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COURSE INTRODUCTION

Introduction:
NEBOSH International General Certificate is a well-known UK based health and safety
qualification for those who want to enhance their knowledge and technical abilities in the
OHSE field. This book will provide you a complete and comprehensive guideline and
techniques to pass NEBOSH qualification. This qualification is regulated by Scottish
Qualification Authority Accreditation (SQA-Accreditation) and considers a level 3 certification
according to UK study framework.
Professional Membership:
Holders of NEBOSH International General Certificate in Occupational Health and Safety are
entitled to Associate Membership (AIOSH) of the Institution of Occupational Safety and
Health (IOSH). The qualification also meets the academic requirements for Technical
membership (Tech IOSH) of the Institute of Occupational Safety and Health (IOSH –
www.iosh.co.uk) and Associate membership (AIIRSM) of the International Institute of Risk
and Safety Management (IIRSM – www.iirsm.org).
Course Overview:
The International General Certificate in Occupational Health and Safety course is divided into
two units. You need to pass all two units to complete the qualification.
There are two separate exam for each unit, unit IG1 is a written exam is an open book exam
contains 100 marks and Unit IG2 is practical assignment and require three hours (but not
limited) to complete this unit.
Passing Criteria:
Unit IG1: you need to achieve 45 marks out of 100 to pass this unit
Unit IG2: The minimum standard required for a Unit IG2 ‘Pass’, a ‘Pass’ must be achieved in
both units to achieve the International General Certificate in Occupational Health and Safety.
If the minimum criteria are not met than your assessment will receive a ‘Refer’ result.
Recommended Study Hours for tuition and private:
Unit IG1: 26 hours tuition and 20 hours private study Total: 46 hours
Unit IG2: 39 hours tuition and 20 hours private study Total: 59 hours
It is recommended that candidates must prepare their IG syllabus according to study hours
Qualification grades:
On successfully completion of both units, you are normally considered to have completed the
whole qualification, the marks are added together and a final grade is awarded as follows:
75+ Distinction
65-74 Credit
45-64 Pass
0-44 Refer

For more detail about the course syllabus and other useful policies related to
course please visit the NEBOSH website: https://www.nebosh.org.uk

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Course Structure:

There are two units for NEBOSH International General Certificate in Occupational Health and
Safety, unit IG1 have four elements and unit IG2 have seven elements, each unit contain the
following syllabus,

Element Assessment
Unit IG1: Management of health and safety
Why we should manage workplace health and safety
1

How health and safety management systems work

2 and what they look like
Open Book Exam
Managing risk – understanding people and
3 processes

4 Health and safety monitoring and measuring

Unit IG2: Risk assessment

5 Physical and psychological health
6 Musculoskeletal health
7 Chemical and biological agents
Practical Assessment
8 General workplace issues
9 Work equipment
10 Fire
11 Electricity

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QHSE Policy IEHSAS:

IEHSAS is committed the health, safety and welfare of all staff and leaners to be
paramount importance, and that a safe and healthy working environment is a
prerequisite to achieving the stated goal to promote excellence in teaching, learning
and training programs.

The objective of IEHSAS’s Health and Safety Policy is to:

 Ensure the health, safety and welfare of all staff and leaners, visitors and
public at institute, as far as is reasonably practicable, whilst providing a
working environment that is favourable to the nature of our business.
 Ensure that students who may be affected by the institute’s activities are not
exposed to health and safety risks as so far is reasonably practicable.

 Carry out suitable assessments of the health and safety risks to which staff,
leaners, visitors and members of the public may be exposed during the course
of the institutes’ activities and minimize those risks as far as is reasonably
practicable.
 Communicating the health and safety policy at all level and Provide
information instruction, training, and supervision to ensure, so far as is
reasonably practicable, the health and safety of staff, learners, visitors and
public.
 Controlling and Preventing occupational accidents / incidents and ill health to
improve its OH&S Performance.

 Ensure that all staff must comply with Health and Safety legislation and
IEHSAS HSE Policy and Procedures.
 Ensure appropriate procedures for the effective monitoring, review and
auditing of this policy.

 Encourage a positive attitude to health and safety within the institute and to
ensure that management, by example, promotes safe practice.

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IG1: Management of international 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

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ELEMENT 1: WHY WE SHOULD MANAGE WORKPLACE HEALTH AND SAFETY

Sr Content Page
Morals and money
1.1 • Moral expectations of good standards of health and safety 8
• The financial cost of incidents (insured and uninsured costs).
Regulating health and safety
• What enforcement agencies do and what happens if you don’t comply
• The part played by international standards (like ISO 45001)
1.2 12
• The International Labour Organisation’s (ILO) Convention C155 and Recommendation
R164:
• Where you can find information on national standards.
Who does what in organisations
• Roles of directors/managers/supervisors
• How top management can demonstrate commitment
1.3 19
• Responsibilities of organisations who share a workplace to work together on health
and safety issues (C155 Article 17, R164 Recommendation 11)
• How clients and contractors should work together:

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ELEMENT 1: WHY WE SHOULD MANAGE WORKPLACE HEALTH AND SAFETY

Learning outcome Related Assessment criteria Assessment

The learner will be content (QP = question
able to: paper, P = practical)
Justify health and safety 1.1–1.2 1.1 Discuss the moral, financial and QP
improvements using legal reasons for managing health and
moral, financial and legal safety in the workplace
arguments
1.2 Explain how health and safety is
regulated and the consequences of
non-compliance
Advise on the main 1.3 1.3 Summarise the main health and QP
duties for health and safety duties of different groups of
safety in the workplace people at work
and help their
organisation manage and
contractors
Explain how contractors should be
selected, monitored and managed

1.1 MORALS AND MONEY

The multi-disciplinary nature of health safety:

The term HSE relates to Health Safety and Environment is the back bone of all business. It provides the
solution for all kinds of work related or work place hazards. At the workplace some hazards are need to
be rectified on immediate basis to save the worse conditions in future. Health and safety
responsibilities, in organisations, are assigned or placed as per the size and nature of their operations.
Organisations with small work force and small operations require individuals like, manager,
supervisors, lead man to deal with health and safety matters. But large organisation with multi-
disciplinary operations like production, manufacturing, mechanical and civil works facing high potential
hazards are required more professional staff or full department with technical expertise in health and
safety domain to cope with these hazards. These safety professionals have multi skills, more relevant
education and proper experience in every operation of organisation to provide a high level of health
and safety solution.

Important Definitions

Health

The protection of people from illness resulting from exposure to hazardous substances and materials’’

The term ‘health’, in relation to work, indicates not merely the absence of disease or illness; it also
includes the physical and mental elements affecting health, which are directly related to safety and
hygiene at work (ILO, 1981). Health hazards include exposure to manual handling, repetitive
movements, chemical exposure, work related biological infections, radiation exposure, vibration of
hand tools, stress, etc.

For example a worker a welding worker in working with welding activities inhaled the fumes exhaust
from welding causing the respiratory diseases and also lung cancer. These health issue may have not
been identified with several of year until become more dangerous.

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Safety

A general definition of safety is the condition of being protected from or unlikely to cause danger, risk,
or injury but in the reference of HSE.

“The freedom from unacceptable risk of harms, safety hazards includes electricity, slips and trips,
machinery, explosion”. (HSE 2000) .For example a person walking through a damage floor, trip from a
hole and get injured.

The Difference between Safety and Health Hazards

Safety
 Tends to affect individuals by contact with
the hazard
 Often an obvious danger
 The results of an accident are immediate
 Foreseeable or known ‘loss’
 Knowledge since early 1890’s
 Hardware or safe place solutions are usually
available, e.g. guarding, protection of
electrical
Health
 Affects people by exposure to the hazard
 Often ‘hidden’ danger
 Ill-health often builds up slowly
 ‘Loss’ is often difficult to assess
 Understanding of some occupational health
hazards lag behind, e.g. what triggers an allergic
reaction to some substances
 Often rely on safe person solutions, e.g.
personal protection, safe systems of work

Welfare

Looking after people’s basic needs. For example provision of toilets, washrooms, drinking water, eating
facility, rest facility, changing room, first aid facility etc.

Environment

The surroundings in which an organization operates including air, water, land natural resources, flora,
fauna, humans and their interrelationships. (International Standards Organization 1992)

Hazard

Something with the potential to cause harm.

May be physical, chemical, biological, ergonomics or psychological e.g. heat, light, noise, acids and
alkalis, metal, animal borne, activity related.

Incident/Near Miss

An unwanted, unforeseen, unplanned event which have potential to cause harm of any kind

For example: a person working at height with a hammer, dropped down the hammer form his hands
and just missing the worker below.

Accident

An unwanted, unforeseen, unplanned event which result in a loss of some kind i.e. people, property,
environment process

For example: a person working at height with hammer in his hand , just drop down the hammer and hit
by the worker below who then got a head fracture.

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Occupational ill-Health

Occupational ill-health includes any acute or chronic ill-health caused by physical, chemical or biological
agents as well as adverse effects on mental health. (HSE, 2003)
In practice occupational health is often termed ‘disease’, where a ‘disease’ is wider than infections and
viruses and includes any ill-health caused by exposure to the demands of work.

Acute

Acute are the effects that:

 Appear with a single short term exposure with hazard

 Produce immediate or short time effect on health
 Usually reversible and recoverable

Resulting from a single short term exposure producing an immediate effect which is usually reversible
e.g. Alcohol affecting the nervous system.

Chronic

These are the effects that:

 Appear on a long time attachment or exposure with hazard

 May occur on repeated touch or attachment with hazard
 Produce a gradual and prolong effect on health
 These effects can be unrecognised for a number of years
 May be irreversible and irrecoverable

Resulting from prolonged or repeated exposure producing a gradual effect that may be unrecognized
for a number of years and may be irreversible e.g. Alcohol causing liver damage

Risk

The likelihood that harm will and the severity of the harm (E.g. tripping over cables, coming into
contact with machinery)

Risk= Likelihood x Severity

Reasons for Good Health and Safety Practice

The main reasons for managing health and safety are considered to be:

 Moral reasons for maintaining Health and Safety at workplace

 Financial – the costs of accident and ill-health
 Legal reason for maintaining Health and Safety at workplace

Moral Reason for Marinating Health and Safety at Workplace

The ILO estimates that some 2.3 million women and men around the world succumb to work-related
accidents or diseases every year; this corresponds to over 6000 deaths every single day. Worldwide,
there are around 340 million occupational accidents and 160 million victims of work-related illnesses
annually. The ILO updates these estimates at intervals, and the updates indicate an increase of
accidents and ill health.

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Some of the major findings in the ILO’s latest statistical data on occupational accidents and diseases,
and work-related deaths on a world-wide level include the following:

 Diseases related to work cause the most deaths among workers. Hazardous substances alone
are estimated to cause 651,279 deaths a year.
 The construction industry has a disproportionately high rate of recorded accidents.
 Younger and older workers are particularly vulnerable. The ageing population in developed
countries means that an increasing number of older persons are working and need special
consideration.

The staff of any organisation is considered to be prime asset. Workers or employees expect from
employers to demonstrate a proper and adequate commitment to health and safety to his workforce. It
is unacceptable to place workforce in situations where the health and safety of workers is at risk. If the
proper attention is not being given to manage the health and safety family values can be affected due
to accident or ill health.

Attitudes in society are increasingly focusing on health, safety and environmental issues. The media
regularly expose instance of people’s health and safety being placed at risk. Family values can be
affected if health and safety is neglected.

Linked to the humanitarian objective of accident prevention is employee morale, customer relationships
and public relations, all of which can be badly affected by a poor accident or ill-health record.
Organizations regard their staff as their prime assets and they have a moral obligation to prevent
unnecessary suffering and loss of life. Most companies do not set out to cause harm, but they fail to
take effective steps to manage health and safety with shocking results.

Financial Reason for Maintaining Health & Safety at Workplace

Poor health and safety at workplace can cost millions of working days lost, thousands of deaths, several
hundred thousand workers injured and a head-spinning amount of both insured and uninsured costs.
The costs to a company can be divided into direct and indirect costs.

Direct costs of an accident

Direct costs are those costs that are accrued directly from the accident and are quite easy to calculate.
They include the medical costs incurred and the compensation payments made to the injured workers.
Direct costs are usually insurable by businesses.

The hidden or indirect Cost to Employers

Indirect costs are the ones that you need to seriously take into consideration and be aware of. They are
more difficult to calculate and prepare for and tend to be uninsured. They include:

 Lost time or time away from the job not covered by workers' compensation insurance
 Extra wages including overtime working, temporary labour and training, payment of other
workers who are not injured, for example those who stopped work to look after or help the
injured worker and those who require output from the injured in order to complete their tasks
 Repair or replacement of damaged plant or equipment;
 Sick pay
 Production delay and the cost of overtime imposed by the accident
 Loss of contracts or inability to fulfil contracts
 Legal costs and fees;
 Clearing the site cost and time
 Management time spent caring for the injured, investigating the accident, and supervising the
activities necessary to resume the operation of business: Subsequent drop in productivity of
the management team

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 Excess on any insurance claim/s

 Loss of business reputation
 Loss of expertise and experience
 Costs brought about from any enforcement action following the accident such as prosecution
fines and costs of imposed remedial works

Insured and uninsured costs

Employers may be obliged to have employer’s liability insurance cover for injuries and ill-health
to their employees. They may also have insurance for accidents involving vehicles and possibly third-
party and buildings repairs. However, insurance policies only cover a small proportion of the costs of
accidents. Many insurance policies will not pay out if damage and injuries occur as a direct result of
faulty actions on the part of the policyholder.

Examples of Insured Cost:

 Employees’ Liability
 Public Liability
 Damage to buildings
 Damage to vehicle
 Product Liability

Examples of uninsured cost:

 Investigation cost
 Loss of goodwill
 Loss of corporate image
 Hiring and training of replacement labour
 Sick Pay
 Repairs
 Product Lost/ Damaged

Legal Reason for Maintaining Health & Safety at workplace

Courtiers with their specific health and safety laws and regulations set boundaries with in which
organisations must operates. Law places legal responsibilities to employers and individuals and set
standards within which they have to operates. Failing to comply with these standards can result into
varies types of punishments and fines.

1.2 REGULATING HEALTH AND SAFETY

What Is Law?

The term` law` may be defined as: “A rule of human conduct, imposed upon and enforced among, the
members of a given state.’’ (Law made simple by barker & pad field)

The purpose of law includes:

 The control of anti-social behaviour

 The regulation of relationship among individuals or between individuals and the state
 The resolution of conflicts
 The setting of clear standards for behaviour with penalties for no-compliance

In general, in most legal system there are two branches of law:

 Civil Law
 Criminal Law

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Civil Law

The aims of Civil Law are to compensate an injured part for loss suffered as a consequence of an
accident, ill-health or death. Therefore, a civil case involves an action against an individual’s /body

Criminal Law

The aim of criminal law is to punish and deter individuals /organization from behaving in way that
society has decided is unacceptable and is considered a crime by society and is prosecuted by the state

Enforcement of Health and Safety

There are various organization institutions and system for making law around the world including such
bodies as parliaments, military rulers and religious leaders. There is no any standard principle for
enforcement of health and safety law however there are different enforcement agencies which
implement health and safety. The enforcement may vary from country to country depending upon the
culture of that country.

Although health and safety legislation may exist in a country, it does not mean that it is complied with.
To prevent accident and ill-health enforcement may be necessary to ensure compliance. Enforcement
authorities are usually government bodies and are normally given powers to deal with breaches of
legislation and any situations which they consider to be unsafe.

Consequences for non-compliance

 Informal
 Formal

Informal

This mean providing health and safety advice and guidance and giving verbal advice and if necessary
putting the advice in writing without taking any further action.

Formal

 Formal action may involve such actions:

 Issuing legal mandates to comply with the law and put right the breach
 Issuing legal mandates to stops dangerous activities
 Prosecution with the intent of punishing the company or individuals which can lead to fines
and/or imprisonment
 Issuing a caution (warning), that can be used in evidence at later data, often or minor repeat
offences

In many countries, Health and Safety law sets standards that employers are expected to meet and if
not they may be prosecuted.

The punishment for organization will often be fines but where people are found guilty of breaking the
criminal law there are various ranges of punishments depending on the country`s legal system. People
can be fined or imprisoned, their assets be restrictions on activities and offices held.

Depending on the country’s legal system, the people prosecuted may range from senior management
down to individuals employees.

The level of punishment may depend on the country’s legislation on health and safety which may
specify the level of punishment for the specific type of offence.

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For example in the UK, for an organization prosecuted in the crown court which is the highest criminal,
the fine can be unlimited and the court can jail a person for up to 2 years for certain listed offence.

For a fatality a person can be tried under the offence of manslaughter which carries a far higher jail
sentence.

International Frameworks for Regulating Health and Safety

There are many bodies around the world which working toward the betterment of Health and Safety.
Their role is to make sure the Health and Safety standards are being followed and implemented at
utmost priority by emphasis the employer responsibilities as well as the employee responsibilities. Most
common bodies are:

 International Labour Orgnisation (ILO)

 Occupational Health and Safety Administration (OSHA)
 British Standard Institute BSI
 International Standards Organiation ISO
 Europe Union EU

Health and safety law is implanted in one of two ways:

 Prescriptive Method
 Goal setting Method

Prescriptive Method

Prescriptive legislation detailed the technical requirements such as the employer must take action to
prevent anyone falling more than two meters or all cranes must be inspected every 12month by a
competent person. The advantages of this are that the employer has clear requirement to meet.
However it is considered that this type of legislation is too limited and does not have any flexibility.

Goal Setting Method

Goal setting with in health and safety law tends to set minimum standards rather than relying on
compliance with specific technical requirements. The health and safety responsibilities of employers are
clearly stated, however it is for the employers to develop effective ways of mitting those
responsibilities. The type of wording in this type of legislation may say that the employers must take
precautions where there is a likelihood that someone can fall. This means that the employers must
considered areas not just above 2 meters.

There are three main approaches towards health and safety legislation:

 The European (Goal setting)

 The American (prescriptive)
 The international labour organization

The European

After agreement, the European Union (EU) which has a goal setting system issues directive that contain
the principles and objectives to be attained by national legislation in each member state will meet the
aims of the directive in their own internal legislation system.

The member states may exceed, extend or vary the directive

The main health and safety at work was EC Framework Directive (89/39/EEC) which covered a whole
range of health and safety issues

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UK Legislation

The base principle of the UK legal system is that responsibility for health and safety lies with those who
own, manage and work in industrial and commercial businesses.

The main legislation the all-embracing health and safety at Work Act 1974 (HASAWA) which is
general legislation covering all work activities.

Under the power of the Act, regulations are introduced generally on specific subjects such as manual
handing and use of hazardous substances

The American Model

In the US, the main legislation is the occupational safety and health Act (OSHA) which is
prescriptive and is enforced by the occupational safety and health administration (OSHA) Example of
these prescriptive standard include the fourteen elements of the OSHA Process safety management
(PSM0) standard (29 CFR 1910.110):

 Employee participation
 Process safety information
 Process hazards analysis
 Operating procedures
 Training
 Contractors
 Pre-start-up safety review
 Mechanical integrity
 Hot work permit
 Management of change
 Incident investigation
 Emergence planning and response
 Compliance audits
 Trade secrets

Safety practitioners working within the US or of US companies operating in other countries need to be
aware of the relevant OSHA Codes.

Other organizational that has and involvement in global issue involving health and safety are:

 The International Labour Organizational (ILO)

 The International Organization for Standardization (ISO)

The International Labour Organisational (ILO)

Based in Geneva, Switzerland and affiliated to the United Nations (UN), the ILO, was founded in 1919
to pursue a vision that lasting peace can only be achieved if it is based on the decent treatment of
working people.

Its main aims are to advance opportunities for men and women to obtain decent and productive work
conditions of freedom, equity, security and human dignity.

The ILO is the global body responsible for drawing up and overseeing international labour standard on
freedom of association, employment, and social policy, conditions of work, social security, industrial
relations and labour administration, among others.

These international labour standards, including standards on occupational safety and health, are issued
in the form of:

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 Conventions, e.g. C155: Occupational Safety and Health Convention, 1981;

 Recommendations, e.g. R164: Occupational Safety and Health Recommendation, 1981.

Conventions and recommendations are used frequently as models for enacting new, or amending
existing, legislation.

Convections are open to be agreed by UN member states, and once agreed become binding on those
member states. Those member states agreeing the various Convections are obliged to report regularly
on progress.

Complaints to the ILO can be made by organization that represent workers and employers as well as by
governments of other ratifying Member States, where non-compliance is alleged.

Convections that have not been ratified have the status of Recommendations, for which Member States
have no specific obligations other than to notify their existence to their legislatures and to report on
what happens as a result.

Employers’ Responsibilities (C155 Article 16)

The article 16 of C155 place some basic responsibilities on employer which include:

1. To ensure that, the workplaces, machinery, equipment and processes under their control are safe
and without risk to health.

2. To ensure that, the chemical, physical and biological substances and agents under their control are
without risk to health when the appropriate measures of protection are taken.

3. 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.

Employers’ Responsibilities (R164 10)

164 Recommendation 10 refer to the practice mean require to meet the obligation of C155 article 16,
which include:

 to provide and maintain workplaces, machinery and equipment, and use work methods, which
are as safe and without risk to health as is reasonably practicable
 to give necessary instructions and training, taking account of the functions and capacities of
different categories of workers;
 to provide adequate supervision of work, of work practices and of application and use of
occupational safety and health measures;
 to institute organisational arrangements regarding occupational safety and health and the
working environment adapted to the size of the undertaking and the nature of its activities;
 to provide, without any cost to the worker, adequate personal protective clothing and
equipment which are reasonably necessary when hazards cannot be otherwise prevented or
controlled;
 to ensure that work organisation, particularly with respect to hours of work and rest breaks,
does not adversely affect occupational safety and health;
 to take all reasonably practicable measures with a view to eliminating excessive physical and
mental fatigue;
 to undertake studies and research or otherwise keep abreast of the scientific and technical
knowledge necessary to comply with the foregoing clauses

Workers’ Rights (C155 Article 19)

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The article 19 of C155 explain the right of workers as following:

 Worker has a right to receive the necessary information, instruction and training on health and
safety matters
 Has right to consult with the employer on, all aspects of occupational safety and health
associated with their work
 Has right to leave the workplace where an imminent and serious danger to his life or health is
present and may not return until the employer has taken remedial action

Workers’ Responsibilities (R164 recommendation 16)

The arrangements provided for in Article 19 of the Convention should aim at ensuring that workers--

 Take reasonable care for their own safety and that of other persons who may be affected by
their acts or omissions at work;
 Comply with instructions given for their own safety and health and those of others and with
safety and health procedures;
 Use safety devices and protective equipment correctly and do not render them inoperative;
 Report forthwith to their immediate supervisor any situation which they have reason to believe
could present a hazard and which they cannot themselves correct;
 Report any accident or injury to health which arises in the course of or in connection with work.

The ILO also publishes International standards such as:

 ILO-OSH: Guidelines on Occupational Safety and Management Systems

The international labour standards published by the ILO can be used as a basis for good health and
safety practice. The ILO also provides experts’ advice and technical assistance to member states
through a network of offices and multi-disciplinary teams in various countries.

The International Organisation For Standards (ISO )

The ISO is a network of the national standards institution in 157 countries with a central secretariat in
Geneva, Switzerland that coordinates the system.

Whilst it is non-governmental organization it still occupies a special position because many of its
member institutes are part of the governmental structure of their countries or mandated by their
government, and other members have their roots in the private sector.

If therefore enables a consensus to be reached on solutions that meets both the requirements of
business and the broader needs of society.

Standards that ISO have issued include:

 ISO 45001:2018: Occupational Health and Safety Management System

 ISO 9001:2000: Quality Management Systems
 ISO 14001:2004: Environmental Management systems

One point of interest with the name of the ISO is that it would have different acronyms in different
languages so its founders decide to give short all-purpose name.

They chose ISO derived from the Greek meaning equal. Whatever the country or language the short
from is always ISO.

International and National Standards

Occupational safety and health standards refer to two distinct types of standards:

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Labour standards

Which focus on the general conditions of occupational safety and health in the workplace to protect
workers?

Product standards

Which focus on both the occupational safety and health duties of suppliers of articles and substances,
and the avoidance of competitive advantage, e.g. preventing one organization allowing the sale of a
machine without guards, thus lowering the price, in order to complete with another organization that
sell the machine complete with guards at a higher price.

International Standards

Legislation for health and safety in many countries will adopt the minimum acceptable standards or the
country may have no legislation regarding health and safety.

An organization should be working to highest standards by adopting best practice standards form
around the world.

By doing this, organizations are providing better levels of protection for their employees and may be
seen as responsible and caring employers which can lead to a better reputation in business and local
community.

Global standards are issued, as stated above, by the ILO and ISO

In Europe, harmonized European de Normalization (EN) technical standards have been written by
European

Union (EU) member state committees consisting of standards bodies, including the UK British
Standards Institute (BSI), manufactures and specialists on the equipment

The two most common types of European Standards in health and safety are:

 Comity European de Normalizations (CEN) – machinery; and

 Comity European de Normalization Electro technique (CENELEC) - electrical equipment

There are also national standards i.e. in the UK the British Standards Institute (BSI) whose standards
are recognized and used in various countries.

Sources of Information

It is important for employers to keep well informed of health and safety information because

 The law within their own country may change

 There are new substances and technologies constantly being produced and the employer needs
to be aware of the possible hazards
 Information of health and safety is constantly changing in the light of new medical information
etc.

Internal sources of information

Information may be obtained from internal sources, e.g.

 Risk assessments
 Inspection reports

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 Accident/incident records
 Medicals records
 Safety representative
 Safety committee reports
 Company safety policy
 Maintenance reports

External Sources

 Information may also be obtained from external sources, e.g:

 Governmental organization e.g. Enforcing Authorities
 National safety organization professional institutions
 Various standards organization such as International Standards organization (ISO) and British
Standards institute(BSI)
 Suppliers and manufactures
 Consultants and specialists
 Insurance companies and workers unions

Well know bodies world- who produce health and safety information are:

 The HSE website (UK) www.hse.gov.uk

 The U.S department of labour OSHA websites (USA) www.osh.gov
 The ILO websites www.ilo.org
 The European agency for safety and health at work (EU) websites www.osha.europe.eu.int
 The work safe websites (Western Australia) www.saftyline.wa.gov.au

1.3 WHO DOES WHAT IN ORGANISATIONS

There are many departments working within an organisation depending upon the size and nature of
business of the organisation. These departments have specific management staff and flow chart. There
are top, middle and bottom management to full fill the health and safety role and responsibilities. The
top management is ultimately responsible and accountable for ensuring the compliance of Health and
Safety. It is a joint venture where more than one organisation working on a same project. In a joint
venture there are client, contractor and sub-contractors are working together and these organisation
also responsible for their own staff’s health and safety as well as the client.

Directors’ Role and Responsibilities

Effective health and safety performance comes from the top, directors and managers have collective
and individual responsibilities for health and safety, this also applies to small and medium sized
organisations with owners of companies holding the responsibilities.

The roles and responsibilities of Directors and Senior Managers are:

 Take steps to ensure the health, safety and welfare of themselves and others
 Actively promote a positive health and safety culture – lead by example
 Develop and publish a clear health and safety policy and strategy
 Develop an infrastructure of responsibility for health and safety
 Provide necessary resources
 Actively engage with staff on health and safety matters
 Establish targets and review performance

Middle Managers Role and Responsibilities

This level of management has responsibility for departmental and section operations, and such
managers have to take an overview of the detailed health and safety systems and measures. This
includes ensuring, either personally or through the next tier of management (supervisors), that:

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• Appropriate safe methods of working are in place for all workplace activities within their
department/section, and are kept under review.
• Fire precautions are implemented and understood by all staff.
• Hazards arising from the use of toxic substances, or exposure to noise, dust or fumes, are
eliminated or minimized.
• Workplace inspections are regularly carried out and advice and support is given, as and when
necessary, to improve methods of working.
• Appropriate safety personnel are available at all times.
• Effective health and safety training is given to all staff, in particular during induction training.
• All accidents and dangerous occurrences are investigated and means of preventing their
recurrence are identified.

Supervisor’s Role and Responsibilities

This is the lowest tier of management within a large organisation and is the level at which detailed
operational activities, at the level of the job, are controlled. Supervisors are therefore responsible for
the day-to-day implementation of health and safety policies and must ensure that:

• Established procedures and safe working practices are implemented at all times.
• All workers are provided with all necessary information and instruction to enable them to
operate safely, with particular reference to hazardous substances and precautions in general.
• Remedial measures are introduced with immediate effect to reduce or eliminate unsafe acts or
conditions.
• All accidents and other incidents that occur in their area are properly investigated and
documented.

Top management can demonstrate commitment by:

 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 (internal and external, including specialists) to help the
organisation meet its health and safety obligations
 Reviewing health and safety performance

Shared Responsibilities for Joint Occupation of Premises

It is a fairly obvious point that, in the case of shared occupancy of business premises, such as where a
multi-story building is used by several different companies, the various employers concerned must co-
operate with each other and co-ordinate their arrangements for health and safety (see for example
Article 17 of ILO-C155 and Article 11 of ILO-R164). This is because the activities of one company may
have a direct effect on the other businesses in the same building. It follows that both employers must
co-operate and coordinate their activities to ensure good health and safety standards. This requires
effective communication between employers, the exchange of relevant information and the
development of appropriate policies and procedures. This could be carried out in a variety of ways,
depending on the nature of the work and the worksite.

So, for example, in a multi-story office building occupied by ten different businesses, each employer
should provide information on the risks that their specific business creates for other occupiers of the
building. This can often be achieved by establishing a building management committee, with regular
meetings. Consultation can then take place through this committee, and policies and procedures can be
developed and implemented throughout the building, as necessary.

In this way a common approach can be developed for the management of joint issues such as fire
procedures, security threat response, emergency spill response, site rules, visitor and contractor
control, traffic management, etc. It may also be appropriate to have a site-wide inspection process,
common fire drills and even shared waste-disposal procedures. Also, if there are specific risks

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associated with one workplace, then awareness of the issues and the appropriate response from other
workplaces can be raised.

For example, an agency that deals with violent offenders may share a building with unrelated
businesses; those other businesses need to understand the risks and precautions appropriate to the
building as a whole. Employers working more closely together may need to share risk assessments, to
ensure that all organisations are aware of the possible impact of the use of equipment and substances
so that activities can be co-ordinated. For example, one organisation may be using solvent-based
paints while an area is occupied by another organisation’s personnel.

Management of Contractors

Introduction

Anyone entering premises for the purposes of carrying out specialized work for the client, owner or
occupier must be regarded as a ‘Contractors’ to whom duties are owed, including such people as
caterers, window cleaners, agency staff, equipment repairs and servicers.

When contractors are working on site the occupier needs to ensure that applicable legislation is being
complied with including the company’s Safety Policy.

The following are terms that are used when dealing with contractors:

Client

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

Contractor

This is commonly applied to those who visit the premises of others to carry out work. The contractors
are the person with whom the client places the order. This can be in connection with the provision of
catering services of the cleaning of the as well as the repair, maintenance refurbishment or installation
of plant and equipment, of building alterations. Contractors can be employers, employees of third
parties or self-employed people.

Sub-Contractors

Sub-Contractor usually defined as a contractor who has been engaged by the main contractor rather
than the client. However this term is sometimes used describe a contractor.

Identification of Suitable Contractors

When assessing the health and safety competence of contractors, the following factors should be
considered:

 Previous experience with the type of work

 Reputation amongst previous or current clients
 Content and quality of safety policy
 Content and quality of risk assessments
 Training and qualifications of staff
 Accident / enforcement
 Membership of approved trade bodies
 Records of maintenance and statutory inspections
 Method statements
 Suitable insurance

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Management of Contractors on Site

A management organisation with clearly defined roles and responsibilities is essential to ensure
effective coordination of contractors working on a project.

Contractor management can be broken down into 5 basic steps.

1. Planning the job

2. Selecting a contractor
3. Controlling contractors on site
4. Checking the contractors work
5. Reviewing the contractor’s performance and the effectiveness of control

Step 1: Planning the job

Once the job has been defined health and safety can be addressed by carrying out a risk assessment.
Contractors also have responsibilities for preparing risk assessments. Their risk assessment should fit in
with the clients and provide complimentary information. Contractors will also need information from the
client about the job, the state of plant, etc. when preparing their assessment.

Clearly health and safety needs to be managed effectively throughout the project. Client and contractor
need to co-ordinate their activities through effective communication and close co-operation to ensure
that all risks associated with the job are covered.

Step 2: Selecting a Contractor

The choice of contractor can have a big impact on health and safety. Since contractors may not be as
familiar with the industry as employees, selection needs even greater attention. The contractor’s
competence must be properly assessed before appointment.

Competence is not just a matter of technical qualifications or training achievements, although these
may be important, the full range of abilities needed for the work must be assessed. ( see above “the
selection of contractor” section).

Step 3: Controlling Contractors on Site

Security measures are essential to control the coming and going of people in and out of the premises.
Arrangements should be sufficiently detailed to know who is on site and precisely where they are, at
any time. Site health and safety rules should be communicated to the contractor in advance and be
recapped when the contractors first arrive on site.

Step 4: Checking the Contractors Work

Monitoring is critical in ensuring the effective control of contractors.

Checks must be made to determine what is being done and how, and whether the job is going as
planned. Changes can be arranged and agreed between the client and contractor if there are problems
with existing arrangements or unforeseen difficulties. The client must be satisfied that the contract
terms and conditions are being met in terms of technical quality as well as health and safety.

The frequency of checks may be higher at the beginning of the job until the client is satisfied of the
contractor’s standards.

Step 5: Reviewing the Contractor’s Performance and the Effectiveness of Control

The contractor’s job is complete when the work has been done according to plan and the terms of the
contract agreement. On the completion of job/contract client should plan a site visit to ensure that

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contractor has completed all finishing works as well like, cleanliness of work site, removed all waste,
materials, tools and equipment properly.

Any surprises and lessons learned should be recorded and incorporated into future contract
arrangements. The information can be particularly useful when revising preferred contractors lists.

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ELEMENT 2:HOW HEALTH AND SAFETY MANAGEMENT SYSTEMS WORK AND WHAT
THEY LOOK LIKE

Sr Content Page
What they are and the benefits they bring
The basics of a health and safety management system: the ‘Plan, Do, Check, Act’ model
2.1 26
( ISO 45001:2018 and ILO-OSH2001)
• The benefits of having a formal/certified health and safety management system.
What good health and safety management systems look like
• The occupational health and safety policy
• Responsibilities – all workers at all levels of an organisation have responsibility for
2.2 34
health and safety
• Practical arrangements for making it work:
• When you might need to review the health and safety management system

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ELEMENT 2: HOW HEALTH AND SAFETY MANAGEMENT SYSTEMS WORK AND WHAT
THEY LOOK LIKE

Learning outcome Related Assessment criteria Assessment

The learner will be
able to:
Work within a health
And safety management
system, recognising
what effective
policy, organisational
responsibilities and
arrangements should
look like
content (QP = question
paper, P = practical)
2.1–2.2 2.1 Give an overview of the elements QP
of a health and safety management
system and the benefits of having a
formal/certified system
2.2 Discuss the main ingredients of
health and safety management
systems that make it effective –
policy, responsibilities, arrangements

2.1 WHAT MANAGEMENT SYSTEM ARE AND THE BENEFITS THEY BRING

The benefits of having a formal/certified health and safety management system.

In the countries where there is no health and safety laws are available, organizations tend to emphasis
the management of health and safety. With the absence of specific health and safety law in many
countries, the emphasis in larger organizations is the management of health and safety.
Health and safety Management is the process of setting policy, organizing, controlling, monitoring and
reviewing the efforts of the organization towards obtaining the health and safety standards (usually
set within a plan, do, check, act cycle), and of using all other organizational resources to achieve
specified goals stated as:

 Saving People from injury and occupational ill-health both employees & non employees;
 Complying with legal requirements and avoiding prosecution; and
 Health and safety management at a cost effective and cost control method to meet the
business targets limit. Managing health and safety in a cost effective way to achieve business
objectives.

An Occupational Health and Safety Management System (OHSMS) is a coordinated and systematic
approach to managing health and safety risks. OHSMSs help organisations to continually improve their
safety performance and compliance to health and safety legislation and standards.

Organisations use the safety management systems to meet their health and safety requirements. With
their expansion on globe mostly organisations getting their safety management systems to implement
these systems at new places.

The value of management systems is that they:

 Align health and safety objectives
with business objectives;
 Establish a framework for
health and safety management;
 Establish a set of effectively
communicated policies,
procedures and objectives;
 Establish a continuous
improvement framework; and
 Provide an auditable baseline for performance.

PLAN-DO-CHECK-ACT Cycle

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There are a number of safety management systems in use but three of these most popular are:

 ISO 45001:2018 Occupational health and safety Management system (ISO) Replaced
by OHSAS 18801:2015 (BSI)
 ILO-OSH, 2001:`Guidelines on occupational safety and health Management’ system’.
(ILO);

Although there are some variations in the three systems basically they all have the same elements
which are:

ISO 45001:2018 Occupational health and safety Management system (ISO) Replaced by
OHSAS 18801:2015 (BSI)

The ISO 45001:2018 occupational health and safety management system (OHSMS) standard was
published in March 2018, replacing the OHSAS 18001 management system standard.

The objective of the ISO 45001 effort was to implement an international OHSMS standard to replace
OHSAS 18001. The new standard includes making structural changes in accordance with a model that
is affecting all new ISO standards, addressing broader national and international OHS elements, and
ensuring adherence to the basic principles of OHSAS 18001 (which include continual improvement).

OH&S Management System Model for ISO 45001:2018

External and Internal Issues Context of Organisation Need & Expectation

of workers and other
interested parties

Scope of OH&S management System

Planning

Leadership
Support
Improvement and worker Operation
participation

Perfomance
Evaluation

Outcomes of the OH&S Management system

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Summary of ISO 45001:2018

The ISO 45001 standard encompasses two types of changes from the OHSAS 18001 standard. These
changes involves to follow a new organizational structure that is being implemented for all ISO
management system standards. A Plan-Do-Check-Act model is retained in the new structure for all
management system standards, with the clauses organized to facilitate implementation of an
integrated management system. The ISO 45001:2018 Management system incorporate of seven main
clauses and each clauses is divided into sub-elements. The elements of the ISO 45001:2018 standard
where the changes are most significant include Context, Leadership and Worker Participation, Planning,
and Operation.

An overview of how the new Annex SL elements are being incorporated into the ISO 45001:2018
standard, how the new themes are reflected in each, and how the resulting content differs from that of
the OHSAS 18001 standard is provided below.

Overview of ISO 45001:2018 OH&SMS

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Context of the Organization.

Context of the Organization acts as a springboard from which organizations can form and develop their
OHSMS. Understanding the interaction between the organization's key OHS conditions, external issues
such as legal, social, and political, and internal conditions such as products/services, culture, and
strategic direction is crucial to determining the functionalities and goals of the OHSMS. Through this
analysis, the organization must identify the needs and expectations of interested parties that should be
accounted for in the OHSMS - whether it be sustainability initiatives of a primary customer, concerns of
a local community, or OHS legal requirements. Ultimately, the determination of organizational context
leads to defining the scope of the OHSMS, which should reflect elements the organization would like to
influence and has the authority to influence with the OHSMS.

The OHSAS 18001 standard provides some guidance on how to address this and the need to establish
the scope of the OHSMS. The ISO 45001:2015 emphasis on evaluating internal and external elements
that could affect the scope and outcomes of the OHSMS.

Leadership and Worker Participation.

An emphasis is placed on top management being held responsible and accountable for the effectiveness
and performance of the OHSMS, ensuring that the resources necessary for sustaining the OHSMS are
available, and promoting continual improvement. This also includes the Organizational roles,
responsibilities, and authorities that supports the Occupational Health & Safety of everyone.

Another significant enhancement presented in this section to the commitments for an organization's
OHS policy from the top management. An explicit commitments to provide safe and healthy working
conditions, and to comply with legal and other requirements including those that may arise from the
needs/expectations of interested parties. The commitment to continual improvement is focused on the
OHSMS, and there are explicit expectations regarding processes for consultation and participation of
workers.

Planning

At planning stage for the OH&S management system, the organization shall consider the issues covers
several key components of an OHSMS, including the identification of hazards and assessment of risks
and opportunities, legal and other requirements, and objectives and targets. The most notable addition
to this section is that hazards and risks, opportunities, and legal requirements are framed in the
context of risk and opportunity management. And, legal and other requirements explicitly incorporate
those that may arise from the needs and expectations of interested parties. Hazard, risk, and
opportunity have a symbiotic relationship in the new standard.

The 45001 requires top management to be involved by urging organizations to consider their
technological options and business requirements when setting OHS objectives, with the hope that these
objectives can be integrated into an organization's business operations. This is reflected in the
standard's “Planning Action” clause, which requires organizations to formulate actions to address risks,
opportunities, and legal and other requirements, and prepare for and respond to emergency situations.
Taking into account the OHS hierarchy of controls is further emphasized when planning actions.

Support.

The Support section of the ISO 45001 standard includes requirements for communication and
documentation, as well as competence and awareness. Within the Competence subsection in the ISO
45001 standard, with the intent to emphasis on OHS performance. The ISO 45001 standard requires
determining the necessary competence for workers that can affect the organization's OHS performance.

Communication requirements have been augmented and made more specific in ISO 45001 Standard.
This section includes the need to determine what, when, with whom, and how communications will be
established and implemented. For example, the organization's internal communication process must
allow for fluid communication between all levels of the organization regarding changes to the OHSMS
and each individual's ability to contribute to continual improvement. Information relevant to the

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OHSMS must also be communicated to external parties, beyond simply responding to inquiries.

Finally, in recognition of the advent of electronic information management systems, the term
“documented information” requires that all the information must be documented. The types and
Quantity of these documents depend upon the organization size, job nature and other legal
requirements. The documented information must be relevant update and controlled by unique
documents control protocols.

Operation

This section encompasses the elements of Operational Planning and Control and Emergency
Preparedness and Response. The organization shall establish, implement and maintain a process(es)
for the elimination of hazards and reduction of OH&S risks using the hierarchy of controls.

Further organization shall establish a process(es) for the implementation and control of planned
temporary and permanent changes that can affect OHS performance is required, and unintended
changes must be reviewed for controls to minimize any adverse effects. With respect to procurement,
organizations must ensure that the requirements of its OHS management system are met by
contractors and their workers. Additionally, outsourced functions and processes need to be controlled
and be consistent with achieving the outcomes of the OHSMS.

Performance Evaluation.

A common trend throughout the ISO 45001:2018 standard is the inclusion of more concrete and
specific requirements, as exemplified in the clause covering “Monitoring, Measurement, Analysis and
Performance Evaluation. The ISO 45001 not only requires specifying what should be monitored and
measured, it also addresses methods; criteria; when monitoring and measuring should be performed;
and when results must be analyzed, evaluated, and communicated.

The internal audit clause defines the necessity for conducting such audits and enhances the
requirements around establishment of an internal audit program. Top management shall review the
organization’s OH&S management system, at planned intervals, to ensure its continuing suitability,
adequacy and effectiveness. Elements such as risks and opportunities, needs and expectations of
interested parties, adequacy of resources, consultation and participation with workers, and
opportunities for continual improvement must be addressed and considered in determining the
direction of the organization.

Improvement.

The ISO 45001 standard enhances the corrective action process such that a cohesive OHSMS can affect
preventive action. Essentially, during the corrective action process, an organization must determine if a
similar nonconformity exists or could potentially occur and proceed with the necessary steps to
eliminate these causes. The ISO 45001 standard mandates that the OHSMS be continually improved in
order to enhance OHS performance and the suitability, adequacy, and effectiveness of the OHS
management system.

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ILO-OSH, 2001 Management System

ILO-OSH ‘Guidelines on Occupational Safety and health management system’ makes requirements for
the voluntary application and systematic implementation of occupational safety and health (OSH)
management system.

It requires:

 Competent institutions to be nominated in countries to formulate, implement and periodically

review a coherent national policy for the establishment and promotion of OSH management
system in organization.
 Tailored guidelines, reflecting the aims of the ILO guidelines and be designed to reflect the
national requirements and have consideration for the specific need of organization.

The OSH management system should contain the main elements of:

 Policy
 Organizing
 Planning and implementation
 Evaluation
 Audit
 Action for improvement

(POPAEA)

ILO OSH 2001 Model

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ILO-OSH, 2001 Model

1. Policy:

The employer should produce a safety policy if possible in consultation with the workforce. A health and
safety policy is a business plan for safety that set out the health and safety aims of the organization,
health and safety objectives and management commitment.

2. Organizing

The employer has overall responsibility for the health and safety of employees and to provide clear
leadership. This means that there should be clear lines of responsibility within the organization.

Other elements for organizing are:

Competence: e.g. recruitment, knowledge, ability, training, experience and qualifications of all staff

Commitment and control: e.g. allocating responsibilities, accountabilities, securing, commitment and
providing instructions and supervision to achieve control of health and safety within an organization.

Co-operation: e.g. internally between individuals, groups, department including consultation with
health and safety representatives, and externally between clients, suppliers and contractor.

Communication: e.g. oral, written, visible, example

3. Planning and implementation

Planning and implementation involves the identifications of hazards, assessment of risk, and deciding
how risks can be eliminated or controlled. It should set standards against which performance can be
measured.

The organization’s existing OSH management system and relevant arrangement should be evaluated
by an initial review, as appropriate. In the case where no OSH management system exists, or if the
organization is newly established, the initial review should serve as a basis for establishing an OSH
management system.

The result of the initial review should:

 Be documented
 Become the basis for making decisions regarding the implementation of the OSH management
system
 Provide a baseline from which continual improvement of the organization’s OSH management
system can be measured.

Planning for health and safety requires organization to:

 Set health and safety targets

 Identify hazards, assess risks, and decide how risks can be eliminated or controlled
 Set standards against which performance can be measured
 Comply with the health and safety laws
 Design tasks, processes, equipment, products services, safe system of work to reduce risk
 Develop a purchase and supply policy, which takes health and safety into account
 Co-operate with contractors
 Develop emergency procedures

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4. Evaluation

Measuring performance of key step in the management of health and safety

Procedures to monitor, measure and record OSH performance of regular basis should be develop,
established and periodically reviewed. Responsibility, accountability and authority for monitoring at
different levels in the management structure should be allocated.

The two main methods of evaluation are:

 Proactive monitoring
 Reactive monitoring

(These topics will be discussed thoroughly in next element)

Evaluation the health and safety performance enables organization to:

 Check the degree of compliance with the organizations health and safety performance
standards;
 Identify areas where standards are absent or inadequate;
 See whether the stated objectives are beings met;
 Identify the statistics on injury, illness and incident data

The findings of the evaluation should be recorded and formally communicated to the person responsible
for the relevant part of the management system so that they may take suitable action if necessary. The
findings should also be made available to employees.

5. Audits

Arrangements to conduct periodic audits are to be established in order to determine whether the OSH
management system and its elements are in place, adequate, and effective in protecting the safety and
health of workers and preventing incidents

6. Action for improvement

Organization should be maintain and improve their health and safety performance by learning form
experience through the use of audits and performance review. An audit is a critical examination of each
stage of an organization’s management system and procedures in order to establish whether or no
system exists’ and if so are adequate and are used.

If the result of the audits identify that the control of hazard and risks is inadequate, the control
measures should be modified accordingly and within a timescale.

Arrangement should be established and maintained for the continual improvement of relevant elements
of the OSH management system and the system as a whole possible.

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2.2 WHAT GOOD HEALTH AND SAFETY MANAGEMENT SYSTEMS LOOK LIKE

Standards and Guidance Relating to Health and Safety

Article 14 of the International Labour Organisation’s Occupational Safety and Health

Recommendation 1981 (R164) states: “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.“
The ILO’s Occupational Safety and Health Management System, ILO-OSH 2001, has additional
guidance on safety policy. National governments usually have specific guidance on what this actually
means in practice in a given region. For example, in the UK, the HSE publishes several guidance
documents on the topic.
The ISO 45001:2018 OH&SMS clause 5.2 state that top management shall establish,
implement and maintain an OH&S policy that include a commitment;

 To provide safe and healthy working conditions for the prevention of work related injury and ill
health and is appropriate to the purpose, size and context of the organization and to the
specific nature of its OH&S risks and OH&S opportunities;
 To provides a framework for setting the OH&S objectives;
 To fulfil legal requirements and other requirements;
 To eliminate hazards and reduce OH&S risks;
 To continual improvement of the OH&S management system;
 To consultation and participation of workers, and, where they exist, workers’ representatives

The Role and purpose of a health safety policy in decision making is to:

 Set out management’s commitment safety

 Set out the organization and arrangements for controlling work related hazards
 Protect people from injury and occupational ill health
 Comply with legal requirements and avoid prosecution
 Manage health and safety on a cost effective basis

The needs of different organizations

In the case of employers engaged in a number of different activities or where the operations are
geographically widespread the policy may require formulation on more than one level. The highest
management level should lay down in writing the central policy principles while the sub-groups or
operational units interpret the policy in a realistic written from to suit the identified local needs.

There is no standard policy that suits all types of organizations. A large organization may well require a
more complex policy than a small company employing a small number of employees.

The occupational health and safety policy

A discussed before a health and safety policy is a business plan for safety. The aim of health and safety
management is to prevent or reduce loss in an organization through accidents, ill-health, property and
plant damage, and production or service interruption. The health and safety policy is the starting point
for the process of managing health and safety

Setting Policy for Health and Safety

However as a general guide the usual safety policy consists of the 3 elements or sections:

 A statement on intent
 The organization
 The Arrangements

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Statement of Intent

Demonstrate management’s commitment to health and safety and set goals and objectives. (What).

Statement of intent should be a declaration of the employer’s intent to seek to provide the safest and
healthiest working conditions possible. For large organization a policy cannot be expected to cover
every aspect of the activities, and a central services department, (e.g. Personnel) from which the policy
usually emanates, cannot begin to understand the complexities of each individual department.

The initial statement then must by necessity be of general nature, outlining the intention of the
company to provide a safe place of work and specifying the objectives of the company and the means
by which these objectives may be met. It should be produced at the highest level of responsibility
within the company, clearly indicating the commitment of the most senior management to the
principles of ensuring and maintaining safety and health at work. The statement of intent is usually
brief and is normally not more than 1 side of A4 paper.

It should be signed by the most senior person in the organization e.g. the Managing Director of Chief
Executive. Because this demonstrates:

a) Management commitment;
b) Gives the policy authority;
c) Person who signs has ultimate responsibility for health and safety

Organization

To identify health and safety responsibilities and reporting lines within the company/department (Who).

Although responsibility for health and safety lies with the highest level of management, general duties
have to be delegated to line management. It is at this level that most activities will be carried out in
order to comply within the safety policy. The safety responsibilities of managers at successive levels in
the organization therefore must be clearly and logically delegated throughout. It is important however
that responsibilities. There is an even greater need for clarity where the organization for health and
safety cuts across the organization for other purposes, for example, where one manager may be
responsible for the safety another’s workforce. There should also be clear terms of reference for those
managers faced with a conflict between the demands of safety and the demands of production.

Generally the organization for health and safety will reflect than over all organizational structure of the
company. Examples of occupations named in the policy and their responsibilities could include:

 Director and Senior Managers – Setting policy and objectives

 Line Managers – implementing policy in their department
 Supervisors – Checking compliance with the policy
 Safety Advisors – Advising company an accident and safety compliance
 Employees – Responsibility for own and other’s safety
 Fire Marshals – Ensure evacuation of building and roll calls
 First Aiders – to provide first aid

All of these responsibilities must be specified in the safety policy and referred to in job descriptions. It
may also be necessary to provide those people identified and given responsibilities in the policy with
training are specified as their responsibility in the policy.

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Corporate HSE Manager

Site HSE Manager

HSE Incharge

HSE Cordinator

HSE Engineer

HSE Supervisor

HSE Officer

HSE Assisstant

Departmental HSE Chain of Command

Arrangements

Set out in detail the specific systems and procedures for implementing the safety policy. (How).

The arrangements section of the policy will contain the details of how the requirements of the policy are
to be met. This is likely to be a lengthy document containing the procedures and also the arrangements
for effective planning, organization, control, monitoring and review the measure to protect the
employees and others.

Procedures listed in the arrangements section could include:

 Risk Assessments
 COSHH Assessments
 Safe Systems of work
 Permits to work
 Policies and Procedures for: First Aid, Evacuation, Fire
 Training
 Maintenance of plant
 Housekeeping
 Storage, Transportation of Handling of Hazardous Substance
 Radiation, Noise, Dust and Fumes
 Safety of New Articles and substances
 Personal Protective Clothing
 Working at Heights
 Confined Spaces
 Manual Handling

Monitoring of Policy

Many managers may view the policy as just another bureaucratic tool. It may also be seen as too
restrictive preventing them from achieving the targets which have been set from them. Monitoring is
therefore, important to ensure that the policy does not become another piece of paper in which both
management and workforce see the rules but do not observe them because they cannot justify them in
terms of their own values.

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Circumstance for Review / Revision of Health and Safety Policy

The policy should be a living document and should modify whenever a problem has been indicated.
However many organizations carry out an annual review of the policy. The following circumstances may
require revision of the policy:

 Accidents / Incidents/Near misses/Dangerous occurrences

 Changes in organization, arrangements / responsibilities
 Processes and change in process or
 Change in location of process or work activities
 Materials changes
 Tools or equipment or in their replacement or change
 Premises or any modification or maintenance or upgrading of current situation
 New Legislation available
 Change in Work patterns or techniques
 Risk assessments or site inspections recommendations
 Prosecution
 Enforcement action
 Compensation claims
 Policy review
 Professional advice

Enforcement of the policy

Managers are under many pressures to achieve targets and quotas together with reductions in
resources which mean that often the status of the Safety Policy is low. Enforcement of the Safety Policy
is not seen to be as rigorous as other policies. We do not often hear managers taken to task for not
applying the Safety Policy which is designed to protect their valuable human resources.

It is for this reason that a mechanism should exist in the policy to clearly define and enforce
management accountability.

Communicating the policy

The act requires that the employer must bring the Policy to the attention of his employees, contractor,
visitors and all other concerns. This could be done by:

 Displaying it on notice boards

 Introducing it at induction and subsequent training sessions
 Introducing it at team briefings or tool box talks
 Using newsletters
 Inserting parts or summaries in wage slips
 Use of posters
 Incorporating it into safe system of work or to practice
 Asking managers, trade Union Safety Representatives to stress a particular point in formal and
informal discussions with the workforce

The importance to an organization for setting targets:

Gives evidence of management commitment and motivates staff by giving them something tangible to
aim for.

Targets in health and safety may include:

 Reduced / Zero accidents

 Zero Prosecutions
 Reduced sickness absence or medical leaves
 Reduction in compensation claims

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 Improve reporting of near misses or incidents

 Improve reporting of minor accidents
 Increase numbers of trained work force in health and safety
 Improve audit scores
 Increased production targets due to improved standards

Objectives and Targets:

 Objectives are general goals

 Targets specify specific performance requirements

Targets should follow the SMART principle which is:

 Specific
 Measureable
 Achievable
 Realistic
 Timescale
Specific:
Objectives must be specific, measureable and achievable. Vague aims and statements such as “to
achieve a 50% reduction in accidents” are not likely to be effective.
A clear, concise, specific, measureable and achievable statement such as “to achieve a 50% reduction
in lost time due to manual handling injuries by the end of next year” is more likely to be effective.
Measurable:
A fundamental principle of management is that:
WHAT GETS MEASURED GETS DONE
Objectives that are not measureable are not objectives, they are aims. When setting objectives it is
important to be able to answer the following:
 How will I know when I have met the objective?
 How will I measure progress towards the objective?
Achievable:
The creditability of a safety management of programmer would be severely damaged by setting
objectives that place an undue burden upon the organization or those which cannot be justified on legal
financial or moral grounds. A convincing case must exist. Before setting objectives it is essential to
have considered the true source of problems. It would be futile to set an objective to have all
employees trained in manual handling techniques if the basic problem is that process should be
automated.
Realistic
It is important that both management and workforce see that a target is realistic otherwise there will
be a lack of enthusiasm in attempt to meet the target requirement.

Timescale
It is important for there to be a time limit on the target otherwise it can be allowed to drift. A key
performance Indicator (KPI) is a priority target allocated to an individual or specific unit.

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ELEMENT 3: MANAGING RISK – UNDERSTANDING PEOPLE AND PROCESSES

Sr Content Page
Health and safety culture
• Meaning of the term ‘health and safety culture’
3.1 • Relationship between health and safety culture and health and safety performance 43
• Indicators of an organisation’s health and safety culture:
• Influence of peers on health and safety culture
Improving health and safety culture
• Gaining commitment of management
• Promoting health and safety standards by leadership and example and appropriate use
3.2 of disciplinary procedures 45
• Competent workers
• Good communication within the organisation:
•When training is needed:
How human factors influence behaviour positively or negatively
• Organisational factors, including: culture, leadership, resources, work patterns,
communications
3.3 • Job factors, including: task, workload, environment, display and controls, procedures 54
• Individual factors, including: competence, skills, personality, attitude and risk
perception
• Link between individual, job and organisational factors.
Assessing risk
• Meaning of hazard, risk, risk profiling and risk assessment
• Risk profiling: What is involved? Who should be involved? The risk profiling process
3.4 59
• Purpose of risk assessment and the ‘suitable and sufficient’ standard it needs to reach
• A general approach to risk assessment (5 steps):
• Application of risk assessment for specific types of risk and special cases:
Management of change
• Typical types of change faced in the workplace and the possible impact of such
change, including: construction
3.5 75
works, change of process, change of equipment, change in working practices
• Managing the impact of change:
• Review of change (during and after).
Safe systems of work for general work activities
• Why workers should be involved when developing safe systems of work
• Why procedures should be recorded/written down
3.6 76
• The differences between technical, procedural and behavioural controls
• Developing a safe system of work:
• Monitoring the safe system of work .
Permit-to-work systems
• Meaning of a permit-to-work system
• Why permit-to-work systems are used
3.7 79
• How permit-to-work systems work and are used
• When to use a permit-to-work system

Emergency procedures
• Why emergency procedures need to be developed
• What to include in an emergency procedure
3.8 82
• What to consider when deciding on first aid needs in a workplace:
• Why people need training in emergency procedures
• Why emergency procedures need to be tested

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ELEMENT 3: MANAGING RISK – UNDERSTANDING PEOPLE AND PROCESSES

Learning outcome Related Assessment criteria Assessment

The learner will be content (QP = question
able to: paper, P = practical)
Positively influence 3.1–3.3 3.1 Describe the concept of health and QP
health and safety culture safety culture and how it influences
and behaviour to performance
improve performance in
their organisation 3.2 Summarise how health and safety
culture at work can be improved

3.3 Summarise the human factors

Do a general risk 3.4
assessment in their
own workplace –profiling
and prioritizing risks,
inspecting the workplace,
5–11
recognizing a range of
common hazards,
evaluating risks (taking
account of current
controls), recommending
further control measures,
planning actions
Recognise workplace 3.5
changes that have
significant health
and safety impacts
and effective ways to
minimise those impacts
Develop basic safe 3.6–3.8
systems of work
(including taking account
of typical emergencies)
and knowing when to use
permit-to-work systems
for special risks
which positively or negatively influence
behaviour at work in a way that can
affect health and safety
3.4 Explain the principles of the risk QP
assessment process
And
5-11 Produce a risk assessment of a P
workplace which considers a wide
range of identified hazards
(drawn from elements 5 – 11) and
meets best practice standards
(‘suitable and sufficient’)
3.5 Discuss typical workplace changes QP
that have significant health and safety
impacts and ways to minimise those
impacts
3.6 Describe what to consider when QP
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

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3.1 HEALTH AND SAFETY CULTURE

Meaning of the term ‘health and safety culture

The Health and safety culture of an organisation is the product of individual and group values,
attitudes, perceptions, competencies, and patterns of behaviour that determine the commitment to,
and the style and proficiency of, an organisation's health and safety management.

Organizations with a positive safety culture are characterized by communications founded on mutual
trust, by shared perceptions of the importance of safety, and by confidence in the efficiency of
preventative measures. At its simplest, culture is defined as, “The way we do things around here” –
Deal and Kennedy 1982.

Relationship between health and safety culture and health and safety performance

The UK’s Institution of Occupational Safety and Health (IOSH) defines the health and safety culture of
an organisation as “the characteristic of shared attitudes, values, beliefs and practices of people at
work concerning not only the magnitude of risks that they encounter but also the necessity,
practicality, and effectiveness of preventive measures.”

Whilst these features are not easy to pin down, it is relatively easy to identify the relationship between
them and safety performance. When an experienced safety practitioner carries out a safety audit or
inspection of a company, he/she can often assess the standard of safety performance on a fairly
superficial walk-round and the first impressions gained.

An organisation with a positive health and safety culture will consist of competent people with strongly-
held safety values which they put into practice. This will go through the whole organisation – from top
to bottom. It starts with a firm statement of policy which will be reflected at all levels in the attitudes of
management and workers, and the working practices and safety measures applied. There will be clear
firmness of purpose to control hazards and risks, and to make the workplace a safe place for all
concerned.

By contrast, where there is a negative safety culture, management and staff are likely to adopt only
the minimum safety arrangements necessary to comply with the law, and then only under compulsion,
or even to ignore the requirements completely. This latter case is unlikely, but many organisations do
only approach health and safety in a very half-hearted way. Their performance may be described as
not being concerned with hazards and risks, and there is an acceptance of danger in the workplace –
altogether an unhealthy approach.

Indicators which could be used to assess the effectiveness of an organisation’s health and
safety culture:

There are many indicators which can be used to assess the either the culture of an organisation is
positive or negative. These include

 General Attitude toward health & safety

 Collective Morale
 No of accidents within a given time period
 Absenteeism or sickness rate
 Sickness rates or medical leaves
 No of Staff turnover within due course
 Compliance with rules and regulation
 Complaints about working conditions
 Level of supervision
 Facilitation and entertaining activities
 Consultation amount or time spent of employees involvement in policy matters
 Distance between workers and management or employee level of approach towards
management

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 Employees comments and opinions towards management, employer or organisation

Factors that can cause the culture to decline:

 Lack of effective communication

 Perception of growing blame culture
 Lack of leadership and commitment
 Lack of monitoring
 Failure to implement remedial action
 Lack of consultation and employee involvement
 Poor work environment
 External influences
 Health and safety seen as low priority
 Lack of supervisions
 Reorganization and uncertainly
 Job dissatisfaction or uncertainty
 Lack of monitoring and provision assistance in guidance

Influence of peers on Health Safety Culture:

When people are put together into groups they interact. Some individuals will have a lot of influence
over the group; others will have little influence. In this way a “hierarchy” develops within the group.
Certain ways of behaving will become the “norm”, which will often be established by the more
influential members of the group. A person wishing to become a member of the group will have to
comply with the group norms. This pressure to comply with group norms is “peer group pressure”.

Peer group pressure is an important factor to take into account when thinking about safety-related
behaviour. If a group is already working safely then peer group pressure will keep most people in that
group in line. But if the group is working unsafely then peer group pressure will tend to force more and
more workers to behave unsafely in an attempt to fit in with group norms. Even though workers may
know that what they are doing is wrong and may want to do it the right way, the pressure to comply
with their social group overcomes their personal apprehensions.

The way to deal with this problem is usually to tackle the influential people within the group, who are
the ones responsible for establishing group behaviour. If their behaviour can be changed then everyone
else’s will change as well. This might be done by training, education, involvement in safety-related
projects, etc. One very successful tactic is to give them increased responsibility. Ultimately, if the
influential members will not change their behaviour then they may have to be moved into other work
groups where they may have less influence, or they may have to be disciplined using the normal
disciplinary process.

Other influences

There are many external influences on an organization. They will have varying influence depending on
the current state of health and safety within the organization. Some of the more important influences
are:

1. Economic

Companies are generally expected to make a profit for the shareholders and obviously the drive to
make this profit can conflict with good health and safety practice and encourage “cutting of corners”.

2. Social Expectations

Society today has a great awareness of health and safety and expects organizations to meet their
responsibilities. Bad publicity can have adverse effect on a business operation and vice versa. A good
reputation of an organisation will increase the values of its products in the community that will result in
production demand and ultimately the increase in profits

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3. Legislation

There is vast amount of legislation on health and safety in many countries and it is continually growing.
Meeting the requirements of legislation puts increasing costs on to industry which can create conflict.

For legislation to influence organization they must either want to comply or there has to be a real
prospect punishment for non-compliance.

4. Enforcement

Enforcement has significant role in influencing an organization’s level of performance with regard to
health and safety. If the focus of the enforcement agency is on technical specifics then organizations
will tend to follow this lead and deal with these issues. It is therefore important that the enforcing
agencies demonstrate the value of and interest in seeing organization use technical, procedural and
behavioural preventive measures. The relative influence of the enforcement agencies is highly
dependent on them being sufficiently field active to access to contact a significant number of
organizations.

It would not be a balanced influence if they only time they were seen was when there had been an
accident. They therefore have to be seen by organizations before accidents occur, encouraging planned
preventive actions.

5. Insurance Companies

All private sector employers must have approved insurance policies against liability for injury or disease
sustained by their employees in the course of their employment. Most insurance companies which
provide liability insurance have teams of qualified and competent surveyors who undertake surveys of
clients’ premises. They report back on their general impression of the organization. Obviously
premiums can rise if the report is unfavourable or there are unacceptable levels of accidents and
claims.

6. Trade Union

Trade union has always been involved in attempting to improve working conditions and this has
involved health and safety matters. The aim is make representation with government departments on
matters relating to health and safety.

A number of trade unions sponsor Members of Parliament. However, very little legislation regarding
health and safety grants any rights to trade Unions. One obvious piece of legislation is the safety
Representatives and Safety Committee Regulations 1997 which granted Trade Unions the right to
appoint Safety Representatives.

A major area of Trade Union Involvement in health and safety is compensation claims. The unions offer
their members free legal representations for undertaking claims. Many unions have retained firms of
solicitors who could not afford to take out claims, although this situation is changing with solicitors
offering ‘no win no fee’. Those who are not members of Trade Unions are now much more able to take
civil actions. In the UK, Trade Unions are represented on the health and safety Commission.

3.2 IMPROVING HEALTH AND SAFETY CULTURE

Securing the Commitment of Management

Securing the commitment of management at all levels is essential to developing a positive health and
safety culture and maintaining momentum. Health and safety is a key production / service issue, which
need to be managed as closely as departmental budgets, etc. To secure management commitment it
is, therefore, necessary to:

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 Provide a robust management system;

 Ensure senior management provide leadership by example;
 Set targets in health and safety for each level;
 Train managers in health and safety;
 Provide resources for managers to achieve targets;
 Measure the achievement of departmental targets and individual KPIs;
 Provide recognition of good performance in health and safety

Promoting Health and Safety Standards by Leadership and Example

Management of health and safety is a process, but this process needs to be led and directed by senior
management. Senior management have a direct impact on the attitudes and behaviours of their
managers at an operational level. It is essential that senior management demonstrate that health and
safety is a key priority of the business.

In order to achieve this it is necessary to:

 Ensure that health and safety is established as a key business priority by the setting of realistic
and achievable targets;
 Ensure senior management commitment to legal compliance is visible, i.e. demonstrated to
employees;
 Provide resources for managers (time, money and trained staff) to implement, maintain and
manage health and safety performance;
 Provide a good working environment;
 Develop a ‘no blame’ culture and a trusting relationship with staff;
 Provide effective means of communication;
 Encourage co-operation between management and workers by involving and consulting with
the workforce;
 Involve senior management in proactive monitoring of performance standards; and
 Measure senior management on their achievement of key performance indicators

The practical methods a line manager could use to influence health and safety standards in the
workplace include:

 Involving employees in risk assessments, accident investigations and the development of safe
systems and procedures;
 Encourage hazard spotting and the reporting of defects;
 Setting up suggestion schemes;
 Organising training courses and information programmes;
 Supporting active involvement in safety committee meetings;
 Being accompanied by employees or their representatives on safety tours and inspections; and
 Giving employees responsibilities for mentoring young and inexperienced workers

Competent Persons and Competency

A generally accepted definition of a competent person is:

A person shall be regarded as competent when he has:

 Sufficient training
 Experience or knowledge
 Other qualities to enable him to carry out the measures required of him
 Knowledge of his own limitations

Generally, the ownership is on the employer to determine the competence of people who may be
involved in, for example, certain inspections, issuing permits-to-work or work where there is a higher
than usual degree of foreseeable risk. Broadly a competent person should have practical and theoretical
knowledge as well as experience.

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The responsibility for deciding whether or not a person is competent is with management. But the type
and nature of the training will determined by the job specifications.

Good Communication within organisation

Communication is the way we exchange our thoughts, feelings, information and ideas with this
assurance that that understanding is done. To ensure the understanding feedback or response is
mandatory.

The Communications Cycle

Principles of communication

Communication is a two-way process where the needs of the receiver are equally important to the
needs of the speaker. Because it is a two-way process, both participants must be sure they are using
the same language and understanding what they want to deliver

Most communication follow a loop of six steps, three of which are carried out by the sender and three
by the receiver.

Conceive message

What is the message? Why do we need to communicate message? To answer we have two main
reasons

 General conversation
 Legal requirement
 Business requirement

Select method

Who is the receiver or audience? What level of knowledge do they have? What do they want to know?
Is the receiver one person or a hundred? What “language “do they speak?

Deliver message

At the right time, the right place, the right environment. Who delivers? How is it delivered?

Receive message

Is the receiver ready? Do they want the message? Can they hear/read it? Is the message lost on the
way?

Interpret message

Does the receiver understand the message? Are there conflicting messages? Is there a message
“between the lines”? Is there too much/not enough information?

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Feedback

Feedback is the only process we can check the degree of message delivery. Body language, Reply
letter/memo, assess verbal response.

People get or obtain the information from a message via their five senses in different ratios People
receive information via their five senses in varying degrees.

Senses Degree of message receiving

By Seeing/sight using eyes 75 %
By hearing or listening using ears 13 %
By touching using hands or other body parts 6%
By tasting using tongue or taste buds 5%
By smelling or sniffing using nose 3%

Objectives of communication

 Exchange the expressions and information

 To understand others
 To get a clear perception and understanding of message
 To get acceptance of ideas
 To get required action

Effective and efficient systems of communication are a prerequisite for successful management.

The purpose of communication is to provide information. It involves:

 Understanding
 Transmission of policies
 Collecting opinions
 Co-operation
 Instruction
 Problem solving

There are three main methods of communicating information as:

a) Written
b) Verbal
c) Visual

Written Communication

Written communication can be in the form of letters, memos, reports, course hand-outs, notices,
procedures, safety policy, forms, rules and books and newspapers

ADVANTAGES
 Permanent record
 Reference
 Consistent message
 Accurate detail
 Wide audience
 Authoritative
DISADVANTAGES
 May be unread
 One way
 Often no feedback
 Time consuming
 Cost
 Misinterpretation

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Barriers to written communication

These could be:

 Illiteracy issue
 Competence
 Lack of the written material
 Poor Presentation
 Poor Quality of information
 Insufficient Quantity
 Poor Attitude

Verbal Communication

It can be in the form of instructions, interviews, meetings, lectures, trainings, rallies, and briefings
and informal talks.

ADVANTAGES DISADVANTAGES

 Direct  No record
 Two way  No reference
 Quick  Unstructured
 Instant feedback  Inconsistent message
 Easy to do  Too much for memory
 Flexible  Limited audience

Barriers to verbal communication could be:

 Hearing defects
 Speech defects
 Noise
 Language (Jargon)
 Lack of knowledge
 Attitude
 Duration

Visual Communication

It could be in the form of video, computer, posters, and visual aids.

ADVANTAGES DISADVANTAGES
 Boring
 Consistent message  No feedback
 Large groups  Too much for memory

Barriers to visual communication

 Relevance
 Volume
 Environment
 Knowledge of personnel

It is important to use a variety of methods to communicate health and safety information in the
workplace because:

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 People respond differently to different stimuli

 Variety prevents over familiarization with one method and helps to reinforce the message
 The need to overcome language barriers and the inability of some employees to read
 The need to motivate, stimulate interest and gain involvement and feedback
 The acceptance that different types of information require different methods of communication

Communications within an organisation

Companies need to communicate with all levels of staff within their organizations. The following include
the most important methods of communication for safety and health.

1) Meetings
2) Team briefings
3) “Tool Box “talks
4) Policy, procedures, rules and standards
5) Instructions and Training
6) Safety and health reports
7) Posters
8) Interoffice memos
9) Notice boards

In addition to the above formal communications, successful managers communicate their commitment
and interest in health and safety matters in formal ways for example by participating in safety tours
and inspections.

Meetings

Various meetings are held within organizations from the Board of Directors or Council to short weekly
meetings to discuss progress. It has been suggested that up to 70% of a manager’s time may be spent
in meetings.

Team briefings

“Team Briefings” the technique involves a regular programme of briefings being set up. A specific topic
is selected for each briefing and the process starts at the top of the organization so that the information
is “cascaded” from chief Executive level to the shop floor or site operative.

“Tool box talks” or “tailgate” meetings

These are the routine discussion on health and safety provided to work force by their supervisors
before start working or during the work for a little time. Topics discussed under TBT are:

 Health and safety issues comes forth during working

 Critical issues are reminded to work force
 Instructions and information are provided for precautions
 Any training programme is announced and reinforced to join that
 Suggestion are collected from workers to improve performance and achieve targets
 Feedback is also asked from operatives

Policy, rules, procedures

Much of the communication on health and safety is in the form of written formal documents: Safety
Policy, Risk Assessments, Arrangements and Safe Operating Procedures. These documents should be:

Safety & health reports

These can come from a variety of sources such as:

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 Safety Committee
 Safety Representatives
 Newsletters
 Notice Boards

The Health & Safety information that might be displayed on a health and safety notice board
includes:

 Information for Employees Regulations poster

 Health and Safety Policy
 Evacuations procedures
 First aid arrangements
 Contact details for safety representatives
 Targets set for reduction of accidents

To maximize the effectiveness of notice boards within the workplace the employer should:

 Locate in common/prominent area

 Dedicating board to health and safety matters
 Information displayed should be relevant and updated
 Keep information in a neat and orderly state
 Make notice boards eye catching by use of colour and graphics

Posters

Another method of brining information to employee’s attention is in the form of posters which on many
occasions are used as propaganda. These have obvious advantages and disadvantages.

ADVANTAGES DISADVANTAGES
 Low cost  Need to be changed on regular basis
 Flexibility  May become soiled
 Brevity  May become defaced
 Reinforce verbal instructions  May become out of date
 Constant message  Over reliance
 Involve employees in selection  May appear to trivialize important matters
 Graphic message  Easy way to discharges health and safety
responsibilities

Cooperation and consultation

Consulting is a two way process and involves listening to employees views and taking account of what
they say before any decisions is taken. In this process employees are involved in the discussions and
their point of view is also taken in account

Informing is a one way process providing employees with information.

The ILO Occupational Safety and Health Convention, C155 states that:

‘Co-operation between management and workers and / or their representatives within the undertaking
shall be an essential element of organizational and other measure taken’.

Consultation is also essential as it enable employee to provide feedback which can be used to measure
the effectiveness of health and safety culture and aspect. Worker participation in health and safety
matters also play a vital role to build a positive health and safety culture as its boost the worker
morale.

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With reference to above convention, employers should appoint workers’ health and safety
representative in accordance with national practice and establish health and safety committees to
comply with safety standards where applicable and appropriate. Whenever possible the Safety
Representatives should have suitable experience of the work activities.

The role of health and Safety committees

The safety committee is composed with the representatives of employees normally members of
workers union and management. There is no particular structure available. It is a simple agreement
between employees and employer to take care of the interest of both the parties. In case there is no
worker unions exists then volunteers can play the role of union from employees. The membership and
structure of a safety Committee is a matter for agreement between the employer and, if it exists, a
workers union at the particular workplace. If there is no worker union the employer may ask for
volunteers. There is no set structure for a committee.

The Committee should be a competent body to do work for the betterment and welfare of employees
and management as well. The committee should be a competent body representing the interest of
employees and management both. The number of management of representatives should not exceed
the number of safety representatives and should include line managers, engineers, HR managers,
safety Officer as well as supervisors

Conduct of safety committees meeting

The frequency of meetings depends on local conditions and the degree of the risk. Meeting should be
planned well in advance to avoid postponements and cancellations.

The minutes of each meeting should be distributed amongst each member of the committee, with
additional copies made available for general distribution or by displaying in prominent locations.

Objectives and functions of safety committee

The objective of every Safety Committee must be to promote co-operation between employer and
employees to ensure employee’s health and safety at work. A Safety Committee should consider
drawing up agreed objectives and terms of reference.

An important part of making Safety Committees work is to ensure that there is clear agenda for the
meeting and this is followed so that committee discusses only the items on the agenda.

The Agenda should consist of:

1. The study of accident / modifiable disease statistic so that recommendations can be made
2. Examination of Audit Reports
3. Analysis of reposts provided by inspectors
4. Consideration of reports by Safety Representatives
5. Development and monitoring of work safety rules and safe systems of work
6. Constant appraisal of effectiveness of safety training
7. Monitor the adequacy of health and safety communications
8. Establish a link with the appropriate inspectors

Whilst management is ultimately responsible for all health and safety provision, the work of the Safety
Committee must be seen as supplementing the arrangements introduced by management for ensuring
the health, safety and welfare of all employees.

The factors that may determine the effectiveness of a safety Committee may be:

 Clear terms of reference

 Balanced representation
 Actual influence in decision making

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 Respect of management and workforce

 Commitment from committee members
 Good leadership and chairmanship
 Good communication channels
 Access to relevant information and specialist advice
 Formalized procedures with agenda items
 Agenda not led by industrial Relations

(Ineffective committee is the opposite of the above.

Trainings

Training is one of the means of communication which will help people acquire the skills, knowledge and
attitudes to make them competent in the health and safety aspects of their job, no matter whatever
their position in the organization.

Training is classified into various types such as induction, Off-the-job, On-the-job, Technical,
Management, Skills, Open Learning. The need for training and the selection of training methods is
something that needs to be properly analysed and identified it to be effective.

In some countries the requirement to train employees is written in the legislation but even if it is not it
make good business sense to ensure that staff are properly trained.

Training should be given at the following stages:

1) On joining the organization (induction)

2) Before starting work (Job specific)
3) Refresher training
4) Whenever the work practice changes i.e. materials, new technology, revision of systems of
work
5) Before moving to a new job, which might involve new tasks

Following Factors should be considered while developing health and safety training
programme:

 Compare their current knowledge with new requirement. What employee need to know
compared to what that they do know
 Employee’s responsibilities and job description
 Activities carried out or performance at worksite
 Risks associated with activities
 Actions required by employees to minimize the risks
 Employee’s existing knowledge and previous experience
 Type of training already received
 Different requirements for various levels of staff
 Number involved
 Resources needed (cost, time, facilities)
 Competence of own staff to deliver training / external sources
 Communicating to employees and getting their commitment

Induction Training

Induction of persons into a new workplace is a vital activity for safety, the objective being to enable the
recipient to fit quickly and efficiently into a strange and possibly frightening workplace. They will be
expected to perform their tasks quickly, smoothly and without creating hazards for their colleagues,
themselves or damaging the equipment.

A common problem is the terminology developed by and peculiar to a trade or a workplace. Induction
training should be based on an analysis of whom and what the trainee needs to know. A proper

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induction can help the new employee not only to be safe during his or her first day within the job, but
will assist in quickly identifying with the employer and his/her new workmates.

Importance of Induction training is explained by a number of reasons as:

 Creating and establishing a safety culture

 Shows management commitment
 Identifies and allocates responsibilities
 Awareness of the hazards
 Identifies hazards and precautions
 Improvement of personnel knowledge
 The employee knows how to recognize and report unsafe conditions
 Sets the scene for future performance

Induction Training Programmes Topics

An induction Training Programme contains the following:

 Management commitment to safety

 Company health and safety policy
 Consultative procedures
 Role of safety representatives
 Emergency procedures
 First aid arrangements
 Welfare and amenity provisions
 Specific hazards
 Health surveillance procedures
 How to report accidents
 Personal Protective Equipment
 Company substance abuse policy
 Do’s and don’ts

Job Specific Training

This training is given to new employees after induction and when starting to work on new equipment.
Training on the specific hazards of the equipment must be incorporated. This training must also be
given when employees move to other jobs or new equipment is introduced into the workplace. Specific
training may be required for:

1. Safety systems of work e.g. permit-to-work procedure

2. Equipment training e.g. forklift truck driving skills
3. PPE training
4. Fire training
5. Safety inspections
6. Accident Reporting

Refresher Training

Required at appropriate intervals to update techniques, ensure awareness of correct methods and
assessing the behaviour attitude of the workplace.

In addition, further safety training required whenever there is:

 Increase in accident / incident

 As a result of an accident investigation
 A reported dangerous occurrence
 Introduction of new technology / processes

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 Job change
 Changes in working procedures
 Changes in work patterns
 Changes in legislation
 Enforcement action
 Results of risk assessments or review
 Result of audits/inspections
 Insurance company requirements

Benefits of training of employees

 Reduces personal suffering and pain

 Increase the opportunity for full life style
 Increase job satisfaction/earning capacity
 Allows employee to reach experienced worker standard more quickly
 Increase flexibility to staff
 Improves safety attitude
 Improve working knowledge
 Improve and increase personal growth
 Improve self-confidence and determination

3.3 HOW HUMAN FACTORS INFLUENCE BEHAVIOUR POSITIVELY OR NEGATIVELY

Human Factors

The term “Human Factors” covers a wide range issues such as the perceptual, mental and physical
capabilities of people and the interaction of individuals with their jobs and working environments. It
also consider the influence of equipment and system design on human performance and the
organizational characteristics that influence safety related behaviour at work.

The traditional approach to health and safety is to concentrate on the “hardware” aspects of work, i.e.
the plant, equipment, premises, guarding, etc. an approach reflected in the UK, in legislation made
under the Factories Act 1961 and earlier states. Companies which achieved high standards of
compliances with this legislation often dropped to a plateau of accident numbers and ill health but
found it difficult to improve and achieve better results.

Modern legislation and safety management techniques have emphasized the importance of Human
Factors in accident prevention. The accident Prevention Advisory Unit of the Health and Safety
Executive have indicated that some 90% of fatal accidents are preventable and of these about 70-75%
were directly related to failure in management, rather than physical failures.

When considering human factors there are three areas that can be taken into account in
contributing to safe/unsafe behaviour and these are:

1) The Organization
2) The Job
3) The Individual0

1) The Organization

The attitudes and patterns of acceptable or “normal” behaviour will vary enormously from organization
to organization. Organizational factors have the greatest influence on individual and group behaviour.

Organizational factors are the management elements which contribute to a positive health and safety
culture, which obviously if not provided could lead to a negative culture and also cause employees to
work unsafely even if competent. These may be considered under the following headings

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Organisation Culture- Positive health safety have a great impact to build positive human behaviour
as vice versa.

Leadership by examples- Management demonstrate their commitment by examples influences the

behaviour of individual.

Resources- provision of resources adequately, this could include the time, money, equipment and
staff

Work pattern- planned and organised work pattern include shift pattern, change the role of job and
provision of a good working environment and safe system of work

Communication- how the organisation communication with their workplace by using variety of
method, and how they maintain the clear line of communication channel within the organisation

Consultation and participation- Involving employees in risk assessments, accident investigation,

and the development of safe systems and procedures, Encouraging hazard-spotting and the reporting
of the defects, Setting up suggestion schemes;

Level of Supervision- provision of adequate supervision which must be competent and according to
need of job or task being undertaken

Training- Organizing training courses and training programme through training need analysis, more
the knowledge staff gain form training programme will make them competent.

2) The Job Job factors, including: task, workload, environment, display and controls, procedures

The factors which can affect the job can be:

a) Task analysis
b) Decision making
c) Ergonomics (man-machine interface)
d) Procedures, information and instructions
e) The working environment
f) Tools and equipment
g) Work patterns
h) Maintenance
i) Boredom and monotonous work
j) Peer pressure
k) Job disliking

Task Analysis

All critical jobs including maintenance activities needing special precautions clearly identified and
analysed for potential errors. All operators and maintenance personnel are to have been made aware of
the necessary precautions.

Decision Making

Operators must be fully aware of the safety implications of decisions they have to make and be capable
of meeting the demands.

Ergonomics (man-machine interfaces)

Ergonomics is the study of humans and how they interact with their work equipment, work
environment and work method.

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Control displays providing essential information about faults and emergencies must be clearly visible
from all relevant working positions and displayed in ways which operator understand. All controls
should be easy to use, clearly marked and ergonomic factors considered in the layout of controls.

Procedures and Operating Instructions

All written procedures should be clear and unambiguous to the users and be written at the right level of
knowledge and understanding from the users. Management must ensure that safe systems of work and
permit to work systems are correctly followed.

The working Environment

All physical conditions in the workplace such as temperature, lighting, ventilation, noise, etc. are
maintained with acceptable standards and effectively monitored.

Tools and Equipment

The correct tools protective clothing are easily available to undertake the tasks required.

Work Patterns

Suitable work patterns should be arranged to prevent temporary overload and under load of individuals
and shift patterns arranged to ensure good performance.

Maintenance

It is essential that all equipment is properly maintained and also regularly inspected.

Boredom and monotonous work

When people are doing boring or monotonous jobs their attention may wander. Regular breaks are
essential to avoid the monitory.

Job disliking

Sometime people are not aware the procedure by what job to be done or they don’t like the nature of
job they are supposed to do. So changing the job site or nature of job by analysing their disability gives
good results and human error can be covered

2) The Individual

Individual employees at all levels will have different habits, attitudes, skills, personalities, knowledge,
physical and mental capabilities, some of these will change from time to time as people are influenced
by different factors including physical characteristic, social and cultural influences. Other factors might
which have a great include on individual behaviour are the individual factors like competence, skills,
personality, attitude and risk perception

Competence:

An individual with knowledge, particular education, experience, training, personal skills and limitation
ability is known as a competent person. These are all pillar where a person competency level can be
checked, if a person only have particular education but not have experience is not considered to be a
competent person. Employer must ensure that workers are competent to perform their role and task.

Skills:

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Skills are the abilities to perform a physical or mental task. Skills can be developed over time, poorly
skilled individual were unable to perform a task safely.

Personality:

An individual’s personality is the combination of traits and patterns that influence their behaviour,
thought, motivation, and emotion. It drives individuals to consistently think, feel, and behave in
specific ways; in essence, it is what makes each individual unique. Over time, these patterns strongly
influence personal expectations, perceptions, values, and attitudes.

Attitude:

Attitude is the tendency to behave in a particular way in a certain situation.

Attitude also develop over time, it is a way of behaviour either in positive or negative.

An employee’s attitudes to health and safety issues may be affected by:

 Culture
 Experience
 Peer groups
 Management commitment
 Home influence
 Physical or mental disturbances
 Provision of training and instructions on daily basis with practice of disciplinary actions

E.g. a person’s attitudes to wearing PPE may be affected by the actions of colleagues.

Perception

Perception is the way people interpret and make sense of presented information, e.g. in relation to
their surroundings.

Factors which affect a person’s perception are:

 Sensory input i.e. seeing, hearing touching, smelling and tasting

 Personal Protective Equipment
 The nature of the hazards, (e.g. obvious or hidden, immediate or delayed effects)
 Previous Experience
 Familiarity with the situation
 Feeling of being in ‘Control’
 The level and nature of training
 Peer group influences
 Confidence in other’s abilities and judgments
 Personal characteristic such as age, attitude and sensory impairment.
 Over confidence on personal performance

An employee’s perception may be improved and managed by:

 Increasing awareness of hazards, e.g. safety campaigns or posters

 Involving people in the risk assessment process;
 Increasing knowledge, e.g. Training
 Identifying, including by the use of surveys, the reasons for employee’s misperceptions in order
to show how improvements might be achieved and how currently held views might be
challenged;
 Addressing environmental factors, e.g. lighting and noise that might cause distraction or
otherwise hinder the perceptual processes.

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The reasons a person may fail to comply with a safety procedure although they are
competent are complex but may include:

 Lack of employee motivation

 Unrealistic working procedures
 Lack of management commitment
 Over-familiarization with the tasks to be performed
 Repetitive work leading to boredom and lack of concentration
 Peer group pressure
 Wilful disregard of laid-down procedure coupled with inadequate or ineffective supervision
 Fatigue and stress
 Lack of information, training and consultation and
 Job insecurity and dissatisfaction
 Mental distraction due to some domestic problems

Motivation

Motivation is the driven force behind a person to achieve a particular goal or task.

Employer can motivate their workforce by:

 The recognition of good HS performance (e.g. by giving praise and/or offering financial
incentives)
 By offering spot award and prizes through supervisors on showing good performance
 Disciplining employees who choose to ignore safe working procedures
 Involving employees in carrying out risk assessments and drawing up safe work systems
 Improving H & S culture and demonstrating a high level of management commitment
 Ensuring a good working environment
 Providing training and ensuring good communications
 Setting a good example on realistic goals
 By counselling and interviewing on job quitting to know the actual reasons
 By providing opportunities in functions to speak about issues on employee evenings
 Awarding on suggesting acceptable welfare reforms and creative ideas

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Maslow’s Hierarchy of need Chart

3.4 PRINCIPLES AND PRACTICE OF RISK ASSESSMENT

Introduction to risk assessment

Risk assessment is nothing more than a careful examination and is an essential part of any health and
safety management systems. The aim of risk assessment is to identify significant risks and set
priorities to minimize risks and make reductions in work related accidents and ill-health.

The terms Hazards, Risk and Competence are used in health and safety these are defined as:

Hazard

A hazard can be defined as something with the potential to cause harm and covers health, injury, loss
of production and damage to plant and property. Typical examples could be electricity and moving
machinery.

Hazards can be grouped into five categories:

1. Physical
2. Chemical
3. Biological
4. Ergonomic
5. Psychological

Examples of hazards include:

Physical

 Working at height, electricity, moving vehicles

 Moving parts of machinery, noise, vibration
 Wet surfaces, hot surfaces, sharp objects
 Objects on the floor, naked flames, ultra-violet radiation
 Poor lighting, temperature extremes, confined spaces

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Chemical

 Cleaning products, solvents, gases

 Fumes, smoke, dusts
 Corrosives, asphyxiants, poisons

Biological

 Blood or other body fluids, animal and human waste, bacteria and viruses
 Animal and bird droppings, fungi/moulds, animal and insect bites

Ergonomic

 Awkward movements, repetitive movements, poor workstation design

 Frequent lifting, poor posture, unsuitable equipment

Psychosocial

 Being over/underworked, tiredness, poor leadership

 Bullying and harassment, violence
 Lack of control Traumatic events

Risk

Risk is the likelihood that hazardous event could occur and outcome of that event. OR

Risk is the likelihood that harm could occur and severity from that harm.

Risk= Likelihood X Severity

Whenever possible hazards should be eliminated, but if they cannot be eliminated then the risks will
need to be minimized by such controls as handrails on stairs, etc.

Risk Profiling

The process of categorise the different level of risks that could face by organisation along with their
likelihood and severity impact. It’s also consider the effectiveness of current control measures for risks
management and any need for further requirement to control the risks on priority bases.

The Risk Assessment Process

Risk assessment is a logical process of collecting information and making judgments against standards,
often set out in law, to establish whether or not risks are adequately managed.

How a risk assessment is carried out. It will depend on local, legal and best practice requirements, the
nature of the work or business, and the type of hazards and risks. The risk assessment process should
be systematic, practical, and take account of the views of employees and their health and safety
representatives who will be able to contribute practical knowledge.

Risk profiling

The risk profile of an organisation informs all aspects of the approach to leading and managing its
health and safety risks.

Every organisation will have its own risk profile. This is the starting point for determining the greatest
health and safety issues for the organisation. In some businesses the risks will be tangible and

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immediate safety hazards, whereas in other organisations the risks may be health-related and it may
be a long time before the illness becomes apparent.

A risk profile examines:

 the nature and level of the threats faced by an organisation;

 the likelihood of adverse effects occurring;
 the level of disruption and costs associated with each type of risk;
 the effectiveness of controls in place to manage those risks.

The outcome of risk profiling will be that the right risks have been identified and prioritised for action,
and minor risks will not have been given too much priority. It also informs decisions about what risk
control measures are needed.

Risk Profiling Process

Risk profiling process is a stat forward process which involves the identification of health and safety
threats to the organsation and prioritizing them according to likely impact and their probability of
occurrence. The risk process consist of following

Identify the health and safety threats faced by the orgainsation:

The first stage in risk profiling process is to identify the health and safety threats faced by orgnisation.
There are many threats which could face by oganisation due to the nature of work they carry out.
Every Organisation could have different kind of nature of work such as work at height, vehicle
movement, noise, radiation, violence, manual handling. Some organstions will have just few threats
but some organsation might have specific nature other than that such as animal handling.

Identify the health and safety impacts and business impacts that might result:

After identifying each threat, now need to identify the health and safety impacts of each threat to the
organsiation, for example if a worker fall from height might result into a fatality is likely health and
safety impact to the organsiation. The business of this fatality could be beyond than expectation for
example organsation will face investigation, business interruption, loss in productivity and reputation
and drop in publicity image. These impacts can last for weeks, months and sometime years and can
have direct and indirect financial impact to the organsation.

Identify how well each threat is controlled currently

Many organisation have control measure in place to minimize the likely impact these threats. These
control measures must be considered at risk profiling process. All these threat risks need to be
managed proportionality and sensibly.

Identify the likelihood of each threat occurring

At the stage of identification of likelihood of each threat occurring is to think about the time scale in
which that threat might occur. For example an organisation with well managed health and safety risks
have a lot of work at height, the likely timescale of fall from height could be between one year to five
years. And on the contrary an ornagisation with inadequately managed health and safety risks have lot
of manual handling work, the likely outcome of this organsation will be within one day to one week.

Identify priority for each threat:

The last step of risk profiling process is to priorities all identified threats according to their level. This
includes the allocation of reasonable time to those threats which have most significant impact on health
and safety of organization. While the threat which have already controlled need medium priority.

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The Competency of Risk Assessors

Risk assessments should be carried out by competent people. In this context the word “competent”
would mean people who have sufficient training, knowledge, experience and other abilities. The exact
training, knowledge and experience required will vary depending on circumstances. In some instances
simply an ability to identify, read and correctly interpret guidance on a topic is sufficient. In others, a
detailed understanding of background knowledge is essential to be able to correctly evaluate risk.

A risk assessment can be carried out by one person. This is not ideal in many instances since it relies
on one person’s opinion and judgment. Ideally, risk assessment will be carried out by a team. This
allows for various views and opinions to be taken into account and so may result in a more successful
assessment. A risk assessment team might include:

 Workers familiar with the tasks and areas to be assessed.

 Health and safety specialists, such as safety practitioners and occupational health nurses.
 Technical specialists, such as mechanical and electrical engineers.
 Line managers responsible for the tasks or areas being assessed.
 Worker safety representatives.

The size and composition of the team will vary depending on the nature of the workplace and
the complexity of the risk assessment process being used. Note that it is not necessary for all members
of the team to be competent in the risk assessment process, simply for some or one of the team
members to be a competent person. The involvement of non-competent persons is useful for a number
of reasons:
 Those team members may identify hazards and risks that might otherwise be missed (two pairs
of eyes are better than one).
 They may ask questions and propose solutions that might not be considered otherwise.
 It allows experience to be safely gained in the practice of risk assessment.
 It facilitates employee awareness, involvement and consultation and so enhances the safety
culture.

Purpose of risk assessment

A risk assessment may be is a legal requirement. It help to identify the significant hazards from specific
activity or job and enable organsiation to mitigate them.

The objective of risk assessment are to prevent:

 Direct and direct cost may face after accident
 Death and personal injury
 Incident involves time loss
 Breaches of law and other legal requirements

Suitable and Sufficient risk assessment

A risk assessment should be “suitable and sufficient”. In other words, it should be good enough to fulfill
legal requirements and prevent foreseeable injuries and ill health from happening. In particular, it
should:

 Risk assessment should be proportionate to level of risk

 Ensure that all aspects of work activity are reviewed
 Take account of the way the work is organized
 Identify the significant hazards and risks
 Evaluate the risks
 Identify employees and others at risk
 Identify control measures
 Be appropriate to the nature of the work
 Ensure that residual risk is low
 Enable priorities to be set
 Ensure non-routine operations are taken into account

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 Ensure staff undertaking the assessment have sufficient knowledge and experience
 Ensure that the risk assessments is valid for the reasonable time

Carrying Out a Risk Assessment

There are many variations on the risk assessment process. The following system involving five
suggested steps is simple, easy to follow and relevant for most general risk assessments:

1. Identify the hazards

2. Decide who may be harmed and how
3. Evaluate the risks and decide whether existing precautions are adequate or more
should be done
4. Records the findings
5. Review assessments and revise if necessary

1) Identify The Hazards:

The first step involve in a risk assessment is to identify the significant hazards which could have serious
consequences in future.

Identifying the hazards of the workplace can be done by the following methods:

a) Workplace inspections
b) Consultation to the workforce
c) Non-inspection Techniques
d) Examination of documents
e) Combined techniques
f) Accident and ill-health data
g) Near miss reports

a) Workplace Inspections

Work place inspections should be carried out only by competent person. In a work place inspection only
obvious hazards can be identified which are present at the time of inspection.

b) Consultation with the workforce

Consulting the workforce on matters relating to their everyday work not only encourages employee
acceptance but enables management to collect valuable information regarding process hazards. One
problem however is that the workforce may become over familiar with the process and may not
consider some things as hazards.

c) Non-inspection Techniques

Undertaking task analysis/job safety analysis may identify hazards. Task analysis/job safety analysis is
a technique that breaks down a job into every detail which is recorded. The job is then evaluated to
identify hazards and to develop a safe system of work for doing job.

d) Examination of Documents

Looking at such things as manufacture’s literatures, instructions or material safety data sheets,
legislation, Codes of Practice and Health and Safety publications will be useful in identifying hazards
and also developing control measures.

e) Combined Techniques

Studying the results of the safety audits

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f) Accidents

Monitoring accidents statistics, investigations and ill-health complaints will indicate potential problem
areas and the data can be analysed to identify the causes. The information can then be used to identify
hazards.

g) Near Miss Reports

Near miss reports will also indicate problem areas which will require the need for a risk
assessment.

Internal Sources of Information

Information may be obtained from internal sources, e.g.

 Risk assessments
 Inspection reports
 Accident/incident records
 Medicals records
 Safety representative
 Health and Safety committees reports
 Company safety policy
 Maintenance reports
 Health and safety Policies
 Health and safety committees
 Plant registers

External Sources of Information

 Information may also be obtained from external sources,

 Governmental organization e.g. Enforcing Authorities
 National safety organization professional institutions
 Various standards organization such as International Standards organization (ISO) and British
Standards institute(BSI)
 Suppliers and manufactures
 Consultants and specialists
 Insurance companies and workers unions

Well know bodies world- who produce health and safety information are:

 The HSE website (UK) www.hse.gov.uk

 The U.S department of labour OSHA websites (USA) www.osh.gov
 The ILO websites www.ilo.org
 The European agency for safety and health at work (EU) websites www.osha.europe.eu.int
 The work safe websites (Western Australia) www.saftyline.wa.gov.au

2) Deciding Who May Be Harmed and How

When deciding who may be harmed; we should remember our own employees but must also consider
others such as young workers, trainees, new and expectant mothers, cleaners, visitors, and
contractors, members of the public or other people who share your workplace. We should consider:

 What are the hazards

 How likely are they to occur
 Consequences
 Number of employees to be exposed
 Frequency of exposure
 Effects of exposure

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 Competence
 Existing controls

As an example of the above is the risks to pregnant workers could be:

 Exposure to chemicals
 Lead
 Biological exposure
 Ionizing radiation
 Extremes of temperature
 Manual handling
 Ergonomics issues (prolonged standing)
 Stress
 Personal Protective Equipment

3) Evaluate the Risks and Existing Precautions

Consider how likely it is that each hazards could cause harm. This will determine whether or not you
need to do more to reduce the risk. Even after all precautions have been taken, some risk usually
remains. What you have to decide for each significant hazard is whether this remaining risk is high,
medium or low.

To do this we can use the likelihood and Severity matrix. Matrices can take many forms below is a
typical example:

Likelihood

This is a subjective assessment of the probability that the hazard can be realized. It is based on the
following numerical scale.

5 = Very likely, certain, imminent

4 = Very likely
3 = Likely
2 = Unlikely
1 = Very unlikely

Severity/Consequence

This requires an assessment of the possible outcome of the hazard. We can apply a similar procedure
that used to estimate likelihood and produce a numbered scale as follows:

5= Fatality
4= Major disabling injury
3= Moderate injury, non-disabling illness, over 3 days off work
2= Minor injury, under 3 days off work
1= insignificant, no time off

This can usually be assessed by relating to accident statistic or common sense. In some cases the
information can be obtained from manufactures data. HSE Guidance or other published information.
This must be taken into account that the situation be actual and realistic. It is remotely possible that
someone tripping over a cable in an office may be liked, however the most probable result is bruising
or at worst a fractured bone.

If however, the cable is trailing across the top of long and very busy stairs then a single death or even
multiple deaths could be a more appropriate assessment.

Risk Assessments Factor. Do multiply the severity number by the likelihood number to arrive at the
risk factor for each hazard. This produces a number on a scale of 1 to 25. These numbers provide an

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indication of priority and the extent of the risk and therefore, the more resources which may be needed
to control the risk.

As a rough guide, 15 to 25 is high risk and may require the provision of considerable resources
involving special equipment, training, high levels of supervision, and consideration of the most effective
methods of eliminating or controlling hazards. 8 to 5 is medium risk and will require an appropriate
level of resources. 1 to 7 is low risk but actions should still be taken to try to reduce these risks
further of possible within reasonable limits.

Fatal 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

Insignifica
1 1 2 3 4 5
nt
Severity
1 2 3 4 5

Very
Unlike Fairy Very
Unlike Likely
ly likely likely
ly
Likelihood

Fatal/ Catastrophic Stop

Unacceptable Urgent Action
Undesirable Action
Acceptable Monitor
Desirable No Action

NOTE: The systems provides and accident of risk only and is based on subjective judgment, therefore
management must satisfy themselves that the risk assessments and the actions taken to deal with
hazards they have identified are adequate. A more complicated technique will involve giving numerical
ratings to a number of factors such as:

 Number of people exposed to hazard

 Number of occurrences of hazard
 The number of times an accident has occurred with this hazard

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Hierarchy of Control

Once the risk assessments have been carried out protective or control measures must be implemented
and we use the Hierarchy of control.

Hierarchy of Control is preferred series of measures to control risks in order of priority starting with
elimination ending with discipline (ERIC Prevents Death)

Control Measure Example

Can the hazard be removed completely? This is the most effective

Elimination
method, e.g. remove trailing cable

Can the risk be reduced at source? Is there a safer alternative?

Reduction
Reduction risk of injury by e.g. using low voltage tools.
Can the hazard be enclosed or contained? e.g. guard or dangerous
Isolate part of machine, cover an open inspection pit install, noise reducing
enclosure around machine
Control Limiting time/frequency to noise exposure

Personal Protection Can something be provided to the person to lessen the injury effect of
Equipment accidents aware of the hazard e.g. issuing safety helmets of footwear?

Ensuring that procedures and rules are being followed and taking
Discipline action to discipline the employee. It can also mean that the employee
is self-disciplined to work safely

General Hierarchy of Risk Control - (ERICPD)

As discussed earlier this could the following:

1. Eliminate

Remove the hazard completely from the working environment where possible, although this is not
always practical.

2. Reduce / Substitute

Reduced the hazard to an acceptable level by substituting with something less hazardous or reducing
the strength of hazardous material reducing the quantity in use.

3. Isolate

Enclose the hazard so there is no interface between people and the hazard e.g. fitting guards.

4. Control

Control the number of risk by systems of working or by engineering methods, limit the hazard
generation level, e.g. Permit-to-work systems and fume extraction.

5. Personal Protective Equipment

Issuing of Personal Protective Equipment is minimizing the risk of injury, although this must always be
a last resort. And it is used to protect worker not workplace

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6. Discipline

Self-discipline in following safe procedures or management discipline by enforcing standards of

operation

The actions 1 to 4 above can prevent or minimize the risk of accident by tackling the original hazard
but 5 and 6 only limit the effects of an incident and protect individual only.

Elimination

Reduction

Isolation

Control

PPE’s

Discipline

Roles, Categories and Features of Safety Signs

Safety signs are defined as those combining shape, colour and pictorial symbols to convey specific
health and safety information or instructions, according to widely understood standards.

The standards are usually international so that safety signs are instantly recognisable throughout the
world, regardless of language. Safety signs are divided into five categories:

Prohibition Signs

These are directed at stopping dangerous behaviours;

for example, “No Smoking” signs.
The signs are round or circular with the main
colour being red (at least 35% of the area of the sign).
They have a black symbol or pictogram on a
white background with a red border and diagonal cross bar.

Warning Signs

Warning signs tell people to be careful

and take precautions in respect of a
particular hazard; for example, high voltage electricity,
slippery surface, fork lift trucks operating in the area, etc.

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The signs are triangular with the main colour as yellow (at least 50% of the area of the sign). They
have a black symbol or pictogram on a yellow background with a black border.

Mandatory action Signs

These instruct people to take a specific action

or follow behaviour, usually relating to
wearing personal protective equipment;
for example, helmets, eye protection,
safety belts and harnesses, etc.

They are circular with a solid blue background with a white pictogram.

Safe conditions Signs

These identify safe behaviour or places of safety;

for example, drinking water, emergency wash rooms,
emergency exits, first aid stations, etc.
The signs are rectangular or square with the
dominant colour being green
at least 50% of the area of the sign.

They have a white symbol or pictogram on a green background.

Fire-fighting equipment signs

These signs identify particular types of

equipment and locations; for example,
fire extinguisher labels and hose reel instructions.
The signs are rectangular or square with the
main colour being red (at least 50% of the area of the sign).

They have a white symbol or pictogram on a red background.

Evaluating Existing Precautions

When undertaking the risk assessment the adequacy and effectiveness of the existing controls that are
in place need to be considered. The outcome of the risk assessment may indicate that further controls
may be necessary.

A) Existing Control Measures

When evaluating existing controls they may be considered under the two headings of:

1) Workplace precautions
2) Risk control systems

Workplace Precautions:

Workplace precautions are actions which are taken to reduce identified risks to an acceptable level.
These precautions could be:

 Machinery guards
 Personal protective equipment
 Safe systems of work

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 Good hygiene practices

 First aid
 Training
 Provision of information
 Ventilation
 Job rotation

It must be remembered that workplace precautions always weak links. Machine guards can be
removed, PPE not worn or incorrectly worn, safe systems not being followed.

Risk Control Systems (RCSs)

These are the systems required to ensure that the workplace precautions continue to operate. For
example, the RCS for machinery guarding would be regular inspections, for PPE training and storage.

Therefore, using these methods means that it is possible to keep risks at a reasonably low level
although it is not possible to have a completely hazard free environment.

• Clarity of thinking - people tend to think more carefully about likelihood and severity of foreseeable
injury when they are asked to use this type of scoring system, and so give a more accurate end result.

• Consistency of approach - different people can use this system and will get similar results.

• Prioritisation - since risk is now represented by a number, and the higher the number the greater
the risk, it is possible to easily separate out the various risks presented by several hazards and rank
them in order.

• Timescale - it is even possible to allocate particular timescales to the risk ratings that are calculated
using this type of system. This approach is not universal, but is used by some organisations.

4. Record the Findings

The significant hazards should be recorded and trivial hazards and risks can be ignored. The
assessment may also record such things as:

 The number of people affected

 The adequacy of existing controls
 Any further precautions necessary

The risk assessments should be available to all those involved so that any requirements can be
implemented.

5. REVIEW ASSESSMENTS AND REVISE IF NECESSARY

Assessments should be reviewed if:

There is reason to suspect that it is no longer valid.

There has been a significant change in the matters to which it relates such as

 Increase in number of Accidents / incidents

 Changes in processes
 Changes in materials
 Changes in premises
 Changes in legislation
 Changes in work patterns
 Prosecution

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 Increase number in Enforcement actions

 As a result of Policy review
 Professional advice suggestion

Special Case for Risk Assessments

There are requirements to carry out risk assessments for special groups of workers and these are:

a) Young persons
b) New and expectant mothers
c) The disable
d) Lone workers
e) Night workers
f) Travelling abroad

Young Persons

In some countries, a young person at work is defined as someone who is over school leaving age but
has not reached the age of 18, other countries will have their own interpretations.

Young people may at greater risk whilst at work for the following reasons:

 Lack of knowledge, experience and / or training

 Young person’s body has not fully developed
 More likely to take risks
 More likely to respond to peer group pressure
 Be over enthusiastic

The specific risks to young persons can be:

 The workplace (e.g. heat, nose, vibration)

 Physical, biological and chemical agents
 Carcinogens
 Radiation
 The work equipment
 The organization of work and the processes involved

Control Measures for young persons

The following control measures are required:

 Provision of Training with regards to associated hazards, risk and their control measures
 Carry out work under close supervision
 Mentoring by an experienced responsible fellow worker
 Establish a clear lines of communication
 Restricting the type of work carried out
 Restricting the type of equipment to be worked on
 Restricting the hours worked

New and Expectant Mothers

There may be a requirement to carry out risk assessments for new or expectant mothers as potential
health and safety risks to them may include:

 Exposure to chemical
 Lead
 Biological exposure

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 Ionizing radiations
 Extremes of temperature
 Manual handling
 Ergonomic issue (prolonged standing)
 Environmental issues, heat, light, noise
 Stress
 Personal Protective Equipment

There are also the normal problems associated with pregnancy such as:

 Morning sickness
 backache
 increasing size
 need for regular comfort breaks

Disable Workers

Many organizations will have disabled workers. The popular perception is that disabled persons are
those in wheelchairs but disability may also include hearing or sight defects. It is essential that these
factors are considered especially in an emergency.

Disable workers will be at risk from the general hazards of the workplace but other factors that need to
be considered include:

 There may be reduced mobility for moving about in the workplace and particularly for
evacuation in an emergency.
 If in wheelchairs, there is reduced ability to lift, carry or move objects as well as not being able
to reach controls
 Problems with access to welfare facilities such as toilets
 Those with sensory impairment such as hearing and eye sight problems may not be able to
hear to see alarms
 There may well be reduced communication ability, e.g. speech or hearing defects

The management should consult with disable workers about how to reduce the risk to them.

Night Shift Working

The factors to be considered when assessing the risks to workers on the night shift include:

 Hours worked and recovery period between shifts

 Disruption of normal routines and general wellbeing
 Fatigue and human error
 Level of supervision required/contact for lone working
 Access to specialist advice
 Increase risk of violence travelling to / from work
 Emergency arrangements / first aid facilities
 Access to welfare amenities
 Work environment e.g. lighting levels / temperature etc.

Lone Worker

Lone workers are those people who work by themselves without close or direct supervision. They can
be found in a wide range of situations but can be considered fewer than two areas which are:

On Site

a) One person on site. Small workshops, petrol stations, kiosks, shops, home workers etc.

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b) People on site separate from others. Factories, warehouses, training establishments, leisure
centres etc.
c) People working outside normal hours. Cleaners, security, maintenance, urgent production etc.

Off Site

Employees involved in occupations such as: Construction, plant installation, maintenance, cleaning,
vehicle recovery, agricultural and forestry workers, rent collectors, postal staff, district nurses, estate
agents, taxi drivers.

Lone workers may be at increased risk because of the hazards and risks associated with the work
carried out:

 The condition of the work location, e.g. an estate agent visiting a dilapidated property;
 The equipment to be used, e.g. a farmer using agricultural equipment in a field;
 Whether the lone worker is a new or expectant mother, a young person or a disabled person;
 Lack of emergency facilities;
 Lack of training or competence;
 Lack of supervision; and / or
 Limited communication with their employer.

A risk assessment for employees involved in lone working should look at:

 Worker has no known medical conditions

 Where is the location of the work?
 What are the workplace hazards?
 What potential injuries can occur and how far are they from the emergency services?
 Safe access and egress
 Can equipment needed for job be handled by one persons?
 Is there a requirement to lift too-have objects?
 Is there a risk of violence?
 Are women especially at risk?
 Are young workers especially at risk?

Where the risks are high then lone working should be avoided, and a second worker provided.

However, measures to reduce risks to lone workers may include:

 Personal protective equipment to protect against the hazards identified;

 Information and training about risks that may arise;
 A first-aid kit;
 Supervisors periodically visiting and observing people working alone;
 Regular contact between the lone worker and supervisor using either a telephone or radio;
 Automatic warning devices that operate if specific signals are not received periodically from the
lone worker;
 Other devices designed to raise the alarm in the event of an emergency, and which are
operated manually or automatically by the absence of activity;
 Checks that a lone worker has returned to their base or home on completion of a task; and
 Actions to deal with a lone worker who becomes ill, has an accident, or other emergency.

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3.5 MANAGEMENT OF CHANGE

Typical types of changes and their impact

There are many changes happed at workplace routinely such as change in construction work, change of
process, change of equipment, change in working practices and sometimes change in the management
also.

Construction work is considered to be a temporary nature work as the activities on a construction may
be changed time to time. Temporary work at construction workplace include, foundation, renovation,
structure steel erection, demolition, brick lying, trenches etc. The work sometime can a short duration
type or can be a large project.

The impact of these activates may also vary and associated with different hazards according to nature
of temporary work. The victims of these hazards can be the direct employee of the client or the
contractor’s employee who were undertaking these activities. The hazards of the temporary work can
also present the risk to workers working at workplace or others who may be visiting the site.

Managing the Impact of Change

Risk Assessment

It is employer duty to carry out suitable and sufficient risk assessment for the work activity. Where
there are a shared site using by contractor as well, a shared risk assessment need to be carried out.

All temporary work and any change or their impact on existing workplace must be risk assessed. The
risk assessment must take in to account the hazards associated with the work and existing workplace
nature. Consideration should also be given to those people who might be affected from those risk with
special consideration to vulnerable group such as disable, pregnant women, and children.

Communication and Co-operation

It is essential to have an effective communication and cooperation between varies parties such as client
and contractors. Information on the hazards and risk associated with the work must be exchanged. Pre
work planning meetings are key part of achieving the best communication examples. In this way the
employer in control of exiting workplace can anticipate foreseeable risks to their employees.

Appointment of Competent People

All the worker involved in the temporary work or change must be competent. The competent work
must possess the training, knowledge, experience and skills to carry out the work.

Segregation of Work Areas

Segregation of work area is essential to prevent unauthorized access to the workplace. All the work
area of temporary work or change from the existing workplace must be segregate in the term of by
using physical barriers, signage. These signage must be displayed at access point along with any
additional rules need to be followed the people at existing workplace. Area where the people and
vehicle use the same workplace must also be segregated. Consideration should be given to other
people who might pass through the workplace such member of public.

Amendment of Emergency Procedures

An emergency procedure must be developed according to nature of the work. Consideration must be
given to the existing procedure that can be modified as a consequences to impact of temporary work or
change. For example

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 Alternative fire dictation and alarm

 Alternative escape route
 Backup of mechanical ventilation procedure

Welfare provision

Adequate welfare facilities must be provided for all workers engaged in temporary work. These welfare
facilities include:

 Drinking water
 Sanitary convenience
 Rest facility
 Eating facility
 Changing room

Review

There must be a regular review process to ensure the health and safety risks are controlled. It is
important to plan-in reviews as the effects of change can be subtle or delayed eg six months to a year
afterwards. These reviews should be led by the senior manager responsible for championing the change
but may also involve independent reviewers. It is important that the lessons learnt from the change
process are identified (strengths and weaknesses) and used to amend the organisation’s own change
procedure. These review must be communicated to all interested parties.

3.6 FACTORS THAT SHOULD BE CONSIDERED WHEN DEVELOPING AND

IMPLEMENTING A SAFE SYSTEM OF WORK FOR GENERAL WORK ACTIVITIES.

Safe Systems of Work

A safe system of work can be defined as:

A safe system of work is a step-by-step procedure for carrying out a task safely, taking into account
the risks and control measures, the equipment needed, the environment, emergencies and the
competence and skills required by workers.

A safe system of work is needed when hazards cannot by physically eliminate and some element of risk
remains. This applies to any task involving any risk. Thus, there is a specified routine for changing the
toner in a photocopier to avoid spillages and dust contamination, just as there are specific practices for
the separation of cooked and uncooked meats in kitchens, and detailed procedures for the setting and
detonation of explosives in a quarry. In all these situations, the safe system is essential to prevent
accidents or other incidents.

Employers’ Duties

Earlier we considered the general duties of employers to take all reasonable measures to ensure the
safety of their workforce: safe workplace, safe equipment/substances etc.

Regulations and government agencies may specify some of the detail that an employer is expected to
follow.

The “arrangements” section of an organisation’s safety policy will normally address safe systems of
work, establishing the general guidelines under which they are developed and the rules under which
they must be used. Risk assessments must also consider them and look at their continuing
effectiveness in practice, and anything that may be done to strengthen them.

Role of Competent Persons

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Competent persons have a significant role in developing safe systems of work. Competence should
involve:

 An understanding of the task;

 A knowledge of hazards and risks;
 An ability to interpret and apply appropriate standards for adequate control measures;
 An awareness of their own limitations; and
 Skills to communicate with workers and write a comprehensible and simple safe system of work
which accounts for the risks assessed.

Importance of Worker Involvement

The competent person cannot do the job alone. He or she will have to work closely with the workers
who do, or will be doing, the work. They should take an active part in all stages of both the
development and review of safe systems of work. Their practical knowledge and skills in the tasks
provide a valuable source of information about the nature of the risks, including any unusual ones, and
methods of working around them. They can also contribute by assessing plans and written
documentation, and provide feedback on the effectiveness of the system in practice.

Involvement in this way enables workers to gain a deeper understanding of the hazards and risks, and
of the way in which the safe system of work will minimise those risks. This helps to build the safety
culture and reinforces commitment to the system.

Importance and Relevance Of Written Procedures

The safe system of work must be understood by all workers and any others who may be involved from
time-to-time (such as contractors), and applied correctly. For this to happen, it must be communicated
effectively and the basis of it is written procedures.

All systems must be properly documented to provide a precise reference for all operators. It may be in
the form of short notes and instructions about what to do if the toner needs changing in the
photocopier displayed on the wall next to it, or it may take the form of manuals detailing exactly what
steps to take in carrying out more complex and lengthy procedures, such as calibrating and setting up
grinding wheels for use. These will form the basis of training programmes. They are likely to be
accompanied by checklists for workers to use as aids to ensure that all the correct steps are taken, and
to check off details before continuing with the next step or starting operations.

Written documentation also provides the employer with a record of actions taken in compliance with
the legislation. This may be essential if there is an inspection by enforcement agencies or any
proceedings arising out of an accident at the workplace.

Technical, Procedural and Behavioural Controls

A safe system of work will involve all the elements of control that we identified in the general hierarchy
of control:

• Technical, or engineering, controls are those which are applied directly to the hazard itself in order to
minimise the risk. This may involve fencing or barriers of different kinds to isolate workers from the
hazard as far as possible, or failsafe devices designed into equipment to stop its operation if there is a
fault. It is important for the system to recognise such controls since they often underpin the safety of
the whole operation. Similarly, workers must recognise their importance and the need to ensure that
they are in working order at all times.

• Procedural controls are those defined in the way in which work should be carried out in relation to the
hazard. They will specify the exact tasks involved, their sequence and the safety actions and checks
which have to be taken. Thus, there will be a set procedure for operating a grinding machine, opening
machine guards, checking for problems before changing the workpiece, securing a new workpiece and

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closing the guards before switching back on, and finally waiting until it is safe before opening the
guards again.

Often the procedure will relate to the correct operation of the technical controls. In other instances it
will specify management checks which have to be made as part of the process.

• Behavioural controls relate to how the individual operator, or groups of workers, act in relation to the
hazard. They will relate to general points of good safety practice in the workplace; for example, not
consuming drugs or alcohol, not hurrying or cutting corners, always reporting defects or faults, cleaning
up spills, etc.; and to specific measures relating to the particular job, such as personal protective
equipment.

Developing a Safe System of Work

There are six steps to be considered in drawing up a safe system of work.

1. Select the task to be assessed

2. Record each logical step of the task
3. Evaluate the risk by risk assessment from each step of task (MEEP)
4. Develop a Safe System of work
5. Implement the safe system
6. Monitor the safe system

1) Select the task to be assessed

When assessing the task we should look at the following factors:

 Purpose of task
 Number and type of People involved
 Equipment and materials used
 The work methods or Techniques adopted to perform job
 The environment or surroundings in which the task to be carried out
 Any Legal requirements
 Relevant Standards Requirement
 Any relevant Existing controls measures

2) Record each logical Step of task

The task which we need to be assessed is further divided into sub task and then to be recorded each
step of that task.

3) Evaluate the Risk

Having assessed the task will tell us the hazards involved which need to be eliminated or reduced.
These could include such items as:

 Working at heights
 Electricity
 Machinery
 Working below ground
 Vehicles
 Chemical hazards
 Environmental or biological hazards
 Fire hazards
 Manual handling
 Pollution

Depending on circumstances, the hazards associated with the task may include:

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MEEP= Material, Equipment, Environment and People

Materials: Safe in both the raw state and as the finished product; appropriate quality standards; safe
disposal of waste products and by-products of manufacture.

Equipment and Machinery: Good design and safety specification of plant, machinery and equipment,
including ergonomic factors; efficient and planned maintenance and storage

Environment: Effective control of heating, lighting and ventilation; safe levels of noise and vibration;
effective control of dust, fumes, radiation, chemicals and biological hazards; effective means of access
and egress; good standards of welfare amenity provision – sanitation’ hand washing, Showers, clothing
storage, catering, drinking water, and First Aid.

People: Safe behaviour, sound knowledge, skills, both mental and physical, willingness to conform to
the system, motivation, resistance to pressure to behave unsafely, and job experience – the human
assets of the enterprise, adequately trained and supervised, working in harmony.

4) Develop a Safe System of Work

From the analysis of the job and identify the risk and their control strategies now we are able to
develop the safe system of work form theses statics

5) Implement the Safe System

We must implement the system as soon as possible. We should brief the employees prior to using the
system

6) Monitor the Safe System

Monitoring the system does not just mean seeing that the system is followed. The system should be
constantly monitored to see if any change or improvement is require

3.7 ROLE AND FUNCTION OF A PERMIT-TO-WORK SYSTEM

PERMIT-TO-WORK SYSTEM

A permit-to-work system is a written documented confirmation which authorise that a certain activity
can be carried out on a specific location within a specific time duration taking into account all the
hazards and control measures associated with that activity.

The objective is to save workers from any potential risk and create a risk and hazard free working
environment. It is responsibility of an experienced and trained authorized person, who will sign the
permit-to-work certificate, by pre-assessing (getting all necessary technical assistance) the hazardous
circumstances involved and prescribe all required actions and precautions in writing.

Applications of PTW

The sort of high-risk work that would normally be controlled by a permit system includes:

• Hot work (involving naked flames or creation of ignition sources).

• Work on high-voltage electrical systems.
• Confined space entry.
• Work on operational pipelines.
• Excavating near buried services.
• Maintenance work on large, complex machinery.
• Work at height.

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OPERATION Procedure

A permit-to-work system is a management system that is supported by, and makes use of,
permits-to-work (which are pieces of paper). Permits-to-work are formal documents specifying the
work to be done, hazards, and the precautions to be taken. The permit provides a clear written record,
signed by a responsible manager or supervisor, that all foreseeable hazards have been considered and
all the necessary actions have been taken. It must be in the possession of the person in charge of the
work before work can commence.

Sections of PTW

There are five main sections to a permit-to-work:

 Issue.
 Receipt.
 Clearance/return to service.
 Cancellation.
 Extension

Permits are usually triplicate-copy documents with a unique identification number for cross-reference
purposes. The sections of a permit-to-work operate in the following way.

Issue

This section of the permit defines the work, identifies the hazards and determines the necessary safety
precautions. An authorising manager must complete this section. This will require them to carry out a
risk assessment of the work in order to identify all the relevant hazards and precautions. The manager
must be competent to do this.

The authorising manager must specify:

 The exact nature of the work.

 Where the work can take place.
 The names of each of the workers authorised to carry out the work.
 The date and time that work can start.
 The period of time the permit is valid for.
 The control measures that must be in place before, during and after the work.
 Any restrictions.
 Any other permits that may be relevant.

The authorising manager signs the permit to formally confirm that all necessary precautions have been
taken and that work can now start, providing the necessary precautions are adhered to. The manager’s
name and signature, and the date and time should be clear.

Receipt

Here the handover process to allow work to start is formalised. The workers sign the permit to formally
confirm that they understand all the hazards, risks and precautions and those they will comply with all
necessary control measures. Names should appear clearly in capital letters with signatures, dates and
times.

Clearance/Return to Service

The workers sign this section of the permit to confirm that they have left the workplace in a safe
condition, that work is complete and that normal operations may resume.

Cancellation

The authorising manager signs this section to accept the hand-back of the workplace from the workers.
This also has the effect of cancelling the permit so that no further work can take place under its
authority.

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Extension
This section is included in some permit systems in case there is any overrun of the work. It
allows the authorizing manager to grant an extension to the timescale of the permit.
Permits are often issued in triplicate:

 One copy is displayed in the area where the work is taking place.
 One copy stays with the authorising manager.
 One copy is displayed in a central location (often on a permit board) where other permits are
also displayed for clear communication.

Permit Authorisation and Competency to Perform Work

This is a key area, since it is vital that both the ‘authorized person’ ultimately signing the permit-to-
work certificate is in every way a fit and proper person and that the personnel carrying out the work
know exactly what they are required to do.

The appointment by employers of authorized persons to sign permit-to-work systems are themselves
formal, so also should be the manner of appointment of such persons.

In appointing an authorized person to sign permit-to-work certificates, employers should consider

carefully the following points:

 The age of the person involved (they must be a fully mature and responsible person).
 Their training, qualification and experience.
 Their knowledge of the particular plant/equipment/hazardous work process involved.
 Their ability to control the situation and the personnel involved.

It is also up to the organization providing the permit-to-work systems to ensure that the personnel
carrying out the work are competent to do so safely. This is in practice often delegated both to the
supervisors responsible for performing the work and the authorized person signing the permit. These
parties must assess the competence of such personnel in carrying out the work, and the permit-to-
work certificate often carries a crucial acknowledgement clause.

Permit Types and Examples

‘Hot’ and ‘Cold’ Work Permits

Both types of permits are concerned with preventing fires (or, more commonly, explosions) where work
has to be carried out in circumstances where there would otherwise be a risk of fire through the
presence of flammable liquids/materials and/ or explosions, through the presence of flammable
atmosphere.

A hot work permit (see example attached) allows ‘hot work’ (i.e. welding, flame cutting etc.) to be
carried out provided all precautions possible have been effected)

A cold permit allows ‘cold work’ (i.e. use of chisels which could nevertheless produce a spark, or any
other form of work which, although ostensibly ‘cold’ could produce a source of ignition, for example
through the discharge of static electricity, chemical reaction.)

Electrical Work Permits

These allow work to be undertaken with equipment which would otherwise be hazardous because of
electricity. Such permits normally cover formal isolation and earthing procedures and allow either
electrical work or testing to be performed (see example attached). Another form of permit is designed
to cover work on, or testing of, exposed conductors (at dangerous voltage) which only for overriding
operational needs cannot be isolated (see example attached). Use of this letter permit system should
be rare, and the ‘isolation method’ is always to be preferred.

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Confined Space Entry Permit

This used for work in confined spaces, such as vessels, manholes, tanks and sewers, in which the
atmosphere is, or could become, toxic, flammable or deficient in oxygen.

Work at Height

A large proportion of workplace fatalities are caused by falls from height; this is considered a high-risk
activity and is often covered by a permit-to-work. The permit system will be used to ensure that the
following factors are taken into consideration:
 Avoid working at height if possible.
 Prevent falls by providing a safe workplace, e.g. a platform with adequate edge protection.
 Minimising the distance and consequences of falls using PPE to limit falls, or safety devices, e.g.
nets to “catch” anyone who does fall.
 Weather conditions, e.g. high wind, ice.

Machinery Maintenance

Maintenance work often involves the removal or disabling of safeguards and control systems. For large,
complex industrial machinery more than one person may be involved in the work and they may be
required to work inside the machinery. This can generate high risk that might be best controlled using
a permit system.

A permit system is used to ensure that:

 Work is carefully planned, assessed and controlled.

 The nature of the work is communicated to those who need to know about it.
 Power sources are isolated and locked off.
 Stored energy is released or secured.
 The workers are competent to do the work

3.8 EMERGENCY PROCEDURES AND THE ARRANGEMENTS FOR CONTACTING

EMERGENCY SERVICES

Workplace Emergencies

An organization has to develop procedures to deal with foreseeable incidents. Such incidents might
include:

 Fire.
 Bomb threat.
 Spillage of a hazardous chemical.
 Release of a toxic gas.
 Outbreak of disease.
 Severe weather or flooding.
 Multiple casualty accident.

The foreseeable incidents will vary depending on many factors such as the type of organisation and its
location.

Developing Emergency Procedures

The main objective of emergency procedures is to provide a temporary safe environment for workers
and to limit the loss of property. There should be a prepared plan spelling out a course of action which
directs people in acting immediately and correctly in all types of emergencies.

The emergency procedure should outline the basic steps necessary to handle foreseeable emergencies
in the workplace. Although it does not have to be all-inclusive, it should provide appropriate guidance
on what to do in an emergency; for example:

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• Clear, written policies which designate a chain of command, giving the names and job titles of the
people (or departments) who are responsible for making decisions, monitoring response actions and
returning operations back to normal.

• Names of those who are responsible for assessing the degree of risk to life and property and who
should be notified for various types of emergencies.

• Specific instructions for shutting down equipment and production processes, and for stopping
business activities.

• Evacuation procedures, including a designated assembly point outside the workplace and a method to
account for all workers, and others, after an evacuation.

• Procedures for workers who are responsible for shutting down critical operations before an
evacuation.

• Specific training, special equipment, and practice schedules for workers who are responsible for
rescue operations, medical duties, hazardous situations, fire fighting and other responses specific to the
workplace.

• The preferred means of reporting fires and other emergencies.

The first step in developing an emergency procedure is a risk assessment. The hazards to be identified
include those at the workplace, and also those at nearby facilities which may affect it. Where hazardous
substances are used, the manufacturer or supplier should be able to provide information about the
emergency and first-aid procedures which may be necessary.

The procedure should cover different emergency situations and identify appropriate responses in all
areas of the workplace. It should be developed in co-operation with workers, and reviewed with them
when responsibilities or the plan itself change. Finally, it must be communicated clearly to workers and
others who may be affected. This includes posting appropriate notices at key locations, describing
procedures in induction programmes (both for new workers and those visiting the workplace) and
carrying out training in the procedures themselves.

FIRST AID

The aim of first-aid is to:

 Preserve life and minimize the consequences of serious injury;

 Prevent deterioration by reassuring the casualty and lessening the effects of medical shock;
 Promote recovery;
 Provide the treatment of minor injuries that do not require medical attention

In some countries the requirement to provide first aid is compulsory in law and many of these will
specify the numbers of first aiders and other medical requirements. In countries where it is not
required in law many organizations will decide that they will provide first aiders for their workforce.

If there are no specific requirements for the number of first aiders than the organization should carry
out an assessment of their operations considering the following

1) The size of the organization and the number of employees, including fluctuations caused by shift
patterns. The more employees there are, the higher the probability if injury.
2) The nature and distribution of the workforce. Young pregnant or disabled workers may have
special needs. In addition, the layout of the workplace, e.g. on sites with more than one building,
will affect the distribution of workers.
3) The nature of the work. First-aid requirements will be dependent on the type of work being
carried out and the hazards and risks involved. Some workplaces, e.g. offices, have relatively
few hazards and low level of risk; others have more specific hazards, e.g. construction or chemical
sites. This will also include working out of normal hours.

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4) Past accident history and accident types: The history of past accidents, their number,
frequency, type and consequence can help to determine first-aid materials and equipment required
and where first aiders should be located.
5) Remoteness of the site form emergency medical services: The proximity to emergency
services should be considered. If the provision of an equipped first-aid room difficult or likely to be
delayed, the ambulance service should be informed in any case if the work is hazardous.
6) The needs of travelling, remote and lone workers: The nature of the work and its risk will
need to be considered, and whether there is a work group or single employees.
7) The need to train personnel in special procedures. There may be specific types of injury in a
particular industry which the general first aid course may not cover.
8) The employer should also consider in their assessments annual leave and other absences of
first-aiders through illness or absences.

Having made these assessments, the employer is able to work out the number and the size of first-aid
boxes required. Additionally facilities such as a stretcher or first-aid room may also be appropriate.

Multi-occupancy sites

Agreement can made to share adequate facilities, with one employer responsible for their provision.
Such agreement should be in writing, with steps taken by each employer to inform his employees of
the arrangements.

First-aiders

First-aiders should be trained and certificated to administer first-aid.

In the UK, for example, the training is provided by organizations approved and monitored by the
Enforcing Authority (HSE) and lasts for four days, with a requirement for certificate to be renewed
every three years following attendance on a refresher course of at least two days duration.

Many organizations will ask for volunteers to become first aiders but in others it will be part of job
specification.

Absence of First Aider

Employer should consider the possibility of the first aider being absent and three should be someone
appointed to take control of the situation and call medical assistance etc. in some countries these
people are given a one day emergency first aid course.

Information for Employees

Employers should inform employees about the first aid arrangements, including the location of
equipment, facilities and identification of trained personnel.

First-Aid Boxes

An employer should provide an adequate number of first-aid boxes. The actual contents for first-aid
boxes will be determined through legislation or guidance.

Suggested contents for a first aid box are:

 Twenty individually wrapped sterile adhesive dressings (assorted sizes) appropriate to the work
environment
 Two sterile eye pads, with attachment
 Six individually wrapped triangular bandages
 Six safety pins

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 Six medium sized individually wrapped sterile unmediated wound dressings (approx. 10cm x
8cm)
 Two large sterile individually wrapped unmediated wound dressing (approx. 13cm x 9cm)
 Three extra sterile individually wrapped undedicated wound dressings

Small travelling first-aid kits should be provided for workers working away from their base, e.g. filters,
forestry and agriculture workers.

First Aid Kit

First-Aid Rooms

Employers may have to provide a suitable first-aid room (or rooms) where the assessments of first-aid
needs identify this as necessary or it is required by law. The first-aid room/s should contain essential
first-aid facilities and equipment, be easily accessible to stretchers, and be clearly signposted and
identified. If possible the room/s should be reserved exclusively for giving first-aid.

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ELEMENT 4: HEALTH AND SAFETY MONITORING AND MEASURING

Sr Content Page
Active and reactive monitoring
• The differences between active and reactive monitoring
• Active monitoring methods (health and safety inspections, sampling and tours) and
4.1 their usefulness: 88
• Reactive monitoring measures and their usefulness:
• Why lessons need to be learnt from beneficial and adverse events
• The difference between leading and lagging indicators.
Investigating incidents
• The different levels of investigations: minimal, low, medium and high
4.2 94
• Basic incident investigation steps
• How occupational accidents and diseases are recorded and notified by the organisation
Health and safety auditing
• Definition of the term ‘audit’
• Why health and safety management systems should be audited.
4.3 • Difference between audits and inspections 102
Types of audit: product/services, process, system
• Advantages and disadvantages of external and internal audits
• The audit stages:
Review of health and safety performance
• Why health and safety performance should be reviewed
• What the review should consider
4.4 111
• Reporting on health and safety performance
• Feeding review outputs into action and development plans as part of continuous
improvement.

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ELEMENT 4: HEALTH AND SAFETY MONITORING AND MEASURING

Learning outcome Related Assessment criteria Assessment

The learner will be content (QP = question
able to: paper, P = practical)
Help their employer to 4.1, 4.1 Discuss common methods and QP
check their management indicators used to monitor the
system effectiveness – 4.3, effectiveness of management systems
through monitoring,
audits and reviews 4.3 Explain what an audit is and why
4.4
and how it is used to evaluate a
management system

4.4 Explain why and how regular

reviews of health and
safety performance are needed
Take part in incident 4.2 4.2 Explain why and how incidents QP
investigations should be investigated, recorded and
reported

4.1 ACTIVE AND REACTIVE MONITORING

Monitoring

Measurement/Monitoring is a key step in any management process and forms the basis of continuous
improvement. It is also a key to measuring the performance either positive or negative from data
gathered.

Organisation always try to grow well and try to check their performance level either it is as per
standards or not. The best way to monitor the performance of any company is managing the health
and safety giving the same importance as of any other aspect of business unit

The reasons for measuring performance is that it will enable the organization to:

 Identify substances H & S practices

 Identify trends
 Compare actual performance against targets
 Benchmark
 Identify use and effectiveness of control measures
 Make decisions on suitable remedial measures
 Set priorities and establish realistic timescales
 Asses compliance with legal requirements
 Provide information to Board, Committees etc.

There are so many methods to monitor the performance but the most popular monitoring techniques
are below:

1) Active or proactive Monitoring

2) Reactive Monitoring

Proactive (Active) Monitoring

In proactive monitoring we take initiative before things go wrong or preventing an accident form
happening, this involves routine inspections and checks to make sure those standards and policies are

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being implemented and that controls are working.it monitors organizational progress in health and
safety and the effectiveness of the Health and Safety Management System

Reactive Monitoring

In reactive monitoring we take actions after things go wrong, this involves looking at historical events
to learn from mistakes and see what can be put right to prevent a recurrence. It monitors
organizational health & safety failures such as accidents, ill health, near misses

Proactive /Active Monitoring Method

Proactive (active) monitoring attempts to identify evaluate and controls hazards of risks before they
lead to accidents. There are many types of proactive monitoring methods available and these are:

a) Safety audits
b) Safety inspections
c) Safety survey
d) Safety tour
e) Safety sampling
f) Benchmarking
g) Hazard and operability studies
h) Health surveillance
i) Performance review

a) Safety Audits

A safety audit is thorough, critical examinations of an organization’s safety management systems &
procedures. It is normally a lengthy process carried out by a trained auditor, often someone from
outside the organization looking at the strengths and weakness of the organization.

It is a structured way of assessing the supplying answers to a series of questions, often involves a
scoring systems such that improvements can be made.

b) Safety Inspections

A safety inspection involves the straightforward observation of a workplace and/or the activities or
equipment within it. A safety inspections is usually carried out by a manager, employee’s
representative and safety Advisor and often aided by the use of a checklist may be carried out routinely
and has the aim of identifying hazards and assessing the use and effectiveness of control measures.

Reasons why a hazards may be fail to identify during an inspection:

 It is only a snapshot in time

 Some hazards are not visible
 Some hazards may not be present during the inspection and occur later in the process
 Unsafe practice may not happening during the inspection if the employees know the inspection
is taking place

Types of Inspections

There are many types of inspections but the two most common are:

 General workplace inspections carried out by management, health and safety representatives,
safety practitioners on a regular basis
 Statutory inspections which are required by the country’s legal system and is carried out by
competent person. Most countries will have a requirement for cranes to be inspected every
year.

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Frequency of Inspections

The frequency of inspections will depend upon factors such as the purpose of the inspections and the
level of risk within the organization.

General workplace inspections may be required every month in high risk organizations and every three
months on low risk organizations however line managers and supervisors may well carry out
inspections weekly.

Statutory inspections will depend on either the company’s requirements or the legislation of the
country.

Competence of the inspector

There are many people who may carry out workplace inspections and these may include:

 Managers or supervisors
 Safety practitioners
 Employee health and safety representatives
 Enforcement agencies
 Insurance companies’ representatives
 Specialist competent persons (for the statutory inspections)

The people who are carrying out the inspections will need to be competent and so require.

 Knowledge of workplace inspections and of the hazards associated with the process, activity or
area;
 Knowledge of the controls in place to prevent hazards being realized;
 Experience of the process, activity or area and carrying out inspections;
 Training in inspections techniques and it checklist are used, training in their use,
 The inspector should have good communication and writing skills

Inspection Checklists

In many situations the use of a pre-prepared checklist of topics may be useful as a memory aid and to
prompt the inspector into examining the appropriate areas. A checklist might include various points
under headings such as:

 Housekeeping
 Electrical safety
 Provision and use of PPE
 Use and storage of hazardous substances
 Manual handling
 Traffic routes
 Machinery
 Internal transport
 Emergency equipment
 Welfare facilities
 Systems of work
 Working environment

The strength of using a checklist to complete a health and safety inspections are:

 Enables prior preparation and planning

 Inspection is more structured and systematic
 Reduce the chance of important issues being overlooked
 Provides immediate record of findings
 Ensure a consistent approach

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 Provides easy method for comparison and audit

The weaknesses of using a checklist are:

 Over reliance on checklists may result in a blinkered approach by inspectors

 Checklist may not be reviewed/updated to account for changes
 A danger that inspections become routine with no follow-up questions being asked
 No scope for peripheral issues to be considered
 Untrained persons might attempt to conduct inspections
 Inspections procedures may be subject to human error or abuse

Inspections Reports

Many inspection reports are simply a list of things that are wrong. It is important to list the good points
as well as the hazards that need addressing.

For the hazards identified, the report should identify actions or control them and also to prevent them
from recurring again.

The report should also priorities the actions to be taken and set time limits and specifies responsibilities
to carry out the actions and also set review dates.

The report should be structured summarizing them key issues placing emphasis on the need for action
and kept as short as possible.

c) Safety Survey

A safety survey focuses on specific health and safety topics and is normally carried out by a specialist
e.g. noise surveys carried out a consultant, fire survey carried out by insurers. Detailed reports on the
main strengths and weaknesses, with an action plan, are normally produced as a result of surveys.

d) Safety Tour

A safety tour is a unplanned unscheduled examination of the workplace to assess whether or not
acceptable standards of housekeeping, safe access, fire precautions, etc. are being maintained. Some
hazards may be identified but a tour gives a general impression rather than a thorough analysis of
hazards. Safety Tours by senior managers or directors can demonstrate the profile of, and commitment
to, health and safety

e) Safety Sampling

A random sampling exercise observing health and safety conditions and practices (e.g. to observe the
use of hearing protection.) it notes compliances and non-compliances which are counted to provide a
score of the overall effectiveness of safety performance.

Sampling is where only a partial amount of a particular area is looked at to establish an indication of
the standard of compliances as a whole. For example a random inspection of some pieces of lifting
Tackle could indicate the general standard.

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Summary of Active monitoring Techniques:

Monitoring
Outline Purpose
Method

A formal, structured examination of the

physical working environment taking in the To identify obvious hazards and
Inspection
whole area e.g. safety representative’s eliminate or control the hazards
inspection or a weekly supervisor’s inspection

To note any omissions or non-

A random sampling exercise observing health
Safety
and safety conditions and practices e.g. to
sampling
observe the use of hearing protection
compliances. The number of non-
compliance’s are counted to provide a
score of the overall effectiveness of
safety performance

A planned tour of the workplace via a To assess generally whether workplace

Safety tour predetermined route, often by senior standards are acceptable and to raise
management the profile of health and safety

An examination of a specific aspect of health

Safety and safety. Normally carried out by a To determine the condition, strengths
survey specialist e.g. machinery guarding, building and weaknesses of a specific hazard
or fire precautions survey

f) Benchmarking

Originally benchmarking was used in surveying as a reference point. From this benchmarking has come
to mean comparing with a standard and has developed into a business tool. Benchmarking can be
applied to any area of an organization’s work including health and safety management. Benchmarking
is not just about learning form others and comparing data or copying competitors but is about learning
from others and comparing your own organization’s strength and weaknesses and acting on the lessons
learned.

h) Health Surveillance

By carrying out health surveillance on employees the employer will be able to detect problems at an
early stage and put in place preventative measures.

Reactive Monitoring Methods

Reactive monitoring is considered a negative monitoring as it takes place or normally used after facing
the loss. Following means of checking performance are normally used to monitor the performance in
this technique. By this method of monitoring companies use below mentioned sources as a means of
judging performance

a) Accidents
b) Compensation Claims Records
c) Other Reactive Monitoring Methods

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Accidents:

Accident rate normally express the company success or failure. Accidents figures show the company’s
trend for compliance with good practice or away from standards.

Collection of accidents data is important but is not a sole means of monitoring performance for a
number of reasons. The data is historical and is measuring failure. There may be under-reporting
particularly in the case of minor injuries or accidents where serious injuries could have been suffered
but personnel had a “lucky escape”

Trends and problem departments, sites or activities can be highlighted if accident data is used to
prepare statistic showing, for example. The total number of accidents in a year broken down into
various categories or severity of injury, type of accident, job titles of persons suffering accidents,
accidents in each department or location, etc. depending on the requirements of the company.

To enable more accurate comparisons to be made between different months, years or locations, some
means of relating the figures to the types of activities, differences in numbers employed, severity of
accidents etc. should be employed.

Variations in work methods hours of work, hazard controls and management systems make it difficult
to make comparisons outside the organizations.

Accident records are best suited to comparisons of performance to the same organization over similar
periods of the time, for example yearly. In this way trends may be observed and conclusions drawn.

If companies are to be made outside the organization it should be remembered that other
organizations may have a different understanding of terms such as definition of an accident (lost time
or reportable).

Compensation Claims Records

It is other the case that claims made against a company are passed straight to an insurance
department or Company Secretary and are not seen by company safety advisors or managers.

Although some of the information may be confidential there is a need to ensure that this information is
incorporated into the whole picture of accident prevention.

Other Reactive Monitoring Methods

A company may look at other reactive indicators as a means of judging performance e.g.

 The number of defects of reported following safety inspections

 Any enforcement action against the company
 Prosecutions
 Legal mandates.

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4.2 INVESTIGATING INCIDENTS

The reasons to carry out accident, incident and ill-health investigation are to:

 Prevent future accidents by identifying and eliminating the causes;

 Demonstrate concern about people’s health and safety and improve employee morale;
 Identify weaknesses in management systems;
 Prevent business losses;
 Comply with the ILO Occupational Safety and Health Convention, C155;
 Comply with Recording and Notification of Occupational Accidents and Diseases which requires
certain injuries and diseases to be reported to the ILO;
 Conform to occupational health and safety management systems, which require: employers to
monitor and review performance. This includes accident investigation; and risk assessments to
be reviewed when there is an accident or ill-health;
 Collate (collect) accident and ill-health data and establish trends;
 Defend civil claims for compensation – Workers’ compensation insurers require organizations to
make a full disclosure of the circumstances of an accident; and
 Defend a criminal case.

In these circumstances the Enforcing Authority may wish to prosecute or issue an improvement /
prohibition notice. In addition, the victim may wish to sue for compensation against the company
and/or other persons.

ACCIDENT:

An accident is an unwanted/unplanned event which results in an injury or loss.

NEAR MISS (INCIDENT)

A near miss is an unwanted/unplanned event that has potential to result in an injury or loss

Occupational ill-health

Occupational ill-health includes any acute or chronic ill-health caused by physical, chemical or biological
agents as well as adverse effects on mental health. (HSE, 2003)
In practice occupational health is often termed ‘disease’, where a ‘disease’ is wider than infections and
viruses and includes any ill-health caused by exposure to the demands of work.

Dangerous Occurrence

A dangerous occurrence is a near miss with serious injury potential, specifically defined in law: an
example being the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013
(RIDDOR) in the UK, e.g. failures of load bearing parts of lifting equipment; accidental contact with (or
drawing an arc from) overhead power lines etc.

Damage Only

A damage only event could be considered to be an incident which is similar to an accident in that it is
unplanned and unwanted but it only results in damage, i.e. no person was injured. The damage could
be to property, equipment, vehicles, materials, goods etc.

The causes of accidents can be revealed under the headings of:

 Immediate/direct causes
 Underlying causes
 Root causes

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Immediate Cause (Direct Cause)

The immediate cause of an accident is the unplanned, unforeseen event that has caused the
accident/incident. For example a steel clip breaks and a piece of metal flies through the air. The
immediate cause is the clip breaking.

There may be more than one immediate cause but generally there is only one immediate cause and
this is the easiest to find .For example an overload fork truck may turn over after hitting a pothole .The
immediate cause was the overloading because if the fork truck was properly loaded it would probably
not have overturned .

Having decided the immediate cause the next stage is to ask the question WHY DID IT HAPPEN; i.e.
why did the clip break, why was the fork truck overloaded. This then leads to looking for the:

 The underlying (Basic cause)

 The Root cause

The Underlying Cause (Basic)

The underlying cause sometimes called the basic cause can be considered as the human factor involved
such that inadequate training, high workload and poor employee selection.

Root Cause

The root cause could be considered as the failure of system and procedure under Management’s control
such as no poor risk assessment procedure, lack of supervision, no defect reporting procedure.

The distinction between basics and root cause can become blurred and so must organization does not
attempt to differentiate between then and list them both under the term Root cause.

In some organization the Root cause is referred to as the Main cause of the accident. There may well
be more than one Root cause of an accident. For example there could be a failure in a system but it
may be also found that employees have not been trained and there was a lack of supervision.

 Occupational accident – an occurrence arising out of or in the course of work that results in
a fatal or non-fatal occupational injury.
 Occupational injury – death, any personal injury or disease resulting from an occupational
accident.
 Commuting (travel)- accident – an accident resulting in occupational injury involving loss of
working time occurring on the direct way between the place of work and:
 The worker’s principal or secondary residence;
 The place where the worker usually takes his / her meals;
 The place where the worker usually receives his / her remuneration.

Traffic accident in which workers involved during working hours and which occur in the course of paid
work are considered as occupational accidents in some countries.

To understand the above terms, let us consider the scenario in which a driver of a fork-lift has been
seriously injured after the vehicle has overturned.

Level of Investigation

All the incident need to be reported but not all need the same level of investigation. The level
investigation is determined by the likelihood of reoccurrence and potential worst consequences of
undesired event. Clearly the more serious one need deeper investigation. For example a tool falling off
the scaffold may not have caused any injury, but it has potential to cause a major injury. So this
incident required a deeper level of investigation to prevent reoccurrence.

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Minimal investigation- a supervisor looks at the circumstances of the underside event and tries to
identify how to prevent other similar events.

Low-level investigation- a supervisor or line manager does a short investigation into the circumstances
and looks the immediate, underlying and root causes of the undesired event to try to prevent it
happening again.

Medium level investigation-a more detailed investigation, involving a safety and health practitioner and
workers representative

High level investigation- investigation using a team based approach that may include line managers,
supervisors, health and safety representatives and workers representatives.

Domino Theory

The Domino Theory suggests that the events leading up to an accident can be likened up to an accident
can be likened to a row of dominoes. The five dominoes are:

1. Lack Of Management Control

Management have clear responsibility in deciding the overall objectives and operations of the
organizations. If these are not clearly formulated safe systems of work, safe plant and equipment etc.
cannot be created.

2. Individual And Job Factors (Root / Underlying Causes)

 Unclear lines of responsibility or accountability

 Poor supervision

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 Lack of information, instruction or training

 Ineffective communication

3. Unsafe Acts / Unsafe Conditions (Immediate Direct Causes)

Unsafe Acts

Unsafe acts can be described as things people do that can result in accidents causing injury damage to
equipment or both. Some examples are:

 Misuse of equipment
 Using defective or worn equipment
 Failing to follow correct work procedure
 Failure to use correct protective equipment
 Untidiness
 Negligence and horseplay
 Failing to replace guards after removal

Some of these problems are directly under the control of the employee but the manager should be
identifying these problems and looking at solutions such as ‘has the employee received the correct
tools available?’ and ‘is the supervisor ensuring that correct procedures. Tools and turning a “blind eye”
to these acts is virtually guaranteeing an accident in the future.

Unsafe Conditions

These are conditions that are liable to lead to an accident. Examples are:

 Poor housekeeping
 Poor lighting/ventilation
 Incorrect or inadequate guards
 Defective equipment
 Poor design / construction

These are mainly the responsibility of management although the employee can help to reduce these
problems.

The problem with unsafe conditions is that they are continually being created. Even whilst one pile is
being created elsewhere. It does not seem to matter how well trained the workforce, they will still
occasions cause unsafe conditions (e.g. material may be piled in walkways or unsafely stacked).

The battle against unsafe conditions is on-going and can be extremely frustrating but it is
management’s duty to maintain or safe environment.

To eliminate unsafe actions and conditions, amongst the workforce towards safety procedures. A
system of periodic inspections can be implemented to control and eliminate unsafe acts and conditions.

4. Accident / Incident

The unplanned / unpremeditated event which results in a loss

5. Loss

If management control is established at Domino A there will be less chance of an accident occurring at
Domino D.

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Accident Categories

Accidents may be categorized in accordance with the cause of the injury. Typical causes of injury
include:

 Slips / trips / falls on the same level;  Manual handling;

 Falls from height;  Electricity
 Falling objects;  Contact with machinery / hand tools;
 Collision with objects e.g. struck by or  Transport;
struck against;  Contact with chemicals;
 Trapping / crushing under or between  Asphyxiation / drowning;
objects;  Fire and explosion;
Accident Prevention

Accident prevention is the technique of anticipating and controlling events so that accidents are
eliminated and the subsequent costs in time / money are avoided.

The key to successful prevention programme is management commitment to safety.

Research by Frank E Bird who investigated approximately 2,000,000 accidents showed that for every
event leading to major injury there can be as many as 10 causing minor injury, 30 causing property
damage and hundreds that result in neither injury nor damage. The latter are known as Critical
incidents by management and all employees is the basis of a good accident prevention systems.

This situation is often likened to that of an iceberg with only the tip visible.

The employer should be concentrating on the near misses as these are an indication of where accidents
will eventually occur.

The benefits of collecting near miss data are as follows:

 Identifies underlying causes which may allow preventative action to be taken before something
more serious occurs
 Gives message to workforce that all failures are taken seriously not just those leading to injury
 Generally accepted near misses greatly outnumber accidents and can therefore produce more
data from which a greater understanding of the deficiencies in management systems can be
identified and rectified

Basic accident/incident investigation procedure

There are immediate and longer term actions which management should take after an accident such
as:

 First aid injured party

 Calling medical assistance if necessary
 Make area safe
 Isolation of accident scene
 Implement or initiate emergency plans
 Report to relevant enforcing authority if necessary
 Identification of witnesses
 Setting up investigation Team
 Full investigation to determine not cause
 Making recommendations
 Implementing corrective action

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Preparation before the Investigation

Factors to be considered before undertaking the investigation:

 The depth of the investigation and the composition of the investigation team
 If possible the accident scene is left untouched
 Collating relevant existing documents
 Identifying the witnesses
 Check that legal reporting requirements have been met
 What equipment is needed
 The style to the adopted
 The style of report and who should receive it

Who Should Carries Out Investigation?

The accident investigation team depend on the organisation and nature of accident. A team should
posses with knowledge, skill and experience. The team should led by someone with enough authority
and knowledge to make authoritative recommendations. A person can also carry out investigation for a
small medium orgainsation. However an ideal team may include

 Line Manager. He has knowledge of the processes involved

 Supervisor. He also has knowledge of the process
 Safety Practitioner. He has the knowledge to advise on health and safety implications
 Engineer. He has the knowledge to advise on technical matters
 Senior Manager from different department. Unbiased

What Equipment Is Needed

It is important to have equipment available for an emergency. Valuable evidence can be lost if, for
example, the camera cannot be found etc. the following equipment may be required:

 Camera
 Writing materials
 Paper or investigation forms
 Measuring tape
 Area plans
 Personal Protective equipment
 Possibly a checklist

Undertaking the Accident Investigation

There are four suggested steps to carrying out an accident investigation.

1) Gather the information

2) Analyse the information
3) Identify the risk control measures
4) Take action

1. Gather The Information

Gathering and recording information will help to evaluation the facts. Evidence is quickly lost at scene,
so it is essential to preserve the scene and take photographs, draw and sketches and take
measurements prior to any clearing-up that may follow the accident. Where ill-health is concerned,
special measurements such as noise levels or radiation levels may be required.

It is important to keep an open mind and not to dismiss any evidence at this stage.

Questions to be asked at this time can include:

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 What activities were being carried out at the time?

 Was there anything unusual or different about the working conditions?
 Were there adequate safe working procedures and were they followed?
 Was the risk known? If so why wasn’t it controlled?
 Did the organization and arrangement of the work influence the accident?
 Was the maintenance and cleaning sufficient?
 Was the safety equipment sufficient?

Other factors to be considered include:

The Materials

Did the accident involve the use or handling of materials or substances (e.g. heavy and awkward
materials; materials with sharp edges; toxic chemicals; hot liquids;)

The Equipment

Were tools, vehicles, machinery involved? If so were they suitable, properly maintained, and properly
used by authorized competent people? (e.g. machines without guards; faulty equipment; fork lift trucks
in a pedestrian area)

The Environment

Did lighting, temperature, noise, poor ventilation, the condition of floors, poor access, and work at
height or in confined / restricted space, contribute to the event e.g. the physical layout, such as table
causing obstruction; visual and audible warnings that could not be seen or heard; poor lighting; uneven
floors; high or low temperatures.

The People

Were those involved authorized, competent and adhering to procedures? Did they have all the
appropriate information and were they adequately supervised? Was human error a factor (e.g. a lack of
instruction may mean tasks were not carried out correctly; inexperience, or lack of awareness; routine
violations such as failure to wear hearing protection.)

It is important to examine any contradictory evidence closely, without dismissing any fact that does not
lift in with the rest.

An understanding of the system of work involved is key to the investigation, e.g. is the nature of the
work routine, sporadic or incidental?

In certain cases it may be necessary for plant and equipment, such as lifting appliances, machinery and
vehicles to be examined by a specialist, e.g. consultant engineer.

Interviewing

A key part of the investigation is to interview witnesses thoroughly, in the presences of a third party if
they request it, and take full statements. This can be achieved by interviewing one person at a time,
introducing yourself and the purpose of the investigation, which is to prevent a recurrence. It will be
important to know the interviewee’s name and role in the event, and establish trust and confidence.

Other factors during interviewing include:

 Not prompting or leading witnesses,

 Asking ‘open’ questions (e.g. how, who, what, when, why) such as ‘Can you describe the
function of the machine? Rather than ‘closed’ questions, such as ‘Is the machine a lathe?’ to
which the person can answer only yes or no;

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 Not asking long, complicated questions; break them up into smaller ones;
 Verifying the facts by asking closed questions;
 Not making immediate judgments about the information

It is essential to evaluate the accuracy, reliability and relevance of the facts and individual witnesses’
versions of them. Being aware of ‘hearsay’, i.e. opinion ‘I think’ rather than facts ‘I saw’. Where
possible, all relevant information should be backed up by physical evidence.

Documents

Information gathered at the scene may be backed up by documentary evidence, e.g.

 Risk assessments;
 Safe systems of work;
 Previous incident and accident records;
 Training records;
 Maintenance records;
 Equipment instructions;
 Work place monitoring, e.g. noise, dust levels;
 Supervision rotes;
 Inspection reports; and
 Pre-start equipment checks, e.g. guards, fork-lift trucks.

Documentary evidence may also help to confirm witness statements where comments were
unconfirmed by evidence at the scene.

2. Analyse The Information

All the facts and information will be analysed to determine what happened and why, Analysis should be
systematic, considering the ‘domino theory’, in order to identify:

 Immediate / direct causes

 Underlying / root causes

The immediate / direct causes could be:

 Cornering too fast

 Hitting obstructions
 Driving across or turning on slopes
 Moving with load elevated
 Driving with unstable load
 Driving with excessive load
 Colliding with another vehicle
 Driving under the influence of alcohol or drugs
 Poorly maintained truck or road surfaces
 Poor lighting

Root / Underlying causes could be:

 No or inadequate risk assessment

 No safe systems of work
 No defect reporting systems
 Lack of management commitment
 Lack of daily fork lift inspection
 Lack of maintenance of vehicle
 Lack of maintenance of vehicle
 Lack of maintenance of workplace
 Lack of supervision

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 Unfamiliarity with workplace

 High workload
 Poor vehicle selection
 Inadequate driver training

These may include factors relating to materials, equipment, environment, people, organization and
management.

An essential part of accident investigation is to compare the standard of control with the standards set
out in the risk assessment. Was the risk assessment suitable and sufficient and, if so, why did the
accident occur?

3. Identify The Risk Control Measures

A systematic approach to Step to will enable possible may have identified that there were:

 No control measures in place or if so not used

 Control measures in place that failed
 Combinations of the above

Each possible risk control measure should be evaluated for:

 Their ability to prevent recurrences

 Whether they are practical
 Whether they will be used
 Whether they will remain effective

It will be important to consider whether similar risks exists elsewhere in the premises or another site.
Information from the event should be circulated to other areas. Organizations are particularly open to
criticism if a series of similar accidents occur.

4. Take Action

Senior management should be involved because they have authority to make decisions and act on
recommendations, consultation with health and safety representatives will be valuable in deciding what
action to take.

The highest priority risk control measures should be implemented first. If the risk is high it will be
important to act immediately or out short-term measures in place. Where risks are not high and
immediate, control measures can be put into the action plan in order of priority over the short, medium
and long-term.

A specific senior person, preferably a director, partner or senior manager, should be made responsible
for ensuring the action plan as a whole is put into place.

4.3 RECORDING AND REPORTING INCIDENTS

Investigation Report

Having completed our investigation we may have to make a report to management. We should
remember that managers are busy people and if we make our report too long it will-either be skimmed
over or not read at all if the accident is not seen as to serious. The report should contain:

1. Who – the injured person

2. When – date and time
3. Where – location details
4. What – type of accident and nature of injury

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5. How – detail of events

6. Why- analysis of cause
7. Recommendations
8. Documentation
9. Reference to possible breaches of law

Internal systems for collecting, recording, analysing and communicating data

Reportable injuries may represent only a small proportion of the total number of injuries to employees.
Records of more minor, non-reportable injuries, and of incident, may also be converted into incidence
rates and used to monitor trends over time, or between different parts of the operation, e.g. analysis of
the data to establish the causes of injury can help to identify risks that are not controlled.

Collecting and Recording Data

Data will be recorded in a number of different forms:

Incident and Accidents

 Incident, accident or near miss reports and records

 Reports of Enforcing authorities
 Reports to insurers

Work Related Ill-health

 Sickness absences reports

 Health or surveillance
 Medical diagnoses from practitioners outside the organization

To encourage ownership of the issue it is ideal if data is collated locally in departments and then sent to
a central department, such as Health and Safety or Employee Relations / human Recourses. Health and
Safety Representatives may underlying collation, but it is important that operational managers are also
involved the process. The information can then be used within a department, or across a site, or across
the whole organization.

Other types of event often fall into this reporting regime, such as lost-time injuries, where workers are
unable to perform their normal duties for a time period. Local statute law usually specifies how these
reports are made and the timescales for reporting.

The International Labour Organisation (ILO) has published several international standards on
recommended reporting procedures. The principal reference is the 2002 Protocol to the Occupational
Safety and Health Convention 1981 (P155); this greatly expands on the general reporting standards of
Article 4 of the Occupational Safety and Health Convention 1981 (C155). It is supported by
Recommendation 194, which lists types of diseases that should be reported to national governments.

Analysing Data

The data collected can be analysed in a number of ways, e.g.:

 Category of person affected

 Injury type
 Part of body injured
 Severity of injury
 Age
 Work activity
 Shift or time of day
 Location of accident

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This can identify trends which expose underlying factors, e.g. competence; high incidence of employee
accidents when getting into or out of fork-lift trucks; poor lighting on night shifts.

Another means of reactive monitoring includes the development and comparison of accident statistics.
This involves collation of data on failures, such as accident or incidents, and presentation in the form of
statistic, which over a period of time will give a measure of a trend. Analysis of the trend will give a
measure of performance.

Three standard formats exist:

1. Incident rate
2. Frequency rate
3. Severity (or gravity) rate

1). Incident Rate

The average number of defined accidents (in a given period)

Usually only accidents that are reportable under the local legislation are included. Incidence rates take
no account of variations in part-time employment or overtime. The incidence rate is calculated as
follows:

Total number of accident in a given period

Incident Rate = x1000

Average Number of Employee during that period

2). Frequency Rate

The average number of defined accidents per hours worked (in a given period).

In some organizations the incidence rate may not be a reliable guide as there may be many part time
workers, long shifts and overtime working. There also may be wide changes of activity, hence risks,
from one period to another. In such cases the number of hours worked can be used.

The frequency rate is calculated as follows:

Total number of accident in a given period

Frequency Rate = x100000

Total hours worked during that period

3). Severity Rate

The average length of time taken offs from work as a result of accidents at work. This rate relates the
seriousness of an accident by considering the length of absence resulting from it. The rates can then be
compared within an organization, e.g. similar departments or sites, and can be used to compare
performance.

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Total number of Days lost in a period

Severity Rate = x1000

Total hours worked during that period

In reality the number of accidents in a period can be more of a measures of the effectiveness of the
reporting systems than of safety performance. A large number of minor accidents might be of less
concern than a smaller number of serious ones. Similarly where the amount of work that an
organization carries out is reduced consequently the number of failures will decrease regardless of any
changes in safety management practices.

Communicating Data

The data can be communicated by a number of different means:

 Safety committees;
 Local team briefings;
 Company magazines;
 Board room performance reports;
 Performance review for managers;
 Annual reports

The most effective reports are those which include graphs and pictures, rather than just numbers, and
are relevant to the employees who are receiving the information.

Case studies developed out of key accident or ill-health investigations are also very effective, enabling
employees to understand what went wrong and why, and how errors can be prevented in the future.

Accident Data can:

a) Show patterns and trends

b) Identify weakness in procedures and policies
c) Priorities safety measures
d) Identify areas for improvements
e) Set targets for reduction

Civil Claims

Accident or ill-health investigations, along with pre and post-accident etc. risk assessments, will be key
documents in a civil law claims for compensation.

Reporting Of Accidents

The ILO requires each government to nominate a competent authority or authorities, as appropriate,
which should, in the light of national conditions and practice and in consultation with the most
representative’s organization of employers and workers, formulate, implement and periodically review a
coherent national policy and principles on:

 The recording, notification and investigation of occupational accidents and diseases;

 The recording, notification and investigation of commuting accidents, dangerous occurrences
and incidents;
 The compilation, analysis and publication of statistic on such accidents, diseases and
occurrence’s.

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ILO definitions include:

Competent Authority:

A minister, government department or other public authority with the power to issue regulations,
orders or other instructions having the force of law

Notification

Procedures specified in national laws and regulations, which establishes the way in which:

 The employer or self-employed person submits information concerning occupational accidents,

commuting accidents, dangerous occurrences or incident;
 The employer, the self-employed person, the insurance institution or others directly concerned
submit information concerning occupational diseases as appropriate and prescribed by the
competent authority.

Recording

Procedures specified in national laws and regulations which established the means by which the
employer or self-employed person ensures that information be maintained on:

 Occupational accidents and diseases;

 Commuting accidents;
 Dangerous occurrences and incidents

The majority of countries have their own laws, regulations or other methods consistent with local
conditions and practice which require the recording and reporting of events such as occupational
accidents, occupational diseases, commuting accidents, dangerous occurrences are incidents.

Not all accidents are reportable to enforcing Authorities, but to identify accurate statistical trends all
incidents and accidents should be reported internally.

Typical Examples of Reportable Events

These are generally four areas to be reported to government bodies

Injuries

a) Death
b) Fractures
c) Amputations.

Diseases

a) Dermatitis
b) Asthma
c) Lung diseases.

Dangerous Occurrences (High Potential Near Miss)

a) Collapse of cranes
b) Contact with overhead power lines
c) Electrical fault causing fire or explosion

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Commuting Accidents

Many incidents and accidents are not reported internally because of:

 Ignorance of reporting procedures

 Peer group pressure
 To preserve a department’s safety record (particularly if an incentive scheme is based on
reducing the number of accidents)
 Over-complicated reporting procedures
 Lack of management feedback or response to earlier reported accidents
 To avoid receiving first-aid medical treatment

It is generally consider that major or serious accidents are reported to the employer but that there is
an under reporting of minor accidents.

How to improve the reporting of minor incidents by:

 Implement user friendly systems

 Promoting and Having a no blame culture
 Take corrective action
 Provide feedback to employee

4.4 HEALTH AND SAFETY AUDITING

Health & Safety Audits

A Health& Safety audit is a critical step by step examination of organisation’s health and safety
management system to check weather system does exist or not. It is normally a lengthy process
carried out by a trained auditor, often someone from outside the organization looking at the strengths
and weakness of the organization.

It is a structured way of assessing the supplying answers to a series of questions, often involves a
scoring systems such that improvements can be made.

Objectives of the Audit

Objectives are set or defined by client and may include:

 Checking the level of conformism with the management systems;

 Checking the management capability towards compliance with legal requirements;
 Checking the effectiveness of the management system to meet objectives; and
 Suggestions for continual improvement of the management system.

Scope of the Audit

In the scope of audit extent, limitations and boundaries are stated i.e. business units, locations and site
and activities and procedures which to be audited; i.e. the audit can address the following types of
activities:

 Non-routine operations such as the work of maintenance or contractors

 Other disciplines such as quality and environmental management systems
 Time period covered by the audit, e.g. current financial year.

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Relation in Audit & Inspection

We can say that an audit is a source/tool used to evaluate the performance of the health and safety
management systems whereas an inspection is a formal, structured and physical assessment of the
work place.

Audit and inspection tend to the same type of activities but actually they are not. There are so many
differences between both of these. Here are some common distinctions between audit and inspections
as in the below table.

Distinction between Audit and inspection:

AUDIT
 Tests the existence, adequacy and use of
health & safety management systems
 Includes physical inspection
 interviews and documentation checks
 Identifies organizational failures which
are root causes of accidents and ill-health
 Very proactive
INSPECTIONS
 Identifies hazards that are not controlled to a
standard
 Physical inspection only
 Identifies unsafe conditions and some
 unsafe actions which are immediate causes of
accidents
 Can be largely reactive if they lead to quick fix of
immediate causes rather than corrective action
of root causes

The Auditing Procedure

This includes:

1. Setting the objectives of the audit

2. Selecting the audit team
3. Contact with the organization being audited
4. Undertaking the audit
5. Conclusions
6. Providing report on findings
7. Action by the organization

Setting audit objectives

The organization set out the aims and objective of the audit. This may be to examine the entire
organization or specific areas.

Selecting the audit team

The audit team may be just one persons or a group of people. The number of auditors involved
depends upon the size of the organization and the audit objectives. Auditors need to be competent and
this includes technical ability, knowledge and experience of auditing, interpersonal, report writing and
presentation skills. They may be external and internal.

Contact with the organization being audited

A large amount of planning prior to the actual audit taking place is required. Documentation is
examined and a plan is drawn to conduct the audit. Having established the plan for the auditors will
provide the organization with details of the audit team. They may also give the names of members of
staff to be interviewed to arrange appointments.

The auditors may request documents relative to health and safety to be provided prior to the audit or
for examination during the audit.

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These documents will include:

 Safety policy
 Risk assessments
 Consultation procedures & arrangements with staff
 Safety monitoring procedures
 Maintenance procedures and records
 Accidents and incident reports
 Health surveillance records
 Safety committee minutes
 Training records
 Statutory inspections
 Previous audit reports

Much of the above may be clarified at pre-audit meetings.

Undertaking the audit:

The auditors will visit the organization to carry out the audit and may involve:

 Examinations of documents listed above, to see whether they are being complied with.
 Interviewing members of staff to see if they are aware of the organizations policies, their safety
responsibilities and are they carrying them out.
 Observations of activities and working conditions
 Analysing data (e.g. accident near miss trends).
 Carrying out the physical inspection of the workplace.

Interviews:

Interviews are a key part of the audit and should be adapted to the situation and the person being
interviewed. The interview may aim to confirm evidence, to assess the understanding of employees, or
to assess the capability of managers to implement the management system requirements, etc. The
auditor should:

 hold interviews with persons from appropriate levels and functions within the scope of the
audit;
 conduct interviews within normal working hours and at the workplace;
 put the person being interviewed at ease;
 explain the reason for the interview, and how the information will be used;
 start interviews by asking the person to describe their work;
 avoid questions which bias the answer (i.e. leading questions);
 summarise and review the results of the interview with the interviewee; and
 Thank the interviewee for their co-operation.

Conclusions

The auditors usually go back to their own workplace to analyses the information and make their
conclusions. They may still continue to contact the organizations for clarification of any points.

Report and Presentation

Finally detailed written report will be produced and result will be presented to the organization senior
management to summarize the findings, highlight the most significant issues, detailing the compliances
with and the failures of the safety management systems and the recommendations for improvement.

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Action by the Organization

The organization should then take action to feed the information back into the management systems
and to implement the action required. Actions plans may be drawn up to ensure that the
implementation of measures required will be completed in a suitable time scale and that all relevant
members of the workforce are aware of what is required of them.

Actions Taken Following Audits – Correcting Non-Conformities

After the audit the feedback and report may contain a number of findings that require action. These
may be classified according to their significance. Here we indicate parallels with ISO systems, as many
organisations have experience of them:
• Major non-conformance – a significant issue or breach, which requires urgent action. This could
result in the failure of the safety management system and/or result in injury. In ISO terms, a major
non-conformance would be grounds for refusing certification.

• Minor non-conformance – an issue that is less serious in nature and unlikely to result in injury or a
breakdown of the system. In ISO terms, a minor non-conformance would require corrective action, but
certification would be granted.

• Observations – an opinion given by the auditor, which the organisation could decide to act on. The
audit feedback session and report is usually presented to senior management for action and/or praise,
as required. This is a demonstration of leadership and, in some cases, it is a requirement in the
standards being audited. The management team have the authority and resources to take action where
required, and may also need to adjust the organisational goals and objectives.

Responsibility for Audits

Because audits are concerned with the health and management system, responsibility for which rests
with the employer (in fulfilling his/her legal duties) and senior management, responsibility for the audit
also rests with senior management. However, the remit of the safety committee will also include the
monitoring of the safety policy and the management arrangements therein, and this makes it an
equally important party to the process.

Senior management involvement is also key to the success of the process. There has to be a
commitment to see the audit through and take appropriate action at management level to make
improvements, otherwise there will not be change. This demonstration of commitment by undertaking
corrective action as needed will also help to convince the workforce that management strongly
supports workplace health and safety.

However, it would be wrong to make senior management solely responsible. Management in general
has to share the responsibility for ensuring the effectiveness of the process; and indeed their capability
to do that may be one of the elements of performance in respect of their role which is itself measured.

Types of Audits

Internal Audit or External Audit

Audits may be carried out by External auditors and by the auditors from the organizations. Both types
have their advantages and disadvantages.

Internal Audit

Internal Auditing is done by staff within the organization and helps managers by measuring the
effectiveness of health and safety management.

The advantages of internal audits are that they are easier to arrange as the auditors are employees
within the organization, incurring minimal costs. Also as the audit may involve interviewing employees
they may not feel so threatened.

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The disadvantages of internal audits are: That they could be influenced by internal relationships and
pressures. As the auditor is a member of staff their conclusions may not be taken seriously.

The auditor having knowledge of the workplace may make assumptions.

External Audit

External Auditing is done by a third party and provides as independent view. it often represent the
interest of other stakeholders as well as management.

The disadvantages of external audits are that they require more time to organize and will be more
expensive. Also employees may feel more threatened.

The advantages of external audits are that they auditor will be completely independent of internal
relationship and influences. Also the auditor will ask questions and not make assumptions.

Because the auditor is independent and unbiased, more weight may be given to their conclusions and
recommendations.

4.5 REVIEW OF HEALTH AND SAFETY PERFORMANCE

Performance Review

Performance review describes the part of the safety management process by which information
collected by monitoring and auditing is then used to make judgments about the adequacy of
performance and take decisions about actions necessary to maintain continuous improvement.

The effectiveness of any system depends on getting feedback about how it is doing; there are financial
reviews and sales reviews which provide the means by which improvements are made. The same is
true in health and safety.

Aims of Performance Review

The aim of performance review is to ensure that the health and safety management system is being
operated as designed.

This includes making sure that the systems are in place to monitor, check and measure the
effectiveness of all aspects of the health and safety arrangements (including the organisation and
management) and where there are deficiencies, that they are reported and action taken at the
appropriate level to remedy them.

It is the role of performance review to ensure that health and safety management is effective in
ensuring that these systems operate effectively; that inspections, for example, are taking place and
reports are reviewed and acted upon by those responsible.

It also requires the development of the safety management system to respond to changing
circumstances. The plan must include the specification of performance standards for the review process
itself, such as periodic (often annual) management/safety committee reviews of key documentation
about performance. Many organisations now include health and safety performance in their published
annual reports as part of the demonstration of corporate responsibility. Key performance indicators
which emphasise achievement and success, rather than merely measuring failure, are:

 Extent of compliance with health and safety system requirements.

 Identification of omissions from or inadequacies in the safety management system.
 Achievement of specific goals.
 Analysis of statistics on ill-health, accidents and near misses to identify immediate and root
causes, trends and common features.

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These are consistent with the development of a positive safety culture. Organisations may also
benchmark their performance against that of similar companies.

Personnel Involved In the Review Process

It is good practice to make line managers responsible for reporting on health and safety performance
for the areas under their control. This ensures that they view health and safety as one of their personal
responsibilities, creates ownership, and raises the profile of health and safety.

In some cases, line managers are in a position to gather information and data on health and safety
performance themselves. In many instances, however, line managers will rely to some degree on the
safety specialist (safety officer, manager or co-ordinator) to provide that information. The safety
specialist is well placed to collect evidence about performance and will usually be responsible for
reporting on safety performance to senior management/directors.

In addition, the senior management team should be involved in reviewing the performance of the area
under their control, with the annual review of the organisation’s performance being carried out by the
board/directors.

Issues to Be Considered In the Review

Reviewing health and safety performance relies to a great extent on having good-quality, reliable
information about current and past performance, which usually depends on data gathering. One of the
first steps in the review process is gathering this information and data. There is a wide range of topics
for consideration in the review including:

Legal compliance – the organisation must be aware of any legal compliance issues, and therefore the
review should include a report (possibly from the safety advisor) on any outstanding issues. An
organization may also have specific internal requirements, e.g. higher standards imposed from a parent
organisation, which should also be considered in this section.

Accident and incident data – clearly, the number and type of injury accidents, property damage
accidents, lost-time accidents, reportable events, etc. should be reviewed as a reactive measure of
health and safety performance, together with the review of actions arising from the investigations, to
ensure that these are closed out.

Findings of safety surveys, tours and sampling and workplace or statutory inspections – may
provide evidence of conformance or non-conformance to standards.

Absence and sickness data – information concerning work-related ill-health, from absence
monitoring records, or perhaps the occupational health department (if one exists) should be reviewed
in order to determine if there are patterns of absence.

Quality assurance reports may also provide a source of information.

Audit reports – findings of internal and external audits should be reviewed, which may present
detailed and comprehensive information on the safety management system and its effectiveness.

Monitoring data/records/reports – the findings of monitoring activities should be considered. For

example, if a noise-exposure monitoring activity was carried out a summary of the findings should be
reviewed.

External communications and complaints – there are various potential external sources of
communication, from regulators to people who live near your premises. If complaints or issues are
raised these should be considered so that action can be taken, as required.

Consultation – the organisation should be consulting with the workforce on health and safety matters,
so a summary of issues raised could be considered. It may be appropriate to highlight major issues
rather than the minor details, which should have been addressed at the consultation stage.

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Objectives met – the review should consider the organisation’s progress against stated health and
safety objectives. If the plan states that: “Manual handling training will be rolled out to all employees
by the end of July”, monitoring progress of this objective in the regular reviews will keep it on track.
The annual review should consider which of the objectives were achieved in the year.

Actions from previous reviews – actions will arise at each review, and progress must be monitored
to ensure they are closed out.

Legal and best-practice developments – there may be new legal developments that will impact the
organisation in the future, and advance warning of this will enable the organisation to develop a plan to
achieve compliance in time to meet legal deadlines.

Outputs from the Reviews

Various outputs will arise from the review process. Records of the reviews must be maintained (usually
as minutes and action lists) and actions closed out. Some organizations will also be required to report
annually to shareholders on their health and safety performance through the annual company report.
Finally, the review process should form part of the continual improvement process of the organisation.
Strategic targets are set by senior management – these targets are then channelled down through the
organization and reviewed by line management at different levels.
This means health and safety reviews, at all levels, must feed directly into action plans. These plans
should identify the actions to be taken by responsible persons by appropriate deadlines. In this way
continuous improvement of health and safety performance can be achieved.

Role of Boards, Chief Executive/Managing Director and Senior Managers

The Board of director/senior management have a crucial role to play in reviewing health and safety
performance across the entire organisation on a periodic basis often annually. The review will normally
rely on the information collected and prepared by the safety specialist. The board/senior team may be
required to make a declaration or statement to stakeholders based on this review

As the result of the review senior management may reassess the policy statement of intent and update
it, if required. Most importantly they should use the review process as an opportunity to prioritize or
allocate the resources. What are the new priorities for the organisation in light of the review? What
resources need to be provided to allow these priorities to be achieved?

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References:

ILO Occupational Safety and Health Convention, 1981 (C155)

ILO Occupational Safety and Health Recommendation, 1981 (R164)

ILO Safety and Health in Construction Convention, 1988 (C167)

ILO Safety and Health in Construction Recommendation, 1988 (R175)

ILO Global Database on Occupational Safety and Health Legislation (LEGOSH),

ILO-OSH 2001 Guidelines on occupational safety and health management systems ILO,

ISO 45001:2018 BSI Standards Publication

Health safety guideline HSG 65

Guidelines for auditing management systems ISO 19011:2011 5

Recording and Notification of Occupational accidents and Diseases, ILO Code of Practice, Geneva, 1996

Safety and health in construction, ILO Code of Practice

Training package on workplace risk assessment and management for small and medium size
enterprises, 2013 ILO Geneva,

Example risk assessments HSE

Guidance on permit-to-work systems. A guide for the petroleum, chemical and allied industries HSE
Books

Investigating Incidents and Accidents at Work, HSG245

Reducing Error and Influencing Behaviour (HSG48)

Risk assessment, a brief guide to controlling risks in the workplace,INDG163

Safe Work in Confined Spaces, Approved Code of Practice, Regulations and guidance, L101

NEBOSH Links;

Joining Instructions NEBOSH General Terms for Students; www.nebosh.org.uk

OBE Exams Resources; http://www.nebosh.org.uk/obe-resources

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