Chapter 9 - Measuring performance

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• Responsibilities of monitoring
• Proactive monitoring
• Reactive monitoring
• Monitoring of third party performance and compliance
• Statutory checks

Monitoring 

Responsibilities of monitoring

Responsibility follows the line management structure so that checking of local controls will usually be done by local managers whilst checking of strategic control measures will be done by senior managers.

Checks which look at UCL as a whole will usually be done by senior management through the UMT and HSC and independently through UCL’s appointed auditors (KPMG) and the Safety Services function.

Management teams and/or the appropriate safety forums should monitor on a quarterly basis and where applicable the following:

• Accidents/incidents (headline trends, investigation and closure analysis)
• Progress against action plans
• Analysis from active monitoring including management arrangements, inspections, assurance monitoring, responsibilities, training and risk assessments
• Suspected work-related ill health
• Third party performance e.g. contractors, suppliers
• Key risks and issues including significant projects and legal and other changes
• Issues from other forums (i.e. actions)
• Issues to be escalated to other forums (i.e. recommendations)
• Key audit items - the amount of monitoring that needs to be done i.e. the frequency and depth of measurement will depend on several different factors, including:
  • Mandatory monitoring requirements with defined maximum intervals
  • The degree of risk associated with the particular location/activity
  • The likelihood of accidents/incidents occurring
• Individual UCL requirements - key monitoring arrangements should be specified in the Departmental Arrangements

Proactive monitoring

Proactive monitoring includes:

• Monitoring of the achievement of specific plans
• Achievement against agreed performance targets and objectives
• Performance against identified actions e.g. number outstanding/number complete/effectiveness
• The systematic inspection of work systems, premises, plant and equipment, including for example, the number of inspections carried out against plan/number of non-conformances found per inspection
• Surveillance of workers' health, where appropriate, through suitable screening methods for early detection of signs and symptoms of harm to health in order to make appropriate adjustments to work and to determine the effectiveness of prevention and control measures

Proactive monitoring should be proportional to the hazard profile and include activities undertaken by third parties on UCL’s behalf. Activity should concentrate on areas where it is likely to produce the greatest benefit and lead to the greatest control of risk.

Key risk control systems and related workplace precautions should therefore be monitored in more detail or more often (or both) than low-risk systems or management arrangements.

Reactive monitoring

Reactive monitoring includes the identification, reporting and investigation of:

• Work-related injuries, ill health (including monitoring of aggregate sickness absence records), diseases and incidents
• Other losses, such as damage to property
• Deficient safety and health performance
• Health and safety management system failures
• Adverse publicity, prosecution

Departmental arrangements should ensure that a follow-up procedure is established and operated to track the progress of actions arising out of the monitoring processes.

Monitoring of third party performance and compliance

The frequency and extent of monitoring will vary from contract to contract depending on the nature of the goods or services being supplied, and for shared workplaces, on the agreed responsibilities between the two parties. Projects being undertaken on behalf of UCL Estates are monitored by UCL Estates.

> Information on shared workplaces 

Statutory checks

Departments requiring statutory tests should appoint a member of staff (the Appointed Person (Statutory Testing)) who will maintain a list of equipment and associated accessories used by the department and ensure they are entered on the Zurich database managed by UCL Estates.

Any changes to the list i.e. new equipment purchased or equipment out of use/disposed of, must be notified to the Appointed Person as soon as possible. New equipment should be notified in advance of installation so that an inspection can be carried out before first use of the equipment.

The Appointed Person should liaise with relevant departmental staff to facilitate access, when required, to equipment for the purposes of testing and examination by UCL’s competent person.

> Statutory Testing Guidance and UCL Standards