1. NGC1 Element 5

2. On completion of this element, candidates should be able to:  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.

3. Managing for Health and Safety (HSG65)

4.  Monitor; ◦ Measures;  Implementation of policy.  Control of risk.  Development of safety culture.  Review; ◦ Analysis of monitoring data. ◦ Decisions re adequacy of performance / further action.  Audit ◦ Reviews the existence and effectiveness of the management system.

5. Active MonitoringReactive Monitoring Compliance with Key Performance Indicators (KPIs), standards and procedures:-  completed risk assessments  staff attendance at training  maintenance of equipment  PPE being worn  standards of housekeeping  consultation events taking place and documented  etc.  Near misses / incident investigation  Dangerous occurrences  Accident and sickness absence investigation  Accident / ill-health statistics  Enforcing authority intervention / enforcement  Workforce complaints  Civil claims  Insurance premiums Monitoring organisational progressMonitoring organisational failure Active and Reactive Monitoring

6.  Limitations; ◦ Some hazards not visible. ◦ Some hazards not always present. ◦ Unsafe practices may not occur during the inspection.  Types of inspections; ◦ General workplace inspections. ◦ Statutory inspections. ◦ Compliance inspections. ◦ Commissioning inspections.  Frequency. Workplace Inspections

7.  Competence of Inspectors: ◦ Knowledge of workplace inspection techniques, advantages and disadvantages. ◦ Understanding of process or service. ◦ Knowledge of hazards and controls. ◦ Ability to complete checklist or write report. ◦ Experience. Workplace Inspections

8.  Typical headings include: ◦ Condition of processes and plant. ◦ Contractors. ◦ Electrical. ◦ Environmental conditions. ◦ Transport routes. ◦ Fire protection. ◦ First aid provision. ◦ Hand held / portable tools. ◦ Hazardous substances. ◦ Housekeeping / cleanliness. ◦ Lifting equipment.  Lighting.  Manual handling.  Machinery guarding.  Noise.  Personal protective equipment.  Pressure vessels.  Safe access / egress.  Signs and abstracts.  Suitability of stored materials.  Temperature / ventilation.  Welfare conditions.

9. Monitoring method OutlinePurpose InspectionFormal, structured examination Identify & control obvious hazards Safety sampling Random sampling exercise of H&S conditions & practices Note omissions or non- compliances Safety tourUnscheduled observation of the workplace Assess workplace standards and raise the profile of H&S Safety survey Examination of a specific aspect of H&S Determine issues regarding control of a specific hazard Active Monitoring Techniques

10.  Inspections must lead to corrective action.  Actions to eliminate or control hazards must be: ◦ Clearly defined. ◦ Prioritised. ◦ Allocated to responsible persons for action. ◦ Allocated deadlines for completion. ◦ Allocated a review date.

11.  Monitoring issues such as; ◦ Accidents ◦ Near misses. ◦ Dangerous occurrences. ◦ Ill health. ◦ Employee complaints ◦ Enforcement action.

12.  Determines the; ◦ Existence, ◦ Adequacy, and ◦ Use,  of a health and safety management system. Audit

13. AuditsInspections Tests existence, adequacy and use of safety management systems Identifies uncontrolled hazards Includes physical inspection, interviews and documentation checks Physical inspection only Carried out less frequently e.g. annually Carried out on a frequent basis e.g. monthly Carried out by someone independent Carried out by a supervisor or team leader of the area Slow-moving changes after auditPrompt actions following inspection Audits vs Inspections

14.  Types of audit: ◦ Management system audit;  Internal / external. ◦ Management system audits of contractors;  Internal / external. ◦ Certification / registration audits;  External;  E.g. Santia, to assess conformity with OHSAS 18001.

15.  Objectives; ◦ Extent of conformity with the SMS. ◦ Evaluation of legal compliance. ◦ Evaluation of whether SMS achieves objectives. ◦ Identification of areas improvement.  Scope.  Extent and boundaries; ◦ Physical locations. ◦ Business units. ◦ Activities and processes. ◦ Other disciplines such as quality and environmental management systems. ◦ Time period covered by the audit. Objectives and Scope

16. 1.Setting audit objectives. 2.Selecting the audit team. 3.Notifications and contact with the auditees. 4.Information gathering. 5.Interviews. 6.Draw conclusions. 7.Report and presentation. 8.Action by the organisation.

17. Internal auditorsExternal auditors AdvantagesDisadvantages Cheaper More expensive Easier to arrange More time required to organise Informal, non-threatening More formal, more threatening to auditees DisadvantagesAdvantages May be influenced by internal relationships Less knowledge of internal relationships Conclusions may not taken seriously Increased formality and experience may give weight to conclusions May be bias Independent of internal competition Assumptions influence conclusions Independence requires auditors to ask obvious questions

18.  Reasons for investigation; ◦ Prevent future accidents. ◦ Demonstrate concern. ◦ Identify weaknesses in management systems. ◦ Prevent business losses. ◦ Collate accident and ill-health data and establish trends. ◦ Comply with;  MHSWR.  RIDDOR. ◦ Defend;  Claims for compensation.  Criminal prosecution. Incident, Accident and Ill-health Investigation

19.  Accident; ◦ ‘An unplanned, unwanted event which results in loss’.  Incident / near miss; ◦ ‘An unplanned, unwanted event that has the potential to result in loss’.  Occupational ill-health; ◦ ‘Any acute or chronic ill-health caused by physical, chemical or biological agents as well as adverse affects on mental health’. Definitions

20. ALack of management control BIndividual and job factors CUnsafe acts and / or conditions DAccident ELoss Domino Theory

21. LTA = Lost Time Accident Incidents and Accidents

22.  Slips / trips / falls on the same level.  Falls from height.  Falling objects.  Collision with objects.  Trapping / crushing under or between object/s.  Manual handling.  Contact with machinery / hand tools.  Electricity.  Transport.  Contact with chemicals.  Asphyxiation / drowning.  Fire and explosion.  Animals.  Violence. Accident Categories

23.  Steps to take following an incident / accident; ◦ Emergency response. ◦ Initial report. ◦ Initial assessment and investigation. ◦ Gathering further information. Investigation

24.  Which events should be investigated? ◦ The decision should be made on potential consequences and the likelihood of another event occurring.

25.  Who Should Investigate? ◦ Supervisors and line managers. ◦ A senior manager. ◦ A senior manager from another department. ◦ Health and safety professionals. ◦ A specialist e.g. an engineer. ◦ Safety Representative or a RoES. ◦ An employee experienced in the work activity.

26.  What equipment will be required? ◦ Camera. ◦ Writing materials. ◦ Paper or investigation forms. ◦ Measuring tape. ◦ Area plans. ◦ Protective equipment. ◦ A checklist.

27. 1.Gather the information. 2.Analyse the information. 3.Identify the risk control measures. 4.Take action.

28.  Establish the facts: ◦ What activities were being carried out at the time? ◦ Was there anything unusual? ◦ Were there adequate SSoW and were they followed? ◦ Was the risk known? If so why wasn’t it controlled? ◦ Did the organisation and arrangement of the work influence the accident? ◦ Was maintenance and cleaning sufficient? ◦ Was the safety equipment sufficient? 1.Gather the Information

29.  Materials; ◦ Materials or substances, etc.  Equipment; ◦ Tools, vehicles, machinery, etc.  Environment; ◦ Lighting, temperature, etc.  People; ◦ Human error, inexperience, training Gather the Information

30.  Other factors; ◦ Nature of the work e.g. routine. ◦ Specialist examinations. ◦ Medical reports. ◦ Interviews / witness statements. ◦ Do not dismiss contradictory evidence.

31.  Ensure interview is private and confidential  Establish trust and rapport  No prompting or leading witness  Asking open questions  Keeping questions simple and short  Verifying the facts to ensure understanding  Not making immediate judgements

32.  Documentary evidence; ◦ Risk assessments. ◦ SSoW. ◦ Incident / accident history. ◦ Training records. ◦ Maintenance records. ◦ Equipment instructions. ◦ Monitoring, e.g. dust, noise. ◦ Supervision rotas. ◦ Inspection reports. ◦ Pre-start equipment checks.

33.  Analysis should determine: ◦ Cause of the injury. ◦ Immediate causes. ◦ Underlying causes. ◦ Root causes. 2.Analyse the Information

34.  There may be; ◦ No control measures in place. ◦ Control measures in place that were not used. ◦ Control measures in place that failed. ◦ Combinations of the above. 3.Identify the Risk Control Measures

35. Safe Place Safe Person Hierarchy of Control

36.  Investigation report should provide: ◦ Summary and conclusions. ◦ Details of the person injured, the date, time and location of the accident. ◦ Information gathered. ◦ Analysis of the information. ◦ Recommendations. ◦ Action plan (SMART). 4.Take Action

37.  Monitoring trends.  Prevent a recurrence.  RIDDOR 3 years.  COSHH health surveillance 40 years.  Defend civil claim / criminal action. Reasons to keep Accident Records

38.  Reasons accidents may not be reported: ◦ Ignorance of procedures. ◦ Peer group pressure. ◦ To preserve a department’s safety record. ◦ Complicated reporting procedures. ◦ A lack of management feedback. ◦ To avoid receiving first-aid or medical treatment. Reporting Accidents

39.  Requires the responsible person to report: ◦ Death. ◦ Specified Non-Fatal Injuries. ◦ Injury to member of public that requires them to be taken to hospital. ◦ Over seven day incapacitation. ◦ Dangerous occurrences. ◦ Occupational diseases. RIDDOR

40.  Without Delay (online form) ◦ Death (+ telephone) ◦ Specified non-fatal injury (+ telephone) ◦ Person not at work taken to hospital ◦ Dangerous Occurrence  Within 15 days of incident (online form) ◦ Over-seven-day injury  As soon as diagnosed as work-related (online form) ◦ Occupational disease

41. OnlineBy completing the relevant form at www.hse.gov.uk/riddor/report.htm www.hse.gov.uk/riddor/report.htm By TelephoneContact ICC on 0845 3009923 (fatal and specified non-fatal injuries only) Out-of-hoursContact Duty Officer on 0151 922 9235 for serious incidents only

42.  Death; ◦ Death of ANY person from a workplace accident, within 1 year ◦ Death from exposure to biological agent  Specified non-fatal injury, e.g.; ◦ Fractured arm. ◦ Amputation. ◦ Crush injury (head or torso).  Over seven day injury; ◦ Non-major injury. ◦ Unable to do ‘normal’ work for more than 7 days. ◦ Includes non-work days.

43. Definitions  Dangerous occurrence, e.g. ◦ Failure of lifting equipment. ◦ Collapse of scaffold (over 5m). ◦ Electrical fault causing fire or explosion.  Disease; ◦ Associated with a specific work activity, e.g.:  Occupational dermatitis – known skin sensitiser or irritant e.g. solvents.  Occupational asthma – known respiratory sensitiser e.g. wood dust  Carpal tunnel syndrome – vibrating or percussive tools.

44.  Collecting data; ◦ Incidents and accidents. ◦ Work related ill-health.  Data can then identify trends and compared with other benchmarks.  Analysing data; ◦ Category of person. ◦ Injury type. ◦ Part of body injured. ◦ Age. ◦ Work activity. ◦ Shift / time of day. ◦ Location of accident. Collecting Data

45. ◦ Zero accidents does not necessarily indicate low risk. ◦ Data is based on past failures. ◦ Under‑reporting. ◦ Statistics can be manipulated. ◦ Individual differences. ◦ There are different risks in different jobs and tasks. ◦ A single (unusual) event can greatly influence statistics. Limitations of Statistics

46.  Data can be communicated via: ◦ Safety committees. ◦ Local team briefings. ◦ Company magazines. ◦ Boardroom performance reports. ◦ Performance reviews for managers. ◦ Annual reports. Communicating Data

47.  Review and evaluate the effectiveness of H&S management system and promote continual improvement.  Does the organisation: ◦ Achieve H&S objectives? ◦ Implement effective risk controls? ◦ Ensure the effectiveness of training, communication and consultation programmes? ◦ Learn from management system failures? ◦ Implement lessons learnt across the whole organisation? ◦ Meet legal standard? ◦ Reduce the risk of accidents and ill-health? Review of Health & Safety Performance