NEBOSH International General Certificate in

Occupational Safety and Health

Unit IGC1

Element 5: Health and Safety

Management Systems 4
Measuring, Audit and Review
 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 ac ve 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
 Unit IGC 1
Element 5.1

Active and Reactive

Monitoring
 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
 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
 Systematic Inspections
Observation Plant Machinery
Vehicles
Premises Workplace
Environment

Interviewing People Working methods

Behaviour

Examination Procedures Safe systems

Method statements
Permits-to-work
 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
 Other Standards

Health Surveillance
Monitoring worker health - a proactive measure
Shows effectiveness of controls

Benchmarking
Comparison to other organisations
Can compare between sectors
 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
 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
 Use of Checklists

Advantages Disadvantages
Ensures all May ignore items
points covered not on checklist
Consistent
approach
Form of written
record
 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.
 Workplace Inspections
Typical topics:
Fire safety
Housekeeping
Environment issues
Traffic routes
Chemical safety
Machinery safety
Electrical safety
Welfare facilities
 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
 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
 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
 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
 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?

 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
 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.
 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
 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?
 Unit IGC 1
Element 5.2

Health and Safety Auditing

 Health and Safety Audits

Auditing is the:
systematic
objective
critical evaluation
of an organisations health and
safety management system
 Group Discussion Point

What is the difference between an audit

and an inspection?
 Distinction Between Audit and
Inspection
Audit Inspection
Examines documents Checks the workplace
Examines procedures Checks records
Interviews workers Usually quick
Verifies standards Lower cost
Checks the workplace May only require basic
Can be a long process competence
Usually expensive Part of an audit
Requires a high level of
competence
 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
 During the Audit
Auditors use three methods to gather information:
Paperwork - documents and records
Interviews - managers and workers
Observation - workplace, equipment, activities and
behaviour
 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
 The End of the Audit

Verbal feedback session

To managers
Highlights of the audit

Written Report to Management

Findings
Recommendations
Priorities and timescales
 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
 Whole Group Exercise

Discuss the advantages and disadvantages

of an external and an internal audit
 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
experienced at impractical suggestions
Audits
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
 Internal Audits
Advantages
Less expensive
Auditors are already
familiar with the
workplace and what is
practicable
Internal
Can see changes since last
Audits audit
Improves ownership of
issues found
Builds competence
internally
Workplace more at ease
Familiarity with
workplace and individuals
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
 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?
 Unit IGC 1
Element 5.3

Investigating Incidents
 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
 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
 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
 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
 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
 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
 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
 Step 1 - Gathering Information
Secure the scene
Identify witnesses
Collect factual
information
Photo/sketch
Measurements
Notes
Mark up plans
Samples
Interview witnesses
Examine documents
 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.
 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
 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.
 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
 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
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
 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
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
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
 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?
 Unit IGC 1
Element 5.4

Reporting and Recording

Incidents
 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
 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?
 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
 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
 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
 Externally Reportable Events

Some incidents need to be reported to

regulator by law, e.g.
Fatality
Major injury
Dangerous occurrence
Disease
Lost time injuries
 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?
 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!
 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?
 Unit IGC 1
Element 5.5

Review of Health and Safety

Performance
 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
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
 Whole Group Exercise

What measurements of health and safety

performance should be included in the annual
review?
 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
 Outputs from Review

Management reports
Minutes circulated
Records maintained
Actions closed out

Annual report to shareholders

For some organisations

Continual Improvement
 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
 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?