.

Little relationship between „occupational‟ injury statistics and theroot cause for such.

Small number of accidents may lead to complacency

Injury statistics demonstrate outcomes not causes

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How Do We Measure Performance –

The Modern Approach

There is no single reliable measure of Health and Safety Performance. A

‘basket’ of measures is required providing a range of data that could be used to

control risks. These measures are grouped into -

1. Reactive monitoring techniques - are those that are made post-incident in

response to reports that highlight something that is not according to plan.

These record failures (accidents) after they have occurred and, while they can

give an indication of where corrective action needs to be taken, the price of an

accident has already been paid. There is also delay between the incident, or

series of incidents that have attracted attention, and the initiation of corrective

action. These Include:

Injuries and work-related ill-health.

Damage to property.

Incidents such as near misses and Dangerous Occurrences.

Hazards and Faults

Weaknesses or omissions in performance including employee complaints and

enforcement action

http://www.bing.com/images/search?q=health+and+safety+inspection+checklist

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How Do We Measure Performance –

The Modern Approach2. Proactive Monitoring techniques - On the other hand, endeavors to identify,

evaluate and control hazards and risks before they develop to the stage of

causing an accident. The technique is inherent in the process of risk

management.

These techniques identify hazards before accidents occur and enable

preventative measures to be taken. If the inspections or surveys are repeatedon a regular basis and compared with earlier results, an indication of

improving or worsening safety performances can be obtained without suffering

the trauma of an accident. These include:

Safety Inspections

Safety Tours Safety Surveys

Safety Sampling

Health and Safety Audits.

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Proactive Monitoring – Safety Inspections

Here the work area is inspected for hazards or unsafe conditions. A checklist iscommonly used to maintain focus on the area being inspected. Results areanalyzed and corrective action implemented where needed. To maintain focus andprevent the inclusion of too much information Checklist are developed using the 4„Ps‟:

1. Premises – Access/escape, Housekeeping, Services, Working Environment, FirePrecautions.

2. Plant & Substances – Machinery Guarding, Tools & Equipment, LEVs, Use andStorage of Chemicals.

3. Procedures – Safe Systems of Work, Permit to Work, PPE, Method Statements.

4. People – Health Surveillance, People‟s Behavior, Training and Supervision, Appropriate Authorized Person.

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Workplace Inspections – Observation

Techniques

To become a good observer, a person must:

Stop for 10 to 30 seconds before entering a new area

Be alert for unsafe practices that are corrected as soon as you enter an area

Observe activity - do not avoid the action

Remember ABBI - look Above, Below, Behind, Inside

Develop a questioning attitude

Use all senses: sight, hearing, smell, touch

Maintain a balanced approached Be inquisitive

Observe for ideas - not just to determine problems

Recognize good performance

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Proactive Monitoring

2. Safety Tours

An unscheduled examination of the workplace, carried out by a manager or the HSE committee toensure compliance with set standards e.g. Housekeeping. Provides an opportunity for management tointeract with employees on Health & Safety issues and contributes to positive Health & Safety Culture.

3. Safety Sampling Analysis of a particular area or activity over time. Specific issues are highlighted using a checklist andthe sampling conducted the same time in the specified period. This would include for example noiselevel sampling, sampling for atmospheric contaminants etc.

4. Safety SurveysSurveys of the workplace, systems or people to determine facts about their health and safety status.Includes employee questionnaires, evaluation exercises etc.

5. Safety Audits1. Monitoring the implementation of a safety policy by subjecting each area to systematic critical

examination with the purpose of minimizing loss and providing a quantified assessment of performance

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WHO SHOULD

MONITOR PERFORMANCE?

Performance should be measured at each management level, that is,

from Line Managers through to Directors.

Senior Managers must:

satisfy themselves that correct arrangements are in place and working properly

be involved in making sure that plans and objectives are met and compliance

with standards are achieved

Systems may be set up with the guidance of safety professionals -

managers should carry out this responsibility

Specific statutory examinations (lifting equip) have to be carried out atintervals

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FREQUENCY OF

MONITORING & INSPECTIONS

Depends on the level of risk and statutory inspection requirement

Directors may visit the premises formally at an annual audit

Departmental supervisors may inspect each week

Senior managers regularly monitor the health and safety plan toensure objectives are met/ changes to plan

Statutory Inspections

Given under specific regulations such as LOLER & PUWER for lifting

equipment and work equipment respectively. Under the Safety Representatives & Safety Committee Regs. 1977,

regulation 5 & 6 safety representatives may inspect the workplace following

notice in writing every quarter ( or more frequently if agreed). Inspections

may take place after substantial changes in conditions of work, after an

accident, dangerous occurrence or series of near misses.

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Auditing & Performance Review

Auditing and performance review are the final steps in the

health and Safety Management Control Cycle. They

constitute the ‘feedback loop’ which enables an

organisation to reinforce, maintain and develop its abilityto reduce risks.

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Auditing in Health & Safety

Organisations are often subject to audits, eg. Finance, Environment and

Quality. This business discipline can also be applied to health and safety.

All control systems deteriorate over time or becomes obsolete as a result of

change. Auditing supports monitoring by providing managers with information

on how effectively plans and the components of the HSMS are being

implemented.

Auditing also should provide a check on the adequacy and effectiveness of the

management arrangements and Risk Control Systems.

Auditing is defined as follows:

The structured process of collecting independent information on the

efficiency, effectiveness and reliability of the total health and safety

management system and drawing up plans for corrective action.

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Auditing - Aims

The aims of auditing should be to establish that:

Appropriate management arrangements are in place.

Adequate risk control systems exist, are implemented, and consistent

with the hazard profile of the organisation.

Appropriate workplace precautions are in place.

A comprehensive picture of how effectively the HSMS is controlling

risks will emerge from a well-structured auditing programme. A team

approach, involving managers, safety representatives and employees is

an effective way to widen involvement and co-operation ain devising

and implementing the programme.

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Auditing – The Process

The auditing process involves:

1. Planning for the audit

2. Collecting information about the Health & Safety Management

System; and

3. Making judgments about its adequacy and performance.

Step 1 – Preparation

– Discuss and agree the objectives and scope with the relevant managers and

employee representatives.

– The nature and complexity of an audit will vary according to its

objective and scope; the size; sophistication and complexity and

complexity of the organization and the maturity of the existing

HSMS.

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Auditing- Step 2

2. Collecting Information

– Interviewing Individuals – to gain information about the

operation of the HSMS and the perceptions, knowledge,

understanding, management practices, skill levels and

competence of employees.

– Examining documents – The assessment of records, RCSs,

performance standards, procedures.

– Visual Observations – of physical conditions and work activities

to examine compliance with legal requirements and verify the

implementation and effectiveness workplace precautions and

RCSs.

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Auditing – Step 3 (Making Judgement)

The adequacy of the HSMS is judged by making a comparison

between what is found against a relevant ‘standard’ or benchmark.

If there are no clear standards, the assessment process WILL be

unreliable.

Legal Standards, HSE Guidance and applicable industry standardsshould be used to inform audit judgments.

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Reviewing Performance

Refers to a review of the extent to which the policy intention has

been successfully achieved through the organizing, planning,

implementing and measuring phases

Its value lies in gaining an understanding of how well the management process

to control hazards have worked and what improvements need to be made to therisk control process and identifies who is responsible for these improvements.

Information for reviews are obtained from internal or external audits and from

monitoring/measuring.

Reviews as monitoring should be done at all levels within the organization.

It facilitates the allocation of resources and allows for the identification andanalysis of trends within the Health and Safety Management System.

May take place annually during the board of Directors meeting or more frequently

as decided by management (monthly reviews of individuals, sections; 3 moth

reviews of departments or annual review of sites or of the entire organisation.

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When to Review?

Reviews of the Health and Management System or components of

the System should be done when:

At pre-determined intervals set by Management.

After an accident

After a dangerous occurrence or series of near misses.

After enforcement action or complaints by employees

At intervals specified in the law.

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Report Writing – What is a Report?

A report can be considered to be a written analysis of a problemor condition. It may include specific suggestions for the solving,or simple outline the facts and factors connected with theproblem in order that solutions can be found.

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Report Writing - Aims

Get the message through to the reader

Make the message and the arguments clear and easy to

understand

Make the arguments and conclusion persuasive. Your report should be kept as simple as possible.

Nothing is gained from using long complicated sentences,

excessive technical jargon, and official sounding language.

You may not really impress the reader, but depress their daywith the eventual waste basket response to your report.

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Writing Reports - Structure

Title page

Summary

Contents List

Introduction

Main body of the report

Conclusions

Recommendations

Appendices

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Writing Reports – The Title Page

Titles should be clear and informative to ensure effective

communication. Generally the title page should contain:

The name of the person to whom the report is to be sent and

his/her position within the organization. The name and position of the writer(s).

The Title of the report.

The date.

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Writing Reports – The Introduction

The introduction should include:

Who commissioned the report

The purpose of the report

Objective of the report

Terms of reference

Methodology used in any analysis

Problems and methods used to tackle the issues Details about consultation with client , employees etc.

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Writing Reports – The Main Body

Describe in details what was discovered. Fully analyze the problem.

Do not confuse facts with factors. A fact is a verifiable event or happening

A factor is something that cause the event to happen.

Sometimes making a factorial analysis may be difficult to aninexperienced writer.

All that may be required is to think carefully about the problem or situation and its probable or actual causes.

This usually helps you to discover obvious possible solutions

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Writing Reports – Conclusion

The concluding part should be a reasonable detailed

summing up. It should give the conclusion arrived at by

the writer, and explain why the writer reached those

conclusion. No new information should be introduced here.

Reiterate the key points ensuring that the aims of the

report has been achieved. Sign and date the report.

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QUESTION & ANSWER SESSION

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Past Paper Questions

June 2008 Q 1

(a) Explain the meaning of the term „health and safety audit‟. (2)

A health and safety audit is a systematic critical examination of a health and safety management system,

involving a structured process for the collection of independent information with the aim of assessing

the effectiveness and reliability of the system and suggesting corrective action where necessary

(b). Outline the differences between health and safety „audits‟ and workplace „inspections‟ (10)

The key differences between „audits‟ and „workplace inspections‟ are as follows:

An audit is a lengthy process, involving a critical examination of the entire management system resulting in

the preparation of a comprehensive report whilst an inspection usually has a shorter time scale and

examines one or more components of the management system. An audit is conducted by internal or external auditors with training in audit procedures, including interviews,

analysis of documents etc. Workplace inspections are usually conducted by inspectors internal to the

organisation who has been so trained (supervisors or safety reps).

An audit requires detailed planning and resources and is generally carried out infrequently (annually or bi-

annually) whilst an inspection requires less detailed planning, requires less resources and is done more

frequently (e.g. monthly)

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Audits are undertaken less frequently and may give no early warning of a decline in health and safetystandards in the workplace. Conversely inspections normally provide early indication of declining standards

and allows for preventative controls to be implemented.

Audits because of the possibility of bureaucratic delays may have no immediate effects on employee morale

as opposed to inspections where shortcomings are identified early and immediate practical controls could

be taken improving morale and safety culture by extension.

(c) Identify the issues to be considered when compiling an action plan on completion of a workplace inspection.(8)

On the completion of a workplace inspection the following issues should be considered when determining the action

plan:

– Clarification of any problem or deficiency noted during the inspection.

– Identify recommendations for problems identified.

– Allocation of responsibility for taking remedial action.

– The priority and timescale for completion of remedial action.

– Allocation of resources for implementation of remedial action.

– Review date for analysis of progress

– Communication details- How do we disseminate information to interested parties?

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June 2008 Q9

Outline FOUR active (proactive) monitoring methods that can be used in assessing the health and safety performance of an organisation. (8)

Four proactive monitoring techniques include:

1. Inspections – monitors a particular department or area within a particular period.

Consideration of premises, plant & maintenance, procedures, people.2. Safety Sampling – Analysis of a particular area or activity over time. Specific issues are

highlighted using a checklist and the sampling conducted the same time in the specified period.

3. Safety tours – An unscheduled examination of the workplace, carried out by a manager or the

HSE committee to ensure compliance with set standards eg. Housekeeping.

4. Safety Surveys – Surveys of the workplace, systems or people to determine facts about their

health and safety status.

5. Health Surveillance – Used for the early identification of occupational ill-health amongemployees so that corrective action can be taken.

6. HSMS Audits – Critical independent analysis of all aspects of the systems to identify faults

and implement corrective action.

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Dec 2006 Q 8

Outline the reasons why an organization should monitor and review its health and

safety performance. (8)

-It forms a critical part of a Health and Safety Management System.-Provides information on the progress and current status of the strategies,

processes and activities employed to control risks.

-Allows for benchmarking.

-Provides information that will allow for corrective action to be taken, that is , it

allows for continual improvement.

-Allows for establishment of goals and objectives.

-Allows for proper allocation of resources.

-Allows for evaluation of employees with health and safety responsibilities.

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June 2007 Q1

A health and safety inspection has been carried out on one of a company’s workshops.

The inspection has found a number of unsafe conditions and practices and some positive

issues.

(a) In addition to the date and time the inspection was carried out,state other issues that

should also be included in the report to enable management to make an informeddecision on remedial action to be taken. (12)

(b) Explain how the report should be structured and presented in order to make it more

effective and to increase the likelihood of action being taken by management. (8)

(a)

Details of the person carrying out the inspection

Purpose and scope of the inspection – area, activities covered, aims.

Risk Prioritization – High, Medium, Low.

Action Plan – Immediate action, Longer term action etc.

Details of breaches in the law and implications for such – Enforcement Action.

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June 2007 Q1 (Continued)

Previous accidents and enforcement action taken.

Cost vs. Benefit Analysis.

(b)

The report must be properly formatted and written and not contain any jargon.

Should be divided into sections

Executive Summary – Identifying the key findings

Introduction – Identifying the scope of the inspection.

Findings – Significant risks found, possible breaches and implications, action plan and a

timescale for remedial action. Summary – Reiterate key points, include recommendations and include a cost vs. benefit

analysis.

Appendices – If required.

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NEBOSH

THE END

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