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ELEMENT 5Health & safety management system measuring, audit & reviewACTIVE MONITORING & REACTIVE MONITORINGActive monitoring to ensure that health and safety standards are correct in the workplace before accidents, incidents or ill-health are caused.Reactive monitoring using accidents, incidents and ill-health as indicators of performance to highlight areas of concernACTIVE MONITORINGConformance with standards, so that good performance is recognised and maintained.Non-conformance with standards, so that the reason for that non-conformance can be identified and corrective action put in place to remedy any shortfall.PERFORMANCE STANDARDSNumber and quality of risk assessments covering work activities.Provision of health and safety training to schedule.Completion of consultative committee meetings to schedule.Completion of workplace inspections to schedule.Completion of safety review meetings to schedule.SYSTEMATIC INSPECTIONSPlant machinery and vehicles as well as any statutory inspections and examinations.Premises the workplace and the working environment.People working methods and behaviour.Procedures safe systems of work, method statements, permits-to-work, etc.

A daily inspection regime where forklift truck drivers inspect their own vehicles at the start of each shift Plant.A weekly inspection regime where supervisors check that forklift trucks are being driven safely People.A monthly inspection regime where the manager checks the entire warehouse for housekeeping Premises.A six-monthly thorough examination of each forklift truck by a competent engineer to ensure safety of the load-bearing parts Plant.An annual inspection regime for the storage racking to ensure structural integrity Premises.SAFETY INSPECTIONS, SAMPLINGS, TOURS & SURVEYSSAFETY INSPECTIONSROUTINESTAUTORYPERIODICPRE USE CHECKLISTSSAFETY SAMPLINGSSAFETY TOURSSAFETY SURVEYSARRANGEMENTS FOR WORKPLACE INSPECTIONTYPE OF INSPECTIONFREQUENCY OF INSPECTIONALLOCATION OF RESPONSIBILITIESCOMPETENCE AND OBJECTIVITY OF THE INSPECTORUSE OF CHECKLISTACTION PLANNINGFACTORS TO DETERMINE THE FREQUENCY OF INSPECTIONStatutory requirements may dictate an inspection frequency.The activities carried out and the level of risk.How well established the process is, e.g. new equipment may require more frequent monitoring.Risk assessments may suggest inspections as a control measure.Manufacturers may make recommendations as to inspection frequency and content.The presence of vulnerable workers, e.g. young and inexperienced people.Findings from previous inspections, which may suggest compliance concerns.Accident history and results of investigations.Enforcement authorities may recommend inspections.Whether workers have voiced concerns.

TOPICS THAT MIGHT BE INCLUDED IN INSPECTIONSFire safety including emergency escape routes, signs, extinguishers.Housekeeping general tidiness and cleanliness.Environment issues such as lighting, temperature, ventilation, noise.Traffic routes safety of both vehicle and pedestrian routes.Chemical safety appropriate use and storage of hazardous substances.Machinery safety such as correct use of machine guards and interlocks.Electrical safety such as portable electrical appliance safety.Welfare facilities the suitability and state of.

INSPECTION REPORT - STRUCTUREExecutive summary a concise overview of the main findings and recommendations.Introduction a few sentences to outline where and when the inspection took place, who was present and the reasons for the inspection.Main findings this can perhaps be divided up into specific topic areas. For each topic the problem highlighted can be described in a factual manner and any relevant legal standard identified.Recommendations the immediate, medium and long-term actions needed to remedy each of the issues found should be identified, along with timescales and responsible persons. Actions should be prioritised on the basis of risk. Justification of the recommendations should be included.Conclusions a short section to end the report.OTHER ACTIVE MONITORING TECHNIQUESHealth SurveillanceMonitoring worker health can be considered an active monitoring measure, as carrying out measurements of parameters such as hearing (through audiometry) can provide a measure of effectiveness of controls.BenchmarkingYou will remember that the comparison of an organisations performance with others in the industry or sector is known as benchmarking. This provides an indication of how well the organisation is performing compared with similar companies.

REACTIVE MONITORINGINCIDENT RATE IR = Number of accidents during a specific time period Average number of workers over the same time periodENFORCEMENT ACTIONSCIVIL CLAIMS

X 1000AUDITINGAuditing is the systematic, objective, critical evaluation of an organisations health and safety management system.

Appropriate management arrangements are in place.Adequate risk control systems exist - that they are implemented, and are consistent with the hazard profile of the organisation.Appropriate workplace precautions are in place.

AUDITING & INSPECTIONSIt examines documents such as the safety policy, arrangements, procedures, risk assessments, safe systems of work, method statements, etc.It looks closely at records such as those created to verify training, maintenance, inspections, statutory examinations, etc.It verifies the standards that exist within the workplace by interview and direct observation.

AUDIT PROCESSPRE AUDIT PREPARATIONScope, Area, Extent, Who, Information GathringDURING THE AUDITReference to paper workInterviewsDirect ObservationsAT THE END OF THE AUDITMajor Non conformanceMinor Non conformanceObservations

INFORMATIONS TO BE EXAMINED DURING AUDITHealth 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 activits, e.g. tours, inspections, surveys, etc.Accident investigation reports and data including near miss information.Emergency arrangements.Inspection reports from insurance companies, etc.Output from regulator visits, e.g. visit reports, enforcement actions, etc.Records of worker complaints.

EXTERNAL AUDITSADVANTAGESIndependent of any internal influence.Fresh pair of eyes.Already has audit experience.May have wider experience of different types of workplace.Recommendations often carry more weight.May be more up-to- date with law and best practice.May be more able to be critical, e.g. of management.DISADVANTAGESExpensive.Time-consuming.May not understand the business so make impractical suggestions.May intimidate workers so get incompleteevidence.

INTERNAL AUDITSADVANTAGESLess expensive.Auditors already familiar with the workplace and what is practicable for the industry.Can see changes since last audit.Improves ownership of issues found.Builds competence internally.Workforce may be more at ease.Familiarity with workforce and individuals.DIS ADVANTAGESAuditors may not notice certain issues.Auditors may not have good knowledge of industry or legal standards.Auditors may not possess auditing skills so may need training.Auditors are not independent so may be subject to internal influence.

INVESTIGATING ACCIDENTS

REPORTING ACCIDENTSTo trigger the provision of first aid treatment, etc.To preserve the accident scene for the investigators.To enable the investigation to be carried out to prevent recurrences.To meet any legal requirements to report incidents.To record that an incident has occurred in the event of subsequent civil claims.

INVESTIGATING ACCIDENTSTo identify the immediate and root causes of the incident incidents are usually caused by unsafe acts and unsafe conditions in the workplace, but these often arise from underlying or root causes.To identify corrective action to prevent a recurrence a key motivation behind incident investigations.To record the facts of the incident people do not have perfect memories and accident investigation records document factual evidence for the future.For legal reasons accident investigations are an implicit legal duty imposed on the employer in addition to any duty to report incidents.

For claim management if a claim for compensation is lodged against the employer the insurance company will examine the accident investigation report to help determine liability.For staff morale non-investigation of accidents has a detrimental effect on morale and safety culture because workers will assume that the organisation does not value their safety.For disciplinary purposes though blaming workers for incidents has a negative effect on safety culture, there are occasions when an organisation has to discipline a worker because their behaviour has fallen short of the acceptable standard.To enable the updating of risk assessments (an incident suggests a deficiency with the risk assessment which should be addressed).To discover trends.

INVESTIGATING ACCIDENTSBASIC INVESTIGATION PROCEDUREGATHERING INFORMATIONSECURE THE SCENE AS SOON AS POSSIBLECOLLECT WITNESS DETAILSCOLLECT FACTUAL INFORMATION FROM THE SCENE AND RECORD IT

PhotographsSketchesMeasurementsVideosWritten description of factors like wind speed, temperatureTaking physical evidenceMarking up existing site/location plans

Hold the interview in a quiet room or area free from distractions and interruptions.Introduce themselves and try to establish rapport with the witness using appropriate verbal and body language.Explain the purpose of the interview (perhaps emphasising that the interview is not about blaming people).Use open questions, such as those beginning with What?, Why?, Where?, When?, Who?,How?, etc. that do not put words into the witnesses mouths and do not allow them to answer with a yes or no.Keep an open mind.Take notes so that the facts being discussed are not forgotten.Ask the witness to write and sign a statement to create a record of their testimony.Thank the witness for their help.BASIC INVESTIGATION PROCEDURE

Witness Interview TechniqueANALYSING THE INFORMATIONImmediate CausesUnderlying or Root causesIDENTIFY SUITABLE CONTROL MEASURESPLAN THE REMEDIAL ACTION

BASIC INVESTIGATION PROCEDURERecommended actionPriority Time ScaleResponsible PersonDate and time of the incident.Location of the incident.Details of the injured person/persons involved (name, role, work history).Details of injury sustained.Description of the activity being carried out at the time.Drawings or photographs used to convey information on the scene.Immediate and root causes of the incident.Assessment of any breaches of legislation.Details of witnesses and witness statements.Recommended corrective action, with suggested costs, responsibilities and timescales.Estimation of the cost implications for the organisation.CONTENTS OF INVESTIGATION REPORTREASONS WHY WORKERS MIGHT NOT REPORT ACCIDENTSUnclear organisational policy on reporting incidents.No reporting system in place.Culture of not reporting incidents (perhaps due to peer pressure).Overly-complicated reporting procedures.Excessive paperwork.Takes too much time.Blame culture.Apathy due to managements perceived response in the past.Concern over the impact on the company or departmental safety statistics (especially if this is linked to an incentive scheme).Reluctance to receive first-aid treatment.CONTENTS OF INTERNAL ACCIDENT RECORDName 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.REPORTING TO EXTERNAL AGENCIESAccidents resulting in major injury, e.g. an amputation, such as loss of a hand through contact with machine parts.Dangerous occurrences, e.g. the failure of an item of lifting equipment, such as the structural failure of a passenger lift during use.Occupational diseases, e.g. mesothelioma, a form of cancer of the lining of the lung, as might be contracted by someone exposed to asbestos.DATA COLLECTION, ANALYSIS & COMMUNICATIONTREND ANALYSISWhat are the most common types of accident?What are the most common types of injury?Between what times of day do most accidents occur?Which part of the body is most frequently injured?Which department has the highest accident rate?What is the accident rate trend for a particular part of the organisation?Where do most accidents occur in the workplace?

LESSON LEARNTREVIEW OF HEALTH & SAFETY PERFORMANCEREVIEWA full review of safety management might be undertaken at the highest level of the organisation (board of directors/senior management) on an annual basis.The management team may meet every quarter to carry out a review to ensure the performance remains on track (clearly reviewing progress only once a year is not enough!). This information will feed into the annual review.A review of departmental performance might be conducted every month, with the information in the departmental reviews been fed into the quarterly management team review.REASONS FOR REVIEWTo identify whether the organisation is on target.If not on target, why not?What do we have to change so that we continually improve? For example, are there risks that arent being controlled adequately? What needs to be done about them?Because monitoring is an essential part of any management system (as the saying goes: If you arent monitoring, you arent managing!).Because reviews are a required part of accreditation to a management system such as OHSAS 18001.ISSUES TO BE CONSIDERED FOR REVIEWLegal complianceAccident and Incident dataFindings of safety surveys, tours and sampling and workplace or statutory inspectionsAbsence and sickness dataQuality assurance reportsAudit reportsMonitoring data/records/reportsExternal communications and complaintsConsultationObjectives metActions from previous reviewsLegal and best practice developments