NEBOSH IG1

International General Certificate in Occupation Health and Safety

Unit IG1: Management of Health & Safety

Element 1: Why we should manage workplace health and safety

Prepared by: Tutors team

Reviewed by: Lead tutor
Reference# 2021-50-01/Element 1
Next review date 1st Jan. 2022
Learning Outcomes

After completion of this element, you will be able to know about:

1. Moral, Financial and Legal reasons for managing health and safety in
the workplace,
2. How health and safety is regulated and the consequence of non-
compliance,
3. Understanding health and safety responsibilities,
4. Management of Contractors.
1. What is Occupational Health and Safety?

As defined by the World Health Organization (WHO):

"Occupational health deals with all aspects of health and safety in the
workplace and has a strong focus on primary prevention of hazards."

Health has been defined as:

"A state of complete physical, mental and social well-being, and not
merely the absence of disease or infirmity."

Occupational health and safety (OHS) relates to health, safety, and

welfare issues in the workplace. OHS includes the laws, standards,
and programs that are aimed at making the workplace better for
workers, along with co-workers, family members, customers, and other
stakeholders.

2. Reasons to manage safely in the workplace

There are 3 key reasons to manage work safely:

1. Moral Reasons (Codes of conduct, Rules of behavior)

2. Legal reasons (Government Regulations, statutes)
3. Financial Reasons (Cost of accident/incident and ill-health)
2.1 Moral Reasons

In simple terms, the moral reason can be summarised as, ‘it’s the right t
hing to do’. It is right and proper that workers go to work to earn a living
and return home in the same state, not suffering from ill health or seriou
s physical injury. People expect this as a fundamental right. Workers ex
pect it. Society expects it.
For people to be killed, or seriously injured, or to suffer illness as a
consequence of work is clearly wrong.

The increasing globalisation of business has led the World Health

Organization (WHO) to expressed concern that:

… in order to reduce costs, industries with their accompanying

occupational hazards are being relocated to developing countries –
home to 75% of the global workforce.

Both the WHO and the International Labor Organization (ILO) have
warned that globalisation will considerably increase the number of
work-related diseases and injuries in the 21st century.

Current estimates are that 2.3 million people die annually as a

consequence of their work. This breaks down into around 350 000 fatal
accidents (approximately 1,000 each day) and almost two million fatal
illnesses (around 5,400 each day) with 900,000 caused by exposure to
hazardous substances.

There are also over 310 million non-fatal work-related accidents

(requiring at least 4 days work absence) each year.

The main causes of occupational mortality are shown in Figure:

2.2 Legalggrgergerg
Reasons
The legal reason for managing health and safety relates to the framework
of international and national laws that govern the conduct of businesses and
organisations. Most countries have laws that set standards for how
organisations should conduct themselves with regard to the management of
health and safety risks. Failure to achieve these legal minimum standards
can lead to enforcement action by the authorities or prosecution before the
courts. Successful prosecution can lead to a fine and, in many countries, to
imprisonment for the individuals concerned.

In general, there are two aspects (branches) of health and safety law:

• civil
• criminal

CIVIL LAW
The aim of the civil law is to compensate an injured party for loss
suffered as a consequence of an accident, ill-health or death.
Therefore, a civil case involves an action against an individual / body.
Civil claims are heard in different courts throughout the world and often
attract significant media attention, with the results often being taken into
consideration when similar cases are heard in other countries. State
schemes or insurers, under the Workers’ Compensation or Employers’
Liability Insurance policies, often pay the compensation awards to
employees against employers. Assistance in making such claims may
be provided by workers unions.

There are 2 types of liability that influence the civil law:

1. Civil Liability
2. Vicarious liability

1. Civil Liability: In a civil action in a court of law the burden of proof

will depend upon the nature of the liability, applicable in the particular
case, which may either be:

• fault liability: This usually requires the person/s bringing the

claim to prove the allegation by bringing evidence to satisfy a
 court, e.g. negligence, where the party making a claim for
compensation has to show: 1. There was a duty of care owed to
the injured party; 2. The duty was breached; and 3. The breach
caused the loss (injury, ill health, death).
• No-fault Liability: It is assumed that the employer is liable and
compensation is awarded accordingly.

2. Vicarious Liability: Under the rule of vicarious liability if an employee

is negligent towards another employee or to a member of the public in
the course of his work, the employer is liable to pay damages to the
injured party. In other words, the fault of the employee is transferred to
the employer. The employer should have insurance to compensate the
injured party if his / her claim is successful.

Two conditions must be fulfilled to show vicarious liability:

• The employee was acting in the course of his employment; and

• The employee caused the damage by failing to fulfill a common
law duty of care, i.e. he was negligent.

Criminal Law
The criminal law establishes a set of rules for acceptable behaviour. If
the necessary standards are not met the enforcement agencies may
take preventive and/or punitive action.

Preventive actions may involve the service of legal notices to stop

activities posing a risk of serious injury (known as prohibition notices in
the UK) or requiring improvements to achieve legal compliance (known
as improvement notices in the UK).

Punitive action involves prosecuting offenders for breaking the rules.

2.2.1 International standard for health and safety

There are no truly global laws governing workplace health and safety. Most
countries have their own laws developed over the years to tackle their own issues
and concerns. However, countries often end up adopting similar basic approaches
to protect the health and safety of their people;
the detail may vary but the underlying principles are the same.

A key player in the area of international legal standards in health and

safety is the International Labour Organization (ILO) which is an agency
of the United Nations (UN). Most countries are members of the ILO. The
two primary outputs of the ILO are Conventions and Recommendations.
These set international legal standards.

Conventions and Recommendations can form the basis of detailed

legislation in each member country the result being that basic minimum
health and safety standards are adopted. The detailed provisions will
still vary, as each member state implements the standards in nationally
appropriate way.

In 1981, the ILO adopted the Occupational Safety and Health Convention (C1
55).This describes a basic policy for health and safety at both the national le
vel and the level of the individual organisation.

The Occupational Safety and Health Recommendation 1981 (R

164) supplements C 155 and provides
more detailed guidance on how to comply with the policies of C155. In
particular, it identifies obligations that might be placed on employers an
d employees in order to achieve the basic goal of a safe and healthy pl
ace of work.

Many countries that belong to the ILO have ratified C155 and R164 and
have then legislated to put their requirements into the national (or
regional) law.

In C155 and R164 there is a general recognition that most of the

responsibility for ensuring good standards of health and safety at work
lies
 with the employer –
since they provide the work, the workplace, the tools, systems and
method used, etc. They also recognise that individual workers have
responsibilities. Though the legal wording varies between countries,
the general theme is that employers and workers must exercise
reasonable care to ensure safety and absence of risk to health.

2.3 Financial Reasons

Accidents clearly cost money as a consequence of injured people,

damaged plant and machinery and wasted product. Globally the ILO
estimates that the losses incurred as a result of compensation, lost
working time, interruption of production, training and retraining, medical
expenses, social assistance, etc., account for approximately 5% of the
global gross national product (GNP).

The ILO acknowledges that best estimates may well underestimate the
true economic and social costs because of the under-reporting of
occupational accidents and the failure to recognize the work-related
origins of certain diseases.

The pie chart at Figure breaks down the costs by disease and injury
type.
2.3.1 Various costs of accident/incident

Any accident or incidence of ill-health will cause both direct and indirect
costs and incur and insured and an uninsured cost. It is important that
all of these costs are taken into account when the full cost of an
accident is calculated. In a study undertaken by the HSE, it was shown
that indirect costs or hidden costs could be 36 times greater than direct
costs of an accident. In other words, the direct costs of an accident or
disease represent the tip of the iceberg when compared to the overall
costs.

Direct costs: These are costs which are directly related to the accident
and may be insured or uninsured.

Indirect costs: These are costs which may not be directly attributable
to the accident but may result from a series of accidents. Again these
may be insured or uninsured.

Insured and Uninsured Costs: Many employers believe that the costs
of most incident costs are covered by insurance. The reality is usually
the opposite. Insurance policies do not cover everything. They may only
pay for serious injuries or damages. The HSE study showed that
uninsured costs were between 8 and 36 times greater than the costs of
insured costs. A poor health and safety record could mean an increase
in insurance premiums or a refusal of future insurance cover.

Direct Costs (Insured) Direct Costs (Uninsured)

• claims on employers and
public liability insurance
• damage to buildings,
equipment or vehicles
• any attributable production
and/or general business loss
• fines resulting from
prosecution by the
enforcement authority
• sick pay
• some damage to product,
equipment, vehicles or
process not directly
attributable to the accident
(e.g.caused by replacement
staff)
• increases in insurance

Indirect Costs (Insured)
• a cumulative business loss
• product or process liability
claims
• recruitment of certain
replacement staff.
premiums resulting from the
accident
• any compensation not
covered by the insurance
policy due to excess agreed
between the employer and
the insurance company
• legal representation following
any compensation claim.
Indirect Costs (Uninsured)
• loss of goodwill and a poor
corporate image
• accident investigation time
and any subsequent
remedial action required
• production delays
• extra overtime payments
• lost time for other
employees, such as a First
Aider, who attend to the
needs of the injured person
• the recruitment and training
of most replacement staff
• additional administration time
incurred
• first aid provision and training
• lower employee morale
possibly leading to reduced
productivity.
3. Understanding Health and Safety Responsibilities

Every employee in an organisation has legal and operational

responsibilities to contribute towards the effective management of
health and safety.

Leadership is the key to building an effective health and safety

management system and developing a positive safety culture, and a top
down approach is essential. A senior board member should take direct
responsibility for championing and coordinating the efforts. All directors
and senior managers should actively support the development of the
safety management system and be visible in practically demonstrating
their commitment.

Managers at all levels should communicate the key values of the policy
through their actions and all operational staff should ‘buy in’ to the
importance of health and safety management in the organisation.

3.1 Employer’s Responsibilities

ILO C155 article 16 identifies

some basic obligations placed on employers:

1. “…to ensure that…the workplaces, machinery, equipment

and processes under their control are safe and without risk to heal
th.
2. …to ensure that…the
chemical, physical and biological substances and agents under th
eir control are without risk to health...
3. …to provide…adequate protective clothing and protective
equipment to prevent…risk of accidents or of adverse
effects on health.”

Source: C155 Occupational Safety and Health Convention, 1981 (abbre

viated)

Copyright © International Labour Organization 1981

All employers basic responsibilities includes but
not limited to:
➢ provide employees safe plant and equipment

➢ Provide all required Information, instruction, and training to their

employees

➢ Provide Continuous and competent health and safety Supervision

➢ Provide Safe place of work and access and egress

➢ All employees should have Safe environment and welfare facilities

➢ Employers should have approved safety policy & Risk Assessments

➢ For health and safety, employers must Consult and inform

employees

➢ Employers should provide effective health and safety management

➢ Competent health and safety assistance

➢ Employers should have system of health surveillance

➢ Employers should provide Information on serious and imminent

danger
3.2 Employee’s Responsibilities

Article 19 of C155 states that all workers and their representatives have
to co-operate with their employer so that they can fulfill their
safety obligations.

R164 provides more detail on worker's general duty. It states that

worker should:
• Take reasonable
care of their own safety and that of other people who might be aff
ected by the things that they do and the things that they fail to do.
• Comply with safety instructions and procedures.
• Use all safety equipment properly and not tamper with it.
• Report any situation which they believe could be a hazard and whi
ch they cannot themselves correct.
• Report any work-related accident or ill health.

3.3 Director and top management’s responsibilities

In addition to the basic employer’s and employees' responsibilities,

directors and top managers may well have responsibility for specific
groups of workers or specific parts of the workplace. See below
Additional roles and responsibilities:

➢ Directors and top management should actively support the

development of the safety management system and be visible in
practically demonstrating their commitment.

➢ Director and managers should define line manager’s & supervisor’s

roles and responsibilities

➢ Director and managers should make sure that line-managers and

supervisors are trained and competent in carrying out their role,
recognising the importance of supervision as a part of risk control.

➢ They ensure that the supervisor and team leader has sufficient
resources to deal with health and safety issues as part of getting the job
done
 ➢ Encourage line-managers/supervisors to have a positive attitude to
health and safety – they should lead by example and encourage safe
systems of work. As a client, Director should be clear about the work
you expect fromthe contractor to do and think about the standards of
competence in terms of health and safety that will be required.

➢ Demonstrate the importance your organisation places on health and

safety in the selection of contractors.

3.4 Supervisor’s roles and responsibilities

➢ A supervisor should coach, help or guide workers and their

representatives by facilitating discussions on the likely risks in their
work and precautions they should take;

➢ Supervisors should communicate and guide workers and their

representatives for introduction of any measures that may affect their
health and safety.

➢ Encourage workers and their representatives to have a positive

attitude to health and safety – they should lead by example and
encourage safe systems of work.

3.5 Visitor’s health and safety roles and responsibilities

A visitor is a person who is invited onto premises or is permitted to be

there. All lawful visitors, whether on site for the benefit of the occupier
or not, are owed a common duty of care to ensure they are kept
reasonably safe while on site.

The visitor’s responsibilities include:

➢ Taking permission from occupier before entering or visiting the site

 ➢ Follow the safety instructions given during safety induction

➢ Follow the safety signs and warning signs displayed at project

➢ Use PPEs

➢ Should enter any restricted area until unless special permission and
precaution taken

➢ Show identification badge whenever requested to produce

➢ Sign in and sign out while going in and out of premises.

3.6 Roles and responsibilities of persons with primary health and safety
functions (e.g. Safety Manager/officer/engineer/supervisor)

The health and safety practitioner has a strategic role in the design,
implementation, evaluation and maintenance of a health and safety
management system. The role needs to be clearly defined particularly
regarding its advisory and management responsibilities. This may vary
greatly depending on the size of the organisation and its hazard profile.

Examples of typical roles and responsibilities include:

➢ advising the board or senior management on strategic health and

safety issues

➢ formulating and developing health and safety policies, not just for
existing activities but also with respect to new acquisitions or processes

➢ formulating and developing specific aspects of the health and safety

management system, e.g. the practical arrangements for risk
assessment

➢ promoting a positive health and safety culture and securing the

effective implementation of the health and safety policy
 ➢ developing and contributing to the implementation of arrangements
to ensure effective consultation and communication of health and safety
issues

➢ planning for health and safety including the setting of realistic short
and long-term objectives, deciding priorities and establishing adequate
systems and performance standards

➢ day-to-day implementation and monitoring of policy and plans

including accident and incident investigation, reporting and analysis

➢ reviewing performance and auditing of the health and safety

management system.

3.7 Contractor’s health and safety roles and responsibilities

A contractor is a party engaged to perform a specific task, without

direction from the engaging party (client). In addition to basic employers
responsibilities towards its employees, the contractor should consider
below responsibilities:

➢ An independent contractor (i.e. one who has control over the

undertaking of the work) is responsible for any hazards and risk arising
from their work.

➢ Carry out a joint risk assessment of the work with the client or other
relevant party

➢ Contractor should consider about any specific risks within your

workplace, eg the presence of asbestos.

➢ Contractor must have the right procedures and safety management

system in place

➢ Develop method statements or safe systems of work.

➢ Contractor should be able to:

 • demonstrate previous health and safety performance, eg
references/pre-qualification questionnaire
• verify health and safety training
• verify of licensing be obtained where required, eg Gas Safe
registration

3.8 Joint occupation of premises and shared

Management arrangements are essential for ensuring the effective

cooperation and co-ordination of efforts between multiple parties to
ensure that:

➢ Hazards have been identified and are understood.

➢ Risks have been evaluated.

➢ Appropriate preventive and protective measures, including

emergency arrangements are in place.

➢ That all parties and workers understand their role in ensuring the
safety of everyone involved in, or affected by the work.
4. The relationship between client and contractor and their duties

Client: The party for whom the work or project is being carried out

Contractor: The person engaged by the client to undertake the work.

It is common for health and safety clauses to be inserted into contracts,

such that a contractor undertakes to maintain high standards of health
and safety management. Failure to do so will create a ‘breach’, which in
serious cases could lead to the contract being terminated. There will
also be a reciprocal obligation on the client to do what they reasonably
can to ensure the safety of the contractor’s employees whilst on the
premises. In that respect, this arrangement is similar in principle to that
which exists between employer and employee.

4.1 Management of Contractors

A five step approach on how to manage contractors and ensure safe

working is advocated by the UK’s Health and Safety Executive (HSE).

The five steps are:

1. Planning
2. Choosing a contractor
3. Contractors working on site
4. Keeping a check
5. Reviewing the work

Step 1: Planning
Defining the job

The client should clearly identify all aspects of the work they want the
contractor to do, including work falling within the preparation and
completion phases.

Risk management

Both the client and prospective contractor should be involved in the risk
management process. The client should already have a risk
assessment for the work activities of his own business. The contractor’s
role involves assessing the risks for the contracted work. The client and
the contractor need to agree the risk assessment for the contracted
work and the preventative and protective steps that will apply when the
work is in progress. If subcontractors are involved, they should also be
part of the discussion and agreement.

Specify conditions
Contractors must be made aware of the expected standards of
performance. Health and safety arrangements, procedures, permit
systems and safety policy statement should be shared with the
contractor who should confirm their understanding and agree to work
accordingly.

Step 2: Choosing a contractor

Contractors will be selected based upon a range of criteria including:
availability, cost, technical competence, reliability and health and
safety.

The client has to take reasonable steps to satisfy themselves that the
contractor is competent to do the job safely and without risks to health
and safety.

The degree of competence required will depend on the work to be

done. The best way of being satisfied of a contractor’s competence is
through first-hand experience. A contractor is demonstrably competent
if he has previously been used successfully on a similar job.

A pre-tender questionnaire (PTQ) may be used to broadly determine

the suitability of a contractor. Questions should be designed to check
the contractors:

➢ experience in the type of work to be done

➢ health and safety policies and practices

➢ recent health and safety performance (number of accidents, etc.)

➢ qualifications and skills relevant to the contract

➢ selection procedure for sub-contractors (if sub-contractors are to be

allowed), or their safety method statement
➢ arrangements for:

• health and safety training, for example, safety passport

• supervision
• consulting the workforce

➢ independent assessment of competence

➢ memberships of relevant trade or professional body.

References may be needed to verify the information provided.

Step 3: Contractors working on site

Specific arrangements will be required to:

➢ Manage the movements of contractors on site through visitor sign in

controls and possibly permits-to-work.

➢ Ensure that all technical and management controls are in place

before allowing the work to begin (for example: correct work equipment
and personal equipment is available, safe system of work or permit to
work in place).

Arrangements will also be required for:

• Information, instruction and training

• Co-operation and co-ordination
• Consultation
• Management and supervision

Step 4: Monitoring the contract

All parties should monitor their health and safety performance to check
that risk assessments are current and that control measures are
effective. The level of monitoring depends on the risks – the greater the
risks, the more frequent the monitoring.

Contractors and sub-contractors should carry out day-to-day checks to

see that what should be done is being done, and clients should make
periodic checks on the contractor’s performance to see if the work is
being done as agreed.

Information from proactive monitoring and reactive investigations

should be used to learn lessons and improve future performance.
Where requirements are not being met the client should take
appropriate action to ensure the work is undertaken to the required
standard.

Step 5: Reviewing the work

Both the client and the contractor should review the work after
completion to see if performance could be improved in future. The client
should review both the job and the contractor. Consideration should be
given to: the effectiveness of the planning, the contractor’s
performance, and how smoothly the job went. Lessons learnt should be
recorded and used to influence future decisions.

References and further readings

HSE’s Managing contractors. Download HSG159

HSE’s Managing for health and safety. HSG65