NEBOSH International General Certificate in Occupational Safety and Health

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Version 1.1a (16/08/2011)

1.6 Reactive Monitoring Measures

The following forms of reactive safety monitoring are mentioned throughout the certificate
syllabus:

The monitoring of accidents and incidents to gain feedback on the deficiencies of systems is
often referred to as reactive monitoring. A reactive monitoring system should cover the
reporting and investigation of all incidents, including injuries, ill-health, property damage and
near-misses.
These incidents should then be analysed by type of injury sustained, location of incident,
cause of incident and changes over time, which will assist the organisation in establishing
trends and devising solutions.
Systems that encourage overreaction to incidents with low potential for harm or damage
tend to discourage reporting. It is important to encourage the reporting of all incidents and
then to decide, on the basis of the worst case potential, whether it is worthwhile carrying out
a detailed investigation to establish the basic causes. Targeting investigation time to the
"critical few" incidents helps to ensure that these important investigations are carried out
thoroughly, which in turn identifies the areas requiring greater control.
The role of the health and safety manager in the incident reporting, investigation and
analysis stages of the system varies from one organisation to the next. He or she usually
has overall responsibility for developing and maintaining a reactive monitoring system which
is appropriate to the organisation's needs, and is generally responsible for overseeing any
reports and investigations to ensure consistency both in the standard and quality of the
reports and in the identification of basic causes. He or she may have a role in chasing up
actions identified in investigation reports to ensure that they are carried out, otherwise this
may be done locally.
The health and safety manager will almost certainly have responsibility for the central
collection of the incident statistics and their presentation and analysis to establish trends and
problem areas. He or she will probably be required to present the analysis to the appropriate

forum within the organisation, often the health and safety committee, so that it can be fully
and openly discussed.
Good, concise analysis and professional presentation is clearly essential to enable the forum
to pick out key areas for attention.
In some organisations, the health and safety manager will be responsible for investigating all
incidents. In other organisations, this responsibility will be handled by the line managers,
with the health and safety manager perhaps carrying out the investigation of only particularly
serious incidents (whether in terms of their actual or their potential outcome).
It is important that whoever carries out incident investigations is properly trained to do so and
has an understanding of accident causation. There are benefits to be gained by placing the
responsibility for investigations with line managers and training them to carry out such
investigations effectively, as the improved understanding of how accidents result from a
breakdown in control should improve their overall performance in health and safety
management.
Reactive monitoring does provide useful information about any failure in control, but it is not
a good measure of safety on its own. It is also a negative test, in that it is measuring the
extent of failure rather than the level of success.
1.7 Job Safety Analysis
A Job Safety Analysis identifies and evaluates the risks involved in a particular job by
breaking the task down into sections, looking at each section individually and deciding what
action is necessary to reduce the risk associated with that section.
Simplified versions of the job safety analysis checklists used by one large electronics and
engineering company are as follows:

Job safety analysis can be activity-based or job-based.

Activity-based, for example:

Work carried out above 2 metres.

Driving activities - internal (fork lift trucks, etc) and external, i.e. on
the public highway.
Loading and unloading of kilns in a pottery.

Job-based, for example:

The activities of the maintenance engineer (some of whose work will probably need
to be undertaken at height).
Pottery worker(s) who prepare and apply the glazes, load and unload the kiln,
replace damaged brickwork in the kiln, and so on.

Auditing - in order to emphasise the distinction between an audit and an inspection,

consider the activities at a football club. Before turning to the next page, take five minutes to
identify ten different inspections that may be required throughout the club and then consider
how you would undertake an audit of the club.
1.7.1 Football Club Inspections
The following are some of the inspections that may be required at the football club:

1.8 Auditing
Auditing - HSG 65

The list of inspections at our football club, in particular the provision of labour and
documentation ask audit-type questions - enquiring into the policies, procedures and
management systems of the organisation.
So as far as the football club is concerned, all these inspections - supported by probing
enquiries into the policies and procedures adopted by the club - would meet the defined
HSG 65 audit.
An audit should be asking the question: Is the organisation following the guidance offered by
HSG 65?
Monitoring is concerned with checking that the systems of control devised by the
organisation are being properly applied. Auditing, on the other hand, is concerned with
ensuring that they are effective. Auditing is the final part of the series of activities which
make up the health and safety programme.
The organisation exists and operates within a changing environment. Over time, it may get
bigger or smaller, it may take on new areas or operations, it may acquire or lose key people,
it may face new and tighter legislative requirements or standards, or it may decide to carry
out its operations using other groups, for example using more short-term contractors.
As a result, the health and safety programme designed and installed one year may be

inappropriate or inadequate the next. Even if it continues to be the most suitable programme
and then even with the best internal monitoring, performance against standards may tend to
deteriorate over time.
Auditing is the method by which the programme's effectiveness and reliability, right through
from policy making to measuring performance, is examined. Auditing has found much
greater use in the health and safety area over the past few years as it provides a
quantifiable, repeatable measure of the organisation's performance in controlling its risks.
1.8.1 Audit Planning Process
A safety audit can be structured in different ways, depending on the objective. A compliance
audit is concerned with past adherence to established requirements.
Audits improve future performance by identifying aspects of systems and procedures that
need improvement and making recommendations to management for change. The audit's
objective will also influence the scope. An audit may look at:

An entire facility.
A single operation, e.g. warehousing of products.
A single issue, e.g. personal protective equipment.
Safety management systems.
Technical aspects of work, e.g. plant and equipment.

1.8.2 Horizontal, Vertical and Random Auditing

Another way of looking at the scope of an audit is in three categories:

Horizontal auditing.
Vertical auditing.
Random auditing.

Horizontal auditing examines each functional area of an organisation to verify the adequacy
and implementation of safety system requirements. Each area is checked for conformance
with requirements applicable to that area.
Vertical auditing means auditing across different areas of the organisation that are actively
involved in a specific issue, for example, ordering, purchasing, using and training in personal
protective equipment. The different areas are examined, normally in a logical sequence
working forwards or backwards.

A = Horizontal audit.
B = Vertical audit.
C = Random audit.
Random auditing involves examining aspects of an organisation's operation as determined
by the auditor, due to the need to closely examine a particular activity or generally probe the
system in a random manner, for example, after a serious accident.
1.8.3 The Audit Planning Process
The audit planning process involves five key functions:
1. Description. The responsible parties, their duties, procedures and expected performance
should be described.
2. Definition. The nature and scope of the audit must be established before the audit is
carried out.
3. Designation. There must be a clear identification of the roles of senior management, line
management, safety staff and the workforce in the audit process.
4. Communication. The reporting procedures need to be clear. Audit reports generally go to
the relevant manager and to the safety department.
5. Record Keeping. The audit reports should be retained for future reference and review.
1.8.4 Factors Influencing Audit Design
The design of an audit may reflect a number of factors:

The nature of the hazards.

The level of risk.
Regulatory requirements.
Previous experience, e.g. audit findings or accident/incident record.

One approach to audit design is to look for the most significant hazards. A list of potential
problems with their consequences may reveal a range from trivial to serious. Those
problems which may have severe consequences - for example, death - and may plausibly

occur, are the areas that must be addressed by an audit.

Previous experience, in the form of accidents or incidents, can be valuable in showing up
these problem areas. The experience of other enterprises in the same industry is also
relevant. Regulatory requirements are often based on past accident experiences that have
been addressed by making laws to control their future occurrence, for example, machinery
guarding, so they can also be a valuable guide to audit design.
KEY POINT: Work out the most significant hazards in terms of risk and likely consequences
and make sure that the audit covers these hazards.
1.8.5 Preparation Considerations
If an audit is designed for the organisation, there are a number of considerations:

The key elements of the occupational safety and health management system and the
criteria against which performance will be judged.
The means for ensuring that the audit includes a representative sample of activities.
How questions should be framed.
The need for auditing aids, for example, check lists and inspection procedures.
How the audit items are scored or rated.

Organisations are unique and will wish to focus their efforts on different aspects of safety
management. Although there are areas typically covered by most audits, audit questions can
be tailored to match individual requirements.
Organisations may also wish to set standards that are above the legal minimum and impose
procedures on a local basis. In this case, the audit rating criteria should reflect the relevant
company standards rather than regulatory standards.
For economy, a sample of activities and individuals can be selected on the basis of auditor
experience, accident rates, client concerns etc. Activities involving significant hazards should
always be included in any sample. A sample for audit purposes does not have to be
scientific to produce a randomised sample but usually some type of systematic sampling is
used. An example of systematic sampling is given below.
1.8.6 Example of Sampling
Example of sampling:
Workforce Group
Senior Management
Middle Management
Supervisors
Workers
Total

Number
10 (5%)
10 (5%)
20 (10%)
160 (80%)
200 (100%)

10% Sample
1
1
2
16
20 (10%)

Questionnaires can be used to assist auditors in structuring their activities and to act as a
memory aid. Spaces should be provided on the questionnaire for brief explanations when
yes-or-no answers are either inappropriate or are incomplete.
While questionnaires are useful, they have their limitations and should be aligned to the
audit's objectives. It is misleading to use standard questionnaires that do not reflect the
scope or purpose of the audit. Questionnaires should not be routinely completed without

auditors gaining an understanding of the organisation's operations.

Checklists assure auditors that a survey is conducted properly. They provide guidance to
auditors during a survey and ensure that each important aspect of the audit is adequately
addressed. However, there is also the danger that the use of checklists may become
mechanical and superficial and overlook the implications of items on the list.
1.8.7 Key Steps
The main steps in carrying out an audit are:

Preliminary phase - understanding the organisation to be audited.

Interviewing key persons.
Asking questions.
Reviewing documentation.
Observing work conditions.

The three basic audit tools are inquiry, observation and verification testing. It is not possible
to speak to 100% of the workforce in most organisations, so a sample of individuals must be
selected. A common technique is to draw a number of persons from each level of the
organisation, and seek the information from them.
1.8.8 Interview Key Persons
The most important factors in interviewing are:

interview the right people;

be well-prepared;
let the interviewee relax;
adjust the interview style to suit the person.

The design and preparation phases of the audit will ensure that the auditor is well-prepared
and knows what questions to ask. The interview should be conducted in a relaxed
atmosphere and the auditor must expect to spend a short period of time explaining the audit
process and how it will be carried out.
A more formal approach can be taken for interviews with senior managers, and the
information should be extracted in the shortest time in order to let the person return to work.
KEY POINT Gather evidence by asking questions, looking at documents and observing work
conditions. Use more than one method to crosscheck the information.
1.8.9 Ask Questions
The auditor must learn to ask questions that promote feedback of information and gather
additional information when the initial feedback is inadequate. Good examples of questions
are as follows:

Tell me about your involvement in risk assessments in your part of the organisation.
How is safety performance measured?
When do you carry out accident investigations?

Open questions that use the words 'why', 'when', 'where', 'who', 'what' and 'how' require an
informative answer rather than 'yes' or 'no'. When these words are combined with a request
to show the auditor, they enable the auditor to verify what has been said.

The results of interviews and questioning can be tape-recorded, but many persons are not
comfortable with this method and it may lead to incorrect or misleading responses. The
auditor should only write down the most significant responses if answers are recorded by
hand, in order to keep the interview moving.
1.8.10 Review Documentation
A wide range of documentation may be reviewed during an audit, depending on the scope
and the focus. Relevant documentation includes:

Policy statement.
Procedures manual.
Inspection records.
Safety committee agenda and minutes.
Management job descriptions.
Training plans and materials.
Accident statistics.
Safety rules and booklets.
Emergency procedures.
Accident investigation reports.
Maintenance records.
Purchasing policy.
Promotional materials.
Previous audit results.
Records of statutory inspections.

Looking at records and procedures for completeness, availability, accuracy and reliability is
useful before questioning persons who carry out the activities referred to in the documents
for their understanding. There is often a gap between safety documentation (what
management thinks is happening) and safety practice in the workplace.
1.8.11 Observe Workplace Conditions
Information gathered by reviewing documents and interviews can also be verified by
observation of workplace conditions and activities.
Observations are usually focussed on those areas previously covered by documentation and
interviews and are not traditional workplace inspections, looking at all activities in the
workplace.
However, observation and questioning of operatives is also necessary to check on the
effectiveness of workplace controls for significant risks.
1.8.12 Note Problems for Later Investigation
During the course of the audit, the auditor may discover something that is worthy of further
investigation, but which leads away from the original plan of action.
An auditor should always be prepared to follow these leads but it may be better to note the
potential problem and investigate it when the audit moves into the area where the trail leads
1.8.13 Closing Meeting
At the end of the data collection phase of the audit, the auditors should carry out a debriefing
or closing session, with management representatives of the organisation or the part of it that
is being audited.

The closing meeting has several purposes:

to indicate significant safety and health problems that require urgent attention;
to foreshadow the findings of the written report;
to highlight the strengths and weaknesses of the organisation.

An early verbal report of serious failings is necessary because the written report is not
usually completed for some time.
The closing meeting also gives management representatives an opportunity to produce
contrary evidence or additional information that can affect the audit findings.
Verification of the audit findings is not a sign of weakness from the auditor but it does
prevent the authority of the report from being undermined later by wrong details.
1.8.14 Audit Report
The final product of an audit is the audit report. Without question, the reporting phase of the
audit process is most important. If the audit report does not motivate management to correct
deficiencies, the audit's objectives will not be achieved.
To a large degree, the usefulness of an audit report is related to its timeliness. This is
especially true when a report contains unfavourable findings that require corrective action.
The earlier that management is made aware of the audit results, the sooner corrective action
can be taken.
KEY POINT: Providing a timely final report will assist management to carry out these
improvements.
A recommended format for an audit report includes:

Executive Summary.
Background.
Scope.
Overall evaluation.
Findings, recommendations and conclusions.
Action plan.

Executive management may not have time to read extensive audit reports with full details
and technical information, but will be interested in overall conditions and a summary of the
problems. An executive summary transmits useful information to this audience in a
condensed form. In contrast, line management implementing the corrective action will be
interested in details.
The background may be limited to a description of the organisation and its business, along
with the reason for the audit; for example, regularly scheduled or at management's request.
A diagram of the organisation's operations is a useful inclusion.
The report should also describe the scope of the audit, which aspects of the organisation's
operation were reviewed and the time period covered by the review. The report must
communicate to the reader exactly what the audit was designed to do.
The scope should clearly identify the areas reviewed and indicate the depth of work in each
area. If field conditions or findings required in-depth investigation of some factors and less

attention to others, this should be clearly stated.

It is appropriate for an auditor to express an overall opinion of the organisation's
performance. A balanced approach is vital and positive achievements as well as deficiencies
must be described. This will also improve acceptance of recommendations for improvement.
1.8.15 Findings and Recommendations
The findings and recommendations must address four primary questions:

What are the hazards associated with this organisation's operations?

What factors can result in hazards becoming occupational safety and health risks?
What actions can be taken to control these risks?
How can the organisation manage these risks in the long term?

One method of organising the report is to present information as a series of topics. For each
topic, describe the facts, for example, description of the element, the field verification and
testing, and the criteria used. The findings usually take the form of brief comments about
each element.
The recommendations should normally be in the form of system improvements and specific
corrections. An example of a system improvement might be the introduction of a selection
and maintenance policy for personal protective equipment. A specific correction example
could be the use of air-supplied respiratory protection when applying epoxy paint containing
isocyanates in a spray booth.
Recommendations must propose control measures that are practical, feasible and effective.
The use of "overkill" or over-specification will reduce the credibility of the report and
management acceptance.
The draft report should be discussed with the appropriate levels of management before the
final version is produced. This serves three purposes:

It allows the auditor to test the accuracy of the findings and the reasonableness of
the recommendations.
The auditor can begin to "sell" the recommendations and the benefits of rectifying
deficiencies.
Management's comments can be included in the report at the discretion of the
auditor.

The use of photographs may also improve understanding and acceptance of the report.
1.8.16 Action Plan
An action plan may be produced by the audit team or by the organisation's managers,
depending on the previous arrangements made at the audit planning stage.
An action plan usually contains a list of deficiencies to be rectified, the person responsible
for the rectification and the due date.
The action plan should be followed up and reviewed to ensure that the actions have been
carried out or responsible management has taken the decision that the response to the
report is complete.
The action plan then forms part of the documentation to be examined at the next audit.

1.8.17 The Auditor

In order to carry out meaningful and comprehensive safety audits, those undertaking the
work must be competent in the techniques of auditing, health and safety and loss control
management and the principles of the causes and prevention of loss.
Unless a simple pro-forma question and answer audit system is used, this will generally
restrict auditors to:

health and safety specialists;

line managers and supervisors with additional training in health and safety auditing
techniques;
external consultants or audit specialists.

There is also a requirement for auditors to possess good interpersonal skills, because it is
easy for the auditing process to result in "confrontation" between the auditor and those being
audited.
An objective, not critical, approach is needed. The identification of deficiencies is necessary
to help improve performance and should not be seen as a means to attribute blame.
Key qualities of an auditor include:

confident;
diplomatic;
inquisitive;
good listener;
constructive;
objective;
analytical;
honest;
professional.

Even with these qualities/qualifications, human fallibility will make it difficult for an individual
auditor to maintain a constant high standard of reproducibility within audit regimes,
particularly in the case of comprehensive audits or audits of very large organisations, which
may last for several days. To overcome this, it may be beneficial to have an audit team,
consisting of two or more auditors.
Additionally, to ensure a uniform approach at all times, some degree of "auditing the auditor"
should take place. This is only possible where the audit protocol is such that the auditor's
report is itself auditable.
To meet this requirement, the audit itself must be very focused and objective, leaving little to
the discretion of the auditor. Despite this precaution, even the best audit document may
contain some elements which are open to interpretation, so strict guidelines on interpretation
should be provided.
Only then can an independent authority assess the auditor's performance via the audit
document against the stated guidelines.
Examples of the criteria against which audits and auditors can be evaluated include:

checking the thoroughness of support and verification documentation (i.e. "back-up"

documentation supplied to confirm the audit findings);
assessing the value of the auditor's notes and the relevance of the recommendations
to the audit findings;
establishing whether the audit was submitted within the time-scale specified.

1.8.18 Use of Independent Expertise in Audits

The term 'independent' refers to an outside person, i.e. not an employee of the company.
Such audits may be carried out annually, or at more frequent intervals. Such independent
persons may include:

engineering surveyors;
insurance company personnel undertaking statutory inspections of specified hazards
- pressure systems such as boilers, lifting equipment, fire precautions etc - these
persons may well be employed under contract as the competent persons required to
advise the employer on health and safety matters as required by The Management of
Health and Safety at Work Regulations 1999;
insurance company personnel undertaking general health and safety inspections in
connection with the employer's liability insurance;
claims investigators, investigating claims connected with accidents;
insurance brokers, liaising with risk management and technical consultants carrying
out inspections;
outside consultants undertaking safety inspections, noise surveys, environmental
surveys and so on;
HSE and local authority inspectors undertaking statutory inspections or carrying out
accident investigations.

1.8.19 Prioritising the Results For Inspections and Audits

Whether we are talking about a full company audit or a limited inspection, the results
obtained will require prioritising.
Hazard - Risk - Likelihood - Severity.
Likelihood x Severity = Risk Rating.
Certain measures may be extremely urgent, requiring immediate action; other measures can
take place over a period of time. For example, in the case of the football club, immediate
action would be required if the wiring for the lighting in the showers were unsatisfactory - the
manager will simply have to put up with the ensuing complaints as the showers are closed
until the situation is resolved.
Also triggering immediate action would be the realisation that the procedures for using the
grass-cutting machinery are inappropriate:

People are using the machinery without any training.

Untrained casual workers sometimes being allowed to cut the grass.

On the other hand, a lower priority may be justified for sorting out the ageing soakaways
from the showers. The development of an improved system for recording the activities of
contractors would probably also fall into the low priority category. However, making sure that
contractors will always be informed of any hazards they might face falls into the highest

priority category.
So, a crucial aspect of the audit is to present the results in a form that is clear and
informative to those reading it. The audit should make clear the priorities and the actions to
be taken at specific later dates. The company health and safety policy should be updated so
as to take into account the findings of the audit.
1.8.20 What If Something Is Missed?
Any audit is bound to miss something.
It is the task of the auditors to do their very best to ensure that they miss nothing which they
should reasonably be expected not to miss.
1.8.21 Audits in Large (Hazardous) Organisations
A safety audit involves a detailed look at an organisation; in the case of a very large
organisation (imagine a petro-chemical plant), you would not talk about one single audit of
the whole organisation.
You would however talk about audits of specific areas of the plant.
A full investigation of the various sites in, for example, a refinery complex could involve a
range of statistically-based auditing procedures.
1.9 Hazard and Operability Studies
This technique, known as HAZOP, is very useful for identifying risks in new designs or
processes. It was developed in the chemical process industry and involves a structured,
multi-disciplinary brainstorming session with input from engineers, production management,
safety advisers, designers etc.
Each stage of the process is examined in fine detail with the aid of a series of 'what if
questions, for example:
What if

the pump fails?

the flow rate detector over-reads?
the gas supply to the furnace is interrupted?

The overall objective is to design out the risks at an early stage of the project and so avoid
the need for costly modifications once the process is up and running.
In theory, if every conceivable 'what if' question were asked and every conceivable answer however unlikely - were considered, anything that could possibly go wrong could be
identified and its likelihood and possible consequences evaluated.
In practice, it should be carried out as thoroughly as is deemed appropriate to the
consequences if the worst were to happen. It is a technique in which lateral thinking should
be encouraged.
HAZOP is just one of the collection of risk assessment techniques which are available to
those who work in potentially high-risk industries.
1.10 Frequency (Inspections v Audits)

Audits should be carried out at a frequency that prevents decay of the health and safety
management arrangements. Much will depend on the level of risk associated with the
organisation's activities.
Small organisations with low risk activities may need only to audit once a year. For larger
organisations with higher risk activities, audits may be required every three to six months.
The initial audit may be the most difficult, particularly if control of risks is ineffective. If
controls are then enforced following the initial audit, subsequent audits will become simpler,
for example once the relevant standards have been set and enforced, a monthly spot audit
of PPE compliance is easy to carry out and very effective.
The frequency of safety inspections depends on the environment but they should take place
every few months.
1.11 Internal or External Auditors
An important issue is the use of internal or external auditors. Audits carried out by internal
employees provide advantages:

Relatively low costs.

Auditors already have knowledge of the enterprise.
Confidentiality.

Internal audits are usually carried out more frequently than external audits. However, there
may be some disadvantages. The internal auditor may be too close to the problems and
other workers to carry out a truly objective assessment. Familiar problems can be
overlooked or discounted as acceptable hazards.
External auditors are expected to bring an objective viewpoint to the audit because they
have no vested interest in the enterprise. External auditors are frequently selected for their
background and experience in a particular industry or activity and can bring greater expertise
in detecting problems and greater knowledge of their solutions.
Audits may be undertaken by one or more persons. A team approach, using managers,
employees and safety and health representatives can improve cooperation and commitment
to the audit's findings and recommendations.
Audit teams may include line managers from other areas of the enterprise or the manager
responsible for the audited area. Although the responsible manager may not be able to
objectively grade their own performance, a manager can provide local knowledge and
expertise and has the opportunity to appraise the performance of their supervisors.
Question 6
Which one of the following should not be addressed in the audit report findings?
Multiple Choice (HP)
Answer 1:

the hazards associated with the organisation's activities

Response 1:
Jump 1:

This page

Answer 2:

how risks identified in the audit can be controlled

Response 2:
Jump 2:

This page

Answer 3:

the costs of improvements

Response 3:
Jump 3:

Next page

Question 7
The audit report is the most important phase of the audit process. If management does not
act on the report, the audit will not achieve its objective
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

Question 8
A safety and health audit is the same as a safety and health inspection
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

This page

Answer 2:

False

Response 2:
Jump 2:

Next page

Question 9
Key qualities of an auditor include, been
Multiple Choice (HP)
Answer 1:

confident

Response 1:
Jump 1:

This page

Answer 2:

diplomatic

Response 2:
Jump 2:

This page

Answer 3:

a good listener

Response 3:
Jump 3:

This page

Answer 4:

all of these

Response 4:
Jump 4:

Next page

Question
Select the correct elements of HSG65 into the correct order.

Matching (HP)First answer should jump to the "Correct" Page

Answer 1:

STEP 1:

Matches with
answer 1:

Policy

Correct answer
score:

Correct answer
jump:

Next page

Answer 2:

STEP 2:

Matches with
answer 2:

Organising

Wrong answer
score:

Wrong answer
jump:

This page

Answer 3:

STEP 3:

Matches with
answer 3:

Planning and Implementation

Answer 4:

STEP 4:

Matches with
answer 4:

Measuring Performance

Answer 5:

STEP 5:

Matches with
answer 5:

Reviewing Performance

Answer 6:

STEP 6:

Matches with
answer 6:

Auditing

2.0 Summary
This summary will now refer you back to the learning outcomes for this lesson and give a

summary of the information.

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
Safety auditing is part of the process of continuous improvement, beginning with the
development of a health and safety policy and identification of the organisational structure,
followed by assessment and planning of performance standards, systems and activities and
continuing with measurement of performance. This leads to a performance review, which
may indicate that certain areas require improvement.
For the review part of the process to operate efficiently, any audit findings must have
credibility and the report document must have standing with those who are subject to its
requirements. The recommendations must be meaningful, with a realistic time-scale and
allocation of action.
The report must be formally accepted and the recommendations endorsed by the senior
manager to provide the necessary impetus to the implementation process. Once the audit
report recommendations have been accepted by the senior manager, arrangements should
be made through the health and safety manager to develop an implementation action plan.
At this time, a review should be carried out of the existing health and safety policy and
programme and any necessary revisions made.
Use a variety of proactive and reactive monitoring procedures;
Proactive Monitoring Measures.

Safety audits.
Workplace inspections.
Safety surveys.
Safety tours.
Safety sampling

Reactive monitoring measures include monitoring data on

accidents;
dangerous occurrences;
near-misses;
ill-health;
complaints by workforce;
enforcement action.

Differentiate between safety inspections, sampling and tours and explain their roles
within a monitoring regime
Safety Survey
This can mean a detailed investigation of one aspect of the workplace; for example, a noise
survey of an engineering workshop might involve detailed measurements over several days
and subsequent analysis of the results.
'Survey' may also mean a familiarisation exercise, planning the campaign to make best use
of limited resources - for example, an occupational hygienist may have conducted a walk-

through survey of the engineering workshop in order to ascertain if a full noise survey is
required and, if so, how this should be undertaken.
Safety Tour
A brief (15 minute) examination of one or more aspects of an organisation's activities by a
small management team; this might serve as a means of indicating management's
commitment to health and safety.
Alternatively, the tour could be a prelude to a more detailed series of inspections.
Note: You will appreciate that a safety tour might be viewed in a less favourable light if the
management team are seen to drift in and out without learning anything.
Safety Sampling
Sampling implies an inspection that is limited either to certain areas of the workplace or to
certain aspects of workplace activity - e.g. inspection of all the fire doors and fire escape
signs.
The defects that are spotted are noted and the total number of defects is added up to give
an index of accident potential. You will appreciate that both trivial and major defects will
register the same.
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.
The audit planning process involves five key functions:
1. Description. The responsible persons, their duties, procedures and expected performance
should be described.
2. Definition. The nature and scope of the audit must be established before the audit is
carried out.
3. Designation. There must be a clear identification of the roles of senior management, line
management, safety staff and the workforce in the audit process.
4. Communication. The reporting procedures need to be clear. Audit reports generally go to
the relevant manager and to the safety department.
5. Record Keeping. The audit reports should be retained for future reference and review.
A wide range of documentation may be reviewed during an audit, depending on the scope
and the focus. Relevant documentation includes:

Policy statement.
Procedures manual.
Inspection records.
Safety committee agenda and minutes.
Management job descriptions.
Training plans and materials.
Accident statistics.
Safety rules and booklets.

Emergency procedures.
Accident investigation reports.
Maintenance records.
Purchasing policy.
Promotional materials.
Previous audit results.
Records of statutory inspections.

Looking at records and procedures for completeness, availability, accuracy and reliability is
useful, before questioning persons who carry out the activities referred to in the documents
for their understanding.
There is often a gap between safety documentation (what management thinks is happening)
and safety practice in the workplace
3.0 Example Past Exam Questions
In order to assist you with your exams and to get a better idea of what types of questions
may arise concerning this lesson, please see below some example past questions based
around the content.
Identify;
a) 4 active (proactive)
b) 4 reactive
means by which an organisation can monitor its health and safety performance
Outline reasons why an organisation should review its health and safety performance
Outline factors to be included in a workplace inspection
Identify the contents of a health and safety report.
Identify the advantages and disadvantages of carrying out a health and safety audit of
an organisations activities by:i) internal auditor
ii) external auditor
(These questions are here just for reference so there are no answers provided)