Monitoring, measurement, and review of control measures

GUIDANCE

The requirement to monitor and review

The duty of employers under s.2 and s.3 of the HSWA 1974 is to "ensure" others are not exposed to risks to their health and safety so far as is reasonably practicable. It is important to keep in mind that it is the employer who must convince others (jury or judge) that they have taken all reasonably practicable steps. Section 5 MHSWR 1999 also requires a specific duty to control, monitor, and review the preventative and proactive measures in place to manage health and safety. 

How do the three lines of defence assist? 

Most pool operators will benefit from utilizing the three lines of defence to manage risk. Line 1 ensures those managing risks on the front line assure themselves that the controls in place remain appropriate. Checklists and inspections may be useful in empowering managers at this level to validate their arrangements. Where these are used, it is important they are put together in collaboration with competent persons; this will often be those in Line 2.

Line 2 is those who oversee and specialise in the management of risk, and Line 3 is an internal audit. The separation between Line 2 and 3 is an important one. It prevents those who design and implement the safety management system from also providing assurance as to its performance and adequacy. This is sometimes referred to as Line 2, "marking its own homework". Line 2 managers should be encouraged to share best practices and ideas to bring new perspectives and raise standards. 

Special care should be taken to ensure that the benefits of the separation between Line 2 and 3 are not lost higher up the management chain. This can be mitigated by separating reporting lines between the Line 2 and 3 functions all the way up to the board of directors. 

How can external assurance assist? 

External assurance also provides an important safeguard in two areas: it may assist an employer in meeting Regulation 7 in ensuring access to competent advice. It may also safeguard the organization from the risks to independence highlighted above and bring new ideas or perspectives which break down group-think and confirmation bias. This may be provided through NEDs or consultants. 

Citation: Jacklin, D. 2022. Monitoring, measurement, and review of control measures. Water Incident Research Hub, 6th March.