Active and reactive monitoring

HS performance should be monitored. In most workplaces, both types of monitoring have their place.

 Active monitoring - to ensure that HS standards are correct in the workplace before accidents, incidents, or ill-
health is caused.
 Reactive monitoring - using accidents, incidents, and ill-health as indicators of performance to highlight areas of
concern.

Active monitoring

Active monitoring is concerned with checking standards before an unwanted event occurs. The intention is to
identify:

 Conformance with standards, so that good performance is recognized 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 standards

To actively monitor performance standards, you have to identify exactly which performance standard to monitor and
what level of performance is acceptable.

You could actively monitor the following activities to give a measure of performance:

 Number and quality of risk assessments covering work activities.

 Provision of HS training to schedule.
 Completion of consultative committee meetings to schedule.
 Completion of workplace inspections to schedule.
 Completion of safety review meetings to schedule.

Systematic inspections

One popular way to actively monitor HS performance is to carry out systematic inspections. These inspections can
focus on the 4 P’s:

 Plant - machinery and vehicles as well as any statutory inspections and examinations.
 Premises - the workplace and the working environment.
 People - working methods and behavior.
 Procedures - safe systems of work, method statements, permits-to-work, etc.

An inspection might concentrate on one, several, or all four of these areas. Systematic inspection regimes usually
exist in many different forms within different workplaces.

Safety inspections, sampling, tours, and surveys

These are 4 slightly different methods of active monitoring, each of which has a place in an active monitoring regime.

Safety Inspections

The term means a regular, scheduled activity in comparison to accepted performance standards. It can be applied to:

 The routine inspection of a workplace to determine if general standards of HS are acceptable or if corrective
action is necessary (e.g. a quarterly housekeeping inspection in an office).

 The statutory inspection of an item by a competent person to fulfill a legal requirement (e.g. the annual thorough
examination of an item of lifting equipment).

 The periodic inspection of plant and machinery as part of a planned maintenance program (e.g. a mechanic
inspects the brakes on a lorry regularly to ensure they are not excessively worn).
 The pre-use checks carried out by workers before they use certain items of plant and machinery (e.g. the start-up
checks carried out by a forklift truck driver).

Safety Sampling

This is the technique of monitoring compliance with a particular workplace standard by looking at a representative
sample only. If a big enough sample is collected then there is a strong likelihood that the results of the sample will
reflect the results for the workplace as a whole.

For example, if the standard in a large office is that a competent engineer must annually inspect all 1,200 fire
extinguishers, then there are several ways to monitor this standard:

 Check the maintenance records to ensure every fire extinguisher has been signed off.

 Check all 1,200 fire extinguishers directly by inspecting everyone.

 Check a representative sample of, say, 50 extinguishers selected at random from various locations around the
complex.

The last method is safety sampling. It provides better evidence of compliance with the standard than simply checking
the engineer's maintenance records since they may have signed extinguishers off without ever inspecting them. It is
also far less time-consuming and less difficult than checking all 1,200 extinguishers directly.

Safety Surveys

A safety survey is a detailed examination of one particular issue or topic, e.g. a detailed examination of the provision
of emergency lighting within a building.

 Environmental monitoring is a form of safety survey, e.g. a noise assessment usually requires that a noise survey
is carried out by a competent person using a sound level meter.
 A structural survey is a detailed examination of the structural integrity of a building or item.
 A staff survey is an examination of workers ‘opinions, usually collected by asking staff to fill in a questionnaire.

Safety Tours

A safety tour is a high-profile inspection of a workplace carried out by a group or team including managers.

 The tour may be formal, but can also be informal - a walk round looking at points of interest (usually
unscheduled). The group carrying out the tour should include managers from the area being inspected and
possibly worker representatives, safety specialists, occupational health specialists, engineers, and workers from
the area.
 One of the objectives of the tour is to raise the profile of HS and to demonstrate management interest and
commitment.
 Safety observation tours can also be used to monitor the way that workers are behaving - these are known as
behavioral observations. Once behaviors are observed, feedback (positive and negative) is given to the worker so
that the organization and operator can learn from the process.

ARRANGEMENTS FOR WORKPLACE INSPECTIONS

Certain factors must be considered before the introduction of a workplace inspection system, including:

 The type of inspection - inspections are carried out for several different reasons and they examine different
aspects of safety in the workplace. Is this a statutory inspection to ensure legal compliance? A general workplace
inspection that looks at plant and premises? A pre-start inspection for an item of machinery?
 The frequency of inspection - likely to be determined both by the type of inspection and the level of risk. For
example, a general workplace inspection might be conducted in an office once a month, but once a week in a
workshop environment to reflect the higher risk. The frequency of statutory inspections is normally determined
by the relevant law. Pre-start checks should usually be carried out at the start of every shift.
 Allocation of responsibilities - those responsible for ensuring that inspections take place should be identified, as
should the employees who will be carrying out the inspections.
 The competence and objectivity of the inspector - an essential characteristic of whoever is conducting the
inspection; the person should have the necessary training, knowledge, and experience. In some instances,
certification to a specific standard will be required; in other situations, all that is necessary is an understanding of
the workplace, health, and safety

Factors to take into account when determining the frequency of inspections:

 Statutory 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.

Typical topic headings that might be included in a generic inspection checklist:

 Fire safety - including emergency escape routes, signs, and 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.

Health surveillance

Monitoring 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 the effectiveness of controls.

Benchmarking

The comparison of an organization's performance with others in the industry or sector is known as «benchmarking".
This indicates how well the organization is performing compared with similar companies.

Reactive monitoring

Reactive monitoring uses incidents, ill-health, and other unwanted events and situations as indicators of HS
performance to highlight areas of concern.

By definition, this means "reacting" after things have gone wrong. This indicates two weaknesses with reactive
monitoring:

 Things have already gone wrong: things are being put right after the event rather than before.
 It measures failure, which is a negative aspect to focus on.

Despite these weaknesses, reactive monitoring is a valid tool for an organization to use as long as some form of
active monitoring is being carried out as well.

Reactive monitoring can be carried out by learning lessons:

 From one individual event such as an accident, a dangerous occurrence, a near miss, or a case of ill-health.
Involves event reporting, recording, and investigation
 From data gathered from large numbers of the same types of events. Concerned with the collection and use of
statistics
 Statistics

Data can be collected and reported about several different unwanted events such as:

 Accidents.
 Dangerous occurrences.
 Near misses.
 Cases of ill-health.
 Complaints from the workforce.
 Enforcement action.
 This data can then be analyzed to see if there are any:
 Trends - consistent increases or decreases in the number of certain types of events over some time.
 Patterns - collections or hot spots of certain types of events.

This analysis usually involves converting the raw data (i.e. the actual numbers) into an accident rate so that more
meaningful comparisons can be made.

HS auditing

Definition

"The structured process of collecting independent information on the efficiency, effectiveness, and reliability of the
total HS management system and drawing up plans for corrective action”.

A shorter definition might be that auditing is the "systematic, objective, critical evaluation of how well an
organization’s management system performed by examining evidence". HS audits share many common features with
financial, quality, and environmental management audits; the basic principles are the same.

SCOPE AND PURPOSE OF AUDITING

Auditing is a mechanism for verifying that an organization's safety management system is in place and operating
effectively. It will check that:

 Appropriate management arrangements are in place.

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

THE DISTINCTION BETWEEN AUDITS AND INSPECTIONS

An audit focuses on management systems:
 It 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.
An inspection is a simpler process of checking the workplace for uncontrolled hazards and addressing any that
are found.
Typical information examined during an audit:
 HS policy.
 Risk assessments and safe systems of work.
 Training records.
 Minutes of safety committee meetings.
 Maintenance records and details of failures.
 Records of HS monitoring activities, 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 AND INTERNAL AUDITS

Audits are often carried out by safety specialists from outside the organization; in-house staff can also do them. In
many instances, both types of audits are carried out at different frequencies by the organization. There are
advantages and disadvantages to both types.

Investigating incident

Role and function of investigations

When an accident, or some other type of incident, occurs in the workplace it should be investigated and the
investigation recorded. Incident investigations are an example of a reactive monitoring measure.

There are many reasons for conducting investigations, but one of the most important is that having happened once,
an accident may happen again; and when it happens again the outcome may be as bad as, or worse than, it was the
first time. It is therefore important to understand exactly why the accident occurred so that corrective action can be
taken to prevent a recurrence.

Reporting incidents:

 To 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 incidents:

 To 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 compensation claim 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 organization 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 organization has to discipline a worker because their behavior 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.

BASIC INVESTIGATION PROCEDURES

1. When investigating an accident or other types of incidents there are some basic principles and procedures that
can be used:

 Step 1: Gather factual information about the event.

 Step 2: Analyze that information and conclude the immediate and root causes.
 Step 3: Identify suitable control measures.
 Step 4: Plan the remedial actions.

However, before the investigation can begin two important issues should be considered:

Safety of the scene - is the area safe to approach? Is immediate action needed to eliminate danger even before
casualties are approached?

Casualty care - any injured people will require first aid treatment and may need hospitalization. This is, of course, a
priority. It is also worth considering the welfare of uninjured bystanders who may be in shock.

Step 1: Gathering Information

 Secure the scene as soon as possible to prevent it from being altered.

 Collect witnesses' details quickly, before they start to move away. In some cases, it may help to remove witnesses
from the scene and ask them to wait in a separate area. If there are many witnesses it may be better to separate
them from each other to prevent collusion or contamination of their testimony.
 Collect factual information from the scene and record it. This might be done using:
o Photographs.
o Sketches.
o Measurements.
o Videos.
o Written descriptions of factors such as wind speed, temperature, etc. Taking physical evidence.
o Marking up existing site/location plans.

The investigator should come prepared with the appropriate equipment to record this information.

Once the scene has been thoroughly examined, move on to the second source of information: witnesses.

Witnesses often provide crucial evidence about what occurred before, during, and after incidents. They should be
interviewed carefully to make sure that good quality evidence is gathered.

Good witness interview technique requires that the interviewer should:

 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 emphasizing 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.

Once witnesses have been interviewed, move on to the third source of information: documentation. Various
documents may be examined during an accident investigation, such as:

 Site plans, and area layout plans.

 Company policies.
 Risk assessments.
 Training records.
 Safe systems of work.
 Permits-to-work.
 Maintenance records.

Step 2: Analyzing Information

The purpose here is to conclude the immediate and root causes of the incident.

Immediate causes are the unsafe acts and unsafe conditions that gave rise to the event itself.
These will be the things that occurred at the time and place of the accident.

For example, a worker slips on a patch of oil spilled on the floor - immediate causes: the slip
hazard (unsafe condition), and the worker walking through it (unsafe act).

Underlying or root causes are the things that lie behind the immediate causes. Often root causes will be failures in
the management system, such as:

 Failure to adequately supervise workers. Failure to provide appropriate PPE. Failure to provide adequate
training.
 Lack of maintenance.
 Inadequate checking or inspections.
 Failure to carry out proper risk assessments.

Step 3: Identify Suitable Control Measures

Once the immediate and underlying causes of the accident are known, appropriate control measures can be
identified. The correct control measures must be established, otherwise time, money and effort will be wasted on
inadequate and unnecessary measures that will not prevent similar occurrences in the future.

Control measures must be identified to remedy both the immediate and underlying causes. Immediate causes are
usually easy to identify - if there is a spill of oil on the floor, clean it up; if the guard is missing from the machine,
reattach it.

Step 4: Plan the Remedial Actions

An accident investigation should lead to corrective action being taken, in

just the same way as a workplace inspection will. Remedial actions can be
presented in an action plan:

When the action plan is being prepared appropriate immediate and interim
control measures must be given suitable priorities and timescales

The contents of a typical incident investigation report may include:

  Date 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 organization.

Recording and reporting incidents

Work-related incidents should be reported internally by workers to management. The system that is put in place by
an organization to allow for this should be described in the Arrangements section of the organization’s safety policy.

Reasons why workers might not report accidents:

 Unclear organizational 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 management's 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.

Typical contents of an internal accident record:

 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 the person completing the record.
 Signatures.