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NEBOSH International General Certificate

in Occupational Safety and Health
IGC1
Element 4: Health and Safety Monitoring
and Measuring

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Learning Objectives
• Discuss common methods and indicators used to
monitor the effectiveness of management systems.
• Explain why and how incidents should be investigated,
recorded and reported.
• Explain what an audit is and why and how they are
used to evaluate a management system.
• Explain why and how regular reviews of health and
safety performance are needed.

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Element 4.1

Active and Reactive Monitoring

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Introduction to Active and Reactive Monitoring

✓ Active
• Looking at control measures to see if they are correct and
being used before accidents, etc. are caused.

✗ Reactive
• Using accident, incident and
ill-health data to highlight areas of concern.

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Active Monitoring
Measure conformance/non-conformance with standards,
e.g.:

• Number and quality of risk assessments against plan.

• Health and safety training to schedule.

• Consultative committee meetings

to schedule.

• Workplace inspections to schedule.

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Safety Inspections, Sampling and Tours

• Safety Inspection
‒ Examination of workplace, statutory inspection, plant and
machinery, pre-use checks.

‒ Usually done by one line manager or a competent person.

• Safety Sampling
‒ Representative sample to judge compliance.
‒ Less time-consuming.
• Safety Tour
‒ A high-profile walk-around inspection in a workplace carried
out by a group including senior managers.
‒ The intention is to interact and be highly visible.
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Systematic Inspections
Plant • Machinery
• Vehicles
Premises • Workplace
• Environment
People • Working methods
• Behaviour
Procedures • Safe systems
• Permits to work

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Arrangements for Active Monitoring

Factors to consider when planning the introduction of
active monitoring:
• Type of monitoring required.
• Frequency.
• Allocation of responsibilities.
• Competence of the inspector.
• Use of checklists.
• Action planning for problems
found.

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Example Inspection System

Bank head office:
• Purpose – monitor H&S standards.

• Frequency – monthly.

• Competence – one-day course.

• Persons responsible – managers at different levels.

• Inspection checklist – general checklist, tailored if required.

• Follow-up arrangements – an action plan.

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Group Exercise

In groups, list the topic headings that should be included

on an inspection checklist for use in your workplace.

Design a rough format for the inspection check sheet.

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Arrangements for Workplace Inspections

Typical topics in a generic inspection checklist:
• Fire safety.
• Housekeeping.
• Environment issues.
• Traffic routes.
• Chemical safety.
• Machinery safety.
• Electrical safety.
• Welfare facilities.

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Reactive Monitoring
• Accidents, incidents, ill health, other unwanted events
and situations:
– Highlights areas of concern.
– Things that have already gone wrong.
– Measures failure.

• Two methods:
– Lessons from one specific event, e.g. an accident.
– Data collected over a period.

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Reactive Monitoring
Data collected about:
• Accidents.
• Dangerous occurrences.
• Near misses.

Assist in analysing:
• Trends - events
Ill-health cases. over a period of
time.
• Worker complaints.
• Patterns - hot spots of certain
• Enforcement action.
types, e.g. injury.

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Reactive Monitoring

Lost-time Accident Frequency Rate

‘lost-time accidents per 100,000 hours worked'

Number of lost-time accidents during a specific time period × 100,000

Number of hours worked over the same period

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Element 4.2

Investigating, Recording and Reporting

Incidents

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Reasons for Investigations

Reasons to carry out investigations:
• Identify the immediate and root causes.
• Prevent recurrence.
• Collect and record evidence.
• Legal reasons.
• Insurance purposes.
• Staff morale.
• Disciplinary purposes.
• Data-gathering.

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Types of Incident

• Accident.

• Near miss.

• Dangerous occurrence.

• Work-related ill health.

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Types of Incident
Accident:
An unplanned, unwanted event which leads to injury, damage or loss.
• Injury accident – where the unplanned, unwanted event leads to some
sort of personal injury, e.g. a cut hand.
• Damage-only accident – where the unplanned, unwanted event leads
to equipment or property damage but not personal injury, e.g. a wall is
demolished.

Near Miss
An unplanned, unwanted event that had the potential to lead to injury,
damage or loss but did not, in fact, do so.

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Types of Incident
Dangerous Occurrence
• A specified event that has to be reported to the relevant authority by
statute law, e.g. a major gas leak.

Work-Related Ill Health

• A disease or medical condition that is directly attributable to work,
e.g. dermatitis as a result of exposure to skin irritants.

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Level of Investigation

• Minimal – immediate line manager and not excessive

time or effort.
• Low – line manager perhaps with some support and
more time and effort involved.
• Medium – middle manager with support and significant
time and effort.
• High – senior management oversight with team-based
approach and significant time and effort.

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Group Exercise
Discuss the first thing you should do when arriving at an
accident scene and then the later steps.

Consider what type of equipment you may need to assist

you.

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Basic Investigation Procedures

• Safety of the scene:
‒ Is the area safe to approach?
‒ Is immediate action needed to eliminate danger before
casualties are approached?

• Casualty care:
‒ First-aid treatment.
‒ Hospitalisation:
‒ Also consider bystanders who may be in shock.

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Basic Investigation Procedures

Step 1 Gather factual information

Step 2 Analyse the information and draw
conclusions
Step 3 Identify suitable control measures
Step 4 Plan the remedial actions

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Step 1: Gathering Information

• Secure the scene.

• Identify witnesses.
• Collect factual information.
• Interview witnesses.
• Examine documents.

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Witness Interview Technique

• Quiet room, no distractions.
• Establish a rapport.
• Explain the purpose, not about blame.
• Use open questions, e.g. Who? What? Where? When? Why?
How?
• Keep an open mind.
• Take notes.
• Ask for a written statement.
• Thank the witness.

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Document Examination
• Company policy.
• Risk assessments.
• Training records.
• Safe systems of work.
• Permits to work.
• Maintenance records.
• Previous accident reports.
• Sickness and absence records.

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Step 2: Analysing Information

Immediate causes:
• Unsafe acts.
• Unsafe conditions.
Underlying/root causes:
• Reasons behind the immediate causes.
• Often failures in the management system:

‒ No supervision.
‒ No PPE provided.
‒ No training.
‒ No maintenance.
‒ No checking or inspections.
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Inadequate or no risk assessments.

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Group Exercise
A worker is struck by a load being carried on a
pallet by a forklift truck.

Outline possible immediate and underlying

causes of the accident.

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Forklift Truck Accident

Possible immediate causes: Possible underlying/root
• Failure to secure the pallet. causes:
• No training for the driver.
• Poor positioning of the truck
close to the pedestrian exit. • Lack of segregation of vehicles
and pedestrians.
• Aggressive braking by the
driver. • Poor driver induction.

• Inattentive pedestrian steps • Poor truck maintenance.

into the path of the forklift • No refresher training.
truck.

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Step 3: Identifying Suitable Control Measures

For immediate causes:

• Clean up the spill.
• Replace the missing guard.
• Relocate the trailing cable.

For underlying/root causes:

• More difficult.
• Need to make changes in
management system.

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Step 4: Planning the Remedial Actions

• Dangerous conditions must be dealt with immediately.
• Interim actions may be possible.
• Underlying causes will require more complex actions:
‒ Will take time, effort, disruption, money.
‒ Need for prioritisation.

Recommended action Priority Timescale Responsible person

Introduce induction Medium 1 month Warehouse manager

training for all new
drivers

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Recording and Reporting Requirements

• Reporting is the process of informing people that an
incident has occurred:
‒ can be internally within the organisation, or
‒ externally to enforcing authorities or insurers.

• Recording is the process of documenting the event.

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Group Exercise
What sort of things are likely to hinder good accident and
near-miss reporting?

What can an organisation do to make it more likely that

incidents will be reported?

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Internal Incident Reporting Systems

Barriers to reporting:

• Unclear organisational policy.

• No reporting system in place.
• Overly complicated reporting procedures.
• Excessive paperwork.
• Takes too much time.
• Blame culture.
• Apathy.
• Lack of training on policy and procedures.

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Internal Incident Reporting

Will depend on the severity:
Internal External
• Directors. • Family of the casualty.
• Senior managers. • External authorities.
• Human resources managers. • Insurance companies.
• Health, safety and • Public relations advisers.
environmental advisers.
• Worker representatives.

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Incident Recording and the Accident Book

Minimum standard is the ‘Accident Book’:
• Name and address of casualty.
• Date and time of accident.
• Location of accident.
• Details of injury.
• Details of treatment given.
• Description of event causing injury.
• Details of any equipment or substances involved.
• Witnesses’ names and contact details.
• Details of person completing the record.
• Signatures.

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Externally-Reportable Events

Some incidents need to be reported to

regulator by law, for example:
• Fatality.
• Major injury.
• Dangerous occurrence.
• Disease.
• Lost-time injuries.

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Element 4.3

Auditing

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Definition, Scope and Purpose of Auditing

Auditing is the:
• systematic,
• objective, and
• critical evaluation of an
organisation’s health and safety
management system.

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Group Exercise

What is the difference between an audit and an

inspection?

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The Distinction Between Audits and Inspections

Inspection: Audit:
• Checks the workplace. • Examines documents.
• Checks records. • Examines procedures.
• Usually quick. • Interviews workers.
• Lower cost. • Verifies standards.
• May only require basic • Checks the workplace.
competence. • Can be a long process.
• Part of an audit. • Usually expensive.
• Requires a high level of
Looks at the physical reality of competence.
the workplace.
Looks at the management system
that lies behind this.

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Pre-Audit Preparations
The following should be defined:
• Timescales.
• Scope of the audit.
• Area and extent of the audit.
• Who will be required.
• What documentation will be required.

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During the Audit

Auditors use three methods to gather information:

• Paperwork – documents and records.

• Interviews – managers and workers.
• Observation – workplace, equipment, activities and
behaviour.

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During the Audit

Typical records/documents examined during an audit:

• Health and safety policy. • Accident investigation

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

• Usual to hold a close-out meeting.
• Followed with a written report.
• It is the responsibility of management at all
levels to ensure recommendations for
improvement are communicated and
implemented.
• Audit may be necessary for certification,
e.g. to ISO 45001.

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Group Exercise
Discuss the advantages and disadvantages of an external
and an internal audit.

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External and Internal Audits

Advantages Disadvantages
• Independent of any • Expensive.
internal influence. • Time-consuming.
• Fresh pair of eyes. • May not understand the
External • May have wider business so make impractical
experience of different suggestions.
Audits
types of workplace. • May intimidate workers so get
• Recommendations often incomplete evidence.
carry more weight.

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External and Internal Audits

Advantages Disadvantages
• Less expensive. • Auditors may not notice
• Auditors already know the certain issues.
business so know what can • Auditors may not have good
be realistically achieved. knowledge of industry or legal
• Improves ownership of standards.
Internal issues found. • Auditors may not possess
Audits • Builds competence auditing skills so may need
internally. training.
• Auditors are not independent
so may be subject to internal
influence.

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Element 4.4

Reviewing Health and Safety Performance

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Purpose of Regular Reviews

• Full management system review:
‒ By the board, e.g. annually.

• Management team review:

‒ E.g. every quarter, feeds to

full review.

• Departmental review:
‒ E.g. monthly, by line manager to ensure on track.

‒ Assessing opportunities for improvement and the

need for change.

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Purpose of Regular Reviews

Reviewing performance is an essential part of any health and
safety management system:
• Are we on target?
• If not, why not?
• What do we have to change?

E.g. aim: to reduce lost time accidents by 5%:

‒ Target has been met.
‒ Set a new target of another 5% for next year.

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Group Exercise
What active and reactive measurements of health and safety
performance would need to be reviewed annually?

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Issues to be Considered in Reviews

• Legal compliance.
• Accident and incident data.
• Inspections, surveys, tours and sampling.
• Absence and sickness data.
• Audit reports.
• Achievement of objectives.
• Enforcement action.
• Previous management reviews.
• Legal and best practice developments.

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Outputs from Reviews

Records of the reviews should be retained:
• Demonstrate compliance with MHSWR.
• Results may have to be reported to shareholders.

The aim is continual improvement

• Senior managers review performance and set targets for the
organisation.
• Middle managers review performance and set targets for their
departments.
• Junior managers review local performance and set targets for their
local area.

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Summary
In this element, we have:
• Outlined the difference between active and reactive monitoring
and active and reactive monitoring methods.
• Explained the purpose of, and procedures for, investigating
incidents and the requirement for recording and reporting.
• Considered the reasons for accident investigation.
• Described the requirements of RIDDOR and the types of
incident that have to be reported to the enforcing authorities.
• Described the purpose of, and procedures for, health and safety
auditing.
• Explained the purpose of, and procedures for, regular reviews
of health and safety performance.

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