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Element IA3: Measuring and Reviewing Health and Safety Performance

1. Outline two of the main objectives that should be included in a health and
safety policy statement.

Health and safety policy statements should state their main objectives, e.g.
(a) Commit to operating the business in accordance with the Health and
Safety at Work Act 1974 and all applicable regulations made under the Act,
'so far as reasonably practicable'.
(b) Specify that health and safety are management responsibilities, ranking
equally with responsibilities for production, sales, costs, and similar matters.
(c) Indicate that it is the duty of management to see that everything
reasonably practicable is done to prevent personal injury in the processes of
production, and in the design, construction and operation of all plant,
machinery and equipment, and to maintain a safe and healthy place of work.
(d) Indicate that it is the duty of all employees to act responsibly, and to do
everything they can to prevent injury to themselves and fellow workers.
Although the implementation of policy is a management responsibility, it will
rely heavily on the co-operation of those who actually produce the goods and
take the risks.
(e) Identify the main board director or managing board director (or directors)
who have prime responsibility for health and safety, in order to make the
commitment of the board precise, and provide points of reference for any
manager who is faced with a conflict between the demands of safety and the
demands of production.
(f) Be dated so as to ensure that it is periodically revised in the light of current
conditions, and be signed by the chairman, managing director, chief
executive, or whoever speaks for the organisation at the highest level and
with the most authority on all matters of general concern.
(g) Clearly state how and by whom its operation is to be monitored.

2. Outline the limitations of placing reliance on accident and ill-health data as a

performance measure?

There are limitations on these data, which can be set out follows:
Accident data are the result of accidents that happened in the past,
sometimes a considerable time ago, so it can be said that they are not up-to-
Occupational diseases are quite rare because their long-term effects cannot
be easily measured or recorded.

3. Identify four key performance areas for reviewing overall performance.

• assessment of the degree of compliance with health and safety system

• dentification of areas where the health and safety system is absent or
inadequate (those areas where further action is necessary to develop the
total health and safety management system
• assessment of the achievement of specific objectives and plans
• accident, ill-health and incident data accompanied by analysis of both the
immediate and underlying causes, trends and common features.
4. Identify the criteria that can be used by organisations, wishing to benchmark
their performance against other organisations

• accident rates with those organisations in the same industry which

• use similar business processes and experience similar risks
• Management practices and techniques with other organisations in any
industry to provide a different perspective and new insights on health and
safety management systems.

5. With reference to monitoring systems, list the reasons why organisations

need to measure what they are doing.

• to implement their health and safety policy

• to assess how effectively they are controlling risks
• to assess how well they are developing a positive health and safety

6. Outline the 2 types of monitoring systems.

• active systems which monitor the design, development, installation and

operation of management arrangements, Risk Control Systems and
workplace precautions;
• reactive systems which monitor accidents, ill-health, incidents and other
evidence of deficient health and safety performance.

7. Outline the various forms of active monitoring.

• routine procedures to monitor specific objectives, e.g quarterly or monthly

reports or returns
• periodic examination of documents to check that systems relating to the
promotion of the health and safety culture are complied with. One
example might be the way in which suitable objectives have been
established for each manager, regular review of performance,
assessment and recording of training needs and delivery of suitable
• the systematic inspection of premises, plant and equipment by
supervisors, maintenance staff, management, safety representatives or
other employees to ensure the continued effective operation of workplace
• environmental monitoring and health surveillance to check on the
effectiveness of health control measures, and to detect early signs of
harm to health
• systematic direct observation of work and behaviour by first-line
supervisors to assess compliance with Risk Control Systems and
associated procedures and rules, particularly those directly concerned
with risk control;
• the operation of audit systems;
• consideration of regular reports on health and safety performance by the
board of directors

8. Identify the areas that performance standards should cover.

Performance standards should cover the following areas:

• policy formulation and development;
• methods of accountability;
• health and safety committee and similar consultation meetings;
• involvement of people in risk assessments and writing procedures;
• collection and dissemination of information from external sources;
• the involvement of senior managers in safety tours and accident and
incident investigations;
• preparation of health and safety documentation, performance standards,
rules and procedures;
• health and safety plans and objectives;
• the risk assessment process;
• implementation of RCSs and workplace precautions;
• the active monitoring arrangements including inspections;
• the accident and incident reporting and investigation system;
• audit and review.

9. What are the objectives of reactive monitoring?

The objectives of reactive monitoring are to analyse data relating to

accidents, ill-health and other loss causing events.

10. What is identified and reported during reactive monitoring?

Reactive systems, by definition, are triggered after an event and include

identifying and reporting:

• injuries and cases of ill-health (including monitoring of sickness absence

• other losses, such as damage to property,
• incidents, including those with the potential to cause injury, ill-health or
• hazards;
• weakness or omissions in performance standards.

11. Define health and safety audit

The organisation learns from all relevant experience and applies the lessons.
There is a systematic review of performance based on data from monitoring
and from independent audits of the whole health and safety management
system. There is a strong commitment to continuous improvement involving
the constant development of policies, systems and techniques of risk control.
Performance is assessed by: internal reference to key performance
indicators; and external comparison with the performance of business
competitors and best practice, irrespective of employment sector.

12. Define workplace inspections

Workplace inspections involve routine monitoring of the basic provisions for

Health and Safety within the organisation by internal personnel, usually using
a checklist to ensure consistency of inspections. Inspections cover items such
as fire extinguishers, fire doors, access/egress, lighting etc. but the content of
the checklist will vary according to the activities taking place in any location,
and the findings of relevant risk assessments.
13. Define safety tours

A safety tour is an unscheduled examination of a work area. The examination

is often carried out by a manager, who is usually accompanied by a member
of the health and safety committee. The purpose of the tour is to determine
whether control measures are being observed and maintained i.e. fire exits
kept clear, good housekeeping being observed etc.

14. Define safety sampling

This method or technique is used to measure (by random sample) the

potential for accidents and incidents in a specific area or place by identifying
hazards and risks in situations.

For example, an area or workplace is divided into sections, with an observer

appointed in each section. A pre-determined route through the area is
undertaken where observers follow the itinerary in a pre-determined allowed
time, during which the observer will record on a safety sampling sheet the
points they have observed.

15. Define safety surveys

A safety survey is a detailed examination of a specific area of the organisation

in health and safety terms. For example, stress in the workplace.

Much will depend on the inherent hazards that are present in the workplace or
organisation, and the risks that have been identified.

16. With reference to safety tours, identify the main points central to effective

Effective observation has the following main points:

• Be selective.
• Know what to look for.
• Practice.
• Keep an open mind.
• Guard against habit and familiarity.
• Do not be satisfied with general impressions.
• Record observations systematically

17. A prerequisite of effective health and safety plans and objectives is that
they should be SMART. What does SMART stand for?

SMART objectives are:

Realistic/Relevant; and
Time bound

18. Explain what is meant by health and safety ‘benchmarking’.

Health and Safety benchmarking is a planned process by which an
organisation compares its health and safety processes and performance with
others to learn how to:
reduce accidents and ill-health; improve compliance with health and safety
cut compliance costs. Benchmarking is not just about comparing data or
copying your competitors. Benchmarking is more about continuously learning
from others, learning more about your organisation’s strengths and
weaknesses in the process, and then acting on the lessons learned. This is
what leads to real improvement.
Benchmarking is a means to an end, not an end in itself. Some organisations
aim for business excellence and want to be seen as ‘best’, or at least better
than average. Benchmarking all aspects of your business, including health
and safety can help you achieve this. But it is also useful in helping you meet
your health and safety duties in a more effective and efficient way.

19. Identify the five steps to benchmarking.

Step 1 Decide what to benchmark

Step 2 Analyse where you are.
Step 3 Selecting partners.
Step 4 Working with your partner
Step 5 Acting on the lessons learned

20. Provide and explanation of `Key Performance Indicators’.

Businesses use key performance indicators (KPIs) to measure progress

toward specific health and safety goals or simply to monitor trends associated
with corporate and facility activities or special projects. KPIs are used as a
means to collect data and communicate trends, which can then be used to
indicate where further improvements and resources are required.

21. Outline the factors to be considered by an organisation when selecting Key

Performance Indicators.

An organisation should consider:

• Where is the organization today with respect to health and safety

• Where does the organization want to be tomorrow?
• Who receives the KPI data and what do they do with it?
• How are KPIs and the conclusions that are drawn from the KPIs
communicated to others?

22. Organisational and planning issues to be addressed in the development of

the audit programme.

Consideration of the scope and terms of reference of the audit

ƒ Resources/Logistics
ƒ Support/Commitment of senior management
ƒ Audit Schedule/Frequency - Consideration were the nature, scale and
frequency of the auditing relative to the level of risk involved
ƒ Audit Standards - the standards against - to be audited such as, for
example, legal or good practice,
ƒ Audit Process - planning, interviews and verification, feedback routes and
the preparation and presentation of the final report.
ƒ Audit Protocol/Software - Recognition of the need to develop audit
protocols and consider issues such as scoring or the use of proprietary
ƒ Audit Type - The types of auditing such as comprehensive, horizontal or
vertical slicing;
ƒ Audit Scope - Scope such as management system elements or selected
performance standards;
ƒ Team - The use of a single auditor or audit teams;
ƒ Training
ƒ Briefing of those members of the organization who were likely to be