Statistical Monitoring of OSH: Analysis of Deviations and Recommendations for Optimization

The quality of statistical information in the field of occupational safety and health holds strategic significance and serves as the foundation for implementing state policies and making managerial decisions aimed at improving working conditions and reducing occupational injuries and occupational illnesses. Statistics should become the digital backbone of a new analytical system for the performance and effectiveness of occupational safety management and measures to reduce occupational risks in enterprises.

In the realm of occupational safety and health, the application of statistical methods is both justified and widely practiced, marked by its distinct utility. Most often, government bodies require statistical information to assess the current situation and the impact of various standards, expressed in numerical and percentage terms. Additionally, statistical data is utilized for benchmarking against the levels of other countries, aiming to evaluate the progress of implemented policies and measures. Aggregated statistical data is used for such comparisons. For instance, the International Labour Organization Database (ILOSTAT) annually releases statistical information on occupational safety and health, encompassing occupational injuries and the status of fatal and non-fatal occupational injuries categorized by gender and occupation worldwide [1].

However, it is essential to acknowledge that official statistical data on occupational injuries may not accurately reflect the real situation in many, including highly developed and developing countries. In the study [2], it was found that many workplace injuries are not recorded in employers' logs as required by the Occupational Safety and Health Administration (OSHA), leading to an underestimation of such incidents in the Bureau of Labor Statistics (BLS) records, thus resulting in significant underreporting of occupational injuries in America. The lack of accurate data concerning workplace injuries and illnesses raises concerns among occupational safety specialists, researchers, workers, labor unions, employers, unions, and governmental entities.

The unsatisfactory compliance of employers with reporting requirements, as evidenced by the comparison of employer reports in OSHA with the Michigan's Work-related Hospitalizations Surveillance System (MMSIISS), is noted in the study [3]. It was determined that employers did not report 1627 cases. Meanwhile, OSHA received 649 valid reports of hospitalizations from employers that were not identified in MMSIISS. Out of the 649 valid reports in OSHA, where the injuries included fractures, head injuries, or acute conditions such as heatstroke, it was revealed that hospitals either failed to report due to injury fears, or the illness was not coded as worker's compensation, or the hospital incorrectly identified and reported the requested diagnostic codes.

The fact that the actual situation regarding mortality from occupational injuries in any country is not accurately reflected and is underestimated in reports by government agencies, and ultimately in the official statistical agency ILOSTAT, is established in the study [4].

Analyzing deviations and discrepancies within the existing methodology of data collection and processing, as well as statistical reporting forms, is a crucial aspect in enhancing the effectiveness and accuracy of monitoring occupational safety and health conditions. This practice helps identify problematic areas within the statistical observation system, facilitating the development of targeted recommendations to refine methodologies and data collection processes, as well as statistical reporting forms. This, in turn, aims to ensure more reliable and accurate information for decision-making at all levels of management.

The aim of this study is to identify problematic areas and propose improvements in methodology, data collection, and forms of statistical reporting to enhance the quality and utility of statistical information on working conditions and occupational injuries. This, in turn, enables more effective analysis and prevention of workplace risks, as well as the development and implementation of appropriate occupational safety measures.

Currently, in the Republic of Kazakhstan, the assessment of occupational and environmental safety relies on a statistical method of analysis, using statistical indicators such as the number of registered accidents, occupational diseases, and workplaces with unfavorable conditions for workers' health as comparative measures.

The main conclusion drawn from the conducted research is the necessity to improve the system of statistical observation and data processing on working conditions and occupational injuries in the Republic of Kazakhstan, taking into account advanced international experience. This may involve revising and supplementing existing reporting forms, implementing digital tools for data collection and analysis, as well as updating the methodology for classifying incidents and the causes of workplace accidents. Additionally, adopting risk-oriented approaches could be beneficial.

Furthermore, attention should be directed towards the significance of collaboration among governmental bodies, employers, labor unions, and other stakeholders to enhance the quality of statistical data and its analysis. Only through joint efforts and the application of advanced methods can a more accurate and objective assessment of occupational safety and health conditions be achieved. This collaboration is vital to develop effective measures for preventing occupational injuries and illnesses.

The employee does not insist on an investigation, as they do not see any personal benefits from its results. Employers may conceal workplace accidents not only due to the potential negative publicity but also because an investigation into occupational injuries at the enterprise or organization could lead to additional inspections and fines related to occupational safety. The government contentedly relies on a simplistic statistical paradigm for evaluating the functioning of the occupational safety management system, based on the 'increase or decrease' principle. The peril of such collective tolerance towards injuries lies in its embodiment of a dismissive attitude towards the safety of other workers and the potential hardships faced by their families.

The primary tool enabling the neutralization of hazardous factors in the workplace environment could be the application of scientifically justified statistical methods for analyzing occupational injuries, along with preventive techniques for assessing the ratio of fatal to non-fatal injury cases.

Finally, it is important to emphasize that statistical observation, obtaining reliable information, and analyzing data on working conditions and injuries are integral components of the overall occupational safety and health system. Developing targeted programs and strategies aimed at ensuring worker safety and well-being within the work environment is only possible based on reliable and up-to-date data.

According to the analysis of international standards in the field of occupational safety and health statistics, as outlined in the International Labour Organization (ILO) Convention on Labour Statistics, 1985 (No. 160) [8], and the Recommendations on Labour Statistics, 1985 (No. 170) [9], essential labor statistics, including information about occupational injuries and occupational diseases, should be collected and published at least once a year. These statistical data should be classified based on economic activity sectors and characteristics of workers, such as gender, age group, occupation, and skill level. It is noteworthy that the format of the national statistical observation largely adheres to this requirement.

A comparative analysis of international experience in statistical reporting forms revealed that the collection of comparable and reliable data on working conditions in European Union countries, conducted by Eurostat [10], and in the United States (Federal agency Bureau of Labor Statistics) [11], is achieved through computer-assisted telephone interviews and face-to-face interviews with the working population. These interviews gather information based on gender, age, occupation, employment status, and industry sector, taking into account risk factors for physical health and worker psychosocial well-being [12]. Moreover, statistical surveys of the work environment encompass a wide range of occupational factors that have an adverse impact on employee health (Table 1).

The comparative analysis of statistical observation forms for occupational injuries and occupational diseases in European countries has revealed certain discrepancies in the national systems in providing additional information about the accident and the injured worker resulting from that accident. For example, in Kazakhstan, unlike the USA and the EU, there is a lack of information on psychosocial indicators, while ergonomic factors are aggregated and generalized to the level of job severity and equipment hazard. However, physical factors in Kazakhstan are detailed more comprehensively than in other entities, with clear levels of maximum standards and concentrations.

The statistical forms of the analyzed countries include such information as the average earnings of the injured worker, the amount of material damage paid, a medical report on disability, information about witnesses of the accident, etc. (Table 2) [13].

At the same time, in Kazakhstan, unlike Italy and Canada, there is no information about witnesses during an accident and the income level of the victims, information about returning to work, and the medical services provided. The highest number of indicators is in the systems of Italy and Canada (n=8), and the lowest in Kazakhstan (n=6) and the USA (n=5) (Table 2).

Currently, in the Republic of Kazakhstan, the assessment of occupational safety and the working environment is based on a statistical method of analysis that uses statistical indicators as comparative measures: the number of registered accidents, occupational diseases, and workplaces with unfavorable working conditions for employees' health [14].

Table 1. Comparative analysis of forms of statistical reporting on the examination of working conditions

Table 2. Comparative analysis of forms of statistical observation of working conditions

Through an analytical investigation of the statistical observation system, it has been revealed that the official resource of the Bureau of National Statistics (BNS) lacks an approved methodology for collecting and processing statistical data on working conditions, occupational injuries, and occupational diseases. However, Instructions for filling out statistical forms for nationwide statistical observation are available [15]. For Form 1-T (working conditions), indicators are generated, including the average number of employees (excluding small enterprises), the number of employees working in hazardous and other unfavorable working conditions, the actual number of employees to whom benefits and compensation are provided for working in hazardous and other unfavorable working conditions, and the amount of expenditure for compensation for working in hazardous and other unfavorable working conditions.

Statistical Form 1-T (working conditions) is submitted by legal entities and/or their structural and separate units engaged primarily in agriculture, forestry, and fisheries, as well as industry, construction, transportation, warehousing, accommodation and food services, information and communication, professional, scientific, and technical activities, healthcare, and social services. This applies except for those reporting under the statistical form «Activities of Small Enterprises» (index 2-MP, annual frequency) based on their location, if they are authorized by the legal entity to submit statistical forms.

The analysis of the number of individuals employed in hazardous and/or dangerous working conditions over the past three years revealed that statistical observations are conducted through a selective method, covering only 11 out of 19 sectors, which amounts to 58% of the total sectors according to the International Standard Industrial Classification (ISIC) - Rev. 4. However, globally, for the assessment of employment in hazardous working conditions, an indicator known as «workers in arduous or hazardous jobs» (WAHJ) is utilized.

This indicator is expressed as a percentage of the total workforce and varies between 1% and 4% in European countries [16].

During the assessment of the number of enterprises based on the count of employees engaged in hazardous working conditions, it was determined that the scope of statistical observation is limited to only large and medium-sized enterprises. As of the end of the first quarter of 2023, this coverage amounted to 4,839 units, which accounts for 45% of the total number of large and medium-sized enterprises across all sectors of activity (4839 out of 11680 units), or 10% of the overall number of enterprises of all sizes (4839 out of 48420 units). Additionally, the share of the employee headcount at these enterprises is 42% of the total employee headcount (1.6 out of 3.9 million individuals) r 27% of the total number of hired employees within the organization (1.6 out of 5.9 million individuals).

It should be noted that small enterprises submit statistical reports using the «Small Enterprise Activity» form (index 2-MP, annual frequency). However, this form does not include information about the number of employees working in hazardous or dangerous conditions. The number of small enterprises not participating in the working conditions survey amounts to 37,648 or 78%. The share of the total workforce employed by small enterprises is 27% of the overall employee count (1.0:3.9 million people).

As a result of the conducted statistical analysis based on descriptive statistical methods (calculation of absolute and relative values, mean values, medians, modes, range, standard deviation, identification of dynamic series, summarization and grouping, among others), correlation-regression analysis, and hypothesis testing, it was found that in calculating the total number of employees, only the quantity of small enterprises owned by the state is taken into account. However, if we consider small enterprises as subjects of entrepreneurship, the number of such enterprises not included in the total listed number of employees was 1.7 million people. Consequently, there is a low coverage of statistical surveying encompassing all employees of small enterprises regarding working conditions. This coverage amounted to 2.8 million people or 47% of employed workers within the organization (2.8:5.9 million people). All of this does not allow us to speak about the randomness, representativeness, diversity, and transparency of the sample in relation to the general population. All of this requires adjusting the methodology of data collection, where a random sample is complemented by a systematic sample, where elements are chosen at fixed intervals from the general population. For example, every 10th element can be chosen, and stratified sampling when the general population is divided into several subgroups (strata), and elements are randomly chosen from each subgroup. This approach allows for accounting for the heterogeneity of the general population and ensures more accurate estimates.

The statistical analysis of the number of employees engaged in hazardous and/or dangerous working conditions revealed that the actual number of workers employed in such conditions in 2022 was 491.1 thousand people. Moreover, the number of workers receiving at least one form of compensation amounted to 680.1 thousand people, representing an increase of 28% compared to the actual figure.

However, starting from 2014, in addition to mandatory pension contributions from employees (at a rate of 10% of wages), employers are required to contribute mandatory professional pension contributions (hereinafter referred to as OPPV) at a rate of 5% of the employee's wage fund for those engaged in hazardous and/or dangerous working conditions, according to the List of industries, jobs, and professions of workers employed in jobs with hazardous working conditions, for which mandatory professional pension contributions are made by agents of mandatory professional pension contributions from their own funds [17]. Every contributor of OPPV, including individuals and legal entities, including foreign legal entities, conducting activities in the Republic of Kazakhstan, is obliged to open an individual pension account (hereinafter referred to as IPA) with the Unified Accumulative Pension Fund (UAPF) for their employees. The number of opened IPAs, in turn, indicates the number of workers employed in hazardous and/or dangerous working conditions, which, according to UAPF data as of January 1, 2023, amounted to 595,710. Figure 1 presents the numerical values of employment in hazardous and/or dangerous working conditions.

As seen in Figure 1, the identified discrepancy in the numerical values of individuals employed in harmful and hazardous working conditions indicates the lack of a clear methodology for collecting primary statistical data on working conditions. This is primarily associated with the absence of a unified approach to determining the actual number of workers employed in harmful and hazardous working conditions [18].

The surveyed enterprises are characterized by workplace environmental factors that affect the workers under unfavorable conditions. During the data collection for statistical reporting using Form 1-T (working conditions), a list of 11 harmful and hazardous factors is provided. However, during the processing and aggregation of summary indicators, 5 of these factors are not taken into account. Additionally, each worker is counted only once regardless of the number of affecting factors (as shown in Table 3).

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Figure 1. Number of individuals employed in hazardous and/or dangerous working conditions according to the data from BNS and UAPF for the year 2022, in thousands

Table 3. List of production factors for statistical accounting of working conditions

During the analysis of the statistical reporting form 1-T (working conditions), it has been identified that there is an incomplete reflection in the statistical records of the occupational environmental factors that have an adverse impact on the health of the worker.

Thus, there are several deviations in the current system of statistical observation of working conditions, namely:

· Lack of a clear methodology for collecting statistical data, as evidenced by the discrepancies in numerical values when determining the number of individuals employed in hazardous and/or dangerous working conditions;

· Low coverage of the statistical sample of respondents, i.e., surveyed enterprises, for the presence of hazardous and/or dangerous factors;

· Insufficient consideration of occupational environmental factors that have an adverse impact on the worker.

The statistical Form 7-TPZ is filled out in accordance with Chapter 20 «Investigation and Recording of Occupational Accidents» of Section 4 «Occupational Safety and Health» of the Labor Code of the Republic of Kazakhstan [19] and the order of the Minister of Healthcare and Social Development of the Republic of Kazakhstan «On Approval of Forms for Documenting Investigations of Occupational Accidents» associated with work activities [20].

Form 7-TPZ generates indicators such as the number of individuals injured in occupational accidents, the number of fatalities resulting from occupational accidents, the combined number of individuals injured and fatalities in occupational accidents related to work activities per 1,000 workers, the severity of the injuries sustained by the affected individuals, the loss of working time due to injuries related to work activities and occupational diseases, and the financial consequences of occupational accidents.

It is important to note the indicator of hidden injuries, which is determined as the ratio of the number of individuals injured with non-fatal outcomes to the number of fatalities. This indicator reflects the actual level of occupational injuries since the International Labour Organization (ILO) recommends, based on the experience of developed countries, using the ratio of the total number of injuries to one fatality case, ranging from 500-1000:1, to estimate the potential total number of affected individuals in countries with inadequate reporting of occupational injuries [21].

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Figure 2. Indicators of occupational injuries for 2020-2022, people

Figure 2 presents a statistical analysis of occupational injuries on average for the years 2020-2022, where the indicator of hidden injuries at the national level is equal to a ratio of 11:1.

In other words, according to the ILO recommendation in Kazakhstan, approximately 100,000 non-fatal injuries should be registered for every reported case of fatal injury. This indicates a significant «shadow» of informal information regarding both hidden injuries across all enterprises and the absence of corresponding statistical records, particularly at small enterprises, significantly reducing the reliability of official information.

As a result of the comparative analysis of the statistical form 7-TPZ (Table 2) with international norms and reporting forms used in foreign countries, discrepancies were identified in Kazakhstan concerning the reflection of the following information. In Kazakhstan's statistical reporting forms, there is no information about the employee's salary, the amount of material compensation paid as a result of accidents, including insurance payments. Additionally, there is no information about the appointment of social benefits for disability and the degree of disability, which are confirmed by the conclusion of a medical and social examination.

In the current statistical reporting form 7-TPZ, in the List of types of incidents that led to accidents and the causes of accidents, non-detailed or unsupported incidents are classified as «other» (Table 4).

Table 4. List of types of accidents and causes of accidents for statistical accounting

The statistical analysis of incidents leading to accidents from 2020 to 2022 showed that the top 3 types of incidents (falls, impact of moving objects, road incidents) together account for 51.2%, indicating no dominant pattern. The relative share of other, unspecified types averaged around 9%, ranking sixth in the overall list of incident types (Figure 3).

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Figure 3. Distribution of accidents by incident types on average for the last three years, %

Next, we will conduct a statistical analysis of the causes of occupational accidents for the years 2020-2022 (Figure 4).

Based on the analysis of the causes of accidents during the period 2020-2022, it was found that the top 3 causes, accounting for 68.3%, are individual (gross negligence of the victim) and organizational (unsatisfactory work organization and violation of safety and occupational health rules) in the ratio of 39.3% to 29%. Other causes occupy the fifth place in the overall list of accident causes with a small share of 4.3%

Overall, it should be noted that the inclusion of the «other» category does not take into account possible consequences of accidents that could have been classified into separate categories with more detailed and expanded characteristics of accident types and causes.

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Figure 4. Distribution of occupational accidents by main causes on average for the last three years, %

In conclusion of this article on occupational safety, important aspects of statistical observation and data analysis for optimizing workplace safety have been identified. Encompassing the significance of statistical monitoring of working conditions and occupational injuries, the study highlighted the necessity for effective measures to improve safe working conditions.

Based on the obtained results of statistical analysis and identified deviations from established standards and norms, the authors have provided a series of valuable recommendations for optimizing the system of statistical monitoring of occupational safety. The proposed measures include the implementation of new data collection and processing methods, updating statistical reporting forms, as well as applying proactive approaches to mitigate the impact of adverse workplace factors and prevent accidents in the workplace.

Regarding the statistical reporting on Form 7-TPZ, in order to obtain more detailed and reliable information about an accident, as well as the injured worker, it is recommended to supplement with the following information:

- Average monthly earnings of the injured worker, which serves as the basis for determining the amount of payments for temporary disability (sick leave), insurance payments from insurance companies, and government social benefits for loss of employability.

- Results of the medical and social examination indicating the degree of loss of employability, allowing for the determination of the needs for rehabilitation and social support measures for the injured workers.

Supplementing the statistical reporting with these items will improve the statistical database on occupational injuries and occupational diseases, thereby contributing to a more accurate analysis and forecasting of trends in this field.

The updating of the list of types of incidents and causes of accidents is a proactive measure that will help identify existing professional risks and react more effectively to new professional risks in the workplace in order to take measures to reduce them.

These conclusions open up prospects for further research in the field of statistical monitoring of occupational safety, which could lead to the development of more effective and accurate methods for assessing safety and occupational injuries. Furthermore, the provided recommendations can be adapted for various types of enterprises and industries, aiming to ensure nationwide improvement in occupational safety and protect the health of the working population.

In this regard, all occupational safety and health measures should be aimed at preventing occupational injuries and professional diseases. One of such measures should be the creation of a localization scheme for hazards within the surveyed object in workplaces with hazardous working conditions. This scheme helps identify harmful production factors that are common to many professional groups of workers or affect workers in specific areas or professions. The obtained research results can serve as a basis for decision-making by government authorities for the purpose of conducting statistical monitoring of working conditions and occupational injuries.