SPPE 1033

WORKSHOP SAFETY AND

MANAGEMENT

WEEK 5

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AGENDA
Class lecture – Health and safety
management systems 4 – Measuring,
audit and review

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 Learning Objectives
1. Outline the principles, purpose and role of active and reactive
monitoring
2. Explain the purpose of, and procedures, for health and safety
auditing
3. Explain the purpose of, and procedures for, investigating
incidents (accidents, cases of work-related ill-health and other
occurrences)
4. Describe the legaland organizational requirements for
recording and Reporting incidents
5. Explain the purpose of, and procedures for, regular reviews of
health and safety performance.

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 Active and Reactive Monitoring
There are two basic types of monitoring:
 Active or proactive monitoring, by taking the
initiative before things go wrong, involves
routine inspections and checks to make sure
that standards and policies are being
implemented and that controls are working.
 Reactive monitoring, after things go wrong,
involves looking at historical events to learn
from mistakes and see what can be put right to
prevent a recurrence.
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 Why measure performance?

Measurement is an accepted part of the ‘plan-

do-check act’ management process. Measuring
performance is as much part of a health and
safety management system as financial,
production or service delivery management.

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What to measure

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 What to measure
 Input: monitoring the scale, nature and
distribution of hazards created by the
organization’s activities – hazard burden.
 Process: active monitoring of the adequacy,
development,implementation and deployment
of the health and safety management system –
measures of success.
 Outcomes: reactive monitoring of adverse
outcomes resulting in injuries, ill health, loss and
accidents – measures of failure
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 Active or Proactive monitoring –
how to measure performance
1) The Safety Management System (SMS) Audit is a
major exercise, typically carried out every 2 – 4
years, as a means of assessing the adequacy of
the whole organization’s SMS. It addresses all
aspects of safety management in a structured
manner, using written questions e.g. this textile
audit with answers being confirmed by a review
of records, staff interviews, and observation of
workplaces and operations.

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 Active or Proactive monitoring –
how to measure performance
2) The Safety Survey is usually a detailed
assessment of one aspect of an organization’s
SMS e.g. the organization’s training
arrangements.
3) The Safety Inspection consists of a formal
assessment of workplace safety, and the
identification of hazardous conditions or
practices, for subsequent remedial action. It is
normally carried out by first line managers
referring to, and completing a checklist.
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 Active or Proactive monitoring –
how to measure performance
4) The Safety Tour addresses the ‘people’ aspects
of workplace safety, and by discussions with a
range of staff, establishes their familiarity with
safety procedures and requirements.
5) Safety sampling is a helpful technique that
helps organizations to concentrate on one
particular area or subject at a time. A specific
area is chosen which can be inspected in about
30 minutes. A checklist is drawn up to facilitate
the inspection looking at specific issues.
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 Safety inspections
The checklist could be structured using the ‘four Ps’
Premises, including:
 work at height; access
 working environment; welfare
 services; fire precautions
Plant and substances, including:
 work equipment
 manual and mechanical
handling; vehicles
 dangerous/flammable
substance; hazardous;
substance
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Procedures, including:
 risk assessments; safe systems
of work; permits to work;
personal protective equipment
 contractors; notices, and signs
People, including:
 health surveillance; people’s
behaviour; training and
supervision
 appropriate authorized persons
 violence; those especially at
risk.
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 Effective report writing
Five factors which help to make reports effective
are:
 structure;
 presentation of arguments;
 style;
 presentation of data;
 how the report itself is presented.

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 Measuring failure – reactive monitoring
Reactive monitoring arrangements include systems
to identify and report:
 injuries and work-related ill;
 other losses such as damage to property;
 incidents, including those with the potential to
cause injury, ill health or loss (near misses);
 hazards and faults;
 weaknesses or omissions in performance
standards and systems

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Health and Safety Auditing

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 Audits – purpose
The process of auditing involves:
 gathering information from all levels of an
organization about the health and safety
management system;
 making informed judgements about its
adequacy and performance.

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Investigating incidents

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Types of incident or adverse events

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Incident investigation procedures

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 Incident Causes and Analysis
Immediate causes:
Personal factors:
 behaviour of the people involved (unsafe acts)
 suitability of people doing the work
 training and competence.
Task factors:
 workplace conditions and precautions or controls
 actual method of work adopted at the time
 normal working practice
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 Incident Causes and Analysis
Underlying and root causes:
Underlying causes:
 pre-start-up machinery has not been checked
 the hazard had not been considered
 there was no suitable method statement
Root causes:
 quality of the H&S policy and procedures;
 quality of consultation of employees;
 the adequacy and quality of communications
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 Recording and reporting incidents
 Death or major injury
 Over 3-day lost time injury
 Disease
 Dangerous occurrence

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 Review of Health and Safety Performance
In a review, the following areas will need to be
examined:
 the operation and maintenance of the existing
system;
 how thesafety management system is designed,
developed and installed to accommodate
changing circumstances

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