Element 4: Health and Safety Monitoring and Measuring

Element 4.1

Active and Reactive Monitoring

Introduction to Active and Reactive Monitoring

Active and Reactive Monitoring

Active

• Ensure health and safety standards are correct and being met before accidents, etc.
are caused.

Reactive

• Using accident, incident and

ill-health data to highlight areas
of concern.

Active Monitoring Against Performance Standards

Conformance/non-conformance with standards:

• Number and quality of risk assessments.

• Health and safety training to schedule.

• Consultative committee meetings to schedule.

• Workplace inspections to schedule.

• Safety-review meetings to schedule.

Systematic Inspections

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 checksheet.

Workplace Inspections

Typical topics:

• Fire safety.

• Housekeeping.

• Environment issues.

• Traffic routes.
 • Chemical safety.

• Machinery safety.

• Electrical safety.

• Welfare facilities.

Safety Inspections, Sampling,

Tours and Surveys

Safety Inspection

• Examination of workplace, statutory inspection, plant and machinery, pre-use

checks.

Safety Sampling

• Representative sample to judge compliance.

• Less time-consuming. [Checking for defects in a selected area. Eg All fire

Extinguishers]

Safety Survey

• Detailed examination of one issue, topic.

Safety Tour

• High-profile inspection by managers.

• Can be used to observe behaviours, too.

Other (Pro)active Monitoring Methods

• Health Surveillance

- Monitoring worker health

- a proactive measure.

- Shows effectiveness of controls.

• Benchmarking

- Comparison to other organisations.

- Can compare between sectors.

• Environmental Monitoring

• Audits

Bench Marking

• Compares with similar (model) organizations on performance indicators.

• Compare with other departments of the organization itself.

 • The organization learns more about their strengths and weakness and can take corrective
actions.

Benchmarking

ADVANTAGES

❖ Identifies KPI

❖ Ensures monitoring procedures are effective.

❖ Feeds back into continuous improvement

❖ Avoid making mistakes by learning lessons from others.

❖ Generates management focus, interests, and therefore action and

❖ Gains the confidence of stake holders.

Workplace Inspections

Factors to consider:

• Type of inspection.

• Frequency of inspection.

• Allocation of responsibilities.

• Competence of the inspector.

• Objectivity of inspector.

• Use of checklists.

• Action planning for problems found.

• Training for inspectors.

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.

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.

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.

Use of Check list

Advantage

• Ensures all points covered on checklist.

• Consistent approach.

• Form of written record.

• Quick written report

Limitations

• May ignore items not.

• Inspector may not look beyond items in check list

• There can be a human error

• The checklist might not get updated

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.
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.

Reactive Measures

Review of accident rates

Review of enforcement actions

• Often required during pre-tender qualifications.

Review of civil compensation claims

• Total cost of claims can be calculated.

Review of customer complaints

Review of worker complaints

Review of ill health incidents

Reactive Monitoring

Assist in analysing:

• Trends - events over a period of time.

• Patterns - hot spots of certain types, e.g. injury.

Reactive Monitoring

Lost-time Accident Frequency Rate

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

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

Number of hours worked over the same period

Group Discussion Point

• An organisation has 2 sites carrying out similar operations.

• Site A has 300 workers and has had 10 accidents.

• Site B has 150 workers and has had 5 accidents.

• Which has the “better” safety performance?

Element 4.2

Investigating, Recording and Reporting Incidents

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.

Types of Incident

• Accident.

• Near miss.

• Dangerous occurrence.

• Work-related ill health.

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.

Relationship Between
Incident Types

Published by the Health and Safety Executive and licensed under the Open Government Licence v1.0:
(HSG245)

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.

Discuss the first thing you should do when arriving at an accident scene

First actions:

• Make the scene safe.

• Check casualty.

• Get help.

• Consider other bystanders.

• Who will be in the team?

• Gather factual information.

• Analyse the information and draw conclusions.

• Identify suitable control measures.

• Plan the remedial actions.

What are equipment used in accident investigation

Equipment:

• PPE.

• Camera.

• Measuring tape.

• Plans of area.

• Pens and pencils and paper.

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.

Basic Investigation Procedures

Factual Information

Step 1: Gathering Information

• Secure the scene.

• Identify witnesses.

• Collect factual information.

• Interview witnesses.

• Examine documents.

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.

Document Examination

• Company policy.

• Risk assessments.

• Training records.

• Safe systems of work.

• Permits to work.

• Maintenance records.

• Previous accident reports.

• Sickness and absence records.

Step 2: Analysing Information

Immediate causes:

• Unsafe acts.

• Unsafe conditions.
Underlying/root causes:

• Reasons behind the immediate causes.

• Often failures in the management system:

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.

Forklift Truck Accident

Possible immediate causes:

• Failure to secure the pallet.

• Poor positioning of the truck close to the pedestrian exit.

• Aggressive braking by the driver.

• Inattentive pedestrian steps into the path of the forklift truck.

Group Syndicate Exercise

• A pedestrian is struck by a Fork Lift Truck and had injured him in a workplace.

• Outline possible immediate

and underlying causes
of the accident.

Forklift Truck Accident

Immediate causes:

• Failure to stop the FLT due to a mechanical fault.

• Failure to stop the FLT due to a slippery surface.

• Failure to stop the FLT due to poor visibility

• Failure to stop the FLT due to overspeeding

• Underlying/root causes:

• No training for the driver.

• No induction for pedestrian.

• Poor truck maintenance.

• Poor maintenance of premises.

• Poor supervision of driver.

• No refresher training
Step 3: Identifying Suitable Control Measures

For immediate causes:

• Clean up the spill.

• Replace the missing guard.

• Relocate the trailing cable.

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.

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.

Internal Incident Reporting

Reasons for reporting incidents:

• To trigger the provision of

first aid.

• Preserve accident scene.

• Enable investigations to be
carried out to prevent
recurrence.

• Legal requirement to report some incidents.

• Record for civil claims.

Group Syndicate 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?

Barriers to Reporting

• Unclear organisational policy.

• No reporting system in place.

 • Culture of not reporting (peer
pressure).

• Overly-complicated reporting procedures.

• Excessive paperwork.

• Takes too much time.

• Blame culture.

• Apathy – poor management response.

• Concern over impact on organisation/individuals.

• Reluctance to receive first aid.

Internal Incident Reporting

Will depend on the severity:

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.

Incident Investigation Report Contents

▪ Location of accident.

▪ Details of injury.

▪ Details of treatment given.

▪ Description of event causing injury.

▪ Details of any equipment or substances involved.

▪ Immediate and root causes.

▪ Witness details.
 ▪ Details of injury.

▪ Recommendations and action plan.

▪ Cost of accident calculation.

▪ Support materials (photographs ,etc.).

▪ Investigator's signature and date.

Externally-Reportable Events

Some incidents need to be reported to regulator by law, for example:

• Fatality.

• Major injury.

• Dangerous occurrence.

• Disease.

• Lost-time injuries.

Auditing

Definition, Scope and Purpose of Auditing

Auditing is the:

• systematic,

• objective, and

• critical evaluation of an
organisation’s health and safety
management system.

Group Exercise

What is the difference between an audit and an inspection?

The Distinction Between Audits and Inspections

Audit:

• Examines documents.

• Examines procedures.

• Interviews workers.

• Verifies standards.

• Checks the workplace.

• Can be a long process.

• Usually expensive.

• Requires a high level of competence.

Looks at the management system that lies behind this.

Inspection:

• Checks the workplace.

• Checks records.

• Usually quick.

• Lower cost.

• May only require basic competence.

• Part of an audit.

Looks at the physical reality of the workplace.

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.

During the Audit

Auditors use three methods to gather information:

• Paperwork – documents and records.

• Interviews – managers and workers.

• Observation – workplace, equipment, activities and behaviour.

During the 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).
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.

Group Exercise

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

External and Internal Audits

External and Internal Audits

Element 4.4

Reviewing Health and Safety Performance

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.

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.

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

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.

Outputs from Reviews

Records of the reviews should be retained:

• Demonstrate compliance with Regulations..

• 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.

How to achieve continual improvement

Implement the recommendations of audit

Implement the plan of action of Management reviews

Compare with similar organisations [Benchmarking]

Follow updated national guidelines

Considers suggestions from all employees

Implement plan of actions of safety committee

Exam Skills-1
What are the Reasons why an organisation should review its health and safety performance

• To assess whether all risks have been controlled.

• To assess the adequacy of H&S management system

• To benchmark against performance standards

• To assess whether all legal standards are followed

• To assess whether the targets have been met.

• Whether policy objectives have been met

• Whether any change is needed for continual improvement

• Whether the monitoring is adequate.

• To comply with management system accreditation requirements. Eg OHSAS 18001

Exam Skills-2
What should be considered in the management review of health and safety performance?

- Legal compliance

- Accident and incident data

- Findings of surveys/tours/audits

- Absence and sickness data

- QA reports

- Audit reports

- Monitoring data/records/reports

- External communications and complaints

- Consultation

- Objectives met

- Action from previous reviews

- Legal and best practice developments

Exam Skills-3
What should be considered in the management review of health and safety performance?

a.

Give the meaning of the term ‘health and safety audit’

(2)

b.

Outline key areas that may be covered within a health and safety audit.
(10)

c.

Explain how the findings of a health and safety audit can be used to improve health and safety
performance.

(8)

THANK YOU

WE HAVE COMPLETED IG-1 SYLLABUS

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.