Monitoring, auditing and performance evaluation
What this domain tests
This domain - monitoring, auditing and performance evaluation - tests how performance is measured, how monitoring differs from auditing, and how data drive improvement. Expect calculations of incident rates and questions on leading and lagging indicators.
Core rules
- Active and reactive monitoring. Active monitoring checks controls before loss: inspections, exposure monitoring, audits, health surveillance. Reactive monitoring examines failures: incidents, near misses, complaints, absence.
- Leading and lagging indicators. Leading indicators include hazard reports closed on time, inspection completion and training competence. Lagging indicators include injury rates and lost days. Use both.
- Inspection versus audit. An inspection checks physical conditions and behaviours; an audit checks management system conformity and effectiveness against criteria. Audits need independence, competence and evidence sampling.
- Rates. Incidence rates need a defined denominator, commonly 200,000 hours worked, and a clear case definition. Comparing rates with different definitions is misleading.
- Management review. Performance data should feed decisions, objectives and resources, not sit in a dashboard.
Worked example
A site records 3 lost-time injuries in 250,000 hours worked. The lost-time injury frequency rate per 200,000 hours is (3 x 200,000) / 250,000 = 2.4. If the same site reports 6 recordable cases, the recordable rate is (6 x 200,000) / 250,000 = 4.8. The calculation is only meaningful if case definitions and hours are consistent. A falling rate with rising near-miss reporting may mean better reporting, not worse safety; the auditor should check reporting culture before celebrating.
Traps that cost marks
- Using inconsistent denominators or including non-worked hours.
- Treating a low injury rate as proof of a safe system.
- Confusing an inspection with a system audit.
- Relying on lagging indicators alone.
- Accepting audit scores without evidence of effectiveness.
- Leaving corrective actions open without escalation.