Health and safety For NEBOSH

Element 3: Health and safety monitoring and measuring

1. Explain the difference between Proactive and Re-active monitoring and give an example of each.

a) Active monitoring – checking to ensure that health and safety standards are correct in the workplace before accidents, incidents, or ill health are caused.

These tend to be preventive in nature, for example:

• Routine inspections of premises, plant and equipment by staff

• Health surveillance to prevent harm to health

• Planned function check regimes for key pieces of plant

Reactive monitoring – using accidents, incidents and ill health as indicators of performance to highlight areas of concern.

for example:

• Investigating accidents and incidents

• Monitoring cases of ill health and sickness absence records.

2. Identify active and reactive means by which an organisation can monitor its health and safety performance.

a) Active monitoring methods including:

· Safety inspections,

· Surveys,

· Audits

· Sampling,

· Environmental monitoring,

· Health surveillance,

· Behavioural observation such as by carrying out safety observation tours and

· Benchmarking against the performance of other like organisations.

Reactive monitoring methods which might be used include:

· Accident and ill-health statistics and reports.

· Incidents of reported near-misses and dangerous occurrences.

· Property damage.

· Actions taken by the enforcement authorities.

· The number of civil claims.

· An analysis of absences and lost time.

· Complaints by workers and

· The costs involved in all the above.

3. What are the reactive measures that can be used to monitor an organisation’s health and safety performance.

a) The reactive measures that can be used to monitor an organisation’s health and safety performance include:

· The number of reported accidents and the frequency, incidence and severity rates;

· Sickness absence rates particularly those relating to occupational ill-health;

· Incidents of reported near misses and dangerous occurrences;

· Property damage;

· The number of actions such as the issue of notices, prosecutions and the serving of verbal or written warnings taken by the enforcement authorities;

· The number of civil claims;

· Records of absenteeism and staff turnover;

· The number of complaints from employees or neighbours and

· The costs involved in all the above.

4. (a) Outline the role of workplace health and safety inspections.

a) A workplace inspection is a general examination of health and safety performance at a particular point in time. As well as demonstrating management commitment, its role is to:

· Identify workplace hazards.

· Implement immediate corrective action where this is possible.

· Ensure compliance with the law and with laid down standards.

· Recommend improvements and further controls when these are seen to be necessary.

· Observe employee behaviour, for example, in the use of personal protective equipment.

· Listen to and consult with workers on health and safety issues.

· Review previous findings and recommendations and

· Provide a summary report to individual managers on standards in their areas of control.

5. What are the strengths AND weaknesses of using a checklist to complete a health and safety inspection of a workplace?

a) Strengths of checklists:

· Enables prior preparation and planning so that an inspection can be more structured and systematic

· Reduces the chances of important areas or issues being overlooked

· Provides an immediate record of findings

· Ensures a consistent approach

· Provides an easy method of comparison and audit.

Weaknesses of checklists:

· May lead to a blinkered approach resulting in maybe significant risks may be overlooked

· May not be reviewed or updated to take account of changes in work processes, etc.

· Become routine with no follow-up questions

· Too objective and restrictive with little or no scope for peripheral issues

· Procedure is subject to human error and/or abuse.

6. (a) Identify TWO types of health and safety inspection.

(b) Outline the skills and knowledge that are required of an employee who conducts health and safety inspections.

a) Part (a)

· Pre-use checks for example of portable appliances or ladders;

· General periodic workplace inspections;

· Statutory inspections;

· Those associated with planned preventative maintenance;

· Safety tours;

· Safety sampling

· Inspections carried out by members of the enforcement authority.

Part (b)

There are a range of qualities expected of an employee who carries out health and safety inspections including:

Relevant Knowledge:

· The knowledge he/she should possess such as a general knowledge of health and safety together with the legal requirements and any published guidance;

· Knowledge of the workplace and the work activities carried out with the procedures that have been introduced such as safe systems of work and the use of permits to work;

· Knowledge as to whom he/she should report the results of the inspections.

Relevant skills:

· The ability to identify hazards and risks and to detect deficiencies in the control measures provided;

· Observational skills together with the ability to record and report observations;

· Interpersonal skills including the ability to interview and question fellow employees

· The ability to recognise his/her own limitations.

7. What the significant areas that should be considered during a planned health and safety inspection of a workplace? OR

Typical topic headings that might be included in a generic inspection checklist.

a) Areas that should be considered during a planned health and safety inspection of a workplace are:

· Traffic routes in and around the inspection area

· Means of access to and egress from the area of inspection

· Work equipment and work processes used in the area being inspected

· The work practices such as manual handling, ergonomics, etc that are employed within the work area

· Work environment itself, to include space, lighting, heating, air movement, ventilation, etc

· Electricity and electrical sources as well as other power sources present

· Fire precautions required within the workplace

· First-aid facilities provided with regard to the risks posed by work operations and or situations

· Welfare facilities to include washing, changing resting and toilet facilities as appropriate

· Workstation ergonomics – matched to the worker and the tasks that they perform

· The standards of housekeeping being achieved against what is required.

8. What are the factors to take into account when determining the frequency of general workplace inspections?

a) Factors to take into account when determining the frequency of general workplace inspections:

· Statutory requirements may dictate an inspection frequency.

· The activities carried out and the level of risk.

· How well established the process is (e.g. new equipment may require more frequent monitoring).

· Risk assessments may suggest inspections as a control measure.

· Manufacturers may make recommendations in relation to inspection frequency and content.

· The presence of vulnerable workers (e.g. young and inexperienced people).

· Findings from previous inspections, which may suggest compliance concerns.

· Accident history and results of investigations.

· Enforcement authorities may recommend inspections.

· Whether workers have voiced concerns.

9. What are the different types of incidents?

a) Incidents can be categorised according to their nature and outcome:

ACCIDENT: An unplanned, unwanted event which leads to injury, damage or loss.

Accidents can be further subdivided into:

Injury accidents – an unplanned, unwanted event which leads to personal injury of some sort.

Damage-only accident – an unplanned, unwanted event which leads to damage to equipment or property.

NEAR MISS: An unplanned, unwanted event that had the potential to lead to injury, damage or loss, but did not, in fact, do so.

DANGEROUS OCCURRENCE: A specified event that has to be reported to the relevant authority by statute law.

WORK-RELATED ILL HEALTH: Diseases or medical conditions caused by a person’s work.

10. Give reasons why reasons for investigating incidents.

a) The reasons for investigating the accidents are:

· To identify the immediate and root causes – the unsafe actions and unsafe conditions and the factors that lead to them.

· To identify corrective action to prevent a recurrence

· To record the facts of the incident – people do not have perfect memories, and accident investigation records document factual evidence for the future.

· For legal reasons – accident investigations are an implicit legal duty imposed on the employer, in addition to the duty to report incidents.

· For claim management – if a claim for compensation is lodged against the employer, the insurance company will examine the accident investigation report to help determine liability.

· For staff morale – non-investigation of accidents has a detrimental effect on morale and safety culture because workers will assume that the organisation does not value their safety.

· To enable risk assessments to be reviewed and updated – an incident suggests a deficiency with the risk assessment, which should be addressed.

· For disciplinary purposes – though blaming workers for incidents has a negative effect on safety culture, there are occasions when an organisation has to discipline a worker because their behaviour has fallen short of the acceptable standard.

· For data-gathering purposes – accident statistics can be used to identify trends and patterns; this relies on the collection of good quality data.

11. What are the benefits of conducting an accident investigation?

a) Benefits that result from investigating accidents, including:

· The prevention of similar situations

· Complying with legal requirements

· Complying with insurance requirements

· Improving workplace safety standards

· Improving employee moral

· Preventing future business losses

· The provision of information to assist in legal proceedings evidence to support a defence in enforcement action or where is civil claim is being sought

· Improving attitudes towards health and safety in the workplace.

12. What is the information that should be included in an accident investigation report?

a) The information that should be included in an accident investigation report is:

· Date and time of the accident

· Location of the accident

· Details of the injured person (Name, designation, contact details)

· Details of the witness

· What is the type of the injury sustained and losses sustained

· What was the equipment or the tools involved

· Estimated cost of the accident

· Who investigated the accident (name & Signature of the investigating officer)

· Date of investigation

· Introduction, Summary and main body such as observations, legal breaches & likely enforcement action

· Recommendations & conclusions

· Immediate causes and the root causes for the accident

· Any immediate actions taken immediately to make the area safe

13. A workplace accident has occurred, and an investigation is to take place.

(a) Give the meaning of the term ‘immediate causes.

(b) Give TWO examples of immediate causes that could have contributed to a workplace accident

(c) Give the meaning of the term ‘underlying (root) causes.

(d) Give TWO examples of root causes that could have contributed to a workplace accident.

a) Part (a)

The term immediate cause is the unsafe act or condition that resulted in an accident, incident or loss.

Part (b)

Carelessness

Lack of attention

Guard missing off a machine

Part (b)

Underlying or root cause – is the failure of procedures and/or management systems that resulted in the unsafe act or condition

Part (b)

Not checking on the proper completion of a maintenance task

Not providing training to the workers

Inappropriate level of supervision for the risk

Inappropriate procedures

14. An engineer was involved in a near-miss incident when he dropped a component whilst working on an overhead crane. The component narrowly missed an employee who was passing below.

(a) Give FOUR reasons why the near-miss incident should be investigated.

(b) Identify SIX possible root causes of the near-miss incident.

a) Part (a)

The incident should be investigated in the first instance to prevent a recurrence by identifying its causes and any weaknesses in the existing procedures and systems. It would also help to set priorities for any remedial action found to be necessary if for instance risk assessments and safe systems of work need to be amended.

An investigation would additionally help to demonstrate management commitment to health and safety and assist in maintaining and even improving the health and safety culture of the organisation and the morale of the workforce.

Part (b)

Possible root causes include:

· A failure to carry out an adequate risk assessment of the operation resulting in the

· absence of recognised procedures for carrying out maintenance work

· No safe system of work for handling components.

· No system in place for advising other employees of the operation which was about to be

· carried out

· Lack of signs and barriers erected to keep employees away from the area beneath the

· crane.

· The engineer’s competence and training would have to be questioned together

· The possibility that he/she was subjected to excessive work demands so that he/she did

· not have the time to take the necessary precautions in completing the job with, in co

· Lack of proper supervision

15. An employee has been seriously injured after being struck by a reversing vehicle in a loading bay.

What are the possible immediate causes and FOUR possible underlying (root) causes of the accident.

a) Causes of immediate causes of the above accidents may be:

· Slips on workplace surface on the level, employee not paying attention, no reversing alarm on the vehicle, forklift truck operator not be attentive and not looking around for pedestrians.

The root causes for the above accidents could be:

· Slips on the workplace level may have a root cause of oil being split and not cleaned up immediately

· The root cause of a Forklift truck could be attributed to the driver being not properly trained and inadequate training in reversing techniques.

· The root cause of the employee slipping may be that the housekeeping regime is in adequate and not monitored.

· The forklift truck may not be well maintained to check the reversing alarm is working.

16. Identify FOUR categories of persons who may be considered a useful member of an internal accident investigation team & Giving reasons in EACH case.

a) Accident investigation team members must be chosen for their knowledge, skill and experience in certain areas.

Four members who could be useful are:

· Health and Safety Manager - the individual would bring the skills and knowledge of a health and safety professional and have in – depth knowledge of accident investigation.

· Supervisor - this individual would have first hand knowledge of the workers task and activities and the 'on the job hazards'.

· Worker Representative - this individual would bring the experience of the work and have information gained via interaction with colleagues on a range of issues in the workplace.

· Worker – A person who was involved in the accident may be able to make useful contributions to other members of the investigation team

· Site Engineer - This person would probably be the most senior to lead the investigation, the professional engineering background would bring a systematic methodology of examining any mechanical failures etc.

· Technical Expert – If the technical level of knowledge is not readily available there may be a need to include such a person

· Senior Manager – If a senior manager was involved then there is the availability of authority that may enable quicker decisions to be made to off-set additional problems arising and not having to wait the course of time to obtain permissions to have certain works done, etc.

· Health and Safety Practitioner – This person would be available to give advice on matters relating to legislative requirements, good investigation techniques, etc.

· Trade Union Representative (e.g. Safety Representative) – In some countries these have a right in legislation to be involved in such matters to represent their members.

17. What are the FOUR types of major injury which normally requires immediate reporting under national legislation?

a) Fractures (other than fingers, thumbs and toes)

Amputation

Loss of sight (including temporary)

Broken bones

Electrocution requiring resuscitation

Hospitalisation overnight or for more than 24 hours

Injury that required resuscitation

18. What are the factors that could prevent accidents from being reported at work by employees?

a) The reasons why workers might not report the accidents in the work area are:

· Persons being ignorance of reporting procedures

· Peer pressure placed on persons not to report

· The fear of possible retribution by management

· The preservation of the company’s or departments safety record (particularly where incentive schemes are in place)

· Avoidance of first-aid or medical treatment for fear of an individual being considered a risk

· A worker wanting to keep on the right side of a supervisor or manager

· Over-complicated reporting procedures

· Lack of management response to earlier reported accidents

· Persons not being encouraged to report injuries

· Blame culture

· Prone to disciplinary action

· Loss of incentives

· Jeopardises advancement / promotion

· To many formalities

· Embarrassment

· May be used as a poor example to others (pride)

19. What are the immediate and long terms actions that should be taken after a serious workplace injury accident?

a) The immediate and long-term actions are:

· Make sure the area is safe to enter to assist any injured person

· Obtain assistance for the injured person and secure any damage

· Call for external assistance

· Assist with any external investigations – police, etc

· Inform respective persons – management, HR, relatives, owner of assets, etc

· Gather internal investigation team

· Obtain facts such as Statements, Photos, Records – maintenance, training, risk assessments, Permits and safe systems of work

· Analyse information

· Determine actions required

· Generate reports with action plans

· Follow-up

· Review risk assessments

· Review management system and related procedures

· Follow-up on actions progress

20. (a) Give the meaning of the term ‘health and safety audit’.

(b) key areas that may be covered within a health and safety audit.

(c) Explain how the findings of a health and safety audit can be used to improve health and safety performance.

a) Part (a)

The structured process of collecting independent information on the efficiency, effectiveness and reliability of the total health and safety management system and drawing up plans for corrective action.

Part (b)

· Health and safety policy.

· Risk assessments and safe systems of work.

· Training records.

· Minutes of safety committee meetings.

· Maintenance records and details of failures.

· Records of health and safety monitoring activities (e.g. tours, inspections, surveys).

· Accident investigation reports and data, including near-miss information.

· Emergency arrangements.

· Inspection reports from insurance companies.

· Output from regulator visits (e.g. visit reports, enforcement actions).

· Records of worker complaints.

Part (c)

The findings of a health and safety audit may be used for

· Improving health and safety performance by identifying areas of compliance and noncompliance and the reasons for and nature of the non-compliance.

· Identifying the strengths and weaknesses of the existing system, enabling comparison and benchmarking with other similar organisations and communicating the findings to management and staff.

· Informing and enabling remedial actions to be taken emphasising the need for proactive rather than reactive measures.

· Aiding prioritisation and the allocation of resources; producing evidence of commitment by the organisation in putting health and safety on the agenda; and

· Encouraging continual improvement.

21. What are the advantages AND disadvantages of carrying out a health and safety audit of an organisation’s activities by?

(a) An internal auditor.

(b) An external auditor.

a) Part (a)

The possible advantages of using an internal auditor for a safety audit of an organisation would include:

· Familiarity with the workplace, its tasks and processes.

· An awareness of what might be practicable for the industry.

· The ability to see improvements or a deterioration from the last audit.

· Familiarity with the workforce and an individual’s qualities and attitude.

· An audit which was relatively less costly and easier to arrange.

Possible disadvantages being:

· An internal auditor may not be in possession of recognised auditing skills,

· May not be up to date with legal requirements

· Be less likely to be aware of best practice in other organisations.

· They may be subject to pressure from management and the workforce and

· Have time constraints imposed upon them.

Part (b)

Advantages with an external auditor:

· Is more likely to possess the necessary auditing skills and credibility;

· Will not be inhibited from criticising members of management or the workforce;

· Is more likely to be up to date with legal requirements and best practice in other companies

· Will view the organisation’s performance with a fresh pair of eyes.

Disadvantaged are:

· They are unlikely to be familiar with the workplace, tasks and processes;

· Will not be familiar with the workforce and their individual attitudes to health and safety

· Will have difficulty in obtaining the full cooperation of the workforce.

· May be unfamiliar with the industry and seek unrealistic standards and

· May well be more costly than an internal member of staff.

22. (a) What are the issues that need to be considered at the planning stage of an audit?

(b) Identify the methods of gathering information during an audit.

a) Part (a)

The issues that need to be considered at the planning stage of an audit include:

· The selection of a competent audit team independent of the area to be audited.

· Agreeing the objectives and scope of the audit.

· Developing audit questionnaires and checklists and agreeing on relevant guidance and standards that would be applied.

· Allocating resources and facilities.

· Agreeing timescales and

· Deciding on methods of feedback.

Part (b)

Auditors use three methods to gather factual information:

· Workplace observations to assess compliance with relevant health and safety standards and guidance.

· Documentation (Health and safety policy, Maintenance procedures, Health surveillance records, Risk assessments, Records of statutory inspections such as lifting, Insurance documents, equipment and portable appliances, Training records, etc., Procedures for method statements/permits to work, Accident/incident reports.)

· Interviews.

23. What are the reasons why an organization should review and monitor its health and safety performance?

a) The purpose of reviewing health and safety performance is to ensure:

· That the organisational arrangements, health and safety standards and operational systems and measures are working effectively and, where they are not, to identify the corrective actions needed.

· To identify any sub-standard health and safety practices

· To review trends and identify those that are adverse in a bid to remedy them

· To compare actual performance against the established targets

· To benchmark performance

· To identify the use and effectiveness of control measures

· To set priorities and establish realistic timescales

· Assess compliance with legal requirements

· Provide information to senior management, board members and/or health and safety committee etc.

24. What are the issues/topics that need to be considered during the review of health and safety performance?

a) There are a wide range of topics for consideration in the review, including:

· level of compliance with relevant legal and organisational requirements

· accident and incident data, corrective and preventive actions

· inspections, tours and sampling

· absences and sickness

· quality assurance reports

· audits

· monitoring data/records/reports

· external communications and complaints

· results of participation and consultation

· objectives met

· actions from previous management reviews

· legal/good practice developments

· assessing opportunities for improvement and the need for change.

azmathullah baig

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