developing safety performance indicators (spis) for

Speaker: Yu Pak Kuen

6 June 2016

Developing Safety Performance Indicators (SPIs) for Construction Industry

"If we are in the business of promoting

OHS, why do we use failures as the

measure of our success?" (Rose, 1994)

Warning and indicator lamps in the instrument cluster of a car

Warning and indicator lamps and displays indicate a malfunction if they light up or flash after the engine is started or during a journey.

Functions of indicator lamps

• Some cars systems carry out a self-diagnosis when the ignition is switched on. Several warning and indicator lamps can thereby temporarily light up or flash.

• This behaviour is non-critical. For example the seat belt warning lamp reminds the driver and front passenger to fasten their seat belts.

Our Safety Management Systems also need indicators and displays (measuring) to illustrate the system is function normally. Measuring should include the best of both conventional techniques (safety inspection, accident/incident investigation) and the new techniques to give messages of system failures on their possible causes/consequences and solutions.

Planning

Developing

Organising

Implementing

Measuring

Auditing

Legends

Information link

Control link

Feedback

loop

Feedback

loop

The SMS in Hong Kong includes 14 elements that will address different needs:

Top level system needs including safety policy and safety organization, safety committee;

Day-to-day operation including safety rules and regulations, process control, health assurance programme;

Longer-term safety of the workplace including risk assessment, emergency, PPE program

Personnel-related systems including safety training, safety promotion, subcontractor management

Effectiveness of the SMS including safety inspection and accident/incident investigation as measuring activities.

The outcomes of safety audits are very important safety performance indicators to monitor the organizations safety management systems are in place.

• Using safety audit alone for measuring the safety performance particularly after the occurrence of fatal accident of contractors is reactive and insufficient to reflect the ability of contractor in preventing the recurrence of the accident. A better method should be developed – Safety Performance Indicators (SPIs)

• “measuring performance is as much part of a safety management system as financial, production or service delivery management and the primary purpose of measuring 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 safety” HSE (UK)

New Approach -SPIs fit within the normal safety and health monitoring activities

• It is known from the continuing high rates of accidents and ill-health that conventional management techniques are inadequate.

• Newer approach to safety management based on risk assessment is an improvement on the conventional techniques, but not the complete solution.

Measuring of Safety

Management

Safety Inspection • Accident/incident

investigation• Safety behaviour

observations• Safety climate

index survey

Safety Audit

SPIs Strategic Plan

1. Outcome

The focus of the Government Departments should move to monitoring

and evaluating the implementation of the laws/contracts and making

changes to improve operational efficiency and the ability of preventing and controlling of the occurrences of accidents/incidents by contractors

SPIs Strategic Plan

Strategies of outcome 1

1.1 Instead of assessing the involved contractor(s) on their safety

management systems under the law which consists of 14 safety

elements, Government Departments should request or demand

the involved contractor(s), under contractual requirements, to

report(s) which covered the required safety performance

indicators (SPI)which the Government Departments may think

necessary to illustrate their abilities in controlling of the

occurrence and recurrence of the fatal accident(s) and/or serious

construction incidents.

SPIs Strategic PlanStrategies of outcome 1

1.2 Instead of conducting extra auditing the involved contractor(s) on their

safety management systems by an independent registered safety auditor

(RSA)/accredited safety auditor(ASA), the safety indicators as required

by the Government Department with related to the causes of fatal or

serious accident(s)/incident(s) will be measured by the involved

contractor himself and the report of safety performance indicators (SPI)

results with action plan is submitted by the involved contractor(s) to the

Government Department. After receiving, the report will be evaluated by

the Government Department or the appointed representative(s) and

commenting on the effectiveness and reliability of the measured results

recommendations in the report.

SPIs Strategic Plan

2. Outcome

A better method to measure the safety performance indicators to reflect the involved contractor possessed the ability in preventing the occurrence and recurrence of serious construction incident. Contractor(s) will participate and involve more thoroughly during the self -assessment of their safety performance, as a result more understanding the root causes of the accident(s)/incident(s) and the shortcomings of their safety management systems.

SPIs Strategic Plan


2.1 When a fatal accident/serious construction incident occurred,

Government can request the involved contractor involved to

conduct an evaluation on certain predetermined areas

(processes) to provide the SPIs. What kind of SPIs is needed

will be based on the decision Government Department after

consulting the reference parties.

SPIs Strategic Plan


2.2 SPIs can be used to highlight a "soft spot" in the involved

contractor, thereby triggering off further analysis to find out the

underlying causations that is causing the low indicator, and then

ultimately to lead to a solution to the problem.

SPIs Strategic Plan

3. Outcome

Effective safety performance indicators can provide an early warning, before catastrophic failure, that critical controls have deteriorated to an unacceptable level.

SPIs Strategic Plan


3.1 Director and senior managers of the accident involved

contractor, under contract terms, should provide a report to

demonstrate their abilities of internal controls against the

occupational and safety risks and hazards and the improvement

have been made or will be made to ensure the effectiveness of

the control systems.

3.2 The development and use of safety performance indicators will

allow construction contractors to assess how successfully their

sites is performing. They offer the opportunity to intervene in a

meaningful way to permit immediate identification of where

improvement strategies can be targeted.


3.3 Focusing on the safe system of work of processes that believed to be the direct causes and root causes of the fatal accident(s)/serious incident(s) will provide a sufficient overview of performance. Problems highlighted in one safe system of work should trigger a more widespread review of the safety management system of the contractor.

3.4 A guide outlines the process that was taken to develop safety performance indicators of OSH for construction

3.5 The summaries of the case study findings will provide for each sector of the construction industry to describe the drivers of good safetyperformance and strategies to manage OSH.

SPIs Strategic Plan

4. Outcome

A range of positive SPIs for OSH are adopted by a contractor to enable

a reasonable picture of the contractor’s OSH performance to be

generated.

SPIs Strategic Plan


4.1 Development and implementation of the SPI processes through

consultation and agreement with contractors’ representatives by

forming a SPI working group under the control of the

Government Departments. This consultative approach aims to

generate recognition and ownership of, and to improve, the

processes and systems.

4.2 The SPI working group will recommend the contents of the SPIs

be the basis for the development of a SPI measurement

framework at the site level in the construction industry in Hong

Kong.


4.3 A set or list of safety performance indicators will be established

by a working group and accepted by the Government

Departments to measure the OSH performance of construction

industry. The set or list is not exhaustive, the Government

Departments will, from case to case, identify the additional

specific safety performance indicators for the contractors.

4.4 Identify the main areas that are considered to have an impact on

safety performance in the construction industry.

4.5 Collect, analyse, monitor and report on data of SPIs should be

based on evidence.

SPIs Strategic Plan

5. Outcome

Harmonized occupational safety and health laws and contractual

requirements and complemented by consistent compliance and

enforcement policies that contributed to improved safety for all

contractors.

SPIs Strategic Plan


5.1 Consultation with construction industry participants on the

development a set of indicators for monitoring the SPIs of Hong

Kong.

5.2 Monitor the effectiveness of the contractors’ SPIs

5.3 Identify and recommend areas for improvement related to

harmonization, efficiency, and the standard of safety.

SPIs Strategic Plan


5.4 Continued provision of effective governance, resource and

statutory reporting.

5.5 Manage, develop and support working relationships with key

stakeholders and ensure high quality safety performance

measurement.

Design of safety performance indicators

Many measurement tools or indicators are available but none of them standing alone can satisfy all the needs. Examples of such tools and indicators include:

• Measurement of consequence (Outcome or lagging indicators focus on the measurement of loss, such as lost time injury frequency rates, workers’ compensation costs or fatality incidence rates)

• Measurement of cause (management, job and human factors on accidents/incidents investigation)

• Measurement of control (evidence of mal-practice, from safety inspections, work safe behavior observations and safety audits etc. This measures poor performance of procedural control measures.)

What is the ratio of looking forward to looking backward during driving your car?

We spend most of our time by looking forward in driving to identify potential hazards and risks on the road to prevent accidents. (leading indicators)

We spend most of our time by looking backward to find out the what went wrong in safety management to control accidents. (lagging indicators)

Organizations who have adopted SPIs under contracts and have fatal accidents or serious incidents should need to submit report (case report) to the regulator

The report should demonstrate:

• that the major hazard contractor’s safety management system will, once implemented, control risks arising from major incidents and major incident hazards

• the adequacy of the measures SPIs to be implemented by the contractor to control risks associated with the occurrence and re-occurrence of accidents/incidents.

Report at least should include:

1. the historical performance data and records to show how well the supporting SMS elements function.

a) a summary of the identification conducted including a list of all major incidents identified;

b) a summary of the risk assessment conducted;

c) a summary of the major hazard contractor’s emergency plan;

d) a summary of the major hazard contractor’s safety management system;


2. the selection of SPIs to measure the necessary SMS components are in place for every risk control systems being identified during accident/incident investigation. The effort to make the demonstrations should be proportionate to the risk, with the majority of the analysis and assessment on hazards that contribute most to the risks of a fatal accident/serious incident and other potential major incidents which have the highest consequences.


3. the SPIs standards (target or required level of performance) to monitor various SMS components. This may include safety audits, training, emergency exercises, review or revisions of documentation), any elements identified as causes/contributors to an accident/incident investigation;

4. the SPIs on the effectiveness of risk control measures;

5. information about, or people with knowledge of, hazards and effective control measures that are available to deal with them

6. The description of existing and planned improvements;

7. The schedule of follow up action.

Prevent the re-occurrence of accidents/incidents

• Thorough investigations are conducted following breaches of safety in the workplace. These safety breaches may or may not result in work-related fatalities or serious incidents.

• Most systems and procedures will deteriorate over time, and safety system failures discovered following a serious incident frequently surprise senior managers, who believed that the controls were functioning properly.

• Organizations must be able to investigate the accidents/incidents thoroughly to identify and evaluate the causes of the failures of the function barriers in the process control systems and choice the right preventive defense strategies, develop safety performance indicators to measure the effectiveness of the implementation of these defense strategies.

Measurement of safety performance

• Outcome-focused (lost time injury frequency rates (LTIFRs), workers’ compensation costs or fatality incidence rates) or

• Process-focused (also known as positive) indicators of performance (evaluating the management of OSH in an organisation and highlight the areas in health and safety where systems and procedures could be improved.

• These two types of measures fulfil different roles and are therefore best used in combination. When used in conjunction with outcome measures, SPIs can offer a comprehensive overview of safety management performance and assist the search for the underlying causes of work-related injury and illness.

Model of Process Control in Quality Management provides some hints on developing SPIs

• The notion of using SPIs to improve safety performance has evolved from the model of process control in quality management. In this model, process steps leading to sub-standard outputs are defined and examined to identify factors that have caused this sub-standard output.

• Unlike safety auditing approaches, process safety management approaches to OSH performance measurement rely on continual monitoring of indicators of performance of the relevant processes and continuous improvement in these processes.

Improvement MatrixCATEGORIES OF SPI INPUTS (Key

Activities)PROCESSES (Monitoring Key Risks)

OUTPUTS (Milestone progress towards goals)

GOALS TARGETS

Commitment and Effort

Used to Monitor Key Risks

Achievement of Objectives

Key OSH Outcomes

Example of using quality management model on hazardous materials management and working at height

a) Inputs (Measures of hazard burden)

b) Processes (Monitoring Key Risks)

c) Outputs (Measure of success)

d) Outcomes (Measures of failures)

Ref: Guidance on the use of positive performance indicators ASCC

The method of setting SPIs

The SPIs programme requires those involved in managing process safety risks to ask some fundamental questions about process control systems, such as:

• What are gone wrong in the process that causes the occurrence of major accidents/incidents?

• What existing controls are in place to prevent these major accidents/incidents?

• What does each control deliver in terms of a ‘safety outcome’?

• How do we know they continue to operate as intended?

Examples of using SPIs to drive OHS activities

Process Control Programme

• An organization when requested by the authority to demonstrate its ability to control hazards that causes the accidents/incident, will usually asked to show its process of safety management system can turn uncontrolled hazards to controlled risks.

• The number of control measures on a process operation will depend on the size and complexity of operations at the facility. For a single site it may be possible to monitor SPIs of each control measures individually i.e. each control measure within a site is subjected to a performance measurement. For more than one sites, some aggregation of the performance data may be necessary for contractor with larger numbers of control measures i.e. although each control measure within a site is subjected to a performance measurement, the results are reported as percentage of the total number of sites.

Examples of using SPIs to drive OHS activities

Process Control Programme

A number of safety elements of the safety management system need to be functioning effectively to maintain the controls’ performance. For example

• the safety information and process hazard analysis systems

• the instrumented and mechanical control systems require to be regularly inspected and tested;

• safety training is needed to ensure procedural control measures are carried out correctly.

• emergency preparedness

• audit and performance monitoring

SPI CATEGORY (Risk control system RCS) PERFORMANCE MEASURES

Process measures Outcomes measures

Safety information and process hazard analysis of critical plant/equipment

A system is in place to identify hazards, test and maintain the equipment to

ensure the required design and reliability standards are met.

Selection, design, modification etc. in accordance with

manufacturer standards.

Tested to schedule

Audits of the above processes completed to schedule.

Results from scheduled testing

Results from incident investigations where the plant/equipment

caused or contributed to incident.

Actions from audits, testing and incident etc. are completed to

schedule to ensure system is continuously improved.

Operating procedures

A system is in place for the development implementation and review and revision

of operating and maintenance procedures

Procedures issued and reviewed and revised to schedule

Audit of the above processes

Number of procedures current available for use.

Number of incidents with cause(s) relating to inadequate procedures

Actions from audits and incident investigations are completed to

schedule to ensure procedures are effective.

Training and competence

A system is in place to sure employees have the required skills and knowledges to

do their jobs safely.

Required safety training (including new comer and refresher

training) for specific jobs completed to schedule.

Audit on training requirements for specific jobs.

Number of incidents related to inadequate/ insufficient safety

training.

Findings from checking or tests on competency and knowledge.

Actions from audits and incident investigations are completed to

schedule to ensure training system is effective.

Mechanical integrity

A system is in place to test, inspect and maintain mechanical assets to applicable

standards.

Mechanical assets inspected and tested to schedule

Temporary/interim repairs replaced with permanent repair to

schedule

Reported mechanical defects corrected to schedule

Audits of the above processes completed to schedule.

Number of incidents/leaks due to mechanical integrity issues

Results from inspection and testing of assets

Actions from audits, testing and incidents etc. relating to mechanical

integrity are completed to schedule to ensure system is continuously

improved.

Emergency preparedness

A system is in place for responding to emergency situations.

Emergency exercises completed to schedule

Required training for specific roles in emergency completed to

schedule

Emergency equipment tested to schedule

Results from scheduled testing equipment to achieve anticipated

performance

Results from incident investigations where emergency response

caused or contributed to incident or escalation of incident

Actions from audits, testing and incidents etc. relating to emergency

response are completed to schedule to ensure system is

continuously improved.

Audits and performance monitoring

A system is in place to monitor the effectiveness of the SMS and to implement

improvement actions.

Audits/reviews are completed to schedule

Audits/reviews address process and implementation

Results are reported to management via defined mechanism.

Results from audits/reviews

Actions from audits, reviews and monitoring etc. relating to SMS are

completed to schedule to ensure system is continuously improved.

SPI CATEGORY (Risk control

systems RCS)

PERFORMANCE MEASURES


Safety information and

process hazard analysis of

critical plant/equipment

A system is in place to

identify hazards, test and

maintain the equipment to

ensure the required design

and reliability standards are

met.

Selection, design, modification etc.

in accordance with manufacturer

standards.

Tested to schedule

Audits of the above processes

completed to schedule.


Results from incident investigations

where the plant/equipment caused

or contributed to incident.

Actions from audits, testing and

incident etc. are completed to

schedule to ensure system is

continuously improved.

Operating procedures

A system is in place for the

development

implementation and review

and revision of operating

and maintenance

procedures

Procedures issued and reviewed

and revised to schedule

Audit of the above processes

Number of procedures current

available for use.

Number of incidents with cause(s)

relating to inadequate procedures

Actions from audits and incident

investigations are completed to

schedule to ensure procedures are

effective.

SPI CATEGORY (Risk control system RCS) PERFORMANCE MEASURES


Training and competence

A system is in place to sure employees have

the required skills and knowledges to do

their jobs safely.

Required safety training (including

new comer and refresher training)

for specific jobs completed to

schedule.

Audit on training requirements for

specific jobs.

Number of incidents related to

inadequate/ insufficient safety

training.

Findings from checking or tests on

competency and knowledge.

Actions from audits and incident

investigations are completed to

schedule to ensure training system

is effective.

Mechanical integrity

A system is in place to test, inspect and

maintain mechanical assets to applicable

standards.

Mechanical assets inspected and

tested to schedule

Temporary/interim repairs

replaced with permanent repair to

schedule

Reported mechanical defects

corrected to schedule

Audits of the above processes

completed to schedule.

Number of incidents/leaks due to

mechanical integrity issues

Results from inspection and testing

of assets


incidents etc. relating to mechanical

integrity are completed to schedule

to ensure system is continuously

improved.

SPI CATEGORY (Risk control systems RCS) PERFORMANCE MEASURES


Emergency preparedness

A system is in place for responding to

emergency situations.

Emergency exercises completed to

schedule

Required training for specific roles

in emergency completed to

schedule

Emergency equipment tested to

schedule


equipment to achieve anticipated

performance

Results from incident investigations

where emergency response caused

or contributed to incident or

escalation of incident


incidents etc. relating to emergency

response are completed to schedule

to ensure system is continuously

improved.

Audits and performance monitoring

A system is in place to monitor the

effectiveness of the SMS and to implement

improvement actions.

Audits/reviews are completed to

schedule

Audits/reviews address process

and implementation

Results are reported to

management via defined

mechanism.

Results from audits/reviews

Actions from audits, reviews and

monitoring etc. relating to SMS are

completed to schedule to ensure

system is continuously improved.

Organisational arrangements to implement SPIs

1. Set up an implementation team

2. Develop a risk profile for the organisation and/or identify OSH outcomes of concern

3. Review current arrangements for managing OSH to identify areas for improvement

4. Identify the risk control systems and decide on the outcome5. Identify the most important parts of the risk control systems6. Define key OSH outcomes that need to be achieved within set

timeframes7. Establish SPIs data collection and reporting system8. The results of SPIs for the safety management systems9. Periodic review

1. Set up an implementation team

• A safety professional within an organization who will responsible for the work and steer it through to implementation;

• More appropriate to form a team to manage the introduction of SPIs. This has the benefit of drawing in people from a range of business operations particularly those involved in the accidents/incidents, providing the opportunity for pooling ideas, especially from employees who have direct knowledge of how control system (barriers) deteriorate or become ineffective.

• Safety committee may also be helpful to oversee the implementation programme and to check the indicators match current business priorities.


• SPIs set for the whole organizational will, by their nature, tend to be more generic, whereas those set at plant or site level will be more focused on key activities or processes and give more direct feedback on the functioning of those activities.

• It is not necessary to measure every aspect or safety element of a safety management system.

• The required SPIs will confine to the contribution causes of the mishaps and related process safety management system. Focusing on a few critical risk control systems (barriers) will provide a sufficient overview of performance. Problems highlighted in one risk control system should trigger a more widespread review.


• SPIs set at plant or site level provide managers with routine information to show that specific processes or activities are operating as intended e.g. plant design, plant change, planned inspection and maintenance within that sphere of operations.

• Indicators at this level provide very specific performance information on the activities selected. SPIs at site level provide an overview of critical systems operating across the whole site e.g. managing contractors, emergency arrangements, staff competence etc.


• SPIs set at organization level will be based on corporate goals and objectives (a top-down approach), but importantly, should also feature information fed up from site level. For complex sites such as multi-site, the SPIs measurement system can be based on a hierarchical approach with very focused site level SPIs feeding up to more generic site level organization level indicators.

3.Review current arrangements for managing OSH to identify areas for improvement

• To help decide what are gone wrong and how, it is useful to consider the underlying causes of an accident/incident. This is the primary failure mechanism that gives rise to an accident/incident and can usually be categorized by factors (management factor, job factor and human factor) that challenge the integrity of plant or equipment.

• An assessment of all the factors should help establish the scope of the process measurement system and ensure focus on critical issues.

• Once the outcomes of occurrence of accidents/incidents in the workplace have been established, and the type and nature of workplace hazards identified, an appraisal should be undertaken to examine if and how those risks are currently being managed.

4. Identify the risk control systems and decide on the outcome

• Studying the accidents/incidents investigation report and conduct cause analysis on the factors (Management, Job and/or Human factors). For each identified factor, select the sub-factors (Defects) that causes the accidents/incidents.

• Choose the most critical defect or defects that believe to be the root cause(s) of the accidents/incident.

• Identify its sub system and the various components of the critical defect;• Identify this system’s location within the organization’s safety management system;• Identify the system’s relationships with other systems; • Compare the effectiveness of the current system with the way the system ought to

function in terms of satisfy the organization’s information needs• To other systems and repeats the first four stages of the analysis.

4. Identify the risk control systems and decide on the outcome

• For example, the accident investigation report of an accident disclosed that the critical defect was found in the accident investigation element of the safety management system (defect - poor safety and health management).

• The components of this system include accident reporting system, accident investigation system, distribution system, trend analyses system etc. The sub systems include compliance procedures, investigation procedures, information requirements, follow-up procedures and dissemination procedures.

5.Identify the risk control systems and decide on the outcome

• It is not necessary to measure every part of a risk control system.

• Identify the critical component(s) and sub-systems of each risk control system, (i.e. those actions or processes which must function correctly to deliver the outcomes).

Consideration should be concentrated to the following parts:

• Which activities, or operations must be undertaken correctly on each and every occasion?

• Which aspects of the system are liable to deterioration over time?

• Which activities are undertaken most frequently?

6. Define key OSH outcomes that need to be achieved within set timeframes

Different forms of indicators• A percentage increase or decrease in,

for example safety audits completed with a perfect (or near perfect) score.

• Level or amount, for example, the hours of training per employee with an OSH content.

• Implementation of an agreed programme by a specified date, for example, completion of phase 1 of the hazard reduction program by ….

• The practical viability of a performance measurement system will often be determined simply by its relevance to the individual circumstances of the workplace.

• Data may be qualitative rather than quantitative.

• SPIs can be set at 100% of actions must be completed on schedule.

• Alternatively, the organization may accept a degree of slippage before it is flagged up for attention of senior management or highlighted to the management team, in which case the tolerance should be set below 100%.

7.Establish SPIs data collection and reporting system

• To assist in the task of developing suitable SPIs, a worksheet comprising a matrix combining the categories of SPIs and the Quality Model for Process Improvement should be established.

• The aim of SPIs system is to indicate where process control systems have deteriorated or are not delivering the intended outcome. It is best to co-ordinate the performance data through an assigned person who will be responsible for collecting all the information, compiling reports for the management team and raising the alarm if there are any deviations from set tolerances.

• Any deviations from set tolerances or targets and important trends. Graphs or charts are the best way to present. Alternatively, other systems such as traffic lights, or signal numbers can be used to highlight the status of compliance.

• The senior management team should regularly receive SPIs information, and will need to make decisions on corrective action.

8. The results of SPIs for the safety management systems

• The contractor should has a SMS in place that works to ensure that all control measures will continue to perform effectively whenever needed.

• When SPIs of control measures are not indicating that the SMS is functioning well and/or the SMS is not meeting its performance standards, corrective actions to be taken.

• When the SPIs are indicating good performance but the SMS is being identified as a cause of incidents then the performance measures are not monitoring the right thing and should be improved.

Measuring the right thing

• After a 30 year career Trevor Tarlton-Weatherall (Nottinghamshirefire fighter) designed and implemented a new pump system for their fire engines.

• Group manager Tarlton-Weatherall said his invention came about after a 'near miss' with a hose during a fire.

• "As I was investigating [the incident] it occurred to me we were measuring the wrong thing, we should be measuring the flow and not the pressure."

• Up until now the pump operator would have to feel for how much pressure was going through the fire hose. That method was not 100% accurate and could potentially put firefighters at risk.

• The new engines now measure the exact flow of water through the hoses.

"If my legacy is that firefighters of the future are safer because of this then I'm very pleased in my retirement," Mr Tarlton-Weatherall added.

9. Periodic review

The scope of the full set of SPIs needs to be reviewed to ensure that:• they really reflect the status, implementation and functionality of the SMS.• Timely implementation of corrective actions to remedy problems or potential

problems• Clearly reporting of performance to the relevant people in the organization

and authority.

SPIs may need to be changed when:• Introduction of new, high-risk processes; • Improvement programmes; • Alteration in plant design;• Accidents/incidents occur.

The health and safety management system comprises three levels of control (HSE):

Level 3 - effective workplace precautions provided and maintained to prevent harm to people at the point of risk.

Level 2 - risk control systems (RCSs): the basis for ensuring that adequate workplace precautions are provided and maintained.

Level 1 - the key elements of the health and safety management system: the management arrangements (including plans and objectives) necessary to organise, plan, control and monitor the design and implementation of RCSs.

(Ref: A guide to measuring health and safety performance HSE)

What are the key demonstrations required in the case report?

1. The approach taken by the contractor (qualitative or quantitative) to assess risk related to fatal accident/serious incident is appropriate and robust. The demonstration should then show that the risk, with controls in place, has been reduced so far as is reasonably practicable.

2. it is not reasonably practicable to use more or better control measures to reduce risk further;

3. A number of safety elements of the SMS need to be functioning effectively to maintain the controls’ performance. The demonstration needs to show that the necessary SMS components are in place for every risk control measure and that the results of SPIs show these systems are consistently effective and reliable.

‘You can't manage what you can't measure’ - Drucker

‘If you don’t know where you are going, chances are you will end up somewhere else’ - Yogi Berra

Conclusions:

SPIs need to

1. Implementation oriented - procedures, methods, resources;

2. Results oriented - products, outputs, outcomes; and

3. Related to process, be frequent events (to avoid statistical insignificance) and be relevant to the particular workplace. They may not be able to be generalised.

Accident investigations or performance monitoring results provide a new state of knowledge, then the contractor should reconsider the effectiveness of a control measure or some aspect of safety management, and any adequacy assessment must be reviewed and revised..

Suggest compliance checklist for SPIs report

The contractor(s) must demonstrate they have established and implemented SMS that provides a comprehensive and integrated management system for all aspects of adopted control measures related to the fatal/serious injuries accident. Regulating safety audit(s) should be used to measure SMS as the primary means of ensuring the site safe operation of the contractor(s).

The contractor(s) must demonstrate they have comprehensive and systematic risk assessment systems in relation to all potential major incident hazards of the site. The contractor(s) must document the risk assessment and documentation must contain, in relation to the range of risk control measures considered related to the fatal/serious injuries accident, statements as to their viability and effectiveness and reasons for selecting certain risk control measures and rejecting others.

Suggest compliance checklist for SPIs report

The demonstration of contractor(s) must include: A description of the system in which these SPIs for measuring the

effectiveness of the SMS are established and implemented

SPIs for the effectiveness of recommended risk control measures by the accident investigation report to ensure the adopted control measures are adequate to prevent the recurrence of the fatal/serious injuries accident.

Test results of the effectiveness on these risk control measures

SPIs are used in making improvements to the SMS to ensure that it is comprehensive and integrated and used as the primary means of ensuring safe operation.

Questions ask

• How many SPIs measures are required?The number of control measures will depend on the size and complexity of operations at the construction site and the causes of accidents/incidents.

• What are performance standards?A performance standard for the SMS is a target or required level of performance for a particular component of SMS and then measuring whether this level is achieved.

Questions ask• What are key elements of the SMS which act to support control measures?

• Management of change (risk assessment)

• Maintenance, inspection and testing

• Design and procurement

• Training

• Documentation of operating and maintenance procedures

• Performance monitoring and auditing

• How is improvement achieved after conducting SPIs?• Measures really reflect the status, implementation and functionality of the SMS

• Timely implementation of corrective actions

• Clear reporting of SPIs to people with the ability to correct problems, assign resources or provide funding.

Frank Rose who said: "... as a society, as companies,

as individuals we analyse the wrong end of whether the

performance measures will actually be valid and its just

an excuse for not doing something. I think we need to

get on and to measure some things and review them

one or two years down the road and if they are no use

then abandon them and move on. But do something to

improve the inherent process; because until we

improve the process the outcomes will still be hundreds

of millions of people ill and injured each year." (Rose,

1994)

developing safety performance indicators (spis) for

Documents