1.5 H&S Management systems - Measuring, audit, review Flashcards
1.5 Who might be interested in your company’s H&S performance?
Internal The Board Directors and other senior managers Health and Safety Advisor / Department Line managers and supervisors Health and safety representatives Employee representatives Employees External Enforcement Agencies Shareholders Customers and clients Contractors Suppliers The public Competitors Insurers
1.5 What are the 2 main monitoring methods for H&S?
Active Reactive Workplace inspections Maintenance of plant and equipment Checking documentation such as health and safety records Monitoring air quality Personal monitoring and health surveillance Safety tours by managers Safety audits Achievement of objectives Reporting of accidents and incidents Cases of ill health Statistics Investigation of incidents etc. Employee complaints Sickness absence Cost of accidents Enforcement action Liability claims
1.5 What is reactive monitoring?
This is concerned with the reporting and investigation of incidents, accidents and ill health and includes recording, investigating and examining information.
Much of reactive monitoring is about keeping and analysing records, which can include: • accident report forms; • investigation reports; • sickness absence data; • complaints; • defect reports; and • near miss reports
1.5 What is active monitoring?
Active monitoring is the process of checking day-to-day safety performance against standards and targets. It involves keeping an eye on day-to-day operations and dealing with problems as they arise. This way, dangers and safety issues are identified well before they become incidents or accidents and therefore be managed before they have chance to injure or harm anyone.
Good indicators are:
• objective, easy to measure and collect, and relevant to the organisation;
• able to provide reliable indicators as to the level of performance;
• cost effective in terms of how much effort is needed to collect the information; and
• owned and understood by everyone in the company.
Example of indicators include:
• Number of risk assessments completed as a proportion of the total number required.
• Time taken to implement recommendations after health and safety inspections.
• How well PPE is being used.
• How often safety briefings are held.
• How many people have been trained in health and safety.
1.5 Name different types of active monitoring?
- Inspecting premises, plant and equipment.
- Directly observing people.
- Health and safety tours by managers.
- Health surveillance to detect early signs of illness and disease.
- Personal exposure monitoring of people working with hazardous substances.
- Staff ‘attitude to’ surveys.
These can be generally considered in four categories:
Inspections and tours
• Maintenance staff may routinely check and inspect the building or plant and equipment.
• Insurance engineers regularly inspect certain items of equipment, e.g. lifts, boilers, etc
• Employee safety representatives may carry out an inspection of their own work area.
• Security staff may check the site throughout the day.
• The Safety Advisor may carry out a monthly or quarterly inspection of the workplace.
• The local Enforcement Officer may visit the premises unannounced to carry out an inspection.
Safety tours
These tend to be unplanned, simple tours of a work area or site, generally carried out by a manager or supervisor. They can be similar to inspections but tend to be less formal and unscheduled. The principal aim of a safety tour is to monitor the general working conditions and to ensure that good standards of housekeeping are maintained
Surveys
A survey is a detailed examination of one particular health and safety issue or activity. For example, a survey could be carried out to look at the use of personal protective equipment by employees, or a survey to determine the extent by which staff know about reporting accidents at work.
Safety sampling
Based on randomly selecting a particular work area, the sample is used to note the number and identity of defects or hazards. The time to conduct the sampling is normally limited (e.g. to 15 minutes), with the person carrying it out walking a pre-planned route through the workplace. Safety sampling should be used to note defects concerning:
• housekeeping – e.g. blocked exit routes;
• use of personal protective equipment – e.g. people wearing (or not wearing) eye protection;
• guarding of dangerous equipment – e.g. circular saw guards in place;
• incorrect working practices – e.g. poor lifting technique; and
• Faulty equipment – e.g. damaged tools.
1.5 What are the 4 P’s in monitoring?
Safety inspections should make sure that attention is paid to the following areas (often referred to as the ‘Four Ps’): Premises Plant and substances Access and egress Housekeeping Utilities Working environment Fire precautions Machinery guarding Tools and equipment Local exhaust ventilation systems (LEVs) Use / storage / separation of chemicals / materials Procedures People Safe systems of work Permits to work Use of PPE Health surveillance Behaviours Training and supervision Appropriate authorised people
1.5 What is an audit?
The structured process of collecting independent information on the efficiency, effectiveness and reliability of the total safety management system and then drawing up plans for corrective action…’
Audits can be used by an organisation to review and evaluate the performance and effectiveness of the complete safety system or individual parts of the system.
1.5 What 3 things need to be considered in an audit?
What needs auditing? • The whole system? • A site / department? • A specific health and safety risk? (e.g. permits, fire safety) What to look for? • Policy / procedures • Working practices • People (management, supervisors, staff, third parties) What evidence is required? • Risk assessments completed? • Training records up to date? • Maintenance logs? • General conditions satisfactory? • Safe systems of work followed? • Other records being kept?
1.5 What are the internal and external advantages and disadvantages of auditing?
- Internal – undertaken by trained staff from within the organisation.
- External – undertaken by qualified auditors from a certification company (such as BSI / LRQA carrying out OHSAS 18001 audits) or from an independent Health and Safety Consultant (such as Workplace Law)
Advantages
Disadvantages
Internal
Auditor will have a good knowledge of the organisation, its systems and working practices.
Familiar with the management structure – can action any issues.
Reliable and available resources.
Might have limited knowledge outside of the organisation? Current best practice, what others are doing?
Might not have had any auditing training.
Will they ever be truly ’independent’ – do they need to be? Could end up auditing their own areas?
Time, resources and other day-to-day distractions?
External
Generally have greater and wider experience / knowledge and so may be better placed to make valued judgements. Can talk about other sites they’ve been to and suggest some practical solutions.
More likely to be impartial and therefore independent – no previous bias or views on the organisation being audited.
Generally trained in auditing skills.
An external auditor will take time to get familiar with and understand the organisation.
Might set unrealistic deadlines.
Might be viewed as an ‘outsider’ and people might be hesitant when being audited.
Probably requires the organisation to be well planned – pre audit plan, audit plan, scheduled meetings etc.
Cost and day rates.
1.5 What skills and training do auditors need?
Personal • Ability to communicate • Approachable • Persuasive • Methodical
Knowledge
• Of general health and safety issues
• Of the audit protocol
• Of the organisation
Experience
• Of the organisation
• Of health and safety practice
Ability
- Time management
- Sufficient time to complete the audits
- Report writing
1.5 What are the stages of a safety audit?
Planning • What • When • Who • Where • How Doing • Collection of data • Verification of information Reporting • Verbally • Written reports
1.5 Explain in detail how to plan and carry out an audit?
Planning an audit
- Appointing the auditor / team leader.
- Defining audit objectives, scope and criteria.
- Determining the feasibility of the audit, timescales, logistics, etc.
- Establishing initial contact with the auditee.
- Reviewing relevant management system documents, including policy, procedures, safe systems of work, risk assessments, safety related records, and determining their adequacy with respect to audit criteria.
- Preparing the audit plan.
- Assigning work and schedule.
- Preparing audit checklists.
Undertaking the audit
• Conducting opening meeting.
• Communication during the audit.
• Roles and responsibilities of guides and observers.
• Collecting and verifying information – observations, inspection, documentary evidence, interviews / meetings with relevant staff and managers, discussions and other reports.
• Advising of any urgent / high risk matters.
• Consideration of audit findings.
• Preparing audit conclusions.
• Conducting closing meeting.
• Confirming timescales for reporting.
Reporting
• Preparing the audit report.
• Approving and distributing the audit report.
• Follow up of actions (where applicable).
1.5 How might an auditor prioristise non-conformity?
Major • Imminent harm • Serious dangers • Multiple injuries • Risks will continue until addressed • Significant deviance from the standard • Legal non-compliance? Minor • Minor deviance from the procedures • Collection of data • Verification of information • Record keeping • Documentation updates Observation • Where further information or investigation may be required to solve the query
1.5 What are the key steps to ensure an audit is successful?
- Audits are a management function, working to realistic and achievable objectives, and having adequate resources and commitment to implement the necessary remedial actions.
- An audit team should be appointed either from the management and staff of the organisation, including local area supervisors and employee representatives, or from an external auditing body.
- The area and activities to be audited should be clearly defined to provide guidance to the auditors. A plan should be formulated to ensure all areas are systematically covered in such a manner as not to swamp the remedial facilities.
- The auditors may use checklists accompanied by identification guidelines and route maps to ensure inspection adequacy and consistency.
- Where immediate danger is identified during the audit, verbal reports should be made and suitable remedial actions implemented.
- A written report should be generated to show the situation at the time of the audit.
- Subsequent audits may draw comparisons between current and previous health and safety performance.
- A programme of remedial actions should be drawn up and implemented, with progress reports being generated on a minimum of a monthly basis. This should include any training requirements identified.
- On completion of each remedial action, the situation should be re-evaluated to verify the success of the measures and to identify any problems.
1.5 What is the difference between an accident and an incident
An accident is:
‘An undesired event which has led to a person being injured or equipment / property being damaged.’
An incident is:
‘An event, condition or situation that has not harmed or injured anyone, but had the potential to do so. These events are sometimes referred to as near misses.’
