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Learning Outcomes
Management of International
Health and Safety • Outline the principles, purpose and role of active
and reactive monitoring.
Element 4: Health and Safety • Explain the purpose of, and procedures for,
Management Systems – CHECK investigating incidents (accidents, cases of work-
related ill health and other occurrences).
• Describe the legal and organisational
requirements for recording and reporting
incidents.

Monitoring

Its measuring or monitoring performance is an essential

step of managing any aspect of business to identify
strengths and weakness and measure progress against
Unit IGC 1: Element 4.1 objectives.

Active and reactive monitoring

ACTIVE AND REACTIVE Performance measurement techniques fall into two
MONITORING broad categories:

Active (pro-active) monitoring: monitors organizational

progress in health and safety.
Reactive monitoring: monitors organizational failures.
©© RRRC R CI nt
Intern ati onal
er nat ional

Safety Inspection: It’s a physical Examination of workplace by

a snapshot process to asses the safety standards. Eg:
statutory inspection, routine inspection for plant and
Proactive monitoring Reactive Monitoring machinery, pre-use checks, periodical inspection by
competent person
• Safety inspections • Incident investigations
• Safety survey • Data on accidents Safety Sampling: This is a random sampling exercise in which
observers follow a pre-determined route usually at normal
• Safety tour • Claim records walking pace and note any omissions or non-compliances
• Safety sampling • Data on ill health .Its less time-consuming
• Benchmarking • Complaints from work Safe ty Su rvey: It is normally carried out by a specialist who
will focus on specific topics or asked to report on the main
• Health surveillance force strengths and weaknesses. Eg: Noise assessment survey
• Safety audits • Enforcement Actions
Safety Tour:A safety tour is an unscheduled (usually)
examination of the workplace to assess whether or not
acceptable standards of housekeeping, safe access, PPE, fire
precautions are being maintained.

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• Health Su rveillance: Periodical & pre-employmen t

medical screening carried out to iden tify any h ealth Performance Standards
problems among the employees at a early stag e &
throughout th e tenure of employment to reduc e
Conformance/non-conformance with
health risks
• Benchmarking: It’s an effective management tool that
standards:
compares performance standards with other • Number and quality of risk assessments.
organisations in the same sector so as to improve the
system. All data are to be kept confidential • Health and safety training to schedule.
• Safety audit: It is a process of detailed examination of • Consultative committee meetings to schedule.
every element of a health and safety management
system to identify the issues so as to improve the • Workplace inspections to schedule.
system.

Systematic Inspections Other (Pro)active Monitoring Methods

Observation Plant • Machinery.

• Vehicles. • Health Surveillance
Premises • Workplace. - Monitoring worker health – a proactive
• Environment.
measure.
Interviewing People • Working methods.
- Shows effectiveness of controls.
• Behaviour.

Examination Procedures • Safe systems.

• Method statements. • Benchmarking
• Permits-to-work. - Comparison to other organisations.
- Can compare between sectors.

Example Inspection System Types of inspections

• Routine inspection of a workplace done by a competent
Bank head office: person to determine if general standards of health and
safety are acceptable or if corrective action is necessary.
• Purpose – monitor H&S standards.
Eg: Scaffolding Inspector inspecting scaffold weekly
• Frequency – monthly. • Statutory inspection of an item by a competent person to
• Persons responsible – managers at different fulfill a legal requirement. E.g. the annual thorough
examination of an item of lifting equipment
levels.
• Periodic inspection of plant and machinery as part of a
• Competence – one-day course. planned maintenance program. E.g. Periodic change of oil
or worn out parts of an equipment
• Inspection checklist – general checklist – tailored,
• Pre-use checks are visual inspections carried out by
if required. workers before they use certain items of plant and
• Follow-up arrangements – an action plan. machinery. E.g. the start up checks carried out by a forklift
truck operator

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Workplace Inspections
Factors to consider:
Advantages of checklist:
• Type of inspection.
• Frequency of inspection.
• Pre planned actions.
• Allocation of responsibilities.
• Structured and systematic.
• Competence of the inspector.
• Nothing is left out.
• Objectivity of inspection
• Use of checklists. • Documented on spot.
• Action planning for problems found. • Consistent approach.
• Training for inspectors. • Easy method for comparison and audit.
• Legal requirement • Documentary evidence.
• Weakest sector/area

Disadvantages of checklist:
• Inspector may only deal with the points on the •
checklist.
• Possibility of tunnel view approach
• Creativity / innovation may be lost
• Knowledge / skill may not be fully utilized
• Inspections may become routine and monotonous.
• Inspection procedure maybe subjected to abuse and
misuse.
• No probing questions, only closed questions
Frequency of inspection
• Type and nature of activity/equipment and risk level
Manufacturers’ recommendations
• Initial integrity/soundness of the equipment
• Compliance with statutory requirements
• The distribution of the workforce
• The results from previous inspections and audits
• Company’s record of compliance with established standards
• Recommendations from risk assessments
• Accident history and the outcomes of accident investigations
• Enforcement action taken or advice given by authority
• Introduction of new equipment, processes or technology
• Requirements from insurance companies
• Consultation with or as a result of complaints from workers

Group Syndicate Exercise Workplace Inspections

In groups, list the topic headings that should Typical topics:

be included on an inspection checklist for use • Fire safety.
in your workplace. • Housekeeping.
Design a rough format for the inspection • Environment issues.
checksheet. • Traffic routes.
• Chemical safety.
• Machinery safety.
• Electrical safety.
• Welfare facilities.

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Allocation of Responsibilities Effective Report-Writing

Style – formal, free of jargon or slang, factual, persuasive,
Inspections must follow through into action. clear, concise.
Structure – executive summary, introduction, main body,
recommendations, conclusions.
Content – significant findings, evidence of findings.
Justified recommendations – moral, legal, economic
Action required Responsible person Date Due
arguments, action plan.
Repair damaged Maintenance By 15 July 2015
fire-extinguisher technician
bracket Recommended action Priority Timescale Responsible
Person
Tidy the office Medium 1 week Office
Supervisor

Bench marking Bench Marking

Advantages
§It is also a useful manage ment tool, which takes Ke y § Identifies KPI (Key Performance Indicators)
Perform ance Indicator (KPI )and compare them externally with § Ensures monitoring procedures are effective
§ Feedback into continual improvement
similar organizations or industry standards, or Internally with
§ Avoid making mistakes by learning lessons from others
other business units or sites
§ Generate management focus, interests and therefore actions and
§ Gains the confidence of stake holders

§In this process organization learn mor e about its st rengths

and weakness and can act on the lesson learned.
Disadvantages
§ Choosing a Company bench mark against that has similar activity,
but is not a close competitor
§ Assuring accuracy of the data
§ Accessing data, which may be spread across several departments
§ Gaining commitment of time consumption

Reactive Monitoring Statistics

• Dealing with things that went Data collected and reported about:
wrong!
• Accidents.
• Accidents, incidents, ill health, • Dangerous occurrences.
other unwanted events and • Near-misses.
situations: • Ill-health cases.
– Highlights areas of concern. • Worker complaints.
– Things that have already gone wrong. • Enforcement action.
– Measures failure. Assist in analysing:
• 2 methods: • Trends – events over a period of time.
– Lessons from one specific event, e.g.
an accident.
• Patterns – hot spots of certain types, e.g. injury.
– Data collected over a period.

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Group Discussion Point Accident Rate

• An organisation has 2 sites carrying out Accident Incidence Rate (AIR)

similar operations. ‘accidents per 1000 workers’
• Site A has 300 workers and has had 10
accidents. Number of accidents during a
• Site B has 150 workers and has had 5 AIR = specific period r 1000
accidents. Average number of workers
during the same period
• Which has the “better” safety
performance?

Use of Statistics Other Reactive Measures

Potential issues: Enforcement actions

• Data may be manipulated.
• Incidents may go unreported.
• Sudden increase in reporting of incidents
can suggest a decrease in performance:
- Could be due to improved reporting.
• Often required during pre-tender
qualifications.
Civil claims
• Total cost of claims can be calculated.
• May be affected by:
- Advertising campaigns.
- Dissatisfaction with organisation.

End-of-Section Quiz

1. What is meant by active monitoring?

2. What is meant by reactive monitoring?
3. Give examples of active monitoring Unit IGC1: Element 4.2
techniques.
4. What topics could be considered in a INVESTIGATING INCIDENTS
general workplace inspection?
5. What are accident rates used for?

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Incident Investigations Types of Incident

Reasons to carry out investigations: • Accident.

• Identify the causes.
• Damage-only incident.
• Prevent recurrence.
• Collect evidence. • Near-miss.
• Legal reasons. • Dangerous occurrence.
• Insurance purposes. • Work-related ill health.
• Staff morale.
• Disciplinary purposes.
• To update risk assessments.
• Discover trends.

Types of Incident Relationship Between

Incident Types
Incident
Published by the Health and Safety Executive and licensed under the Open Government
An unplanned, unwanted event which leads to injury, Licence v1.0: (HSG245)
damage or loss:
• Accident– where the unplanned, unwanted event leads
to some sort of personal injury, e.g. a cut hand.
• Damage only incident – 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. Hazard Near-Miss Injury

Types of Incident
Accident Ratios
Dangerous occurrence:
• A specified event that has to be reported to the
relevant authority by statute law,
• e.g. a major gas leak.
Ill health:
• A disease or medical condition that is
directly attributable to work,
e.g. dermatitis as a result of exposure
to skin irritants.
Frank Bird Accident Triangle

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Level of Investigation Whole Group Activity

• More minor incidents. Discuss the first thing you should do when
• Investigated by line manager/HSE. arriving at an accident scene, and then the
later steps.
• Major incidents, more complex events or
incidents with high potential.
Consider what type of equipment you may
• Investigated by a team: need to assist you.
- Safety specialist.
- Senior manager.
- Technical specialist.
- Worker representative.

Basic Investigation Procedure

Basic Investigation Procedure
Safety of the scene: Step 1
Is the area safe to approach? • Gather factual information.
Is immediate action needed to eliminate danger Step 2
before casualties are approached? • Analyse the information and draw
Casualty care: conclusions.
First-aid treatment. Step 3
• Identify suitable control measures.
Hospitalisation:
Step 4
– Also consider that
by-standers may be in shock. • Plan the remedial actions.

Step 1 - Gathering Information Group Discussion Point

Secure the scene. • You have to interview a witness who has

Identify witnesses. just seen his friend injured at work.
Collect factual
information:
− Photo/sketch.
• Suggest some golden rules that should be
− Measurements.
followed.
− Notes.
− Mark-up plans.
− Samples.
Interview witnesses.
Examine documents.

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Witness Interview Technique Group Discussion Point

Quiet room, no distractions. • To practise using open-questioning

Establish a rapport. techniques, find out what the person
Explain the purpose, not about blame. sitting next to you did last night.
Use open questions, e.g. Who? What? Where? • Try to use only open questions.
When? Why? How?
Keep an open mind.
Take notes.
Ask for a written statement.
Thank the witness.

Document Examination Step 2 – Analysing Information

Site plans.
Immediate causes:
• Company health and safety policy.
• Unsafe acts.
• Risk assessments.
• Induction record • Unsafe conditions.
• Tool box records Underlying/root causes:
• Minutes of meeting • Reasons behind the immediate causes.
• Training records. • Often failures in the management system:
– No supervision.
• Safe systems of work. – No PPE provided.
• Permits-to-work. – No training.
• Maintenance records. – No maintenance.
– No checking or inspections.
• Previous accident reports. – Inadequate or no risk assessments.
• Sickness records.

Group Syndicate Exercise Forklift Truck Accident

Immediate causes:
• A worker is struck by a load • Failure to secure the pallet.
being carried on a pallet • Poor positioning of the truck close
by a forklift truck. to the pedestrian exit.
• Aggressive braking by the driver.
• Inattentive pedestrian steps into
• Outline possible immediate the path of the forklift truck.
and underlying causes Underlying/root causes:
of the accident. • No training for the driver.
• Lack of segregation of vehicles and pedestrians.
• Poor driver induction.
• Poor truck maintenance.
• No refresher training.

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Step 3 – Identifying Suitable Control Step 4 – Plan the Remedial Actions

Measures
Dangerous conditions must be dealt with
immediately.
For immediate causes:
Interim actions may be possible.
• Clean up the spill. Underlying causes will require more complex
• Replace the missing guard. actions:
• Relocate the trailing cable. • Will take time, effort, disruption, money.
For underlying/root causes: • Need for prioritisation.
• More difficult. Recommended action Priority Timescale Responsible

• Need to make changes Introduce induction Medium 1 month Warehouse

training for all new FLT Manager
in management system. drivers

End-of-Section Quiz

1. What are the main reasons for reporting

an incident?
2. What are the main reasons for Unit IGC1: Element 4.3
investigating an incident?
3. Who might investigate a minor injury to a RECORDING AND REPORTING
worker, which had no real potential to be
worse? INCIDENTS
4. Who might investigate a major incident?
5. What are the 4 key steps in incident
investigation?

Internal Incident Reporting Group Syndicate Exercise

Reasons for reporting incidents: What sort of things are likely to hinder good
• To trigger the provision of accident and near-miss reporting?
first aid. What can an organisation do to make it more
• Preserve accident scene. likely that incidents will be reported?
• Enable investigations to be
carried out to prevent
recurrence.
• Legal requirement to report some incidents.
• Record for civil claims.

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Barriers to Reporting Accident Record Contents

• Unclear organisational policy.
• No reporting system in place.
• Culture of not reporting (peer casualty.
pressure).
• Overly-complicated reporting procedures.
• Excessive paperwork.
• Takes too much time.
• Blame culture.
• Apathy – poor management response.
• Management retribution
• Concern over impact on organisation/individuals.
• Reluctance to receive first aid.
• Name and address of
• 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.

Accident investigation Contents Internal and External

• Name, designation, id & address of casualty. Incident-Reporting
• Date, time happened at the time of accident.
• Location of accident.
• Details of injury.
Will depend on the severity:
• Details of first aid treatment given.
Internal External
• Description of event causing injury.
• Directors • Family of the casualty
• Details of any equipment or substances involved.
• Senior managers • External authorities
• Immediate and root causes • Human resources • Insurance companies
• Corrective and preventive actions taken managers • Public relations
• Hospital details and medical care given • Health, safety and advisers
• Witnesses’ names and contact details. environmental advisers • Client/PMC
• Worker representatives
• Details of person completing the record.
• Investigation team and signatures

Externally-Reportable Events Data Collection & Analysis

Ways of Analysis of data:
Some incidents need to be reported to • By the trend in accident/incidence rate over the past 5
regulator by law, e.g.: years?
• By the types of accident?
• Fatality.
• By the types of injury?
• Major injury. • By the cause of injury?
• Dangerous occurrence. • By the times of the day do most accidents occur?
• Disease. • By the part of the body is most frequently injured?
• Lost-time injuries. • By which department has the highest accident rate?
• By the accident-rate trend for a department of the
organization?
• By the location in the workplace?
• By the topic/issue of safety

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Lessons Learnt End-of-Section Quiz

Action taken as a result of incident. 1. Why might an employee not report an

incident?
Published internally as “lessons learnt”: 2. What are the typical contents of an
• Shows company commitment to improving. internal incident-report form?
• Allows improvements to be made. 3. Why are incident data collected?

Maintain confidentiality!

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