NEBOSH IGC IG1 Course Notes

NEBOSH INTERNATIONAL GENERAL CERTIFICATE
IN OCCUPATIONAL HEALTH & SAFETY IG1
INDEX
IG1 – MANAGEMENT OF HEALTH AND SAFETY
Element 1: Why we should manage workplace health and
safety
Element 2: How Health and Safety Management Systems

Work and What they look like
Element 3: Managing Risk – Understanding people and

processes
Element 4: Health and Safety Monitoring and Measuring
ACE Training & Consulting Page 1

Element 1: Why we should manage workplace health and safety Element 1

Learning outcomes:
On completion of this element learners should be able to:

1.1 Discuss the moral, financial and legal reasons for managing Health and Safety in the
workplace
1.2 Explain how Health and Safety is regulated and the consequences of non-compliance
1.3 (a) Summaries the main Health and Safety duties of different groups of people at work
1.3 (b) Explain how contractors should be selected, monitored and managed
Contents:
1.1 Morals and money 2

1.1.1 Moral expectations of good standards of Health and Safety 5
1.1.2 The financial cost of incidents ( insured and uninsured costs) 6
1.2 Regulating Health and Safety 9
1.2.1 Role of enforcement agencies & the consequences of non-compliance 9

1.2.2 International standards 11
1.2.3 International Labor Organization‟s (ILO) Convention C155 and Recommendation
R164 12
1.2.3.1.1 Employers‟ responsibilities 14
1.2.3.1.2 Workers‟ responsibilities and rights 15
1.2.4 National standards & their sources of information 16
1.3 Who does what in organizations 18
1.3.1 Roles of directors/managers/supervisors 19

1.3.2 How top management can demonstrate commitment by: 21
1.3.2.1 Making resources available to design, implement and maintain the occupational
Health and Safety management system 21
1.3.2.2 Defining roles and responsibilities 22

1.3.2.3 Appointing senior managers with specific responsibility for Health and Safety 24
1.3.2.4 Appointing competent people to help the organization meet its Health and Safety
obligations 24
1.3.2.5 Reviewing of Health and Safety performance 25
1.3.2.6 Responsibilities of organizations who share a workplace to work together on Health
and Safety issues 27
1.3.3 How clients and contractors should work together 29
1.3.3.1 Effective planning and co-ordination of contracted work 30
1.4 Sample Scenario with Tasks, Questions & Answers 32

1.1 Morals and Money
Important Definitions
HEALTH:
“Health is a state of complete physical, mental and social well-being and not merely the
absence of disease or infirmity.” (Source: WHO)
Today, three definitions of health are commonly used. The first is that health is the absence of
any disease or impairment. The second is that health is a state that allows the individual to
adequately cope with all demands of daily life (implying also the absence of disease and
impairment). The third definition states that health is a state of balance, an equilibrium that an
individual has established within himself and between himself and his social and physical
environment.
The term "healthy" is also widely used for example in the context of healthy organized
communities, healthy cities or healthy environments. In addition to good health & absence of
disease a number of other factors influence the health status of the individuals including their
background, lifestyle, economic and social conditions, stress factors at work, relationships
with colleagues and superiors etc., all these are referred to as "determinants of health".
SAFETY:
“Safety is the absence of physical harm, injury, or loss.”
Safety is a state of being protected from potential harm or something that has been designed
to protect and prevent harm.
Safety in the workplace refers to a complete freedom from injury and hazards that may be
caused by factors present in the workplace i.e., for example, heights, fire, electricity,
machinery etc. By ensuring safety the organization is responsible for providing protection
from unsafe working conditions, procedures, drug and alcohol abuse, environmental hazards
and violence.
WELFARE:
Welfare is to provide suitable facilities to the employees to maintain health and comfort at the
workplace. In other words an organization must provide basic requirements that are
necessary for the wellbeing of the employees.
'Welfare facilities' are those that are necessary for the well-being of your employees, such as
washing, toilet, rest and changing facilities, and a place which is clean to eat and drink during
breaks.

Following are some examples of welfare facilities:
 Drinking water provision

 Wash rooms, changing rooms and sanitation arrangements
 Seating and resting places (rest rooms)
 Provision / place for eating
 Lighting and ample ambience in workplace
 Appropriate Ventilation
 Precautions Display
Hazard:
A hazard is any situation, substance, activity, or event that could potentially cause human
injury or ill health.
Or
A hazard is something or anything which has a potential to cause harm.
Or
A hazard is something (e.g. an object, a property of a substance, a phenomenon or an activity)

that can cause adverse effects.
Or
Something with the potential to cause harm with various articles, substances, plant or
machinery, different style of working methods, working environment , culture, and other
aspects of working organization.
Or
A source of danger which if not adequately controlled or if suitable precautions are not taken
could create an unsafe condition.
Examples of Hazard:
 Working at height is a hazard as it could lead to a the risk of falling from height
 Working in a confined space is a hazard as it could lead to a the risk of fire
 Lifting material loads is a hazard as it could lead to a the risk of collision with
structures
 Oil spillage on the work floor is a hazard as it could lead to a the risk of slipping and
falling
 Loud noise is a hazard as it could lead to a risk of hearing loss.
 Asbestos dust is a hazard as it could lead to a risk of causing cancer.

Risk:
Combination of likelihood of harm occurring and the potential consequence of that harm
Or
The measure of the likelihood of occurrence of an undesirable event and of the potentially
adverse consequences which this event may have upon people, the environment or economic
resources.
Or
Risk is the chance or probability that a person will be harmed or experience an adverse health
effect if exposed to a hazard. It may also apply to situations with property or equipment loss.
Or
Risk is the likelihood that a hazard will actually cause its adverse effects, together with a
measure of the adverse effect. It is a two-part concept and you have to have both parts to
make sense of it. Likelihoods can be expressed as probabilities (e.g. “one in a thousand”),
frequencies (e.g. “1000 cases per year”) or in a qualitative way (e.g. “negligible”,
“significant”, etc.). The effect can be described in many different ways. For example:
The lifetime risk of an employee developing asthma [effect] from exposure to substance X
[hazard] is significant [likelihood].
Following are some examples of risks:
▸ Risk of falling from height
▸ Risk of fire in a confined space
▸ Risk of material loads colliding with structures
▸ Risk of slipping and falling
Risk Assessment:
A careful consideration by competent people of the hazards associated with a task. The
potential effect of each hazard, how severe it might be and the likelihood of it occurring
should be considered to determine the effort required to make the work site as safe as
reasonably practicable.
Or
Risk assessment is a systematic process where we:
Identify hazards,
Identify who might be harmed from these hazards and how
Assess or evaluate the risk associated with the hazards, and

Determine appropriate ways to eliminate or control the risk associated with the hazards.
Or
Identifying preventive and protective measures by evaluating the risks arising from a hazard,
taking into account the adequacy of any existing controls and deciding whether or not risk is
acceptable.
Record the significant findings and review them from at appropriate intervals.
Incident:
An incident is a work related occurrence or event during which injury, ill health, or fatality
actually occurs, or injury, ill health, or fatality could have occurred.
Accident:
An accident is a type of incident. It is a work-related event during which injury, ill health, or
fatality actually occurs.
Near Miss:
A near miss, or near hit is also a type of incident. It is a work-related event during which
injury, ill health, or fatality could have occurred, but didn‟t actually occur.
Injury or ill Health:
An injury or ill health is an adverse effect on someone's physical, mental, or cognitive

condition. Adverse effects include disease, illness, and death.
1.1.1 Moral Expectations of Good Standards of Health and Safety

Effective management of Health and Safety is vital to employee well-being. Experience has
shown that a strong safety culture & management system is beneficial for workers, employers
as well as organizations. Yet, despite continuous improvement of occupational Health and
Safety laws, fatalities and diseases are still too frequent and their cost in terms of human
suffering and economic burden is continuously increasing. There are three main reasons why
Health and Safety aspects should be adopted by organizations, namely; Moral, Financial
and Legal.

MORAL – THE STATISTICS OF HEALTH AND SAFETY PROBLEMS IN TERMS OF

THE NUMBERS LIKE WORK RELATED FATALITIES, INJURIES & INCIDENTS OF ILL
HEALTH
Injuries, accidents or fatalities at the work place result in a lot of pain and suffering to the
people. Occupational accident statistics and death rates show the magnitude of this problem.
A lot of surveys are regularly carried out by various bodies which give alarming figures about
fatalities and disease/injury cases that occur at the workplace. According to the International
Labor Organization(ILO), every year 2.2million people die worldwide because of work-
related accidents or diseases (and this should be taken as a conservative estimate because a
majority of cases remain unreported).
Yearly Statistics by ILO

Deaths due to workplace accidents 350,000
Deaths due to work-related diseases 1.7million
Commuting accidents which result in death 158,000
Total No. of deaths each year 2.2million
Accidents at work 270million
Incidents of diseases caused by work 160million
The ILO estimates that over half the world‟s occupational accidents occur in the Asia-Pacific
region. India in particular has a very poor occupational safety record and accidents are
grossly under-reported. India reports 222 fatal accidents annually the ILO said, adding that
it has estimated the true number of fatal accidents in India at 40,000. The report said such
statistics suggested that only a fraction of the real toll of work-related death and disease is
covered in a number of developing countries. According to WHO estimates, 37% of low
back pain, 16% of hearing loss, 13% of chronic obstructive pulmonary disease, 11% of
asthma and 8% of injuries are related to workplace activities.
Organizations have a moral and social obligation to ensure that no worker should face the
threat of loss to life or limb by coming to work; they should not feel that arrangements being
made to ensure worker‟s safety and health are a liability and additional burden for them.
Accidents and diseases occur mostly when organizations do not take responsibility for the
safety and health of their employees. It is the duty of the employer to care for and provide all
the required provisions to the employees. In the same way employees too are expected to
exercise the needed care and follow safety precautions on their own.
An effective Health and Safety management system is mutually beneficial for both the parties
concerned, because when proper awareness is created, employers go beyond the minimum
moral standards in occupational safety and health to bring about genuine progress and
tangible improvement in workers‟ conditions. This process is becoming increasingly
common in the organizations because improvement in occupational safety and health is seen
to be linked not just to health issues but also to increase productivity, higher-quality products
and better morale among workers.

1.1.2 THE FINANCIAL COSTS OF INCIDENTS (INSURED AND UNINSURED COSTS)

In the scramble for capital, the pressures of globalization and increasingly stiff competition
tend to deflect attention from the long-term economic
benefits of a safe and healthy working environment.
While the international press reports major industrial
accidents, work-related deaths that occur every day go
$1 virtually unrecorded. Thus workers continue to face
serious risks and these lapses create a huge dent in the
financial progress of the organization, pulling back the
$8-$36 turnover with additional and sometimes very huge
expenses that could have been avoided in the first
place. Each accident or incidence of ill health will
cause direct and indirect costs, and incur insured as
well as uninsured costs. A UK HSE study states that
indirect/hidden costs could be anywhere from 8 to 36 times greater than direct costs of an
accident.
When organizations follow high safety standards and encourage employee-management

dialogue, efficient Health and Safety legislation, it results in high standards of safety, which
automatically bring down this financial burden that results from accidents, diseases or
fatalities caused at the workplace.

Direct Costs: The Measurable costs arising directly from the accident.
Some of the examples of direct costs include:

1. Medical
2. Hospital
3. Rehabilitation expenses
4. Workers‟ compensation payments
5. Lost or damaged product
6. Lost production time while dealing with the injury
Indirect costs also create a huge burden on the economy of the organization.
Indirect Costs: The cost which arise indirectly as a consequence of the event and not easy to
quantify precisely and are hence hard to identify.
Some of the examples of indirect costs include:

1. Providing training to replacement employees.
2. Investigations
3. Implementation of the remedial measures
4. Low productivity,
5. Repair,
6. The cost in terms of morale degradation of the workers.
All these can be prevented if we promote a Positive „safety culture‟ in the workplace says. It
is crucial to support proper national policies and programs to make the workplace safer for
the employees. Organizations must incorporate measures to improve safety standards during
the course of annual planning.
According to ILO estimates, above 2 million lives and $1.25 trillion of world economy is lost
due to accidents, injury and illnesses at workplace. Apart from the global economic loss
businesses also suffer considerable losses. It is estimated that in the European Union nearly
150 million workdays are lost every year due to work accidents and more than $20 billion
added to the insurance costs that are borne by the industry.

1.2 Regulating Health and Safety
Legal Reasons for Managing Health and Safety at the Workplace
The Safety, Health and Welfare at Work Act 2005 (the 2005 Act) requires all duty holders to
ensure, so far as is reasonably practicable, the safety, health and welfare of workers and
members of the public and to manage and conduct all work activities in such a way as to
ensure their safety, health and welfare. This requires all who have this legal responsibility to
be proactive in managing their safety, health and welfare responsibilities and deal with them
in a systematic way. This section should help organizations to improve their safety and health
performance by providing advice on how safety and health should be managed, and in the
process help them to comply with their legal requirements.
Legal Requirement means any treaty, convention, statute, law, regulation, ordinance,
license, permit, governmental approval, injunction, judgment, order, decree or
other requirement of any governmental authority, whether federal, state, or local.
Governments are responsible for legislating occupational safety and health policies and
making sure that they are implemented and enforced. But legislation cannot cover all
workplace risks and it may also be advisable to address occupational safety and health issues
by means of collective agreements reached between social partners. The practical measures
adopted may vary, depending on the degree of technological, economic and social
development of the country concerned and the type and extent of the resources available.
1.2.1 The role of enforcement agencies and the consequences of non-

compliance
It is the responsibility of governments and nations to set policy to improve and protect the
working of Health and Safety laws, and ensure that organizations comply consistently. For
this purpose, enforcement agencies are set up to act as regulators. They operate along with
other international and national code policies, and monitor the workplace to check if it
conforms to regulations.
Following are some of the roles of enforcement agencies

1. Monitoring compliance of work and safety laws.
2. Exchanging data/ information with other regulators and bodies.
3. Prosecuting under Health and Safety working laws.
4. Giving assurance and advice to workers and to the community/ union leaders.
Where regulators detect any non-compliance in standards, they are responsible for
 Detecting and investigating the alleged breach in the workplace.

 Auditing and inspecting the negligence of Health and Safety laws.
 Taking appropriate action against breaches as per the rules.

Enforcement Officers
Enforcement officers are of two types based on the authority they are given:
1. Informal
An informal officer provides Health and Safety instructions and advice verbally as
well as in written if necessary.
2. Formal
A formal officer is authorized to take action such as
 Issuing legal notices to whosoever breaches the law
 Issuing legal mandates to stop dangerous activities immediately
 Issuing a caution notice that can be used as evidence in future
 Prosecuting
 Punishing the company or the employer
 Testing fitness
 Confiscating/Forfeiting
 Imprisonment and
 Giving warning in both verbal and written formats.
The Consequences of non-compliance:
Fines:
Perhaps the first and most obvious consequence is the possibility of the organization being
fined for non-compliance. Fines for the most serious safety breaches are now routinely in
hundreds of thousands of pounds. Coupled with the need to pay not only your own legal costs
but also those of the prosecution, non-compliance with legislation is a costly exercise.
Imprisonment:
Individuals can be imprisoned for breaches of Health and Safety law, with sentences of up to
six months in the Magistrates‟ Courts and up to two years in the Crown Courts.
Even individuals that avoid a custodial sentence will have to live with the stigma of a
criminal conviction, which could restrict their ability to work in certain industry sectors or
travel abroad.
Remember, both employers AND employees can be prosecuted under criminal law,
sometimes simultaneously.

Loss of Reputation
Any organization which fails to comply with legislation runs the risk of a loss of reputation
and with it the loss of customers.
Increasingly, companies look carefully at the safety record of potential business partners and
requests for details of any safety convictions have become standard on tender questionnaires.
The damage caused to an organization‟s reputation by a criminal conviction could last longer
than the initial financial outlay.
Loss of Current or Potential Staff
If you were applying for a job with a company whom you found had been prosecuted under
Health & safety legislation, or who been found to have broken employment or human rights
law, would you think twice?
You probably would not want to work for an organization which had a poor record in these
areas and so your expertise and knowledge would be lost to the company.
Down Time and Loss of Productivity
Breaches of certain laws often result in an organization having to cease production until the
errors have been rectified. This loss of production will inevitably result in a loss of income
which, in a worst case scenario, could result in the company going out of business.
1.2.2 International Standards

ISO (International Organization for Standardization)-ISO 45001
ISO stands for International Organization for Standardization. The world‟s largest developer
of voluntary international standards, ISO is an independent, non-governmental organization
(NGO) made up of members from national standards bodies across 164 countries across the
globe. ISO has a Central Secretariat in Geneva, Switzerland, that coordinates the entire
system of standardizing.
ISO states its standards as the art of specifications for products, services as well as good
practice, helps to make industry more efficient and effective in standardization. Products that
were developed through global standards help to break down barriers in international trade.
All the national standards bodies that make up the ISO membership represent ISO
standardization in their respective countries.

ISO 45001 is an ISO standard for management systems of occupational Health and
Safety (OH&S), published in March 2018. The goal of ISO 45001 is the reduction of
occupational injuries and diseases, including promoting and protecting physical and mental
health.
The standard is based on OHSAS 18001, conventions and guidelines of the International
Labor Organization including ILO OSH 2001, and national standards. It includes elements
that are additional to BS OHSAS 18001 which it is replacing over a three-year migration
period from 2018 to 2021.
ISO 45001 follows the High Level Structure of other ISO standards, such as ISO 9001:2015
and ISO 14001:2015, which makes integration of these standards easier.
There exist various international bodies as well to encourage continuous enhancement of

Health and Safety systems through policy, organization, planning and implementation,
evaluation and action for improvement, the ILO and ISO being two prominent names. The
ILO‟s Health and Safety management systems were created to help the employers to gear up
according to the emerging industrial needs and technology and are aimed to assist businesses
in creating safe and healthy working areas.
1.2.3 ILO (International Labor Organization’s)

International Labour Organization (ILO) is an international governing body established in the
year 1919 in the wake of destructive war, in order to pursue peace based on social justice.
The ILO was the first to become a specialized agency of the UN in 1946.
ILO is responsible for drawing up and overseeing international labour standards. ILO has an
edge over other organizations in problem solving & incorporating 'real world' knowledge
about employment and work.
In the year 1969 ILO received the Nobel peace prize for imparting peace among different
classes, justice for workers, and providing assistance to developing countries in technical
aspects at work.
ILO registers complaints against organizations that violate international labour rules.
C155 - Occupational Safety and Health Convention, 1981 (No. 155)
The General Conference of the International Labour Organisation,
Having been convened at Geneva by the Governing Body of the International Labour Office,
and having met in its Sixty-seventh Session on 3 June 1981, and
Having decided upon the adoption of certain proposals with regard to safety and health and
the working environment. Having determined that these proposals shall take the form of an
international Convention, 1981.

Adopts this twenty-second day of June of the year one thousand nine hundred and eighty-one
the following Convention, which may be cited as the Occupational Safety and Health
Convention, 1981:
The aim of the policy shall be to prevent accidents and injury to health arising out of, linked
with or occurring in the course of work, by minimizing, so far as is reasonably practicable,
the causes of hazards inherent in the working environment.
The formulation of the policy referred to this Convention shall indicate the respective
functions and responsibilities in respect of occupational safety and health and the working
environment of public authorities, employers, workers and others, taking account both of the
complementary character of such responsibilities and of national conditions and practice.
R164 - Occupational Safety and Health Recommendation, 1981 (No. 164)
The General Conference of the International Labour Organisation,
Having been convened at Geneva by the Governing Body of the International Labour Office,
and having met in its Sixty-seventh Session on 3 June 1981, and
Having decided upon the adoption of certain proposals with regard to safety and health and
the working environment. Having determined that these proposals shall take the form of a
Recommendation supplementing the Occupational Safety and Health Convention, 1981,
Adopts this twenty-second day of June of the year one thousand nine hundred and eighty-one,
the following Recommendation, which may be cited as the Occupational Safety and Health
Recommendation, 1981:
Employers should, where the nature of the operations in their undertakings warrants it, be
required to set out in writing their policy and arrangements in the field of occupational safety
and health, and the various responsibilities exercised under these arrangements, and to bring
this information to the notice of every worker, in a language or medium the worker readily
understands.
Employers should be required to verify the implementation of applicable standards on

occupational safety and health regularly, for instance by environmental monitoring, and to
undertake systematic safety audits from time to time.
Employers should be required to keep such records relevant to occupational safety and health
and the working environment as are considered necessary by the competent authority or
authorities; these might include records of all notifiable occupational accidents and injuries to
health which arise in the course of or in connection with work, records of authorisation and
exemptions under laws or regulations to supervision of the health of workers in the
undertaking, and data concerning exposure to specified substances and agents.
The arrangements provided for in Article 19 of the Convention should aim at ensuring that
workers--

(a) take reasonable care for their own safety and that of other persons who may be affected by
their acts or omissions at work;
(b) comply with instructions given for their own safety and health and those of others and
with safety and health procedures;
(c) use safety devices and protective equipment correctly and do not render them inoperative;
(d) report forthwith to their immediate supervisor any situation which they have reason to
believe could present a hazard and which they cannot themselves correct;
(e) report any accident or injury to health which arises in the course of or in connection with
work.
No measures prejudicial to a worker should be taken by reference to the fact that, in good
faith, he complained of what he considered to be a breach of statutory requirements or a
serious inadequacy in the measures taken by the employer in respect of occupational safety
and health and the working environment.
1.2.3.1 EMPLOYERS’ RESPONSIBILITIES

According to the ILO and other laws in occupational Health and Safety management system,
the laws drafted for employers to ensure full responsibility & accountability in promoting
safety and health,and preventing workplace accidents and injuries. Whatever the size of the
organization, every employer should follow the code as per the regulations. The employer
gives his employees a clear understanding of roles and responsibilities, should ensure training
& supervision, should assist them in abiding by the regulations, put in place safe practices,
and make sure working conditions meet the standards and regulations prescribed by his
country‟s laws or international standards.
The Following are some of the Employers’ Roles and Responsibilities for his Employees
 Employers should record and monitor workers Health and Safety concerns, and
provide first aid boxes and other emergency medical requirements.
 Employers should engage a safety representative on behalf of employer or by
workers union in order to consult, raise and resolve Health and Safety issues.
 Employers must ensure that all the workers have undergone all the necessary
training and data to perform their daily tasks safely and employers should also
make them understand their roles and responsibilities.
 Employers should motivate them to get involved in precautionary exercises like
risk assessment and hazard identification.
 Employers must provide ample working place as per rules and standards.
 Employers should routinely follow up to assess if working conditions are as per
standards; if they are not, then they should bring them up to the mark.
 Employers must make sure safe tools and kits are provided while working.
Systems should be safe, and there should be no risk of falling objects on workers
from heights during material handling.

 Employers must provide proper signs, warnings, shock treatment posters and
labels to access equipment.
 Employers must ensure operating procedures follow the predetermined
instructions.
 Employers must conduct medical examinations at regular intervals as and
required.
 Employers must maintain a workplace that provides an emergency exit during
accidents i.e. safe entry and exit points.
 Employers should provide guidelines for handling of harmful goods and transport
of hazardous substances like chemicals, dyes, gums, oils etc.
 Employers should provide and maintain good facilities like drinking water, rest
rooms, eating areas and clean toilets. Employers are directed to monitor noise
levels, pollution, temperature, humidity, pressure and ventilation and vibration
levels.
Storage of gas cylinders. Office workplace
1.2.3.2 WORKERS’ RESPONSIBILITIES AND RIGHTS

According to ILO everyone has right to work in a safe and healthy working place. Workers
also have some rights and responsibilities prescribed by ILO in 1998 in order to safeguard
and protect them at the workplace.
Below are some of the Workers’ Responsibilities

 All the workers should take care of themselves and should ensure and assist others
in a manner that doesn‟t affect their own or others Health and Safety.
 Employee must report any injury that has occurred or any health problem he is
facing or after noticing it within 30 days.
 Employees have the right to claim medical treatment and time off from work.
Employee can also choose his/her favored doctor or health care provider and can
claim insurance offered to him.

 At the workplace, any injured worker should be represented, assisted and

supported in the return to work process. Injured person should be consulted
directly by the employer about his health condition and his return to work.
 As per regulations all employees have the right to return to work and return to
work obligations should be considered by employers.
 Employer should provide privacy and security of confidential information given
by the employee.
Below are some of the Workers’ Rights
 Right to be free from discrimination and harassment of all types;
 Right to a safe workplace free of dangerous conditions, toxic substances, and
other potential safety hazards;
 Right to be free from retaliation for filing a claim or complaint against an
employer (these are sometimes called "whistleblower" rights); and
 Right to fair wages for work performed.
1.2.3.3 NATIONAL STANDARDS & THEIR SOURCES OF INFORMATION

United Kingdom
In UK, Health and Safety legislation is framed and enforced by Health and Safety Executive
(HSE) and local authorities under the local Health and Safety act 1974. Regulations framed in
UK are far reliable when compared to other nations. HSE is a self-governing regulating
authority in the interest of public Health and Safety at work across the UK.
Health & Safety Executive:

The Health and Safety Executive (HSE) are the enforcing body for Health and Safety
legislation in all types of school. As well as enforcing the law the HSE also publishes
guidance to assist employers with complying with their duties.
https://www.hse.gov.uk/services/education/index.htm
European Union
In 1996 the European Agency for Health and Safety at Work was established as an enforcing
authority, due to which in many countries of EU there is a strong implementation of Health
and Safety measures at workplace. It mandates healthy relations between employers and
workers to establish good OSH systems. The guidelines and publications give clear directives
to the organizations to assess the risks and implement necessary directives to prevent any
accident, injury or illness at workplace.
https://osha.europa.eu/en
United States
In the US, the Department of Labour is responsible for regulating and enforcing Health and
Safety at work place. Occupational Safety and Health Act 1970 led to the establishment of
the National Institute for Occupational Safety and Health (NIOSH) and Occupational Safety
and Health (OSHA). NIOSH is division of the Centers for Disease Control and Prevention

(CDC) within the U.S. Department of Health and Human Services. NIOSH focuses on
research, information, education and training in occupational safety and healthy.
OSHA:
OSHA means the Federal Occupational Safety and Health Administration or the State
agency responsible under a Plan approved under section 18 of the Act for the enforcement of
occupational safety and health standards in that State.
https://www.osha.gov
Other International Standards
What makes ISO 9001 & ISO 14001 so important?
ISO 9001 and ISO 14001 are ISO‟s most well-known and successful standards ever. They
have been the first Standards which have been important in the operation of a business (rather
than being technical and product orientated). ISO 9001 is the international benchmark for
quality requirements in business to business dealings. The reason that it has superseded other
attempts at improving Quality Management has been its applicability to both product and
service organizations and the checking by external accredited Assessors. ISO 14001 provides
similar advantages for organizations to meet their environmental responsibilities.
Traditionally ISO standards are technically orientated and relate to a particular product,
material, or process.
Examples of the technical Standards include:
ISO 15001:2003 Anaesthetic and respiratory equipment — Compatibility with oxygen
ISO 16001:2008 Earth-moving machinery — Hazard detection systems and visual aids
— Performance requirements and tests
However, the ISO 9001, ISO 14001 and other ISO Management Standards like ISO 27001
for Information Security Management are different because they relate to how an
organization operates or manages itself. They are often called “Management Standards”.
Their advantages are
 Key features are specified

 Applicable to almost any organization.
 Applicable from small to large multi-nationals
 Applicable for service or product orientated organization
 Applicable for businesses, government agencies or charities
 Externally assessed by independent Assessors
ISO 9001 relates to “quality management”. This is focused on understanding and meeting the
Customer requirements and enhances Customer experience as well as continually improving
its performance.

ISO 14001 relates to “environmental management”. This is focused minimizing the harmful
environmental effects of the organisation‟s activities as well as continually improving its
environmental performance.
Sources of information
Information relating to national standards can be obtained from the relevant regulatory
bodies, who publish information on the legal standards required. Many regulatory bodies
publish information on their websites such as:
 Health and Safety Executive (HSE) in the UK at: www.hse.gov.uk

 Occupational Safety and Health Administration (OSHA) in the US at:
www.osha.gov
 European Agency for Safety and Health at work (EU) : https://osha.europa.eu
 Worksafe in Western Australia at: www.commerce.wa.gov.au/worksafe
 Institution of Occupational Safety and Health : https://www.iosh.com

1.3Who does what in organizations
1.3.1 Roles of directors/managers/supervisors
In the Health and Safety management system the second key element is organizing,
organizing is a specified and is an essential part of the successful management process of
communication in any enterprise.
Organizing Health and Safety management functions, establishing, maintaining, and

controlling day to day activities in an efficient manner is very crucial for responsible people
like MD, CEO/BOARD MEMBERS, department managers, production managers, line
managers, supervisors and lastly safety managers. Generally senior level managers must take
active responsibility for organizing the overall issues in Health and Safety concerns in
controlling common accidents, injuries and ill-health and loss. At the same time all
employers should hold responsibilities in organizing a workplace without affecting from the
nature of work and arrangements.
In organizing Health and Safety management system starting from the department managers
to line managers the experts should be assigned and made available in order to achieve all the
requirements that are documented as per the acts and regulations.
ILO (international labor organization) has defined guidelines and responsibilities for the
employers in organizing Health and Safety roles and responsibilities considering health,
safety and welfare of workplace and workers. The following are some of the organizing
obligations that are included in the ILO-OSH 2001 ACT.
 Providing protective equipment clothing and other safeguarding products like helmet,
goggles, gloves, and safety shoe etc., free of cost.
 Measures in controlling stress, physical and mental fatigue.
 Maintaining workers working hours and rest breaks without adversely affecting the
Health and Safety.
 Providing appraisal based on performance and individual contribution.
 Taking justified disciplinary action for non-compliance
 Job description and training with safe working methods
Apart from those responsibilities of workers, employers also have other responsibilities in
providing safe living culture in and around the company/organization and safeguarding the
people living in those surrounding areas.
In every organization all directors should understand the responsibilities for establishing
Health and Safety factors. Implementing and ensuring the responsibilities to be carried out in
the workplace is one of the major determinations to the director as per the Health and Safety
policy.
The board of directors should integrate Health and Safety in their economic structures,
providing resources and monitoring and auditing. All directors must and should understand
their legal and moral responsibilities in establishing Health and Safety policy. In case of
failure the director will be rendered accountable to the law. Their roles should be supported
by all individual and formal terms of reference as per the guidelines of Health and Safety law.
Fig: Hierarchy and Flow chart of a health and management system
The Managing Director is responsible for the overall arrangements and for ensuring that the
company‟s operations are executed at all times in such a manner as to ensure, so far as is
reasonably practicable, the health, safety and welfare of all employees and others who may be
affected by its operations.
In particular the Managing Director will:
 Ensure there is an effective company policy for Health and Safety and that all
employees, contractors and temporary workers are made aware of their individual
responsibility.
 To understand and ensure, through the appointment of competent persons, that the
company‟s responsibilities as employers under relevant national legislation such as
the Health and Safety at Work etc. Act 1974 and any relevant Acts of Parliament and
Statutory Instruments are met.
 To appoint a Director responsible for safety.
 To ensure that all Directors and Managers understand and fulfill their responsibilities
with regard to Health and Safety.
 Arrange for funds and facilities to meet the requirements of company policy and
legislation.
 Make provision for adequate and appropriate training to be given to all employees.
 To ensure that notification and reporting procedures to the relevant statutory
authorities are carried out.
 Set a personal example on all matters of Health and Safety.

Generally depending on the size, scale and nature of the risks and hazards arising, nominating
a director to look and coordinate the Health and Safety policy process is done. If any
establishment breaches the regulations, the director or body members or senior officers are
liable to be prosecuted.
Nowadays due to an increasing rate in the number of safety and risk management issues,
many Health and Safety organizations are tending towards appointing one of their board
members as Health and Safety director.
Safety directors need to ensure the overall board „score‟ and actions in Health and Safety
responsibilities are discharged with effective management structure or not. In order to
achieve all the responsibilities the board directors need to review the following:
 Monitoring Health and Safety performance report

 Applying and implementing decisions
 Reviewing with past the statistics
 Ensuring effective management system
 Investigating Health and Safety failure
 Steps to increase performance in the workplace
 Annual reviewing of Health and Safety performance
 Walk-through to find out faults
 Providing good resources both technical and economical
 Actively participating and communication with workers
 Achieving high standards
 Planning risk identification and risk assessment

1.3.2 HOW TOP MANAGEMENT CAN DEMONSTRATE COMMITMENT

The management should be responsible for demonstrating their commitment towards
implementing Health and Safety. The following are some of the commitments of
management
- Making resources available to design implement and maintain the occupational Health
and Safety management system
- Defining roles and responsibilities
- Appointing senior managers with specific responsibility for Health and Safety
- Appointing competent people to help the organization meet its Health and Safety
obligations
- Reviewing of Health and Safety performance

1.3.2.1 Making resources available to design implement and maintain the

occupational Health and Safety management system
Ensuring Availability of Resources
Management has to ensure availability of resources in the workplace so as to maintain a safe
working atmosphere in every aspect of providing organizational needs and determining the
resources to establish, implement and maintaining occupational Health and Safety
management system. Health and Safety board director has the highest responsiblity in making
the things happen as per the commitment given in ensuring an increase in Health and Safety
conditions in the organization.
Underestimating in allocation of resources will impact a lot of changes in the development

and maintaining occupational Health and Safety management system in an effective way.
Provision should be allotted in the budget of the every year for the unexpected resources and
reviewing should be done before ensuring and finalizing the budget. The design of the project
that is to be implemented should be considered in the allocation of funds in purchasing,
arranging and installation of equipment‟s for maintaining Health and Safety among workers
as well as in workplace with good and safe working conditions.
Following are some of the resources that are to be ensured while incorporating Health and
Safety:
i. Infrastructure
ii. Support from board/management
iii. Providing safety equipment and machinery
iv. Organizational core principles in implementing
v. Safety policies, rules and procedures
vi. Time management
vii. Hiring competent/talented people
viii. Allocating financial resources
ix. Support on technical issues
x. Passing knowledge and training
xi. Providing technical expertise records
1.3.2.2 Defining Roles and Responsibilities

Firstly the responsible person (director / board member / senior manager / line manager)
should have up to date and complete knowledge of Health and Safety policies, its legal
framework and its tools to achieve a healthy and safety culture in the workplace.
Every improvement of occupational Health and Safety will benefit in identifying, minimizing
and eliminating risks and hazards. These kinds of evolution will lead the organization in
establishing good and safe working structures subsequently over years without any kind of
risks.

Apart from the above, there are various roles and responsibilities of senior managers,
supervisors, staff, contractors, and workers.
Fig: continuous improvement
The following are their roles and responsibilities
 Using a risk based structure and model in managing Health and Safety.
 Actively participating in Health and Safety inspections
 Respond very quickly and in time during incidents and accidents
 Supervising of staff in Health and Safety working styles aspects
 Meeting and discussing of facilities in providing Health and Safety concerns
 Regularly monitoring performance of Health and Safety
 Establishing procedures for promoting Health and Safety
 Encouraging towards Health and Safety workplace and working styles
 Appraisals for Health and Safety performer
 Regularly verifying, monitoring and reviewing OHS performance
 Recommending H & S training
 Establishing and maintaining a Health & Safety Policy
 No smoking
 Applying all relevant policies and procedures
 Improving Health and Safety conditions
 Seeking advices with seniors in starting a new work
 Using safe work methods
 Good housekeeping
 Handling suspected materials
 Identifying hazards occurring in machinery and workplaceplace
 Identifying root causes in risks and hazards

1.3.2.3 Appointing Senior Managers with Specific Responsibility for Health

and Safety
In order to fulfill the responsibilities of the management in occupational Health and Safety
management system, the board directors / MD / CEO appoints a senior manager as a
responsible person in implementing all the high standards of Health and Safety policies.
The appointed senior managers should follow all the safety measures and should themselves
address their contribution towards core actions that are to be performed. They hold
responsibilities and accountabilities in ensuring key issues and in delivering Health and
Safety functions that are assigned to him/her.
The Director Responsible for Health and Safety is accountable to the Managing Director for
all matters relating to health, safety and welfare of employees and those affected by the
company‟s operations. In particular the Director Responsible for Health and Safety will:
 Understand and ensure that the implications and duties imposed by new Acts of
Parliament, Statutory Instruments, H.S.E. Guidance Notes and Codes of Practice are
brought to the attention of the Board of Directors.
 To bring company related Health and Safety matters to the attention of the Board of
Directors at regular intervals.
 To ensure that good communications exist between employer and employees and are
maintained.
 Liaise with the person appointed in the role of Safety Manager over the full range of
their duties and responsibilities, with respect to inspections, audits, report
recommendations, changes in legislation and advice obtained from other sources.
 Ensure adequate means of distributing and communicating health, safety and welfare
information obtained for the H.S.E., Safety organizations and Trade associations
regarding new techniques of accident prevention, new legislation requirements and
codes of practice etc.
 Ensure that an adequate programme of training for Health and Safety is established
and that the positive safety culture is encouraged amongst employees.
 Set a personal example at all times by using the correct personal protective
clothing/equipment and following all safety requirements and procedures.
1.3.2.4 Appointing competent people to help the organization meet its

Health and Safety obligations
The employer must appoint a person for the provision of protective and preventive services.
This person (or persons in some cases) is, in the legislation, referred to as a competent. This
does not obviate the employer‟s general duty to obtain the services of a competent person
where necessary. It is up to the person with overall responsibility for Health and Safety (e.g.
managing director) to arrange for the appointment of a person/s who shall act primarily as
Health and Safety coordinator within the workplace.

The competent person may have any one of a variety of titles e.g. safety officer, safety
coordinator, safety administrator etc., Additionally, when selecting the competent person an
employer must first consider appointing an existing employee, provided they have the
necessary or appropriate experience, knowledge and sufficient training. The role of the
competent person may vary from organization to organization with some having a high level
of control and accountability, to others where the safety officer has a monitoring role and no
more.
Functions of a Competent Person
Typical functions are:

 Carrying out regular hazard inspections and reporting the findings to senior
management
 Organizing safety audits and advising on safety management systems
 Identifying training needs of employees, identifying appropriate training courses, as
well as additional competence requirements
 Advising management of action which needs to be taken to reduce occupational risks
 Liaising with safety representatives (if appointed) to cooperate whenever necessary
 Keeping records of examinations, tests, inspections, accidents, including illnesses, and
dangerous occurrences, emergency exercises
 Increasing safety awareness within the company by regular staff and management
briefings
 Acting as a liaison person with contractors coming onto site, ensuring their safety
procedures are in order and ensuring that they are provided with the same standards of
Health and Safety as company employees
 Investigating accidents, occupational illnesses and dangerous occurrences
 Building up an information base which will allow the company to keep abreast of
Health and Safety requirements and to ensure that all appropriate information is
passed on to employees
 Participating in and ensuring that an effective consultation mechanism is maintained
within the organization for Health and Safety
 Liaising with state and semi-state authorities on Health and Safety issues
Competent person is one who holds COR (certification of recognition) from any one
Health and Safety management institute. A competent person should have all the
necessary skills, thorough knowledge and good experience in managing Health and
Safety.
1.3.2.5 Reviewing of Health and Safety performance

Board of Directors meeting should include Health and Safety as one of the important agenda
point to be discussed. It helps the board to check the essential Health and Safety procedures
and active leadership, worker involvement and assessment and review of Health and Safety in
the organization. Directors and CEOs are usually more concerned about company‟s

performance and measure the company‟s profit percentage, return on investment or market
share and other positive aspects that reflect the achievement. When enquired about the Health
and Safety performance, they would only quote the statistics of injury. While the general
business performance of an organization is subject to a range of positive measures, for Health
and Safety it too often comes down to one negative measure that is injury and ill health
statistics.
A low injury or ill health rate, even over a period of years, is no guarantee that risks are being
controlled and will not lead to injuries or ill health in the future. This is particularly true in
organizations where there is a low probability of accidents but where major hazards are
present. Here the historical record would be a deceptive indicator of safety performance.
What is required is a „basket‟ of measures or a „balanced scorecard‟, providing information
on a range of Health and Safety activities.
Health and Safety performance measurement or review has several aims:
 Ensuring that the aims and objectives of the Health and Safety policy are met.
 Ensuring that sufficient resources are allocated to the Health and Safety management
program.
 Uncovering risks not previously recognized.
 Gaining a fuller picture of the potential for loss.
 Improving focus on reducing significant risks.
 Reducing insurance liabilities for residual risk.
 Convincing stakeholders of the commitment of senior managers.
 Supporting management systems.
 Ensuring that all the staff is complying with legislation and policy.
The annual review should include a systematic check of all relevant Health and Safety
records including:
 Local Health and Safety policies and safety action plans

 Staff safety training records
 Reports from Health and Safety management/consultative meetings
 Safety audit reports or advisory reports from the Health and Safety Team
 Reports or letters from enforcement agencies
 Accident/incident/violence and ill-health reports
 Safety inspection reports and action plans
 Risk assessment records (including COSHH and Fire)
 Fire detection/alarm system tests and evacuation drill reports

1.3.3 RESPONSIBILITIES OF ORGANIZATION ARE WHO SHARE A WORKPLACE TO

WORK TOGETHER ON HEALTH AND SAFETY ISSUES
Following are some of the responsibilities listed below
 Hold regular meetings of their managers;

 Share information and risk assessments in order to avoid carrying out
incompatible processes and activities and using incompatible substances;
 Prepare and agree on joint site rules for the workplace for example for
assembly points and smoking areas;
 Set up joint procedures for the management of visitors and contractors;
 Agree on procedures for the management of traffic and the movement of
vehicles;
 Carry out joint inspections investigations and monitoring of the workplace;
 Draw up joint emergency procedures and introduce fire drills for the work site
as a whole;
 Agree to a policy for the management of waste and introduce joint safety
committees and worker representatives.
C155 - Occupational Safety and Health Convention, 1981 (No. 155)
 The General Conference of the International Labour Organization,
 Having been convened at Geneva by the Governing Body of the International Labour
Office, and having met in its Sixty-seventh Session on 3 June 1981, and
 Having decided upon the adoption of certain proposals with regard to safety and
health and the working environment. Having determined that these proposals shall
take the form of an international Convention, 1981.
 Adopts this twenty-second day of June of the year one thousand nine hundred and
eighty-one the following Convention, which may be cited as the Occupational Safety
and Health Convention, 1981:
 The aim of the policy shall be to prevent accidents and injury to health arising out of,
linked with or occurring in the course of work, by minimizing, so far as is reasonably
practicable, the causes of hazards inherent in the working environment.
 The formulation of the policy referred to this Convention shall indicate the respective
functions and responsibilities in respect of occupational safety and health and the
working environment of public authorities, employers, workers and others, taking
account both of the complementary character of such responsibilities and of national
conditions and practice.

R164 - Occupational Safety and Health Recommendation, 1981 (No. 164)

 The General Conference of the International Labour Organization,
 Having been convened at Geneva by the Governing Body of the International Labour
Office, and having met in its Sixty-seventh Session on 3 June 1981, and
 Having decided upon the adoption of certain proposals with regard to safety and
health and the working environment. Having determined that these proposals shall
take the form of a Recommendation supplementing the Occupational Safety and
Health Convention, 1981,
 Adopts this twenty-second day of June of the year one thousand nine hundred and
eighty-one, the following Recommendation, which may be cited as the Occupational
Safety and Health Recommendation, 1981:
 Employers should, where the nature of the operations in their undertakings warrants
it, be required to set out in writing their policy and arrangements in the field of
occupational safety and health, and the various responsibilities exercised under these
arrangements, and to bring this information to the notice of every worker, in a
language or medium the worker readily understands.
 Employers should be required to verify the implementation of applicable standards on

occupational safety and health regularly, for instance by environmental monitoring,
and to undertake systematic safety audits from time to time.
 Employers should be required to keep such records relevant to occupational safety

and health and the working environment as are considered necessary by the competent
authority or authorities; these might include records of all notifiable occupational
accidents and injuries to health which arise in the course of or in connection with
work, records of authorisation and exemptions under laws or regulations to
supervision of the health of workers in the undertaking, and data concerning exposure
to specified substances and agents.
 The arrangements provided for in Article 19 of the Convention should aim at ensuring
that workers--
 (a) take reasonable care for their own safety and that of other persons who may be
affected by their acts or omissions at work;
 (b) comply with instructions given for their own safety and health and those of others
and with safety and health procedures;
 (c) use safety devices and protective equipment correctly and do not render them
inoperative;
 (d) report forthwith to their immediate supervisor any situation which they have
reason to believe could present a hazard and which they cannot themselves correct;
 (e) report any accident or injury to health which arises in the course of or in
connection with work.

 No measures prejudicial to a worker should be taken by reference to the fact that, in

good faith, he complained of what he considered to be a breach of statutory
requirements or a serious inadequacy in the measures taken by the employer in
respect of occupational safety and health and the working environment.
1.3.4 How clients and contractors should work together

The duties they owe to each other
A contractor who works out at the premises of the other organization has various duties that
should be made mandatory regarding Health and Safety responsibilities. After starting up the
project by the contractor the responsibilities are shared between both the client and contractor
in order to cover the occupational Health and Safety law in the workplace.
They should have joint liabilities where the work is carried out in common workplace, When
it comes to joint occupational work the cooperation is required between the employees on
both the sides by sharing work and duties. Coordination between the workers should be made
to increase which helps in understanding mutually with satisfying culture.
The relationship between client and contractor are increasing rapidly these days because of
the resources like the services they want in the organization to perform the specified tasks
which can‟t be performed by the internal employees.
A contractor is a person who works for other persons (client) in and carry out the work on the
client premises to perform various duties like maintaining, construction of proposed area or
demolition, security guards, housekeeping, installation of machinery and servicing, software
and hardware installation. Either he or his workers are not employees of his organization;
they can be just temporary employees or contract employees only for the stipulated time of
the agreement.
As per the Health and Safety act the client must ensure that contractor is conducting his
duties in safe and healthy structured way as per Health and Safety act, so as to maintain the
Health and Safety of the contractor‟s workers, his employees as well as the other public
persons.
Agreements should be signed between both the client and contractor in keeping and carrying
out working activities as per Health and Safety guidelines that are to be followed in the
working sites under the supervision of the competent person or the representative. This kind
of agreements will benefit both of them in building relationship in effective planning and safe
working methods
Cooperation and coordination should exist from both the employers in adopting and
controlling Health and Safety policies and safe working culture. At the same time the
organization should make joint arrangements to meet the occupational Health and Safety by
hiring or appointing competence person or safety coordinator.

Cooperation has the following importance in describing and establishing the following points.
They are as follows
 Problem solving methods meetings

 Meeting of Health and Safety committee
 Addressing the issues that are arising
 Team explaining and briefing
1.3.4.2 EFFECTIVE PLANNING AND CO-ORDINATION OF CONTRACTED WORK
Effective planning and coordination of the contracted work are the two important tools
between them as these planned increases in building strong relationship and helps them in co-
operating with each other in carrying out the contracted work in an effective way. A client
has a duty to a contractor, a sub-contractor and their employees. The duty is to take “all
practicable steps” to ensure none of these people are harmed while doing work they were
engaged to do.
There are different stages of the contract process apply to any contracting situation. However,
the extent to which each is formalized will vary according to the size and type of contract
involved.
In the same way the following points should be considered when signing the contracts they
are as follows:
 Determining what work needs to be contracted out, and considering the broad Health
and Safety implications. Considering Health and Safety issues when selecting the best
way to select a contractor and deciding price and other contractual terms.
 Assessing capability of potential contractors. Assessing Health and Safety
management and, depending on the scale or significance of the hazards, a detailed
appraisal of technical competence.
 Providing information to potential contractors on the Health and Safety, including the
hazards of the particular contract.
 Incorporation of Health and Safety plan into contract. Includes agreed detail of lines
of communication, responsibilities, accountability, safe systems of work, method
statements, use of client services, etc.
 Monitoring/checking throughout duration of contract. Checking and ensuring
contractor performance meets the agreed standards.
 Concluding review to determine success or otherwise of the contract.
 Post-contract evaluation and review.

1.3.4.3 Pre-selection and management of contractors
Procedure for the selection of the contractor

The procedure of selection can be formal and highly structured one depending upon the size
of the project, priority, and complexity of the project. Many of the private organizations
award contracts informally based on the prices of contractor offered to them, this type of
contracts is awarded orally.
Key considerations in selecting contractors
In summary, notwithstanding the above considerations, in selecting a contractor the client

should consider the candidate's ability to manage, implement and monitor Health and Safety
procedures, including:
 Insurance and accident compensation ratings
 Compliance with standards
 Associations/accreditations
 Health and Safety experience
 Policies and procedures
 Subcontractor selection and management
 Organization and arrangements (including
Assignment of responsibility for health and
Safety issues, employee participation, etc.)
 Information, training and supervision
 Planning and setting performance standards
 Hazard assessment
 Accident reporting, recording and investigation methods
 Performance monitoring processes
 Review methods, and
 Safety record.
Afterwards an evaluation of the contractor‟s work should be undertaken, based on the earlier
mentioned profile and risk indicators. For the evaluation of the contractor and its work it is
beneficial if the start-up is performed with care. In the contracting and start-up of a project,
agreements are made on responsibilities, project outcomes and collaboration partners. At the
end of the project these agreements can be evaluated and positive and negative experiences
can be shared and learned form.

1.4 Sample Scenario with Tasks, Questions and Answers
SCENARIO
You are a newly appointed Health and Safety advisor for a construction company. You
work in the head office, which is a two-story office building, along with:
- 20 other office-based workers who administer construction contracts.

One of these workers has impaired hearing;
- an office-based contracts manager, who co-ordinates construction work
contracts and activities;
- 20 mobile construction workers, including an operations manager, who
occasionally visit the office in their vehicles
The opening hours of the office are flexible depending on the needs of the work.
The contracts manager has a reputation for being irritable and unapproachable, is only
seen when arriving and leaving, and is occasionally abusive if interrupted.
The office building is in a business park away from main traffic routes. The office has its
own on-site car park, but spaces are sometimes limited. When all of the allocated spaces
are taken, some vehicles are parked across existing parked cars, blocking them in and
making it hazardous to manoeuvre. No one has assessed the risks in the car park.
Recently, a near miss occurred in the car park, when a distracted construction worker
reversed their vehicle recklessly, narrowly missing a fellow construction worker
walking to their own vehicle parked opposite. As a result, there was an angry exchange
between the two of them.
You decided to talk informally with some of the workers. They described previous near
misses and minor collisions; with vehicles reversing out of allocated spaces into other
vehicles, and vehicles narrowly missing pedestrians. The workers said that they would
not report these because they were afraid of being blamed. Also, no one listened to them
or took any action. They also told you that there is no formal Health and Safety
discussion between workers and managers.
In your role as a Health and Safety advisor you would like to improve Health and
Safety because you take your responsibilities seriously and want to make the workplace
safer for everyone.
You discuss the near miss and subsequent exchange with the two workers and the
operations manager. You ask for their opinions. The worker, who was almost struck by
the reversing car, suggested that it would be safer if everyone reversed into car parking
spaces. The operations manager was less helpful and said that there was nothing to worry
about, and that this has been happening for years, but no one had ever been seriously
hurt. The operations manager also said it was best for people to sort it out themselves.
Workers tell you that outside of daylight hours, lighting levels in the car park are poor.
Sometimes workers arrive and leave when it is dark. Floodlights are mounted on the

office wall facing the car park. However, the floodlights were not working at the time of
the incident. Again, no one had reported that these lights were not working.
You have decided to review the commitment the company has made to worker Health
and Safety. There seems to be no statement of general policy (statement of intent) on
Health and Safety. The policy is not displayed on noticeboards. You have searched the
company intranet and you cannot find this statement of general policy anywhere. You
have asked the contracts manager about this, who replied that the safety policy is an
important document and is only available if needed for third parties. None of the
workers know what a statement of general policy looks like. You tell the contracts
manager that the company is breaking Health and Safety law. Asked the contracts
manager and the operations manager to attend. Both managers agree, as the last
Health and Safety committee meeting was over a year ago
TASK 1: DISCUSSING MORAL REASONS FOR MANAGING HEALTH AND SAFETY
1. You have been asked to chair the Health and Safety committee meeting.
Before the meeting, you decide that you will open the meeting by reminding
everyone of moral expectations of Health and Safety.
Prepare notes of the moral arguments you will use at the meeting. (10)
Note: You should support your answer, where applicable, using

relevant information from the scenario.

Element 2: How Health and Safety Management Systems Work and Element 2
What they look like

What they look like
Learning outcomes:
2.1 Outline the key elements of Occupational Health and Safety Management System.
2.2 Outline the Occupational Health and Safety Management System Standard.
2.3 Explain the purpose and importance of setting policy for Occupational Health and
Safety.
2.4 Describe the key features and appropriate content for the effective Occupational Health
and Safety.
Contents
2.1 What they are and the benefits they bring 2
2.1.1 Introduction to Occupational Health and Safety Management System 2

2.1.2 The basics of a health and safety management system: The „Plan, Do, 2
Check, and Act‟ (PDCA) Model
2.1.3 Benefits of having a formal / certified occupational health and safety
management system 7
2.2 What good Health and Safety Management Systems look like 10
2.2.1 The Occupational Health and Safety Policy 10

2.2.2 Responsibilities – all workers at all levels of an organization have
Responsibility for health and safety 12
2.2.3 Practical arrangements for making it work 14
2.2.4 Keeping it Current 16
Sample Scenario with Tasks, Questions & Answers

What they look like
2.1 How health and safety management systems work and what they look
Like
2.1.1 Introduction to Occupational Health and Safety Management system
Health and safety management system is a process put in place by an employer to minimize
the risk of injury and illness. This is made possible by identifying, assessing and controlling
risks to workers in all workplace operations, identification and analysis of health and
safety hazards at the work site.
2.1.2 The basics of a health and safety management system: The „Plan, Do, Check, and
Act‟ (PDCA) Model
The notion of management systems is used often in the decision making processes in business
and unknowingly also in daily life, whether it is in the purchase of equipment, the extension
of business or more simply the selection of new furniture. The application of Occupational
Safety and Health Management Systems (OSHMS) is based on relevant OSH criteria,
standards and performance. It aims at providing a method to assess and improve performance
in the prevention of workplace incidents and accidents via the effective management of
hazards and risks in the workplace. It is a logical, stepwise method to decide what needs to be
done, how best to do it, monitor progress toward the established goals, evaluate how well it is
done and identify areas for improvement. It is and must be capable of being adapted to
changes in the business of the organization and to legislative requirements.
This concept of a process is based on the principle of the “Plan-Do-Check-Act” Deming

Cycle (PDCA), designed in the 1950s to monitor business performance on a continual basis.
When applied to OSH, “Plan” involves the setting of an OSH policy, planning including the
allocation of resources, provision of skills and organization of the system, hazard
identification and risk assessment. The “Do” step refers to actual implementation and
operation of the OSH programme. The “Check” step is devoted to measuring both the active
and reactive performance of the programme. Finally the “Act” step closes the cycle with a
review of the system in the context of continual improvement and the priming of the system
for the next cycle.

What they look like
The OSHMS approach ensures that:
 The implementation of preventive and protective measures is carried out in an

efficient and coherent manner;
 Pertinent policies are established;
 Commitments are made;
 All the workplace elements to assess hazards and risks are considered, and
 Management and workers are involved in the process at their level of responsibility.
The risks for occupational accidents and diseases at work have to be managed by the
employers and workers who are facing them. In order to ensure effective action, it is essential
to establish occupational safety and health (OSH) management systems at all workplaces for
continual improvement of working environment and preventive measures. The ILO
guidelines on occupational safety and health management systems provide guidance for
action at the national and enterprise levels.
The “Plan-Do-Check-Act” cycle (PDCA) is critical to the operation of the Occupational

Health & Safety Management System as specified by ISO 45001:2018, in terms of
achievement against set objectives and continual improvement. It can be described as
follows:
Plan: the establishment of objectives and the processes that may deliver them, in harmony
with the Occupational Health & Safety Policy established by the organization
Do: the implementation of the planned processes
Check: the monitoring and measuring of results versus the Occupational Health & Safety
Policy, including all commitments, objectives, and criteria, and the reporting of them
Act: the consequent actions taken to ensure continual improvement

What they look like
It should be noted that the PDCA cycle is a recognized management system methodology that
is used across various business management systems, but its use is both compulsory and
highly beneficial within ISO 45001:2018. The standard is written so that the sections of the
ISO 45001:2018 standard easily fit into this PDCA cycle.
Occupational Health and Safety Management System Standard
ISO 45001:2018
ISO 45001:2018 specifies requirements for an occupational health and safety (OH&S)
management system, and gives guidance for its use, to enable organizations to provide safe
and healthy workplaces by preventing work-related injury and ill health, as well as by
proactively improving its OH&S performance.

What they look like
ISO 45001:2018 is applicable to any organization that wishes to establish, implement and
maintain an OH&S management system to improve occupational health and safety, eliminate
hazards and minimize OH&S risks (including system deficiencies), take advantage of OH&S
opportunities, and address OH&S management system nonconformities associated with its
activities.
ISO 45001:2018 helps an organization to achieve the intended outcomes of its OH&S
management system. Consistent with the organization's OH&S policy, the intended outcomes
of an OH&S management system include:
a) Continual improvement of OH&S performance;
b) Fulfillment of legal requirements and other requirements;
c) Achievement of OH&S objectives.
ISO 45001:2018 is applicable to any organization regardless of its size, type and activities. It
is applicable to the OH&S risks under the organization's control, taking into account factors
such as the context in which the organization operates and the needs and expectations of its
workers and other interested parties.
ISO 45001:2018 does not state specific criteria for OH&S performance, nor is it prescriptive
about the design of an OH&S management system.

What they look like
ISO 45001:2018 enables an organization, through its OH&S management system, to integrate
other aspects of health and safety, such as worker wellness/wellbeing.
ISO 45001:2018 does not address issues such as product safety, property damage or
environmental impacts, beyond the risks to workers and other relevant interested parties.
ISO 45001:2018 can be used in whole or in part to systematically improve occupational
health and safety management. However, claims of conformity to this document are not
acceptable unless all its requirements are incorporated into an organization's OH&S
management system and fulfilled without exclusion
ILO Guidelines on OSH Management Systems (ILO-OSH 2001)
The ILO has designed these guidelines as a practical tool for assisting organizations and
competent institutions as a means of achieving continual improvement in occupational safety
and health (OSH) performance. The guidelines have been developed according to
internationally agreed principles defined by the ILO‟s tripartite constituents. The practical
recommendations of these guidelines are intended for use by all those who have
responsibility for OSH management
ILO-OSH 2001 provides a unique international model, compatible with other management
system standards and guides. It is not legally binding and not intended to replace national
laws, regulations and accepted standards. It reflects ILO values such as tripartism and
relevant international standards including the Occupational Safety and Health Convention,
1981 (No. 155) and the Occupational Health Services Convention, 1985 (No. 161). Its
application does not require certification, but it does not exclude certification as a means of
recognition of good practice if this is the wish of the country implementing the Guidelines.
The ILO Guidelines encourage the integration of OSH-MS with other management system
and state that OSH should be an integral part of business management. While integration is
desirable, flexible arrangements are required depending on the size and type of operation.
Ensuring good OSH performance is more important than formality of integration. As well as
this, ILO-OSH 2001 emphasizes that OSH should be a line management responsibility at the
organization,

What they look like
2.1.3 Benefits of having a formal / certified occupational health and safety

management system
1. Improved health and safety performance

2. Reduced cost associated with accidents and incidents
3. Improved staff relations and morale
4. Improve business efficiency
5. Improved public image and PR
6. Lower insurance premiums
7. Easier access to finance
8. Increased regulatory compliance
9. Improved confidence
10. Boost corporate and social responsibility
1. Improved health and safety performance

All the employees will have a clear understanding of how to handle key activities, whether
it‟s reporting an incident, responding to an issue, or working through a problem. When every
worker is clear about the precise protocol to follow and everyone uses the same approach
every time, then organization‟s OHS performance will improve.

What they look like
With the right OHS management system in place organization will have a clear overview of
every OHS-related activity that happens in the premises. And will have a clear, agreed-upon
record of what happened, how it was responded to and what further actions were taken.
2. Reduced cost associated with accidents and incidents

If the organization currently has no OHS management system in place then it will
be painfully aware of how expensive it can be to correct mistakes and problems.
Every time an accident occurs, then organization will be on the back foot, at the mercy of the
consequences.
Things like:
 Staff compensation claims that push up insurance premiums

 The cost of hiring temporary staff to plug gaps in the workforce while the injured
workers recover.
But there are other indirect costs too.
A. Organization‟s workforce is its business‟ greatest asset, each accident and incident
will dent staff morale.
B. When workers feel that their employer doesn‟t take OHS management seriously,
they‟ll be less likely to engage with their work.
This has a significant knock-on effect when it comes to productivity. A Gartner survey
found that workplaces with low morale typically have lower productivity levels. A formal
OHS management system will help reduce the likelihood of incidents and accidents from
occurring and this will, in turn, lower organization‟s costs of dealing with them.
3. Improved staff relations and morale

The third benefit of OHS management systems is that they increase employee satisfaction
and help to improve staff relations and morale. All of this changes when a company invests
in an OHS management system. Employees will start to feel more comfortable and secure as
they‟ll have a set of clear OHS practices in place. After completing their training, they‟ll
know the exact guidelines to follow in any situation, helping them gain confidence while at
work. When an organization start implementing an OHS management system, we notice that
workers‟ productivity and morale will improve, employee retention rates will increase and
organization‟s growth will rise.
4. Improve business efficiency

Implementing an OHS management system is one of the best ways to improve the efficiency
of business.

What they look like
An OHS management system can help in:
 Reduce the number of sick and ill days that the staff take
 Lower the number of temporary workers need to hire
 Lower insurance premiums
 Increase staff morale and productivity
 Improve staff retention rates
 Reduce training costs (for new and temporary staff)
5. Improved public image and PR

Whoever coined the phrase “There‟s no such thing as bad publicity” obviously never worked
in Public Relation for a multinational. For modern organizations, serious health-related
accidents and injuries do become public and can cause irreparable harm to a company‟s
public image.
That‟s why putting in place an OHS management system is a sensible precaution to take. It
shows employees that their organization value their rights to a safe and healthy working
environment and have every intention of respecting this.
6. Lower insurance premiums

But an important and often overlooked cost-saving can be lower insurance premiums. In
today‟s litigation culture, insurance premiums are mandatory, but insurers will offer lower
premiums if organization can demonstrate that they are effectively controlling risks to their
workers in their premises. If the organization use an OHS management system to reduce
injuries and illnesses by – say – 20 percent, this is valuable evidence that organization can
use it to renew their premiums. If the organization‟s perceived risk is lower then this may
result in cost savings through lower insurance premiums.
7. Easier access to finance

Gaining finance from banks and investors is never easy, especially in today‟s challenging
business climate. But an OHS management system is an important part of proving to
potential investors that the organization is well-managed, with fewer accidents and injuries
and a set of clear guidelines that help the organization to respond to any incidents that occur,
organization will have a healthier bottom line and an improved chance of winning
investments that it may otherwise not.
8. Increased regulatory compliance

If there are two words that strike fear into the heart of most business owners, then these two
may be it: „regulatory compliance‟.
Regulations are increasingly stiff and the punishments are ever-fiercer.
If the organization doesn‟t have OHS management system in place, the chances of
unwittingly committing an offense are quite high, whether due to negligence or human error.

What they look like
A proper OHS management system will help all the staff to stay aware of current legal
requirements. This improves organization‟s regulatory compliance and lowers the risk of
organization having to pay a fine.
9. Improved confidence
A comprehensive OHS management system help ensure that staff members are more
protected from a wide range of threats and health problems, such as:
 Falls
 Injuries
 Repetitive strain injuries
 The effects of vibration and noise
 Skin diseases
 Asbestos-related diseases
 And more!
When employees feel safe at work, they are more likely to feel confident. As we‟ve
discussed, this feeds through to many other areas of their work such as productivity,
efficiency and retention rates. Adopting an OHS management system is one way of building
confidence that complements other actions organization can take. For example, organization
can apply for ISO 45001 certification for its business as a way of showing staff that an
organization is committed to workplace safety. These certifications are some of the best
routes towards setting up formal procedures for managing health and safety risks. If
employees see that organization actively looking after their health and safety, relations and
confidence will improve. This will lead to a more productive, more efficient workforce.
10. Boost corporate and social responsibility

Having a strong OHS management system in place is an especially important part of building
organization brand‟s appeal. Over 57 percent of those surveyed said business had a
responsibility to ensure that they don‟t rely on harmful labor practices such as forced labor.
An OHS management policy shows that organization value the physical, social and mental
well-being of its employees, helping to build its public image.
2.2.1 The Occupational Health and Safety Policy
What is health and safety policy?
A health and safety policy sets out our general approach to health and safety. It explains
how we, as an employer, will manage health and safety in our business. It should clearly say
who does what, when and how.
What are the health and safety policies and procedures?
A health and safety policy sets out our general approach and commitment together with the
arrangements we have put in place for managing health and safety in our business. It is a
unique document that says who does what, when and how.

What they look like
What is the importance of health and safety policy?
The purpose of the policy is to express the employer's commitment to health and safety.
Show Commitment - A policy commits the entire organization to maintain a safe workplace.
This encourages both human and financial resources to help ensure that safety is taken
seriously within the organization.
Health & Safety Policy should contain three separate parts
 Statement of Intent – which demonstrates management‟s commitment to health and

safety and sets goals and objectives for the organization),
 Organization – the purpose of which is to allocate health and safety responsibilities
within the company
 Arrangements – which sets out in detail the systems and procedures to show how the
policy is to be implemented
Clause 5.2: OH&S policy
The OH&S policy is the mechanism by which top management formally articulates its
commitment to OH&S probity.
There are many differences in form and content of corporate policies. Their style, however, is
not as important as the clarity with which they identify functional responsibilities over
authority.
To be effective, a policy must
 Involve senior management and representatives in the preparation of the policy,

 Be seen as consistent with the workplace's objectives of operating in an efficient and
predictable manner,
 Be relevant and appropriate to the nature, scale and OHS hazards and risk associated
with that workplaces‟ needs (not adopted from another workplace), and
 Be accepted as equal in importance to the workplace's other policy objectives.
Aims & Objectives of a Health & Safety Policy
 Provide safe and healthy working conditions for the prevention of work-related injury
and ill health which are appropriate to the specific nature of the OH&S risks to which
workers and others are exposed;
 Provide a framework for setting the OH&S objectives;
 Include a commitment to fulfill legal and other requirements;
 Include a commitment to eliminate hazards and reduce OH&S risks;
 Include a commitment to continual improvement of the OH&S management system;
 Include a commitment to consultation with and participation of workers, and, where
they exist, workers‟ representatives.

What they look like
It is important to share the organization‟s commitments with its workers, contractors and
others who work on behalf of the organization so that they understand top managements‟
expectations and can perform their work in a manner that contributes to meeting these
expectations. Making the health and safety policy publicly available, or available on request,
provides assurance to interested parties that the organization is doing its part to achieve
positive OH&S outcomes.
These are some of the major items to consider
 The policy should state the arrangements in place to support and implement it. Such
items as safety meetings, safe working procedures, occupational hygiene, and
education and training should be outlined.
 The policy should address the types of hazards associated with the workplace.
Depending on the types of tasks performed and the hazards present, it may be
necessary for the employer to become fairly specific and detailed in outlining hazards
at the workplace.
 The policy should discuss active and on-going participation of employees in helping
to achieve the objectives.
 Policy statements need to be amended from time to time. They must keep pace with
the changes occurring at the workplace. CSA Z1000-14 recommends an annual
review, and as required.
2.2.2 Responsibilities – all workers at all levels of an organization have

responsibility for health and safety
Responsibilities of Individuals
Individuals have a responsibility to carry out their assigned duties. For a health and safety
program to achieve its desired results, everyone in a workplace must know their
responsibilities.
The following are samples of assignments of responsibilities designed for different-sized
organizations. Select and customize, or create your own version.
Senior Executive/Managers
 Provide a statement of policy relating to the health and safety program.

 Maintain overall responsibility for the health and safety program.
 Ensure that all established health and safety policies are administered and enforced in
all areas.
 Ensure that all personnel are aware of and effectively practice the policies and
procedures set out in the health and safety program.
 Provide information, instructions, and assistance to all supervisory staff in order to
protect the health and safety of all employees.
 Understand and enforce the incident prevention policy as well as the occupational
health and safety legislation.
 Provide all supervisory staff with proper, well-maintained tools and equipment, plus
any personal protective devices which may be required.

What they look like
 Provide ongoing health and safety education or training programs and approved first
aid training courses as required.
 Monitor departments and projects and hold them accountable for their individual
health and safety performance.
Line Management/Supervisors
 Co-operate with health and safety committee members

 Provide instructions to employees about safe work procedures. As part of the routine
duties, the supervisor shall require employees to use personal protective equipment as
appropriate.
 Provide an example for others by always directing and performing work in a safe
manner.
 Conduct regular inspections for unsafe practices and conditions and ensure prompt
corrective action.
 Work in cooperation with others in determining safe practices, enforcing their
observance, developing procedures for dealing with violations and general safety and
incident prevention.
 Enforce all established safety regulations and work methods. Take corrective action as
necessary to ensure compliance with the rules.
 Know and apply the workplace safety policy and relevant occupational health and
safety legislation.
 Arrange for medical treatment as required, including transportation to a doctor or
hospital as necessary.
 Report all incidents immediately, investigate all incidents fully, and advise
management on how to prevent similar incidents in the future.
 Carry out regular inspections of the work place to ensure a safe and healthy
environment.
 Hold regular safety meetings to review safety conditions and general safety policies.
 Accompany the government inspector during inspections.
 Be aware of the hazards that exist for the short term, temporary and newly hired
employee. Ensure that new employees receive detailed safety instructions before they
are allowed to start work.
Employees
 Carry out work in a manner so as not to create a health and safety hazard to yourself
or others.
 Participate in education and training.
 Assist in the reduction and controlling of incident and illness producing conditions.
 Report any incidents, near misses, injuries, or illnesses.
 Use the correct tools and equipment for the job.
 Keep tools and personal protective equipment in good condition or replace when
necessary.
 Use the required safety equipment and personal protective equipment.
 Report defects in workplace equipment.
 Develop a personal concern for health and safety -- for yourself and for others,
particularly newcomers and young people.
 Suggest ways to eliminate hazards or control risk.
What they look like
 Read, understand, and comply with workplace health and safety policy, safe work
practices and procedures.
 Co-operate with health and safety committee members and representatives.
 Participate in medical surveillance (e.g., hearing conservation programs, medical
monitoring, etc.).
Safety Co-coordinators/Officers
 Advise management and employees on:

o preventing injury and illness to personnel and damage to plant and equipment
o legal requirements affecting safety, health and well-being
o provision and use of protective clothing and equipment
o suitability, from a safety viewpoint, of new equipment, and validity of all
appropriate test certificates
o potential hazards on new contracts before work starts and precautions required
o Changes in legislation, standards, etc.
 Record and analyze information on injuries, illness, damage, and production loss.
 Assess incident trends and review overall safety performances.
 Maintain contact with professional bodies (e.g., medical systems, engineers,
occupational hygienists, etc.).
 Take part in workplace discussions on injury, health and welfare, damage control.
 Keep up-to-date with recommended codes of practice and new health and safety
literature.
 Administer the health and safety program.
 Assist in incident investigations, analysis and preparation of incident reports and
summaries.
 Prepare inspection reports.
 Ensure that corrective action has been taken whenever deficiencies are identified.
 Assist with health and safety seminars, education, or training.
2.2.3 Practical arrangements for making it work
To implement a policy, health and safety activities must be identified and assigned. While
each workplace will do this in its own way, there are some general issues which should be
addressed:
 The policy should state that the workplace has clear rules for healthy and safe work
behavior. It should clarify who is responsible for developing, observing, and
enforcing the rules.
 There should be clear guidelines for maintaining and operating equipment and
machinery. Again, individual responsibilities must be clarified.
 The policy should state what type of education or training program will be provided
by the company to ensure that employees can meet their responsibilities. This learning
could include first day orientation, on-the-job training, and refresher courses.
 The means for providing employees with information about basic or specific
workplace hazards, and detailed written procedures for hazardous jobs should be
outlined.

What they look like
 Regular worksite health and safety meetings at all levels of the organization are an
essential part of a good safety program. The policy could identify what issues will be
discussed at these meetings, what can be communicated verbally, and what should be
in writing.
Communicating the contents of a health and safety policy to a workforce

Methods Include:
 Giving employees their own personal copy of the policy or a summary of it;
 Displaying the policy on noticeboards.
 Explaining the content of the policy at team briefings or tool-box talks and during
induction or refresher training courses.
 Referring to the policy in internal newsletters, booklets, emails and intranet
communications.
 Making the policy an agenda item at meetings of the health and safety committee.
Source Reference:
https://www.hseblog.com/nebosh-igc-1-health-safety-management-systems-policy/
Here is a sample of a series of questions that could be put in "Yes / No" checklist:
 Does the statement express a commitment to health, safety, and well-being? Are
obligations towards employees made clear?
 Does it say which senior officer is responsible for seeing that it is implemented and
for keeping it under review, and how this will be done?
 Is it signed by senior executive?
 Have the views of managers and supervisors, safety professionals, and health and
safety committees or representatives been taken into account?
 Were the duties set out in the statement discussed with the people concerned? Do they
understand how their performance is to be assessed and what resources they have to
carry out their tasks safely?
 Does the statement make clear that cooperation on the part of all employees is vital to
the success of the health and safety policy?
 Does it say how employees are to be involved in health and safety matters, for
example, by being consulted, by taking part in inspections, or by participating on a
health and safety committee?
 Does it show clearly how the duties for health and safety are allocated, and are the
responsibilities at different levels described?

What they look like
 Does it say who is responsible for the following matters?

o Investigation reports and incident records.
o Fire precautions and evacuation procedures.
o First aid.
o Safety inspections.
o Education and training program.
o Ensuring legal requirements are met.
 Is management solely responsible for providing a healthy and safe working
environment?
 Is employer's concern for health and safety as great as concern for economic financial
and marketing matters?
 Does it include the names of individual managers who are responsible for making the
safety policy work in specific areas or departments?
 Does it state the employer's duty to give education and training in health and safety to
all employees?
 Does it outline the development and maintenance of health and safety roles and
procedures?
 Does it include planned programs for health and safety at work?
 Does it ensure that health and safety matters will be taken into account when planning
new methods processes or premises?
 Does it include arrangements for disclosing information, including multilingual
information, on health and safety and well-being matters?
 Does it explain how money is to be made available to support health and safety?
 Do all employees have copies of their employer's health and safety policy?
 Are workplace representatives consulted about periodic revisions and updating of the
employer's health and safety policy?
 Has the policy been reviewed with the health and safety committee?
 Does it state who will review the policy and how often it will be reviewed?
 Are there effective arrangements for drawing the policy to the attention of all
employees?
 Is the delegation of duties logical and successive throughout the organization?
 Is it clear that the ultimate responsibility for safety rests with senior management?
 Are the responsibilities of senior managers written into the policy or into job
descriptions?
 Are there procedures and controls in place that ensure accountability?
 Is health and safety performance an essential ingredient of performance appraisals?
 Do line managers understand and accept the nature of their health and safety
responsibilities?
 Are there arrangements for liaison with contractors?
 Are all individuals aware of their legal responsibilities?

What they look like
2.2.4 Keeping it Current
Reviewing of Health and Safety Policies
Circumstances that would require a health and safety policy to be reviewed, such as
 Significant changes in the structure of the organization and/or a change of premises;

 After the introduction of new or changed processes or work methods;
 Following changes in key personnel;
 Following changes in legislation;
 Where audits, risk assessments, monitoring exercises or accident investigations show
that the policy is no longer effective or relevant;
 As a result of consultation with the workforce;
 Following enforcement action and after a sufficient period of time has elapsed since
the previous review to suggest that another one is due.
Source Reference:
https://www.hseblog.com/nebosh-igc-1-health-safety-management-systems-policy/

Element 3: Managing Risk – Understanding people and processes Element 3

Learning outcomes:

3.1 Describe the concept of health and safety culture and how it influences performance
3.2 Summarize how health and safety culture at work can be improved
3.3 Summarize the human factors which positively or negatively influence behavior at work in a way
that can affect health and safety
3.4 Explain the principles of the risk assessment process and produce a risk assessment of a workplace
which considers a wide range of identified hazards
3.5 Discuss typical workplace changes that have significant health and safety impacts and ways to
minimize those impacts
3.6 Describe what to consider when developing and implementing a safe system of work for general
activities
3.7 Explain the role, function and operation of a permit-to-work system
3.8 Discuss typical emergency procedures (including training and testing) and how to decide what
level of first aid is needed in the workplace
Contents
3.1 Health and Safety culture 3
3.1.1 Meaning of the term ‗health and Safety culture 3

3.1.2 Relationship between health and safety culture and health and safety
Performance 5
3.1.3 Indicators of an organization‘s health and safety culture 6
3.1.4 Influence of peers on health and safety culture. 7
3.2 Improving health and safety culture 7
3.2.1 Gaining commitment of management 09

3.2.2 Promoting health and safety standards by leadership and example and
Appropriate use of disciplinary procedures 10
3.2.3 Competent workers 12
3.2.4 Good communication within the organization 13
3.2.5 When training is needed 17
3.3 How human factors influence behavior positively or negatively 18
3.3.1 Organizational factors, including: culture, leadership, resources, work patterns,

Communications 19
3.3.2 Job factors, including: task, workload, environment, display and controls,
Procedures 20
3.3.3 Individual factors, including: competence, skills, personality, attitude and risk
perception 20
3.3.4 Link between individual, job and organization factors. 23

3.4 Assessing risk 24
3.4.1 Meaning of hazard, risk, risk profiling and risk assessment 25

3.4.2 Risk profiling: What is involved? Who should be involved? The risk profiling
process 26
3.4.3 Purpose of risk assessment and the ‗suitable and sufficient‘ standard it needs to
reach (see HSG65: ‗Managing for health and safety‘) 27
3.4.4 A general approach to risk assessment 30
3.4.5 Application of risk assessment for specific types of risk and special cases 44
3.5 Management of change 48
3.5.1 Typical types of change faced in the workplace and the possible impact of such
Change, including: construction works, change of proses, change of equipment,
And change in working practices 48
3.5.2 Managing the impact of change 49
3.5.3 Review of change 51
3.6 Safe system of work for general work activities 52
3.6.1 Why workers should be involved when developing safe system of work 56
3.6.2 Why procedures should be recorded /written down 57
3.6.3 The differences between technical, procedural and behavioral controls 58
3.6.4 Developing a safe system of work 59
3.6.5 Monitoring the system. 61
3.7 Permit-to-work systems 64
3.7.1Meaning of a permit-to-work system 64

3.7.2Why permit-to-work system are used 64
3.7.3How permit-to-work system work and are used 65
3.7.4When to use a permit-to-work system, including: hot work, work on non-live
(Isolated) electrical system, and machinery maintenance, and confined spaces,
Work at height. 65
3.8 Emergency procedures 66
3.8.1 Why emergency procedures need to be developed 66

3.8.2 What to include in an emergency procedure 67
3.8.3 Why people need training in emergency procedures 67
3.8.4 Why emergency procedures need to be tested 68
3.8.5 What to consider when deciding on first aid needs in a workplace 69
3.9 Sample scenario with tasks, questions and answers

3.1 Health and Safety Culture

3.1.1 Meaning of the term ‘Health and Safety Culture’
Health and Safety culture is like a product of the organization. It can‘t be achieved only through the
management side it should also be brought in action right from the individual person, groups and
workers' unions.
According to HSG65 "The safety culture of an organization is the product of individual and group
values, attitudes, perceptions, competencies and patterns of behavior that determine the commitment
to, and the style and proficiency of, an organization‘s health and safety management.
Or
Safety Culture is the set of enduring values and attitudes regarding the safety, shared by every member
at every level of an organization.
Or
Culture is a combination of an organization's:
 Attitudes,
 Behaviors,
 Beliefs,
 Values,
 Ways of doing things, and
 Other shared characteristics of a particular group of people.
There are some safety culture components that aid in improving significance of the management in
health and safety of the organization. The culture of an organization makes the greatest contribution to
its health and safety performance. Unfortunately culture is not an easy concept to understand measure
or manage. A good health and safety management system can go some way to setting the scene for
developing a good culture, but it goes much deeper than that. A safety culture increases the confidence
and efficiency in both the management and workers.
Safety culture is not a difficult idea, but it is usually described in terms of concepts such as ‗trust‘,
‗values‘ and ‗attitudes‘.
By acting safe through the application of health and safety practices an organization may start to think
safe. Ability will influence intention; therefore ability is the most important component to target in
order to influence the health and safety culture. There are five critical sub-components of ability:

James Reason (1997) argues for an informed safety culture underpinned by an effective safety
information system that integrates the following four subcomponents:
Flexible Culture: A culture of safety is flexible, in the sense that decision making processes vary
depending on the urgency of the decision and the expertise of the people involved. A flexible and
pliable culture adapts efficiently to changing external demands, and is able to adjust quickly to
different circumstances. It can tackle both normal and high workloads without compromising on safety
and robustness.
Learning Culture: Reports are only effective if an organization learns from them. Learning will occur
from both reactive and proactive safety assessments and is promoted by an inherent organizational
willingness to adapt and improve. A learning HSE culture is characterized by the ability to detect and
react rationally to danger signals, even when these are ambiguous and diffuse.
Informed Culture: Management fosters a culture where people understand the hazards and risks
inherent in their areas of operation. Personnel are provided with the necessary knowledge, skills and
job experience to work safely, and they are encouraged to identify the threats to safety and to seek the
changes necessary to overcome them. An informed culture relies on having a strong reporting culture.
Reporting Culture: The issue is not whether the organization has a reporting system; it is whether, as
a matter of practice, errors, near misses, hazards and risks are reported. A reporting culture depends, in
turn, on how the organization handles blame and punishment. If blame is the routine response to error,
then reports will not be forthcoming. If, on the other hand, blame is reserved for truly egregious
behavior, involving recklessness or malice, reporting in general will not be discouraged. Rather than a
blanket no-blame approach, what is required, reason argues, is a just culture.
Just Culture: An informed culture relies on a reporting culture which in turn relies on a Just Culture.
All employees must clearly understand and recognize that it is unacceptable to punish all errors and
unsafe acts regardless of their origins and circumstances while it is equally unacceptable to give
blanket immunity from sanctions to all actions that could, or did, contribute to organizational

accidents. A prerequisite for engineering a just culture is an agreed set of principles for drawing the
line between acceptable and unacceptable actions.
3.1.2 Relationship between Health and Safety Culture and Performance

Health and safety culture is difficult to define and tape but whereas safety performance can be taped
and measured by officially recorded statistics of the accidents occurred,
Performance has often traditionally been measured using self-reported and/or officially recorded
accident statistics. However, this can be problematic for example like accidents can be relatively rare
events, they may not be recorded accurately or routinely, and risk exposure may not be taken into
account.
The relationship between health and safety culture and safety performance has some important
components towards positive health and safety culture, they are
 Commitment to health and safety in the entire organization

 Leadership impacting on all the levels of the organization
 Setting up and achieving high standards of health and safety as a long term strategy of the
organization and formulating them
 All the risk assessments of health and safety in the organization should be documented in detail
and should develop appropriate monitoring system and control measures
 Outlining safety culture and safety performance objectives for short and long term
 Determining policy statements and code of practice required for setting up health and safety
standards
 Training employees along with procedures of consultation and communication
 Investigating of all the incidents and accidents and making detailed reports with remedies
 Maintaining prompt monitoring equipment‘s
 Ownership of health and safety across all the levels in the organization
If the organization follows the above mentioned factors, then it can easily incorporate and establish
good performance in the health and safety culture. In order to achieve the high standard of health and
safety culture performance then the organization has to spend sufficient economical and human
resources and made it available in performing the functions to carry out in all the levels of
organization.
The relationship between safety culture and safety performance has been reported across industry
sectors, including those with high hazard levels (e.g. chemicals), high accident rates (e.g.
construction), and low accident rates (e.g. services). It has, therefore, been argued that the principles of
safety culture and climate, which have been developed primarily among the traditional high hazard
industries, are applicable in other work settings.

3.1.3 Indicators of an Organization’s Health and Safety Culture
The main purpose of indicators in organizational health and safety culture is to identify which kind of
safety metrics are involved in safety performance in the organization, this helps and guides in
improving future safety performance of the organization.
The indicators are solely used to assess the effectiveness of an organization‘s health and safety culture
approaching most effective technical aspects of safety and with incidents and accidents of operations
because of human error or factors related to organizational factors.
The following are the outputs or indicators that are used to assess the health and safety culture of the
organization are as follows:
 Number of accidents
 Frequencies of operational incidents
 Frequencies of near miss
 Frequency of causing ill- health
 Absenteeism
 Staff turnover
 Level of compliance
 Rates of falling sickness
 Restricted work accidents
 Working condition problems
The number of accidents is general indicator that is used in measuring health and safety of the
organization, so the numbers of accidents are examined in detail. The calculation is compared with the
accidents and the number of employees associated with that accident.
Accident Rate-
Total number of accidents

x 1000
Number of persons employed
NB - HSE uses 100,000 as a national denominator
While measuring the indicators many problems will raise that should be kept in mind while measuring,
commonly there are four problems they are
 Considering ratios of part-time and full-time employees

 Both major and minor accidents are taken into account
 Working periods should be considered
 Under reporting

Negative indicators within management activities
 Constant reorganization
 Changes in management personnel and style of management
 Different approaches and types of managers
 Critical management with no recognition of effort or achievement
 Uncertainty and fear of downsizing or redundancy
 Unrealistic goal setting or goal-posts constantly moved
 Poor industrial relations
3.1.4 Influence of peers on Health and Safety Culture
Influence of peers is one of the elements that help in promoting and increasing health and safety with a
group work or teamwork in the workplace. If the group or team members believe in operating or
working as per the standards set in safe working is the only way of working to do then each member of
the group will carry out the same activities that are followed by them, this will ensure that new
members will follow in working as per the peer person performed.
The influence of the peer‘s will impact in increasing the standards of organization in producing high
standards of products or services (productivity) they offer and this will result in increasing moral
values of the employees and workers and will strive hard in working in safe conditions only.
At the same time organizational bottom-line in the economy graph will increase the results in
rewarding and achieving safety and good health in the workplace. This kind of influence will impart a
lot of other members of the team in carrying out the work safely.
3.2 Improving health and safety culture

In the health and safety management system the second key element is organizing. It is a specified and
essential part of the successful management process of communication in any Enterprise.
Organizing health and safety management functions, establishing, maintaining and controlling day to
day activities in an efficient manner is very crucial for responsible people like MD, CEO/Board
Members, department managers, production managers, line managers, supervisors and lastly safety
managers.
Generally senior level managers must take active responsibility for organizing the overall issues in
health and safety concerns in controlling common accidents, injuries and ill-health and loss. At the
same time all senior managers who are employed should hold responsibilities in organizing a
workplace without affecting from the nature of work and arrangements.
In organizing health and safety management system starting from the department managers to line
managers and the experts should be assigned and made available in order to achieve all the
requirements that are documented as per the acts and regulations.

ILO (International Labor Organization) has defined guidelines and responsibilities for the employers
in organizing health and safety roles and responsibilities, considering health and safety and welfare of
the workplace and workers. The following are some of the organizing obligations that are included in
the ILO-OSH2001 ACT.
HIERARCHY & FLOW CHART OF THE HEALTH AND SAFETY MANAGING PERSONS
Source: Ace Training & Consulting
 Providing protective equipment, clothing and other safeguarding products like helmet, goggles,
gloves, and safety shoe etc., at free of cost.
 Measures in controlling stress, physical and mental fatigue.
 Maintaining worker‘s working hours and rest breaks without affecting the health and safety.
 Providing appraisal based on performance and individual contribution.
 Taking justified disciplinary action.
 Job description and training with safe working methods.
Apart from those responsibilities of workers, employers also have other responsibilities in
providing safe living culture in and around the company/organization and safeguarding the people
living in those surrounding areas.
Organizational roles of Directors/Managers
In every organization all directors should understand the responsibilities for establishing health and
safety factors. Implementing and ensuring the responsibilities to be carried out in the workplace is one
of the major determinations to the director as per the health and safety policy.
The board of directors should integrate health and safety in their economic structures, providing
resources and monitoring and auditing. All directors must and should understand their legal and moral
responsibilities in establishing health and safety policy. In case of failure the director will be rendered

accountable in a court of law. Their roles should be supported by all individual and formal terms of
reference as per the guidelines of health and safety law.
The Managing Director is responsible for the overall arrangements and for ensuring that the
company‘s operations are executed at all times in such a manner as to ensure, so far as is reasonably
practicable, the health and safety, welfare of all the employees and others who may be affected by its
operations.
In particular Managing Director will:
 Ensure there is an effective company policy for health and safety and that all employees,
contractors and temporary workers are made aware of their individual responsibility.
 To understand and ensure through the appointment of competent persons the company‘s
responsibilities as employers under the Health and Safety at Work according to Act 1974 and
any relevant Acts of Parliament and Statutory Instruments are met.
 To appoint a Director responsible for safety.
 To ensure that all Directors and Managers understand and fulfill their responsibilities with
regard to health and safety.
 Arrange for funds and facilities to meet the requirements of company policy and legislation.
 Make provision for adequate and appropriate training to be given to all employees.
 To ensure that notification and reporting procedures to the relevant statutory authorities are
carried out.
 Set a personal example on all matters of health and safety.
Generally depending on the size, scale and nature of the risks and hazards arising, nominating a
director to look after and coordinate the health and safety policy process is done. If any establishment
breaches regulations the director or body members or senior officers are liable to be prosecuted.
Nowadays due to an increasing rate in the number of safety and risk management issues many health
and safety organizations are tending towards appointing one of their board members as health and
safety director.
Safety directors need to ensure the overall board score actions in health and safety, responsibilities are
discharged with effective management structure.
In order to achieve all the responsibilities the board directors need to review the following:
 Monitoring health and safety performance report

 Applying and implementing decisions
 Reviewing past statistics
 Ensuring effectiveness of the management system
 Investigating health and safety failure(s)
 Take steps to increase performance in the workplace
 Annually review health and safety performance
 Site safety walk-through to find out faults
 Providing good resources both technical and economical
 Active participation and communication with workers
 Achieving high standards

 Planning risk identification and risk assessment
3.2.1 Gaining Commitment of Management
The management should be responsible for demonstrating their commitment towards implementing
health and safety. The following are some of the commitments of management
- Ensuring availability of resources

- Defining roles and responsibilities
- Appointing of senior management to look after health and safety responsibility
- Appointing one or more competent person and providing assistance
- Role in reviewing performance
-
Ensuring Availability of Resources:
Management has to ensure availability of resources in the workplace so as to maintain a safe working
atmosphere in every aspect of providing organizational needs and determining the resources to
establish, implement and maintain occupational health and safety management system. Health and
safety board director is responsible in making the things happen as per the commitment by allocating
the sufficient resources related to health and safety conditions in the organization.
Underestimating in accumulating resources will impact a lot of changes in the development and
maintaining occupational health and safety management system in an effective way. Provision should
be allotted in the yearly budget for the unexpected resources and reviewing should be done before
ensuring and finalizing the budget. The design of the project that is to be implemented should be
considered in the allocation of funds in purchasing, arranging and installation of equipment‘s for
maintaining health and safety among workers as well as in the workplace with good and safe working
conditions.
Following are some of the resources that are to be ensured while incorporating health and safety:
1. Infrastructure
2. Support from board/management
3. Providing safety equipment and machinery
4. Organizational core principles in implementing safety policies, rules and procedures
5. Time management
6. Hiring talented people
7. Allocating financial resources
8. Support on technical issues
9. Passing knowledge and training
10. Providing technical expertise
11. Records

3.2.2 Promoting health and safety standards by leadership and example and
Appropriate use of disciplinary procedures
Firstly the responsible person (director / board member / senior manager / line manager) should have
up-to-date and complete knowledge of health and safety policies, its legal framework and its tools to
achieve a healthy and safe culture in the workplace.
Every improvement of occupational health and safety will benefit in identifying, minimizing and
eliminating risks and hazards. This kind of evolution will lead the organization in establishing good
and safe working structures subsequently over years without any kind of risks.
Apart from the above, there are various roles and responsibilities of senior managers, supervisors,
staff, contractors, and workers.
The following are their roles and responsibilities:
 Using a risk based structure and model in managing health and safety.
 Actively participating in health and safety inspections
 Respond very quickly and in time during incidents and accidents
 Supervising of staff on health and safety working style aspects
 Meeting on facilities in providing health and safety
 Regularly monitoring performance of health and safety
 Establishing procedures for promoting health and safety
 Providing adequate resources and budget for health and safety
 Encouraging towards health and safety workplace and working styles
 Appraisals for health and safety performer
 Regularly verifying, monitoring and reviewing OHS
 Recommending H & S training
 Electrical safety policy
 No smoking
 Applying all relevant policies and procedures
 Improving health and safety conditions
 Seeking advices with seniors in starting a new work
 Using safe work methods
 Good housekeeping
 Handling suspected materials
 Identifying hazards occurring due to machinery and place
 Identifying root causes in risks and hazards

Fig: Continuous improvement

Source: ACE Training & Consulting
3.2.3 Competent workers
In order to fulfill the responsibilities of the management in organizing the occupational health and
safety management system, the board directors / MD / CEO may appoint a senior manager as a
responsible person for implementing all high standards in regards to health and safety policies.
The appointed senior manager should follow all the safety measures and should address in the
contribution towards core actions that are to be performed. He holds a responsible and accountable
position in ensuring key issues and in delivering health and safety functions that are assigned to him.
The Director Responsible for Health and Safety is accountable to the Managing Director for all
matters relating to health and safety, welfare of the employees and those affected by the company‘s
operations.
In particular the Director Responsible for Health and Safety will:
 Understand and ensure that the implications and duties imposed by new Acts of Parliament,
Statutory Instruments, HSE Guidance Notes and Codes of Practice are brought to the attention
of Board of Directors.
 To ensure that good communications exist between employer and employees and are
maintained.
 Liaise with the person appointed in the role of Safety Manager over the full range of their
duties and responsibilities, with respect to inspections, audits, report recommendations,
changes in legislation and advice obtained from other sources.

 Ensure adequate means of distributing and communicating health and safety, welfare
information obtained from the HSE, Safety organizations and Trade associations regarding
new techniques of accident prevention, new legislation requirements and codes of practice etc.
 Ensure that an adequate programme of training for health and safety is established and that the
safety culture is encouraged amongst employees.
 Set a personal example at all times by using the correct personal protective clothing/equipment
Appointing One or More Competent Person

The employer, for the provision of protective and preventative services, must appoint a person. This
person (or persons in some cases) is in the legislation, referred to as a competent person.
This does not obviate the employer‘s general duty to obtain the services of a competent person where
necessary. It is up to the person with overall responsibility for health and safety (e.g. managing
director) to arrange for the appointment of a person/s who shall act primarily as health and safety
coordinator within the workplace.
The competent person may have any one of a variety of titles e.g. safety officer, safety coordinator,
safety administrator etc. Additionally, when selecting the competent person an employer must first
consider appointing an existing employee, provided they have the necessary or appropriate experience,
knowledge and sufficient training. The role of the competent person may vary from organization to
organization with some having a high level of control and accountability, to others where the safety
officer has a monitoring role and no more.
Functions of a Competent Person
Some of the typical functions are:
 Carrying out regular hazard inspections and reporting the findings to senior management
 Organizing safety audits and advising on safety management systems
 Identifying training needs of employees, identifying appropriate training courses, as well as
additional competence requirements
 Advising management of action which needs to be taken to reduce occupational risks
 Liaising with safety representatives (if appointed) to cooperate whenever necessary
 Keeping records of examinations, tests, inspections, accidents, including illnesses, and
dangerous occurrences, emergency exercises
 Increasing safety awareness within the company by regular staff and management briefings
 Acting as a liaison person with contractors coming onto site, ensuring their safety procedures
are in order and ensuring that they are provided with the same standards of health and safety as
company employees
 Investigating accidents, occupational illnesses and dangerous occurrences
 Building up an information base which will allow the company to keep abreast of health and
safety requirements and to ensure that all appropriate information is passed on to the
employees
 Participating in and ensuring that an effective consultation mechanism is maintained within the
organization for health and safety
 Liaising with state and semi-state authorities on health and safety issues
3.2.4 Good Communication within the organization
Benefits and limitations of different methods of communication (verbal, written and graphic)
Communication is the process of exchanging and transferring information, ideas and knowledge from
one person to another in organization.
Verbal or oral communication is the process of transferring information and exchange ideas from one
person to another through mouth such as speaking and telephone.
Advantages and disadvantages of verbal communication
Advantages of verbal communication
It is simple to detect the problem this means that by using verbal communication it is simple and easy
to know the problem and receive instant feedback if the information communicated was not clearly
understood. It requires minimum or no cost in most cases.
Disadvantages of verbal communication
It is easy to forget this verbal communication. It is easy to forget the words you want to talk to people
or employee. There is no record unless specific arrangements are made for recording.
Written communication this is the process of transferring information through writing document such
as letters, emails, texting faxes, and reports.
Advantages and disadvantages of written communication
Advantages of written communication
It provides proof or evidence which is one among the advantages of written communication because it
is not easy to exchange the information it is already written so by using written information it is better
than using another communication.
It can cover a lot of information. This helps people in an organization to cover a lot of information,
regarding different issues, in a single communication.
Disadvantages of written communication
It takes time. When you are writing or sending information from one person to another person it may
take time to reach to the place you want to reach because of the transport. For example; letters to be
sent to the company.
It is relatively expensive which is one of the disadvantages of written communication. It is expensive

for example by using letters when you want to send to someone information or massage you should
have to buy pen, paper ,envelope and transport, hence costing a lot of money and it may be expensive
to reach at the place you need to reach due to postal or courier charges.
Written information is very important to use because it serves as a record.

On-screen or visual communication it is one among the communication. This is the process of
communicating with people by using visual such as drawing, face to face television and smartphone.
The following are the advantage and disadvantage of on screen customer communication.
Advantages of on-screen or visual communication
People gain the concepts faster. This means that it is easier to understand the concept because it does
not only use words but also it can show reality so it gain the concept faster than another
communication.
It easier to understand and more effective, it is easy to understand each other for example by using
bodily actions, gestures and facial expressions.
Disadvantages of on-screen or visual communication
It will be more expensive and it may not be practically possible to use in all circumstances.
Use and effectiveness of noticeboards and health and safety media
Their purpose is to provide clear, concise, vital information including:
 Hazard identification and control

 Minimum safety requirements or PPE required
 Emergency information
 Traffic management
 I mportant co ntact info r mat io n
 Vis itor and emplo yee inst ruct ion
One of the biggest tasks faced in ensuring good health and safety practice is the communication of
information. It is vital that everyone concerned understands risks and how they should be dealt with.
For this reason, the proper signage in a workplace is essential, as it is one of the main points of
reference and contact for staff. These signs should be found anywhere in which a potential hazard
might be found, and the aim is to clearly indicate the danger so that it may be avoided. Other signs
actually explain the precautions to take in order to avoid the hazard.
There are a great number of different signs in existence – many may only be found once in a specific
location, but they are all important. These signs can convey a variety of meanings, because in many
cases, the simple warning of danger is not adequate. The very best health and safety systems use a
complete set of signs that not only help to prevent dangerous situations, but instruct workers in how to
deal with them. For instance, a hazardous gas sign may be accompanied by an instruction to wear a
gas mask. This is more effective than a lone warning symbol, which would not explain how to avoid
the potential hazard.
This is not to say that signs should be solely relied on; there is no substitute for a properly trained
workforce. Instead, the signs should serve as a reminder, and be of use to those who aren‘t necessarily
familiar with an area or process. For this reason, it is critical that safety signs are easy to understand.
Simple graphics or words work far better than complex instruction in allowing a person to make an
immediate decision. Many are typically recognizable, such as the red circular prohibition sign, but
others might need to be more specific depending on the situation.
There are four main types of safety signage used in the workplace, and generally they use the same
color schemes all over the world. Red is an indication of the potential of immediate danger, which
means action must be taken, or in fact something is prohibited. Yellow or amber is a warning that
precautionary steps should be taken to ensure safety. Blue is a mandatory instruction that often
accompanies danger or warning signs to ensure safety. Green is a safety sign, but does not mean any
kind of danger; instead it is used to indicate an escape route or first aid. A place of work which has an
effective health and safety system is likely to use all of these types of signs.
Having the proper signage in your place of work can significantly reduce accidents, and most
countries have legislation in place that means signs are legally required. Compliance is therefore both
beneficial and essential.
Source: https://safetyrisk.net/the-importance-of-health-and-safety-signs-at-work/
Co-operation and consultation with the workforce and contractors
Most of the countries follow ―duty of care‖, this duty of care sets outs responsibilities of workers for
the health and safety of themselves and others who may be affected by their acts or omissions.
The Management of Health and Safety at work Regulations 1999 (M.H.S.W.R) and latest Health and
Safety at Work Act 1974 and the Health and Safety, Welfare at Work Regulations 2007 places
responsibilities equally on the employer and employees. The Company reminds employees of their
duties under Section 7 of the act to take care for their own health and safety and that of others who
may be affected by their acts or omissions. Employees have following duties including:
Benefits of worker participation
 Comply with relevant laws and protect their own safety and health, as well as the safety and
health of anyone who may be affected by their acts or omissions at work
 Ensure that they are not under the influence of any drugs or alcohol to the extent that they
could be a danger to themselves or others while at work
 Cooperate with their employer with regard to safety, health and welfare at work
 Use in the correct manner any item provided for protection
 Participate in safety and health training offered by their employer
 Report any dangerous situations, practices or defects that might endanger a person‘s safety,
health or welfare
 Not to engage in any improper conduct that could endanger their safety or health or that of
anyone else.
The Role of health and safety committees
Safety committees and worker feedback:
In the health and safety behaviors setting safety committees plays important role in describing the
standards and implementing all the regulations as per the safety laws. Safety committees should be
able to judge the requirements in the workplace and among workers, which helps in realizing the
factors that are affecting in the workplace.
Safety committee's duty is to give solutions to the problems that are facing and documenting them for
further implementing more on the particular area. Safety committees should measure the effectiveness
of the present efforts and previous performances, so as to improve the weak areas and strengthening
them for the purpose of healthy behavior.
The employer should make all the employees to know the safety committee is, so that the workers can
communicate and share their health and safety problems or else workers may find difficult to share
their problems easily. The safety committee should communicate the workers in his personalized area
on health and safety concerns.
The safety committee members should introduce himself first because if new workers who joined
doesn‘t know committee member. Each member should form mutual confidence with the worker who
ever raises the issues regarding health and safety should give response and must follow up him and
should advice and explain him about the reasons of failure and should strive to promote suggesting
new ideas.
Safety committee should clearly understand the management responsibility is for safety is not
diverting with the committee activities and the contribution of new ideas in health and safety.
Worker feedback:
Worker feedback is taken so as to know how they are doing on the job with the coworkers, employer,
health and safety aspects, and resources. At the same time safely committee should take personal
feedback on workplace, issues and concerns among coworkers, preventive measures, PPE‘s, injuries,
diseases, and other work related problems like standing and sitting positions, vibrations, heat and cold,
disorders etc.…..

3.2.5 When training is needed

Training is an important tool that helps in improving the employees standard of knowledge and skills.
It aids him in individual development. There are various factors that help him in bringing capability
and skills in performing his tasks. Mainly his practical skills in the use of any machinery will help him
in being up-to-date and upgrading his skills.
Training is very important for all the workers ad it is like the backbone for the workers in performing
their tasks. The employer should train the all workers (old or new) through training programs from any
guest‘s or other competent person. Training increases their inner motivations and commitment in
performing their tasks.
The Effect of Training on Human Reliability:
Through training the human reliability effects will gradually increase and decreases human behavior
and errors. Human reliability is very important for any organization because of the contribution he
does to his organization.
Opportunities and Need for Training Provision:
Training is very much important for the workers because of the several factors that affect them in
working areas the following are the training provisions that are to be given to the workers….
 Induction and key health factors

 Safety topics
 Job changes
 Process change
 Introduction of new legislation
 Introduction of new technology
Induction and key health factors: training is given in such a way, right from the induction of the work
and the knowledge and its precautions that is to be taken care while performing their tasks efficiently
without any kind of risks and incidents.
The health factors also explain to the workers so as to maintain health and safety atmosphere in the
work premises as well as the safety of their own lives.
Safety topics:
Safety topics are also important factors that are trained to the workers so as build the occupational
health and safety in the organization. As per the occupational health and safety regulation bodies it is
the employer‘s responsibility to give training to the worker on health and safety. Topics may include
First Aid, Basic Fire Fighting, and other specific trainings such as Scaffolding Safety, Rigging Safety
etc.

Job changes:
If any job changes are done, the worker prior to the performing of his duty it is mandatory for the
worker to give training for them right from the scratch of the job description. The employer should
also provide information on the risks associated with the job. An example can be the transfer of an
unskilled labor to a skilled labor category such as Carpenter or mason requires the worker to undergo
suitable training for the job.
Process change:
If the process in which the worker is working changes, then the training is given to the worker about
the process including the new hazards and risks associated with the new process as well as the required
precautions.
Introduction of new legislation and technology:
If any new health and safety legislation is brought into the regulation then based on the its legislation
points that are added is given training so that he can be aware of the legislation in following health and
safety in the organization.
At the same time if any new technology is adopted by the organization then the training should be
given so as to follow the latest trends in development.
3.3 – How human factors influence behavior positively or negatively

Human Factors are organizational, job and people related factors that influence behavior at work. We
focus here on factors that could affect health and safety at work. If we analyze the causes of the Lost
Time Incidents and Recordable Injuries, 67% are human factors which were misleadingly labeled as;
54% human errors, 6% management failures and 7% management systems /procedures. If we are
going to continue to improve our safety performance, we need to tackle the causes of these incidents
by focusing on the underlying human factors and safe behaviors.
Managing human failures is essential to prevent major accidents, occupational accidents and ill health,
all of which can cost businesses money, reputation and potentially their continued existence. The
influence of biological, psychological and organizational factors on an individual at work can affect
their health and safety, but it also affects their efficiency and productivity.

Source: http://compasshealthandsafety.com/wp-content/uploads/2015/11/performance-outcome.png
Human Factors can be grouped in the following three aspects which interlink with each other
Organization
3.3.1 Organizational Factors
People‘s behavior in the workplace is affected by the collective characteristics of the business or
organization in which they work. Employees respond to the messages and cues they receive from
senior management, though not always in the way intended. This reflects the culture of the
organization. To manage health and safety effectively it is important to consider how all the
organizational factors listed below influence and affect human behavior.
The culture of an organization contributes greatly to its health and safety performance. Evidence
indicates that successful organizations have developed positive cultures that promote good health and
safety practices. A positive health and safety culture embodies a combination of factors.
• Visible leadership and commitment from all levels in the organization.
• Visible evidence that investment is made in health and safety including providing adequate
resources, training, etc.
• Good knowledge and understanding of health and safety throughout the organization.
• Clear definition of the culture that is desired and what is required of everyone to achieve it.
• Acceptance across all levels that it is a long term strategy that requires sustained effort
And interest.
• Managing competing priorities with health and safety (e.g. production, quality, etc.).
• Good communication, up, down and across the organization.
• Existence of a good learning culture — the capability and willingness to learn from
Experience within and without the organization.
• Setting realistic and achievable targets and measuring performance against them.
• Proactive approach allowing opportunities for meaningful involvement of the workforce

in all the elements of health and safety.
• Ownership of health and safety across all levels in the organization.
3.3.2 Job factors
The way jobs are designed has a direct effect on the health & safety of workers. People will usually try
to adapt to poor job, equipment or environment design, but this can impact their health & safety and
the overall safety of the work system (e.g. in safety critical or major hazard industries).
Job factors directly influence individual performance and the control of risks. Tasks should be
designed according to ergonomic principles to take account of the limitations of human performance.
Mis-matches between job requirements and individual‘s capabilities increase the potential for human
error. Matching the job to the individual ensures that people are not overloaded; this contributes to
consistent performance. Physical matching includes how the whole workplace and the working
environment are designed. Mental matching involves taking into account the individual‘s information
and decision-making requirements as well as his or her perception of the task. Mis-matches between
job requirements and an individual‘s mental capabilities increase the potential for human error.
The way jobs are designed to interface with equipment and the workplace environment has a direct
effect on the health and safety of workers. The timing of shifts, the length and frequency of breaks, the
task workload, the physical and mental demands due to the design of the task, equipment and
environment are all important Human Factors to consider and can affect both the individual and the
integrity of the whole work system. Consideration should be given to the following factors in
designing jobs
• Manual handling, repetitive actions and ergonomics

• Work-related stress
• Fatigue from working patterns - shift work and overtime
• Alarm handling
• Interfaces with plant and equipment
• Design and effectiveness of procedures
• Routine and non-routine work

3.3.3 Individual factors
This aspect is concerned with how personal factors, such as attitude, motivation, training, human error
and the perceptual, physical and mental capabilities of people, can interact with health and safety
issues. Attitudes are directly connected with an individual‘s self-image, the influence of groups and
the need to comply with group norms or standards and, to some extent, opinions, including
superstitions, like ‗All accidents are Acts of God‘.
Changing attitudes is difficult. Attitudes may be formed as a result of past experience, by the level of
intelligence of the individual, specific motivation, financial gain and the skills available with an
individual. Important factors in motivating people to work safely include joint consultation and
planning the work in the organization. The use of working parties or committees to define the
objectives, the attitudes currently held the system for communication within the organization and the
quality of leadership at all the levels.
From birth, individuals are continuously developing and changing their own particular set of
behavioral characteristics with respect to, for example, attitudes held, personality, intelligence,
motivation and the way they think. This development is part of the evolutionary process resulting in
people acquiring particular behavior patterns and different tendencies for behavior. Some of these
behavior patterns are inherited, whereas others will be developed as a result of a range of experiences,
particularly in early life.
The major factors that influence individual differences in behavioral patterns are demographic factors,
abilities and skills, perception, attitudes and personality.
Abilities and Skills: The physical capacity of an individual to do something can be termed as ability.
Skill can be defined as the ability to act in a way that allows a person to perform well. The individual
behavior and performance is highly influenced by ability and skills. A person can perform well in the
organization if his abilities and skills are matched with the job requirement. The managers plays vital
role in matching the abilities and skills of the employees with the particular job requirement.
Perception: The cognitive process meant for interpreting the environmental stimuli in a meaningful
way is referred to as perception. Every individual on the basis of his/her reference can organize and
interpret environmental stimuli. There are many factors that influence the perception of an individual.
The study of perception plays important role for the managers. It is important for mangers to create the
favorable work environment so that employees perceive them in most favorable way. The employees
are likely to perform better if they are going to perceive it in a positive way

Fig: Showing the images of perception

Process of Perception
Attitude:
According to psychologists, attitude can be defined as a tendency to respond favorably or unfavorably

to certain objects, persons or situations. The factors such as family, society, culture, peers and
organizational factors influence the formation of attitude. The managers in an organization need to
study the variables related to job so as to create the work environment in a favorable way that
employees are tempted to form a positive attitude towards their respective jobs. The employees can
perform better in the organization if they form a positive attitude.
Motivation:
A motivator is something which provides the drive to produce certain behavior or to mold behavior.
For example, physical punishment was seen, for many years, to be an important motivator in terms of
molding the attitudes of school children in their formative years and as a means of deterring criminals
from future criminal behavior. For many people, money is an important motivator. Everyone is
motivated by the need, for example, to be safe, be warm, have sufficient food, and belong to a group,
such as a family or work group, to achieve things and to have an ordered life. Needs continually arise
and in some cases these needs are satisfied.
Human error
Is human error a significant feature of accidents? How frequently we have seen the cause of an
accident written down to ‗carelessness‘ on the part of the individual. The fact is that, whilst people
may occasionally be genuinely careless, in most cases the cause is more likely to be human error.
Limitations in human capacity

To perceive;
To attend to;
Human Factors and Behavioral Safety
To remember;
To process; and
To act on information;
Are all relevant in the context of human error.
Typical human errors are associated with
• Lapses of attention;
• Mistaken actions;
• Misperceptions;
• Mistaken priorities; and
• In a limited number of cases, willfulness.
Classification of the kinds of human error:
There are several kinds of human error. They include

•Unintentional error: This may arise when an individual may fail to perform a task correctly, for
example, operating a control or reading a gauge. These are typical ‗slips‘ or ‗lapses‘, frequently
associated with ‗carelessness‘ or ‗lack of attention‘ to the task.
•Mistakes: In this situation, the individual shows awareness of a problem but forms a faulty plan for
solving it. He will thus carry out, intentionally but erroneously, action(s) which are wrong, and which
may entail hazardous consequences. Typical examples are in the operation and maintenance of plant
and machinery and in assembly work. Failure to correct individual mistakes through training and
supervision can lead to disaster situations.
• Skill-based errors: These arise during the execution of a well-learned, fairly routine task. They are
amenable to prediction either from laboratory experiment, or from experience in other skilled tasks,
even when those tasks are performed in different industries. For instance, the probability of a skilled
typist striking the wrong key depends upon the nature and complexity of the material being keyed but,
on average, the error rate turns out to be much the same in an office of any kind, as in laboratory
experiments. Skill-based errors commonly occur amongst the more highly skilled members of the
organization. Such people, because of their acquired skills and experience in the work process,
frequently take the view that the safety precautions imposed are purely for the benefit of the under
skilled and under experienced operator. This is the classic sign of familiarity breeding contempt. Such
an attitude to work is accompanied by overconfidence in the task which can lead to, particularly,
machinery-related accidents.
• Rule-based errors: These are the types of error which occur when a set of operating instructions or
similar set of rules is used to guide the sequence of actions. They are more dependent on time, on
individual cast of mind and on the temporary physical, mental or emotional state of the person
concerned. They are, therefore, harder to predict from past statistics or experiment.
• Knowledge-based errors: Also called ‗errors of general intention‘, these are the errors which arise
when a choice decision has to be made between alternative plans of action. Such errors arise from the
detailed knowledge of the system possessed by the person and the resulting ‗mental model‘ may be
incorrect. Such errors, which are extremely difficult to predict, can only be forecast by an analyst who
possesses the insight to predict this form of model.
•Violations: In this case, a person deliberately carries out an action that is contrary to some rule which
is organizationally required, such as an approved operating procedure. Deliberate sabotage is an
extreme example of a violation. Violations involve some complex issues concerning conformity,
communications, morale and discipline. In piecework systems, the removal of machinery guards or the
defeating of safety mechanisms in order to increase output and, therefore, remuneration, is a common
violation. Violations can also be categorized into:
Routine Violations,
Situational Violations and
Exceptional Violations

3.3.4 Link between individual, job and organizational factors
The workplace is an environment in which most adults spend a substantial fraction of their time. It has
the potential to have both positive and negative influences on their health and well-being – sometimes
with lasting effects
Workplace factors affecting health

Temperature and humidity:
Adequate (indoor) heating is important to provide thermal comfort in cold weather (normally to at
least 16 °C if work is mainly sedentary, and to at least 13°C where physical effort required). Particular
cold stresses may occur in certain occupations, e.g. food preparation, open air working;
Protection is also needed against heat stress from high ambient temperatures, high thermal radiation
and/or high levels of humidity.
Ventilation:
Adequate air movement and rate of air exchange is important to maintain air quality.
Ergonomics / physical arrangement of work area & equipment:
These are factors that allow people to work comfortably and in safety. For example, for office
workers, the height and orientation of computer screens, chairs which provide postural support.
Space, lighting and cleanliness of the work area.
Safety factors
Maintenance/good repair:
Especially important for safety equipment and equipment which could create a risk if faulty
Routes for safe movement of people and vehicular traffic, including provision of unobstructed
emergency exits
Physical aspects:
Doors, gates, windows should be suitably constructed and fitted with safety devices if necessary (e.g.
to prevent risk of fall if above ground level, shatterproof glazing in doors etc). Use of such measures
as fencing, rails and covering of pits/tanks to prevent risk of falls from height.
Welfare
Facilities for the welfare of workers and visitors include:
Lavatories and washing facilities;

Provision of drinking water;
Facilities for rest and to eat meals.
Specific hazards
Many work environments contain sources of hazardous substances (chemicals, dust, fumes, biological
agents), which may cause exposure by inhalation, dermal absorption, splashing into eyes, or ingestion.
These are covered by specific legislation (see COSHH below).
One of the most common forms of workplace injury arises from slips and trips. Care to remove
tripping hazards is especially important where there is public access. Falls from height, especially off
ladders, is one of the major contributors to workplace deaths and serious injuries.
Musculoskeletal disorders relating to workplace activities are common, and include injuries from
manual handling (heavy lifting etc. – a major cause of days off work) and repetitive strain injuries
(RSI). Display screen equipment (e.g. computer) can give rise to musculoskeletal disorders, including
RSI, and eye strain.
Asbestos is the largest single cause of work related fatal disease and ill health in Great Britain, though
it is now mostly the result of past exposures.
Powered hand tools etc. can cause ‗vibration syndromes‘ and vibration from a machine or passing
through the seat of a vehicle can cause or aggravate whole back pain. Noise can damage hearing, but
it can also be a serious nuisance affecting concentration and physiological parameters.
Most electricity deaths are caused by contact with overhead or underground power cables. Non-fatal
shocks can cause severe and permanent injury.
Pressure systems – systems containing a fluid under pressure (e.g. pressure cookers, boilers, steam
heating systems) – account for about 150 incidents / year in England, mainly due to equipment failure
through poor design, incorrect operation or poor maintenance.
Radiation risks are usually strictly controlled. Ionising radiation risks may arise from exposure to x-
rays or radionuclides e.g. medical imaging, as well as from radon gas from the ground. This also
includes damage and cancer risk from UV radiation (e.g. from sun).
Stress
Stress is an over-used and imprecisely defined term. However, it is clear what most people mean by it,
and there is a large body of research that shows a link between markers of stress and subsequent ill
health.
3.4 Assessing risk

Legal requirements:
The main principles of legal requirements are to implement health and safety practices and conducting
risk assessments. The International Labour Organization (ILO) has made many of health and safety
conventions and ordered all the organizations to maintain and establish all the legal requirements that
are required in the organizations with complete guidance.
Many numbers of globalized countries have established their own legal requirements as per the
legislation of their country and have established them in their organizations. Some countries establish
their own legal requirements and established them as their health and safety legislation.

Make sure that risks are controlled safely and effectively:
1. Keep accurate and legible records of workplace risks identified or reported to you.
2. Report the existence of hazards in accordance with workplace health and safety instructions.
3. Confirm that appropriate precautions to control these risks have been agreed with the people
responsible for health and safety.
4. Confirm that the precautions are in accordance with legal and workplace health and safety
instructions.
5. Check that other people are aware of the risks and know the actions to be taken to minimize
them
6. Review the operational controls to make sure that workplace hazards are eliminated or
controlled
7. Report promptly and accurately any conflicts which still exist between workplace and legal
requirements to the people responsible for health and safety
8. The employer has the responsibilities of implementing the necessary legal requirements that
are framed by its legislation of the regulating bodies. Each employer has to conduct risk
assessment regularly as per the guidelines of occupational health and safety management
system.
3.4.1 Meaning of Hazard, Risk and Risk Assessment
Hazard:
A hazard is something (e.g. an object, a property of a substance, a phenomenon or an activity) that can
cause adverse effects.
Or
Something with the potential to cause harm with various articles, substances, plant or machinery,
different style of working methods, working environment , culture, and other aspects of working
organization.
Or
A source of danger which if not adequately controlled or if suitable precautions are not taken could
create an unsafe condition.
Examples of Hazards:
• Water on a staircase is a hazard, because you could slip on it, fall and hurt yourself.
• Loud noise is a hazard because it can cause hearing loss.
• Breathing in asbestos fibers is a hazard because it can cause cancer.
• An object that could fall from a height (potential or gravitational energy),
• A run-away chemical reaction (chemical energy),
• The release of compressed gas or steam (pressure; high temperature),
• Entanglement of hair or clothing in rotating equipment (kinetic energy), or
• Contact with electrodes of a battery or capacitor (electrical energy).

Risk:
The measure of the likelihood of occurrence of an undesirable event and of the potentially adverse
consequences which this event may have upon people, the environment or economic resources.
Or
Risk is the chance or probability that a person will be harmed or experience an adverse health effect if
exposed to a hazard. It may also apply to situations with property or equipment loss.
Or
A risk is the likelihood that a hazard will actually cause its adverse effects, together with a measure of
the effect. It is a two-part concept and you have to have both parts to make sense of it. Likelihoods can
be expressed as probabilities (e.g. ―one in a thousand‖), frequencies (e.g. ―1000 cases per year‖) or in
a qualitative way (e.g. ―negligible‖, ―significant‖, etc.). The effect can be described in many different
ways.
For example:
The lifetime risk of an employee developing asthma [effect] from exposure to substance X [hazard] is
significant [likelihood].
Risk Assessment:
A careful consideration by competent people of the hazards associated with a task. The potential effect
of each hazard, how severe it might be and the likelihood of it occurring should be considered to
determine the effort required to make the work site as safe as reasonably practicable.
Or
Risk assessment is the process where you:
• Identify hazards,
• Analyze or evaluate the risk associated with that hazard, and
• Determine appropriate ways to eliminate or control the hazard.
Or
Identifying preventive and protective measures by evaluating the risks arising from a hazard, taking
into account the adequacy of any existing controls and deciding whether or not risk is acceptable.
3.4.2 Risk profiling: What is involved? Who should be involved? The risk profiling process
Objectives of risk assessment and prevention of workplace accidents
Employers in each workplace have a general duty to ensure the safety and health of workers in every
aspect related to their work. The purpose of carrying out a risk assessment is to enable the employer to
take the measures necessary for the safety and health protection of workers.

These measures include:
• Prevention of occupational risks;
• Providing information to workers;
• Providing training to workers;
• Providing the organization and means to implement the necessary measures.
Whilst the purpose of risk assessment includes the prevention of occupational risks, and this should
always be goal, it will not always be achievable in practice. Where elimination of risks is not possible,
the risks should be reduced and the residual risk controlled. At a later stage, as part of a review
programme, such residual risk will be reassessed and the possibility of elimination of the risk, perhaps
in the light of new knowledge, can be reconsidered.
Risk assessments are very important as they form an integral part of a good occupational health and
safety management plan. They help to:
• Create awareness of hazards and risks.

• Identify who may be at risk (employees, cleaners, visitors, contractors, the public, etc.)
• Determine if existing control measures are adequate or if more should be done.
• Prevent injuries or illnesses when done at the design or planning stage.
• Prioritize hazards and control measures.
3.4.3 Purpose of Risk Assessment and the ‘suitable and sufficient’ standard it needs to reach:
The risk assessment should be structured and applied so as to help employers to:
1. Identify all the significant hazards created at work and evaluate the risks associated with these
hazards, to determine what measures they should take to protect the health and safety of their
employees and other workers, having due regard to legislative requirements.
2. Evaluate the risks in order to make the best informed selection of work equipment, chemical
substances.
3. Check whether the measures in place are adequate.
4. Prioritize action if further measures are found to be necessary as a result of the assessment.
5. Demonstrate to themselves, the competent authorities, workers and their representatives that all
factors pertaining to the work have been considered, and that an informed valid judgment has
been made about the risks and the measures necessary to safeguard health and safety.
6. Ensure that the preventive measures and the working and production methods, which are
considered to be necessary and implemented following a risk assessment, provide an
improvement in the level of worker protection.

A risk assessor is a certified individual who conducts on-site investigations to determine the existence,
nature, severity and location of hazards in at workplace and the provision of a written report
explaining the results of the investigation and options for reducing the hazards.
Composition of Risk Assessment Team
It is the employer‘s duty to carry out the risk assessment while involving managers and employees as
much as possible. Where the in-house expertise is not available, employ the services of an external
competent person to help. Check that they are familiar with and have the ability to assess specific
work activities. Involve as many employees as possible in order to encourage them to share ownership
of the finished assessments.
The risk assessment team should include management, supervisors and employees who could be
exposed to the hazard. This could mean the members of the team may change several times across the
workplace, dependent on the area and the activity being assessed. The team should also include safety
and health personnel, safety and health representatives and, if necessary, persons with specialist
expertise.
The team should have access to all relevant information, including:
• Legislative requirements;
• Department of Minerals and Energy safety and health information, e.g. Significant
Incident Reports, Safety Bulletins, Codes of Practice, Guidelines etc.
• National and industry safety and health standards;
• The Company‘s risk criteria;
• Safe working procedures;
• Material Safety Data Sheets;
• Floor plans, mine plans (old and new);
• Accident and incident data, including accident investigation reports;
• Inspection reports; and
• Audit reports.
To assess the risks, the team must have an understanding of the context in which a hazard can be
controlled. The objective is to eliminate the risk. However it is not always possible to do so. Risk
criteria are agreed at the commencement of the process. Risk criteria set the ―acceptable‖ level of risk
against which each risk is to be assessed. The criteria allow the team to determine what action needs
to be taken to control the risk. Before identifying the hazards and assessing the risk, the team needs to
agree on what is an ―acceptable level of risk‖ for that workplace, and this becomes the ―risk criteria‖
against which risks are assessed.
In determining its risk criteria the team will consider such factors as operational, technical and/or legal
requirements, local community sensitivities and public perception. For example, sometimes a risk may
be analyzed as being low but because of public perception, legal requirements or other factors, it is
increased as having high priority for that workplace.

Analysis will allow the team to assess the risk against the agreed risk criteria that is against the
acceptable level of risk. The team will need to make some judgment on the potential likelihood and
consequences of the exposure to each hazard, such as, fatal injury, serious injury, and have an
understanding of the means and cost of controlling the associated risk.
A Risk Assessment team may include:
• Team leader
• First line manager
• Supervisor
• Technical analyst
• Employer representative
• Employee representative
• Worker representative and
• Other supporting staff
The risk assessment team should have knowledge on various disciplines and should possess the
experience in fact finding and should be focused on how to reduce the risk and risk arising factors. The
risk assessment team should vary based on the risk assessment process and the expertise required for
the unsolved risks.
The risk assessment team should possess the knowledge of identification of risks and solving of
specific related problems. As the risk assessment is done in the form of the team, so the team leader
holds a high place and success depends on the skills of team leaders.
The team leader holds full responsibilities in carrying out work and should ensure that all the tasks of
planning, implementing and documenting of the risk assessment are to be carried out carefully and the
results are reported to the concerned person of occupational health and safety management.
The following procedure should be followed by the risk assessment team during the inspection
• Inspection schedule
• Inspection procedure
• Inspection frequency
• High and low risk areas
• Inspection team
• Preparation for the assessment
• Carrying Risk identification sheets
• Proposing correct action
• Reports
• Reviews
• Documenting
• Record keeping

Competence:
A competent person is someone who has knowledge of the:
• Work involved through personal experience

• Principles of risk assessments and preventing risks
• Specific subject under assessment, through training.
The competent person should be able to apply all of his skills and knowledge and experience in
assessing the hazard and should have the capability of organizing and planning in implementing as
well.
The competent assessor should have relevant experience in assessing based on the type of hazard and
its factors like low risk or high risk and type of hazard and spread of hazard. The competent person
should approach and communicate with the relevant employers or employees and should be taking
detailed note from them.
To assess risks, risk assessors need knowledge of the activities and working practices being
undertaken. Again, the knowledge of employees and Safety Representatives can prove valuable. Risk
assessments should be carried out by competent people who are suitably trained. Professional safety
and health advice may be needed in some cases, especially when choosing appropriate quantified risk
assessment (QRA) techniques and interpreting results.
Criteria for suitable and sufficient risk assessment
An employer must undertake a suitable and sufficient risk assessment for the purpose of identifying
the measures he needs to take to comply with the requirements and prohibitions imposed under the
‗relevant statutory provisions‘. These relevant statutory provisions may include requirements under
regulations such as the Workplace (Health, Safety and Welfare) Regulations 1992 and the Personal
Protective Equipment at Work Regulations 1992 (Regulation 3). The risk assessment must take into
account the principles of prevention to be applied as detailed in Schedule 1 to the regulations
(Regulation 4).
A ‘suitable and sufficient’ risk assessment should:
• Identify the significant risks arising out of the work;
• Enable the employer to identify and prioritize the measures that need to be taken to comply with the
Relevant statutory provisions; and
• Be appropriate to the nature of the work and such that it remains in force for a reasonable period of time.
Apart from this, these two statements may vary based on the type and size of the organization and the
level of the hazard. Sometimes risk assessment will be highly sophisticated and at some places it just
requires specialist to measure the exposure of the hazard impact.
Refer: https://www.hse.gov.uk/pubns/books/HSG65.htm

3.4.4 A general approach to risk assessment:
Risk assessment should be performed in a linear way of fashion by assuring and suitable way of
assessing with sufficient resources step by step.
Five step risk assessment process
There is a general requirement to carry out a written risk assessment under section 19 of the 2005 Act,
and many of the relevant statutory provisions (e.g. the General Application Regulations or the
Chemical Agents Regulations). Risk assessment is essentially concerned with estimating the severity
and likelihood of harm arising from identified hazards. Where there is more than one employee or
other persons exposed, there is increased risk. Assessing risks to help determine workplace precautions
can be qualitative or quantitative. In the simplest cases, organizations can refer to specific legal limits,
e.g. edge protection is required on all working platforms where people are liable to fall from a height.
In order to comply with the law, any improvements considered necessary in the risk assessments must
be implemented as soon as possible. The risk assessments must be repeated as required, e.g. on the
introduction of new technology, new work procedures, or processes. In addition, they may need to be
reviewed after organization mergers, takeovers, or after downsizing.
The risk assessments shall
• Ensure that all significant risks or hazards are addressed;

• Address what actually happens in the workplace or during work activity;
• Ensure that all groups of employees and others who might be affected are considered;
• Identify groups of workers who might particularly be at risk;
• Take account of existing preventative or precautionary measures;
• Be carried out on a regular basis and the significant findings recorded.
The record of the significant findings shall include:
• The significant hazards identified in the assessment;

• The existing control measures in place and the extent to which they control the risks;
• The population which may be affected by these significant risks or hazards, including
any groups who are particularly at risk.
3.4.4.1 Identify hazards
Sources and Form of Harm:
The hazard identification process is designed to identify all the possible situations where people may
possibly be exposed to injury, illness and disease arising from all sources including the above.
Prior to the introduction of any plant, substances, processes or work practices in the workplace, it is
essential for the hazard identification process to be carried out to identify whether there is any
potential for injury, illness or disease associated with such introduction. The relevant health and safety
representatives need to be consulted during the hazard identification process.

Hazard identification is the process used to identify all the possible situations in the workplace where
people may be exposed to injury, illness or disease.
3.4.4.2 Identify people at risk:
• Improperly trained or poorly supervised
• Not paying attention to surroundings
• Not wearing the assigned or appropriate safety equipment
• Not following safe work practices
People undertaking hazard identification should have the necessary training to look for:
Mechanical hazards including:
• "Drawing In" Points

• Shearing Points
• Impact and Crushing Areas
• Cutting Areas
• Entanglement Areas
• Stabbing Points
• Abrasion Areas
• Flying Particles
• Any Protrusions Which Could Cause Injury
Equipment
• Poorly maintained or uninspected equipment

• Unguarded equipment
• Using or wearing improper or worn out equipment for the task

Materials
• Working with materials that are flammable or require special storage and handling
• Working with chemicals that are volatile or dangerous when inhaled or in contact with skin
Environment
• A wet floor
• Insufficient lighting
• Loud or constant sounds
• Inclement weather
Hazards in a workplace can arise from a number of sources including:
1. Poor workplace design;

2. Hazardous tasks being performed in the workplace;
3. Poorly designed plant being introduced into the workplace;
4. Incorrect installation, commissioning, use, inspection, maintenance, service, repair or
Alteration of plant in the workplace; and People being exposed to hazardous substances,
Processes or environment;
5. Employees working in the area have day to day experience of hazards and should be involved
in the hazard identification process. Advice should also be sought from people who are
associated with the activities and processes in the area because they may provide valuable
input.
The more relevant and more considered people of categories are listed below. They are
• Workers
• Operators
• Maintenance staff
• Cleaners
• Contractors
• Visitors
• General public
Workers:
Workers who are exposed to a complex variety of health and safety hazards everyday including:
• Biological hazards, such as TB, Hepatitis, HIV/AIDS, SARS;

• Chemical hazards, such as, glutaraldehyde, ethylene oxide;
• Physical hazards, such as noise, radiation, slip trips and falls;
• Ergonomic hazards, such as heavy lifting;
• Psychosocial hazards, such as shift work, violence and stress;
• Fire and explosion hazards, such as using oxygen, alcohol sanitizing gels; and
• Electrical hazards, such as frayed electrical cords;
Some workers have particular requirements, e.g. new and young workers, migrant workers, new or
expectant mothers and people with disabilities may be at particular risk. Extra thought will be needed
for some hazards.

Operators:
Operators are the group of people who are engaged in the machinery of production and they hold the
position there and control the entire machinery and the production. They may face a lot of issues like
strain, falls, trips and falls.
Falls from heights, esp. when carrying out inspection work or working from suspended platforms
Slips, trips and falls (esp. while carrying heavy or bulky loads, or on wet ground) Falls of loads on
head, feet or other parts of body
Entanglement of clothing, hair, beards, hands or feet in moving parts of machinery, belts, ropes,
chains, etc.
• Entrapment or crushing between moving or rotating structures

• Cuts and injuries caused by sharp instruments and tools during maintenance work
• Electric shock or electrocution, caused by defective installations and equipment, or by contact
Maintenance Staff:
Maintenance on plant and equipment is carried out to prevent problems arising, to put faults right, and
to ensure equipment is working effectively. In maintenance activities, contrary to normal operation,
direct contact between the worker and machine cannot be reduced substantially - maintenance is an
activity where workers need to be in close contact with processes. Maintenance often involves unusual
work, non-routine tasks and it is often performed in exceptional conditions, such as working in
confined spaces.
Maintenance operations typically include both disassembly and reassembly, often involving
complicated machinery. This can be associated with a greater risk of human error, increasing the
accident risk.
Working under time-pressure is also typical for maintenance operations, especially when shutdowns or
high-priority repairs are involved. Because maintenance is carried out in all sectors and workplaces
and involves a wide range of tasks, it is associated with a great variety of hazards.
Cleaners:
Cleaners are the group of people whose work is to clean. Cleaners have the higher risk from the
materials or the chemicals that they use regularly for the cleaning.
The types of risks to which cleaning workers are exposed are hence not only specific to the type of
cleaning tasks they perform, but also specific to the sector and premises they work in.
• Cleaning workers use many different cleaning agents to facilitate dust and dirt removal, for
disinfection and surface maintenance, which are a source of chemical hazards. The exposure depends
on the type of products.
• Cleaning stirs up dust, mixing it with the breathing air, sometimes at considerable levels that are
liable to cause health problems for cleaners and the building‘s users.

• In addition to chemical hazards, cleaning staff can be also exposed to different types of biological
agents such as micro-organisms - bacteria, viruses and moulds – and their by-products such as fungal
secretion products and bacterial endotoxins, present more particularly in dust and aerosols released
during the cleaning process or vacuuming.
• Cleaners work often bent forward and with twisted backs. They daily perform high numbers of
repetitive movements. These types of muscular activities contribute to muscle fatigue and may lead to
musculoskeletal disorders.
Contractors:
Contractors are also groups of people who work in the organization temporally. Contractors are highly
involved in the risks because of their unusual nature of work and being not familiar with the workplace
and lack of co-ordination with the other workers.
Visitors and Public:
Visitors include people of all ages and physical abilities. They may be in wheelchairs, in strollers or
wagons. There may be senior groups or groups of pre-schoolers. Visitors and the general public come
under one group where they have various reasons of issues because they are unaware of the hazards
and lack of awareness and inability to protect themselves during hazards.
3.4.4.3 Evaluate Risk
Likelihood of Harm and Probable Severity:
In the risk assessment process after identifying of the hazard it becomes necessary to evaluate the risk
and consideration should be done about the hazard and how likely it is causing harm. The risk
assessment team should realistically judge the hazard outcome and how likely hazards are occurring
even after all the precautions are taken; some kind of hazards requires more complex techniques to
judge depending upon the complexity of the hazardous situation.
For this kind of complex and significant hazard you have to decide the risk of the hazard is high,
medium or low. To this risk assessment team considered and follows two factors that are likelihood
and the severity.
Likelihood:
The likelihood of the hazard is considered by the risk assessment team when conducting the risk
assessment and the circumstances of the likelihood of hazards and its probability is measured is
released and how greatly it influence the likelihood of the person is assessed. the person is who is
encountering the hazard is one factor affecting likelihood and some others encounters due to lack of
knowledge, incomplete training and visual effecting factors etc.… are also counted as the sources of
the hazards likelihood.

There are other various factors that are considered as the likelihood of the hazards they are
• Attitudes of the workers

• Behavior of the workers
• Competence of the workers
• Environmental conditions
• Work pressures
• Quality of supervision
• Frequency of the exposure
The likelihood of the hazard is described in the form of scale that describes the its significance of the
hazard
Very unlikely rarely = 1
Possible =2
Likely =3
Very likely =4
Certain, imminent = 5
Likelihood categories:
The likelihood score (between 1 – 5) can be obtained from the table 3 for each hazard and then noted
down in the boxes provided.
Severity:
Severity is nothing but the consequences of the probable outcome of the hazard this requires a
complete assessment of the hazard where the outcome will include like death, major injury, huge
damage, minor injury, damage to plant and the environment. All these are the most probable out
comes they are not possible outcomes of the hazard.
Severity is important to check and take into account of the circumstances and its encountered factors
and its nature. Severity may change from person to person and in between the child and adult person
also.
Severity can also be estimated as like of likelihood and the same and similar procedure is followed and
estimated in the form of scale. The following is the scale
Minor injury without first aid = 1

Minor injury with first aid= 2
Injury with doctors attendance= 3
Major disability injury= 4
Fatal = 5
Severity categories:
Catastrophic 5
Major 4
Moderate 3
Minor 2
Insignificant 1
CONSEQUENCE LIKELIHOOD
Rare (1) Unlikely (2) Possible (3) Likely (4) Almost certain (5)
Catastrophic (5) 5 10 15 20 25
Major (4) 4 8 12 16 20
Moderate (3) 3 6 9 12 15
Minor (2) 2 4 6 8 10
Negligible (1) 1 2 3 4 5
Distinction between different types of incidents:
There are different types of incidents that are commonly discussed in the occupational health and
safety of the organizations. They are as follows…
• Ill-health
• Injury accident
• Dangerous occurrence
• Near miss
• Damage only
Ill health:
Occupational ill-health is the general term for a variety of health problems and diseases that have been
caused by or made worse by a person‘s work.
Or
Ill health is where a person suffers illness, or an existing condition is made significantly worse,
directly as a result of a work related activity. Often ill health is multi-causal and in such cases it should
only be considered work-related where the contribution of the work activity to its causation is deemed
to be 50% or more.
Mostly ill health is caused by the workplace activities that are triggered in the organizations and are
commonly developed over a long period time or in short time. This kind of ill health affects people by
both physically and emotionally.
Possible acute and chronic health effects:
• Mental disorder
• Airborne diseases
• Foodborne diseases
• Waterborne diseases
• Lifestyle diseases
• Contagious diseases
• Environmental diseases
• Infectious diseases
• Other organic diseases and
• Rare diseases
Some of the common names that are heard in the organizations are
• Tuberculosis
• Asthma
• AIDS
• Malaria
• Diarrhea
• Respiratory problems
• Depressions
• Cancer
• Heart attack
• Stroke
Injury accident:
Injury accident is an injury that commonly occurs or cause during the accidents to the workers. Most
of the time injuries occur based on fatal occupational injury and nonfatal occupational injury.
Most of the injuries are caused by the accident, some of them are caused by the other causes like
falling, slipping, inappropriate lifting of heavy items, standing and sitting procedures and misusing of
machinery.
Some of the injuries are
• Sprains
• Joint pains
• Ligaments
• Cuts
• Burns
• Bruises
• Fractures
• Sight loss
• Skin problems
Dangerous Occurrence:
A dangerous occurrence is an unplanned and undesired occurrence which has the potential to cause
injury and which may or may not cause damage to property, equipment or the environment.
Sometimes it is hard to distinguish between a dangerous occurrence and an injury accident until
further information comes available. Accidents and dangerous occurrences may result from a sequence
of events and circumstances involving a combination of unsafe acts, unsafe conditions, system
failures, human factors and/or omissions.

The following are the examples of the examples of the dangerous occurrence.
• Explosion
• Failure of boiler
• Failure of pressure vessel
• Failure of load bearing part
• Failure of freight containers
• Failure of lifting equipment‘s
• Contact with the high voltage electrical wires
• Radiations
• Collapse of scaffolding
• Failure of chemical pipeline
• Fire
Near miss:
An unplanned Hazard/ Incident that occurred at the workplace, did not result in injury, illness, damage
and/or loss, but had the potential to.
A near miss is an accident or incident or other any kind of emergency which may result in injury or
not but it has the potential of causing injury. Near miss is unplanned one and serious risk and injury
causing event.
Damage only:
The damage has only been the term that is used to describe the damages that have occurred to the
property, equipment, materials and the production. All these losses are occurred by the accidents or the
near misses in the organizations.
However many organizations have insurance liabilities for the property and the machinery and the lost
production. Even though the insurance is not covered for much other machinery or other items that has
a higher failure rate.
Utility and limitations of accident ratios in accident prevention (bird‘s triangle):
The study of incident ratios that are described by the Frank in the Frank‘s bird triangle illustrates that
the organizations, construction sites, various departments where there is a chance of happening
incidents regularly have the most serious injuries or losses.
The Frank bird triangle illustrates all the incidents, accidents, injuries, damages, near miss and close
calls. It is nothing but the incident recall and incident recall helps the employer and managers to learn
from the accidents and to convey all the managers and workers the importance of reporting the
incidents that doesn‘t cause harm to the worker or the organization.
This triangle helps in developing and improving the working environment, acts and conditions. Most
of the organizations understand the incidents of the past and makes the working area as a safe working
area, as they are more likely to occur and represent the opportunity to establish their causes once
again.

So frank advised after thorough research in the occupational health and safety that whichever
organization follows to address the causes of minor incidents that organization automatically reduces
the serious losses as well.
The incident ratio triangle has many wide applications, it helps the organization as well as managers
and workers don‘t misunderstand the bird‘s triangle incident ratio. The main principle behind the
bird‘s triangle incident ratio is it helps a lot in learning opportunities and not to waste the statistics of
the injured and non-injured based incidents, near miss, damages etc.…
Risk rating
In risk assessment it is important to find out the scale of the risk and should evaluate and rate as per
the significant findings.
Risk rating evaluates the two basic components and is calculated they are likelihood and the severity,
by calculating we can Level and factor of the risk. So in order to find the risk rating a method should
be followed and this can be approached commonly at the time of risk assessment.
Risk rating is calculated by multiplying the two major harm factors that arise in the workplace after the
accident they are likelihood and the severity. They are used in calculations because of the numeric
value there in terms of levels. Risk rating is the combination of both like values of the likelihood and
the severity.
Risk rating = likelihood x severity
Where
Likelihood refers to likeliness of occurring cause
Severity refers to the degree of loss
Risk matrix:
Mainly risk rating is done through risk matrix of 5x5
Through the risk matrix the risk can be easily described and approached.
Risk prioritization
• If the risk is in between 16 to 25 then the risk is said to be high risk
• If the risk is in between 9 to 15 then the risk is said as medium risk
• If the risk is in between 1 to 8 then the risk is said as low risk
Likelihood can also be taken as probability and the consequences as the impacts of the risk.

Cold to hot risk assessment matrix
Residual Risk
This is the risk which still consists of the dangers in the workplace even though all the measures are in
control is applied. These are the common risks that are faced by the organizations after applying all the
controls, reviews and assessments.
It is important for the organizations to ensure residual risks with implementing all the control measures
that can be applied to that particular risk as low as reasonably possible (ALARP). These kinds of risks
remain till the end or completion of the process.
Acceptable Risk
The term "acceptable risk" describes the likelihood of an event whose probability of occurrence is
small, whose consequences are so slight, or whose benefits (perceived or real) are so high. The
concept of acceptable risk evolved partly from the realization that absolute safety is generally an
unachievable goal
According to the HSE acceptable risk is ―a risk, which for the purposes of life or work, everyone who
might be impacted is prepared to accept assuming no changes in risk control mechanisms.‖
Tolerable Risk
Here the risk range and its level of risk to people and its influence is measured and acknowledged after
controlling all the standard changes then the remaining left over control measured risks are called as
tolerable risks.
According to the HSE tolerable risk is ―a risk within a range that society can live with (1) so as to
secure certain net benefits. It is (2) a range of risk that we do not regard as negligible or as anything

we might ignore, but rather as something we need to (3) keep under review and (4) reduce it still
further if and as we can (ALARP).‖
Use of Guidance
Whenever judging of the risks and its controlling measures it important to take the advices and the
relevant guidance on the legislation, standards guidance, international or national level health and
safety bodies and official government documents. If the risk assessment is done without using the
relevant guidance and the advices then the risk assessment is said to be unsuitable and insufficient.
Principles to consider when controlling risk
The risk assessment team should consider the specific legislation of that particular organization and
the risk assessment should be carried out as per the controlling measures with its specific duties that
were set by the organizational legislation.
Some of the examples of the legislative bodies are as follows
• International Labor organization (ILO)
• Occupational health and safety legislation
• International legislation
• National legislation
Besides the Health and Safety at Work Act itself, the following apply across the full range of
workplaces:
a. Management of Health and Safety at Work Regulations 1999: require employers to

carry out risk assessments, make arrangements to implement necessary measures,
appoint competent people and arrange for appropriate information and training.
b. Health and Safety (Display Screen Equipment) Regulations 1992: set out requirements
for work with Visual Display Units (VDUs).
c. Personal Protective Equipment at Work Regulations 1992: require employers to

provide appropriate protective clothing and equipment for their employees.
d. Provision and Use of Work Equipment Regulations 1998: require that equipment
provided for use at work, including machinery, is safe.
e. Manual Handling Operations Regulations 1992: cover the moving of objects by hand or
bodily force.
f. Employers‘ Liability (Compulsory Insurance) Act 1969: require employers to take out
insurance against accidents and ill health to their employees.

g. Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

(RIDDOR): require employers to notify certain occupational injuries, diseases and
dangerous events.
h. Noise at Work Regulations 1989: require employers to take action to protect employees
from hearing damage.
i. Electricity at Work Regulations 1989: require people in control of electrical systems to

ensure they are safe to use and maintained in a safe condition.
j. Control of Substances Hazardous to Health Regulations 2002 (COSHH): require

employers to assess the risks from hazardous substances and take appropriate
precautions. In addition, specific regulations cover particular areas, for example
asbestos and lead.
k. Chemicals (Hazard Information and Packaging for Supply) Regulations 2002: Require
suppliers to classify label and package dangerous chemicals and provide safety data
sheets for them.
l. Construction (Design and Management) Regulations 1994: cover safe systems of work
on construction sites.
m. Gas Safety (Installation and Use) Regulations 1994: cover safe installation,
maintenance and use of gas systems and appliances in domestic and commercial
premises.
n. Control of Major Accident Hazards Regulations 1999: require those who manufacture,
store or transport dangerous chemicals or explosives in certain quantities to notify the
relevant authority.
o. Dangerous Substances and Explosive Atmospheres Regulations 2002: require

employers and the self-employed to carry out a risk assessment of work activities
involving dangerous substances.
Refer:
https://www.ilo.org/global/publications/ilo-bookstore/order-online/books/WCMS_PUBL_9221116344_EN/lang--en/index.htm
Practical application of the principles – applying the general hierarchy of control:
• Avoiding risks;
• Evaluating the risks which cannot be avoided;
• Combating the risks at source;
Adapting the work to the individual, especially as regards the design of workplaces, the choice of
work equipment and the choice of working and production methods, with a view, in particular, to
alleviating monotonous work and work at a predetermined work-rate and to reducing their effect on
health

a. Adapting to technical progress;

b. Replacing the dangerous by the non-dangerous or the less dangerous;
c. Developing a coherent overall prevention policy which covers technology, organization
of work, working conditions, social relationships and the influence of factors relating to
the working environment;
d. giving collective protective measures priority over individual protective measures; and
e. Giving appropriate instructions to employees.
The Health and Safety Executive make clear in the associated Approved Code of Practice to the 1999
Regulations that the general principles of prevention need to be applied: ‗Employers and the self-
employed should use these [general principles of prevention] to direct their approach to identifying
and implementing the necessary measures.‘ Basically it requires employers to avoid or eliminate a risk
altogether. Where this is not possible the risk assessment process should be used to: Identify the risks
to the health and safety of workers – and others; and propose and implement control measures to
adequately reduce the risks in accordance with the general principles of prevention.
The most effective way of protecting people from a risk is to eliminate it. Only where this is not
possible should other measures be considered. In considering other measures they should be ordered
with the most effective being considered first and so on. This point is made because it is often the case
that providing workers with Personal Protective Equipment (PPE) is seen by many managers as the
most convenient option.
Hierarchy of control
A hierarchy of control is preferred and used to control the highest level of risks in removing and
reducing the risks to the low levels. The approach that is used in the principles of hierarchy of control
is preferred to measure the series of risks with the priority of elimination and ending with the
discipline.
The approach of applying the hierarchy is to address and control each risk for example
• Elimination
• Reduction
• Isolation
• Control
• PPE
• Discipline
Elimination: removing the substance or the hazard completely in the workplace, this is one of the best
and most effective ways. e.g., removing of the regular protecting cable.
Reduce: reducing the source and frequency of the risk or using alternative tools.
Isolation: enclosing of the dangerous parts of machinery, handling of the hazardous biological agents,
noise level reducing etc…
Control: controlling of the limiting time and noise, dust extraction etc.…

PPE: using personal protective equipment to lessen the injury and accidents. E.g. using safety
elements, footwear, goggles etc.…
Discipline: following and ensuring to procedures and following of rules and instructions.
This risk strategy is used as controlling the risks using the highest level of risk first, if the risk
assessment team found that it is impossible in removing the risk with the use of one control then we
should move to the next highest level of control. Even some time a combination of measures are used
to control risks. ERICPD helps in preventing deaths.
Another popular Heirarchy of Risk Control is:
Eliminate the Hazard
Substitute with something less hazardour
Engineering controls
Safety Signages and/or Administrative Controls
Personal Protective Equipment
Abbreviated as ESESP and is equally effective in deciding appropriate risk controls as ERICPD.
3.4.5 Application of Risk Assessment for specific types of risk and special cases:
Furthermore in order to control the measures of risks, different controlling measures are applied that
are determined with the current controlling measures to be inadequate in controlling. It is important
and essential for the application to control measures based on the priority of the risks. If the risk is
high then the priority to apply the controlling measures will be high.
When risk controlling measures are taken into action it requires a time period to perform the actions
and establishing the appropriate resources in the workplace may not be so effective but can give short
time relief from the risks.
When risks either high or low temporary controlling measures will be available or the work should be
stopped until the completion of necessary and effective controls are established in the workplace.
So whenever evaluating risks, the existing controlling measures are to be considered under the
following two headings:
1. Workplace precautions
2. Risk control systems
Workplace precautions:
Workplace precautions are the actions that are taken to reduce or eliminate the identified risks up to an
acceptable level with risk controlling measures.

Some of the work place precautions are as follows
• PPE‘s
• First aid
• Training
• Machinery guards
• Good ambiance
• Rotations of the job
• Practicing good hygienic system
• Following safe system of work
• Communication & information
Risk control systems:
These are some systems that are required to ensure the workplace precautions that must be continued
to operate. A risk control system for machining can be like regularly inspecting, providing training,
and making use of the PPE‘ etc.…
By using a risk control system it is possible to keep all the risks at low level except the residual risk.
Applying Controls to Specified Hazard
When it comes hazards that can be controlled are needed to be identified and applied to that kind of
specified hazards. There are various methods of controlling in reducing the levels of hazard varies
based on that particular hazard.
Some of the hazards that can be controlled in the organizations are like
• Electrical hazards
• Chemical hazards
• Manual handling causing hazards
• Transportation hazards and
• Communication hazards
The above hazards can be easily controlled based on their controlling precautions by involving
suitable exposure of the worker in establishing.
Distinction between Priorities and Time Scales
There are many differences between the priority and time scales; the priority is given to reduce the
high risk first. However the action requires very long time to carry out the controlling measures.
Recording significant findings
Format of Records
All the employees of the organizations are made to mandatory to record the significant findings of the
risk assessment recording can be done either by the risk assessment team or by the management
person.
The recordings may be done in two formats they are
1. Written format and

2. Electronic format
The recordings should be recorded as long as it can be retrieved from the hazards. Recordings of the
risks can be done in many forms and systems that are designed as per their legislation regulations. The
design and the system of recording may change but the methodology of the format remains same for
all types of risk assessment.
Information to be recorded:
Recording the hazards may differ according to the type and the level of the hazard as per the
legislation of the organization. While the recording of the information all the activities of the hazard
are involved and are recorded irrespective of the type and level of hazard.
For the low and medium hazards the associated risks, persons involved and affected and the previous
controlling measures etc… are recorded and deal with the risks in reducing the hazards.
Whenever the hazard rating and level is high at that point of time it requires so more detailed form of
recordings with explanation and its alternative recommended action.
Information about the recorded risk assessment should be brought to the attention of those who were
assigned the task of the work. Risk assessment information recordings should be included in the
training to ensure the workers and the staff to be bore in minded.
The following are the items / things that are recorded in the risk assessment
• Serial Number
• Hazard identification
• Associated risks
• Persons at risk
• Existing controlling measures
• Severity
• Likelihood
• Current risk rating
• Comments and actions
• Time Scales
• Action owners etc.
Reviewing
Reasons for reviewing:
It is a management responsibility to monitor the effectiveness of the measures on an on-going basis.

As part of the assessment process a target date for reviewing the assessment must be set.

If you consider the risk is controlled to an acceptable level, then once the assessment is recorded,
monitor the situation and review it at intervals. Reviewing a risk assessment does not necessarily mean
repeating the whole process. If the existing controls in place are still considered adequate, just make a
record of that. However, if the assessment is no longer considered valid then it must be revised by
undertaking a further assessment. This should cover the tasks, hazards and groups at risk which the
existing control measures are no longer adequate.
Circumstances that would require reviewing:
Examples of circumstances that would require an organization to review the validity of the risk
assessment are as follows
• Incidents
• A process that is followed and changed
• Changes in equipment
• Changes in staff
• Changes in legislation
• Availability of new information about hazards or risks
• Introduction of new plant or technology
• Passage of time
Analysis of accidents and ill health reports, damage accident reports and near miss reports can also
provide a key factor for an earlier planned review of the risk assessment.
The validity of the risk assessment should be monitored through a combination of various monitoring
services such as
• Inspections of preventive maintenance

• Committee inspections or H&S representative inspection
• Tests and examinations
• Maintenance of scheme inspection
• Inspections and safety tours
• Surveys of occupational health
• Air monitoring
• Auditing of health and safety
Special case applications
Young persons
This is a specific group of people where people are young and are considered in the risk assessment,
these groups of people will be under 18 years of age and most of them are school dropout.
Young people are more likely to get affected to the risks at work and special attention should be paid
for the following reasons
• Lack of training and knowledge

• Lack of experience
• Their body will not grow fully
• More likely to take risks

• Due to peer pressure at work
• Being over enthusiastic
• Work will be beyond their physical capacity
Where young people are involved all the significant risks should be discussed between them and must
be communicated over the responsibilities.
The specific risks to young people are as follows
• Heat
• Noise
• Vibration
• Radiation
• Physical and biological agents
• Chemical agents
• Carcinogens
• Equipment handling
• Work and process system and process
Apart from that all the young persons who work in the organization are risk assessed and controlled
with the risk assessment controlling measures.
The following are the controlling measures that are required for younger persons
• Proper training
• Supervising
• Monitoring by the peer or responsible person
• Clear communication
• Restricting some sort of work to be done
• Restricting the type of equipment to be used
• Restricted working hours
Expectant and nursing mothers:
There are many requirements of risk factors to carry out the risk assessments that may increase the
risks of the pregnant women in the working place.
The expectant mothers as they care for health and safety the following are the risks that are included in
the workplace
• Chemicals exposure
• Biological exposure
• Lead
• Radiation
• Extreme temperatures
• Ionizing
• Manual carrying and handling
• Prolonged standings and sitting

• Various environmental issues like heat, noise, vibration etc.…
• Work stress
• Issues in using or PPE‘s
At the same time the expectant mothers have various problems that are associated with the pregnancy
problems such as
• Morning sickness
• Backache
• Increasing body size
• Swellings of their body
• Feeling sick
• Pains
• In need of comfort breaks
• Regular need or rest
Disabled workers:
In many organizations, there will have disabled workers, so if disabled persons are involved in the
work then they should also be considered and taken into account of risk assessment.
The disabled persons are those workers who are in wheelchairs but the disability of the persons may
include hearing loss workers and sight loss workers. It is essential that these factors are mainly
considered in an emergency.
At the same time disabled workers will be at risk during general hazards in the workplace but there are
other factors that should be considered and included in separate risk assessment for the disabled
works. Care should be taken to consider the particular disabilities of the works normally whenever the
problem arises.
3.5 Management of Change

Managing change can be easier with the right guidance and the right tools. As a prime example, let‘s
take a look at the required components of (Management of Change) MOC as outlined in the (Process
Safety Management) PSM standard, along with some of the ways technology can help ensure an
effective and compliant system.
The Impact of Change
The MOC section of the PSM standard requires the employer to develop and implement written
procedures to manage changes to process chemicals, technology, equipment, procedures, or to
facilities that perform a specific covered process. The standard is prescriptive about what details need
to be in these procedures. They must include descriptions of the technical basis for the change, impact
on safety and health, modifications to operating procedures, the time period necessary for the change,

and appropriate authorizations. The MOC section of the standard also states that any employee who
will be affected by the change must be informed and appropriately trained.
3.5.1 Managing the Impact of Change
According to OSHA, common areas of non-compliance with MOC requirements include managing
changes to equipment design and operating procedures, regular maintenance and repair to facilities,
and documenting time limits for temporary changes.
Communication and Cooperation
To achieve success in health and safety management, there needs to be effective communication up,
down and across the organisation.
Organisations need to communicate information to their workers on the risk to their health and safety
identified in their risk assessments, and the preventive and protective measures necessary to control
risk.
The information provided should be communicated appropriately, taking into account:
1. Workers‘ levels of competence

2. The size and structure of the organisation
Risk assessment
Broadly speaking, a risk assessment is the combined effort of:
1. Identifying and analysing potential (future) events that may negatively impact individuals,
assets, and/or the environment (i.e. risk analysis); and
2. Making judgments "on the tolerability of the risk on the basis of a risk analysis" while
considering influencing factors (i.e. risk evaluation).
Appointment of Competent people

The employer, for the provision of protective and preventative services, must appoint a person. This
person (or persons in some cases) is in the legislation, referred to as a competent person.
This does not obviate the employer‘s general duty to obtain the services of a competent person where
necessary. It is up to the person with overall responsibility for health and safety (e.g. managing
director) to arrange for the appointment of a person/s who shall act primarily as health and safety
coordinator within the workplace.
The competent person may have any one of a variety of titles e.g. safety officer, safety coordinator,
safety administrator etc. Additionally, when selecting the competent person an employer must first
consider appointing an existing employee, provided they have the necessary or appropriate experience,
knowledge and sufficient training. The role of the competent person may vary from organization to
organization with some having a high level of control and accountability, to others where the safety
officer has a monitoring role and no more.

Segregation of work areas

We can use distance or inert (mutually compatible) materials between incompatible goods when
materials will not react violently together. A minimum separation distance of 3m will generally be
suitable for most hazardous chemicals that are dangerous goods.
'React dangerously' means reactions that create a hazard because they:
 Are violent
 Produce an explosion
 Produce a potentially explosive combination of products
 Produce a fire or rapid evolution of heat
 Produce toxic vapour or toxic gas.
Cut-off storage
Cut-off storage is the use of separate rooms or compartments within a building to isolate incompatible
goods. The rooms are separated by fire rated partitions that are impervious to vapours and liquids.
A fire resistance wall of at least FRL 120/120/120 fire rating for the partition is recommended.
Detached storage
Detached storage involves storing incompatible dangerous goods in separate buildings. This kind of
segregation is used for materials that possess severe fire, reactivity or health risk.
'Dangerous when wet' goods such as aluminium phosphide and calcium carbide are materials that
would warrant such precautions. Aluminium phosphide reacts with water to give off phosphine, a
toxic and flammable gas. Calcium carbide reacts with water to generate acetylene gas.
A separate building that does not use water-based fire protection systems is needed to ensure water is
not applied to these materials.
Source:https://www.worksafe.qld.gov.au/injury-prevention-safety/hazardous-chemicals/managing-
incompatible-goods/segregation-techniques
Amendment of Emergency Procedures
Changes in Equipment Design
Any time that the operational specifications of a piece of equipment are changed from the design
indicated in the Process Safety Information (PSI) for a facility‘s PSM plan, an operator must use
MOC. Design changes that alter chemicals used, or change operating parameters outside the ranges
described in the PSI also trigger the need for MOC. The rationale behind this requirement is that any
changes of this nature can introduce new hazards, which then necessitate additional safeguards or
controls. Examples of changes in equipment design that would require use of MOC include

installation of a control valve bypass, changes to an alarm set point, or installation of a spill
containment berm around a chemical storage tank.
Changes in Operating Procedures
Operators need to initiate MOC whenever operating procedures are changed for a PSM-covered
process, in order to ensure that hazards associated with the procedural change are properly assessed
and controlled. The MOC must ensure training for all affected personnel takes place prior to the first
start-up of the changed process. Examples of changes in operating procedures requiring MOC include
changing procedures for manual addition of a chemical to an injection tank, or changing procedures
for operation of relief devices.
Changes in Inspection and Test and Maintenance Procedures
Whenever operators change inspection and maintenance procedures, including changes to preventative
maintenance and equipment repair, they need to utilize MOC, since these changes can affect the risk
levels of the associated process or equipment. Examples of such changes include changing inspection
intervals for piping circuits, changes in maintenance procedures following a change in process
equipment, or changing the number of thickness measurement locations on a pipe.
Welfare Provision:
Changes in Facilities
Changes to the facility structures themselves are not always run through an MOC process, even though
OSHA‘s PSM standard requires use of MOC for these kinds of changes. This requirement is triggered
whenever an existing structure is modified, or a newly installed facility structure will be located within
or near a PSM-covered process. Potential examples include construction and installation of a shed
structure near a hydrocracking or sweetening unit, or structural changes to a room located within a
PSM-covered process unit.
3.5.2 Review of change (during and after)
Temporary Changes
The economist Milton Friedman was fond of quipping that ―nothing is so permanent as a temporary
government program.‖ Likewise, there‘s nothing quite as permanent as temporary change, especially
as it relates to the potential damage that can result from temporary changes that are not properly
planned. For this reason, OSHA mandates that temporary changes to PSM-covered processes, which
usually are initiated while permanent changes are being made, must be properly assessed through the
MOC process. MOC should address the allowable time the temporary changes can exist before the
permanent changes are finalized, as well as procedures for confirming the removal of the temporary
changes, whether because of finalization of permanent changes or reversion to the original conditions.
Examples of temporary changes that require MOC include using temporary supports during
installation of a new vessel or piping circuit, or using a shed or break area as a temporary control room
during repair of the main control room.

Best Practices and Technology Resources
Ideally, MOC should afford you a transparent, accessible and verifiable change request system,
ensuring that no changes can be made without identification of risks and controls, or without
appropriate authorization. The process is so useful that its benefits outside of regulatory compliance
with PSM and other standards are now widely recognized, and facility managers increasingly see the
wisdom in using MOC to address a wide range of planned changes that may have safety or
environmental consequences. However, a traditional MOC process involving hard copies of review
forms can quickly become labor intensive, and facilities with a high demand for managing change may
need greater internal resources, in terms of both personnel and funding, to handle the workload.
Fortunately, technology solutions are now available to help streamline MOC tasks, making
compliance easier and putting highly effective change management capabilities within reach of both
facilities with regulatory MOC requirements, as well as those who simply wish to adopt it as a best
practice. Multi-tenant cloud solutions are particularly valuable for management of complex facilities
or multiple facilities who have extensive change management needs. These solutions enable a person
responsible for implementing MOC activities to maintain a complete record of changes and approvals
in one central system that is accessible anywhere, at any time. They also allow users to create
configurable workflows with checklists for designers, reviewers and approvers, and easily assign
approvals to the appropriate personnel. Additionally, the best MOC solutions even allow users to issue
and modify change requests directly from their mobile devices.
Source: https://www.ehs.com/2017/11/management-change-moc-strategies-compliance/
Source: https://www.hse.gov.uk/managing/delivering/do/organising/communication.htm
3.6 Safe systems of work for general work activities
Introduction to safe systems of work
The following are the factors that should be considered when developing and implementing a safe
system of work activities in the organizations. These are the factors that help in increasing the
standards of the organizations as well and decreasing the major risks that are commonly
associatedwith the organizations. The following are the factors
1. Employer responsibility to provide a safe system of work

2. Role of competent person in development of safe systems
3. Importance of worker involvement in the development of the safe system
4. Importance and relevance of written procedures
5. The distinction between technical, procedural and behavioral controls
6. Development of safe system of work
7. Analyzing tasks, identifying hazards and assessing risks
8. Introducing controls and formulating procedures
9. Instruction and training in the operation of the system
10. Monitoring the system
11. Definition of and specific examples of confined spaces and lone working and
working and travelling abroad in relation to safe system of work

Employers should ensure and are required to take all the reasonable and practicable responsibilities
that should be implemented in the workplace so as to process the operations that are to be performed
under control and safe without risk to health and safety of the workers.
 Employers shall be required to ensure that, as far as is reasonably practicable, the workplaces,
machinery, equipment and processes under their control are safe and without risk to health.
 Employers shall be required to ensure that, so far as is reasonably practicable, the chemical,
physical and biological substances and agents under their control are without risk to health
when the appropriate measures of protection are taken.
 Employers shall be required to provide, where necessary, adequate protective clothing and
protective equipment to prevent, so far as is reasonably practicable, risk of accidents or of
adverse effects on health. (ILO Convention C155)
The employer should also ensure to take the all appropriate measures of protection in an organized
way and in a systematic approach. The employer has to ensure the safety and welfare at the work for
all of his employees.
General duty of the employer is that he must conduct the work in health and the safety way but it
doesn't require that all work should be in written format. The perfect safe system of work should be
established and communicated orally. In the above contrast it doesn‘t mean that all the work all the
times honestly work orally, at times when there is a risk is significant and it becomes mandatory to
specify the safe system of work in written format.
Apart from that the employer has to identify the various factors that help in increasing the
developmental factors of safe systems of work and implementing them in a proper way with is
misleading any legal requirements.
―A formal procedure which results from systematic examination of a task in order to identify all the
hazards. It defines safe methods to ensure that hazards are eliminated or risks minimised‖
HSWA Section 2 (2) (a): Provide and maintain plant and systems of work that are so far as is
reasonably practicable, safe and without risks to health. A "safe system of work" is defined as a formal
procedure which will allow a specific task to be carried out safely, after systematic examination of that
task has identified and eliminated all the associated hazards or at least minimised the risks. Thus "safe
systems‖ are required to be put into place when the hazards identified cannot be eliminated and some
residual risk remains.
Section 6A of the Factories and Industrial Undertakings Ordinance chapter 59 and section 6 of the
occupational safety and health ordinance chapter 509 require every proprietor of an industrial
undertaking and every employer, among other things to provide systems of work that are so far as
reasonably practicable, safe and without risks to health.
Part of the employer‘s general duty is to provide systems of work that are, so far as is
reasonably practicable, safe and without risks to health. Components of a system include:
 the organization and co-ordination of the work of those involved;

 training, instruction and supervision;
 layout of plant and appliances;

 methods to be used, and;
 General conditions of work.
The essence of the present legislation is that employers are expected to manage hazards with the same
degree of attention and with the same allocation of resources and priorities as they manage other
subjects such as quality control, industrial relations and budgetary matters. Furthermore, as part
of management commitment to the principles, employers have a duty to establish and maintain, so far
as is reasonably practicable, safe systems of work. Safe systems of work must be identified through
the risk assessment process.
The following components of a safe system are identified for guidance:-
 Co-ordination of the work of different departments and activities.

 Layout of plant and appliances for special tasks.
 The method of using particular machines.
 The method of carrying out particular processes.
 The instruction of trainees and inexperienced employees in particular tasks beyond their normal
experience.
 The sequence in which the work is to be carried out.
 The provision of warnings, notices, and the issue of special instructions in particular
cases.
 The procedure for introducing changes into normally accepted routines and practices,
including explanations of why the changes are necessary.
Components of the system (PEME)
In the safe system of work the components of the system are mainly integrated to perform and carry
out the safe system of work.
The "PEME" acronym will help to identify the vast majority of hazards associated with the task or
activity under consideration. Not all will be applicable for every task but knowledge of the key issues
will prepare for most situations.
People
There will normally be some type of equipment used in the task/activity under consideration. Work
equipment covers a wide range of items including equipment found in offices, laboratories,
workshops, sports centres, catering areas, etc. You need to consider the following:
 Is it the right equipment for the task (hazards may be introduced if the wrong type of equipment
is used)?
 Is the equipment intrinsically hazardous (hot, sharp, imbalanced, vibrating, heavy, fragile,
trapping points, hazardous substances (e.g. asbestos rope on furnaces) etc.)?
 Are there any energy issues (electricity, pressure systems, hydraulics, etc.)?
 Does it need statutory testing or maintenance/calibration to ensure it is safe (electrical testing)?
 Does it have to be moved?

 Are the hazards confined to the equipment or can they affect people remote from the equipment
(trailing leads, lasers, noise, etc.)?
Equipment
There will normally be some type of equipment used in the task/activity under consideration. Work
equipment covers a wide range of items including equipment found in offices, laboratories,
workshops, sports centres, catering areas, etc. You need to consider the following:
 Is it the right equipment for the task (hazards may be introduced if the wrong type of equipment
is used)?
 Is the equipment intrinsically hazardous (hot, sharp, imbalanced, vibrating, heavy, fragile,
trapping points, hazardous substances (e.g. asbestos rope on furnaces) etc.)?
 Are there any energy issues (electricity, pressure systems, hydraulics, etc.)?
 Does it need statutory testing or maintenance/calibration to ensure it is safe (electrical testing)?
 Does it have to be moved?
 Are the hazards confined to the equipment or can they affect people remote from the equipment
(trailing leads, lasers, noise, etc.)?
Materials
This covers all the substances that are likely to be used/required for generated by the task. Ask the
following questions:
 Does the activity/task being carried out require hazardous chemicals or substances?
 Does the task generate any dust, vapours, or mists that need to be controlled (water sprays and
legionella)?
 Does it require raw materials or large pieces of metal, wood or other materials (manual
handling, moving and storage issues, etc.)?
 Does the task generate special waste?
Environment
The risk assessment should consider if any of the following could create problems when carrying out
the task/activity:
 means of access/egress
 lighting, heating and ventilation
 slopes, ramps and steps
 slippery or damaged underfoot conditions
 weather conditions
 obstructions

Role of competent person in the development of safe systems

In developing the safe system of work and implementing them in the organization is risk oriented task,
for developing the safe working system there should be a competent person in the organization so as to
establish the safety working system with his skills, knowledge and experience.
The role of the competent person in developing of a safe working system is to consider the proposed
safety system of work and should provide the perspective on developing and establishing of the safe
system of work.
Competent person should have to undertake the technical complexity and the risks that are associated
with tasks and should form a system that corresponds to the proposed safety system if necessary he
can get the perspective from someone who is competent in technical health and safety issues.
Identification of the key steps in the operations that are to be performed and the activities that are
involved in the work and through analysis and assessments of the risks that can be involved in each
stage of implementation and what kind of things that can go wrong should also be eyed and various
precautions that are to be taken.
Apart from that the competent person should describe the controlling measures that have to be taken
and the steps that are to be taken to ensure operating procedures without any kind of risks.
The safe system of work should be taken in regard to the activities of the undertaking and the size of
the provision that has been made and should consider the present availability of the health and safety
service.
3.6.1 Why workers should be involved when developing safe systems of work
Employee involvement provides the means through which workers develop and express their own
commitment to safety and health.The best safety and health management systems involve employees
at every level of the organization. Employees are often those closest to the hazard, and have the most
first-hand knowledge of workplace hazards. Clearly, the employer has ultimate responsibility for its
workers however, using employees‘ knowledge and experience to help identify and resolve problems
can make the system more effective.
Examples of how employees and employee representatives can be included in the safety and health
management system include:
 Planning.
 Implementation.
 Evaluation, corrective, and preventive action.
Examples of effective employee involvement include participation in:

 Incident investigations.
 Procedure development.
 Safety and health audits or surveys.
 Development and implementation of safety and health training.
 Job safety analysis.

 Safety and health committee/team involvement.

 Recommendations for specific actions in response to employee safety suggestions.
 Problem-solving techniques to seek solutions to identified safety and health problems.
 raising awareness of the key health and safety issues
 full worker involvement in health and safety planning
 worker involvement in changes in the workplace plan and processes
 purchase of equipment needs worker input
 develop safe systems of work and safety procedures
Consulting employees on healthand safety matterscan be very important in creating and maintaining
asafe and healthy working environment. Byconsulting employees, an employer should motivatestaff
and make them aware of health and safetyissues. Businesses can become more efficientandreduce the
number of accidents and work-relatedillnessesworkplace inspections that involve all levels andare
appropriate to the individual organisation.
3.6.2 Why procedures should be recorded / written down

Written procedures are procedures which describes how work is to be carried out in a safe and
standardised process. It identifies the risks associated with a specific work task and incorporates the
appropriate risk control measures into a detailed sequence of steps fordoing the task safely. Safe
Written Procedures includes a description of the equipment used in the work, the standards or codes to
be complied with and the qualifications and training required to do the activity.
A procedure sets out step-by-step instructions on how to deal with an activity in the workplace.
Activities which may have specific procedures developed include:
 working in confined spaces;

 resolving issues;
 evacuations;
 the overall work flow, from materials coming into the workplace, to the final product going out;
 workplace inspections; or
 Administrative activity like purchasing.
Where there are workplace hazards, and risks to health and safety, the procedure sets out what to do at
every stage of the activity. Procedures need to work. They need to be tested thoroughly before they are
implemented. Employees engaged in an activity must clearly understand and be able to follow any
relevant written procedure.
We may not be able to develop a procedure for every activity in the workplace — at least not in the
short term. Start with those which have the most significant impact on health and safety. These might
be specific activities such as handling hazardous substances, or they may be general processes such as
purchasing equipment. In some cases we will have to start from scratch. In other cases we can build on
a health and safety standard which must be followed for a particular procedure.

There are many aspects of the work environment where written procedures will help prevent
workplace illness and injuries and control hazards at their source. Some examples where written
procedures may be required are:
 specific workplace hazards

 identification and assessment of the risks
 risk control
 reporting hazards;
 issue resolution;
 consultation on proposed change;
 workplace inspections;
 investigating incidents and issues, with corrective actions;
 reactive and response activities such as:
 first aid and medical emergencies
 reporting illness, injury
 reporting incidents and dangerous occurrences;
 administrative activities such as record keeping and purchasing;
 legal responsibilities in relation to:
o contractors
o visitors
o injury records
o health monitoring
o Complying with new regulations which apply to the workplace.
We will also need to be aware of changes in the workplace and how these could affect the need for
policies or procedures. Changes to the plant, substances or the equipment you use, the layout of the
workplace or to regulations and codes of practice could create a need for new or revised procedures
and policies. To determine priorities, it will help to ask:
 Is the activity or hazard causing frequent or

 Severe incidents or ill health?
 Is the hazard or activity new to the workplace?
How important is the issue to employees?
3.6.3 The differences between technical, procedural and behavioral controls
In the workplace we use several controlling measures in order to identify the risks and to reduce or
remove the risks to complete the approach to health and safety in the organization.
The controls that are used in the organizations are grouped in several categories. Thesecategories
reflect the general principles of prevention so as to minimize the associated risks. These categories
also tend to reflect the risk strategies and are used to improve the health and safety in the workplace.
At some places in order to deal with the effective hazard it is important to use all the forms of
controlling measures.
Risk controlling measures are as follows.
1. Technical controls
2. Procedural controls
3. Behavioral controls
Technical controls
Technical controls are mainly used for the place and job related controls
Technical controls include
 Equipment and its design

 maintenance of equipment
 Easy access provisions of the stored items
 Easy handling of materials
 Taking care of environment, ventilation and exhaust
 Usage of correct PPE‘s in the particular task
Procedural controls are mainly used in system and organizations procedures and policies
Procedural controls includes the following
 Organizations policies
 Organizations standards
 Organizations procedures
 Permit to work related issues
 Coordination factors
 Authorization related problems
 Purchasing controls
 Investigating of accidents
 Preparing emergencies
 PPE‘s procedures, use, issues and maintenance
 Analysis of accidents
Behavioural controls mainly concentrates on persons of the organizations
Behavioural controls include the following
 Training
 Making awareness
 Supervision
 Surveillance procedures
 Sharing knowledge, skills and experience
 Motivation and communication
 Cooperation and coordination
The best practices to be followed in the organizations are combination of all the three strategies.
3.6.4 Developing a safe system of work

A safe system of work is needed when the organization cannot remove all the hazards physically and
still there is chance of risks and the risk occurring elements remain unchanged on these occasion safe
system of work is developed.
Developing of the safe system is requires experienced competent persons and firstly they should
formally design the safe work system and accommodate all the necessary requirements that are
required for the systematic examination of the place where the safe working system has to be
implemented.
The place where the safe working system has to be developed need to undergo thorough identification
of all the hazards and should define the various methods through which the hazards can be totally
eliminated or minimized to low level risk.
There are five steps to develop a safe working system in the organization. They are as follows
 Assessing of the tasks

 Identifying of the hazards
 Defining safe working system methods
 Implementing of the safe working system
 Monitoring the developed system
Analysing tasks, identifying hazazrds and assessing risks
Here before developing an analysis of the task should be

carried out in all aspects of the task and the recording should
be done to ensure that nothing is left over. Assessments should
be done not only on the tasks but should be considered the environment of the place where the job task
is done.
Task analysisis just step by step formal review of the work that is to be carried, here the objective of
the analysis to identify the hazards and controls at each step to ensure the safe result and to find the
safety arrangements present and arranging requirements for monitoring.
Considerations should be done on the following
 The task that is to be done

 Where the task is to be done
 Which things are to be used
 The present controls
 Adequacy of the controls
 behavioral factors
 Operators controls

Analysis can be of two types they are
1. Job based analysis and

2. Task based analysis
In job based analysis all the tasks that are related to the job works are taken into consideration and its
analysis is done e.g. operators of the machinery, truck drivers, forklift truck drivers etc…
In task based analysis the action of the work that is performed and the activities done by the workers
are considered and analysed e.g. manual handling activities, cleaning of floors by housekeeping etc…
Identifying hazards and assessing risk

After thorough analysis of the tasks the important factor is to identify the hazards from the tasks and
risk assessing of the hazards so as to improve the safe system of work in the workplace.
The risk assessment is to recognize the risk factors that are making a potential situation in the work
place as threats to the workers as well as to organization.
Risk assessments should be carefully evaluated on what and which things are causing harm to
workers, the employer should identify the preventive and protective measures by evaluating the risks
that are arising from the hazards. The employer should take into account of sufficiency of existing
controls and deciding whether the risk is acceptable or not and using appropriate controls to develop
safe system of work.
Whenever significant risk is identified, detailed analysis is done for that particular risk and the risk
assessment should be done deeply with the suitable controlling measures to develop safe system of
work.
Introducing controls and formulating procedures
As per the requirements of the risk assessment, introducing of the controls at the possible source of
hazard with its formulating procedures helps in eliminating of the risk and hazards. At some times
residual hazards should be evaluated and controlled with the suitable procedure.
Instruction and training in how to use the system
While implanting of the system, many organizations follow the safe system of work without any kind
of instructions and training, this leads to the misunderstanding of the safe system of work that is being
developed and the workers get de-motivated to work for the safe system of work. This will affect the
workers safety behaviour at the work because worker involvements will not there and not giving
instruction of the changes in the workplace and they are resistant to the place where they have worked.
Just simply providing information is not sufficient to change the behaviour of the workers, you should
give sufficient instructions and its importance why the changes are made and the motivating them with
the hazards and the risks that can be controlled in the implementing the safe system of work.
The employer should make the workers to understand the operation of the system. The employer has
to take all the necessary measures from preventing industrial accidents that are raised by the workers
action and behaviour.

Training on the new safe system of work will helps the works to now the operation of the system that
is being developed.
3.6.5 Monitoring the system
Monitoring of the system should be done formally and the monitored information should be
documented and recorded. All the recorded records should be kept for compliance and effectiveness.
This process of monitoring can be done by direct walk through, direct observation, discussing at team
meetings, and safety committee meetings.
This system of monitoring and feedback are implemented so as to ensure the effectiveness of the safe
system of work.
Examples of Confined spaces and Lone working

Confined Spaces
A confined space is a space which is small in size and difficult to enter into it and carry out work there
and exit from that place. Confined space can also be large open space but with limited and restricted
access and it can also be a place where there is no ventilation at all.
Examples of confined spaces are as follows
 pit
 well
 tank
 chamber
 vat
 silo
 pipe
 sewage system
 flue
 large tunnel
 open tank

Apart from this there are similar spaces in which the nature in these kinds of spaces is enclosed where
there is chance of foreseeable risks of a specified occurrence.
The following are the specified occurrences that are occurred in the confined spaces
 Fire
 Explosion
 Drowning of person
 Loss of consciousness
 Asphyxiation
 High temperature
 Lack of oxygen
 No sight due to darkness
Working in the confined spaces should be carefully established and implemented with the person who
is reasonable practicable to carry out the work. Person
who works in the confined spaces should carry out the
work as per the safe system of work.
Identification of risk assessment should be done and

then the formal permit to work should be scheduled.
The following procedures should be made before
carrying out work in confined spaces. They are as
follows:
 Testing and analyzing of the environment

(atmosphere)
 Carrying out appropriate PPE‘s
 Equipment for safe access to enter and exit
 Suitable and emergency rescue arrangements
 Respective protective equipment
Lone Working
Lone working is where the work is carried out by them

(single person) without any close or direct supervision.
Lone working is also known as mobile working and the
work that is carried out is called as mobile worker.
Examples of the lone working are as follows
 In construction
 Plant installation

 Maintenance at far place

 Cleaning work
 Electrical works and repairs
 Painting
 Visualizing and decorating
 Forestry work
 Drivers etc…
It is necessary to identify the hazards and risks of the work for managing the risks of lone working and
assess the risks that are involved and controlling with the suitable measures in that place to avoid and
to control the risks.
The following are the Controlling measures that are include in the controlling the lone working, they
are as follows
 Instruction
 Training
 Supervision
 Motivation
 Protecting
 Using protective equipment
 Procedures for monitoring
 Medical consideration
 Risk consideration
 Accessing and suggestions to complete work lonely

3.7 Permit to work system

3.7.1 Meaning of a permit to work system
Permit to work system is a formal written system, a specialized safe system of work for ensuring for
potential dangerous work is to be done safely and to control certain types of work that are potentially
dangerous.
The permit of work can be either a paper permit or electrical permit depends upon the availability of
the persons. The main aim of the permit to work is to identify and control the risks involved in the
work. It is a part of the safe system of work and to carry out the maintenance activities.
Role and function in controlling permit to work

Permit to work is an internal to the safe system of work and permit to work is given only once the safe
system of work is implemented in the organization. A permit to work is needed when maintenance
work has to be carried out when new hazards are introduced by the work.
A safe system of work helps to manage the work activities easily. The role of permit to work system is
to ensure that full-fledged consideration is given to the risks at the significant work that relates to the
way of working.
3.7.2 Why permit to work systems are used
The main function of the permit to work system is laid down the precautions and specific permissions
to follow the functionality of the permit to work system.
The following are the functions that are to be carried out in permit to work system.
 Ensuring what work is to be done

 Ensuring proper authorization designated work
 Ensuring the hazards that are involved
 Conforming and clearing to people to carry out the work
 Identifying nature and extent of the job
 Identifying the hazards that are involved
 Designing limitations, extent of the task and time frame
 Specifying precautions that are to be taken
 Conforming all hazards have been removed
 Conforming whether the stated work is started, suspended, conducted and finished
 Conforming who has controls of the location and equipment
 Considering other related works that might interact with the specified work
 Providing hand book of procedures to be followed
 Providing suitable display permits

3.7.3 How permit to work systems work and are used

Operation of the system
The requirements of the effective permit to work system
 The requirements should be formal and documented

 Simple to operate
 Commitments of operators
 Providing accurate and concise information
 Making liaison of work activities
 Boundaries of the work should be clearly marked and defined
 Contactors should be included in the permit to work system
 Providing training to all the persons who are working under permit to work system
Permit to work document/form
The permit to work document should help communicating between everyone who are involved in the
system. It should be designed in such a way that all the individual site conditions and requirements
should be taken into account.
The essential elements of permit to work are as follows.
Task that is to be performed and its description
 Permit title
 Duration and validity of the permit
 Permit number
 Plant identification
 Job location
 Details and signature of the authorized person
 Identifying the hazards and the precautions to be taken
 Carrying additional precautions
 Using suitable PPE‘s
 Acceptance of the worker
 Extensions and hand over procedures
 Cancellation only be originator
3.7.4 When to use a permit to work system
Permit to work system is a system that is designed to control health and safety system in the
organization and is designed to prevent accidents, injury and illness, damage to the organization,
premises, and products. When work is at unforeseen and is of high potential hazard, the precautions
required are numerous and becomes complex in taking care.
So the good practice is to suggest and work o permit to work systems and are normally considered for
high risk works.

Typical uses of permit systems
Permit types with examples
The following are the works where it becomes mandatory to work under permit to work are as follows
 Hot work permits

 Cold work permits
 Electrical work permits
 Confined space permit
 Machinery maintenance and
 Working at height
In all the above works permit to work is necessary because it deals with the concerns that arises in
these examples and it follows health and safety system and prevents the risks occurrence and safe
guarding the health of the workers.
3.8 Emergency Procedures and First Aid

3.8.1Why emergency procedures need to be developed
Emergency procedures and arrangements are must for any kind of organizations that holds any sort of
business. Emergency procedures are arranged so as to safeguard in a response of hazards and
accidents.
The main importance of developing and implementing emergency procedures is to protect the
employees in the event of any serious danger that may occur in the workplace. The emergency
procedures are followed as per the guidance of the occupational health and safety regulations of the
organizations. The employer should ensure the appropriate management structure in meeting the
health and safety concerns.
The employer has to provide adequate measures and procedures in the working place in order to
control the incidents that arise during the process of production. The employer has to train on the use
of emergency procedure and he should also make them to drill and regular exercise them how to use
emergency procedures, He should set the procedures in such a way that each worker can easily
understand and follow it like written or verbal communication.
The emergency procedures are followed for the below incidents, where the use of emergency
procedures are must in order to protect themselves.
 Fire accident
 Chemical spillage
 Oil spillage
 Exposure to dangerous fumes and smoke
 Pathogens
 Gas leaks
 Medical emergency
 Floods and
 Any kind of natural threats

Apart from that the need for emergency and arrangements should be considered and provisions should
be designed and allotted with easy passage of workers. Various arrangements should be made near to
emergency procedures so as to control and save the other coworkers and organization with fire
extinguisher and carbon dioxide etc.…
3.8.2 What to include in an emergency procedure
In the context of accidents and risk arrangements should be made for contacting emergency and rescue
services. The employer has to consider the risks that may arise in the related work and emergencies
should be set before work is carried out for some specified task of work. In some cases the
arrangements should be done where alerting of the emergency is more important based on timing high
hazards or slow spreading hazards where some sort of significant people can be rescued.
So as to contact emergency and rescue services to reach in time the contacting for the emergency and
rescue services should be made available and active for 24/7, so that the rescue team can reach on
time. As a part of emergency procedures, arrangements should be made available to communicate with
the emergency protecting people and rescue services to reach in time.
Contact numbers for emergency should be made available or it should be posted or stuck to the notice
boards or near the emergency procedures so that the workers or the line managers may contact them
for help. At the same time the employer should arrange the rescue saving and emergency in calling
nearby ambulances, hospitals, fire and police for rescuing.
Refer: https://www.hse.gov.uk/pubns/priced/hsg268.pdf
3.8.3 Why people need training in emergency procedures
It is important to develop and implement emergency procedures and train people in them in order to:
 Enable staff to respond appropriately,
 Hazards can be mitigated,
 Bring the event under control promptly,
 Reduce the effects of the event and
 Enable a fast return to normal operations.
Absence of emergency procedures may cause:
 Un-timely or unsuitable response allowing it to get out of control.
 Major loss of life, long term ill-health, environmental effects etc.
 Some organizations never recover from the effects.

3.8.4 Why emergency procedures need to be tested
An emergency plan is a written procedure telling people in the workplace what to do in an emergency.
This fact sheet tells you, a person conducting a business or undertaking (PCBU), how to prepare and
maintain an emergency plan for your workplace.
What to include in an emergency plan
Emergency plans must include the following:
1. Emergency procedures including:
2. An effective response to an emergency
3. Evacuation procedures
4. Procedures for notifying emergency services at the earliest opportunity
5. Medical treatment and assistance procedures to make sure there is effective communication
between the person authorized by you to coordinate the emergency response and all other
persons at the workplace.
6. Plans for testing the emergency procedures, including the frequency of testing
7. Information, training, and instruction to be given to relevant workers for implementing the
emergency procedures.
Your emergency plan should include a detailed floor plan showing where emergency equipment and
first aid supplies can be found, and the location of utilities.
What to consider when making an emergency plan
When working out your emergency plan, you must take into account:
The size and location of the workplace
The number of workers
The nature of the work being carried out and the workplace hazards
The types of emergency situations your workplace may face. For example:
Fire or gas leak
Electricity or water outage
Natural disasters
Emergency plans should be tailored to the type of work and workplace. If the work is low risk,
emergency plans may not need to be long or complicated. In higher risk situations, more
comprehensive plans will be required.

All workers should know who is responsible for activating and coordinating emergency procedures
and what they must do to keep themselves and others safe in an emergency.
Maintaining and testing emergency plans
A well maintained emergency plan should be reviewed and updated:
When there are changes to work activities or the physical workplace
If the workers who have emergency responsibilities change
If new risks have been identified.
Emergency plans should be tested at least yearly.
Testing can be as simple as thinking of a scenario (Ex. fire, earthquake) and working it through the
plan, or staging a mock emergency such as a fire drill to test how well the plan works.
Following any testing, a review should be conducted to identify areas for improvement or updating.
This should include seeking and considering feedback from your workers.
3.8.5 What to consider when deciding on first aid needs in a workplace
The employer has to decide the number of first aiders, number of First Aid Kits as well as their content
and the requirements for AEDs (Automated External Defibrillators) etc., based on the thorough
assessment of the various factors based on the assessment and should decide how many first aiders are
required.
The number depends upon the size of the organization, risk and hazards associated and number of
employees working. There is no specific rule on the number of first aiders to be taken but the
employer has some utilized first aid assessment tools and decides a person needed to be taken.
The below table describes the need of first aiders based on the hazards and the size of the organization.
Hazards Size Needed of first aiders
<25 One
Low hazards 25-50 At least one
>50 At least one
<50 At least one mandate
50-100 2 persons
High hazards
>100 At least 2
>200 At least 3

Training for the first Aid:
Persons who are appointed as first aiders should train any one or concerned country‘s health and safety
regulation body. First Aider has to under complete training in any of the licensed or recommended
organizations or institutions. First Aider should train on all the aspects of the risks that take place in
the organization.
UK‘s HSE health and safety executive mainly focus on the training based on the two levels of training,
they are:
 Emergency first aid at work (EFAW):- this training enables a first-aider to give emergency first
aid to someone who is injured or becomes ill while at work.
 First aid at work (FAW):- this training includes first-aider to apply first aid to a range of
specific injuries and illness.
Every year in order to keep up to date of his skills and knowledge, all the first aiders are recommended
to take part in annual training for refreshing his skills and experience.
 At the end of his training he should be able to understand the below roles and responsibilities.
 Equipment‘s used in first aid
 First aid for various types of illness
 Industrial infections
 Cross infection preventing from spreading
 Recording of incidents
 First aid for bleeding
 First aid for wounded
 First aid for shock
 First aid to minor injuries
 First aid for burns
 First aid to bones, muscles and joints
 First aid for eye, ear and nose injuries
 First aid for poison
First aid requirements are most wanted and mandatory for any kind of business organization.
Organizations should establish first aid requirements in the workplace where there is a risk for the
employees in the event of work related injuries, illness or other related risks in the work place.
Apart from that the employer has to provide all the appropriate requirements and adequate
equipment‘s facilities and experienced personnel for providing the first aid service to the injured
persons.
The employer should ensure that the first aid is given to the worker who has experienced any kind of
injury or fallen ill in the workplace to receive immediate attention and first aid is given to him. The
employer has to ensure adequate first aid provision and he has to make regular inspect and assess the
first aid requirements.

The following are the considerations and requirements for the first aid in the organizations.
 A first aid station or room

 First aid box
 Equipment‘s
 Provisions
 Facilities
 Stretcher
 First aid treatment professional
 Nurse
 Transportation
 First aid manuals
 Guidelines
First aid kit should the following medical equipment‘s, accessories, items and medicines in good state
of condition and expiry date.
 1 basin, preferably stainless steel

 1 card of safety pins
 Dressings consisting of,
 Adhesive dressings individually wrapped,
 Sterile gauze pads, 3 inches square,
 Rolls of gauze bandage, 2 inches wide,
 Field dressings, 4 inches square or 2 four-inch
 Sterile bandage compresses, and triangular bandage
 Rolls of splint padding
 Roll-up splint
 6 sterile surgical pads suitable for pressure dressings, individually wrapped
Role of first aiders:
A First aider is a person who has trained and gained skills and experience for treatment of illness and
casualty risk associated during the work. For organization a first aider should have taken training from
the international health and safety regulatory body and must hold Certificate of Resignation (COR) for
this credit and the regulatory body should approve him for the same.
The below following are the roles of first aiders that are carried out in the organizations
1. Providing first aid assistance to ill or injured employees, workers, helpers, and visitors.
2. Maintain of first aid boxes
3. Ensuring first aid facilities
4. Preserving of medicines and other equipment‘s
5. Ensuring and removing of outdated medicines
6. Being available and active whenever an emergency occurs
7. Maintaining records
8. Training the other co-workers/employees how to help him
9. Regular inspections of the stretchers and other items
10. Planning requirements

11. Informing management regarding the required resources
12. Updating first aid regulations and news
13. Following guidelines
The following are the requirements for the first aid boxes that should have in the first aid boxes.
 General guidance leaflet

 Directions for requesting emergency assistance.
 Stethoscope
 Cotton swabs
 Thermometer
 Two elastic wraps.
 Splint.
 Safety pins
 Saline
 Soap
 Antiseptic wipes
 Apron
 Penlight
 Aspirin
 Paracetamol
 Oral rehydration salts
 Pain killer tablets/ creams/ sprays
 Gauze pads (at least 4 x 4 inches).
 Two large gauze pads (at least 8 x 10 inches).
 Box adhesive bandages (Band-Aids).
 One package gauze roller bandage at least 2 inches wide.
 Two triangular bandages.

 Wound cleaning agent such as sealed moistened Towelettes.

 Scissors.
 At least one blanket.
 Tweezers.
 Adhesive tape.
 Latex gloves.
 Goggles
 Pocket mask.

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Contents
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4.1 Active and Reactive Monitoring 3

4.1.1 Differences between Active and Reactive Monitoring 3
4.1.2 Active monitoring methods 4
4.1.3 Reactive monitoring measures and their usefulness 11
4.1.4 Why lessons need to be learnt from beneficial and adverse events 12
4.1.5 The difference between leading and lagging indicators 13
4.2 Investigating incidents 15

4.2.1 The different levels of Investigations 15
4.2.2 Basic incident investigation steps 16
4.2.3 How Occupational Accidents and Diseases are Recorded and Notified
By the Organization 19
4.3 Health and Safety Auditing 22

4.3.1 Definition of the term Audit 22
4.3.2 Why Health and Safety management systems should be audited 23
4.3.3 Difference between audits and inspections 23
4.4 Review of Health and Safety Performance 27

4.4.1 Why Health and Safety Performance Should Be Reviewed 27
4.4.2 What the review should consider 29
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4.1 Active and Reactive Monitoring
4.1.1 Differences between Active and Reactive Monitoring
Measurement is the key step for the health and safety management system, for any kind of
organization through measurement, management can form the basic requirements for the
continuing effectiveness of the health and safety management system.
Management should ensure and monitor the required arrangements to control the risks in the
workplace and to operate the organization effectively by maintaining health and safety.
Monitoring is important to ensure that the policy does not become another piece of paper to
determine the objectives and the controlling measures to justify in terms of their own values.
Monitoring should also take place when there are changes in legislation, change in process,
procedures, change in practice and guidance.
It is the responsibility of the organization to monitor the performance of how the health and
safety is managed in the organization in the same way like how the other business aspect is
monitored.
Reasons for Monitoring:
The following are the reasons that enable the organization to carry out the monitoring.
● To identify the standards of health and safety practices

● Identifying new trends
● For comparison
● Benchmarking
● Identifying of controlling measures
● Identifying the effectiveness
● Making decisions on remedial measures
● Setting priorities
● Establishing timescales
● Assessing of compliance with the legal requirements
● Providing information to the concerned boards and committee’s
There are two ways to carry out the monitoring they are:
1. Proactive or active monitoring

2. Reactive monitoring or negative monitoring
Proactive or active monitoring:
By taking proactive or active monitoring involves routine inspections and checking of the
standards and policies to make sure of them in using and implementing controls and checking
the controls that are working and inspecting of missing guards, checking noise levels of the
workplace, checking the use of PPE and testing emergency systems etc.…
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Reactive or negative monitoring
After the things that go wrong involves looking at statistics and previous events to learn the
mistakes and deciding what things can be put right to prevent the recurrence of the same.
Reactive monitoring involves investigation of accidents, injuries, and ill health and near miss
reports.
4.1.2 Active monitoring methods:

The main objective of the active monitoring is to check the health and safety objectives that
have been established in the organization and the monitoring of the compliance with the
keeping in regard of the organizational systems and the standards.
Active monitoring attempts to identify, evaluate and control the hazards and risks before they
lead to accidents. Active monitoring provides an opportunity for the employer to confirm the
commitment and the objectives of the health and safety in the organization. Active monitoring
is the only monitoring systems that tell the reliability and the effectiveness of the standards and
the system of the organization.
Procedures of active monitoring
There are various procedures and types of active monitoring, they are:
● Procedure to monitor specific objectives

● Periodic examination of documents related to health and safety
● Systematic inspection of premises and plant
● Systematic inspection of
equipment’s
● Ensuring the effective operation of
the workplace
● Environment monitoring
● Monitoring performance standards
Types of active monitoring are as follows:
● Safety audits
● Safety inspection
● Safety survey
● Safety tour
● Safety samplings
● Benchmarking
● Health and safety surveillance
● Reviewing of performance
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Role of safety inspection:
The main role of safety inspection is to identify the hazards and its risks and the effective ways
of assessing the risks with the appropriate controlling measures. A safety inspection involves
very straight forward observations and inspection of the workplace and the other activities of
the machinery and the equipment’s in the workplace.
In safety inspection what is being inspected is more important than the what needs to be
inspected and identifying what kind of improvements are needed to overcome the workplace
hazards and determining whether the controls are suitable or not for the particular hazard.
Safety inspection is usually carried out by the health and safety representative, safety
inspectors, competent person or workplace management manger by using the checklist and can
be carried out regularly with the exact time interval.
Problems faced while undertaking workplace inspections
There are four main problems that are faced by the inspectors in the workplace are as
follows
● The inspections are only a snapshot in time

● Some hazards will not visible at all
● Some hazards may not be at the time of inspections but may arise later
● Unsafe practices may not happen during the inspection if the workers know the
inspection is going to take
Safety inspection checklist
Some of the checklist topics that are mostly used under

the heading of the following areas
● Electrical safety
● Machinery
● Internal transport
● Welfare activities
● Manual handling
● System of work
● Procedure and style of work
● Emergency equipment’s
● Use and storage of hazardous items
● Provision and use of PPE
● Working environment
● Traffic routes
● Housekeeping
The role of Sampling

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The role of sampling is to identify the amount of a group of items, people, and representatives
etc.… in order to examine and establish facts about the standards of compliance of the whole
group.
Sampling is done where a particular amount of a particular area is looked at to establish an

indication of the standard compliance as the whole area. Sampling notes both compliance and
non- compliance which is counted to provide a score of the overall effectiveness of the safety
performance.
Sampling is conducted related the following things. They are
● Specific hazards
● Best practices
● General workplace hazards
Specific hazards
Specific hazards such as noise and dust are typically conducted by those trained and
appropriate hygienic systems.
Best practices
Best practices such as wearing of personal protective equipment’s and this kind of investigating
is normally done by the first line managers.
General workplace hazards
General workplace hazards are those that are identified during a walk through and these kind
of walkthrough are conducted by the first line managers, health and safety representative and
the workers.
Safety surveys
Safety surveys role is to examine and focus on a particular activity or a narrow field of the
health and safety aspects with findings and expectations.
Major Key areas revealed by such things as safety audits and
are carried by the specialists.
The term safety survey is usually applied to a limited number of

critical aspects for example
● Survey on noise
● Survey on lighting and ventilation
● Survey on temperature
● Survey on PPE
● Survey on workplace conditions
● Survey on machines and its operations
● Survey on workers' safety behavior
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● Survey on ambiance in the workplace

● Survey on satisfaction etc.
Source: www.business-safety.com
Safety tours
Safety tours are unscheduled examinations of the workplace, the role of the safety tour is to
explore the effectiveness of the risk controlling measures. Safety tours are normally carried out
by the safety committee member or worker's manager to ensure the standards are at acceptable
levels or not.
Safety tours help to find the obvious hazards and the removing of hazards and observing
general standards of health and safety. Safety tours help in communicating with the workers
and this type of communication will accurate picture of working conditions and the problems
that are faced by the workers.
All the reviews and the monitoring outcomes including improvement actions and suggesting
suitable controlling measures must be recorded to make the tour effective.
Factors governing frequency and type of inspection
When developing and establishing an approach of inspections some of the governing factors
should be considered during the planning stage only.
The following are the factors that have to be considered during the planning phase
● What needs inspection?

● Who are going to conduct inspections and are they competent?
● When the inspections are to be conducted?
● Inspections circumstances and the frequency of inspections?
● What standards are to be used in the inspections?
● Is inspection checklist required?
● What kinds of equipment’s are to be used in inspections?
● Is any PPE’s necessary for carrying inspections?
● Where the findings are to be recorded?
● Who will prepare the inspection report?
● Who will develop the action plan?
● Who is responsible for ensuring remedial actions are to be carried out?
Frequency and type of inspection

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Types of safety inspections
There are many types of inspection that are used by the inspectors, but the most commonly
used inspections are only two, they are
1. General workplace safety inspection and

2. Statutory safety inspection
General workplace safety inspection
This kind of general inspection is carried out by the management, health and safety
representative, safety inspectors on a regular basis.
Statutory safety inspection
Statutory safety inspection is the inspection that is required by the legislation of the country
and is carried by the competent person. In most of the organizations the inspection is carried
out even on clearance and the transport system they use.
Frequency of inspection
The frequency of the inspection depends upon various factors such as the purpose of the
inspection, level of risk in the workplace, changing nature of the workplace, manufacturer's
recommendations, environmental conditions, severity of the failures, benchmarking, previous
statistics and past failure history.
The frequency of the inspection should be planned at regular intervals and the inspection should
also take place on the planned schedule. The time between the inspections mostly depends
upon the employer discretion.
General workplace inspections are carried out in lower risk organizations that are not affected
by the by change on frequency, normally for every three months workplace inspections is
carried out these types of organizations. General workplace inspections are required every
month in higher risk organizations.
Competence and objective of the inspector
There are many people who carry out the workplace inspections, inspections normally involve
a physical examination of the workplace or equipment in order to identify the risks causing
hazards and determining suitable controlling measures.
The following are the people who carry out the workplace inspections and the people who are
going to carry out the inspections need to competent person.
● Supervisors
● Managers
● Safety practitioners
● Health and Safety representative
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● Enforcement agencies
● Insurance companies representatives
● Competent specialist person
The competent person should have knowledge

and should require the following objectives
and knowledge
● Knowledge of workplace inspections

● Knowledge of controls
● Knowledge of inspection area and its
significance
● Knowledge of hazards
● Knowledge of processes and activities of carrying inspections
● Realizing how to control the hazards
● Inspecting techniques
● Good communication and writing skills
Use of checklist
In many situations use of a checklist may be useful so as to carry out the inspections promptly
and to examine the key areas without forgetting. Checklists are mainly used to overcome the
memory aid loss and to inspect based on the criteria of the workplace without fail like the way
of things to be inspected.
Factors to be considered when creating a checklist for the general safety inspection are
as follows:
● Substances and materials to be used

● Condition of traffic routes
● Means of access and egress
● Work equipment’s
● Manual handling practices
● Work environment
● Electricity
● Fire precautions
● Welfare activities
● First aid arrangements
● Using appropriate PPE’s
The strengths of using a checklist
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Inspecting the workplace with checklist will helps in strengthening to complete health and
safety inspections, they are as follows
● It enables preparation and planning

● The inspection will be structured and systematic
● Reduces the chance of ever doing
● Reduces the important issues being overlooked
● Ensures consistent approach
● Quick and easy to approach
● Provides immediate findings of records
● Provides easy method for comparison
● Auditing will be easier
Effective report is an important task and its data is so significant in the entire field of
occupational health and safety management system. Whatever the active measuring is done in
the name of monitoring, inspecting and sampling everything is written in report form so as to
submit it to legislation and its concerned health and safety bodies as well as for the organization
development in terms of health and safety.
Effective report writing is an important task and is carried out carefully without any kind of
errors. Report writing is effective when the data is documented as per writing standards.
Effective report writing is considered as effective when it contains the following things that are
basic and mandatory for the report writing.
● Structure
● Style
● Content
● Emphasis and
● Persuasiveness
The main purpose of the effective report writing is to communicate the information on the
investigation. The report is encouraged when it is simply and written in plain English.
The main importance is given to the structure of the report because it is the important in
identifying the report easily. The structure should be followed as per the standards and the
remaining ones are not too mandatory.
The structure should follow the following while writing a report:
● Introduction
● Background
● Summary
● Main body of the report
● Content
● Recommendations and
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● Conclusions
4.1.3 Reactive monitoring measures and their usefulness:
In reactive monitoring various measures are considered to the outcomes of the organization’s
investigation in order to identify and carry out the significance of the outcomes and the
opportunities for the improvement and to ensure the health and safety in the organization.
The reactive monitoring measure gives the performance and the feedback that is experienced
in the workplace. The reactive monitoring measures are flexible then the active monitoring
measures because of many reasons, so many organizations remain in reactive monitoring and
carry out all the investigations in the reactive monitoring only.
Through this reactive monitoring we can easily take action and assume the incidents that can
be occurred, reactive monitoring helps the events to trigger the various aspects of the
organizational hazards. The following are the some of the hazards that are taken into
consideration in reactive monitoring measuring.
● Workplace injuries
● Ill health
● Damage to the organizational property
● Incidents
● Hazards and its reports
● Health and safety issues and complaints
Reactive monitoring measures include the following events of organizational health and safety
concerned issues and its aspects. They are as follows
● Data on incidents
● Dangerous occurrences
● Near misses
● Ill- health
● Complaints of work force
● Complaints of enforcement actions
Reactive monitoring measures are done even on the data of incidents that have occurred in the
organization before. This is the monitoring measure that is approached before the event to
indicate and prevent the accidents that are likely to occur.
Likewise reactive monitoring measures are done on all the events of occupational health and
safety issues like dangerous occurs in the workplace, near misses, ill- health of the workers and
its related issues, complaints of workforce and enforcement actions.
https://www.iso9001help.co.uk/free%20templates/IGC1_Element_5_Part_1.pdf
4.1.4 Why lessons need to be learnt from beneficial and adverse events
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Accidents are preventable but only if you understand how and why they happen. Understanding
these things is only possible through good investigation. It is no coincidence that businesses
and sectors of the economy that have the best safety records also have the strongest and most
developed approaches to investigating and learning from accidents. However well you manage
risks, your organization can expect to have some unplanned, unanticipated events. Accidents
damage people and they damage organizations - not just operationally as a result of business
interruption and associated costs but they cause damage to morale and also to corporate
reputation.
Yet accidents are also ‘windows on reality’ and thus present important opportunities for
organization’s to learn lessons which, if acted on, will not only help prevent recurrence of the
same kinds of events but will enable them to improve the way they manage risks generally. In
practice however there can often be real difficulties in identifying and analyzing the evidence,
meaning that the ‘glass in the window’ can be difficult to see through! Of course, when it comes
to making things safer, we should all be trying to prevent accidents proactively using suitable
and sufficient risk assessment (which in essence is investigating before things go wrong). In
reality however our ability to foresee and forestall accidents is always limited, so when they do
occur, we need to understand that they can actually be our one of our best teachers; although
to be able to squeeze safety learning out of them, we need to learn how to listen to what they
try are trying to tell us. In fact, learning how to learn from accidents and incidents - particularly
by overcoming some of the common barriers such as fear, blame and anxieties about
reputational loss and legal proceedings that arise in their aftermath - and developing a culture
of reporting accidents, incidents, unsafe acts and conditions - is all part of a much bigger culture
change that is badly needed in so many of today’s businesses. The need to enhance the quality
of learning from accidents remains one of key occupational safety and health issues. The truth
is told however, it has been one of the hardest of all our policy priorities on which to make
progress. Too many businesses seem to think they investigate accidents quite adequately. It is
a sad fact however that most accidents and ‘near misses’ are still not reported, either within
organization’s or to relevant enforcing authorities (often due to fear of consequences) - and
consequently there is no investigation of any kind.  Although there are organization’s that
do have really effective approaches to investigation and organizational learning from accidents,
many businesses - often SMEs - still have no clear procedures for investigation (including
managerial and worker involvement).
And even when there are procedures, there are still no effective criteria to help decide on the
scale or the level of investigation to be adopted. In most businesses this is still decided by the
severity of resulting injury (often a matter of chance) rather than safety significance or learning
potential of the events that produced it.  Often investigators fail to gather all the relevant
facts.  And distortions can creep into evidence gathering and analysis due to uncritical biases.
(We think we know what happened and thus we seek only that evidence which supports our
suspicions. We stop our evidence search when we think we have found ‘the cause’.)  Little
use is made of structured methods to integrate evidence.  Many investigators tend to
conclude the investigation too early and do not go far enough, often failing to think outside
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conventional rules and operating systems or just focusing on the errors of individuals without
searching for ‘root causes’ such as weaknesses in health and safety management systems. 
And even where investigations are of reasonable quality, there can still be poor communication
of ‘lessons learned’ and failure to track closure on resulting recommendations. These problems
are not unique to health and safety. There is always the danger with investigations of all kinds
that they can be quite cursory and superficial, leading to recommendations for narrow,
technically focused ‘quick fixes’ rather than ‘root and branch’ changes in risk management.
Source: https://www.rospa.com/rospaweb/docs/advice-services/occupational-
safety/noshc/learning-how-to-learn-from-accidents.pdf
4.1.5 The difference between leading and lagging indicators:
Measurement is an important part of any management process and forms the basis for
continuous improvement. Measuring safety performance is no different and effectively doing
so will compound the success of your improvement efforts.
Finding the perfect measure of safety is a difficult task. What you want is to measure both the
bottom-line results of safety as well as how well your facility is doing at preventing accidents
and incidents. To do this, you will use a combination of lagging and leading indicators of safety
performance.
Lagging indicators of safety performance:
What is a lagging indicator?
Lagging indicators measure a company’s incidents in the form of past accident statistics.
Examples include:
● Injury frequency and severity

● OSHA recordable injuries
● Lost workdays
● Worker’s compensation costs
Why use lagging indicators?
Lagging indicators are the traditional safety metrics used to indicate progress toward
compliance with safety rules. These are the bottom-line numbers that evaluate the overall
effectiveness of safety at your facility. They tell you how many people got hurt and how badly.
The drawbacks of lagging indicators:
The major drawback to only using lagging indicators of safety performance is that they tell you
how many people got hurt and how badly, but not how well your company is doing at
preventing incidents and accidents.
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The reactionary nature of lagging indicators makes them a poor gauge of prevention. For
example, when managers see a low injury rate, they may become complacent and put safety on
the bottom of their to-do list, when in fact, there are numerous risk factors present in the
workplace that will contribute to future injuries.
Leading indicators of safety performance
What is a leading indicator?
A leading indicator is a measure preceding or indicating a future event used to drive and
measure activities carried out to prevent and control injury. Examples include:
● Safety training
● Ergonomic opportunities identified and corrected
● Reduction of MSD risk factors
● Employee perception surveys
● Safety audits
Why use leading indicators?
Leading indicators are focused on future safety performance and continuous improvement.
These measures are proactive in nature and report what employees are doing on a regular basis
to prevent injuries.
Best practices for using leading indicators
Companies dedicated to safety excellence are shifting their focus to using leading indicators to
drive continuous improvement. Lagging indicators measure failure; leading indicators measure
performance.
According to workplace safety leading indicators should:
1. Allow you to see small improvements in performance

2. Measure the positive: what people are doing versus failing to do
3. Enable frequent feedback to all stakeholders
4. Be credible to performers
5. Be predictive
6. Increase constructive problem solving around safety
7. Make it clear what needs to be done to get better
8. Track Impact versus Intention
Source: https://ergo-plus.com/leading-lagging-indicators-safety-preformance/
4.2 Investigating incidents
4.2.1 The different levels of Investigations

Role of incident investigation
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Incident investigation plays major role in reactive monitoring measure in finding out the
reasons of incidents that helps in preventing harm to the workplace workers and in future
protecting and preventing recurrence of incidents.
The findings of investigation help in controlling recurrence of the same type of risk and harms
and which in turn improves the standards of workplace, procedures and workplace
requirements.
The role of investigation of incidents as a source in reactive monitoring measure includes

various areas and functions. They are as follows
● Information and data gathering

● Identifying new and latest trends that are to follow
● Establishing all the legal legislation liability
● Preventing of harms
● Controlling of recurrence of the same issues
● Identifying all the under lying causes and its preventions
Function of investigation:
The function of investigation is to find out the accidents ideally and all the near misses and
minor and major injuries and levels and type of hazards. In the investigation of the accidents
the function also involves finding out the occurrence rate and the severity of the injury that and
the time frame for each accident.
An investigation may vary based on the type of hazard and the degree of the injury or damage
that is caused in the workplace of the organization. Apart from that investigation varies
according to the circumstances including several reasons like the below.
● Identifying the weakness in the system

● Identifying the weakness in the standards that are implemented
● Determining all the economic losses with its efficiency and maximum percentage
● Recommending actions and setting guidelines to prevent the recurrence of the risks
● Accruing statistics based on the investigation
● Improving relationship with the staff and motivating them
● Helping the staff and demonstrating commitment to health and safety
● Preparing all the insurance and worker compensation of data
● Preparing and taking action on legal and criminal issues
The other important function of investigation is that the investigation team should never point
out or blame any individual staff and a particular group. If any human error or problem is
associated with the accident the reason and its significance cause must be investigated and
documented.
Different types of incidents
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There are different types of incidents they are as follows
● Injury
● Ill-health
● Accidents
● Dangerous occurrence
● Near miss
● Damage only
Injury: “Any type of physical harm or damage that is done to any kind of suffering done by
person.”
Ill- health: “Harm to the person's health and his behavior caused and developed during their
work in a work place”.
Accident: “ Any unplanned incident that results in injury or ill health of the people, or damage
or loss to the property, plant , materials or the loss of a business opportunity“
Dangerous occurrence: This is also a near miss incident that results in potential serious injury
or loss of life.
Near misses: It is like an incident that may have lead to an accident, knowledge of this incident
is more important in maintaining safety of the people. Near miss is most unexpected,
unforeseen and unwanted incidents that results in loss or damage.
Occupational ill health: This kind of ill health is often caused by physiological or
psychological or combination of both. This illness is concerned with workplace activities.
Hazards: An environmental condition, situation or behavior aspects in the workplace that have
complete potential in causing injuries and loss.
4.2.2 Basic incident investigation steps:

Whenever any accident occurs in the organization the risk assessment and the incident
investigation has to be done for this there are some basic incident investigation procedures that
are followed for the investigating the incidents.
The ILO had set some practices that are to be followed in investigating procedures,
requirements for the employers to investigate accidents and the dangerous occurrences and
incidents that have occurred in the organization.
Based on the ILO guidelines the complete investigation is followed and started. Some of the
guidelines that are set by the ILO for the accident investigation are as follows
● The area that is exposed may be hazardous even after the incident so you should take
care of yourself and don’t become a victim of the same incident
● The investigation should be followed as soon as possible
● The objectives of the investigation should be set prior to the investigation
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● The investigation team should not find any factors to blame any person
● All the witness should be assessed and interviewed
● All the notes should be taken, should not rely on own memory
● The witness statements should be documented for future use
● Never approach any witnesses without pre investigation
● Identifying the main root cause and its associated issues
● Never make or decide early and unqualified assumptions
In addition to that the ILO has set different factors that are to be considered in the accident
place, they are
● Approaching style of the investigation

● Level of investigation
● Type of investigation
● Preparing and requirements for investigation
● Training for reporting and documenting of incidents
All these above factors reflect good practices for approaching investigation and gathering
information adversely with the complete details like snaps of the machinery, equipment’s, area,
interviewed results etc.….
The analysis of the information is maintained and decided that what kind of factors are
necessary for the investigation based on what happened and how happened and is in which
state factors. All the human contributing factors, job factors and other organizational factors
that influenced are considered for the analysis.
During analysis all the suitable incidents controlling measures and its possible solutions are to
be identified. This involves identifying all the technical, procedural and the behavioral controls
are taken into account and the reliable controlling measures are suggested.
Apart from that the level and type of investigation depends upon the hazards and its depth and
the severity of the hazard and potential loss that is occurring in the organization.
For the investigation the following are the important factors that help in investigation process
easier and prompt. They are
● Interviews
● Plans
● Photographs
● Relevant records and
● Checklists
Immediate causes and root causes:
Identifying causes and root causes and recording and notifying of occupational accidents and
the injuries and ill health of workers. All the causes of an incident should be identified in order
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to determine what happened and the causes of the hazards and identifying measures to prevent
the recurrence of the same incidents in the workplace.
The unsafe acts and unsafe conditions of injuries and ill health are caused by the individuals
are as follows. The below unsafe acts and conditions result in workers being exposed to
uncontrolled hazards that represent a high level of risk for injuries and ill health.
Unsafe acts are like not wearing the appropriate PPE’s such as helmet, goggles and ear plugs
in order to prevent head, ear and ear injuries.
The unsafe conditions in the workplace are improper conditions of machinery and other
supporting equipment’s like electrical cables, trailing rails and trip hazarding etc.…
Root causes
The root causes of the incidents are the main result of many undisclosed failures. This typical
root causes results in due to the lack of understanding and training or sometimes due to peer or
organizational pressure and poor supervising. Sometimes the root causes may also occur due
to providing wrong equipment’s and in sufficient material handling tools and inadequate
equipment’s.
Here maintenance of the equipment’s is also considered as the root caused because of not
maintaining and regularly inspecting of the equipment’s.
Remedial Actions:
Remedial actions are those actions that are taken as soon incident occurred and sometimes
when results in serious injuries or ill health. Aside sometimes remedial actions are taken soon
after the investigation is doing for the work place not for the persons in order to protect the
other surrounding or beside equipment’s and machinery.
Remedial actions are taken at different times based on the action that has been caused by the
hazard some of them are followed just after the incident and sometimes after the incident and
it may be long term actions and during the death of the person eats…
The following are the actions that are applied immediately after the incident, they are
● Attending to the victim and serving him

● Notifying the next kin
● Securing the scene of the incidents
● Report to the enforcing people
● Reporting to the concerned legislation or concerned regulation bodies
4.2.3 How Occupational Accidents and Diseases are Recorded and Notified
By the Organization:
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Internal systems for collecting data and information on organization requirements for recording
incidents will be usually wider than the statutory minimum requirements and focuses more on
the serious hazards which have led to serious consequences in the workplace.
The statutory obligations to the reports and the incidents even though it has minor potential
hazards and may represent minor loss to the organization but if they occur regularly then the
corrective and the preventive actions have to be implemented to avoid reoccurrence of the same
hazards.
It is the responsibility of the organization's management to have a system that helps in recording
and reporting incidents. As these systems will help in identifying immediately the root causes
that may lead to the serious incidents.
Many organizations follow the separate recording and reporting of the hazards such as near
misses and ill health so as to ensure that they are focused in a linear fashion of collecting data
and may have single form or multiple forms and forms may vary based on the type of the
incident.
The employers should ensure and make arrangements to record and report a wide range of
incidents with implementation of controlling measures.
For the recording of incidents employers must use

different types of forms that are necessary for the making arrangements and in order to improve
controlling measures in the workplace. The recording forms are used based on the type of the
hazards and incidents occurred.
The following are some of the report forms that are used in the organization for
recording:
● Incident or accident report form

● Near misses report form
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● Accident book
● First aid treatment form
● Medical treatment form
● Medical doctor report form
● Sickness absence report form
● Insurance report forms
● Maintenance report form
● Repair report form
Analyzing and communicating data
The data which is reported by the concerned person commonly done by the first line manager
is fully analyzed by his next line manager, middle manager, health and safety representative,
workers health and safety representative, management managers and the employer. It is a
continuous chain of passing the reported data and it is an important activity that is to be
followed after the investigation process.
After this the data is analyzed by all the persons who have received the report of the
investigation. At the same time the data are communicated to all the staff and the worker as it
is one control measure and it helps in understanding the reason of failure which has led to the
incident. Aside the data are usually maintained depending upon the level, if the hazard is in the
form of an accident then the data is maintained for 3 years from the date of incident likewise
the data is preserved based on the ill health, diseases, worker's death, injuries, civil claims
etc.… for years based on its importance.
The organization should have requirements for recording and reporting incidents because to
carry out the activities that have emerged after the incident and also to remove the confusion
of the incident and to determine the level and type of the incident that has occurred and also to
measure the hazard occurrence rate.
At the same time the recorded information will helps in identifying the loss occurred and to
gather the data and to carry out the basic paper work in order to the meet the health and safety
policies in the organization.
The following are the some of the organizational requirements that has to be used and
implemented for recording and reporting incidents. They are as follows
● Health and safety policies

● Assessment teams
● Insurances for employers liability
● Management committees
● Communication of information to the employees
● Maintaining accidents books and records
● Workplace inspection committee
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● First aid
● Snaps and color sketches of the scene
● Machinery and its physical items and its parts
● Environment in the place of incident
● If present CCTV videos
● Interviews
● People who were involved in the workplace
● Eyewitness
Reporting of events:
Reporting of events that have occurred in the organization depends upon the legislation of the
country and its concerned occupational health and safety regulation bodies and to the national
and international agencies who maintain the information about the incident in the organization.
This kind or reporting is mandatory for some countries and some doesn’t consider and practice
these kinds of terms and definitions for the organizations. But many countries have common
practices of reporting incidents and the external agencies totally rely on the reports of the
organizations.
Apart from that some countries exempt some incidents to report like near miss and sudden
violent acts and unexpected events.
Typical examples of major injuries, diseases and other dangerous occurrences that are to be
reportable to the external agencies. The organization has to report the following incidents to
the external agencies are as follows
● Occupational accidents
● Communicating accident
● Occupational diseases
● Dangerous occurrences
● Major injuries
● Diseases
● Hazards
● Occupational deaths
4.3 Health and Safety Auditing
4.3.1 Definition of the term Audit

Health:
According to WHO (world health organization) –“Health is a state of complete physical, mental
and social well-being and not merely the absence of disease or infirmity.”
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Health is the one that leads to develop the level of functional or metabolic efficiency of a
Working being. In human beings, it is the common condition of a person's mind, body and
spirit usually it means to be free from all illness, injury occurred or pain.
The term "health" is also widely used in the context of many types of non-living organizations
and their impact is only for the benefit of human beings, such as the sense of healthy organized
communities, healthy cleaned cities or healthy environments. In addition to health care many
other interventions and a person's surroundings one, a number of other many other factors are
known that influence the health status of individuals, including their background, lifestyle they
possess, economic and social conditions.
These all refer to as "determinants of health". This makes many differences in both the
functionality and standardization of various aspects that are related to the products and services
that they work for.
Source: https://hsestudynotes.com/nebosh-igc-1-health-safety-management-systems-measuring-audit-
review/
Safety Audit:
A safety audit is a systematic and critical examination of the organizational compliance in

determining and to fulfill the systematic and critical examination of the level of compliance.
As per the ISO safety audit is a “systematic, independent and documented process of obtaining
audit evidences and evaluating objectives to determine the extent to which the audit criteria are
fulfilled”.
A safety auditing is a part of health and safety management system audit where the each
component is examined as per the set of agreed standards. The main importance of the safety
audit is to find out the level of compliance in the organization.
The auditing is not but the reviewing of the regulations, rules and the process that are followed
in the organizations. The health and safety audit focuses on all the aspects of the health and
safety regulations and policies of the organization that are presently followed as per the
legislation.
4.3.2 Why Health and Safety management systems should be audited:

The main important purpose of the auditing health and safety management system is to assess
the health and safety and to know how it is working and comparing it with the standards that
have been set. The auditing process will helps in identifying the strengthen areas and weak
areas. The audited report will helps in imparting new action plan which allows to manage health
and safety promptly.
The scope of auditing health and safety management system of any type of organization is to
audit the health and safety and to comprehend at the regular time frame. Apart from that the
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individual aspects and procedures of health and safety can be subjected to the individuals
auditing the system.
There are many individual audits of health and safety management system that helps in
increasing the standards of the organization in implementing the health and safety in the
workplace.
4.3.3 Difference between audits and inspections
Inspection
An inspection is when a facility, building, equipment, machinery, or even a process is being

closely observed with the aim of verifying that it meets a certain set of standards. Inspections
are also a part of quality assurance. Inspection involves looking at the item, facility, or process
closely and paying attention to the smallest details. Inspections can be done in a formal or
informal manner which could include check lists with items that need to be verified or just be
a general observation of the standard, efficiency and quality.
Audit
Auditing is a process that evaluates and measures performances of certain items, machinery,
equipment, etc. Audits are based on a set of predetermined guidelines and standards and are
more formal and planned out. The purpose of an audit is to identify whether the quality and
standards of the item being inspected are matched with the guidelines, norms, procedures, code
of practice, standards, and rules and regulations against with which they are checked. Audits
are used on larger processes that require a more systematic evaluation of all features,
functionalities, and aspects. Audits are conducted in greater depth, and may include referring
to past documentation and interviews with the users or workers of the equipment, system, or
process. Audits can also be seen as detective work, where auditors also frequently look for
evidence that the system is in compliance with the set out standards.
What is the difference between Audit and Inspection?
Audits and inspections can be conducted on systems, processes, equipment, assets, goods, etc.
The purpose of an inspection or audit is to make sure that the system or the item meets a certain
set of standards, norms, code of practice, rules and regulations, etc. Despite their similarities,
there are a number of differences between the two. An inspection involves observing the details
of the process, product, or system and can be done in a formal or informal manner. An audit is
much more structured and planned out than an inspection and involves in depth analysis of the
various features, functionalities, and processes. Audits will involve checking the system against
a set of predetermined standards and guidelines. Further to this, time that is spent on an audit
is much longer than the time spent on an inspection. Audits are usually carried out once a year,
whereas inspections are done frequently than that and could be weekly or monthly.
Audit vs. Inspection
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• An inspection is when a facility, building, equipment, machinery, or even a process is being

closely observed with the aim of verifying that it meets a certain set of standards.
• Audits are based on a set of predetermined guidelines and standards and are more formal
and planned out.
• Audits are usually carried out once a year, whereas inspections are done frequently than that
and could be weekly or monthly.
The stages of an audit:
While coordinating and structuring the audit process it should be assessed and followed as per
the system that is being implemented in the organization. So the pre audit checklist should be
prepared in advance and must be utilized it before the initializing of the audit process.
The pre audit preparations should be prepared and must use it in the auditing process. In
structuring and developing pre audit preparations there are some important points that are to
be used in during the auditing, the following are some of the pre audit preparations. They are
● Information gathering
● Notifications and interviews
● Selections of staff
● Retention of the employees
● Competence of the auditors
● Time for auditing and
● Useful resources for auditing
Responsibility for audits:
The responsibility of the conducting audit should comply with the concerned or national
legislation requirements and should monitor all the approached health and safety arrangements
within the organization and to ensure an audit undertaking place should be within the
organization.
Apart from that, the responsibility of the audit will help in conforming the level of compliance
to the general duties under the national or national health and safety legislation.
Auditing should be performed by the people who are more competent and who is independent.
Special training is given to health and safety practitioners who have received specific training
in health and safety auditing and other various techniques to carry out the auditing.
Generally auditing is carried out in the form of the team, often the team size is small when
compared other investigations.
In addition to audit process can be performed by the management of the organization without
auditing directly their efforts that they have approached and implemented. The management
should train their managers for auditing purpose with all the techniques that are required to do
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auditing. They are called as internal audits and they do not have hands on experience in
auditing.
Advantages and Disadvantages of external audits:
ADVANTAGES DISADVANTAGES
External audits are very much easier to

External audit is expensive
benchmarking and to measure
In this the external auditor has full They require documentation to follow the
freedom and independence organization's procedures
They are not fully aware of the company or the

External auditors are fully aware of the
organizations because they are new to the
benchmarking and other legislations
company
External auditors are impartial The penalty cannot be implemented
Gives and suggestions and solutions for

May give up on real reports
high level problems
Needs interactions with the staff and workplace

Criticism is not inhibited
employers
Advantages and Disadvantages of internal audits:
ADVANTAGES DISADVANTAGES
Internal audits can be performed by

May not possess good auditing skills
the inside person who is an expert
Many faults will be overlooked and sometimes

Auditing can be done at low cost
ignored
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Internal auditors will have a clear

understanding of the whereabouts of The internal auditor will not have sufficient
the workplace and its associated freedom and independence
problems
Internal auditing person will be aware

of the system that is followed in the May not be up to date with the legislation
organization
Time taken to audit will be more when Sometimes may subject to pressure and time
compared to external audit constraints
Actions taken following the audit
The presentation of the report should be in detail and the management should easily notice the
weak areas and the problems associated with and should learn the errors and must take action
as per the guidelines and suggestions.
Based on the audit outcome the detailed report of findings and its recommendations are given
to improve and to maintain health and safety management system. The actions that need to be
taken are structured and approached as per the guidelines and suggestions by the auditing team
and implementation should be followed.
The detail report of the audit should clearly address the findings and the assessment problems
that they faced and founded should also be addressed and they should identify the deficiencies
and make the appropriate recommendations for the improvement of the overall performance of
the health and safety of the organization.
The auditing should identify the observed strengths and they should provide better suggestions
to maintain its stability and performance. The auditing team prepared reports should be
accurate and structured in a standard format and it should be communicated easily and clearly.
Correcting Non-conformities
All the recommendations and correcting nonconformities should be carried out on all the
nonconformities that are assigned to the management, it is necessary and essential that the
management should take the responsibility of both audit and subsequent action plans.
The progress of the nonconformities should be monitored at regular interval of time through
the audit reports and walk-through and feedback by the managers and suggestions taken during
meetings.
4.4 Review of Health and Safety Performance
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4.4.1 Why Health and Safety Performance Should Be Reviewed:

The HSE of UK has described reviewing health and safety performance as “ reviewing is the
process of making judgments’ about the adequacy and performance and taking decisions about
the nature and timings of the actions necessary to remedy deficiencies and to learn from the all
other relevant experience of other organizations.”
The purpose of reviewing health and safety performance is to evaluate and calculate the
effectiveness and to compare the experiences and foreseeable factors that might affect the
performance and future development. By reviewing the health and safety performance we can
easily identify the standards of health and safety practices and the conditions of the health and
Through reviewing we can also able identify the trends that have the relationship between
health and safety and to different types of incidents and for analyzing of the incident data with
the past incident data. Through reviewing it helps in comparison with the previous ones and
helps to set targets in order to increase organizational performance with other organizations.
Apart from that there are several other reasons why the reviewing is important for organizations
in maintaining health and safety. They are as follows
● For identifying which and what kind of control measures are in use
● For assessing the control measures and its effectiveness
● To enable the remedial measures in the deficiency area that are identified
● Identifying of any new or changed risks
● Making and assessing compliance with the legislation
● Assessing of compliance with the legal requirements
● Assessing compliance with accepted international or national standards
● To boost morale and to motivate the workers
● For monitoring health and safety in the organization
As the reviewing is an important task and is data is handled carefully so the health and safety
performance needs to be reviewed at each level by the concerned management, starting from
the most concerned person
Or senior management managers. The senior managers are people who have the responsibility
to guard the management culture in the organization and for the measurement of health and
In addition it is important that the other most senior management managers are involved in
reviewing the health and safety including the top management manger of the organization,
because they are fully exposed to the management system and the resources they have. At the
same time top managers have vast influence on the standards and the policies of health and the
safety. So the reviewing is done from the top managers involving other senior managers with
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the deciding factor and the parameters of the review so as to consider the outcome of the review
process of health and safety.
If we go more specific the reviewing process may take place right from the workplace manager,
line manager, worker representatives and if necessary workers are also involved to over the
ambiguity of the reviewing process of health and safety of the organization.
Review at planned intervals
In general reviewing is a regular and ongoing activity is done all over the year, in the other
way reviewing process is a continuous process in the organization for health and safety, but the
reviewing process should be more efficient and effective like other reviewing process that is
done for other activity in the organization.
The reviewing process should be planned and need to ensure that it is carried out on a timely
basis and particularly where there is no other means of monitoring activities. Every manager
should make and give more effect to such kind of reviewing with arrangements for undertaking
good preventive and protective measures.
Planning of the reviewing is an important task for the management and to determine its
effectiveness in planning the reviewing of health and safety.
Planned reviews may take place based on the some regular time frames or time intervals so as
make the health and safety more effectively; the following are the time frames
● Monthly
● Quarterly
● Half-yearly and
● Annually
Assessing opportunities for improvement and the need for change
For assessing of reviewing regularly the opportunities for improvement and the need for the
change in the health and safety performance allows managers and other top managers to
identify the two factors of assessing health and safety with regard to the performance and
improvement. The factors are success and deficiencies, the need of change may not be apparent
from the individual incidents as they are the basic factors in reviewing health and safety of the
organization.
The review provides an opportunity to consider why this allows the organization to make
improvements on the regular time interval basis. The reason for involving reviewing practical
measures are due to improved training and supervision or the information that is gathered from
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the reviewing might help and suggest that the any changes in the policy, standards as well the
procedures are required if improvements are to be maintained.
Reviews that are conducted by the senior managers helps in setting and shaping the overall
health and safety objectives and in assessing opportunities for improvement and factors that
may drive for changes in legislation, regulatory bodies, practices and the technology.
4.4.2 What the review should consider:
The following are the reviews that are considered in the organization for the health and safety
objectives and effectiveness of it with improvements and suggestions.
They are
❖ Level of compliance with relevant legal and organizational requirements

❖ Accident and incident data, corrective and preventive actions
❖ Inspections, tours and sampling
❖ Absence and sickness
❖ Quality assurance reports
❖ Audits
❖ Monitoring data\ records\ reports
❖ External communications and complaints
❖ Results of participation consultation
❖ Objectives meeting
❖ Actions from previous management reviews
❖ Legal\good practice developments
❖ Assessing opportunities for improvement and the need for change
All these above reviews are considered for reviewing by the reviewing team. These are the
only factors that are majorly considered for the reviewing health and safety performance in
the organizations.
Through these above factors only the reviewing team can determine the health and safety
performance and its effectiveness and the management system for implementing system
standard with the maximum control of the workplace from the specific risks.
Maintenance of records of management review
Maintenance of records and then management of the review must be established by the every
organization for better maintenance of the procedures and for maintenance of records and in
order to maintain the system of the organization in an efficient and appropriate manner with
good practices in maintenance of records and management.
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Records of the reviews will enable the organizations to consider the results of every review in
the following reviews and to provide evidence for compliance with the legal requirements and
other organization's criteria such as establishing management system. Maintenance of records
provides the necessary evidence that the efforts are applied to ensure that the health and safety
level and performance are to meet with the organization.
Maintenance of records and reviewing should be identifiable and easily traceable whenever the
particular activity in the organization occurs at the same time the records should be legible and
should be in standards that are set by the legislation.
Reporting on health and safety performance
Health and safety performance reports should be reviewed and reported to the senior
management and top management. This can be termed as the more important because the
situations where the review is done by the risk assessment team should be able to conclude the
reasons and the senior management can understand and to accept the implications of the review
that has been performed.
The results of the review should be communicated all over the organization in wider way and
especially for the managers who has responsibility for reverting and responding to the actions
that can arise after reviewing and to the person who is responsible for the relevant unit of
occupational health and safety management system so that he take and guide appropriate action
to be implemented.
In the organizations is customary to include the statements of health and performance to be

included along with the other risks for developing annual report, these are available to all the
workers, workers' representatives, health and safety committee of the organization and the
other stakeholders.
Feeding into action and development plans as part of continuous improvement
The reviews that were evolved for the health and safety should take place in an analytical way.
It is important that the health and safety actions take into consideration and must be up to date
and should be effective and fully completed.
Reviewing process objectives and actions to improve health and safety that is planned and
action for development and improvement of the standards and to establish all the reviewed
actions and at the same time the key performance indicators are established for the feeding
the actions such as production and quality.
Role of Boards, CEO, MD and senior management
The roles of the following members of the organizations like board members, CEO, MD, and
other senior manager carry high priority of the responsibility to ensure the reviews of the health
and safety and to conduct the performance review. The CEO and MD have overall
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y
responsibility but at the same time the board members have the same responsibilities and also
share responsibilities among each other.
The senior management member team may appoint any one of the team members to lead and
take the responsibilities to review the health and safety performance and the same member
holds the responsibility as the health and safety director. The same responsible person who has
appointed will conducts the reviewing process on behalf of the senior management team against
all the parameters and the same report of the review should be provided to the senior
management team for their consideration on the health and safety factors.
The senior management team should review process with the provided data and should involve
in periodic intervals to refresh their commitment to health and safety and to confirm the degree
to which the organization is being effective in managing health and safety risks.
The roles of the above members will help in making internal part of business excellence and to
product and service quality and occupational health and safety and implementing foundation
for the future success of the organization.
Page | 31

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NEBOSH INTERNATIONAL GENERAL CERTIFICATE

IN OCCUPATIONAL HEALTH & SAFETY IG1

Element 2: How Health and Safety Management Systems

Element 3: Managing Risk – Understanding people and

Element 4: Health and Safety Monitoring and Measuring

ACE Training & Consulting Page 1

ACE Training & Consulting Page 1

On completion of this element learners should be able to:

1.1 Morals and money 2

1.2 Regulating Health and Safety 9

1.2.1 Role of enforcement agencies & the consequences of non-compliance 9

1.3 Who does what in organizations 18

1.3.1 Roles of directors/managers/supervisors 19

1.3.2.2 Defining roles and responsibilities 22

1.3.3.1 Effective planning and co-ordination of contracted work 30

1.4 Sample Scenario with Tasks, Questions & Answers 32

1.1 Morals and Money

ACE Training & Consulting Page 3

Following are some examples of welfare facilities:

 Drinking water provision

A hazard is something or anything which has a potential to cause harm.

A hazard is something (e.g. an object, a property of a substance, a phenomenon or an activity)

ACE Training & Consulting Page 4

Following are some examples of risks:

▸ Risk of falling from height

▸ Risk of fire in a confined space

▸ Risk of material loads colliding with structures

▸ Risk of slipping and falling

Risk assessment is a systematic process where we:

Identify who might be harmed from these hazards and how

Assess or evaluate the risk associated with the hazards, and

Injury or ill Health:

An injury or ill health is an adverse effect on someone's physical, mental, or cognitive

1.1.1 Moral Expectations of Good Standards of Health and Safety

ACE Training & Consulting Page 6

MORAL – THE STATISTICS OF HEALTH AND SAFETY PROBLEMS IN TERMS OF

Yearly Statistics by ILO

ACE Training & Consulting Page 7

1.1.2 THE FINANCIAL COSTS OF INCIDENTS (INSURED AND UNINSURED COSTS)

When organizations follow high safety standards and encourage employee-management

ACE Training & Consulting Page 8

Some of the examples of direct costs include:

Some of the examples of indirect costs include:

ACE Training & Consulting Page 9

1.2 Regulating Health and Safety

Legal Reasons for Managing Health and Safety at the Workplace

1.2.1 The role of enforcement agencies and the consequences of non-

Following are some of the roles of enforcement agencies

 Detecting and investigating the alleged breach in the workplace.

ACE Training & Consulting Page 10

The Consequences of non-compliance:

ACE Training & Consulting Page 11

Loss of Current or Potential Staff

Down Time and Loss of Productivity

1.2.2 International Standards

ACE Training & Consulting Page 12

There exist various international bodies as well to encourage continuous enhancement of

1.2.3 ILO (International Labor Organization’s)

C155 - Occupational Safety and Health Convention, 1981 (No. 155)

The General Conference of the International Labour Organisation,

ACE Training & Consulting Page 13

R164 - Occupational Safety and Health Recommendation, 1981 (No. 164)

The General Conference of the International Labour Organisation,