Literature
Review of Indicators of Occupational Health and Safety Performance Evaluation
Tools
First Mayro
Annibaja Hutauruk1*,
Doni Hikmat Ramdhan2
Universitas Indonesia, Depok,
Indonesia1,2
Email: firstmayro@gmail.com1, donihr_05@yahoo.com2
KEYWORDS |
ABSTRACT |
Occupational
Health and Safety; Performance Evaluation Tools; Performance Indicators;
Performance Measurement; Performance Tools; Evaluation Tools; Industry |
Occupational
health and safety (OHS) in the industrial world,
especially in Indonesia, has become an increasing concern. Various efforts
have been made, including developing and implementing laws, regulations, and
standards to provide a framework for organizations to practice and enhance
the prevention of work-related accidents and illnesses, aiming to place
worker welfare at the center of production system design. However, the
occurrence of some workplace accidents indicates that OHS performance
evaluation still needs to be measured and improved. In this literature
review, we outline the scope of research on performance evaluation and
provide comments on the suitability of proposed instruments for industrial
use. Methods: This study uses a systematic review design with the PRISMA
(Preferred Reporting Items for Systematic Reviews & Meta Analyses)
method. Information and data searches were conducted using databases from
Science Direct, Elsevier, Scopus, and Google Scholar. The keywords used
include occupational health and safety, performance evaluation tools,
performance indicators, performance measurement, performance tools,
evaluation tools, and Industry. This research allowed us to identify nine OHS
performance evaluation tools. Our main conclusion is that field researchers
have shown little interest in generalizing OHS performance evaluation
instruments, and none of the nine tools studied can be appropriately applied
to all industrial fields. The specificity of the industrial context has not
attracted significant attention from many OHS researchers. Developing tools
that offer a broader choice of performance indicators to OHS specialists intervening
in industrial environments will significantly contribute to improving
accident prevention in the workplace. |
DOI: |
|
Corresponding
Author: First
Mayro Annibaja Hutauruk*
Email:
firstmayro@gmail.com
INTRODUCTION
Data from the
Ministry of Manpower shows that the number of work accident cases in Indonesia
in 2023 amounted to 370,747 cases, with around 93.83% occurring in wage
recipients, 5.37% occurring in non-wage recipients, and 0.80% occurring in
construction service participants. The trend of JKK and JKM claims on average,
has continued to increase over the past five years. BPKS Employment data shows
that the number of JKK claims in 2019 was 182,835 cases; Then, the number of
claims continued to increase to 221,740 cases in 2020 and 234,370 cases in
2021. Furthermore, in 2022, the number of claims rose again to 297,725 cases.
The number of work accident cases that submitted JKK claims reached 360,635
from January to November 2023. JKK claims usually occur in companies and
plantations. As of November 30, 2023, BPJS Ketenagakerjaan has paid JKK for
360,000 claim cases with a total value of IDR 2.79 billion and JKM for 121,000
claim cases with a total value of IDR 2.94 billion. Improving OSH performance
is essential to reduce the number of occupational accidents. Some researchers
describe this idea as the performance of management systems in relation to OSH
Part 2
discloses the methodology of our research, Part 3 discusses the results of a
bibliographic search, Part 4 discusses the results and limitations of the
study, and Part 5 provides conclusions. This study aims to demonstrate the
strengths and limitations of the currently proposed tools for evaluating OSH
performance.
Recent data
from the Ministry of Manpower highlight a concerning trend: in 2023 alone,
Indonesia witnessed a staggering 370,747 work accident cases. This figure
underscores a pressing issue, with 93.83% of incidents impacting wage
recipients, 5.37% affecting non-wage earners, and 0.80% involving participants
in construction services. Moreover, the upward trajectory of JKK and JKM claims
over the past five years paints a worrying picture. Starting at 182,835 cases
in 2019, these claims escalated to 297,725 cases by November 2023, reflecting a
persistent challenge in workplace safety. As of the end of November 2023, BPJS
Ketenagakerjaan disbursed IDR 2.79 billion for 360,000 JKK claims and IDR 2.94
billion for 121,000 JKM claims, emphasizing the substantial economic impact of
these accidents.
Addressing
occupational safety and health (OSH) is crucial to mitigate these alarming
statistics. Effective OSH management, defined as reducing or eliminating
work-related injuries and illnesses, is paramount. This study examines various
tools used to evaluate OSH performance, aiming to identify strengths and
limitations in current methodologies. By doing so, it seeks to contribute to Indonesia's
urgent need for enhanced workplace safety measures.
METHODS
This study uses
the PRISMA (Preferred Reporting Items for Systematic Review &
Meta-Analysis) method, which is carried out systematically by following the
research stages correctly. First, the reading list is identified after a
systematic search by keyword. The search for research articles relevant to this
research topic was carried out using keyword collaboration: occupational health
and safety; performance evaluation tools; performance indicators; performance
measurement; performance tools; evaluation tools; Industry from Science Direct,
Elsevier, Scopus, and Google Scholar. As for the inclusion criteria in the
systematic review, the researcher used original studies related to topics that
were not systematic study studies, quantitative studies using various study
designs, international studies published in 2005-2023, and open access to
studies. Researchers found 112 related studies that could be reselected using
the PRISMA method.
To facilitate our analysis of existing tools and to see how
they can be used in an industrial environment, In our
analysis of the application of each of these tools, we refer to the following
three criteria:
a)
Content validity: it shows the
extent to which the various components of the tool represent the concept being
evaluated. Therefore, we sought to determine whether this tool could be used to
evaluate eight elements that could contribute to the improvement of OHS. These
elements are: (1) Planning, Review, Development of Policies and Procedures, (2)
Organizational Management Arrangements, (3) Consultation Arrangements, (4)
Contractors, (5) Hazard Identification and Risk Assessment, (6) Preventive
Measures, (7) Collection and Use of K3 Data, (8) Training
b)
Combination of the use of both
types of indicators: To obtain an overall evaluation of the performance of OSH
in industry, we expect this tool to include both reactive and proactive
indicators
c)
Reliability, meaning that the
tool tends to provide similar results from one evaluator to the next (Tremblay
et al., 2018;). This important criterion is not always met
RESULTS and DISCUSSION
Tools - K3
Self-Diagnostics
The tool was
developed in a study funded by IRSST (Institut de recherche Robert-Sauvé en
santé et sécurité du travail). The aim was to evaluate the performance of OSH
in manufacturing companies in Québec
Table
1.
Shows
the Indicators of the IRSST Tool Used (Translated From
It |
Information |
1 |
Necessary means of protection are installed on
machines and equipment |
2 |
Preventive maintenance of equipment is carried
out. |
3 |
The Company owner provides the necessary personal
protective equipment for the job. |
4 |
Employers follow regulations regarding noise, air
quality, and more. |
5 |
The workplace is tailored to the characteristics
of workers. |
6 |
Employers implement safe work practices (such as
lockout-tagouts, enclosures, etc.) |
This diagnostic
tool is simple and easy to use, and it only addresses the individual
perspective of the worker. In addition, because it takes a considerable amount
of time and effort to collect and process data, it is ineffective. Temporary
irritation in the relationship between employees and management can affect the
score. It is also made specifically for the printing industry, so there will be
changes for other industries.
Tools -
Organizational Performance Metrics (OPM, 2011)
To measure
organizational performance, the Institute for Work and Health (IWH, Toronto)
created a short questionnaire with eight proactive indicators (Table 2). These
indicators were taken from a literature review and selected with the help of K3
experts. Regardless of size or industry sector, this scale applies to Canadian
companies using the 5-point Likert scale.
Table 2.
Indicators used in OPM tools
It |
Information |
1. |
We conduct formal safety audits on a regular
basis. |
2. |
Each staff member strives to improve OSH
performance consistently. |
3. |
K3 is considered by companies to be as important
as quality and production. |
4. |
The information needed to work safely is
available to all employees and managers. |
5. |
Work is always involved in health and safety
decision-making. |
6. |
The staff in charge of OSH has the authority to
make changes that are deemed necessary. |
7. |
Those who work with safe working methods are
recognized and encouraged to do so. |
8. |
To carry out safe operations, each staff member
is equipped with the necessary personal protective equipment. |
OPM is an easy
tool and seems to be generalizable, but its limited indicators do not provide a
complete and practical picture of a company's safety and health (OSH)
performance or make it possible to find effective corrective actions. Results
can vary depending on how the data is collected—in person, over the phone, or
in a meeting—and there is plenty of room for subjectivity in assessing
indicators
Tools - Total
Safety Performance (TSP, 2014)
Total Safety
Performance was created to assess the overall K3 performance of Taiwanese
companies
Table
3.
Indicators
included in TSP
Dimension |
Indicators |
Technical |
Self-inspection |
Emergency plan |
|
Personal protective equipment |
|
Handling of hazardous materials |
|
Safety protection (including risk management) |
|
Risk analysis |
|
Organization |
Legislation and regulations |
Accident statistics and investigations |
|
Management commitment |
|
Organization and responsibilities |
|
Education
and Training |
|
Subcontractor management |
|
Purchasing management |
|
Change management |
|
Licenses, work permits |
|
Communication |
|
Monitor the work environment |
|
Health check-up |
|
Security audit |
|
Planning review |
|
Progress review |
|
Follow-up review |
|
Human |
Employee participation |
Safe behavior |
|
Safety-oriented attitude |
Tool 8 Fuzzy
Comprehensive Performance Evaluation (HSE, 2015)
Fuzzy logic has
been tested to consider the evaluation of different experts simultaneously
Table
4.
29
indicators on HSE tools
It |
Indicators |
1 |
Leadership and commitment |
2 |
Health, safety and environmental mission |
3 |
Hazard identification, risk evaluation, and determination
of critical control points |
4 |
Legal obligations and other obligations |
5 |
Purpose and objectives |
6 |
Program |
7 |
Organizational approach, obligations, resources,
and documents |
8 |
Resources |
9 |
Skills, training, and sensitization |
10 |
Communication, participation, and consultation |
11 |
Documentation |
12 |
Document monitoring |
13 |
Structural integrity installation |
14 |
HSE management of subcontractors and suppliers |
15 |
Clients and products |
16 |
Community and public relations |
17 |
Licenses, work permits |
18 |
Health at work |
19 |
The production itself |
20 |
Operational control |
21 |
Change management |
22 |
Emergency preparations and interventions |
23 |
Output measurement and monitoring |
24 |
Compliance evaluation |
25 |
Deviations, corrective and preventive measures |
26 |
Incident/accident management |
27 |
Recording monitoring |
28 |
Internal K3 audit |
29 |
Managerial review |
HSE tools are
flexible as they can manage a wide range of user evaluations. In addition, the
calculations are done automatically and reports are generated by the software,
which saves a lot of time. Nevertheless, there are some unclear indicators of
what to evaluate. The company that developed the principles may understand
them, but it is unclear how commonly they can be applied. There is no clear
data on what to do to prevent damage. This also applies to similar evaluations
conducted by different entities at different times.
Tools - Monash
University Organizational Performance Metrics (OPM-MU, 2016)
Monash
University proposed a new tool to measure organizational performance
Table 5.
Proactive indicators are drawn
from published research
It |
Indicators |
1 |
K3 Responsibilities |
2 |
Consultation and communication on OSH |
3 |
Employee autonomy and involvement in OSH decision-making |
4 |
Management commitment and leadership |
5 |
Recognition and positive response to OSH efforts |
6 |
K3 hierarchy structure |
7 |
Risk management |
8 |
OSH system (policies, procedures, practices) |
9 |
Training, interventions, information, tools, and resources for K3 |
10 |
OSH inspections and audits in the workplace |
The OPM-MU tool
has undergone several significant changes compared to OPM
a)
The percentage scale was
replaced by a 5-point Likert scale;
b)
Questions about perception were
added to evaluate how OPM is associated with various elements of OSH;
c)
Asking survey participants to
say the number of incidents they were personally involved in;
d)
Collect measurements used in the
workplace in each organization;
e)
The inclusion of reactive
indicators.
OPM-MU is a
simple measuring tool that can be used to check the status of early OSH in
various industries. It can provide information about the quality of the OSH
management system, but it has some limitations, such as not providing a
complete or in-depth understanding of OSH in a company and is not suitable for
small companies. Those who made it hope to improve it so that it is useful for
comparative analysis of K3 status
Tools - K3
Profile (2018)
Québec's
forestry, pulp, and paper sector commissioned the creation of a tool called the
"SST Profile" to assess OSH performance. This tool is based on
several tools discussed in the literature and is specifically designed for
small and medium-sized companies
Hypothesis Test
1) Multiple
Linear Regression Test
The multiple
linear regression test serves to measure the correlation of independent
variables (x) with dependent variables (y). The following are the test results
obtained:
Table 7.
Structure of "SST
Profile"
Dimension |
Organization |
Technical |
Behavior |
Advanced
Enhancements |
Theme |
Commitment from management |
Locking/tagging |
Supervisor |
Advanced
upgrades |
Risk identification, control |
Personal protector of the device |
Measures of discipline |
||
Prevention programs |
Tight space |
Labor representatives |
||
Training |
Working at Height |
Communication |
||
Supervision of subcontractors |
Hot environment |
|
||
|
SIMDUT |
|
||
|
Rescue in the forest |
|
||
|
Manual felling |
|
Tool - Risk
Management Maturity Measurement: Initial Model (2018)
To measure the
maturity of risk management, it has been proposed to use only a few indicators
found in the literature
Table
9.
Risk
management process maturity indicators
Indicator
Categories |
Measurement |
Identify
OSH risks |
Number of hazards identified |
Number of incident reports filed |
|
Number of inspections carried out |
|
Number of people trained to identify hazards |
|
OSH risk
estimation and evaluation |
The number of estimates and evaluations carried
out and validated |
Number of risks identified per risk level |
|
Preventive
and corrective actions |
Number of recommended precautions and remedies |
Number of effective preventive measures and
remedies (verified and validated) |
|
Number of precautions per hazard type (e.g.,
narrow spaces, height, etc.) |
|
Number of prioritized corrective actions per
hazard type (e.g., high or low severity) |
|
Number of new hazards reported after the
implementation of preventive measures and remedies |
|
Risk
characterization |
Correlation between proactive and reactive
indicators |
The amount of potential hazard (with low or high
severity, etc.) |
|
The number of hazards per specific category (e.g.,
narrow spaces, heights, etc.) |
|
Monitoring
and review |
Number of new evaluations of OSH risks |
Effectiveness of corrective actions implemented |
Tools -
Measurable Proactive Indicators of Risk Management Maturity (2019)
The literature
has compiled the right proactive indicators for use in small to medium-sized
chemical companies in China. These indicators are divided into four groups:
operations, management, individuals, and resources and technology
Table
10.
Operation-based
OSH indicators that can be used in small to medium-scale chemical companie
Code |
Indicator
Categories |
Measurement
Examples |
1 |
Hazard
identification |
Number of hazards identified |
Number of inspections focused on chemical safety |
||
Number of inspections that focus on work-related
risks |
||
Number of people trained to identify hazards |
||
2 |
Risk
estimation and evaluation |
Number of estimates and re-evaluations carried
out |
Risks are identified per level or category |
||
3 |
Prevention
and corrective action |
Number of recommended precautions and remedies |
Number of preventive/remedial measures that are
considered effective |
||
The number of precautions per hazard type (e.g.
enclosed spaces, sparks, etc.) |
||
Number of new hazards reported after the
implementation of preventive measures and remedies |
||
4 |
Risk
characterization |
Correlation of proactive and reactive indicators |
The number of potential hazards sorted by
severity |
||
The number of hazards based on a specific
category (e.g., enclosed spaces, altitude, etc.) |
||
5 |
Follow-up
and investigation |
Number of new risk evaluations |
Effectiveness and efficiency of corrective
actions implemented |
Managers can
get a basic picture of their business's risk management maturity by using
proactive, measurable indicators. This study shows that companies that
diligently implement proactive risk management strategies can reduce the rate
of occupational accidents. Since the proposed indicators aim to show the risk
management maturity of small and medium-sized Chinese chemical companies, it is
still unclear how much can be generalized. This type of company tends to be
large by Canadian standards.
Tool - K3
Management Evaluation (2019)
Based on a
review of the literature used to design the 7 tools above, Taiwan's food
industry was selected to conduct an evaluation of K3 performance
Table
11.
Additional
key indicators regarding OSH performance
K3 Factor |
Key Performance Indicators |
Organization |
Preventive management practices |
Employee protection measures |
|
Human |
Security enhancement program |
The framework
for the performance assessment of safety and health management systems was
developed using SafetyMAP Australia's audit criteria as a foundation and
supplemented with additional criteria identified in the occupational health and
safety management literature. In addition to the elements of emergency response
procedures, health promotion and monitoring of the work environment were not
assessed by
K3 performance
evaluation tools are often based on reactive indicators (e.g., frequency or
severity of work accidents). Although simple to measure, this type of indicator
provides little useful information for identifying K3 deficiency
The strengths
and weaknesses of these two types of indicators show that there is no one type
of indicator that provides precise and reliable performance measurements
Several
observations emerged from the comparison of these nine K3 performance
evaluation tools. First of all, the Tool - Total Safety Performance
None of the
selected tools use reactive indicators. Where the K3 Tool – Profile has the
most complete indicator with 94 measurable proactive indicators while the K3
independent Diagnostic Tool – has a simple indicator that the use of the tool
needs to be measured by an OHS expert. In the observation of the nine tools,
none of the tools had a reactive indicator.
Tools - Total
Safety Performance
CONCLUSION
In conclusion,
evaluating occupational health and safety (OSH) performance is crucial for
enhancing workplace conditions and operations. This assessment is supported by
a range of tools designed to monitor progress and measure the effectiveness of
preventive measures in industries prone to physical risks. The review of
literature from 2005 to 2023 highlights several key evaluation tools,
emphasizing their content validity, use of indicators, and reliability. While
both reactive and proactive indicators offer insights into OSH status and
performance, combining these approaches provides a more comprehensive view.
Tools like Total Safety Performance, Fuzzy Comprehensive Performance
Evaluation, and K3 Profile demonstrate effectiveness in improving occupational
health and safety through elements such as policy development, hazard
assessment, and training. As global demographics evolve, ensuring safer work
environments becomes increasingly critical, necessitating robust monitoring
systems tailored to today's workforce challenges. Despite advancements, ongoing
incidents underscore the need for reliable OSH evaluation tools to meet
regulatory standards and achieve safer workplaces effectively.
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