(

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

(
(

l
219
(

(
(

)
)
)
)

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

)
)

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

220..
)

(
(

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

(
(
(

221

l
(

-----------

------------------------------

J
)

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.

)
)

USE OF SAFETY
SAMPLING
Aims of performance
review; relevance of results
of monitoring activity to
review process.

222

''-IJ
)