Element 4 Flashcards
Give definitions of the different methods of measuring H&S performance; Measurements, Monitoring, Auditing, Reviewing
Measurements - can be quantitative or qualitative.
Monitoring involves collecting information, such as measurements or observations, to give management info on performance trends.
Auditing is collecting independent information on the overall efficiency of the health and safety management system and creating corrective action plans
Reviewing is making judgements about performance and deciding on actions to improve.
List the benefits of measuring H&S performance
- identify substandard health and safety practices and conditions
- identify trends of types of accident, injury or illness
- compare performance with targets
- ‘benchmarking’ performance against similar organisations or an industry norm
- evaluate the effectiveness of controls and create actions to rectify
deficiencies - identifying new or changed risks
- assessing legal compliance
- providing the Board of Directors / safety committee with relevant information
- boost morale and motivate the workforce through positive reinforcement on progress
- maintaining external accreditations such as ISO 45001.
Describe the 2 types of monitoring systems.
Active Systems monitor the effectiveness of workplace precautions, RCSs and management
arrangements, and provide leading indicators of performance. They provide leading indicators to warn of future risk.
Reactive Systems monitor accidents, ill health, incidents and other evidence of deficient health and safety performance. (it gives lagging indicators).
Describe the domino theory of accident causation
PROACTIVE
1. Root Causes: audits identify bad planning and org failings.
2. Underlying causes: Inspections can identify unsafe acts / conditions.
3. Direct causes: environmental monitoring can identify agents of harm.
REACTIVE
4. Accident: Statistics can be gathered following an accident/incident where loss occured.
5. Loss: Statistics on injury, illness on property damage
List the 6 various forms of active monitoring
Active monitoring gives information on:
- progress against plans and objectives
- the effectiveness of the H&S management system
- level of compliance with performance standards.
Active monitoring can take the form of…
1. Inspections: of plant, premises & equipment to check conditions against objectives.
2. Audits: examine all aspects of H&S perf against obj.
3. Job observations: check the effectiveness of workplace precautions
4. Health/Medical surveillance: to identify issues early.
5. Environmental: monitoring to identify early signs of harm from noise/dust
6. Benchmarking: compares with other similar industries.
7. Also safety tours, sampling and surveys
Discuss what is reactive monitoring and what it might entail
Reactive monitoring aims to improve H&S performance by
measuring and learning from past events, mistakes and poor safety practice.
Reactive systems are triggered after an event and include identifying and
reporting:
- injuries and cases of ill health
- other losses, such as damage to property
- incidents, including near misses
- complaints by the workforce regarding health, safety and welfare issues
- enforcement actions, such as prosecutions, enforcement notices or informal letters
- civil claims for compensation
- costs arising out of all of the above.
Describe the benefits and weaknesses of checklists / inspection forms.
Benefitsl;
- prior preparation and planning ensures the inspection is structured and systematic
- ensures a degree of consistency in the process and the interpretation of findings
- reduces the chance that important areas or issues might be missed
- can be adapted or customised for use in different areas
- provides an immediate record of findings
- provides an easy method for comparison and audit
Weaknesses
- the process may be overly rigid with no flexibility to explore other issues of interest
- the checklist needs to be regularly reviewed and updated to stay current as the workplace evolves
- there may be a tendency for people to complete tick lists without actually undertaking the checks
- the expectation of consistency can be taken for granted with little effort put into training inspectors
to help ensure that consistency
What should an inspection report include?
Aim to persuade manament to make changes and should include;
- Introduction: detailing the scope of the inspection.
- Discussion: highlighting the significant risks that were found, possible breaches of legislation and
their potential consequences.
- Conclusions: summarising the key issues.
- Recommendations: including an action plan for remedial action with priorities and timescales.
- Executive summary: should be prepared and inserted at the beginning of the report.
Give definitions of an Accident, Near Miss and undesired circumstance
Accident: An undesired event that results in injury, ill health, or property damage.
Near miss: An undesired event that had the potential to cause injury, ill health or property damage,
but did not.
undesired circumstances are ‘a set of conditions or circumstances that
have the potential to cause injury or ill health,
Describe the Domino theory of accident causation and explain each stage
Domino theory of accident causation suggest that accidents result from a chain of sequential events.
Accident prevention strategies involve removing one of the dominoes.
Root causes - management planning or organisational failings
Underlying causes -Unsafe acts and unsafe conditions (the guard removed
Direct causes The agent of injury or ill-health (the saw blade, the substance.).
Accident An undesired event that results in injury, ill-health, or property
damage.
Loss e.g. injury, illness or property damage.
What are the legal and business reasons to investigate incidents?
Legal reasons:
- Accident investigation is required under The Management of Health and Safety at Work etc Regulations 1999 (MHSWR)
- In civil action, there is a need to make full disclosure and courts may view it as demonstration of a positive attitude
- Insurance companies require the findings of the investigation when dealing with a claim.
Business :
- the prevention of further similar adverse events
- the prevention of business losses due to disruption, stoppage, lost orders and the costs of legal
actions
- an improvement in employee morale and attitude towards health and safety as a consequence of
positive action
- the development of managerial skills such as problem solving and action planning.
How should you respond to an emergency
- Preserve the scene
- Note the people, equipment involved and witnesses
- Report the adverse event according to company policy and procedures.
- Determine appropriate level of response
- Report the adverse event to the regulatory authority if necessary.
In an Emergency -
- Make the area safe and take prompt emergency action such as…
- isolating services
- securing the area with barriers
- give first aid / contact emergency services
- informing the next of kin
- informing management and the safety representative
- notifying the enforcement authority by the quickest practicable means
- collecting initial evidence such as photographs, sketches and the names of witnesses and setting
up the accident investigation.
Describe the different levels of investigation
The level of investigation should be determined by the likelyhood and consequence of it reoccuring.
Minimal:
Relevant supervisor investigates circumstances to learn lessons & prevent recurrences.
Low
A short investigation by supervisor or line manager.
Looks to identify immediate, underlying and root causes of the adverse event, to try to prevent a recurrence and to learn any general lessons.
Medium
A more detailed investigation by the relevant supervisor or line
manager, the health and safety adviser and employee representatives.
Looks for immediate, underlying and root causes.
High
A team based investigation, involving supervisors or line managers, safety advisers and employee representatives.
Carried out under the supervision of senior management or directors.
Looks for the immediate, underlying, and root causes.
What should an accident investigation look to establish?
1) the time and location of the accident
2) details of injured parties and anyone else involved
3) details of injury or ill-health caused
4) the activities being undertaken at the time
5) any unusual working conditions
6) whether the risk was known or not
7) whether a safe systems of work existed and was being followed
8) the level of competence of all involved
9) whether the organisation and arrangement of work was a factor
10) whether work materials were a factor
11) whether the workplace layout (environment) was a factor
12) difficulties in using plant or equipment
13) whether adequate safety equipment was provided and used
14) contribution of cleaning or maintenance activities
15) any other contributing factors
16) an understanding of the chain of events.
Describe the 4 steps of the investigation process
1 - Gather information
- From the scene using photos, measurements, sketches and record conditions
- Interview the people involved
- Look at documentation (RA)
2 - Analyse
Examine all possible causes and consequences using a multi-causal analysis to understand the direct, unlying and root causes.
- Identify Risk Controls
Propose suitable controls that would have prevented the incident.
Prioritise the controls identified
Consider if similar accidents can occur elsewhere in the business. - Implement risk controls
Involve senior management in implementing an action plan for risk controls. Should be SMART
What are the requirements of an investigation team?
Members of the investigation team will require:
- detailed knowledge of the work activities involved
- familiarity with health and safety good practice, standards and legal requirements
- suitable investigative skills (e.g. information gathering, interviewing, evaluating and analysing)
- sufficient time and resources to carry out the investigation efficiently
- the authority to make decisions and act on their recommendations.
What kind of accidents need to be reported under RIDDOR?
Reporting of incidents, diseases and dangerous occurrences regulations 2013.
SPECIFIED INJURIES
- Broken Bones (excl toes/finger)
- Amputation
- Permanent blinding/sight damage
- Burns: 10% of body, eyes, respiratory or vital organs
- Scalping requiring hospital treatment
- Loss of consiousness (head injury / asphyxia
- confined space heat/resusitation/hospital treatment for 24h+
DEATHS
7 DAY + INJURIES
OCCUPATIONAL DISEASES
- carpal tunnel /cramp /dematitis/ vibration syndrome /asthma /tendonitis /cancer & disease from occ exposure.
DANGEROUS OCCURANCES
- collapse/failure of loadbearing part of lift/hoist/crane MEWP
-failure of a closed vessle/pipe
- malfunction of breathing apperatus
- plant/equip making or nearly contact with electric lines
- collapse of scaffold over 5m high
- collision of train with other vehicle.
DANGEROUS GAS FITTINGS
INJURY TO THOSE NOT AT WORK
What timeframe should deaths, injuries, and Oc diseases be reported
Death/injury/DO - by the quickest practical means without delay. by form within 10 days
7day + injury - as soon as prac & within 15 days
Oc disease - upon receipt of notification from medical practitioner
What are the features of an effective reporting system for accidents and near-misses
An effective reporting system that encourages workers to report accidents and near-misses will:
- have clear definitions of accidents and incidents that are to be reported
- have clear reporting lines showing who is responsible for completing the paperwork
- have simple forms to be completed
- allow employees time to report
- be developed following consultation with employees
- be implemented after employees have received suitable information and training
- be evaluated after an introductory period
- result in timely action to address any issues of concern
- feedback to those reporting on any actions taken
- ensure there are no disincentives to report (bonuses for having no incidents etc.).
What should a suitable record of any reportable injury, disease or dangerous occurrence include?
A suitable record should be kept of any reportable injury, disease or dangerous occurrence.
The record should include:
- the date and method of reporting
- the date, time and place of the event
- personal details of those involved
- a brief description of the nature of the event or disease.
Describe the benefits to a business of keeping records of accidents and incidents
Keeping records helps with
- Legal Compliance - CoSHH & Social Security Act
- Investigations to prevent similar type
- Monitoring accident / ill health trends
- Reviewing risk assessments and control strategies
- Civil claims
- Costing accidents and ill-health
- Monitoring health and safety performance
What is H&S auditing?
A systematic, independent and documented process for obtaining audit evidence and evaluating
it objectively to determine the extent to which the audit criteria are fulfilled”
Involves reviewing and inspecting operations, processes and procedures to make sure they align with established standards. Methods include; product/service, process and system audits.
- An essential element of a health and safety management system, not a substitute for day
to day control. Health and safety cannot be managed by audits alone.
-recommended for larger more complex
organisations with a significant hazard burden.
What should a H$S audit aim to establish
The aims of auditing a health and safety management system should be to establish that:
- management arrangements are in place and any failings in the system are identified
- adequate risk controls exist, are implemented, and consistent with the hazard profile of the organisation
- appropriate workplace precautions are in place.
- there is organisational assurance that health and safety is being managed and learning is taking
place.
What should be audited at each stage of the H&S Managment PDCA cycle
Plan > audit the intent, scope and adequacy of the safety policy
Do > audit the arrangements for: consulting and communicating, achieving competence, securing control, hazard identification, risk assessment and the management of preventive and protective measures
Check > audit the adequacy, relevance and design of measuring systems
Act > audit the ability to learn from experience, improve performance, develop the system,
and respond to change
What characteristics should an auditor have?
Trustworthy - Ethical conduct:
Trust, integrity, confidentiality and discretion are essential.
Report truthfully - Fair presentation: Truthful and accurate reporting.
be Competent - Due professional care: Competent application of diligence and judgement.
Give an overview of some of the advantages and disadvantages of both internal and external auditors
Internal auditor Ads
- Familiar with the workplace, tasks and processes
- Awareness of industry standards
- Able to see changes from the last audit
- Familiarity with the workforce and individual’s qualities and attitude
- Cheaper and easier to arrange
Disadvantages
- May not have recognised auditing skills
- May not be up to date with legal requirements
- Less likely to be aware of best practice in other organisations
- Subject to pressure from management / workforce
- Be under time pressure.
External auditor
- Possess auditing skills and credibility.
- Free to criticize members of management /workforce.
- Up to date with legal requirements and best practice in other companies.
- View performance with a fresh pair of eyes.
Disadvantages
-Unfamiliar with the workplace, tasks and processes.
- Unfamiliar with the workforce attitudes to health and safety. May have difficulty in obtaining cooperation.
- Unfamiliar with the industry and seek unrealistic standards.
- May be more costly than an internal staff member.
What are the characteristics of an effective audit?
An effective audit is:
- independent - free from bias and conflict of interest
- evidence-based - collects data that is verifiable.
Audits should;
- apply a documented methodology to measure performance against pre-determined targets
- be carried out by a competent individual or team (of managers, specialists, operational staff,
safety representatives, or external consultants) who have received specific training to do the work - the auditor(s) is independent of the area or section being audited
- they consider a range of sources of information
- lead to recommendations for improvements in performance.
What steps must be taken when planning an audit?
1- select an independant and competent audit team
2- Agree on guidance and standards to be applied
3- Agree on timescales
4- Decide on methods of feedback
5- decide on the scope and objectives
6- Allocate resource
7- Develop audit questionnaires and checklists
Describe the 3 ways of collecting audit information
What does the implementation phase of an audit entail
Collecting information about health and safety management requires decisions on the level and detail of an audit. All audits involve sampling and a key question is always: ‘How much sampling needs to be done to make a reliable assessment?’
Auditors have three information sources on which to draw:
- interviewing individuals, to gain information about the operation of the health and safety
management system and the perceptions, knowledge, understanding, management practices, skill
and competence of managers and employees at various levels in the organisation
- examining documents, assessing records, RCSs, performance standards, procedures and
instructions for completeness, accuracy and reliability - observation of workplace conditions and work activities to check compliance with legal requirements and verify the implementation and effectiveness of workplace precautions and RCSs.
Describe the implementation stage of an audit
The implementation phase involves;
- agreeing the objectives, scope and timescales with management
- collecting and reviewing documents then creating and agreeing an audit plan
- gathering evidence by interviewing, examining documents and observing work
- writing the report
During the audit process, once information is collection judgements should be formed about the effectiveness of the system. Describe this process.
The adequacy of a health and safety management system is judged against a relevant ‘standard’ or benchmark. If there are no clear standards, the assessment process will be unreliable.
Legal standards, HSE guidance and applicable industry standards should be used to inform audit
judgements.
Auditing should not be perceived as a fault-finding, it should recognise positive achievements as well as areas for improvement.
Scoring systems may be used to help with comparing audit scores over time or between sites, but there
is no evidence to suggest that quantifying the results is better than a qualitative approach.
What are the differences between audits and inspections?
Audits
- Focuses on and evaluates the management system
- includes observations but also gathers evidence from documentation and staff interviews
- Evaluating the efficiency and effectiveness of the management system components
- Auditors are independent of local line
management
Inspections
- Focus on unsafe acts, conditions, workplace, work equipment or work activities
- Visual / observational
- Looking for unsafe acts and conditions (inadequately controlled hazards)
- Inspections may well involve local managers
What does Reviewing mean and what do they determine?
Reviewing is the process of making judgements about performance and deciding on remedial actions
Reviews are essential to determine:
- the level of legal compliance
- the adequacy and effectiveness of existing control measures
- the damage caused where control is lacking
- priorities for remedial action to address any shortfalls in legal compliance or good risk management
- the ongoing effectiveness of the system as a whole
What information should a Review consider?
Reviews will need to examine:
- the operation and maintenance of the system
- the design, development and installation of the H&S Mang system in changing circumstances.
It should be a continuous process undertaken at different levels of the org.
Information should come from monitoring and auditing.
Reviews should consider
- progress against objectives / action plans
- legal & organisational compliance
- the impact of new legislation/changes in good practice.
- external communications and complaints
- Reactive monitoring data (accident /incident /sickness /absence reports)
- actions from previous reviews
- results of consultations
- active monitoring data (inspections, surveys, tours and sampling/ audits - corrective and preventive actions / monitoring data, records, reports / quality assurance reports
- opportunities for improvement and the need for change
What KPIs can be used when reviewing overall H&S Performance
Key performance indicators for reviewing overall performance can include:
- the degree of compliance with health and safety system requirements
- identification of areas where the health and safety system is absent / inadequate
- assessment of the achievement of objectives and plans
- accident, ill health and incident data including the immediate and underlying causes, trends and common features.
What items may orgs benchmark themselves against when reviewing H&S performance
- industry-wide accident rates
- management practices and techniques to provide a different perspective and insights
What is the desired outcome of reviews?
Reviews should result in specific remedial actions
There should be set deadlines for completion
Actions will
- rectify failures in precautions
- remedy sub-standard performance
- respond to the assessment of plans
- respond to audit findings
What information should go into an annual report.
There is no legal requirement to report it, but HSE previously recommended this at a minimum
- the broad context of the health and safety policy
- the significant risks faced by employees and others and the strategies and systems in place to
control them - the health and safety goals, as per the safety policy
- report on progress towards achieving health and safety goals in the reporting period, and on health
and safety plans for the forthcoming period - the arrangements for consulting employees and involving safety representatives.
- the number of RIDDOR reportable injuries, illnesses and dangerous occurrences (presented as the
rate of injuries per 100 000 employees) - brief details of the circumstances of any fatalities, and of the actions taken to prevent any recurrence
- the number of cases of illness, disability or health problems that are caused or made worse by work
-the total number of employee days lost due to all causes of occupational injury and illness - the number of enforcement notices served on the company and detail of the requirements
- the number and nature of convictions for health and safety offences, their outcome in terms of
penalty and costs, and what has been done to prevent a recurrence - the total cost to the company of the occupational injuries and illnesses suffered by staff in the
reporting period.
Companies are encouraged to go beyond the minimum standards and include additional information such as the outcome of health and safety audits, and on the extent and effectiveness of health and safety training provided to staff.
