NEBOSH International General Certificate Revision Note

ELEMENT 1:- HEALTH AND SAFETY FOUNDATIONS

Learning outcomes
1.1 Outline the scope and nature of occupational health and safety
1.2 Explain the moral, social and economic reasons for maintaining and promoting
good standards of health and safety in the workplace
1.3 Explain the role of national governments and international bodies in formulating a
framework for the regulation of health and safety.

1.1 Outline the Scope and Nature of Occupational Health and Safety
Health - the absence of disease.

Safety - the absence of risk of serious personal injury.

Welfare - access to basic facilities.

Environmental protection - the prevention of damage to the air, land, water and
living creatures in the wider environment.

Accident Definition:- An unwanted, unplanned event which results in a loss of some

kind

Incident/Near miss:- An unwanted, unplanned event that had the potential to result
in a loss

Hazard:- Something with the potential to cause harm

Risk:- The likelihood that harm will occur and the severity of the harm

Dangerous occurrence - a specified event that has to be reported to the relevant

authority by statute law.

1.2 Explain the moral, social and economic reasons for maintaining
and promoting good standards of health and safety in the
workplace
Reasons for maintaining and promoting good standards of health and safety /
Why manage health and safety

Moral, Legal, Financial

• Reduced accidents
• Reduced loss through damage to equipment
• Reduced absenteeism
• Reduced insurance premiums
• Improved morale
• Improved company reputation
• Reduced fines,
• Reduced compensation claims
• Increased likelihood of securing business

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Barriers to Good standards of Health and Safety

Complexity - workplaces can be complicated areas, involving the co-ordination of

many people performing many different activities.
Conflicting demands - there are often competing and conflicting demands placed
upon people and organisations.
Behavioural issues - good health and safety practice often relies on the perfect
behaviour of individuals, and people sometimes do not behave in this ideal way

Employer to provide
• Safe place of work and safe access and egress
• Safe systems of work
• Safe plant and equipment
• Information, Instruction, Training and supervision
• Safe and competent fellow workers

Direct and Indirect costs / Hidden costs of accidents

• Lost Time
• Extra wages, overtime payments, temporary workers
• Sick pay
• Fines
• Legal costs
• Claims
• Damage to equipment
• Repairs to plant and equipment
• Production delays
• Loss of contracts
• Increased insurance premiums
• Loss of business reputation

Insured Costs
• Damage to plant,
• buildings and equipment
• Compensation paid to workers
• Medical costs

Uninsured Costs
• Production delays or down time
• Loss of raw materials due to accidents
• Accident investigation time
• Criminal fines and legal costs
• Sick pay for injured workers
• Overtime to make up for lost production
• Hiring and training new employees
• Loss of business reputation

1.3 Explain the role of national governments and international

bodies in formulating a framework for the regulation of health and
safety.

Duties of Employers
• A safe place of work
• Safe work equipment and substances
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• Information, Instruction, Training and Supervision
• Welfare provisions
• Emergency procedures
• Consultation with employees
• Do not charge employees for health and safety measures

Duties of Employees / Workers

• Do not endanger themselves and others
• Co-operate with their employer
• Consult with Employer
• Report dangerous situations to Employer
Why national / state governments have health and safety laws
Most countries have their own laws, developed over the years to tackle their own
issues and concerns. However, countries often end up adopting similar basic
approaches to protect the health and safety of their people; the detail may vary but
the underlying principles are the same.
Ways in which national / state governments try to help ensure organisations
comply with health and safety laws.

In C155 and R164 there is a general recognition that most of the responsibility for ensuring
good standards of health and safety at work lies with the employer - since he or she
provides the work, the workplace, the tools, systems, methods, etc. They also recognise that
individual workers have responsibilities. Though the legal wording varies between countries,
the general theme is that employers and workers must exercise reasonable care to ensure
safety and absence of risk to health.

Variation of Legislation between countries caused by:-

• Different legal systems
• Different standards of legislation and enforcement
• Different penalties for breaches
• Religious and cultural issues
• Knowledge of enforcement bodies
• Funding of enforcement staff
• Degree of monitoring/reporting to enforcement authorities
• Political pressure

Sources of Information
Internal
• Risk assessments
• Policies
• Inspection reports
• Medical records
• Health and safety committees
• Plant registers
• Safety advisors
External
• Government bodies
• National safety organisations
• Suppliers and manufacturers
• International standards
• Consultants and specialists
• Insurance companies

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ELEMENT 2:- HEALTH AND SAFETY MANAGEMENT
SYSTEMS - PLAN
Learning outcomes
2.1 Outline the key elements of a health and safety management system
2.2 Explain the purpose and importance of setting policy for health and safety
2.3 Describe the key features and appropriate content of an effective health and
safety policy.

2.1 Outline the key elements of a health and safety management

system

Successful Management Systems (HSG 65)

• policy (Plan)
• organising (Plan)
• planning and implementing (Do)
• evaluation - monitoring, review, measurement, investigation (Check)
• auditing (Check)
• action for improvement - preventative and corrective action; continual
improvement (Act)

• Policy - A clear statement has to be made to establish health and safety as a

prime commitment of management at all levels of the organisation, but
particularly at the top.
• Organising - A framework of roles and responsibilities for health and safety must
be created within the organisation, from senior management down to the front-
line workers, including the appointment of specialist staff.
• Planning and Implementing - Detailed arrangements must be made for the
management of health and safety. Central to this idea is the concept of risk
assessment and the identification and implementation of safe systems of work
and protective measures.
• Evaluation - Methods must be devised to monitor and review the effectiveness of
the arrangements put into place. This might be done reactively, e.g. by reviewing
accident and ill-health statistics, or actively, e.g. by reviewing inspection reports.
• Action for Improvement - Any shortcomings identified by the review process
must be corrected as soon as possible by making whatever adjustments are
necessary to the policy, organisation and arrangements for implementation.
• Audit - Arrangements must be made for the independent, systematic and critical
examination of the safety management system to ensure that all parts are
working acceptably well.
• Continual Improvement - The intention is that the safety management system
will not remain static but will develop over time to become increasingly
appropriate and useful to the organisation that it exists to serve.

2.2 Explain the purpose and importance of setting policy for health
and safety
ROLE OF THE HEALTH AND SAFETY POLICY IN DECISION-MAKING
Firstly, senior management have to decide what kind of health and safety
standards they are committing the organisation to, and will have to allocate
resources accordingly.

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 Secondly, other managers have to ensure that their decision-making is in line
with the policy and does not work against the organisation’s stated aims and
objectives.

2.3 Describe the key features and appropriate content of an

effective health and safety policy.

What is a health and Safety policy:- A business plan for safety to prevent or
reduce loss in an organisation.

Objectives of policy:- to protect people from injury and ill-health, comply with legal
requirements and avoid prosecution and manage health and safety on a cost
effective basis.

3 Elements of policy

1) General Statement of intent:- A statement establishing the importance of health

and safety in the organisation and providing targets and objectives for
improvement

Objectives
The Statement of Intent may recognise some general objectives that have to be
achieved by the organisation, such as:
• Meeting legal obligations.
• Provision of a safe workplace, safe equipment and safe systems of work,
information, instruction, training and supervision.
• Risk assessment of all relevant workplace activities.
• Performance monitoring.
• Provision of adequate resources, such as expert health and safety advice.
• Effective communication and consultation with workers.

Setting “SMART” Objectives

Specific – a clearly defined, precise objective.

Measurable – it is possible to measure achievement of (or towards) the target,
usually by quantifying the objective.
Achievable – it can be done.
Reasonable – within the timescale set and with the resources allocated.
Time-bound – a deadline or timescale is set for completion of the objective

Targets
The Statement of Intent may also set quantifiable targets for the organisation to
achieve. Targets are useful, as they allow performance to be measured and provide
a tangible goal for staff to aim for. They also help drive continual improvement.
Possible targets might relate to:

• Accident rates: to achieve a reduction in the accident or ill-health rate.

• Active monitoring: to complete successfully a number of active monitoring
activities, such as:
o Successful completion of 90% of all supervisor safety inspections over a year.
o Completion of key activities, such as carrying out risk assessments across the
organisation.
o Delivery of training to all workers.
o Development of a consultation process to engage the workforce.

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Targets may be set in relation to past performance, or the performance of other
similar organisations, or the industry as a whole. The process of comparing
performance in this way is known as “benchmarking”. So, if fatal road-accident rates
in an industry as a whole are, for example, one for every 100,000 miles driven, the
target for a particular organisation may be to achieve that standard, or have a lower
rate.

2) Organisation:- The roles and responsibilities of everyone in the organisation

3) Arrangements:- The arrangements for effective planning, organisation, control,

monitoring of the organisations health and safety

Contents of Arrangements Section

• Risk assessments
• Fire policy
• Evacuation procedures
• Safe systems of work
• Permits to work
• First aid policy
• Display screen policy
• Manual handling policy
• Hazardous chemicals policy
• Fork truck policy

Benchmarking

Advantages
• Identifies key performance indicators
• Ensures monitoring procedures are effective
• Feeds in to the continuous improvement cycle
• Identify normal practice amongst similar business
• Avoid making mistakes by learning from others
• Generate management focus
• Gains confidence of the stakeholders
Challenges of benchmarking
• Selecting a company with similar activities
• Assuring accuracy of data
• Using common definitions
• Accessing data
• Gaining commitment

Management issues to benchmark

• Health and safety policy
• Staff roles and responsibility
• Plans and strategies which can be measured
• Risk assessments
• Type of training
• Monitoring, Proactive and reactive

Review of Policy
• Accidents
• incidents

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• New equipment
• New staff
• New technology
• New premises
• Changes in legislation
• Accident investigation
• Enforcement action
• Prosecution
• Compensation claims
• Periodic review

Ineffective policies
• No management commitment
• No objectives set to implement policy
• Health and safety not given priority
• Resources not provided to implement action
• Aims and intentions not understood by personnel
• Too much emphasis on employee responsibilities
• No measurement that objectives are being met
• Management unaware of their health and safety role
• No management training

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ELEMENT 3:- HEALTH AND SAFETY MANAGEMENT
SYSTEMS - DO
Learning outcomes
3.1 Outline the health and safety roles and responsibilities of employers, directors,
managers, supervisors, workers and other relevant parties
3.2 Explain the concept of health and safety culture and its significance in the
management of health and safety in an organisation
3.3 Outline the human factors which influence behaviour at work in a way that can
affect health and safety
3.4 Explain how health and safety behaviour at work can be improved
3.5 Explain the principles and practice of risk assessment
3.6 Explain the preventive and protective measures
3.7 Identify the key sources of health and safety information
3.8 Explain what factors should be considered when developing and implementing a
safe system of work for general activities
3.9 Explain the role and function of a permit-to-work system.
3.10 Outline the need for emergency procedures and the arrangements for
contacting emergency services
3.11 Outline the requirements for, and effective provision of, first aid in the
workplace.

3.1 Outline the health and safety roles and responsibilities of

employers, directors, managers, supervisors, workers and other
relevant parties
Duties of Employers
• A safe place of work
• Safe work equipment and substances
• Information, Instruction, Training and Supervision
• Welfare provisions
• Emergency procedures
• Consultation with employees
• Do not charge employees for health and safety measures

Duties of Employees / Workers

• Do not endanger themselves and others
• Co-operate with their employer
• Consult with Employer
• Report dangerous situations to Employer

Duties of Directors and Senior Managers

• The right health and safety policy is put in place.
• Adequate resources are allocated to establish, implement and maintain the
health and safety management system.
• The right organisational structures with clear roles and responsibilities are put in
place.
• Appointed with specific responsibility for health and safety.
• One or more competent persons are appointed to assist the organisation in
meeting its health and safety obligations.
• The health and safety performance of the organisation is reviewed on a regular
basis.

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Duties of Middle Managers and Supervisors
• They should control work in their area and set a good example.
• They should take part in carrying out risk assessments.
• The development of consequent safe systems of work.
• They should carry out inspections of their working areas.
• Deal with any unsafe conditions or actions, reporting to managers.
• They have an important role to play in training, coaching and mentoring members
of their team.

Duties of Designers, Manufacturers and Suppliers

• Ensure equipment is safe and without risks when being used
• Ensure substances are safe and without risks when being used
• Carry out any necessary tests
• Provide information
• Take reasonable steps to provide further information if new serious risks appear

Responsibilities of Safety Advisors

• Providing advice and guidance on health and safety standards.
• Promoting a positive health and safety culture.
• Advising management on accident prevention.
• Developing and implementing policy.
• Overseeing the development of adequate risk assessments.
• Monitoring health and safety performance.
• Overseeing accident reporting and investigations
• Be properly trained and qualified
• Maintain adequate information systems
• Be able to interpret the law applying to their organisation
• Establish and maintain procedures for reporting, investigating, recording and
analysing accidents and incidents
• Be able to present their advice effectively
Relationships outside the organisation
• The enforcing authority
• Fire/rescue service
• Insurance companies
• Contractors
• External consultants
• Engineers
• Equipment manufacturers and suppliers
• Clients and customers
• The police
• Members of the public
• The media

Clients duties to when work being done by Contractors

• To consider the risks to their own employees from the work
• The risks to the Contractors employees from the Clients activities
• Risks to the public and others from the work
Contractors duties
• To consider the risks to their own employees from the work
• The risks to the clients employees from their activities
• Risks to the public and others from the work
• To follow clients rules and procedures
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Management of Contractors
• Select a suitable contractor
• Planning the job
• Controlling contractors on site
• Checking contractors work
• Review contractors performance
Selecting a suitable Contractor
• Experience of the type of work and industry
• Suitable references
• Enforcement record
• Safety management such as Policy, risk assessments etc.
• Accident and ill-health data
• Membership of trade/professional bodies
• Competence and training of employees
• Arrangements for selection of sub-contractors
• Arrangement for ongoing liaison with clients
Two organisations share the same worksite
The hold regular meetings, share information and risk assessments in order to avoid
carrying out incompatible processes and activities and using incompatible
substances; prepare and agree joint site rules for the workplace for example for
assembly points and smoking areas; set up joint procedures for the management of
visitors and contractors; agree on procedures for the management of traffic and the
movement of vehicles; carry out joint inspections and monitoring of the workplace;
draw up joint emergency procedures and introduce fire drills for the work site as a
whole; agree a policy for the management of waste and introduce joint safety
committees and worker representatives

3.2 Explain the concept of health and safety culture and its
significance in the management of health and safety in an
organisation
Safety culture can be defined as the shared attitudes, values, beliefs and
behaviours relating to health and safety. It is the result of the shared attitudes,
beliefs, competencies, perceptions and patterns of behavior in the organisation. This
determines the management’s commitment to, and style of, health and safety
management.

Indicators to assess an organisation’s health and safety culture

• Accidents/incidents
• Work-related illnesses
• Sickness and absenteeism rates
• Complaints about working conditions
• Workers leaving employment

Promoting a Positive Health and Safety Culture

The safety culture of an organisation is the way that all the people within the
organisation think and feel about health and safety and how this translates into
behaviour. It can be defined as the shared attitudes, values, beliefs and behaviours
relating to health and safety.
Factors that have a deterioration / negative impact on health and safety culture
in an organisation include:
• Lack of leadership from management.

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• Presence of a blame culture.
• Lack of management commitment to safety, e.g. saying one thing and doing
another.
• Health and safety receiving lower priority than other business issues.
• Organisational changes (frequent or poorly communicated change can result in
uncertainty).
• High staff turnover rates.
• Lack of resources, e.g. too few workers due to downsizing.
• Lack of worker consultation.
• Interpersonal issues, e.g. peer-group pressure, bullying or harassment.
• Poor management systems and procedures.
• External influences, e.g. economic climate resulting in difficult operating
conditions.
Benefits of a positive culture
• Increased levels of compliance with rules and procedure
• Increased staff morale
• Reduced staff complaints
• Reduced staff turnover
• Reduced absenteeism
• Reduced sickness and accident rates
Negative culture
• Job insecurity
• Reorganisation
• Poor example set by management
• Poor management decision making
• Inadequate supervision
• Poor working conditions

Internal influences on Health and safety

• Competence
• Commitment and control
• Co-operation
• Communication
• Production/service demands
External Influences on Health and Safety
• Society expectations
• Political priorities
• Legislation and enforcement
• National or International agencies
• Pressure groups
• Insurance Companies
• Workers unions
• Stakeholders
• Economic conditions
To improve culture
• Senior management commitment
• Ownership of health and safety at every level
• Effective communication and consultation
• Training for all levels of employee
• Shared perception of risks

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• Standards of acceptable behaviour
• Learning from experience through monitoring and review
• Balance between health and safety and production

3.3 Outline the human factors which influence behaviour at work in

a way that can affect health and safety
Three significant factors influence a worker’s behaviour

Organisational factors – characteristics of the organisation that they are working

for.
• Safety culture of the organisation
• Policies and procedures
• Commitment and leadership from management
• Levels of supervision
• Peer-group pressure
• Consultation and worker involvement
• Resources
• Training
• Work patterns such as shift systems, work at night, or extended hours

Job factors – characteristics of the job or task that they are performing.

• Task
• Workload
• Environment
• Displays and
• Procedures
Individual factors – characteristics of the individual.
• Experiences in the womb
• Birth trauma
• Family influences
• Geographical location
• Pre-school influences
• Education - opportunities, quality, support
• Occupational factors - training and retraining
• Hobbies and interests
• Own family influences - marriage, children
• Ageing
Personal factors that might place an individual at greater risk of harm while at
work
• Poor attitude
• Low motivation
• Physical capabilities
• Poor perception of risk
• Drugs or alcohol problems
• Age related factors
• Medical problems
• Levels of training and experience
Ergonomics
The study of the relationship between the worker, the work that they are doing, and
the environment in which they are doing it.

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Attitude:- The tendency to respond in a particular way in a given situation
Factors that affect attitude
• Background
• Personality
• Experience
• Training
• Competence
• Peer group pressure
• Management actions
• Culture of the organisation
Perception:- The way that people interpret and make sense of presented
information
Factors which may affect perception
• The nature of the hazards
• Previous experience
• Over familiarity
• Feeling of being in control
• Level of training
• Peer group pressure
• Confidence in others ability
• Personal characteristics

Motivation:- Motivation is the driving force behind the way a person acts in
order to achieve a goal
What motivates people
• Reward
• Fulfilment
• Job satisfaction
• Recognition
• Peer approval
• Threat of Discipline
Why person may fail to comply with safety procedures
• Lack of motivation
• Unrealistic working procedures
• Lack of management commitment
• Over familiarisation
• Repetitive work leading to boredom
• Peer group pressure
• Inadequate supervision
• Fatigue and stress
• Lack of information, training and consultation
• Job insecurity
Human Error causes
• Slips
• Lapses of attention
• Mistakes
• Violations

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Reducing human error
• Skilled competent workers
• Well motivated employees
• Clear roles and lines of responsibility
• Adequate levels of supervision
• Clear information and instructions
• Drug and alcohol prevention policies
• Good environmental conditions e.g. lighting, noise etc.
• Avoiding monotonous work
• Breaks to avoid fatigue

3.4 Explain how health and safety behaviour at work can be

improved
Promoting Safe behaviour
• Discipline
• Reward
• Informing
• Facilitate safe behaviour
• Train
Competence
Sufficient Knowledge, Training, experience and any other qualities to carry out their
functions

Competence
• Knowledge
• Skills
• Experience
• Training
• Recognition of limitations
Checks to assess competence
• Qualifications
• Level of training
• Membership of professional/trade organisations
• Undertaking written or practical assessments
• Seeking references or recommendations

Effective Communication
General principles of communication:
• Ensure understanding
• Check to ensure understanding
• Budget time to encourage feedback
• Direct themselves towards the intended recipient
Barriers to effective communication
• Noise and other similar distractions
• Sensory impairment (poor hearing or eyesight)
• Complexity of the information
• Language/dialect of the speaker
• Illogically presented information
• Ambiguity of the information
• Use of technical and local terms or abbreviations

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• The timeliness of the communication
• Lengthy communication methods
• Inattention of the person receiving the information
• Lack of trust or respect
• Capabilities of the person receiving the information

Barriers to communication
The person e.g.
• Sensory impairment
• Learning difficulties
• Inexperience
• Lack of motivation

The deliverer e.g.

• Too much jargon, language or dialect
• Ambiguity of the message
• Too complex message
• Lack of feedback

The place e.g.

• High noise levels
• Interference from PPE
• Distractions

Methods of communication
• Team briefings
• Safety committee meetings
• Health and safety representatives
• Memoranda
• Tool box talks
• Newsletters
• Standards/codes of practice
• Work instructions
• Posters
• Notices
• Electronic notice boards
• Safety policy
• Induction and other training

Written Communication
Advantages Disadvantages
Written record May not be read
Can be referred to To complex and jargon
Can convey complex ideas Time to produce and expensive
Provide analysis Tends to be formal and distant
Many people in different Does not provide feedback
locations Difficulty to modify
Can clarify or confirm oral Does not allow for exchange of views
Forms basis of contracts Attitude
Can be written very Takes time to write.
carefully to avoid use of jargon, May contain jargon and abbreviations.
abbreviations and ambiguity. Can be impersonal.
Can be distributed to a wide Message may be ambiguous.

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audience relatively cheaply. Message may not be read by recipient.
Language barrier may exist.
Recipient may not be able to read.
Immediate feedback is not available.
Questions cannot be asked.
Recipient may have impaired vision.

Verbal communication
Advantages Disadvantages
Direct No written record
Close physical proximity Difficult to control
Allows for interchange May reduce the quality of decision making
Provides instant feedback through lack of time
May be more effective Attitude
Allows for contribution Language barrier may exist.
Allows for exchange of views. Jargon may not be understood.
Usually allows for additional Strong accent or dialect may interfere.
information to be transmitted by Background noise may interfere.
means of tone of voice, facial Recipient may have poor hearing.
expression and body language. Message may be ambiguous.
Recipient may miss information.
Recipient may forget information.

Graphic communication
Advantages Disadvantages
Eye-catching. Can only convey simple messages.
Visual. Expensive to buy or produce.
Quick to interpret. May be ignored.
No language barrier. Symbols or pictograms may be unknown to the
Jargon-free. recipient.
Conveys a message to a wide No immediate feedback available.
audience. Questions cannot be asked.
Recipient may have impaired vision..
Factors to consider in presentation of health and safety talk
• The purpose of the talk
• The audience
• The training style
• Number of trainees
• The time available
• The skills required by trainer
• Training aid required
• The suitability of the training facilities.
Posters
Advantages Disadvantages
• Low cost • Need to be changed on regular basis
• Flexible • May become soiled
• Brief • May be defaced
• Used to enforce written • Can become out of date
instructions • May be seen as trivialising matters
• Constant reminder • May alienate people
• Provide no feedback.

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Notice boards –
should be “eye-catching” and located in areas used by all workers, e.g. rest rooms or
central corridors. Notices should be current, relevant and tidily displayed. Cluttered,
out-of-date, irrelevant notices obscure the messages being conveyed. Displaying a
notice does not mean that it will be read. Typical contents might include: the safety
policy; employers’ liability insurance certificate; emergency procedures; identity of
safety representatives and first-aiders; minutes of safety committee meetings;
accident statistics, etc.
Safety Representatives rights (ILO Convention) C155
• Have access to all parts of the workplace
• To be able to communicate with workers
• Protection from dismissal
• Protection from other prejudicial measures
• To contribute to the decision making process
• Free to contact enforcement agencies
• Contribute to negotiations in health and safety matters
• Given appropriate training
• Given reasonable time to exercise their health and safety functions

Safety Committees Agenda

• Study of accident/incident statistics
• Examination of audit reports
• Reports from enforcing authorities
• Reports from workers representatives
• Assist in the development of policies/procedures
• Monitoring the effectiveness of training
• Monitoring safety communications
• Provide link with the enforcing authority
Effective Safety Committees
• Right number of members
• Right mix of members
• Adequate authority
• Right knowledge and expertise
• Good communications
• Suitable level of formality
• Input from outside specialists
• Limited individual input
• Identified and agreed priorities
• No trivia

Training
When is training needed
• On recruitment (Induction)
• On the job training
• Transfer
• New equipment
• New technology
• New systems of work or system changes

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Induction Training programme content
• Health and safety policy
• Culture of organisation
• Fire precautions
• Emergency procedure
• What accidents to be reported
• How to report accidents
• Hazards of the workplace
• Drink and drugs policy
• First aid precautions
• Welfare provisions

Additional Training
• New processes
• New equipment
• Accidents/incidents
• Enforcement action
• New legislation
• Result of risk assessment
• Newly promoted
• Refresher training

Levels of supervision
• Persons skills and qualifications
• Experience of the work involved
• Age
• Persons attitude and aptitude
• Nature and complexity of the task
• Employees communication skills
• Any special needs they may have

Factors when preparing a talk on Health and safety

• Identify the training needs
• Identify the training objectives
• The target audience, knowledge, skills etc.
• Training methods, lecture, video etc.
• How to evaluate effectiveness of training
• Number of trainees
• Time available
• Training aids required
• Suitability of training facilities, room size etc.
• Course rules and administration

Training Benefits to worker:

• Better understanding and involvement raises staff morale/job satisfaction
• Understanding of relevance of systems of work and controls reduces risk
• Understanding of welfare arrangements aids health, safety and hygiene
• Allows worker to reach experienced worker standard more quickly Increases
flexibility of staff

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Benefits to employer:
• Reduces accident frequency and severity
• Reduces injury related absenteeism
• Reduces claims and insurance premiums
• Reduces the chance of prosecution
• Increases profits/benefit

Preparing for a training session

• The training style and methods to be used
• The target audience
• The number of trainees
• The time available
• The skills required of the trainer
• Audio-visual and other training aids required
• The suitability of the training facilities
• Provision of refreshments if necessary
• How the effectiveness of the training is going to be evaluated

3.5 Explain the principles and practice of risk assessment

Hazard:- Something with the potential to cause harm

Risk:- Likelihood that harm will occur and the severity of the harm

Risk assessment
A formalised process of identifying hazards,assessing the risk that they generate and
then either eliminating or controlling the risk.

Injury - “physical harm or damage done to or suffered by a person”

Ill-health - “harm to a person’s health caused by their work”

Dangerous occurrence - “an incident not resulting in personal injury reportable to

the enforcing authority”

Near-miss - “an accident that results in no apparent loss”

Damage only - relate to those events that could have caused harm to people but
only cause damage to property, equipment, the environment or production losses

Suitable and Sufficient

• Be proportionate to the level of risk
• Ensure that all aspects of work activity are covered
• Take account of the way the work is organised
• Identify the significant hazards and risks
• Evaluate the risks
• Identify control measures
• Enable priorities to be set
• Residual risk low

Competence of Risk Assessor

• Experience and training in risk assessment techniques
• Knowledge of process or activity
• Technical knowledge of the plant or equipment
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• Good communication and report writing skills
• Ability to interpret legislation and guidance
• Possess right atitude
• Knows limitations

5 Steps to Risk Assessment

• Identify the hazards
• Decide who might be harmed and how
• Evaluate the risks and the existing precautions
• Record the findings
• Review the assessment and revise if necessary

• Identification of hazards
- sources and form of harm; task analysis, legislation, manufacturers’ information,
incident data
• Identifying population at risk:
- workers, operators, maintenance staff, cleaners, contractors, visitors, public, etc
• Evaluating risk and adequacy of current controls:
- likelihood of harm and probable severity
- risk rating
- apply the general hierarchy of control with reference to OHSAS 18001
- application based on prioritisation of risk
- use of guidance; sources and examples of legislation
- applying controls to specified hazards
- residual risk; acceptable / tolerable risk levels
- distinction between priorities and timescales
• Recording significant findings:
• format; information to be recorded
• Reviewing: reasons for review (eg incidents, process / equipment / worker /
legislative changes; passage of time)
• Special case applications to young persons, expectant and nursing mothers; disabled
workers and lone workers.

Identifying hazards
• Task observation
• Accident, ill-health or near miss data
• Workplace inspections
• Job safety analysis
• Legal standards

Hierarchy of Control
• Eliminate
• Reduce / Substitution
• Engineering Control
• Administrative control / Discipline
• PPE

When Risk assessment should be reviewed

• After an accident/incident
• New equipment
• Changes to equipment, plant, process
• Changes in personnel
• Changes in legislation
• Result of monitoring or audit
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• Action by enforcing authority
• New information becomes available

Why young persons at risk

• Lack of experience and/or training
• Body not fully developed
• More likely to take risks
• Respond to peer group pressure
• Be over enthusiastic

Risks to Young Workers

• Lack of experience in workplaces in general.
• Physical and, perhaps, mental immaturity.
• Poor perception of risk.
• Heavily influenced by peer group pressure.
• Eager to show a willingness to work.
• Less developed communication skills.
• Their physical condition
• The workplace
• Physical, Biological and chemical hazards
• The work equipment
• The organisation of work and processes
• Health and safety training

Risks to New and expectant mothers

• Ergonomic
• Manual handling
• Extremes of temperature
• Personal protective equipment
• Radiation
• Chemical agents
• Biological hazards
• Working conditions
Risks to disabled workers
• Reduced mobility for access and egress
• Ability to access welfare facilities
• Reduced sensory ability e.g. speech, hearing or eyesight
• Reduced ability to lift, carry or move objects
• Ergonomic hazards

3.6 Explain the preventive and protective measures

General Principles of Prevention
• Avoid the risk e.g. eliminate the hazard or task
• Evaluate risks which cannot be avoided
• Combat risks at source
• Adapt the work to the individual
• Adapt to technical progress
• Replace the dangerous by the less dangerous
• Develop a coherent prevention policy
• Give collective measures priority over individual measure

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General Hierarchy of Control
• Eliminate
• Reduce / Substitution
• Engineering Control
• Administrative control / Discipline
• PPE

Safety Signs
• Prohibition (Circular, Red, white background)
• Warning (Triangular, Yellow black edging)
• Mandatory (Circular, Blue white symbols)
• Safe Condition (Green, White symbols)

Benefits of PPE
• Often low cost
• Can be used as short term measure
• Portable for worker away from base
• Disposable PPE reduces risk of infection
Why PPE used as last resort
• Does not eliminate the hazard
• Does not reduce the hazard
• Only protects the wearer
• Always fail to danger
• May introduce new hazards
• Relies on worker to use it
• May not be worn correctly
• It may be uncomfortable
• Worn for only part of task of shift
• Wrong size
• Used when damaged
• Not properly maintained
• Management may not enforce wearing
Selection of PPE
• What are the hazards?
• Type of equipment
• Made to suitable standards
• Comfort
• Compatibility
• Storage
• Training
• Cost
Factors affecting / limitation the wearing of PPE
• Fit
• Health of worker
• Period of use
• Comfort
• Maintenance
• Training
• Interference
• Management commitment
• Peer pressure

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 or
• It does not remove the hazard so should be used when other control measures
have been exhausted.
• It only protects one person - the wearer. Also, its correct use relies on the wearer
so training in correct use is necessary.
• It may not protect adequately if it is not fitted correctly, or the wrong PPE is
selected.
• It may not be comfortable and may interfere with the wearer’s ability to do the job.
• It may increase overall risk by impairing the senses (e.g. goggles that mist up,
hearing protection that masks sounds like fire alarms).
• It may not be compatible with other items that have to be worn or used. Fit is also
affected by personal features, such as beards and spectacles.
• If it fails, it exposes the wearer to danger. It may be contaminated if not stored
correctly.
• People often do not like wearing PPE so it may not be worn.
• PPE may be more expensive than addressing the hazard at source.

Main types of PPE

• Head protection
• Eye protection
• Foot protection
• Hand and arm protection
• Body protection
• Respiratory protection

3.7 Identify the key sources of health and safety information

Internal information sources include:

• Accident records.
• Medical records.
• Absence records.
• Risk assessments.
• Maintenance reports.
• Safety representative inspections.
• Audit reports.
• Safety committee meeting minutes.

External information sources include:

• National legislation (e.g. regulations).
• Material safety data sheets from manufacturers.
• National codes of practice and guidance notes.
• National and international regulatory bodies, e.g. HSE in the UK, OSHA in
Europe - see below for examples of their websites.
• Manufacturers’ operating instructions.
• Trade associations.
• Safety journals and magazines.

3.8 Explain what factors should be considered when developing

and implementing a safe system of work for general activities

Safe Systems of Work:- A step by step procedure for carrying out a task safely,
identifying the hazards, assessing the risks and the precautions needed to eliminate
or reduce the risks.
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Written Procedures
Documenting SSWs provides a precise reference for all workers, and ensures
consistency of method, especially as the procedure may be complex or detailed –
passing information via “word of mouth” is an unreliable method of communication
and prone to errors. It also provides a reference for use in training and instruction in
safe procedures and, as most procedures will need to be consulted on more than
one occasion, the creation of a definitive document is a way of ensuring consistency
whenever the process is carried out.

SSWs may be recorded in the form of short notes, or perhaps manuals detailing
exactly what steps to take when carrying out more complex and lengthy procedures,
such as calibrating and setting up grinding wheels. SSW documentation can be
accompanied by checklists for employees to use as aids to ensure that all the correct
steps are taken, and to tick off details before continuing with the next step or starting
operations. Written SSWs also establish a standard that can be audited, and provide
the employer with a written record, which may be required for legal reasons, such as
in incident investigations or during enforcement action.

Important to involve workers in the development of a safe system of work

• Knowledge of the particular working environment involved and what will work in practice.
• Involvement will establish their ownership of the system and will encourage them to use
and follow it once it has been finalized and introduced.
• Involvement will emphasis management’s commitment to health and safety and help to
raise its profile within the organization.
• For worker involvement ensure their safe behaviour when working to the system
• The employee knows all the practical difficulties in working to theoretical systems of work
• Poor access/egress
• Learn practicalities and ensure the system of work takes account of them
• Involvement in this way often ensures that the agreed system of work is followed

Technical, Procedural and Behavioural Controls

Technical
• Equipment
• Access/egress
• Materials
• Environment
• Correct PPE
Behavioural
• Policy and standards
• Rules
• Procedures
• Permit to work
• Authorisation and co-ordination of actions
• Purchasing controls
• Accident investigation and analysis
• Emergency preparedness
• Procedures in the issue, use and maintenance of P
Procedural
• Awareness, knowledge, skill, competence
• Attitude, perception, motivation, communication
• Supervision
• Health surveillance
• Training in the issue of PPE
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Factors/Developing safe systems of work
• Select the task to be studied
• Identify the hazards
• Develop the safe system looking at: Materials /Equipment/ Environment/ People
• Implement system
• Monitor the system
• What are the hazards associated with the job?
• What controls are recommended by the manufacturer?
• What emergency provision is in place?
• Are the control measures adequate or are additional controls needed?
• How will the system of work be monitored?

Confined Space:- Is any space where there is a specified risk of serious injury from
hazardous substances or conditions within the space

What are the specified hazards in a confined space

• Fire or explosion
• Loss of consciousness due to increased body temperature
• Loss of consciousness due to asphyxiation
• Drowning
• Asphyxiation due to free flowing solids

Confined space examples:- Cellars, Excavations, Sewers, Silos, Tanks,Vats

Avoiding entry
• Modify confined space so entry not required
• Have work done from outside

Precautions for working in a confined space

• Permit to work
• Competent staff
• Appoint a supervisor
• Isolate
• Ensure suitable size of entry
• Gas purging
• Ventilation
• Regular testing of the atmosphere
• Special tools and lighting
• PPE
• Communications
• Limit working time
• Emergency procedures
Lone Working
• No lone working for certain high-risk activities (such as confined-space entry).
• Arrangements for remote supervision.
• Procedures for logging workers’ locations when lone working.
• The use of mobile phones or radios to ensure good communications.
• The provision of lone-worker alarm systems to raise the alarm and pin-point the
worker.
• Procedures to be adopted by workers when lone working.
• Emergency procedures.
• Training for workers in those procedures

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Lone Worker Hazards to be considered
• Work location
• Type of work
• The equipment
• Manual handling
• Sex of the worker
• Emergency facilities
• Lack of Training
• Lack of Supervision
• Limited communication

Precautions for lone workers

• Information on hazards
• Training to deal with hazards
• Regular contact
• Supervisors regularly visiting
• Automatic warning devices
• Check the worker has returned home
• PPE
• Emergency action if worker becomes ill

3.9 Explain the role and function of a permit-to-work system.

Permit to Work:- Is a formal written procedure requiring written confirmation that

certain actions have been carried out to eliminate or control risks before a specific
high risk activity is carried out

Role and function in controlling a permit to work

• Ensure the proper authorisation of specified work
• Confirm the identity, nature, timing, extent and limitations of the work
• Establish criteria to be considered when identifying hazards and what they are
• Confirm that hazards have been removed, where possible
• Confirm that control measures are in place to deal with residual hazards
• Confirm work is started, suspended, conducted, and finished safely

Where Permits needed

• Confined spaces
• Electricity
• Hot work
• Cold work

Operation of Permit to Work

• Identify the task (Where and when)
• Identify the hazards
• List the precautions to eliminate or reduce the hazards
• Additional precautions
• Time limits
• Issue by competent person
• Receipt by person in charge of work
• Completion
• Cancellation

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The general details to be included in a permit-to work system can be
summarised as:

Issue
• Description of the work to be carried out (details of plant and location).
• Assessment of hazards associated with the job.
• Controls required, including:
- Additional permits.
- Isolation of services and supplies.
- PPE.
- Atmospheric monitoring, etc.
- Emergency procedures.

Receipt
• Signature of the authorised person issuing the permit.
• Signature of the competent person accepting the permit (known as “signing onto
the permit”, or “receipt”).

Clearance
• Signature of the competent person stating that the area has been made safe (e.g.
work completed) and that they are leaving the area and isolations can be
removed (known as “sign off” from the permit, or “clearance”).

Cancellation
• Signature of the authorised person stating that the isolations have been removed,
the area has been accepted back and that the equipment can be restarted
(known as “cancellation” of the permit).

3.10 Outline the need for emergency procedures and the

arrangements for contacting emergency services
Emergency Procedures
• Fire.
• Bomb threat.
• Spillage of a hazardous chemical.
• Release of a toxic gas.
• Outbreak of disease.
• Severe weather or flooding.
• Multiple casualty accident.

Importance of Developing Emergency Procedures

• Practising workplace emergency procedures and carrying out drills.
• The planned arrangements will work, for example that the evacuation.
• Carried out within the time limit set and the alarm and other equipment.
• To practise the roles that have been given to specific persons.
• To ensure that everyone knows what to do and where to go if an emergency
occurs
• To make them familiar with the arrangements so that they will not panic.
• To liaise with the emergency services
• To comply with any existing legal requirements.

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Arrangements for Contacting Emergency Services

There should therefore be appropriate arrangements in place:

• Communication equipment, e.g. land-line and mobile phones, satellite phones, or
VHF radio. The more remote the location, the more difficult communication
becomes.
• Contact details, e.g. national and local emergency service numbers. This may
involve international medical evacuation as well.
• Responsible individuals with the necessary information and knowledge
nominated to make the call. In many instances the emergency services can
provide a more effective response if they are given critical information quickly.
• The employer must consider the risks arising from their undertaking and the
related emergencies that could result
• Where necessary, contacts are made with external emergency and rescue
services
• Alerting them to the timing of special, high hazard tasks such as work in a
confined space or where there is a significant risk that people may need to be
rescued
• The employer must identify and assess the nature of any injury likely to occur and
consider the distance to emergency hospital facilities
• It may be necessary to provide a first aid room

3.11 Outline the requirements for, and effective provision of, first
aid in the workplace.

First Aid
First-Aid:- aim is to preserve life, prevent deterioration and promote recovery
• Give immediate assistance to casualties with workplace injuries or illness
• To summon an ambulance or other professional help

The purpose of first-aid is to:

• Preserve life
• Prevent the condition requiring first-aid getting worse
• Promote recovery
• Provide treatment

First-Aid Requirements
• Facilities - an appropriate location where first-aid treatment can be given.
• Equipment - suitably stocked first-aid kits and other equipment as necessary.
• Personnel - staff with appropriate training to deliver first-aid treatment.

First-Aid Equipment
• Eye-wash stations.
• Emergency showers.
• Blankets.
• Splints.
• Resuscitation equipment.
• Stretchers.
• Wheelchairs.
• Other equipment as required.

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Selection of first-aiders
• Reliability
• Disposition
• Communication skills
• Aptitude and ability to learn
• Ability to cope with stressful situations
• Availability at short notice

Assessment for first-aid requirements

• The nature of the work and the size of the organisation
• Past history and accident type
• The nature and distribution of the workforce
• Remoteness of site from emergency medical services
• The needs of travelling, remote or lone workers
• Employees working on shared sites
• Absence of first aiders due to holidays etc.
• Compliance with legal requirements

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ELEMENT 4: HEALTH AND SAFETY MANAGEMENT
SYSTEMS - CHECK
Learning outcomes
4.1 Outline the principles, purpose and role of active and reactive monitoring
4.2 Explain the purpose of, and procedures for, investigating incidents (accidents,
cases of work-related ill-health and other occurrences)
4.3 Describe the legal and organisational requirements for recording and reporting
Incidents

4.1 Outline the principles, purpose and role of active and reactive
monitoring

Monitoring

Active monitoring – to ensure that health and safety standards are correct in the
workplace before accidents, incidents, or ill-health are caused.

Reactive monitoring – using accidents, incidents and ill-health as indicators of

performance to highlight areas of concern.

Active Monitoring

Benchmarking
Takes key performance indicators and compares them externally with similar
organisations or industry standards

Workplace Inspections
A formal, structured examination possibly by a team of people of the working
environment that identify hazards that are not controlled

Limitations of inspections
• Some hazards are not visible
• Some hazards not always present
• Unsafe practices not seen

Types of inspections
• General workplace inspections
• Statutory inspections
• Compliance inspections

People who carry out inspections

• Managers
• Supervisors
• Health and Safety advisors
• Employee safety representatives
• Enforcement agencies

Inspection Checklist
• Condition of processes and plant
• Contractors
• Electrical
• Environmental conditions

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• Fire protection
• First aid
• Hand held tools
• Hazardous substances
• Housekeeping/cleanliness
• Lifting equipment
• Manual handling
• Machinery guarding
• Noise etc.

Factors to take into account when determining the frequency of inspections:

• Statutory requirements may dictate an inspection frequency.
• The activities carried out and the level of risk.
• How well established the process is, e.g. new equipment may require more
frequent monitoring.
• Risk assessments may suggest inspections as a control measure.
• Manufacturers may make recommendations in relation to inspection frequency
and content.
• The presence of vulnerable workers, e.g. young and inexperienced people.
• Findings from previous inspections, which may suggest compliance concerns.
• Accident history and results of investigations.
• Enforcement authorities may recommend inspections.
• Whether workers have voiced concerns.

Safety Sampling
A random exercise in which assigned observers walk in allotted timescale noting
incidence of health and safety defects on pre-prepared sheets

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

Audit
A thorough examination of the performance of the health and safety management
systems, procedures.

Audits look at Management systems, Procedures, Training, documentation such as

safe systems, Permits to work, Interview selected employees as well as examining
the workplace.

Reactive Monitoring
• Accidents
• Incidents
• Ill-health statistics
• Near misses
• Dangerous occurrences
• Complaints by workforce
• Enforcement action
• Prosecutions
• Civil claims

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4.2 Explain the purpose of, and procedures for, investigating
incidents (accidents, cases of work-related ill-health and other
occurrences)
Reasons to investigate accidents
• Prevent future accidents by identifying and eliminating the causes
• Demonstrate concern about peoples health and safety
• Improve worker morale
• Identify weaknesses in management time
• Prevent business loses
• Collate accident and ill-health data and identify trends
• Defend criminal cases
• Defend claims for compensation

Role of investigation
• Prevention of recurrence
• Identify weaknesses
• Establish legal liability, prepare defence, legal obligations are met
• Determine the economic loss
• Data gathering
• Identification of trends
• Discovery of underlying and root causes
• Demonstrate commitment
• Establish if internal disciplinary procedures are necessary
• Staff morale

Function of investigation
• Need to establish the causes of an accident
• Identify weaknesses in current systems
• Determine economic losses
• Recommend actions to prevent a recurrence
• Determine compliance with statutory requirements
• Improve staff relations
• Acquire statistics
• Prepare for criminal/civil action and provide insurance/worker compensation data
Injury
• Physical harm encountered
• Can be broken into:
1. Fatal injury
2. Major injury
3. Injury with time off absence
Ill-health
• Ill-health is harm to a person's health caused by their work
1. Physical or psychological
• May relate to a wide range of occupational diseases, for example, asbestosis,
silicosis
Dangerous occurrence
• Significant hazardous accidents/incidents
• For example: collapse of a hoist or scaffolding
• May be different in each country
• Dependant on enforcement reporting requirements

32
Damage only
• Where there is substantial damage to equipment, property and/or materials
• Can be useful as a predictive tool of situations that could result in a major loss to
the organisation
• Can contribute to the risk assessment process

Accident:- An unplanned, unwanted event which results in a loss

Incident (Near Miss):- An unplanned, unwanted event that has the potential to result
in loss

Why consider near misses

Near misses indicate that the potential for serious accidents is present and by
reacting to the near misses them will prevent them. If asked in examination explain
Bird triangle page 8

Domino Theory:- It has been suggested that the events leading up to an accident
are like a row of dominos and by removing dominos the accident will not occur.

Basic Investigation Procedures

When investigating an accident or other types of incident there are some basic
principles and procedures that can be used:
Step 1: Gather factual information about the event.
Step 2: Analyse that information and draw conclusions about the immediate and root
causes.
Step 3: Identify suitable control measures.
Step 4: Plan the remedial actions.

Good witness interview technique requires that the interviewer should:

• Hold the interview in a quiet room or area free from distractions and interruptions.
• Introduce themselves and try to establish rapport with the witness using
appropriate verbal and body language.
• Explain the purpose of the interview (perhaps emphasising that the interview is
not about blaming people).
• Use open questions, such as those beginning with What?, Why?, Where?,
When?, Who?,
• How?, etc. that do not put words into the witnesses’ mouths and do not allow
them to answer with a “yes” or “no”.
• Keep an open mind.
• Take notes so that the facts being discussed are not forgotten.
• Ask the witness to write and sign a statement to create a record of their
testimony.
• Thank the witness for their help.

The contents of a typical incident investigation report may include:

• Date and time of the incident.
• Location of the incident.
• Details of the injured person/persons involved (name, role, work history).
• Details of injury sustained.
• Description of the activity being carried out at the time.
• Drawings or photographs used to convey information on the scene.
• Immediate and root causes of the incident.
• Assessment of any breaches of legislation.

33
• Details of witnesses and witness statements.
• Recommended corrective action, with suggested costs, responsibilities and
timescales.
• Estimation of the cost implications for the organisation.

Actions following Accident

Immediate
• Treatment for injured personnel
• Make the area safe
• Initiate emergency plan
• Contact emergency services
• Preserve scene for investigation
• May have to notify enforcing authority

Initial
• Identify witnesses
• Report details to senior management
• Report details to insurance company

Longer Term
• Decide the depth of the investigation and select team
• Gather evidence at the scene
• Interview witnesses
• Examine documents
• Appoint specialists if necessary

Composition of Investigation team

• Supervisors and line managers from department where accident occurred
• A senior manager from another department
• Health and Safety professionals
• Specialists e.g. Engineers
• Representative of workers
• Employee experienced in the work activity.

Direct/Immediate cause of an accident

An unwanted, unplanned event that results in a loss

Immediate causes are the obvious causes that gave rise to the event itself. These
will be the things that occurred at the time and place of the accident. For example, a
worker slips on a patch of oil spilt on the floor, injuring his back as he falls backwards
and hits the ground.

Root/Underlying cause of an accident

The failures in management systems or procedures that have led to the accident

Are the things that lie behind the immediate causes. Often, root causes will be
failures in the management system, such as: Failure to adequately supervise
workers.

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4.3 Describe the legal and organisational requirements for
recording and reporting
Incidents
Reasons why records should be kept
• To prevent a recurrence
• Monitoring purposes
• Legal reasons
• Occupational ill-health may take years to occur
• Civil claims

Reporting of accidents
• Report to enforcing authority
• Injuries involving lost time
• Dangerous occurrences
• Occupational diseases
Information in Report
• Who is injured person
• Where the accident happened
• When it happened
• What happened
• Why it happened
• Documentation
• Evidence
• Recommendations

Reasons why workers might not report incidents:

• Unclear organisational policy on reporting incidents.
• No reporting system in place.
• Culture of not reporting incidents (perhaps due to peer pressure).
• Overly complicated reporting procedures.
• Excessive paperwork.
• Takes too much time.
• Blame culture.
• Belief that management does not take reports seriously.
• Concern over the impact on the company or departmental safety statistics
(especially if this is linked to an incentive scheme).
• Reluctance to receive first-aid treatment

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ELEMENT 5: HEALTH AND SAFETY MANAGEMENT
SYSTEMS 4 - ACT
Learning outcomes
5.1 Explain the purpose of, and procedures, for health and safety auditing
5.2 Explain the purpose of, and procedures for, regular reviews of health and safety
performance.

5.1 Explain the purpose of, and procedures, for health and safety
auditing

Health and Safety Auditing

Audit
Systematic, objective, critical evaluation of how well an organisation’s management
system performed by examining evidence”. Health and safety audits share many
common features with financial, quality and environmental management audits; the
basic principles are the same.

Typical information examined during an audit:

• Health and safety policy.
• Risk assessments and safe systems of work.
• Training records.
• Minutes of safety committee meetings.
• Maintenance records and details of failures.
• Records of health and safety monitoring activities, e.g. tours, inspections,
surveys, etc.
• Accident investigation reports and data, including near-miss information.
• Emergency arrangements.
• Inspection reports from insurance companies, etc.
• Output from regulator visits, e.g. visit reports, enforcement actions, etc.
• Records of worker complaints.

External Audits

Advantages
• Independent of any internal influence.
• Fresh pair of eyes.
• Already has audit experience.
• May have wider experience of different types of workplace.
• Recommendations often carry more weight.
• May be more up-to- date with law and best practice.
• May be more able to be critical, e.g. of management

Disadvantages
• Expensive.
• Time-consuming.
• May not understand the business so make impractical suggestions.
• May intimidate workers so get incomplete evidence.

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Internal Audits

Advantages
• Less expensive.
• Auditors already familiar with the workplace and what is practicable for the
industry.
• Can see changes since last audit.
• Improves ownership of issues found.
• Builds competence internally.
• Workforce may be more at ease.
• Familiarity with workforce 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.

5.2 Explain the purpose of, and procedures for, regular reviews of
health and safety performance.
Reasons why an organisation should review its health and safety performance:
• To identify whether the organisation is on target.
• If not on target, why not?
• What do we have to change so that we continually improve? For example, are
there risks that aren’t being controlled adequately? What needs to be done about
them?
• Because monitoring is an essential part of any management system (as the
saying goes: “If you aren’t monitoring, you aren’t managing!”)
• Because reviews are a required part of accreditation to a management system
such as OHSAS 18001.

37