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Nebosh Certificate Measuring ,Audit and Review 1


Issue March 2012

5.1 Outline the principles, purpose and role of active and reactive monitoring 5.3 Explain the purpose of, and procedures for, investigating incidents (accidents, cases of work related ill health and other occurrences) 5.4 Describe the legal and organisational requirements for recording and reporting incidents

the principles, purpose and role of active and reactive monitoring

Why Monitor performance?

Aim to provide a complete picture of an organisations health and safety performance Two types of monitoring
Pro-active or active monitoring Reactive monitoring

Plan do check act (HSG65) Aim to achieve set targets Continuous improvement

Effective Risk Control

A H&S Management system comprises of 3 levels of control Input monitoring
Inspections measure of the scale of hazards

Process :active monitoring

Control measures - adequacy , implementation

Outcomes: reactive monitoring

Means of failure - injury /ill health or loss

Reactive monitoring
Using accident, incidents and ill health as indicators of performance to highlight areas of concern. Weaknesses of reactive monitoring are: Things have already gone wrong and things are being put right after the event. It measures failure, and therefore is a negative aspect to focus on.

Reactive monitoring
Examples: Accident , ill health, injury statistics. RIDDOR reports. Property damage Near miss reports Weaknesses or omissions in performance standards Workplace complaints Enforcement action

Difficulties of Reactive monitoring

Under reporting? Luck or a reduction in numbers of persons exposed Injury may not reflect potential severity Unrelated workplace absences Small number of accidents may lead to complacency Injury stats demonstrate outcomes not causes

Data can be analysed to see: If there are any trends over a period of time Any patterns of hotspots within certain types of events Analysis usually involves converting the raw data into an accident rate so more meaningful comparisons can be made

Accident Incident Rate (AIR)

AIR= Number of accidents (during a specific time) x1000 Average number of workers (over the same period) = Accidents per 1000 workers

Example AIR
Large factory has 20 lost time accidents in one year and 35 the next year.
Year I has 800 employees Year 2 has 1500 employees

Calculate the AIR for each year.

Pro active Monitoring

Used to ensure that health and safety standards are correct in the workplace BEFORE accidents, incidents or ill health occur. Measurement process can gather information by: Direct observation of conditions and behaviour Interviewing people to obtain facts and views Examining written reports, documents and statutory records

Performance Standards
Number of risk assessments completed Provision of training taken up Actions of outstanding issues Completion of inspection schedule Contractors to have risk assessments on site

Systematic Inspections

Plant Premises Procedures People

Distribution warehouse example

Daily inspection PLANT Weekly inspection PEOPLE Where forklift drivers inspect their vehicles at the start of the day Supervisors check that forklift trucks are being driven safely

Monthly inspection PREMISES 6 monthly examination PLANT

Annual Inspection PREMISES

Manager checks the entire workplace for housekeeping Thorough examination by competent engineer on loadbearing parts of the forklift trucks
Of storage racking to ensure structural integrity

The Inspection Process

Purpose of inspection
Legal compliance General workplace Targeted areas


Daily Weekly Annually

Responsible Persons

To instigate and use the information To undertake the inspection To participate

The Inspection Process

Authority Training/Qualifications Aware of own limitations

The inspection

Handwritten PDA/electronic Checklist Correct focus on target areas

Recorded correctly Responsibility for priority actions Timescales Effective report writting

The Findings

Factors to consider for inspections

Type of inspection Frequency of inspection The responsibilities for inspection The competence of the inspector The use of checklists Action planning for problems found The effectiveness of the written report

Types of Pro-active monitoring

Safety Survey Safety Tour Safety Sampling Safety Inspection

Safety Survey
Detailed inspection of a specific field of activity or an in depth study of the whole health & safety operation of a premises

Noise survey, staff survey, structural survey

Safety Tours
Can take place in specific workplace areas & involve Managers, Supervisors & Safety Representatives HIGH PROFILE
Senior Management

Raises the profile of health and safety and demonstrates management interest and commitment

Safety Sampling
An organised system of random sampling which aims to obtain a representative measure of safety attitudes & possible sources of accidents Predetermined route of short duration Look at one particular area or issue (safety hats) Record and act on the results Compliance with fire extinguishers maintained, sited correctly and records kept

Safety Inspection
Scheduled inspection of workplace/work process looking at the physical conditions
Identifies areas where improvements are needed

Some inspections may be statutory

Safety Inspection
Types of Inspection:
Statutory - Lifting equipment, pressure systems External - Insurers, enforcement officers Internal - Managers, safety representatives Introductory - New equipment or processes (these may be statutory under PUWER)

Safety Inspection
Suggestions for an inspection:
Know who is inspecting Know why inspection is needed Know where to inspect Know when inspection is needed Know what to inspect What are the standards - BSI, ISO, CEN etc What are statutory requirements - Regulations?

Safety Inspection
Suggestions for an inspection
Use a check-list Write everything down Read previous reports Ask questions, particularly workers Follow up any problems with remedial action to prevent reoccurrence

Safety Inspection
Inspection Check-List

Housekeeping Electrical safety Provision & use of PPE Storage & use of hazardous substances Manual handling Environmental conditions

Safety Inspection
Inspection Check-List Condition of traffic routes Machinery Internal transport Safety signs Emergency facilities Welfare facilities

Frequency of monitoring and inspections

Level of risk (office-nuclear plant) Statutory requirements Consider data from reactive monitoring
Once completed issue a report highlighting recommended actions.

Effective Report Writing

Formal Concise Jargon free Factual Persuasiveness

The Report Structure

Title page Introduction Executive summary Main body Conclusions Recommendations

Conciseness and persuasiveness

Learning Objective 5.1

You should be able to outline the principles , purpose and role of active and reactive monitoring

5.3 Investigating Incidents

the purpose of, and procedures for, investigating incidents (accidents, cases of work related ill health and other occurrences)

Cost of accidents

Costs of Accidents
1995/6 1 million injuries at work Based on HSE accident figures, cost to British economy of accidents at work was between 9.9 & 14.1billion. This averages out to between 300 & 400 of income tax bill per person in employment

Personal Costs of Accidents

Mental strain Suffering Loss of earnings Extra expenditures Possibility of continuing disability Possible loss of life Incapacity for some work Loss of leisure activities Effects on family

This amounted to over 7 billion in 1995/6 Only 432 million was recovered in civil actions

Costs to Companies of Accidents

Plant equipment damage Loss of a skilled worker Loss of production/ profit Expense of re-training or replacement Time lost by effect on other workers Increased insurance premiums 3.5 - 7 billion

Costs to Companies of Accidents

Legal implications (criminal & civil) both in cost & reputation Exploitation by competitors Bad publicity Loss of share value Costs of investigations Overtime costs

Costs of Accidents- Insurance

Employers liability (Compulsory Insurance) Act 1969 - minimum 5 million Product liability Public liability Professional indemnity Contractors all-risk Design liability Buildings & contents

Costs of Accidents (accident iceberg)

Cost of Accidents HSE Research 5 Case Studies:
Construction Site Creamery Transport Company Oil Platform NHS Hospital

Construction Site
Construction of Supermarket 12 month project Total losses of 700,000 Equates to 8.5% of tender price Insured to Uninsured = 1:11

Manufacture of dairy products 340 staff Total annual costs 975,336 Equates to 1.4% of total operating costs Insurance to Uninsured = 1:36

Transport Company
Fleet of tankers 80 employees 65 vehicles Total annual loss 48,928 Equates to 37% of annual profits Insurance to Uninsured = 1:8

Oil Platform
North Sea 100 staff on platform Total annual loss 3,763,684 Equivalent of shutting down the platform one day a week Insurance to Uninsured = 1:11

HSE Example
Small engineering firm (15 workers) Workers sleeve caught on rotating drill Both bones in lower arm broken 12 days in hospital Off work for 3 months Admin duties for 5 months Unable to operate machinery for 8 months Managing Director Prosecuted 2 employees made redundant to prevent company going out of business

HSE Example
Write down the costs relating to this accident
Headings and Financial value for each

Costs to Company
Wages for injured worker over period Lost production/remedial work required Overtime wages to cover lost production Wages for replacement worker Loss of time of manager/MD Legal expenses Fines and court costs Increase in Insurance Premiums = 10000 = 8000 = 3000 = 7000 = 4000 = 3000 = 4000 = 6000

Total cost to business = 45000

Accident causation

What is an Accident?
An unplanned, uncontrolled or unintentional act that may result in injury, damage or loss

Three Accident Ratio Studies

Heinrich 1950 Bird 1969 Tye and Pearson 1974/5

1 30 45
115 200

Major/lost time

Serious or disabling

Fatal or serious


Over 3 day injury

No injury

Property damage
Near Miss

First Aid

Property damage

Near Miss

What Happens Next?

A brick falls from a scaffold, hits an employee on the head & kills him A brick falls from a scaffold, hits an employee on the shoulder causing severe bruising A brick falls from scaffold to the ground, nobody noticed it.

Accident Causation
Immediate (primary/direct) causes of an accident Usually a combination of: Unsafe Acts (fault of person)

Unsafe Conditions (poor working environment)

Accident Causation
Examples of unsafe acts
Working without authority Failure to warn others of danger Leaving equipment in dangerous condition Using equipment at wrong speed Disconnecting safety devices Using defective equipment Using wrong equipment for wrong task Failure to use or wear PPE Horseplay/skylarking

Accident Causation
Examples of unsafe conditions
Inadequate or missing guards Inadequate fire warning systems Fire hazards Poor housekeeping Excessive noise Poor illumination or ventilation Inadequate supervision Untrained workforce

Accident Causation
Root (secondary/indirect) causes of an accident Starts the accident chain Management pressures
Lack of finance Lack of policy Lack of commitment Poor standards Lack of knowledge or qualification

Accident Causation
Root (secondary/indirect) causes of an accident
Social pressures
Group pressures Trade customs Tradition Acceptable behavior

Example of Accident Causation Tree Diagram

Example Late for an appointment, Mr. Smith slips on a patch of oil. The accident report form would typically be completed as follows:Oil cleaned up with granules, Mr Smith, suffered a broken ankle. He should take more care in future

Theories of Accident Causation Tree Diagram

Sub cause Poor training Peer pressure Poor supervision Cause Accident Injury

Unsafe Act
Visitor slips
Oil leak

Broken ankle

Poor monitoring of area

Poor staff consultation

Unsafe condition

Example of Accident Causation Tree Diagram

Root cause - Lack of management control If management get things right in the beginning, you can eliminate or reduce the Root causes that lead to the immediate causes

Benefits of Good Health & Safety Management

Reduces accidents Less ill-health Less absenteeism Less early retirement Better morale Reduced costs No lost production No loss of key personnel

Benefits of Good Health & Safety Management

No investigation costs - time, effort, money No staff replacement Lower insurance premiums No equipment damage or replacement No legal costs or fines Better product quality Better resource allocation Better employee & public relations


Accident Investigation
Purpose To establish true causes (immediate & root) of an accident in order to prevent a reoccurrence. To establish economic losses & extent of legal compliance. To obtain sufficient information in order to defend a legal claim

Who Might Want to Investigate?

Employer Trade Union Safety Representative Enforcing authority HSE/EHO Insurance company Police

Types of incident
Near Miss Damage Accident

Dangerous Occurrence Ill-health Injury Accident

Accident/Incident Reporting
All accidents/incidents should be reported Why? Enables performance to be monitored Its the starting point of an investigation Provides information for a civil claim Prompts a need to review risk assessments A RIDDOR requirement

Reasons for Incident Investigating

Identify immediate and root causes Identify corrective action to prevent reoccurrence To record the facts of the incident Legal requirements Claim management For staff morale Disciplinary procedures Data gathering purposes

Basic Investigation Procedures

1. 2. 3. 4. Gather factual information Analyse and draw conclusions Identify suitable control measures Plan the remedial actions

Immediate Action in the Event of an Accident

Deal with immediate risks - first aid, fire etc. Do not move anything other than casualty Fence off area Inform head office, if off company premises Inform HSE/EHO by quickest means Inform next of kin

Immediate Action in the Event of an Accident

Take photos/videos if possible Take names & statements of witnesses Collate documentary evidence Record accident in accident book Complete company accident form Complete & dispatch statutory reporting requirements (RIDDOR)

Long term Actions in the Event of an Accident

Investigate to prevent re-occurrence Determine immediate & root causes Revise safe system of work if necessary Consider extra training, information, instruction & supervision Revise health & safety policy

Accident Investigation
Four main points: Personal factors
disability, illness, state of mind

Environmental factors
lighting, temperature

Dangerous conditions
machinery maintenance, work pressures

Safe system of work

did one exist & was it used?

Re-active Accident Prevention

Definition - assessing past failures to control risks Accident investigation Incident investigation Accident & ill-health records Records of civil claims Records of enforcement actions

Monitoring Performance Accident Data

Common statistical formulae:
Accident Incident rate = No. of injuries x 1,000 Average no. employed during the period Accident Frequency rate = No. of injuries x 100,000 Total no. of hours worked

Monitoring Performance Accident Data

Common statistical formulae
Severity rate = Total no. of days lost x 1,000 Total no. of hours worked

Accident Investigating
Watch the next video and write down: Unsafe Behaviour Unsafe Conditions Recommendations

Accident Investigating
Unsafe behaviours
1. 1 man was loading 2. Standing in front of feed table 3. Allowed glove to get caught bin the roller

Unsafe Conditions
1. Feed controller not activated to low down 2. No emergency stop button fitted

1.No single working at feed table 2.Load at the side of the feed table

Accident Investigating
Watch the next video and write down: Unsafe Behaviour Unsafe Conditions Recommendations

Accident Investigating
Unsafe behaviours
1. Hook lifeline incorrectly not fitted to the fixed mount 2. Hammering handle 3. Poor supervision

Unsafe Conditions
1. Chain block replaced failed electric winch 2. Tackle not certified or in good order 3. No PtW or Risk Assessment or controls in place 4. Slack allowed in chain 5. Brake unable to work 6. Stopper safety plate removed

Accident Investigating
1. Supervision to ensure safe working practices such as: 1. Correct fixing of harness 2. Stop hammering 2. Introduce regular safety inspections of equipment. 3. Stop work until equipment is replaced/repaired to standard 4. Introduce and monitor safe systems of work 5. Complete risk assessment and ensure control measures are used 6. Do not allow safety equipment (stopper plate ) from being removed

Learning Objective 5.3

You should now be able to describe the purpose of, and procedures for, investigating incidents.

Recording and Reporting incidents

the legal and organisational requirements for recording and reporting incidents

Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 95 (RIDDOR)

Recording and Reporting incidents

Accident book B510 where more than 10 people are employed Anyone injured is required to report the accident The employer is required to investigate the cause of the accident if they discover anything that differs from that specified by the employee Information is available in the event of a liability claim Legal requirement (under social security legislation)

Why accidents may not be reported

Unclear organisational policy Lack of training on policy and procedure No reporting system in place Overly complicated reporting procedure Excessive paperwork Takes too much time Blame culture Apathy

Accident Report
Should state: Date & time of accident Personal details Type of accident & injury Circumstance surrounding the accident Immediate causes

Accident Report Continued

Should state: Root causes Witness details Recommended corrective action Costs Review of policy

Reporting of Injuries, Diseases & Dangerous Occurrences Regulations 1995 (RIDDOR)

Objectives: To provide enforcing authorities with information on specific injuries, diseases & dangerous occurrences arising from work To bring the most serious injuries to the attention of the authorities quickly

RIDDOR - Immediate Reporting Requirements

Report to HSE Only Fatal accidents and major injuries and incidents are reportable by phone 0845 300 9923 All other reportable work related injuries and incidents reported by one of 7 online forms.

RIDDOR online forms

F2508 Report an injury F2508 Report a dangerous Occurrence F2508A Report of a Case of Disease OIR9B Report an Injury Offshore OIR9B Report a dangerous Occurrence Offshore F2508G1 Report of a Flammable Gas Incident F2508G2 Report of a Dangerous Gas Fitting

RIDDOR - Reporting Requirements

Minor injuries resulting in being unfit for work for more than 7 days, (including non working days) to enforcing authority on F2508 within 15 days Where victim is member of public & is taken to hospital, occupier reports Where employee suffering injury or condition, died within one year as a result All accidents must be recorded in the accident book Keep records for 3 years after date of last entry

RIDDOR - Major Injuries

Fracture of skull, pelvis, arm, leg, hand, foot but not toes or fingers Amputation Loss of sight in an eye/penetrating injury Loss of consciousness due to electric shock Loss of consciousness due to lack of oxygen Decompression sickness Any other injury resulting in victim being admitted to hospital for more than 24 hours

RIDDOR - Dangerous Occurrences

Collapse, overturning, failure of lifts, cranes, hoists etc Explosion, collapse or bursting of any closed vessel Electrical short circuit or overload causing fire or explosion Explosion or fire causing work to cease for more than 24 hours Uncontrolled release of 1 tonne or more of HFL Complete/partial collapse of any scaffold over 5 metres high Collapse of building or structure under construction

RIDDOR - Diseases
Certain poisonings Skin diseases e.g. skin cancer, chrome ulcer, oil folliculitis/acne Lung diseases e.g. occupational asthma, extrinsic alveolitis, pneumoconiosis, mesothelioma Biological infections e.g. leptospirosis, hepatitis, T.B, anthrax, Other conditions e.g. Occupational cancer, cataracts, decompression sickness, VWF

RIDDOR - Diseases continued

Determining if a disease is reportable: Linked to work activities Send worker to doctor/specialist for confirmation Upon confirmation, that the disease is defined under Schedule 2 of the regulations

Learning Objective 5.4

You should now be able to the legal and organisational requirements for recording and reporting incidents.

Any Questions?