Igc 1 Element 5

Front 1

What is the Purpose of monitoring?

Active monitoring?

Reactive monitoring?

All inspections focus on the WHAT? (P.P.P.P)

Safety S.I.T.S?

Back 1

Purpose: Assess the performance against set targets and to assess how effectively procedures are being implemented.

Active: To ensure that health and safety standards are correct in the workplace before accidents, incidents or ill-health are caused.

Reactive: Using accidents, incidents and ill health as indicators of performance to highlight areas of concern also to identify trends and patterns from accident statistics

(P.P.P.P): Plant, Premises, People, Procedure

Safety S.I.T.S: Surveys, Inspections, Tours, Sampling

Front 2

Safety surveys: Detailed examination of a particular issue or topic e.g detailed examination of the provision of emergency lighting within a building.

Other types of detailed examinations include: Environmental monitoring e.g noise assessment - noise survey carried out by a competent person using sound level meter.

A structural survey: Detailed examination of the structural integrity of a building or item

Back 2

Safety inspections: Focuses on many different areas

Regular, scheduled activity with comparison to accepted performance standards.

It can be applied to:
1. Routine: Inspection of a workplace to determine if general standards of health and safety acceptable or if corrective actions is necessary (e.g quarterly housekeeping inspection in an office)
2. Statutory: Inspection of item by competent person to fulfil legal requirement (e.g annual thorough examination of an item of lifting equipment)
3. Periodic: Inspection of plant and machinery as part of a planned maintenance programme (e.g mechanic inspects lorry brakes on a regular basis to ensure they are not excessively worn)
4. Pre-use checks: Carried out by workers before use of certain item of plant or machinery (e.g start up check carried out by fork lift truck driver)

All these inspections can be repeated routinely to form an inspection regime and all can be recorded to provide evidence of inspection.

Front 3

Safety tours: High profile formal or informal (usually unscheduled) inspection of a workplace carried out by a group or team including managers.

One objective of a tour is to raise profile of health and safety and to demonstrate management interest and commitment.
Safety observation tours can be used to monitor the way that workers are behaving, known as: Behavioural Observation.

Other active monitoring techniques:
1. Health surveillance
2. Benchmarking
3. Audits

Back 3

Safety sampling: Technique of monitoring compliance with a particular workplace standard by looking at a representative sample only

E.g Large office complex has 1,200 fire extinguishers that must be inspected annually by competent engineer.

Therefore a safety sample would be:

1. Check a representative sample of 50 extinguishers selected at random from various locations around the complex. This provides better evidence of compliance to the standard than simply checking engineers maintenance records (may have signed extinguishers off without ever inspecting them)
Also for less time consuming than checking all 1,200 extinguishers directly.

Front 4

Arrangements for workplace inspection?
6

Back 4

1. Type - What are we inspecting?
2. Frequency - How often?
3. Statutory requirements - Legal compliance?
4. Responsibility allocation - Who will complete inspections?
5. Checklists:
Positives - Provide a form of written record of inspection and its applicable findings and shows consistency of approach to process.
Negatives: Inspector may miss issues or unsafe conditions not included in check list.
6. Action for improvement: Corrective action required. Persons responsible for taking action. Priorities, timescales.

Front 5

Factors to consider when determining FREQUENCY of inspections?
5

Back 5

1. Statutory requirements may dictate inspection frequency
2. Activities carried out and the level of risk
3. Manufacturers may make recommendation as to inspection frequency and content
4. Presence of vulnerable workers e.g young and inexperienced people
5. Accident history

Front 6

Evaluation / Monitoring

Reactive:
1. Statistics - Accidents, near misses, ill health(To identify TRENDS AND PATTERNS)
2. Enforcement actions
3. Civil claims
4. Incident investigation

Trend: Consistent up or down in numbers of certain types of event over a period of time
Pattern: Collections or hot-spots of certain types of event.

Back 6

ACTIVE:

1. Safety S.I.T.S:
-Survey
-Inspections
-Tours
-Sampling

2. Benchmarking
3. Health surveillance
4. Audits

Front 7

Distinction between audits and inspections?

Back 7

Audit: focuses on the management system.

1. Examines documents... Safety policy, arrangements, procedures, risk assessments, safe systems of work, method statements etc...
2. Looks closely at records such as those created to verify training, maintenance, inspection, statutory, examinations etc...
3. Verifies standards exist within the workplace by interview and direct observation.

Inspection: Is a simpler process of checking the workplace for uncontrolled hazards and addressing any found.

Front 8

Audit Process

Pre-Audit preparation:

1. Scale of the audit - To cover health and safety or health and safety environment as well
2. Area of audit - 1 department?, 1 site?, all sites?
3. Extent of audit - Fully comprehensive (may take weeks) / More selective
4. Who required - Auditors will need to be accompanied during visit and will will need access to managers and workers for information gathering therefore those required for interview are given advance notice.
5. Information gathering - Common practice for auditors to ask for copies of relevant documents before starting audit so they can prepare.

Organisation ensures auditor competent (qualifications and experience). If internal staff used to audit sufficient time and resources allocated so training and development in that role.

Back 8

During the audit: 3 methods to gather factual information (D.O.I)

Documents: from reference paperwork
Observations: Direct observation of workplace. equipment, activities, behaviour
Interviews: Verbal evidence given by managers / workers

Typical information examined during an audit.

1. Health and safety
2. Risk assessments, safe systems of work, permit to work
3. Training records
4. Minutes of safety committee meetings
5. Accident investigation reports and data (including near miss data)
6. Emergency arrangements
7. Records of worker complaints

Front 9

Audit process

At the end of an audit

Verbal feedback is usually provided at the end of an audit (possible presentation to management team).
This verbal feedback will be followed by a written report.
Report will make recommendations for improvements with an indication of priorities and timescales.

Back 9

External Audits advantages:
- Recommendations often carry more weight
- May be more up-to-date with law and best practices

External Audits disadvantages:
- Expensive
- May not understand business therefore make impracticable suggestions

Internal Audits advantages:
- Less expensive
- Already familiar with the workplace and what is practicable for the industry

Internal Audits disadvantages:
- May be subject to internal influence
- May not be up-to-date with law and best practices

Front 10

Why should incidents be reported?
5

Back 10

1. To trigger the provision of first aid treatment
2. Preserve accident scene for the investigation
3. Enable an investigation to be carried out to prevent recurrence
4. To meet legal requirements to report incidents
5. To record that an incident has occurred in the event of subsequent civil claims

Front 11

Reasons why workers might NOT report incidents?
8

Back 11

1. No reporting system in place
2. Unclear organisational policy on reporting incidents
3. Culture of not reporting (perhaps due to peer pressure)
4. Overly complicated reporting procedure
5. excessive paperwork
6. Blame culture present
7. Apathy due to management perceived response in the past
8. Concern over impact on company or departmental statistics (especially if linked to an incentive scheme).

Front 12

Reasons for investigating incidents?
8

Back 12

1. To identify immediate and root causes
2. To prevent reoccurrence by implementing new controls
3. To have a formal documented record
4. Legal requirements - both criminal and civil (implicit duty to report / investigate incidents)
5. Staff morale - Detrimental effect on safety culture if not done
6. Disciplinary action / Who's fault
7. Update the risk assessment - Incident shown deficiency in risk assessment
8. Discover trends and patterns (statistical)

Front 13

Basic Investigation Procedure

Before the investigation can begin, there are 2 important issues to be considered:-

1. Safety of the scene: Is the area safe to approach? Is immediate action needed to eliminate danger even before casualties are approached?

2. Casualty care: Injured people will require first aid / hospitalisation consider welfare of uninjured by standers by who may be in shock.

Back 13

Steps of investigation: G.A.I.T

1. Gather information - (D.O.I - O.I.D) Observations, Interviews, Documents.
2. Analyse information -Immediate causes, underlying root causes.
3. Identify controls - E.R.I.C.P.D
4. Timescale and plan remedial action - Timescale, allocate responsibility.

Front 14

Good witness interview techniques include?
6

Back 14

1. Hold interview in a quiet room in an area free from distractions and interruptions
2. Explain purpose of interview (emphasising interview is fact finding and not about assigning blame)
3. Use open questions to inhibit yes/no answers (what, why, who, how, when, where)
4. Take notes so facts discussed not forgotten
5. Ask witness to sign a statement to create record of their testimony
6. Thank witness for their help.

Front 15

Step 1: Gather information

- Secure scene asap to prevent it being altered
- Collect witness details quickly before they start to move away. Possibly separate witnesses from each other to prevent collusion / contamination of their testimony

1st source: Observe scene - Collect factual information and record it.
-Photographs
- Written description of factors such as wind speed, temperature
-Taking physical evidence
- Mark up existing site / location plans

Back 15

Once scene examined move to 2nd source: Witnesses

- Witnesses often provide crucial evidence about what occurred before, during and after incidents.

Once witnesses interviewed move to 3rd source: Documentation.

-Site plans, area layout plans
- Company policy
- Risk assessments
- Safe systems of work and permit to work
- Training records
- Maintenance records

Front 16

Step 2: Analysing information

- Purpose here = Draw conclusions about immediate and root causes of the incident.

Immediate causes: Are unsafe acts and unsafe conditions that gave rise to event itself (occurring at time and place of accident) e.g worker slips on patch of oil spilt on floor.

Slip hazard (unsafe condition)
Worker walking through oil (unsafe act)

Unsafe acts = Removing P.P.E, speeding, smoking in unauthorised area's, removal of machine guards.
Unsafe condition = Oil spill, no safety signage, poor housekeeping, lack of welfare, NO machine guards

Back 16

Underlying root causes are: Things behind the immediate causes. Often will be failure in management system.

- Failure to adequately supervise workers
- Failure to provide appropriate P.P.E
- Failure to provide adequate training
- Failure to carry out proper Risk assessments

If there are multiple causes for an accident then it is important that each of these causes is identified during the investigation daring the investigation, otherwise incomplete remedial action will be taken and similar accidents may happen in the future.

Front 17

Step 3: Identifying suitable control measures

- Once the immediate and underlying causes of the accident are known, appropriate control measures can be identified
- Important that the correct measures are established, otherwise time, money and effort will be wasted on inadequate and unnecessary measures that will not prevent similar occurrence in the future

- Control measures must remedy both immediate (usually easy to identify) and underlying root causes (more different to identify because they reflect failure of the management system)

Back 17

- Implementing controls for root causes will help prevent similar incidents occurring across the whole organisation.

Clean up the oil spill leaking out of a vehicle in the distribution depot, but fail to deal with underlying cause (lack of inspection) and more leaks will occur which in turn will lead to more pedestrian slips / vehicle skids.

Front 18

Step 4: Plan remedial actions

An incident investigation should lead to corrective action being taken. Remedial actions can be presented in an action plan: Actually in the form of a

Recommended action plan: Introduce induction training for all drivers

Priority: Medium
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Timescale: 1 month
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Responsible person: Warehouse manager
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When action plan is being prepared, appropriate and interim control measures must be given suitable priorities and timescales

Back 18

Typical contents of an incident investigation report may include:

1. Time and date of incident
2. Location of incident
3. Details of injured persons involved (name, role, work, history)
4. Description of activity carried out at time of incident
5. Photo - to convey information of the scene
6. Immediate and root causes of incident
7. Assessment any breaches in legislation
8. Estimation of the cost implications for the organisation
9. Details of witnesses and witness statements
10. Recommended corrective action - with priorities, timescales, allocation of responsibility.