Health & Safety Monitoring and Measuring: Review of health & safety performance

The process of assessing the overall H&S performance and monitoring results of an organization so as to evaluate the current performance against standards and thereby take necessary actions to continually improve the system.

Example:

Check the validity of your H&S policy;
Ensure the system you have in place for managing H&S is effective.
Learn from accidents and incidents, ill-health data, errors and relevant experience, including from other organisations.
Revisit plans, policy documents and risk assessments to see if they need updating.
Take action on lessons learned

H&S performance should be reviewed by managers at all levels within the organization on a routine basis to ensure that OHSMS are working effectively.

Reviewing performance relies on data gathered from various sources, such as accident data, inspection reports, absence data, safety tours and audits.
Reviews enable action to be taken so that H&S performance is continually improved.

The primary purpose of measuring health and safety performance is to provide information on the progress and current status of the strategies, processes, and activities used by an organization to control risks to health and safety.

How Health and Safety is Monitored and Reviewed :

(Refer : https://www.sheilds.org/how-health-and-safety-is-monitored-and-reviewed/)

Monitoring and Measuring Performance

When monitoring and measuring performance, it is important that there are benchmarks, KPI’s and standards to measure against.

Performance measures can be:

Active: Looks at performance based on leading indicators such as KPIs and standards. This type of monitoring is usually performed regularly on set schedules, e.g. annual review of a risk assessment.
Reactive: Measures past performance based on lagging indicators such as ill-health and absence statistics. It is performed after incidents or accidents to investigate the root cause and immediate causes.
Qualitative: Descriptive ways such as behavioral surveys.
Quantitative: Methods employing a specific criteria or numerical strategy for assessment, such as a fault tree analysis or event tree analysis.
Objective: Based on facts and figures such as taking measurements or sampling the environment.
Subjective: Based on opinion and competent judgment, such as risk assessment.

9-Step Process of Performance Measurement:

Refer: www.hse.gov.uk

It is important that all those who are involved in the processes or activities have the opportunity to contribute to the following steps:

1 Identify the key processes

In the case of health and safety, these will be the management arrangements,

risk control systems and workplace precautions.

2 Analyse the key management arrangements and risk control

systems to produce a process map or flow chart

If the management arrangements and risk control systems have been

designed correctly, it should be relatively easy to produce a flowchart. It is

vitally important to understand how the process actually operates on the

ground, so it is important to involve those responsible for implementing the

in this activity.

3 Identify the critical measures for each management arrangement and risk control system

This can be done by considering:

· What outcome do we want?

· When do we want it?

· How would we know if we achieved the desired outcome?

· What are people expected to do?

· What do they need to be able to do it?

· When should they do it?

· What result should it produce?

· How would we know that people are doing what they should be doing?

Again, it is important to include the people involved in implementing the

arrangements and systems in deciding what the critical measures might be.

The measures which are derived should be:

· accepted by and meaningful to those involved in the activities being measured and those who need to use the measures;

· simple/understandable/repeatable/objective;

· capable of showing trends;

· unambiguously defined;

· cost-effective in terms of data collection;

· timely;

· sensitive; and should

· drive appropriate behaviour.

This last point is particularly important because the choice of measures can sometimes promote behaviours which are in conflict with the desired outcomes. For example, rewarding low accident rates (in the absence of other measures of performance) can lead to under-reporting. Or merely counting the number of safety meetings held by a supervisor can lead to the target for the number of safety meetings being achieved but the quality being very poor.

4 Establish baselines for each measure

Once the individual measures have been established then baseline data needs to be established.

5 Establish goals or targets for each measure.

Again, this should be done by involving the people who are expected to operate the particular activity rather than imposing goals or targets on them arbitrarily.

6 Assign responsibility for collecting and analysing the data

It is important to assign responsibility for collecting and analysing the data, and to hold people accountable for this activity.

7 Compare actual performance against target

The emphasis should be on achievements rather than failures, but it is important to analyse the reasons for substandard performance if improvements are to be made.

8 Decide on corrective action

The measurement data should provide information to enable decisions to be made about what corrective action is required and where and when it is necessary.

9 Review the measures

The measures derived need to be reviewed regularly to ensure that they remain appropriate, useful and cost-effective. There should not be frequent changes of measures because this can lead to confusion.

Improving your performance measurement arrangements:

In seeking to improve your organisation’s approach to measuring health and safety performance, a useful starting point is to review what measuring activities is currently taking place against this guidance. You should include consideration of:

· range, nature and deployment;

· gaps in the coverage;

· balance and emphasis;

· design basis;

· frequency - too little/too much;

· responsibility for collecting, analysing and reporting measurement

information;

· corrective action arrangements; and

· effectiveness in driving improvement.

The first aim should be to develop a measurement system which provides information to enable you to comply with relevant legal requirements as a minimum.

HOW TO MEASURE PERFORMANCE: Introduction

The foundation of effective performance measurement is an effective planning system which produces specifications and performance standards for the management arrangements and risk control systems. These provide the yardsticks for the measurement process.

The measurement process can gather information through:

· direct observation of conditions and of peoples’ behaviour;

· talking to people to elicit facts and their experiences as well as gauging

their views and opinions; and

· examining written reports, documents and records.

It might be useful to structure this checklist using the ‘four Ps’ (note that the examples are not a definitive list: you should be able to think of others to fit your circumstances):

· Premises, including:

Access/escape.

Housekeeping.

Working environment.

· Plant and substances, including:

Machinery guarding.

Local exhaust ventilation.

Use/storage/separation of materials/chemicals.

· Procedures, including:

Permits to work.

Use of personal protective equipment.

Procedures followed.

· People, including:

Health surveillance.

People’s behaviour.

Appropriate authorised person.

Checklist should include –for performance monitoring

The checklist or inspection form should facilitate:

the planning and initiation of remedial action, by requiring those doing the inspection to rank deficiencies in order of importance;
taking remedial actions, with names and timescales to track progress to implement improvements;
periodic analysis to identify common features or trends which might reveal underlying weaknesses in the system; and
information to aid judgements about changes in the frequency or nature of the monitoring arrangements.

Why health and safety performance should be reviewed ?

As per ILO-OSH-2001- 3.11.1. Procedures to monitor, measure and record OSH performance on a regular basis should be developed, established and periodically reviewed. Responsibility, accountability and authority for monitoring at different levels in the management structure should be allocated.

3.11.2. The selection of performance indicators should be according to the size

and nature of activity of the organization and the OSH objectives.

3.11.3. Both qualitative and quantitative measures appropriate to the needs of the

organization should be considered. These should:

(a) be based on the organization’s identified hazards and risks, the commitments in the OSH policy and the OSH objectives; and

(b) support the organization’s evaluation process, including the management review.

Reasons why an organization should review its H & S performance.

( Purpose of H&S Performance review)

The reasons are the following:

To identify whether the organisation is on target. If not on target, why not?
To compare actual performance with previously set targets (e.g. KPIs);
To identify substandard H&S practices & conditions (e.g. by means of workplace inspections)
To identify trends in relation to different types of accident/ incident (by analysis of relevant incident data)
to "benchmark" the organisation's performance against that of similar organisations or an industry norm;
To identify whether control measures are in use & to assess their effectiveness;
To maintain and improve the H&S Performance
Measure and reward success (not to penalize failure)
To be able to make decisions on appropriate remedial measures for any deficiencies identified; ( Identifying areas where remedial action is required)
To set priorities & establish realistic targets timescales
To assess compliance with legal requirements. (Requirement of ISO certification)
Provides feedback and motivation
Learning from experience
To be able to provide relevant information a Board of Directors /safety committee with.
What do we have to change to continually improve?
It demonstrates management commitment and helps to Improves staff culture and morale.
It helps to reduce incident rates and improve audit results.

H&S performance measurement should seek to answer such questions as:

Refer : www.hse.gov.uk

Although the primary focus for performance measurement is to meet the internal needs of the organisation, there is an increasing need to demonstrate to stakeholders (regulators, insurance companies, shareholders, suppliers, contractors, members of the public etc.) that arrangements to control H&S risks are in place, operating correctly and effective.·

Where are we now relative to our overall H&S aims and objectives?

· Where are we now in controlling hazards and risks?

· How do we compare with others?

· Why are we where we are?

· Are we getting better or worse over time?

· Is our management of H&S effective (doing the right things)?

· Is our management of H&S reliable (doing things right consistently)?

· Is our management of H&S proportionate to our hazards and risks?

· Is our management of H&S efficient?

· Is an effective H&SMS in place across all parts of the organisation (deployment)?

· Is our culture supportive of H&S , particularly in the face of competing demands?

How H&S performance monitoring help in decision making ?

(How management review help in decision making ?)

The measurement information helps in deciding:

where you are relative to where you want to be;
what progress is necessary and reasonable in the circumstances;
how that progress might be achieved against particular restraints/barriers (e.g. resources or time);
the way progress might be achieved; and
priorities and effective use of resources.

Who must know this H&S Performance information?

Everyone

Information from H&S performance measurement is needed by the people in the organisation who have particular responsibilities within the OH&SMS.

These will include directors, senior managers, line managers, supervisors, H&S professionals and employees/safety representatives.

They each need information appropriate to their position and responsibilities within the OH&SMS.

Levels of H&S Performance Review

Full management system review: (Top Level)

By the board, annually.

Management team review: (Middle level)

Every quarter, feeds to full review.

Departmental review:

Monthly, by line manager / supervisor to ensure on track.

H&S Performance Indicators

(Factors to be consider during reviews of H&S performance)

(What issues / source of information to be considered in Reviews)

What type of information will be collected during the H&S performance review ?

What are the Organizational safety performance indicators?

Performance indicators are defined as a measurable representation of the status of operations, management or conditions. Each objective will need one or more associated indicators. Organizational safety performance indicators might include the following:

H&S Objectives (targets / Aims) set or not (e.g. objectives considered)
Achievement of objectives (Objectives are met ) to be considered
Level of relevant Legal compliance and organizational requirements
( Rules / statutory compliances etc.)
Legal developments (due to changes in legislations etc.)
Accident and incident data/reports
Reports of Safety tours, sampling and inspections
Absence and sickness data/reports ( records)
Ill health and diseases statics
Audit reports ( No. of Audit Observations etc.)
( External Audits and Internal Audits)
Non-conformities in Audit/Inspection
Enforcement action
(No. & claim of enforcement notices received etc.)
Actions from Previous management reviews ( No. if issues completed & Pending etc.)
Changes to external standards
Lessons learnt from incidents
Best/good practice developments
( Research / New guidance etc.) (Good practice developments)
Results of worker’s participation and consultation,
Worker’s Complaints (No. of complaints etc.)
(Contractor’s complaints)
( issues raised by worker’s representatives etc.)
Relevant Communications with interested parties including complaints from external sources
(Customer feedback).
Active Monitoring data
Reactive Monitoring data
Training records -- - - (No. & Type of Training Provided)
Incident Investigation data/reports
( No of findings after investigation, recommendations)
Inspection reports ( No. of observations findings )
Corrective and preventive actions ( No of CAPAs)
Quality assurance reports ( No. of quality considerations etc.)
Assessing opportunities for improvement ( Continual improvement ) and the need for change.
Previous H&S performance monitoring results.
Changes relevant to the OH&SMS
Adequacy of Resources for maintaining the OH&SMS
Internal and External inputs affecting OH&SMS
Organisational Changes
Risk Assessments including Risk and Opportunities
H&S Performance Trends and patterns
Participation and consultation results
Benchmarking Data
Etc.

Note1: All Safety Culture indicators are to be used for H&S performance indicators.

Note2: All leading & Lagging indicators also can be used as H&S performance indicators.

Group Discussion:

What are the indicators that should be taken into account in assessing the effective management of Health and Safety at Work?

When do the H&S performance review of OH&SMS?

How often will you need to carry out a H&S Performance review?
What are the factors to be considered while determining the frequency of H&S Performance review?

Measuring health and safety performance is an ongoing activity, so in one

sense the measurement process is continuous. But like any other activity

measurement should be both efficient and effective, so the frequency with

which it takes place needs to be planned appropriately. You should consider

the following factors:

· Suitable intervals to ensure that specific planned milestones are

achieved

If health and safety plans and objectives are SMART, they will include specific

times when specific milestones will be achieved. Monitoring the progress with

the plans should be aligned with the particular timescales for achievement.

The potential for change from one state to another over time

For example, the design of a particular management arrangement or risk control system does not change from day to day so that the checks on the design might be appropriate at:

· the initial design phase;

· whenever changes are made which could impact on the operation of the systems;

· when information is obtained which indicates that the system as designed has failed in some way (eg when there has been an injury);

· when data from the monitoring of the operation of the system indicates the design is flawed.

Similarly, the state of a particular work place precaution, for example the integrity of a fixed machine guard, might not be expected to vary significantly from day to day once it has been put in place. A check at greater intervals might be more appropriate.

Suppliers of plant and equipment will often prescribe inspection and maintenance intervals to ensure optimum performance.

The relative importance of the activity or particular precaution relative to the overall control of risk

Some precautions needed to control a particular risk may need to be monitored on an almost continuous basis, eg the flow of cooling water, the presence (or absence) of oxygen, air flow, flammable gas levels, and require effective instrumentation. Systems to control risks associated with high hazards will need to be monitored at more frequent intervals than those for low hazards.

· Where intervals for monitoring are prescribed by legislation

Some legislation requires monitoring to take place at specific intervals, for example, inspection of lifting equipment.

· Where there is evidence that there is non-compliance

Where monitoring has discovered evidence of non-compliance then once remedial action has been taken, it may be appropriate to introduce more frequent monitoring to check that the remedial action has been successful.

· Where there is evidence of compliance

Where monitoring has provided evidence that there is regular compliance with a particular requirement,it may be appropriate to consider reducing the frequency of that monitoring and targeting resources elsewhere.

· The relative frequency and time at which a particular activity takes place

Some work activities only occur at particular times of the day or night or periods of the year. It is important that the measurement process covers these

activities effectively and is not just confined to frequent ‘9 to 5’ activities.

Factors influencing the frequency of H&S Performance Review:

Depend upon the risk profile of organization - Reduce the risks
Changes major Legislation requirements
Major Accident / increase in Incident trend (Sudden increase in accident rate)
Major Enforcement actions ( e.g. prohibition notice received)
Complaints from Client / customer & their considerations( e.g. Contract cancel or termination notices)
Suggestions from trade unions & professional bodies
Major/significant Process & equipment changes ( e.g. New automatic plant introduced)
External audit results ( e.g. major NCs released)
Annually (e.g. quarterly , once in a year)

Reporting on health and safety performance: Outputs from H&S Performance Review

Management reports (H&S Performance report) :

Minutes of meeting (Aide memories) to be circulated.
Records to be maintained.
Actions plan including closed out.

Annual report to be shared with stakeholders (e.g. Customer/ Insurance companies etc.) :

Review output is used for Continual improvement of OHSMS .

Who should know the report of the H&S performance review findings?

It is crucial that the organization report any findings to everyone within the organization.

Why is it important that the outcome of the H&S performance review is reported to the Chief Executive Officer?

CEO along with his team is ultimate responsible & accountable for making action plans.

Review findings help in setting the specific H & S targets which will be set by CEO.
CEO is required to make a declaration or statement to stakeholders based on this review.
As a result of review, CEO may assess the policy and update it.
After looking at outcomes from review, CEO should use this opportunity to prioritize and allocate resources.
After review, CEO may reinforce an independent & structured audit of all parts of the system, which would assess compliance with H&S management procedures & identify where existing standards are inadequate or deficient.
It will help in strengthening the existing OH&SMS because ultimate decision can be taken by CEO.

People involved in H&S Performance Review : Following members will be involved in H&S reviews:

Board of Members
CEO
Senior managers,
Management’s representative,
Health & safety professionals ,
Departmental managers,
Safety representatives
First-line supervisors
other functional managers,
Workers /worker representative

All Members should be competent

Ensure that those carrying out the review have the necessary training, experience and good judgement to achieve competence(KATES) in this task. (Sometimes external consultants also invited for value addition in H&S performance review) .

Continual Improvement (Continuous Improvement)

(Refer clause 10.3, ISO 45001)

The organization shall continually improve the suitability, adequacy, and effectiveness of the OH&SMS, by enhancing OH&S performance.

It must promote a culture that supports an OH&SMS. (establish Positive safety Culture)
It must promote the participation(involvement , consultation , feedback) of workers in implementing actions for the continual improvement of the OH&SMS.
It must communicate the relevant results of continual improvement to workers, and, where they exist, workers’ representatives.
It should be maintaining and retaining documented information as evidence of continual improvement. ( Records to be maintained)

Review evaluates performance against standards:

Action taken as a result to improve.

Board/senior managers:

Set targets as a result of review > i.e. amend policy, provision of resources, training provision etc.
Middle managers:
Review performance >Set targets for their area.

Junior managers:

Review local performance> Set targets for their area.

Feeding review outputs into action & development plans as part of continuous improvement .

Review>>> Output>>>> feed into action plan >>>>Continuous improvement

The review process form part of the continuous improvement process of the organisation.
Senior management set strategic targets.
Middle management review performance in the areas under their control and sets targets to bring their area in line with the strategic targets.
Junior management review performance and sets local targets that will collectively allow the strategic targets to be achieved.
H&S reviews, at all levels, must feed directly into action plans.
These plans should identify the actions to be taken by responsible persons by appropriate deadlines. In this way, continuous improvement of H&S performance can be achieved.

Continuous Improvement Plan : Action & Development plan

How the findings of an audit may be used to improve H&S Performance?

Audit outcomes helps to improve H&S Performance.

Audit findings can help to identify the conformance / non-conformance of OH&SMS to comply with set standards,
Audit help to improve the system and learn from management system failures.
Audit can identify weaknesses in the procedures/ management system to review and take measures to correct them,
Audit can Identify sub-standards H & S practices,
Audit can Identify trends, compare actual measures,
Audit take decisions on suitable remedial measures,
Audit Set priorities and establish realistic timescales,
Audit Assess compliance with legal requirements,
Audit information is used for Board, Committees etc.