Effectiveness reviews in occupational safety: how to check whether measures work
A measure is only done once it works. What the German Occupational Safety and Health Act requires for effectiveness reviews, when and how to check, what to do if measures do not work and how to document the result.
Last updated on 7 min readAMS Go editorial team
Key points at a glance
- Employers must check their health and safety measures for effectiveness and adapt them where necessary (Section 3(1) of the Occupational Safety and Health Act, ArbSchG); their records must show the result of this review (Section 6(1) ArbSchG).
- The effectiveness review (Wirksamkeitskontrolle) checks whether a measure was implemented as specified and whether it eliminated or sufficiently reduced the hazard – and whether new hazards have arisen (DGUV Principle 311-003).
- Checks take place promptly after implementation by observing, measuring or asking; technical protective measures must be checked for effectiveness at least every third year for hazardous substances (Section 7(7) GefStoffV) and at least every second year for biological agents (Section 8(6) BioStoffV).
- If effectiveness reviews are missing or incomplete, the risk assessment is considered not properly carried out under the GDA guideline on risk assessment and documentation.
What is an effectiveness review?
An effectiveness review is the check of whether the specified health and safety measures have been implemented appropriately and have eliminated or minimised the hazard – this is how DGUV Principle 311-003 defines it. It is mandatory under Section 3(1) ArbSchG and the sixth of seven process steps in the risk assessment (Gefährdungsbeurteilung): after defining and implementing the measures and before updating the assessment.
The key is the difference between “done” and “effective”: hearing protection that has been provided is an implemented measure. It only becomes effective when it fits, is worn and sufficiently reduces exposure at the ear. Four questions help with every review:
Implemented? Is the measure in place as specified?
ExampleRailing installed along the footpath, instruction given
Effective? Is the hazard eliminated or sufficiently reduced?
ExampleNobody crosses the forklift route any more, the noise level is below the action value
Side effects? Have new hazards arisen?
ExampleThe new barrier narrows the escape route, the guard obstructs the view
Lasting? Does the effect continue?
ExampleThe extraction system is maintained, the rule is also followed on the night shift
Legal basis: where effectiveness reviews are required
The basic duty is set out in Section 3(1) ArbSchG: the employer must check health and safety measures for effectiveness and adapt them to changing circumstances where necessary. Under Section 6(1) ArbSchG, the employer must have records showing the result of the risk assessment, the measures specified and the result of their review. Ordinances specify this for individual hazards:
Section 4(5) of the Industrial Safety Ordinance (BetrSichV)
What to checkEffectiveness of protective measures for work equipment; regular functional checks of protective and safety devices
TimingBefore first use, unless an inspection under Section 14 or 15 has taken place; checks regularly thereafter
Section 7(7) of the Hazardous Substances Ordinance (GefStoffV)
What to checkFunction and effectiveness of technical protective measures, e.g. extraction systems
TimingRegularly, at least every third year; record the result
Section 7(8) GefStoffV
What to checkCompliance with occupational exposure limits through workplace measurements or other suitable methods
TimingAlso whenever the conditions affecting exposure change
Section 8(6) of the Biological Agents Ordinance (BioStoffV)
What to checkFunction and effectiveness of technical protective measures
TimingFunction regularly, effectiveness at least every second year; document result and date
When should effectiveness be checked?
The Occupational Safety and Health Act sets no uniform deadline. DGUV Principle 311-003 requires effectiveness to be checked promptly after implementation. In practice there are four occasions:
- After implementation: technical measures on commissioning, organisational and behavioural measures after a few weeks, once the new routine has settled in
- At fixed intervals: where regulations set intervals, for example for technical protective measures for hazardous substances and biological agents
- When there is a reason: after accidents, near misses, defect reports, complaints or changes to work equipment and processes
- During the regular review of the risk assessment, which DGUV Principle 311-003 recommends at least once a year
Methods: observe, measure, ask, analyse
DGUV Principle 311-003 names observing, measuring and asking as ways of checking. For hazardous substances, the Technical Rule TRGS 500 lists, among other things, recurring inspections of technical equipment, visual and functional checks, inspections of the premises and taking the results of occupational health care into account. Which method fits depends on the measure:
Walk-through and observation
Suitable forTechnical and organisational measures, behaviour
ExampleAre traffic routes clear, is the guard used, is PPE worn?
Measurement
Suitable forNoise, hazardous substances, climate, lighting
ExampleNoise level after installing an enclosure, air velocity at an extraction point, workplace measurement
Visual and functional check
Suitable forProtective devices, work equipment, PPE
ExampleTrigger the emergency stop and light curtain, check the extraction works after switching on
Survey, conversation, workshop
Suitable forPsychological stress, ergonomics, acceptance
ExampleShort survey after a change of shift schedule, conversation with the employees at the machine
Analysis of reports and key figures
Suitable forTrends over a longer period
ExampleAccidents, near misses and defect reports in the area, results of occupational health care
Effectiveness review in 5 steps
- 1
Define the goal and test criterion
What should the measure achieve, and how can that be measured or observed? Note the target state, limit value or desired behaviour.
- 2
Set the date and reviewer
Plan the review date together with the measure and appoint a suitable person – ideally not the one who implemented it.
- 3
Check on site
Check using the appropriate method, talk to the employees and watch out for new hazards.
- 4
Assess the result
Classify it as effective, partly effective or not effective – with a brief reason.
- 5
Document and respond
Record the date, person, method and result. If the measure is not effective enough, define a new one and update the risk assessment.
What if a measure does not work?
Then it needs improving: Section 3(1) ArbSchG requires measures to be adapted where necessary. For hazardous substances, TRGS 500 makes clear that the risk assessment must be repeated and additional measures taken if the protective measures are insufficient. This approach has proven effective:
- Clarify the cause: was the measure unsuitable, only partly implemented, impractical in everyday work – or have conditions changed?
- Consider a higher-ranking solution: under the STOP principle, tackle the source first; individual protective measures come last (Section 4 ArbSchG)
- Define an interim measure until the new solution takes effect
- Involve the employees – they often know best why a rule is being bypassed
- Add the new measure to the action plan with a responsible person, deadline and review date
If a defect involving an immediate and significant danger cannot be remedied straight away, the employer must ensure that the employees at risk stop work immediately (Section 4(1) of the Workplaces Ordinance, ArbStättV). Work equipment with defects that impair its safe use must not be used (Section 5(2) BetrSichV).
Documenting the effectiveness review
No particular format is prescribed. According to the GDA guideline and DGUV Principle 311-003, the documentation of the risk assessment should at least include the evaluation of the hazards, the measures with dates and responsible persons, the implementation of the measures and the review of their effectiveness, and the date of creation or update. For the effectiveness review this means:
- Date of the review and the reviewer
- The measure reviewed, with reference to the hazard
- Method, e.g. walk-through, measurement or survey
- Result: effective, partly effective or not effective
- Follow-up measure and next review date, if needed
You can file measurement reports, inspection reports or walk-through reports as supporting documents and refer to them in the risk assessment.
Checklist: effectiveness review
- For every measure it is defined how its effect can be recognised
- Review date and reviewer are named
- Implementation checked on site – not just ticked off as done
- Effect checked using a suitable method: walk-through, measurement, survey or analysis
- New hazards caused by the measure looked for
- Prescribed intervals for technical protective measures met
- Ineffective measures improved and risk assessment updated
- Result documented with date, person and method
Free templates for this guide
As PDF and Excel, free – to use in your own company.
Frequently asked questions
Is an effectiveness review required by law in Germany?
Yes. Section 3(1) ArbSchG obliges employers to check health and safety measures for effectiveness and adapt them where necessary; under Section 6(1) ArbSchG the result of the review belongs in the documentation. For work equipment, hazardous substances and biological agents, the BetrSichV, GefStoffV and BioStoffV contain additional requirements.
How often does effectiveness have to be checked?
Promptly after implementation, when there is a reason such as an accident or a change, and as part of the regular review of the risk assessment, which DGUV Principle 311-003 recommends at least once a year. Fixed maximum intervals apply to technical protective measures: at least every third year for hazardous substances (Section 7(7) GefStoffV) and at least every second year for biological agents (Section 8(6) BioStoffV).
Who carries out the effectiveness review?
The employer is responsible; in practice, managers, the occupational safety specialist (Fachkraft für Arbeitssicherheit) or appointed persons carry out the checks. The occupational safety specialist and the company doctor are tasked with monitoring how occupational safety is implemented, inspecting the workplaces regularly and working towards the elimination of defects (Sections 3 and 6 of the Occupational Safety Act, ASiG). Where possible, a second person who did not implement the measure carries out the check.
What is the difference between an implementation check and an effectiveness review?
An implementation check asks whether a measure was carried out – for example whether the safety instruction took place. An effectiveness review asks whether it actually eliminated or sufficiently reduced the hazard – for example whether employees now work safely. Both are part of the review under Section 3(1) ArbSchG.
Terms from the glossary
This guide gives a general overview of German occupational safety law and does not replace legal advice. The regulations in force and the rules of the statutory accident insurance institutions are authoritative.
Organise occupational safety digitally
With the occupational safety software AMS Go you handle risk assessments, safety instructions, inspections and more in one system – mobile and with AI support.
Newsletter
Occupational safety, straight to your inbox
New templates, guides and changes to regulations – free from AMS Go. The newsletter is in German. You can unsubscribe at any time via the link in every email.
