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 Element 4
Health and Safety Monitoring and
Measuring
 Learning Outcome
• 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.
 Section 4.1
Common Methods and Indicators used for
Monitoring
 Monitoring Methods

• Active Monitoring – Method to ensure that performance standards

are met. This often carried out to prevent the incident and
accidents.

• Reactive Monitoring – Method to look for the causes of accident,

prevent them from reoccurrence and learn lesson. It often carried
out when the things go wrong.
 Active Monitoring
Active (Leading) Monitoring methods

• Safety Sampling – Checking the representative Sample

• Safety Tours – Walk around the workplace by top management
• Safety Survey – Examination of Specific Field
• Safety Inspection – Observation around the workplace
• Health Surveillance – Ongoing Medical Examination
• Benchmarking – Evaluation of performance for comparison
 Safety Inspection
Safety Inspection has further two categories
• Workplace Inspection – Examining Health and Safety conditions of
workplace
• Work Equipment Inspection – Examining Work Equipment Conditions

Consideration of 4Ps for Inspection

- Plant
- Premises
- People
- Procedures
 Safety Inspection
Things to Consider for Safety Inspection Development

• What is the type of inspection

• Frequency or timescale of Inspection
• Who will conduct the inspections,
• Level of competency for Inspector
• Allocation of Responsibilities
• Requirement of PPE and Work Equipment
• Use of checklist (if required)
• Action Plan for the Issue Identified
 Use of Checklist
Advantages Disadvantages
• To scrutinize the points. • Checklists are not without
• Written Record deficiencies;
• Allows Earlier Planning • Ignorance of issues.
• Reduces Chances of Missing Out • Having a little Scope
• Gives an Instant Report • May not Revised
• Easily Customized • No follow Up Question
• Process may be subject to human
negligence and violence
 Reactive Monitoring
Reactive (Lagging) Monitoring methods

• Loss of product and output decrease due to an accident.

• Staff complaints
• Workers Absence Statistics
• Enforcement Action
• Civil Claims
• Accident and Incident Rates
• Type and frequency of injuries
• Staff Turnover
 Section 4.2

Investigation, Recording & Reporting

 Basic Terminologies
Incident – An unplanned, undesired and uncontrollable event.

Types of Incident
- Injury accident – An incident causing the physical injury.
- Damage only accident – An incident causing significant damage to
machinery, materials and properties.
- Ill-Health – An incident causing harm to a worker's health
- Near miss – An event that did not cause the injury, or damage but
could do so.
- Dangerous occurrence – A very significant hazardous incident with a
severe outcome
 Investigation
Reason for Investigating the - Collect and record evidence.
Incident - Legal reasons.
- Responsibility of employer - Insurance purposes.
- Showing top management - Staff morale.
commitment
- Disciplinary purposes.
- Identify the immediate and root
causes. - Lesson Learning

- Identify the failure of existing - Data-gathering.

controls
- Prevent recurrence.
 Investigation
Basic Investigating Procedure
• Securing the Scene of Accident
- To prevent the tempering evidence
- Make the area accessible
- Collection of data

• Causality Care
- First Aid treatment
- Hospitalization
 Investigation

Basic Investigating Procedure

• Step 1: Gathering the Information

• Step 2: Analysis of the Information
• Step 3: Identification of Suitable Control Measures
• Step 4: Action Plan Development and Implementation
 Investigation
Step 1: Gathering the Information

Information could be gathered through:

- Physical evidence
- Workers Interview
- Documentary evidence.
 Investigation
Step 1: Gathering the Information

Physical evidence Contains

- Physical positions of injured workers
- Equipments involved in an accident.
- Sample of products
- Workplace conditions
- Photographs and Sketches
- CCTV and Videos
 Investigation
Step 1: Gathering the Information

Workers 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.
 Investigation
Step 1: Gathering the Information

Documentary Evidence Contains

- Company policy.
- Risk assessments.
- Training records.
- Safe systems of work.
- Permits to work.
- Maintenance records.
- Previous accident reports.
- Sickness and absence records.
 Investigation
Step 2: Analysis of the Information
Information after the analysis will be focusing :
• Immediate Cause
- Unsafe acts
- Unsafe conditions
• Root Cause (contains the failure in management)
- No supervision.
- No PPE provided.
- No training.
- No maintenance.
- No checking or inspections.
- Inadequate or no risk assessments.
 Investigation
Step 3: Identification of Suitable Control Measures
For Immediate Cause (Short term controls)
- Cleaning of spillage
- Relocation of CPU away from the pathway
- Installation of temporary light
- Provision of slip resistance shoes

For Root Cause (Long term control)

- Risk assessment of the area explicitly tackling slip and trip issues.
- Daily cleaning and inspection procedure
- Training and toolbox talk regarding cleaning services
 Investigation
Step 4: Action Plan Development and Implementation
• Provide an action plan with SMART objectives to control the level
of risk,
• Identify clearly about reviewing and upgradation of systems and
procedures

• Not every control of risk management will be implemented, but those

given the highest priority should be implemented immediately.
• Medium priority, low priority risk and interim controls should be
implemented according to severity.
 Reporting & Recording

• 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

 Reporting & Recording
Barriers in reporting of incident

- Unclear organisational policy.

- No reporting system in place.
- Overly complicated reporting procedures.
- Excessive paperwork.
- Takes too much time.
- Blame culture.
- Apathy (Poor Management)
- Lack of training on policy and procedures
 Reporting & Recording
Internal Reporting External Reporting
- Directors. - Family of the casualty.
- Senior managers. - External authorities.
- Human resources managers. - Insurance companies.
- Health, safety and environmental - Public relations advisers.
advisers.
- Worker representatives.
 Section 4.3

Health and Safety Auditing

 Health and Safety Auditing

The systematic method of

- Gathering independent information against a standard on the
performance,
- Effectiveness and reliability of the overall health and safety
management system and
- Drawing up corrective action plans
 Health and Safety Auditing

The health and safety auditing procedures contains following

stages

- Pre audit Preparation

- During the audit

- At the end of audit

 Health and Safety Auditing

Pre-Audit Preparation
- Scope of the Audit
- Area of the Audit
- Time requirement
- Required personnel for interview
- Collecting Information
- Competence of Auditors
 Health and Safety Auditing

During the audit

Auditors use three methods to gather information:

• Paperwork – documents and records.

• Interviews – managers and workers.
• Observation – workplace, equipment, activities and behaviour.
 Health and Safety Auditing
During the audit checking the typical documents

• Health and safety policy. • Accident investigation reports

• Risk assessments and safe
and data, including near-miss
systems of work. 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, enforcement
actions).
• Records of health and safety • Records of worker complaints.
monitoring activities (e.g.,
tours, inspections, surveys).
 Health and Safety Auditing

At the end of 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.
 Audit vs Inspection
• It focuses on OSH management • It is done by OHS professional
system. • Reviews all the hardware involved
• It thoroughly examines in the work, including PPE etc
paperwork • evaluate the behavior to
• Inspection is the part of the determine if any activities are
audit, unacceptable.
• it involved to interview workers. • Ensure compliance with
• It keeps a careful eye on records regulators such as HSE
such as those prepared to verify • Conducted by someone that is
training, maintenance. associated with the workplace
• It is time-consuming, expensive and the type of work undertaken
and requires a higher level of within it. Compared to audit, it is
expertise. less time consuming and cheaper.
 Internal Auditing
Advantages Disadvantages
- Auditors may not notice
- Less expensive. certain issues.
- Auditors already know the - Auditors may not have good
business so know what can be knowledge of industry or legal
realistically achieved. standards.
- Improves ownership of issues - Auditors may not possess
found. auditing skills so may need
- Builds competence internally. training.
- Auditors are not independent
so may be subject to internal
influence.
 External Auditing
Advantages Disadvantages

- Independent of any internal - Expensive.

influence. - Time-consuming.
- Fresh pair of eyes. - May not understand the
- May have wider experience of business so make impractical
different types of workplace. suggestions.
- Recommendations often carry - May intimidate workers so get
more weight. incomplete evidence.
 Section 4.4

Reviewing of Health and Safety

Performance
 Health and Safety Review
Why reviewing health and safety
- Assess the efficiency of the current and future performance.
- Substandard OSH procedures and conditions will be identified.
- Recognize trends relating to various incident types.
- Enable performance to be' benchmarked’
- Recognize whether the organisation is on target or not
- It is the legal requirement.
- identifies any new or modified risks
- It is a vital part of any safety management system
- Establish a healthy, creative, relevant and efficient management
- Assess control measures efficacy and make recommendations on
corrective actions
 Health and Safety Review
Who should participate in the review process

• A complete review of safety management might be conducted at

the highest organisational level every year.
• The management (middle level) team may arrange to gather
every quarter to accomplish a review to ensure the presentation
of work stays on path.
• A review of departmental (lower level) work performance might
be carried out every month, with the information in the
departmental reviews.
 Health and Safety Review
Points to be consider in the review
- Compliance with the legislative requirements
- Data on Accidents and Incidents
- Evidence of health and safety surveys, tours and sampling
- Facts and Figures of Absence and sickness
- Quality Assurance Reports
- Auditing Reports
- Data of Monitoring
- Outside Communications and Complaints
- Getting feedback from the workforce
- Objectives met
- Actions from earlier management reviews
 Health and Safety Review
Reporting of review outcomes

- Health and safety performance outcomes should be

communicated with organisational directors (top management)
as this will allow all top management to understand and accept
the review's effects.
- The outcomes of the review must be communicated in the
organisation and particularly to those managers (middle
management) responsible for responding to the actions resulted
from the review.
- It is normal to include health and safety outcomes review
outcome in the annual report. All the staff (lower management)
and other stakeholders should be able to access these data
 Health and Safety Review
Role of the board and senior management

• A vital role is played by the Board of Directors / senior management in the

review process of health and safety performance within the whole
organisation periodically; annual basis.
• This review will usually depend on information gathered and drafted by the
specialist in the safety domain.
• In consequence of the review, senior management may again assess the
policy statement of intention and make it current or new or by the present
situations, if it is required so Most significantly, they should utilize the
review adventure as an opportunity to priorities and allocate resources.
• What are the new priorities for the organisation because of the review?
What resources require to be allocated for achieving these priorities
 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 purpose of, and procedures for, health and
safety auditing.
• Explained the purpose of, and procedures for, regular reviews
of health and safety performance.