Element 4 cheat sheet: Health and safety monitoring and measuring

4.1 Investigating and reporting incidents

• Investigations should be proportionate to the seriousness of the incident.
  • ('text', 'Investigations should be proportionate to the seriousness of the incident.')
• 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).
  • ('text', '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).')

Terms: HSG245

Tip: Investigate near misses too. They are free warnings.

4.2 Active and reactive monitoring

• Active monitoring checks that controls are in place and working before anything goes wrong.
  • ('text', 'Active monitoring checks that controls are in place and working before anything goes wrong.')
• Reactive monitoring looks at what has already happened: ill health data, incident data and incident investigations.
  • ('text', 'Reactive monitoring looks at what has already happened: ill health data, incident data and incident investigations.')
• Organisations should learn from both beneficial events (things that went well) and adverse ones.
  • ('text', 'Organisations should learn from both beneficial events (things that went well) and adverse ones.')

Terms: Leading indicator, Lagging indicator

Tip: Good monitoring uses both kinds of measure.

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).
  • ('text', '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).')
• Types of audit include product or service, process and system audits.
  • ('text', 'Types of audit include product or service, process and system audits.')
• 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.
  • ('text', '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.')

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

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

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