Element 4: Health and safety monitoring and measuring

4.1 Investigating and reporting incidents

Investigations should be proportionate to the seriousness of the incident. HSG245 describes four levels: minimal, low, medium and high. Higher levels use bigger teams, more time and more detailed methods.

The basic steps of an investigation:

1. Gather the information (the scene, witnesses, documents, photographs).
2. Analyse the information (what happened, immediate and underlying causes, human factors).
3. Identify risk control measures.
4. Set up an action plan and see that it is carried out.

Organisations also have to record and report occupational accidents and diseases following national law and the ILO Code of Practice on recording and notification (chapters 4 to 7).

Key terms

• HSG245: The HSE guidance on investigating accidents and incidents.

Study tip: Investigate near misses too. They are free warnings.

Practice questions for 4.1

4.2 Active and reactive monitoring

Active monitoring checks that controls are in place and working before anything goes wrong. Methods include inspections, safety tours and sampling (for example noise or air sampling). They are most useful when carried out regularly by competent and objective people, using checklists, and with clear responsibilities for actions and priorities.

Reactive monitoring looks at what has already happened: ill health data, incident data and incident investigations. It is useful for learning from failures but it comes after the harm.

Organisations should learn from both beneficial events (things that went well) and adverse ones. Leading indicators measure the effort put into prevention (inspections done, training completed, actions closed on time). Lagging indicators measure outcomes after harm (injury rates, days lost).

Key terms

• Leading indicator: A measure of preventive activity done before harm occurs.
• Lagging indicator: A measure of harm that has already occurred.

Study tip: Good monitoring uses both kinds of measure.

Practice questions for 4.2

4.3 Health and safety auditing

An audit is a systematic, independent and documented process for obtaining evidence and judging how far audit criteria are met (ISO 45001 clause 3.32). Audits look at the management system as a whole. Inspections look at physical conditions and are narrower. Audits show where the system is failing and also give assurance and organisational learning.

Types of audit include product or service, process and system audits. Internal audits are cheap, use people who know the organisation and can be done often, but may lack independence. External audits are more objective and bring fresh ideas, but cost more and the auditors know the organisation less well.

Audit stages: notify the audit and set a timetable; prepare (a competent audit team, time and resources); gather information; analyse it; and complete an audit report.

Study tip: Do not confuse an audit (system) with an inspection (conditions).

Practice questions for 4.3

4.4 Review of health and safety performance

Management should review performance regularly to decide whether the system is suitable, adequate and effective, and what needs to change.

The review considers:

• Compliance with legal and other requirements
• Incident data and corrective and preventive actions
• Results of inspections, tours and sampling
• Absence and sickness
• Quality assurance reports
• Audit results
• Monitoring records
• External communications and complaints
• The results of consultation and participation
• Whether objectives were met
• Actions from earlier reviews
• Legal and good practice developments
• Opportunities for improvement

The review should be reported, and its outputs should feed into action and development plans as part of continuous improvement.

Study tip: A review that produces no actions has not been a review.

Practice questions for 4.4