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Monitoring,
Rev1ewand
Audit
THE REASONS FOR MONITORING
Identify substandard 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.
REACTIVE MONITORING
Accidents
Incidents
Ill-health statistics
Near misses
Dangerous occurrences
Complaints by workforce
Enforcement action
Prosecutions
Civil claims
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SAFETY AUDIT
A safety audit is a thorough,
critical examination of
an organisation's safety
management systems &
procedures. It is normally
a lengthy process carried
out by a trained auditor,
often someone from outside
the organisation. It is a
structured way of assessing
the H&S performance of an
organisation by supplying
answers to a series of
questions & often invo~_es
a scoring system such that ..
improvements can be made.
DOCUMENTS LOOKED
AT DURING AUDITS
INCLUDE:
WORKPLACE
INSPECTIONS
TYPES OF
INSPECTIONS
A safety inspection
involves the straightforward
observation of a workplace
anct/er the activities or
equipment within it. A
safety inspection, usually
carried out by a manager
or employee representative
and often aided by the
use of a checklist, may be
carried out routinely and
has the aim of identifying
hazards and assessing the
use and effectiveness of
control measures.
General workplace
inspections
Statutory inspections
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PEOPLE WHO CARRY
OUT INSPECTIONS
Managers
Supervisors
Health and safety advisors
Employee safety
representatives
Enforcement agencies
LIMITATIONS OF
INSPECTIONS
Some hazards are not visible
Safety policy
Risk assessment
procedures
Some hazards not always
present
Unsafe practices not seen
Safety monitoring
procedures
Maintenance records
Accident and incident
reports
Health surveillance records
Safety committee minutes
etc.
Training records
Statutory inspections
Previous audit reports
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INSPECTION CHECKLIST
WEAKNESSES OF CHECKLISTS
Condition of processes and plant
Contractors
May lead to blinkered approach meaning
significant risks might be missed
Electrical
Environmental conditions
May not be reviewed or updated to take
account of changes in work processes
etc.
Fire protection
First aid
Become routine with no follow up
questions
Hand held tools
Hazardous substances
Too objective and restrictive, no scope
for peripheral issues
Housekeeping/cleanliness
Procedure subject to human error or
abuse
Lifting equipment
Manual handling
Machinery guarding
Noise etc.
STRENGTHS OF CHECKLISTS
Enables prior preparation and planning
so inspection is more structured and
systematic
Reduces the chances of important areas
or issues being overlooked
Provides an immediate record of
findings
Ensures consistent approach
Provides easy method of comparison
and audit
SAFETY SURVEY
Focus on particular activities e.g. major key
areas revealed by safety audits and may be
carried out by specialists
SAFETY TOURS
An unscheduled examination of a
workplace to look for acceptable standards.
A tour can be carried out by a manager and
demonstrates commitment to safety
SAFETY SAMPLING
A random exercise in which assigned
observers walk in allotted timescale noting
incidence of health and safety defects on
pre-prepared sheets
BENCHMARKING
Takes key performance indicators and
compares them externally with similar
organisations or industry standards
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Monitoring, Review and Audit
SYLLABUS
OVERALL AIMS
WORKPLACE
INSPECTIONS
On completion of this
Element, candidates will
understand:
active and reactive
health and safety
monitoring procedures
the scope and nature of
a health and safety audit
CONTENTS
Active monitoring measures
include the monitoring of
performance standards and
the systematic inspection of
plant and premises.
Reactive monitoring
measures include data
on accidents, dangerous
occurrences and nearmisses, ill-health,
complaints by workforce
and enforcement action.
role of workplace
inspections: factors
governing frequency
and type of inspection;
competence of
inspector; use of
checklists; allocation
of responsibilities and
priorities for action after
inspections and
examinations, legal or
otherwise
the requirements for
effective report writing
(style, structure,
emphasis,
persuasiveness, etc).
AUDITING
scope and purpose of
auditing health and
safety management
systems - distinction
between audits
and inspections
pre-audit preparations,
information gathering,
notifications and
interviews
responsibility for audits
advantages and
disadvantages of
external and internal
audits.
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USE OF SAFETY
SAMPLING
Aims of performance
review; relevance of results
of monitoring activity to
review process.
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