GWG

Unit IG1 - Management of Health and Safety

Element 4:
Health and Safety
Monitoring and Measuring

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 Learning Outcomes
4.1 Outline the difference between active and reactive monitoring and the
purpose of active and reactive monitoring methods
4.2 Explain the purpose of, and procedures for, investigating incidents and
GWG
the requirement for recording and reporting accidents, cases of work-
related ill health and other occurrences
4.3 Describe the purpose of, and procedures, for health and safety
auditing
4.4 Explain the purpose of, and procedures for, regular reviews of health
and safety performance

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 Unit IG1: Element 4.1

GWG

Active and Reactive Monitoring

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 Active and Reactive Monitoring
Active
• Looking at control measures to check if they are correct and
being used before accidents, etc. are caused
GWG
• Measures progress

Reactive
• ‘Reacting’ after things have gone wrong
• Using accident, incident and ill-health data to highlight areas
of concern
• Measures failure
• Valid tool to use as long as some forms of active monitoring
are being carried out as well

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 Active Monitoring Methods
Why to Monitor?
• To measure the performance of system
GWG • 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.

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 Active Monitoring Methods
Systematic Inspections
One popular way to actively monitor health and safety performance is to
GWG carry out systematic inspections.
These inspections can focus on the 4 Ps
• Plant
• Premises
• People
• Procedures

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 Role of Safety Inspections
Types of Inspection:
General Workplace Inspection
e.g. a quarterly housekeeping inspection in an office
GWG
Statutory Inspection
e.g. the annual thorough examination of an item of lifting equipment

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 Role of Safety Inspections
Frequency of Inspections - Depend upon
• Purpose of the inspection
• The level of risk
GWG • Legal requirements
• Manufacturer’s recommendations
• Vulnerable workers
• Accident history

Competence of the Inspectors

• Knowledge of workplace inspections
• Knowledge of hazards associated with the process, activity, or area
• Knowledge of the controls in place to prevent hazards
• Experience of the process, activity or area and carrying out inspections
• Training in inspection techniques
• Excellent communication and writing skills

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 Role of Safety Inspections
Limitations of Safety Inspections:
• It is only a snapshot in time
• Some hazards are not visible
GWG • Some risks may not be present during the inspection and may occur
later in the process
• Unsafe practices may not happen during the inspection if the
employees know the inspection is taking place

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 Role of Safety Inspections
Factors to be considered prior to the inspection are:
• Composition of the team
GWG • Reason for inspection
• Use of documents or data
• Scheduling of inspection
• Follow-up action
• The frequency of inspection
• Allocation of responsibilities
• The competence and objectivity of the inspector

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 Role of Safety Inspections
Inspection Checklist Topics
• Housekeeping
• Electrical Safety
GWG • PPE
• Hazardous Substances
• Manual Handling
• Traffic Routes
• Machinery
• Emergency Equipment
• Welfare Facilities

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 Role of Safety Inspections
Inspection Checklists
Valuable tool for use during the inspection process
GWG
Strengths Weaknesses

Enables prior preparation and May ignore items not on checklist

planning
Ensures a consistent approach
Form of written record
Checklist may not be
reviewed/updated to account for
changes
Inspections might become routine
with no follow-up questions being
asked

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 Report Writing
• AIM
• Present
• Persuade
GWG
• Structure - executive summary, introduction, main body,
recommendations, conclusions
• Presentation of arguments - moral, legal, economic arguments, action
plan
• Style - formal, free of jargon or slang, factual, persuasive, clear,
concise, no personalization
• Presentation of data’s – Tables, Graphs

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 Safety Sampling
• This is the technique of monitoring compliance with a particular
workplace standard by looking at a representative sample only
GWG • Provides better evidence of compliance to the standards than
simply checking the records
• Less time consuming and burdensome
- e.g. Random checking to see the use of hearing protection

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 Safety Survey
• A safety survey is a detailed examination of one particular issue or
topic.
GWG - E.g. a detailed examination of the provision of emergency lighting
within a building
• In-depth reports on the primary strengths and weak points

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 Safety Tour
• Unscheduled inspection of a
workplace carried out by a group
GWG • Managers from the area being
inspected
• Senior Supervisors
• Safety Committee
• Safety specialists
• Demonstrates management
commitment to safety
• Direct contact between executives and
workers
• Develop a positive safety culture

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 Reactive Monitoring Methods
Range of reactive measures that can be utilised for the purpose of
monitoring……. which includes reviewing data relating to:
GWG
• Enforcement actions
• Injuries or ill health, including sickness/absence
• Complaints from workers
• Damage to property, goods or equipment
• Dangerous occurrences
• Near misses

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 Reactive Monitoring Methods
Accident Statistics
• Indicate trends
GWG • Highlight the problem of departments and activities
• Highlights accident incidences

Limitations of accident statistics

• Incidents may go unreported
• Potential severity of an event may not be assessed by
injury rates
• A sense of complacency could set in, when there is a
low level of injury rates
• Injury statistics reflect outcomes not causes

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 Reactive Monitoring Methods
Reactive monitoring involves:
• Investigating accident/incident
• Creating and compiling data statistics
GWG • Identification of immediate and underlying causes and preparation of
report

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 End-of-Section Quiz
GWG
During the active monitoring, to check the compliance with a
particular workplace standards by looking at a representative
sample is called ___
a. Safety survey
b. Safety inspection
c. Safety sampling
d. Safety tour

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 Unit IG1: Element 4.2

GWG
Investigating Incidents

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 Role and Need for Investigating
Any incident that occurs in a workplace must be investigated and has
to be recorded. Incident investigations are an example of a reactive
monitoring.

GWG There are several reasons for investigating incidents

• Identify the causes
• Prevent recurrence
• Collect evidence
• Legal reasons
• Insurance purposes
• Staff morale
• Disciplinary purposes
• To update risk assessments
• Discover trends.
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 Immediate & Long-term Actions
• First Aid to injured party
• Calling medical assistance if necessary
• Make area safe
• Isolation of the accident scene
GWG • Implement or initiate emergency plans
• Report to relevant enforcing authority if necessary
• Identification of witnesses
• Setting up investigation team
• Full Investigation to determine root cause
• Making recommendations
• Performing corrective action

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 Incident Investigation Procedures
Factors to be considered before undertaking the investigation:
• The depth of the investigation
• Composition of the team
GWG
• Documents
• Witnesses
• Legal requirements
• Equipment
• Report style

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 Incident Investigation Procedures
Investigation Team
The following personnel could be involved in a detailed incident
investigation.
GWG • Line Manager: has knowledge of the processes involved
• Supervisor: also becomes aware of the process
• Safety Representative: has legal right
• Safety Practitioner: to advice on health and safety implications
• Engineer: to provide advice on technical matters
• Senior Manager from different department: unbiased

Equipment Needed
Camera, Writing materials,
Measuring tape, PPE, checklist…

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 Incident Investigation Procedures
The Investigation steps
1. Gather the factual information
GWG 2. Analyze the information
3. Identify the risk control measures
4. The action plan and its implementation

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 Incident Investigation Procedures
Gathering Information
• Secure the scene as soon as possible
• Collect witnesses details
GWG • Collect factual information from the scene
• Photographs
• Videos
• Taking physical evidence
• Examine various documents such as
• Risk assessments
• Safe systems of work
• Previous incident and accident records
• Training records
• Maintenance records

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 Incident Investigation Procedures
Questions asked can include:
• What activities were being performed at the time?
• Was there anything uncommon or various about the working
GWG conditions?
• Were there adequate safe working treatments and were they
followed?
• Was the risk known? If so why wasn’t it managed?
• Did the organisation and plan of the work influence the accident?
• Was upkeep and cleaning sufficient?
• Was the safety equipment sufficient?

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 Incident Investigation Procedures
Witness Interview
• Not prompting or leading witnesses
• Asking ‘open’ questions (e.g. how, who, what,
GWG when, why)
• Not asking long, complicated questions;
breaking them up into smaller ones
• Verifying the facts by asking closed questions
• Not making quick judgements about the
information.

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 Incident Investigation Procedures
Review of Documents
• Risk assessments
• Safe systems of work
GWG • Previous incident and accident records
• Training records
• Maintenance records
• Equipment instructions
• Work place monitoring, e.g. noise, dust levels
• Supervision rotas
• Inspection reports
• Pre-start equipment checks,
e.g. guards, fork-lift trucks, etc.

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 Incident Investigation Procedures
Analyzing Information
Immediate Causes:
• Unsafe acts
GWG • Unsafe conditions
Root Causes:
• Reasons behind the immediate causes
• Often failures in the management system
• No supervision
• No PPE provided
• No maintenance
• Inadequate or no risk assessments

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 Incident Investigation Procedures
Identify the Risk Control Measures
The analysis may have identified that there were:
• No control measures in place or if so not used
GWG • Control measures in place that failed
• Combinations of the above
All possible risk control measure should be evaluated for:
• Their ability to prevent recurrences
• Whether they are practical
• Whether they will be used
• Whether they will remain valid

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 Incident Investigation Procedures
The action plan and its implementation
• Dangerous conditions must be dealt with immediately
• Interim actions may be possible
GWG • Underlying causes will require more complex actions
• will take time, effort, disruption, money
• need for prioritisation
• Senior management responsible for ensuring the action plan as a
whole is put in place.

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 External Reporting
• Fatality
• Major injury
GWG • Dangerous occurrence
• Disease
• Lost time injuries

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 End-of-Section Quiz
GWG
The consistent increase or decrease in the number of certain
types of event over a period of time is
a. Pattern
b. Trend
c. Growth rate
d. All the above

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 Unit IG1: Element 4.3

GWG
Health and Safety Auditing

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 Health and Safety Auditing
H&S auditing is the:
Systematic, objective , critical evaluation of an organisation’s health and
GWG safety management system

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 Health and Safety Auditing
Scope and purpose of auditing management system
• To verify compliance with set standards
GWG • To ensure appropriate management arrangements are in place
• Adequate risk control systems exist
• To provide critical feedback on the management system so that
appropriate follow up action can be taken

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 Distinctions between Audit and Inspections
AUDIT INSPECTION

GWG Requires extensive review and Simple observation of a work

evaluation environment
Verifies standards Checks records
Long process Usually quick
Expensive Low cost
Requires high level of competence May only require basic competence

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 Health and Safety Auditing
Types of audit
Product audit
An examination of a particular product or service (hardware, processed
material, software) to evaluate whether it conforms to requirements
GWG Process audit
• A verification that processes are working within established limits
• Check the adequacy and effectiveness of the process controls
established by procedures, work instructions, flowcharts, and training
and process specifications
System audit
• An audit conducted on a management system.

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 Health and Safety Auditing
SUPPLIER
Self Audit = FIRST PARTY AUDIT
GWG
Audit done by
Any other Party Customer Audit = SECOND PARTY AUDIT
Other than
Customer / Self
= ORGANIZATION
Self Audit = FIRST PARTY AUDIT

THIRD PARTY AUDIT

audits conducted by Customer Audit = SECOND PARTY AUDIT
Certification Body /
Regulatory CUSTOMER
Authorities/
Self Audit = FIRST PARTY AUDIT
Independent Audit
Firm.
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 Health and Safety Auditing
First-party audit is an internal audit conducted by auditors who are
employed by the organization.
Second-party audit is an external audit performed on a supplier by a
GWG customer or by a contracted organization on behalf of a customer.
Third-party audit is performed by an audit organization independent of the
customer-supplier relationship and is free of any conflict of interest.

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 Auditing Stages
Pre-audit steps
• Scope & area of the audit
• Select team members
• Define protocols
GWG
• Who will be required
• Information gathering
During Audit
• Reference to paperwork
• Interviews
• Direct observation
Post Audit
• Agree final report with the
management
• Issue of report
• Develop action plans
• Follow-up actions
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 Internal Audits
Advantages Disadvantages
• A lower cost than external audit and • The internal team may be under
easier to arrange pressure from management to get
GWG • Recommendations and actions are the audit completed quickly
more likely to be accepted and • They may not have any auditing
Internal implemented experience or training
Audits • Internal team is already familiar with • Their work load may be increased
the organisation and its strengths by the additional responsibilities of
and weaknesses the audit, which may affect
• They will have knowledge of the judgments
company’s existing precautions and • They may not be up to date with
hazards current legislation
• Employees may not feel threatened • Employees could be influenced by
during interviews internal relationships and
pressures

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 External Audits
Advantages Disadvantages
• Will be independent and not be • The auditors may produce unrealistic
biased and will see targets
GWG performance as it is • Expensive
External • Auditors will be impartial and • Time consuming
Audits will have much experience in • Employees may feel more threatened
different work practices
• The external auditors will not be
inhibited by criticism
• The audits may be able to find
solutions to problems that the
organisation has not been able
to solve

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 Audit Action Plan
Correcting non-conformities

• First priority - High inherent risk and a weak system in place

GWG • Second priority - High inherent risk and a robust system in place
• Third priority - Low inherent risk and a weak system in place
• Fourth priority - Low inherent risk and a robust system in place

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 End-of-Section Quiz
GWG
An issue which can cause serious problem hindering the health
and safety management system can be raised as what
conformance during the audit?
a. Minor non conformance
b. Major non conformance
c. Both (a) and (b)
d. Observation

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 Unit IG1: Element 4.4

GWG
Review of Health and Safety Performance

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 Purpose of Review
• Measure degree of compliance against identified performance
standards
• Check if health and safety policy is relevant and valid
GWG • Check adequacy of the arrangements for managing H&S
• Identify strengths, weaknesses and areas for improvement
• Check if objectives and targets are achieved
• Identify the efficient use of resources and the need to allocate more
• Manage effectively the changes in the organisation

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 Review of H&S Performance
Review Team
• Managers, supervisors, health and safety advisors, employee
representatives
GWG • Trained and competent

Scheduling Reviews
• Risk profile of the organisation
• Statutory requirement

Managing change and continual improvement

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 Review of H&S Performance
Factors to Consider for Review
• Compliance with legal and Organizational
requirements
GWG • Lagging indicators like accidents and incident
data
• Audit reports
• Proactive monitoring reports
• Ill-health data
• External communication/customer complaints
• Findings of Stakeholder Consultations
• Objectives and targets achieved
• Previous Management Review meeting
minutes
• New/impending legislations and best practices
that could be introduced

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 End-of-Section Quiz
GWG
Reviewing performance relies on data gathered from various
sources, such as accident data, inspection reports, absence data,
safety tours and audits.
a. True
b. False

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 End-of-Element Quiz
1. The first action to take on approaching the accident scene is to
GWG a. Wait for the emergency services
b. Ensure the area is safe to enter
c. Attend to the most serious injury
d. Investigate the cause of the accident

2. The ____ causes are the obvious causes that gave rise to the event itself.
a. Immediate
b. Root
c. Underlying
d. All the above

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 End-of-Element Quiz
3. An accident causes loss, a near miss does not.
a. True
b. False
GWG
4. Accident investigation forms are used to give organisations an objective tool
for measuring and evaluating safety performance.
a. True
b. False

5. The ____ carried out by workers before they use certain items of plant and
machinery.
a. Periodic inspection
b. Statutory inspection
c. Periodic inspection
d. Pre-use checks

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