Você está na página 1de 61

NEBOSH International General Certificate

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 1 860409

Licence details
RMS Publishing Limited Victoria House, Lower High Street, Stourbridge DY8 1TA ACT Associates Limited. First Edition September 2007. All rights reserved. No part of this presentation may be stored in a retrieval system, reproduced, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise without either the prior written permission of the Publishers. This presentation may not be lent, resold, hired out or otherwise disposed of by way of trade in any form other than that in which it is published, without the prior consent of the Publishers. This presentation may not be reproduced in any form without prior consent of the Publishers other than a single copy thumbnail handout for immediate use by the tutor. Whilst every effort is made to ensure the completeness and accuracy of the information contained herein, RMS/ACT can bear no liability for any omission or error.

Issued to: Strabag Single Licence Licence No: 860409

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 2 860409

NEBOSH International General Certificate


Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 3 860409

Unit IGC1 Management of International health and safety


Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 4 860409

Element 7 Monitoring, review and audit


Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 5 860409

Monitoring, review and audit

Learning outcomes
7.1 Outline and differentiate between active (pro-active) monitoring procedures, including inspections, sampling, tours and reactive monitoring procedures, explaining their role within a monitoring regime Outline the role of workplace inspections, 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 the criteria 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

7.2

7.3

7.4

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 6 860409

Monitoring, review and audit

Contents of element
7.1 7.2 7.3 7.4 Active and reactive monitoring Workplace inspections Review of health and safety performance Auditing

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 7 860409

Monitoring, review and audit

Contents of element
7.1 7.2 7.3 7.4 Active and reactive monitoring Workplace inspections Review of health and safety performance Auditing

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 8 860409

Monitoring, review and audit


Active and reactive monitoring
Active monitoring measures Use of safety inspections, sampling and tours Reactive monitoring measures

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 9 860409

Monitoring, review and audit


Active and reactive monitoring

Active monitoring measures


Objectives of active monitoring Methods of active monitoring Monitoring performance standards Systematic inspection of plant and premises

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 10 860409

Monitoring, review and audit


Active and reactive monitoring

Active monitoring measures


Objectives of active monitoring Check health and safety plans have been implemented Monitor the extent of compliance with the organisations systems/procedures, and with its legislative/technical standards Organisations need to know: Where they are Where they want to be What is the difference - and why

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 11 860409

Monitoring, review and audit


Active and reactive monitoring

Active monitoring measures


Methods of active monitoring Monitor specific objectives Periodic examination of documents Systematic inspection of premises Environmental monitoring and health surveillance Systematic direct observation of work and behaviour The operation of audit systems Consideration of regular reports on health and safety performance

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 12 860409

Monitoring, review and audit


Active and reactive monitoring

Active monitoring measures


Monitoring performance standards Health and safety performance in organisations that manage health and safety effectively is measured against established standards The success of action to manage risks is assessed through active monitoring involving a range of techniques Deficiencies in control measures are assessed through reactive monitoring Identifying the underlying causes and the implications for the structure and operation of the health and safety management system

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 13 860409

Monitoring, review and audit


Active and reactive monitoring

Active monitoring measures


Systematic inspection of plant and premises Identify health and safety conditions, providing an indication of the effectiveness of controls used to prevent sub-standard conditions If inspections are done on a timely basis it is possible to limit the harmful effects Periodic inspection provides a monitoring method that gives early indication of standards by comparison with the previous results of inspections over time

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 14 860409

Monitoring, review and audit


Active and reactive monitoring

Use of safety inspections, sampling and tours


Safety inspections Safety sampling Tours

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 15 860409

Monitoring, review and audit


Active and reactive monitoring

Use of safety inspections, sampling and tours


Safety inspections Four different types are: General workplace inspections Statutory inspections Preventive maintenance inspections Pre-use checks of equipment

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 16 860409

Monitoring, review and audit


Active and reactive monitoring

Use of safety inspections, sampling and tours


Safety sampling Only a partial amount of group / area is examined Conducted relating to: Specific hazards Good practice General workplace hazards

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 17 860409

Monitoring, review and audit


Active and reactive monitoring

Use of safety inspections, sampling and tours


Tours Opportunity for management to explore effectiveness of risk control measures by planned visits to the workplace Management commitment visible which develops a positive health and safety culture Gives an accurate picture of work conditions Can indicate deficiencies or success in managers Provides forum for gaining viewpoint of employees Details of tour and outcomes must be recorded

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 18 860409

Monitoring, review and audit


Active and reactive monitoring

Reactive monitoring measures


Objectives of reactive monitoring Analyse data relating to: Accidents/near-misses Ill-health Other downgrading events

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 19 860409

Monitoring, review and audit


Active and reactive monitoring

Reactive monitoring measures


Reactive monitoring measures Deemed to be after the event and are therefore reactive monitoring measures: Identification Reporting Investigation Collation of data and statistics, on the events

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 20 860409

Monitoring, review and audit


Active and reactive monitoring

Reactive monitoring measures


Reactive monitoring measures
Events monitored: Injuries Cases of illness Property damage Near misses Dangerous occurrences Complaints by the workforce Enforcement actions

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 21 860409

Monitoring, review and audit


Active and reactive monitoring

Reactive monitoring measures


Accident statistics Frequency rate = No. accidents in period x 100,000 Total hrs worked during the period = No. accidents in period x 1,000 Average no. employed

Incidence rate

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 22 860409

Monitoring, review and audit


Active and reactive monitoring

Reactive monitoring measures


Dangerous occurrences
an accident not resulting in personal injury Reportable to an enforcing authority Typical dangerous occurrences might include: A collapse in a scaffold over 5 metres The failure of any load bearing part of any lift, hoist, crane or derrick

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 23 860409

Monitoring, review and audit


Active and reactive monitoring

Reactive monitoring measures


Ill-health
harm to a workers health caused by their work This term refers to harm to a workers health caused by their work and will include harm to health in a physical or mental capacity This will include types of harm, as in a notified disease e.g. dermatitis

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 24 860409

Monitoring, review and audit


Active and reactive monitoring

Reactive monitoring measures


Complaints by workforce These complaints made by workers or others may be done informally (verbally) or in writing to supervisors or management Supporting evidence: - Accident data - Recorded near-misses - Slips/trips/falls Complaints should be considered carefully as they may be an indicator of ineffective/dangerous working practices/procedures and risk assessments should be formally reviewed
Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 25 860409

Monitoring, review and audit


Active and reactive monitoring

Reactive monitoring measures


Enforcement action the legal enforcement of improvement or prohibition notices of dangerous machinery OR equipment These legal enforcement notices imposed by local health and safety inspectors normally occur following the reporting of a major accident or reportable incident

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 26 860409

Monitoring, review and audit

Contents of element
7.1 7.2 7.3 7.4 Active and reactive monitoring Workplace inspections Review of health and safety performance Auditing

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 27 860409

Monitoring, review and audit


Workplace inspections

Role of workplace inspections


Identify health and safety status What improvements are needed Identify workplace hazards Whenever a sub-standard (at risk) situation is identified two critical steps must be taken: Each situation must be evaluated as to its risk potential The underlying cause(s) of the situation must be identified

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 28 860409

Monitoring, review and audit


Workplace inspections

Role of workplace inspections


A simple approach to risk evaluation levels (rating) and allocation of time for actions may follow the method below: High risk (likely to cause a major loss) - complete within 24 hours Moderate risk (likely to cause a serious loss) - complete within 7 days (1 month if preferred) Low risk (will possibly cause a minor loss) - complete within 30 days (3 months if preferred)

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 29 860409

Monitoring, review and audit


Workplace inspections

Role of workplace inspections


Factors governing frequency and type of inspection Frequency might be increased or even decreased if any of the following occur: Changes in legislation Modifications are made to existing plant/machinery Re-location of equipment or changes in environment Equipment fails the test Accident data / near-misses recorded by workers

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 30 860409

Monitoring, review and audit


Workplace inspections

Role of workplace inspections


Factors governing frequency and type of inspection Inspections fall into two main categories: Mandatory, as stated within legislation or local rules, for example, for safe maintenance of lifting equipment Routine, conducted by a competent person

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 31 860409

Monitoring, review and audit


Workplace inspections

Role of workplace inspections


Competence of inspector Inspectors must have relevant qualifications and experience Knowledge of the specified plant / machinery and they should also be trained in risk assessments Resources should be available relating to any Government, EU or International legislation

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 32 860409

Monitoring, review and audit


Workplace inspections

Role of workplace inspections


Use of checklists These can be useful aids, especially when information/data is incorporated from plant designers and manufacturers These may also limit what is inspected

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 33 860409

Monitoring, review and audit


Workplace inspections

Role of workplace inspections


The requirements for effective report writing Style Structure Emphasis Persuasiveness Introduction and background Summary Main body of the report Recommendations Conclusions

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 34 860409

Monitoring, review and audit

Contents of element
7.1 7.2 7.3 7.4 Active and reactive monitoring Workplace inspections Review of health and safety performance Auditing

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 35 860409

Monitoring, review and audit


Review of health and safety performance

Gathering information to review health and safety performance Reporting on health and safety performance Role of senior management team Feeding into action and development plans as part of continuous improvement

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 36 860409

Monitoring, review and audit


Review of health and safety performance

Gathering information to review health and safety performance


Accident and incident data Inspections Absences and sickness Surveys, tours and sampling Quality assurance reports, audits, monitoring data / records / reports, complaints

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 37 860409

Monitoring, review and audit


Review of health and safety performance

Gathering information to review health and safety performance


Systematic learning from all relevant experience through regular reviews of performance Draws on data from monitoring activities and audits Forms basis of continuous improvement Helps maintain a management system that is fresh, dynamic, appropriate and effective

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 38 860409

Monitoring, review and audit


Review of health and safety performance

Gathering information to review health and safety performance


Accident and incident data Accident trend an analysis is after the event Any analysis should consider potential for each occurrence to have resulted in a more significant outcome Two elements to consider: Quality of planning before the event Failure of controls

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 39 860409

Monitoring, review and audit


Review of health and safety performance

Gathering information to review health and safety performance


Inspections Identify general workplace hazards before they result in any harmful outcome
Extract from Audit 123 Level 2 Vol 1 of 2 Auditors Guidance
5/02 Chains Ropes and Lifting Tackle Does the organisation ensure that statutory inspections are carried out? Notes: Consider: Examined by a competent person Examined every period of six months Register of examination Certificate of test and examination Distinguishing number or mark Safe working load (SWL) - displayed Fault procedure Monitoring

Source: RMS.

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 40 860409

Monitoring, review and audit


Review of health and safety performance

Gathering information to review health and safety performance


Absences and sickness

Data should be collected Data should be analysed Determine if resulted from work or working environment issues Determine causes e.g. shift working

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 41 860409

Monitoring, review and audit


Review of health and safety performance

Gathering information to review health and safety performance


Surveys, tours and sampling A survey is an identification of need e.g. noise survey Tours are best carried out by most senior management so as to cut through the glue Sampling is a technique to identify a representative portion to illustrate the whole

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 42 860409

Monitoring, review and audit


Review of health and safety performance

Gathering information to review health and safety performance


Surveys, tours and sampling
Sampling - extract from Audit 123 Level 3 Section 1 Workbook

Source: RMS.

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 43 860409

Monitoring, review and audit


Review of health and safety performance

Reporting on health and safety performance


Should be reported at board level Include a statement within the annual report Should be available to all employees

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 44 860409

Monitoring, review and audit


Review of health and safety performance

Role of senior management team


Role of the management team is to treat health, safety and the environment as equal partners to other business issues Policy Statement abstract: Safety is an integral part of business excellence and, together with product and service quality, and corporate health and profitability, is the foundation for our future success
Source: Standard Wire Corporation circa. 1996.

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 45 860409

Monitoring, review and audit


Review of health and safety performance

Role of senior management team


Extract from Audit 123 Level 3 Section 1 Auditors Guidance
Ref No. 1/1/05 Validation Material Health and safety as an equal partnership Do managers readily accept that health and safety is a manageable item and should be seen to have equal standing with production and quality? Notes: Evaluation Consider: Board commitment e.g. policy statement Appointment of a Director for health and safety Included in job descriptions/responsibility statements Accepted as a line management responsibility Included fully in all technical, procedural and behavioural standards of performance Identified in appraisal documents Planned allocation of time to health and safety issues Health and safety performance measured and reported on equal basis with other management objectives
Source: RMS.

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 46 860409

Monitoring, review and audit


Review of health and safety performance

Feeding into action and development plans as part of continuous improvement


Important for health and safety reviews to take place in an analytical way Identifies objectives and actions to improve health and safety Feeds into development / improvement plans Strategic level plans enables production of local level plans through information cascade Maintains health and safety within an organisation in a dynamic way leading to continuous improvement

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 47 860409

Monitoring, review and audit

Contents of element
7.1 7.2 7.3 7.4 Active and reactive monitoring Workplace inspections Review of health and safety performance Auditing

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 48 860409

Monitoring, review and audit


Auditing

Scope and purpose of auditing health and safety management systems Pre-audit preparations Responsibility for audits Advantages and disadvantages of external and internal audits

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 49 860409

Monitoring, review and audit


Auditing

Scope and purpose of auditing health and safety management systems


An audit is a systematic, critical examination of an organisations systems to determine the extent of compliance with a set of agreed standards Evaluation of compliance with: - Health and safety programme procedures - Set occupational health standards - Physical safeguards - Fire prevention/control standards

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 50 860409

Monitoring, review and audit


Auditing

Pre-audit preparations
Structured and co-ordinated Utilise audit checklists Assess documents, interview people and observe the workplace Decide on interviewees and organise timetable Inform people of what documents to make available Structured interviews A detailed report of findings and recommendations on outcome

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 51 860409

Monitoring, review and audit


Auditing

Responsibility for audits


A manager A representative from the workforce A health and safety professional

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 52 860409

Monitoring, review and audit


Auditing

Advantages and disadvantages of external and internal audits


Internal Advantages: Buy in Local knowledge Awareness of industry Familiar with workforce strengths and weaknesses Cheaper Easier

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 53 860409

Monitoring, review and audit


Auditing

Advantages and disadvantages of external and internal audits


Internal Disadvantages: Not possess auditing skills Not current with legislation and best practice Other responsibilities Pressure from management Time constraints

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 54 860409

Monitoring, review and audit


Auditing

Advantages and disadvantages of external and internal audits


External Advantages: Impartial Offer solutions considered unsolvable within Not inhibited by criticism Fresh pair of eyes

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 55 860409

Monitoring, review and audit


Auditing

Advantages and disadvantages of external and internal audits


External Disadvantages: Plan well Individuals not forthcoming Unrealistic targets may be sought

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 56 860409

Monitoring, review and audit


Auditing

Sample page from Audit 123 system

Source: RMS Publishing Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 57 860409

Monitoring, review and audit

Contents of element
7.1 7.2 7.3 7.4 Active and reactive monitoring Workplace inspections Review of health and safety performance Auditing

Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 58 860409

Element 7 Monitoring, review and audit


Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 59 860409

Unit IGC1 Management of International health and safety


Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 60 860409

NEBOSH International General Certificate


Copyright RMS Publishing IGC First Edition - IGC1 Element 7 - v.1.0 - Slide 61 860409