Management of International Health and Safety

Management of International
Health and Safety

Element 5: Health and Safety
Management Systems 4 – Measuring,
Audit and Review
© RRC International
Learning Outcomes
• Outline the principles, purpose and role of active
and reactive monitoring.
• Explain the purpose of, and procedures for, health
and safety auditing.
• Explain the purpose of, and procedures for,
investigating incidents (accidents, cases of work-
related ill health and other occurrences).
• Describe the legal and organisational
requirements for recording and reporting
incidents.
• Explain the purpose of, and procedures for,
regular reviews of health and safety
performance.
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Unit IGC 1: Element 5.1
ACTIVE AND REACTIVE

MONITORING
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Active and Reactive Monitoring
Active Reactive
• Ensure health and • Using accident,
safety standards are incident and
correct and being met ill-health data to
before accidents, etc. highlight areas
are caused. of concern.
• Measures progress. • Measures failure.
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Performance Standards
Conformance/non-conformance with
standards:
• Number and quality of risk assessments.
• Health and safety training to schedule.
• Consultative committee meetings to schedule.
• Workplace inspections to schedule.
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Systematic Inspections
Observation Plant • Machinery.
• Vehicles.
Premises • Workplace.
• Environment.
Interviewing People • Working methods.

• Behaviour.
Examination Procedures • Safe systems.

• Method statements.
• Permits-to-work.
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Safety Inspections, Sampling,
Tours and Surveys
Safety Inspection
• Examination of workplace, statutory inspection, plant
and machinery, pre-use checks.
Safety Sampling
• Representative sample to judge compliance.
• Less time-consuming.
Safety Survey
• Detailed examination of one issue, topic.
Safety Tour
• High-profile inspection by managers.
• Can be used to observe behaviours, too.
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Other Standards
• Health Surveillance
- Monitoring worker health – a proactive
measure.
- Shows effectiveness of controls.
• Benchmarking
- Comparison to other organisations.
- Can compare between sectors.
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Workplace Inspections
Factors to consider:
• Type of inspection.
• Frequency of inspection.
• Allocation of responsibilities.
• Competence of the inspector.
• Objectivity of inspector.
• Use of checklists.
• Action planning for problems found.
• Training for inspectors.
©
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Example Inspection System
Bank head office:

• Purpose – monitor H&S standards.
• Frequency – monthly.
• Persons responsible – managers at different
levels.
• Competence – one-day course.
• Inspection checklist – general checklist – tailored,
if required.
• Follow-up arrangements – an action plan.
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Use of Checklists
Advantages Disadvantages
• Ensures all points • May ignore items not
covered. on checklist.
• Consistent approach.
• Form of written
record.
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Group Syndicate Exercise
In groups, list the topic headings that should

be included on an inspection checklist for use
in your workplace.
Design a rough format for the inspection
checksheet.
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Workplace Inspections
Typical topics:
• Fire safety.
• Housekeeping.
• Environment issues.
• Traffic routes.
• Chemical safety.
• Machinery safety.
• Electrical safety.
• Welfare facilities.
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Allocation of Responsibilities
Inspections must follow through into action.
Action required Responsible person Date Due

Repair damaged Maintenance By 15 July 2015
fire-extinguisher technician
bracket
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Effective Report-Writing
Style – formal, free of jargon or slang, factual, persuasive,
clear, concise.
Structure – executive summary, introduction, main body,
recommendations, conclusions.
Content – significant findings, evidence of findings.
Justified recommendations – moral, legal, economic
arguments, action plan.
Recommended action Priority Timescale Responsible

Person
Tidy the office Medium 1 week Office
Supervisor
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Reactive Monitoring
• Dealing with things that went
wrong!
• Accidents, incidents, ill health,
other unwanted events and
situations:
– Highlights areas of concern.
– Things that have already gone wrong.
– Measures failure.
• 2 methods:
– Lessons from one specific event, e.g.
an accident.
– Data collected over a period.
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Statistics
Data collected and reported about:
• Accidents.
• Dangerous occurrences.
• Near-misses.
• Ill-health cases.
• Worker complaints.
• Enforcement action.
Assist in analysing:
• Trends – events over a period of time.
• Patterns – hot spots of certain types, e.g. injury.
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Group Discussion Point
• An organisation has 2 sites carrying out

similar operations.
• Site A has 300 workers and has had 10
accidents.
• Site B has 150 workers and has had 5
accidents.
• Which has the “better” safety
performance?
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Accident Rate
Accident Incidence Rate (AIR)

‘accidents per 1000 workers’
Number of accidents during a

AIR = specific period  1000
Average number of workers
during the same period
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Use of Statistics
Potential issues:
• 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.
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Other Reactive Measures
Enforcement actions
• Often required during pre-tender
qualifications.
Civil claims
• Total cost of claims can be calculated.
• May be affected by:
- Advertising campaigns.
- Dissatisfaction with organisation.
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End-of-Section Quiz
1. What is meant by active monitoring?

2. What is meant by reactive monitoring?
3. Give examples of active monitoring
techniques.
4. What topics could be considered in a
general workplace inspection?
5. What are accident rates used for?
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RRC International
Unit IGC1: Element 5.2
HEALTH AND SAFETY AUDITING
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Health and Safety Audits
Auditing is the:
• systematic,
• objective, and
• critical evaluation
of an organisation’s health and safety
management system.
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What is the difference between an audit and

an inspection?
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Distinction Between Audit and
Inspection
Audit Inspection
Examines documents. Checks the workplace.
Examines procedures. Checks records.
Interviews workers. Usually quick.
Verifies standards. Lower cost.
Can be a long process. May only require basic
Usually expensive. competence.
Requires a high level of Part of an audit.
competence.
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Pre-Audit Preparations
The following should be defined:
• Timescales.
• Scope of the audit.
• Area and extent of the audit.
• Who will be required.
• What documentation will be required.
• Auditor competence.
• Time and resources for auditors.
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During the Audit
Auditors use three methods to gather information:
• Paperwork - documents and records.
• Interviews - managers and workers.
• Observation - workplace, equipment, activities and
behaviour.
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Documents
Typical information examined during an audit:
• Health and safety policy.
• Risk assessments.
• Training records.
• Minutes of safety-committee meetings.
• Maintenance records.
• Record of monitoring activities.
• Accident-investigation reports and data.
• Emergency arrangements.
• Inspection reports from insurance companies.
• Regulator visitors.
• Worker complaints.
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The End of the Audit
Verbal feedback session:

• To managers.
• Highlights of the audit.
Written report to management:

• Findings.
• Recommendations.
• Priorities and timescales.
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Responsibility for the Audit
• The organisation.
• External authorities:
– Enforcement agencies.
– Insurance companies.
– Accreditation centres (OHSAS 18001, etc.)
It is the responsibility of management at all levels to

ensure recommendations for improvement are
communicated and implemented.
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Whole Group Exercise
Discuss the advantages and disadvantages of

an external and an internal audit.
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External Audits
• Independent of any • Expensive
internal influence • Time-consuming
• Fresh pair of eyes • May not understand the
External • May have wider business so make
experienced at auditing impractical suggestions
Audits
• Experience of different • May intimidate workers
types of workplace so get incomplete
• Recommendations often evidence
carry more weight
• Up to date with law
• More able to be critical
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Internal Audits
• Less expensive • Auditors may not notice
• Auditors are already certain issues
familiar with the • Auditors may not have
workplace and what is good knowledge of
practicable industry or legal
Internal standards
• Can see changes since last
Audits audit • Auditors may not possess
• Improves ownership of auditing skills so may
issues found need training
• Builds competence • Auditors are not
internally independent so may be
subject to internal
• Workplace more at ease
influence
• Familiarity with workplace
and individuals
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Correcting Non-Conformities
Major non-conformance:
• Significant issue, needs urgent action.
Minor non-conformance:
• Less serious issue, unlikely to result in injury or
failure of management system.
• Observations.
• Opinion given by auditor.
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End-of-Section Quiz
1. Define “auditing”.
2. What is the difference between an audit
and a workplace inspection?
3. What types of information might be
examined during an audit?
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INVESTIGATING INCIDENTS
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Incident Investigations
Reasons to carry out investigations:
• Identify the causes.
• Prevent recurrence.
• Collect evidence.
• Legal reasons.
• Insurance purposes.
• Staff morale.
• Disciplinary purposes.
• To update risk assessments.
• Discover trends.
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Types of Incident
Near-miss
An unplanned, unwanted event that had the potential to lead
to injury, damage or loss but did not.
Accident
An unplanned, unwanted event which leads to injury,
damage or loss:
• Injury accident – where the unplanned, unwanted
event leads to some sort of personal injury, e.g. a cut
hand.
• Damage only accident – where the unplanned,
unwanted event leads to equipment or property damage
but not personal injury, e.g. a wall is demolished.
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Types of Incident
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.
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Level of Investigation
• More minor incidents.
• Investigated by line manager.
• Major incidents, more complex events or

incidents with high potential.
• Investigated by a team:
- Safety specialist.
- Senior manager.
- Technical specialist.
- Worker representative.
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Whole Group Activity
Discuss the first thing you should do when

arriving at an accident scene, and then the
later steps.
Consider what type of equipment you may

need to assist you.
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Basic Investigation Procedure
Safety of the scene:
Is the area safe to approach?
Is immediate action needed to eliminate danger
before casualties are approached?
Casualty care:
First-aid treatment.
Hospitalisation:
– Also consider that
by-standers may be in shock.
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Basic Investigation Procedure
Step 1
• Gather factual information.
Step 2
• Analyse the information and draw
conclusions.
Step 3
• Identify suitable control measures.
Step 4
• Plan the remedial actions.
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Step 1 - Gathering Information
Secure the scene.
Identify witnesses.
Collect factual
information:
− Photo/sketch.
− Measurements.
− Notes.
− Mark-up plans.
− Samples.
Interview witnesses.
Examine documents.
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• You have to interview a witness who has

just seen his friend injured at work.
• Suggest some golden rules that should be

followed.
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Witness Interview Technique
Quiet room, no distractions.
Establish a rapport.
Explain the purpose, not about blame.
Use open questions, e.g. Who? What? Where?
When? Why? How?
Keep an open mind.
Take notes.
Ask for a written statement.
Thank the witness.
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• To practise using open-questioning

techniques, find out what the person
sitting next to you did last night.
• Try to use only open questions.
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Document Examination
Site plans.
• Company health and safety policy.

• Risk assessments.
• Training records.
• Safe systems of work.
• Permits-to-work.
• Maintenance records.
• Previous accident reports.
• Sickness records.
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Step 2 – Analysing Information
Immediate causes:
• Unsafe acts.
• Unsafe conditions.
Underlying/root causes:
• Reasons behind the immediate causes.
• Often failures in the management system:
– No supervision.
– No PPE provided.
– No training.
– No maintenance.
– No checking or inspections.
– Inadequate or no risk assessments.
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• A worker is struck by a load

being carried on a pallet
by a forklift truck.
• Outline possible immediate

and underlying causes
of the accident.
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Forklift Truck Accident
Immediate causes:
• Failure to secure the pallet.
• Poor positioning of the truck close
to the pedestrian exit.
• Aggressive braking by the driver.
• Inattentive pedestrian steps into
the path of the forklift truck.
Underlying/root causes:
• 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
Measures
For immediate causes:
• Clean up the spill.
• Replace the missing guard.
• Relocate the trailing cable.
For underlying/root causes:
• More difficult.
• Need to make changes
in management system.
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Step 4 – Plan the Remedial Actions
Dangerous conditions must be dealt with
immediately.
Interim actions may be possible.
Underlying causes will require more complex
actions:
• Will take time, effort, disruption, money.
• Need for prioritisation.
Recommended action Priority Timescale Responsible
Introduce induction Medium 1 month Warehouse

training for all new FLT Manager
drivers
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End-of-Section Quiz
1. What are the main reasons for reporting

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

INCIDENTS
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Internal Incident Reporting
Reasons for reporting incidents:

• To trigger the provision of
first aid.
• Preserve accident scene.
• Enable investigations to be
carried out to prevent
recurrence.
• Legal requirement to report some incidents.
• Record for civil claims.
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What sort of things are likely to hinder good

accident and near-miss reporting?
What can an organisation do to make it more
likely that incidents will be reported?
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Barriers to Reporting
• Unclear organisational policy.
• No reporting system in place.
• Culture of not reporting (peer
pressure).
• Overly-complicated reporting procedures.
• Excessive paperwork.
• Takes too much time.
• Blame culture.
• Apathy – poor management response.
• Concern over impact on organisation/individuals.
• Reluctance to receive first aid.
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Accident Record Contents
• Name and address of
casualty.
• 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.
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Internal and External
Incident-Reporting
Will depend on the severity:
Internal External
• Directors • Family of the casualty
• Senior managers • External authorities
• Human resources • Insurance companies
managers • Public relations
• Health, safety and advisers
environmental advisers
• Worker representatives
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Externally-Reportable Events
Some incidents need to be reported to

regulator by law, e.g.:
• Fatality.
• Major injury.
• Dangerous occurrence.
• Disease.
• Lost-time injuries.
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Data Collection & Analysis
Analysis of data:
• What is the trend in accident/incidence rate over the
past 5 years?
• What are the most common types of accident?
• What are the most common types of injury?
• Between what times of the day do most accidents
occur?
• Which part of the body is most frequently injured?
• Which department has the highest accident rate?
• What is the accident-rate trend for a particular part of
the organisation?
• Where do most accidents occur in the
workplace?
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Lessons Learnt
Action taken as a result of incident.
Published internally as “lessons learnt”:

• Shows company commitment to improving.
• Allows improvements to be made.
Maintain confidentiality!
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End-of-Section Quiz
1. Why might an employee not report an

incident?
2. What are the typical contents of an
internal incident-report form?
3. Why are incident data collected?
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Unit IGC 1: Element 5.5
REVIEW OF HEALTH AND SAFETY

PERFORMANCE
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Levels of Review
Full management system review:

• By the board, annually.
Management team review:

• Every quarter, feeds to full review.
Departmental review:
• Monthly, by line manager to ensure on track.
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Reasons for Having Regular Reviews
• Are we on target?
• If not, why not?
• What do we have to change
to continually improve?
• Essential part of management system.
• Requirement of ISO certification.
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Whole Group Exercise
What measurements of health and safety

performance should be included in the annual
review?
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Performance Indicators
• Compliance with legal and organisational requirements,
new developments.
• Accident and incident data, and corrective actions.
• Inspections, surveys, tours, sampling.
• Absence and sickness data.
• Quality assurance reports.
• Audit reports.
• Monitoring data/records.
• External communications and complaints.
• Consultation results.
• Achievement of objectives.
• Actions from previous management reviews.
• Legal and best practice developments.
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Outputs from Review
Management reports:
− Minutes circulated.
− Records maintained.
− Actions closed out.
Annual report to shareholders:

− For some organisations.
Continual improvement.
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Continuous Improvement
Review evaluates performance against
standards:
• Action taken as a result to improve.
Board/senior managers:
• Set targets as a result of review/amend policy.
Middle managers:
• Review performance.
• Set targets for their area.
Junior managers:
• Review local performance.
• Set targets for their area.
©
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End-of-Section Quiz
1. Why should an organisation carry out

reviews of health and safety performance?
2. What should be considered in the
management review of health and safety
performance?
©
RRC International

Management of International Health and Safety

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Management of International Health and Safety

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Management of International

Health and Safety

ACTIVE AND REACTIVE

Interviewing People • Working methods.

Examination Procedures • Safe systems.

Bank head office:

In groups, list the topic headings that should

Inspections must follow through into action.

Action required Responsible person Date Due

Recommended action Priority Timescale Responsible

• An organisation has 2 sites carrying out

Accident Incidence Rate (AIR)

Number of accidents during a

1. What is meant by active monitoring?

HEALTH AND SAFETY AUDITING

What is the difference between an audit and

Verbal feedback session:

Written report to management:

It is the responsibility of management at all levels to

Discuss the advantages and disadvantages of

• Major incidents, more complex events or

Discuss the first thing you should do when

Consider what type of equipment you may

• You have to interview a witness who has

• Suggest some golden rules that should be

• To practise using open-questioning

• Company health and safety policy.

• A worker is struck by a load

• Outline possible immediate

Introduce induction Medium 1 month Warehouse

1. What are the main reasons for reporting

RECORDING AND REPORTING

Reasons for reporting incidents:

What sort of things are likely to hinder good

Some incidents need to be reported to

Action taken as a result of incident.

Published internally as “lessons learnt”:

1. Why might an employee not report an

REVIEW OF HEALTH AND SAFETY

Full management system review:

Management team review:

What measurements of health and safety

Annual report to shareholders:

1. Why should an organisation carry out

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