GC1 Element 3 29dec 2019 New Syllabus Draft - v5

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NEBOSH International General Certificate in OSH
Element 3
Managing Risk –
Understanding
People and
Processes
Learning Outcomes
On completion of this element, candidates should be able to:

3.1 Describe the concept of health and safety culture and how it influences
performance
3.2 Summarise how health and safety culture at work can be improved
3.3 Summarise the human factors 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 assessment process
3.4a Produce a risk assessment of a workplace which considers a wide range of
identified hazards and meets best practice standards (‘suitable and sufficient’)
3.5 Discuss typical workplace changes that have significant health and safety impacts
and ways to minimise those impacts
3.6 Describe what to consider when developing and implementing a safe system of
work for general activities
3.7 Explain the role, function and operation of a permit-to-work system
3.8 Discuss typical emergency procedures (including training and testing) and how to
decide what level of first aid is needed in the workplace
INTERNATIONAL HSE COUNCIL | Together We Progress

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3.1 Health and Safety Culture
Meaning and Definition of a Health & Safety Culture
The HSE define Health & Safety Culture as:

The product of individual and group values, attitudes, competencies and patterns of behaviour
that determine the commitment to, and the style and proficiency of, an organisation’s health and
safety performance.
Positive Culture
Organisations with a positive safety culture are characterised by communications founded on
mutual trust, by shared perceptions of the importance of safety, and by confidence in the
efficiency of preventative measures.
For an organisation to have positive safety culture, management and employees must be fully
committed to safety in terms of values, attitudes and behaviour.
Culture does not change overnight. It usually takes years and needs top management
commitment to develop and drive the change. Managers should demonstrate, through their words
and actions, high standards of health and safety.
Negative Culture
Organisations with negative safety culture are characterised by the lack of commitment from top
management towards health and safety in the workplace, workers and management alike do not
consider safety as important, priority is given to production and accidents and ill health caused by
work activities are frequent.
The Relationship between Health & Safety Culture and Health &
Safety Performance
Health & Safety culture has the potential to significantly impact health & safety performance
positively or negatively.
Organisations with a positive health and safety culture tend to have better health and safety
performance.
For an organisation to achieve a positive health and safety culture, there must be sufficient
resources made available such as manpower, budget as well as commitment from all levels of the
organisation towards health and safety.

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Factors that can cause the culture to decline include:

- 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 working environment
- External influences
- Health and safety seen as low priority
- Lack of supervision
- Reorganisation and uncertainty
The safety culture of the organisation can be improved by:

- Senior management commitment
- Ownership of health and safety at every level
- Effective communication and consultation
- Training for all levels of employee
- Shared perception of risks
- Standards of acceptable behaviour
- Learning from experience through monitoring and review
- Balance between health and safety and production
Practical measures that could be used to influence health and safety standards in the workplace
include:
- Management to show support for safety committees and have equal representation of
management/staff
- Encourage feedback from workers by setting up suggestion schemes
- Arrange training for management and workers
- Management to participate in safety tours and inspections
- Involve employees in risk assessment, accident investigations and development of health
and safety procedures
- Introduce reward schemes for positive health and safety contributions
- Encourage hazard spotting and reporting of unsafe acts and unsafe conditions

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Benefits of a Positive Culture

Benefits of a positive culture to the employer are:
- Increased levels of compliance with health and safety rules and procedures
- Improved production
- Improved staff morale
- Improved company reputation
- Reduced accidents
- Reduced ill health
- Reduced damage to equipment
- Reduced staff complaints
- Reduced absenteeism
- Reduced staff turnover
- Reduced insurance premiums
- Reduced fines and compensation claims
Indicators of an Organisation’s Health & Safety Culture

Indicators of either a positive or negative safety culture:
- Accident and ill health rates
- Absenteeism / sickness rates
- Staff turnover
- Compliance with health and safety rules and procedures
- Complaints about working conditions
Influence of Peers on Health and Safety Culture

People generally want to be part of a group and in a workplace groups of people establish their
own culture of what they consider to be acceptable levels of behaviour.
Once a group has been established there is a tendency for group members to conform to what
the group consider as normal behaviour. Those who disagree will eventually conform as a result
of what is commonly called ‘peer pressure’.

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Improving Health and

3.2 Safety Culture
Gaining Commitment of Management

For an organisation to be successful in promoting and maintaining positive health and safety, it is
vitally important that management shows their commitment towards health and safety in the
workplace. This will have a positive & motivating effect on employees towards health and safety.
There are a number of ways in which management commitment can be secured. These would
include:
- Health and safety is included in the - Allocation of sufficient resources

agenda of management and (finance, manpower and time)
departmental meetings towards health and safety
- Health and safety is given status by - Support safety committee by equal
the appointment of H&S Director / representation of management and
Manager who reports directly to top staff
management
- Act promptly on recommendations
- Managers are responsible and received from safety audits, risk
accountable for their performance in assessments, accident
health and safety issues investigations, etc.

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Promoting Health and Safety Standards by Leadership and

Example, and Appropriate Use of Disciplinary Procedures
For a positive health and safety culture to be developed and to remain successful everyone within
the organisation needs to understand the standards of health and safety expected by that
organisation and the role of the individual in achieving and maintaining those standards.
Standards are required to control and minimise health and safety risks.
Health and safety standards cover all aspects of the organization. Every employee should
understand the standards of health and safety expected by management. Management in turn
needs to continually promote these to all levels of the organisation. An important method is by
leadership and setting good examples.
PRACTICAL METHODS IN WHICH MANAGEMENT CAN PROMOTE HEALTH AND SAFETY

STANDARDS
Practical examples include:

- Managers to use personal protective equipment in designated areas
- Managers to participate in workplace inspection and safety tours
- Arrange for workers to attend training such as specialist, refresher and on the job training.
- Prompt follow-up on recommendations for remedial actions from safety audits, accident
investigation and risk assessments.

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COMPETENT PERSON
A person shall be regarded as competent where he has:

- Sufficient training
- Experience
- Knowledge
- Any other qualities to enable him to carry out the measures required of him.
- Knowledge of his own limitations
Generally, it is up to 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.
The responsibility for deciding whether or not a person is competent is with management.
However, the type and nature of the training will be determined by the job specifications.
COMPETENCE
Competence is the ability to undertake responsibilities and perform activities to a recognised

standard on a regular basis. It combines practical and thinking skills, knowledge and experience.
When considering whether a person is competent the following factors may be considered:
- Evidence of qualifications
- Level of training
- Membership of professional body
- Undertaking written or practical assessments
- References or recommendations

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Good Communication within the Organisation

Many problems in health and safety arise due to poor communication between management and
workers or vice versa or amongst workers on the same level within an organization.
It arises from ambiguities or, even, accidental distortion of a message.
Since the purpose of communication is the passing on and sometimes receiving back of ideas or
facts as information, it is important to ensure that this flow is achieved efficiently and effectively.
Thus, it is necessary to control the potential barriers to communication posed by personality,
distortion and lack of attention.
PRINCIPLES OF COMMUNICATION
Communication is the passing on and receiving of information, ideas, thoughts and feelings so
that understanding is achieved.
It is a two-way process.
Some consider that communication is a one-way process. You speak - someone listens; you
write a memo - someone reads it. This may be true of an author writing a book or television or
radio. To be successful, most communication should be two ways and follow a loop of six steps,
three of which are carried out by the sender and three by the receiver.
The effectiveness of an organisation depends upon the ability and the willingness of the people in
it to communicate.
Select Method
When selecting the method, questions to be asked should include who is the receiver or
audience, what level of knowledge do they have, what do they want to know and what do they not
want to know? It should also be considered whether the receiver is one person or a hundred?
Also what “language” do they speak?
Deliver Message
It has to be decided who is to deliver the message and how is it to be delivered. When delivering
the message, consideration needs to be given to whether it is the right time, the right place and
the right environment.
Receive Message
Is the receiver ready to receive the message and do they want the message? Can they hear it
clearly or are they able to read it? Is the main point of the message being lost on the way?
Interpret Message
Does the receiver understand the message and are there conflicting messages? Is there a hidden
message “between the lines?” Is there too much/not enough information?

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Feedback
Feedback could be in the form of body language. There could also be written replies to
letters/memos etc. Giving someone an examination could also be a form of feedback. There
could also be a verbal response.
Objectives of Communication
- To understand others
- To get a clear perception and understanding of the message
- To get acceptance of the ideas
- To get the required action
Effective and efficient systems of communication are essential for successful management.
Remember: Communication is a two-way process where the needs

of the receiver are as equally important as the needs of the speaker.
Because it is a two-way process, both participants must be sure they
are using the same language.
Benefits and limitations of the following methods of communications:
1. Written Communication
2. Verbal Communication
3. Visual (Graphic) Communication
1. WRITTEN COMMUNICATION
It can be in the form of letters, memos, reports, course hand-outs, notices, procedures, safety
policy, forms, rules and books.
BENEFITS LIMITATIONS
- Permanent record - May be unread
- Reference - One way
- Consistent message - Often no feedback
- Accurate detail - Time consuming
- Wide audience - Cost
- Authoritative - Misinterpretation

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Barriers to written communication
These include:
- Illiteracy (person cannot read)
- Competence
- Level of the written material
- Presentation
- Quality of information
- Quantity
- Attitude
2) VERBAL COMMUNICATION
This can be in the form of instructions, interviews, meetings, lectures, briefings, informal talks etc.
- 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 include:

- Hearing defects - Lack of knowledge and experience
of recipient
- Speech defects
- Attitude
- Noise
- Inattention / Distraction
- Distance
- Duration
- Language (Jargon)
- Speed
- Ambiguity
- Use of technical terms

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3. VISUAL (GRAPHIC) COMMUNICATION
Could be in the form of video, computer, posters, visual aids.
- Consistent message - Boring
- Large groups - No feedback
- Interesting & stimulating - Too much for memory
Barriers to visual communication:

- Relevance of subject matter
- Quality of material
- Volume
- Environment
- Knowledge of personnel
It is important to use a variety of methods to communicate health and safety information in the
workplace because:
- People respond differently to different methods of communication
- Variety prevents over-familiarisation
- There could be a need to overcome language barriers
- Some employees may not be able to read
- There is a need to motivate, stimulate interest and gain involvement and feedback
- Different types of information require different methods of communication
Reasons Why Workers May Fail to Comply with Safety Instructions and
Procedures
Communication barriers include:
- Lack on consultation between - Perception of risks

management and workers
- Peer group pressure
- Competing priorities and pressures
- Complacency
- Fatigue
- Lack of motivation
- Mental and physical capabilities
- Lack of training
- Sensory impairment
- Inadequately documented procedures

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Communications within an Organisation

USE AND EFFECTIVENESS OF VARIOUS
COMMUNICATION METHODS
Companies need to communicate with all levels of

staff within their organisations. 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, standards
5) Training
6) Safety and health reports
7) Posters
In addition to the above formal communications, successful managers communicate their

commitment and interest in health and safety matters in informal ways e.g. “Management by
walking about”, setting an example by their behaviour etc.
Notice Boards
The types of Information that could be posted on notice boards include
- Health and safety policy
- Evacuation procedures
- First aid arrangements
- Contact details for safety representatives
- Targets set for reduction of accidents
- Safety campaigns
To maximise the effectiveness of notice boards within the workplace the employer should:
- Locate in common/prominent area
- Dedicate boards to health and safety matters
- Display relevant and current information
- Keep information in a neat and orderly state
- Make boards eye-catching by use of colour and graphics

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OTHER HEALTH AND SAFETY COMMUNICATION MEDIA
Films and Videos

Films and videos tend to be more informative and entertaining than some other media such as
slide presentations. The visual & sound impact stimulates the imagination and interests of the
viewers which may help in retention of information. These are useful tools during health and
safety training and induction.
Posters
Another method of bringing information to employees’ 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
- Short and to the point - May become defaced
- Can reinforce verbal instructions - May become out of date
- Constant message - May appear to trivialise important matters
- Graphic message - Over reliance
“Tool Box” Talks

These are normally provided by supervisors to the operatives under their control at which they
can discuss particular health and safety issues, remind them of critical risks and precautions and
reinforce any training programme. The sessions also provide an opportunity for suggestions and
feedback from operatives (two-way communication).
Memos
Memos are quick and easy to use and may be sent to more than one
individual. This is often a one-way communication system and relies on
the receiver to interpret and understand the message. Email is an
electronic form of memo which has the advantage of checking if the
message was sent successfully and the recipient has opened the
message.
Worker Handbooks
Much of the communication on health and safety is in the form of written
formal documents, one of which is the worker handbook. The handbook
usually contains information such as site rules, incident reporting,
emergency arrangements, etc.

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The handbook should be:

- As simple as possible in relation to the degree of risk/complexity.
Set out in a logical way with an index, table of contents, coloured
pages or other method finding information
- Style of presentation aimed at the needs of the user: manager,
professional or technical manager, supervisor, operatives
- The language, reading ability, age etc. of the workforce needs to
be taken into account
- Introduced with some form of training or instruction.
Training
Training is a 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, whatever their position in the organisation.
Training is classified into various types such as Induction, Off-the-job,

On-the-job, Technical, Management, Skills, Open Learning etc.
Note that the training is only part of the process in ensuring that people
are competent. Training must not be used as a means of compensating
for inadequacies in other aspects of the system e.g. poorly designed work
equipment or workplace etc. The need for training and the selection of
training methods etc. is something that needs to be properly analysed
and identified if it is to be effective.

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- .
Co-operation and Consultation with the Workforce &

Contractors
Consultation with the workforce and contractors on occupational health and safety matters can
result in healthier and safer workplaces, better decisions on health and safety matters, a stronger
commitment by everyone to implementing decisions and greater cooperation and trust between all
parties, particularly before any changes or procedures are implemented.
BENEFITS OF WORKER PARTICIPATION
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 organisational and other measures taken’.
Depending on the Country’s national practice or legislation, workers’ health and safety
representatives could be appointed by trade unions, elected by employees or appointed by the
employer. The employer should also establish a health and safety committee.
Worker participation is an important part of managing health and safety. Managers do not have
the solutions to all health and safety problems, while workers and their representatives have the
detailed knowledge and experience of how the job is done and how it affects them.
Workplaces in which employees actively contribute to health and safety often have a lower
occupational risk level and accident rates.
Encouraging and involving worker participation in health and safety issues can benefit the
organisation. Some of the benefits to the organisation of worker participation include:
- Developing realistic and effective ways of protecting workers by having them involved in
issues at the planning stage
- Workers more likely to identify problems and their causes & help find practical solutions,
and comply with the end result
- Contribution to the development of safe work systems that helps to prevent occupational
accidents and ill-health in a timely and cost-effective manner
- Involving workers from an early stage will encourage their commitment to solutions
HEALTH AND SAFETY CONSULTATION

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In workplaces where employees are not represented by safety representatives, employers should
consult with or inform their employees on health and safety matters such as:
- Introduction of measures that affect their health and safety
- New processes and technology
- New organisation of work patterns
- New personal protective equipment
- The planning and organisation of any training required
Consulting is a two-way process and involves listening to employees’ views and taking account
what they say before any decision is taken.
.
Informing is a one-way process providing employees with information risks to their health and
safety.
SAFETY
COMMITTEES
Membership
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 workers’ union
the Employer may ask for volunteers. There is not set structure for a committee.
The Committee should be a competent body but still representing the interests of employees and
management alike. The number of management representatives should not exceed the number of
Safety Representatives and should include line managers, engineering and personnel managers,
safety officer as well as supervisors.
Management representation should ensure that there is adequate authority to make decisions
with knowledge and expertise to provide accurate information to the Committee on subjects such
as company policy, technical matters etc. The aim should be to establish effective co-ordination
between management and safety representatives.
Safety Committees should be compact, have equal representation of management and

employees, and include personnel with H&S knowledge and background such as safety advisor,
doctors and other H&S professionals.
Conduct of Safety Committees
The frequency of meetings depends on local conditions and the degree of risk. Meetings should
be planned well in advance to avoid postponements and cancellations.
Each member of the Committee should receive a copy of the minutes and they should also be
displayed prominently on notice boards.

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

- The study of accident/notifiable disease statistics so that recommendations can be made.
- Examination of Audit Reports.
- Analysis of reports provided by Enforcement Inspectors.
- Consideration of reports by Safety Representatives.
- Development and monitoring of work safety rules and safe systems of work.
- Constant appraisal of effectiveness of safety training.
- Monitor the adequacy of health and safety communications.
- Establish a link with the appropriate Enforcing Authority
Whilst management is ultimately responsible for all health and safety provisions, 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. - Good communication channels.

- Balanced representation. - Access to relevant information and
specialist advice.
- Actual influence in decision making.
- Formalised procedures with agendas.
- Respect of management and workforce.
- Relevant and non-trivial agenda items.
- Commitment from committee members.
- Agenda not led by Industrial Relations.
- Good leadership and Chairmanship.
Obviously, an ineffective Committee is the opposite of the above.

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WORKER FEEDBACK
From their knowledge of the workplace and work practices, workers can provide valuable input on
work hazards and the effectiveness of policies and procedures.
Workers must be properly informed in a timely way about all relevant matters regarding their
health and safety.
Reporting procedures should exist so that workers not only report injuries, near-misses etc., but
propose ideas and give feedback on the employer’s suggestions to improve health and safety.
Workers will need feedback on any ideas they make even if it is to say something can’t be done.
Feedback can be conducted in face-to-face dialogue between managers, workers and their
unions, ‘toolbox’ talks, briefing sessions, department/team meetings, or via an organisation’s
intranet, suggestion schemes etc., management meetings, individual discussions with supervisors
and mentors.
Discussion should be broad, not just limited to physical hazards and safety rules. Matters such as
work organisation, changes in production, technologies and equipment or working methods can
all affect health and safety.
WHEN IS TRAINING NEEDED?

Training should be given at the following stages:
1. On joining the organization (Induction)

2. Introduction of new legislation
3. Whenever the work practice changes i.e. materials, new technology, revision of systems
of work / process change
4. Job change - Before moving to a new job, which might involve new tasks
1. INDUCTION TRAINING
Induction of persons into a new workplace is a vital activity for safety, the objective being to
enable the recipient to:
- Quickly and efficiently fit into a strange and possibly frightening workplace.
- Quickly perform their tasks smoothly and without creating hazards for their colleagues,
themselves or damaging the equipment.
- Learn terminology peculiar to a trade or workplace.

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- Be safe during his or her first days within the job

- Quickly identify with the employer and his/her new workmates.
Induction training is important for a number of reasons:

- Establishes a safety culture - The employee is aware of the hazards
- Shows management commitment - Imparts knowledge
- Identifies responsibilities - The employee knows how to
recognise and report unsafe
- Identifies hazards and precautions
conditions
- Sets the scene for future performance
Induction Training Programme

An Induction Training Programme should contain key health and safety topics such as the
following:
- Management commitment to safety - Specific hazards
- Company safety policy - Health surveillance procedures
- Consultative procedures - How to report accidents
- Role of safety representatives - Who to report accidents to
- Emergency procedures - Personal protective equipment
- First aid arrangements - Company drink and drugs policy
- Welfare and amenity provisions
2. INTRODUCTION OF NEW LEGISLATION

Following introduction of new legislation, training should be conducted for workers since working
practices may be changed as required by the new law or to ensure that workers understand the
requirement of the new legislation.
3. PROCESS CHANGE / NEW TECHNOLOGY

Changes in the work processes and/or advances in technology require new or additional trainings
since a new piece of equipment or machinery may introduce new hazards and therefore new risks
to the workers. Similarly, a change or introduction to new working processes expose workers to
new risks which require training them in new safe operating procedures.
4. JOB CHANGE / JOB SPECIFIC TRAINING

This training must be given when employees move to other jobs or new equipment is brought in to
the workplace. Specific training may be required for:
1. Safety systems of work/permit to work etc.
2. Equipment training e.g. forklift truck driving skills
3. PPE training
4. Fire training
5. Safety inspections

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Refresher Training
Required at appropriate intervals to update techniques, ensure awareness of correct methods and
assessing the behaviour/attitude of the workforce.
In addition, further safety training may be required following:
- Increase in accidents/incidents - Changes in working procedures

- As a result of an accident - Changes in work patterns
investigation
- Changes in legislation and
- A reported dangerous occurrence enforcement action
- Introduction of new - Results of risk assessments or review
technology/processes
- Result of audits/Inspections
- Job change or promotion
- Insurance company requirements
Retraining Older Workers
There are problems that may be encountered in the retraining of older workers and whilst the list
below may be considered to be stereotyping there are some valid points to be made.
- Resistant to change - Poor retention and recall

- Experience conflicts with new process - Resentment to training
- Bad work habits - Lack of motivation
- Set in ways
However, it should be remembered that older employees may be afraid of change or of looking
stupid to younger employees.
Young Persons Training
Countries have different definitions of a young person but many consider it as someone below the
age of 18. Because of their youth and inexperience all young people will require closer
supervision than adult workers. However, young persons may be at risk because:
- Keen to learn and be over enthusiastic
- Have no experience comparisons
- More likely to take risks
- Open to influence and peer group pressure
- Body not fully developed
Precautions for young people should include:

- Training - Restricting the type of work carried
out
- Close supervision
- Restricting type of equipment to be
- Mentoring by an experienced
worked on
responsible fellow worker
- Restricting the hours worked.
- Clear lines of communication

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Levels of Supervision
The levels of supervision an employee may need in the workplace will depend on the following
factors:
- The age of the employee
- His/her experience of work in general and of the task to be performed in particular
- The nature and complexity of the task and its risks
- The person’s skills and qualifications for the work
- His/her attitude and aptitude
- The systems of work and any specific safety requirements applying to the task
- The employee’s communication skills and any special needs that he/she may have
Benefits of Training to Employee

- Reduces personal suffering and pain
- Increases the opportunity for full life style
- Increases job satisfaction/earning capacity
- Allows employee to reach experienced worker standard more quickly
- Increases flexibility of staff
- Improves safety attitude
Benefits of Training to Employer

- Reduces accidents and absenteeism
- Reduces claims and insurance premiums
- Reduces the chance of prosecution/enforcement notices
- Improves morale
- Less product damage
- Greater productivity/improved efficiency
When developing health and safety training programmes the factors to consider should include:
- What employees need to know - Type of training already received
compared to what they do know
- Different requirements for various
- Employees’ responsibilities levels of staff
- Activities carried out - Numbers involved
- Risks associated with activities - Resources needed (cost, time,
facilities)
- Actions required by employees to
minimise the risks - Competence of own staff to deliver
training/external sources
- Employees’ existing knowledge and
previous experience - Communicating to employees and
getting their commitment

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To assess the effectiveness of health and safety training we need to undertake post training
evaluation by:
- The Trainers - Is there better compliance with
procedures
- The Delegates
- Noting concerns raised by employees
- Their Supervisors
as a result of training
- Are accident rates reduced
- Taking surveys to check the
- Are sickness absences reduced employees’ attitude to the training.
- The quality of suggestions made
Employer should keep records of training because:

- Proof of Employees competence
- Identify when refresher training needed
- Review effectiveness of training
- Assess progress against targets
- Provide evidence in investigations
- Provide evidence in legal actions

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How Human Factors

Influence Behaviour
3.3 Positively or Negatively
The term “Human Factors” covers a wide range of issues such as the perceptual, mental and
physical capabilities of people and the interactions of individuals with their job and working
environments. It also considers the influence of equipment and system design on human
performance and the organisational 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. Accident trend study results have indicated that
the traditional approach using technical improvements has reduced accidents to a certain level,
process and software had reduced them further and the last step to reducing accidents is human
factors.
Individual Job Organisation

THE INDIVIDUAL
The reasons a person may fail to comply with safety rules and procedures even if they are
competent are complex but may include:
- Lack of motivation - Peer group pressure
- Unrealistic working procedures - Inadequate or ineffective supervision
which are ignored
- Fatigue (tiredness) and stress
- Lack of management commitment
- Risk perception
- Over-familiarisation with the tasks to
- Lack of information, training and
be performed
consultation
- Repetitive work leading to boredom
- Job insecurity.
and lack of concentration
Other influencing factors include:

- Physical characteristics such as age and physical condition (health) and physique (size
and strength) and gender.
- Social and cultural Influences such as education and experience, home life, peer groups
(work colleagues), job satisfaction and security.
- Psychological attributes such as motivation, attitude and perception

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It is also useful to consider why hazards may be underestimated. The reasons could be:
- Over familiarity/complacency - Hazards invisible
- Lack of instruction, information and - Routine, repetitive tasks
training
- Inadequate design
- Lack of experience
- Sensory impairment
Individual employees at all levels will have different habits, attitudes, skills, personalities,
knowledge and level of competence, physical and mental capabilities.
The key attributes that significantly contribute to the individual factor are competence, skills,
personality, attitude and risk perception.
COMPETENCE
Competence can be described as the combination of training, skills, experience and knowledge
that a person has and their ability to apply them to perform a task safely. It is also the ability of the
individual to undertake responsibilities and perform activities to a recognised standard on a
regular basis.
It is the responsibility of the employers to ensure that they hire competent people to safely carry
out the various tasks that each job role requires.
Training can provide the foundations of competence, but it does not in itself necessarily result in a
competent person. Training alone does not achieve competence – consolidation of skills,
knowledge, training and practical experience are key to achieving competence.
SKILLS
Skills are the expertise or talent needed in order to do a job or task. Each individual has skills
which they have developed over time. Some individuals are gifted with physical and manual skills
whilst other individuals have great analytical skills. For an individual worker who has an excellent
analytical skill but poor physical skills to be put into a job role that requires physical dexterity to
operate a machine is not a good move on the employer’s part as this worker lacks the necessary
skill for this role. The incompatibility of the required skillset with that of a worker’s skillset may
create additional risk in the workplace.
PERSONALITY
Whilst skills and competence can be developed overtime, an individual’s core personality usually
remains steady over a lifetime – this is who he/she is: a characteristic way of thinking, feeling, and
behaving. Personality affects individual’s risk-tolerance behaviour, which, in turn, influences
decisions about hazards and risks in the workplace.
ATTITUDE
The definition of attitude is a person’s tendency to behave in a particular manner in certain

situation.
A person’s attitude may be affected by:
- Experience - Peer pressure

- Home influence - Management commitment
- Culture

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For example, a person’s attitude to wearing PPE may be affected by the actions of colleagues
(peers).
RISK PERCEPTION
Perception is the way that people interpret and make sense of presented information using their
senses, training and experience.
Factors which affect a person’s risk perception are:

- Sensory input i.e. seeing, hearing - Feeling of being in ‘control’
touching, smelling and tasting
- The level and nature of training
- Personal protective equipment
- Peer group influences and
- The nature of the hazard, (e.g. confidence in others’ abilities
obvious or hidden, immediate or
- Personal characteristics such as
delayed effects)
age, attitude and sensory
- Previous experience and familiarity impairment.
with the situation
An employee’s risk perception may be improved and managed by:

- Increasing awareness of hazards - Identifying the reasons for
employees' misperceptions
- Involving people in the risk
assessment process - Addressing environmental factors
- Increasing knowledge, e.g. training
So, considering the above, the personal factors that might place an individual at a greater risk of
harm while at work are:
- A generally poor attitude to work - Age-related behavioural factors
associated with immaturity
- Low motivation
- Medical conditions affecting physical
- Issues relating to physical
or mental capacity
capabilities (such as lack of stature,
strength and/or stamina) and to - The levels of training and
mental capabilities experience of the individual.
- Poor perception of risk, perhaps
influenced by alcohol or drugs

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Job
A) Task Analysis
The factors that can affect the
All critical jobs including maintenance activities needing
job are: special precautions should be clearly identified and
a) Task analysis analysed for potential errors. All operators and
maintenance personnel are made aware of the
b) Workload necessary precautions.
c) The working environment B) Workload

The complexity and the amount of the work: is the
d) Display and Controls
workload overly excessive? Is it physical work? is the
e) Procedures deadline realistic and does the worker have control of the
work?
C) The Working Environment
All physical conditions in the workplace such as
temperature, lighting, ventilation, noise etc. should be
maintained within acceptable standards and effectively
monitored.
D) Display and Controls
Display and controls providing essential information
about faults and emergencies must be clearly visible
from all relevant working positions and displayed in ways
which operators understand. All controls should be easy
to use, clearly marked and ergonomic factors should be
considered in the layout of controls.
E) Procedures
All written procedures should be clear and unambiguous
to the users and be written to the appropriate level of
knowledge and understanding for the users.

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Organisation
The attitudes and patterns of acceptable or “normal” behaviour will vary enormously from
organisation to organisation. Organisational factors have the greatest influence on individual and
group behaviour.
Organisational factors are the management elements which contribute to a positive or negative
health and safety culture. Negative culture can cause employees to work unsafely even if
competent. Organisational factors may be considered under the following headings:
Health and Safety Culture of the Organisation
 Inclination of employees to comply with rules or act safely or unsafely
 A ‘no-blame’ culture
Commitment and Leadership from Management
 Commitment and leadership of senior management;
 Clear policy with health and safety being given obvious equal priority to other business
objectives (production, quality, etc.).
Resources
 The provision of a good and safe working environment
 Provision of adequate time, money, equipment and personnel to carry out work safely
Work Patterns
 Shift systems
 Long working hours
Consultation and communication with the Workforce
 Consult with the workforce on health and safety issues that affects their work activities.
When workers are consulted on issues, there is greater chance of co-operation and buy-
in. Communicate safety information to the workforce using the most effective methods.
This could be email, posters, newsletters, departmental meetings, etc.

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PRACTICAL MEASURES TO ENSURE HEALTH AND SAFETY

The organisation and its managers are responsible to ensure health and safety. Practical
measures managers could take to ensure health and safety include:
 Setting good example and showing commitment to Health and Safety
 Involving employees in risk assessments, accident investigations, and the development of
safe systems and procedures
 Encouraging hazard-spotting and the reporting of defects
 Setting up suggestion schemes
 Providing training and ensuring good communication
 Supporting active involvement in safety committee meetings
 Being accompanied by employees or their representatives on safety tours and inspections
 Ensuring a good working environment
 Giving staff responsibilities i.e. mentoring young workers
The Link between Individual, Job and Organisational Factors

In order for hazards to be dealt with efficiently and effectively, all three factors (individual, job &
organisation) need to be considered and all three controls should be applied cohesively.
INDIVIDUAL Behavioural Controls (person)

Example: competence,
supervision, motivation,
communication
JOB Technical Control (place)

Example: guarding, lighting, local
exhaust ventilation, temperature,
access & egress
ORGANISATION Procedural Controls (system)

Example: policies, standards,
permit to work, emergency
preparedness, accident
investigation

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Assessing Risks
3.4
Risk assessment is an essential part of any health and safety management system. Risk
assessment aims to identify significant risks and set priorities to minimise risks and make
reductions in work related accidents and ill-health.
MEANING of Hazard, Risk and

Risk Assessment
HAZARD
Hazard is something with the potential to
cause harm (this can include articles,
substances, plant or machines, methods of
work and the working environment)
RISK
Risk is the likelihood, high or low, that
somebody could be harmed should the hazard
be realised, together with an indication of how
serious the harm could be.
Whenever possible hazards should be

eliminated but if they cannot be eliminated
then the risks will need to be minimised by
such controls as handrails on stairs, etc.
RISK PROFILING
Risk profiling means to examine the nature and levels of threats faced by an organisation. It
examines the likelihood of the adverse effects occurring, the level of disruption and costs
associated with each type of risk and the effectiveness of the control measures in place.

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Risk Profiling – What is Involved?
Determining the business OHS Risk Profile is the first and most important step to manage and
improve Occupational Health & Safety performance and comply with client requirements, statutory
acts and regulations
Risk profile involves assessing the following:
− The nature and level of the risks faced by your organisation

− The likelihood of adverse effects occurring and the level of disruption
− Costs associated with each type of risk
− Effectiveness of the 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 controls measures are needed.
Who should be Involved in Risk Profiling?
The risk profiling should be performed by someone with a good knowledge of the organization, its
activities, processes or material. E.g.: Persons with ownership of health and safety risks,
managers, safety specialist etc. Workers should be consulted during the process.
If an adviser or consultant assists with the risk profiling, managers and workers should still be
involved.
The Risk Profiling Process

To develop an OHS/WHS risk profile organisation must:
− Define the activities undertaken by the business, the tasks undertaken and business
operations
− Determine hazards, risks and controls to manage, eliminate and mitigate these risks. The
area of most importance is to address risks with the potential for serious injury and fatality
outcomes.
The risk profiling process includes the following steps: (source www.HSE.gov.uk)
Identify the risks

− Identify the health and safety risks from the business and prioritise them. Think about the
severity of the harm and the likelihood of occurrence. Concentrate on priority risks
− Ensure that risks are owned so that appropriate resources can be allocated
− Consider whether other risks are due to health and safety lapses

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Who might be affected?

− Think about everyone who might be affected by your work activities. Remember that
certain groups may be at increased risk, e.g. young or inexperienced workers, pregnant
workers, workers with a disability, migrant workers or ageing workers
Control measures
− Consider whether any control measures are already in place or if further action is needed
− Recognise that full implementation of control measures may take time, and implement
interim measures to minimise the risks
Report, record and review

− Report risk control performance regularly internally and consider whether it should be
done externally
− Make sure paperwork is kept to the minimum levels necessary. You only need to record
the risk assessment if you employ five or more people
− Review the organisation’s risk profile regularly. Change within the organisation will affect
the risk profile, e.g. during economic cycles such as recession and recovery, when there
is an increase in workload, or when experience levels drop
Worker consultation and involvement in risk profiling

− Do workers understand the organisation’s risk profile?
− Do they have the necessary information, instruction and training to deal with the risks that
have been identified?
− Consult with workers and their representatives in all parts of the organisation to ensure
that all areas of risk have been identified
Competence
− A broad knowledge of the entire organisation will be needed to draw up its risk profile
− In high-hazard organisations, identify what specialist advice may be necessary to identify

hazards and analyse the risks
− Make sure workers are trained and have information about risk controls

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RISK ASSESSMENT
A risk assessment is the identifying of preventive and protective measures by evaluating the
risk(s) arising from a hazard(s), taking into account the adequacy of any existing controls, and
deciding whether or not the risk(s) is acceptable.
COMPETENCE OF PERSON CARRYING OUT RISK ASSESSMENT

A Competent Person is defined as someone who has a combination of training, knowledge,
experience and personal qualities and also knowledge of their own limitations. Risk assessments
should be carried out by a person or persons who have a thorough understanding of the
processes and procedures involved. Also, the risk assessor should have good communication
skills.
Purpose of Risk Assessment and the Suitable and Sufficient

Standard it needs to reach
The purpose of risk assessment is to remove a hazard or reduce

the level of its risk by adding precautions or control measures to
create a safer and healthier workplace.
Risk assessment helps to:
- Create awareness of hazards and risks.
- Identify who may be at risk (employees, cleaners, visitors, contractors, the public).
- Determine if existing control measures are adequate or if more should be done.
- Prevent injuries or illnesses when carried out at design or planning stage.
- Prioritize hazards and control measures.
Criteria for a ‘Suitable and Sufficient’ Risk Assessment

For a risk assessment to be considered suitable and sufficient, the level of detail in the risk
assessment should be proportionate to the level of risk. It should also meet legal requirements
and identify controls that can prevent foreseeable injuries and ill health. The risk assessment
should:
- Ensure that all aspects of work activity are reviewed

- Take account of the way the work is organised
- 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

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- Residual risk is low

- Enable priorities to be set
- Ensure non-routine operations are taken into account
- Ensure staff undertaking the assessment have sufficient knowledge and experience
- Ensure that the risk assessment is valid for a reasonable time.
A General Approach to Risk Assessment

Risk assessment is a logical process of collecting information and making judgements against
standards, often set out in law, to establish whether or not risks are adequately managed.
How a risk assessment is carried out will depend on local legal and best practice requirements,
the nature of the work or business, and the types 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 assessments should not be overcomplicated and trivial hazards should be ignored. Risk
assessment should be a common sense approach. It is probably known that machinery on site
can cause harm or if there is an awkward entrance or stair where someone could be hurt. If so,
check what reasonable precautions can be taken to avoid injury.
There are many variations on the risk assessment process. The following system involving five
steps is simple, easy to follow, and relevant for most general risk assessments:
1. Identify the hazards. 4. Record significant findings.

2. Identify people at risk. 5. Reasons for review.
3. Evaluate the risks taking account of
what you already do and decide if you
need to do more.
Step 1: IDENTIFY THE HAZARDS

Identifying the hazards of the workplace can be done by looking for the sources and form of harm,
the sources of information to consult and the use of the following methods:
a) Task Analysis d) Incident and ill-health data

b) Legislation e) Workplace Inspections
c) Manufacturer’s information f) Talking to the Workforce
a) Task Analysis
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
for doing the job.

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b) Legislations
In many countries, the health and safety law would require organisations to conduct risk
assessments to assess risks to employees, customers and any other people who could be
affected by their activities. Failure to comply can have serious consequences for both
organisations and individuals. Sanctions include fines, imprisonment and disqualification.
a) Manufacturer’s Information
Looking at such things as manufacturers’ literature, instructions or material safety data

sheets, will be of use in identifying hazards and also developing control measures. These
contain information on articles and substances, safe use, control measures and emergency
procedures.
d) Incident Data
Monitoring accident statistics and investigations and ill-health complaints will indicate potential
problem areas and the data can be analysed to identify the causes and the information can
then be used to identify hazards.
Near miss reports will also indicate problem areas which will require the need for a risk
assessment
e) Workplace Inspection
Carry out inspections of the workplace by those competent to do so will identify hazards that
are present.
The problem with inspections is that it is only a snapshot and there may well be other
hazards that are not occurring at the time of the visit or may not be visible.
f) Talking to the Workforce
The workforce may be aware of hazards which are not immediately obvious and talking to
the employees about their jobs will get them involved in the process. Operators of equipment
will be able to give valuable information about the hazards present and may also be able to
provide suggestions about control measures. Management should be prepared to use this
knowledge to identify hazards and control risks.
One problem however is that the workforce may become over familiar with the process and
may not consider some things as hazards.

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Sources of information to consult during risk assessment
During risk assessment the risk assessor may find it useful to gather further information from both
internal and external sources:
Sources of health and safety information include:
Internal sources External Sources

- International, European and
- Risk assessments British Standards
- Accident/incident records/medical records - IT sources
- Absence records - Trade associations
- Inspection reports - Suppliers and manufacturers data
- Audit reports - ILO
- Investigation reports - Insurance companies

- Health and Safety Executive
- Plant registers and maintenance reports publications
- Safety advisors - Legislation
Step 2: IDENTIFYING PEOPLE AT RISK

When deciding who may be harmed we should remember that as well as employees we must
also consider others such as young workers, trainees, new and expectant mothers, cleaners,
workers, operators, maintenance staff, visitors, contractors, members of the public or other people
who share your workplace. We should consider:
- What are the hazards
- How likely to occur
- Consequences
- Number of Employees exposed
- Frequency of exposure
- Effects of exposure
- Competence
- Existing Controls
Groups at particular risk include: the disabled, children, pregnant workers and young workers.
Step 3: EVALUATE THE RISKS (TAKING ACCOUNT OF WHAT

YOU ALREADY DO) AND DECIDE IF YOU NEED TO DO
MORE
Consider how likely it is that each hazard 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

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(residual 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 (Probability) and Severity (Probability) matrix.
There are various types of this matrix and the one below is one of the more popular although
there may still be variations in the figures.
LIKELIHOOD (PROBABILITY)
This is a subjective assessment of the Likelihood (probability) that the hazard can be realised. It is
based on the following numerical scale.
5 = 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 to that used to
estimate likelihood and produce a numbered scale as follows:
5 = Fatality
4 = Major disabling injury
3 = Injury, non-disabling illness, over 3 days
2 = Minor injury, under 3 days
1 = Minor injury, no time off
This can usually be assessed by relating to accident statistics or common sense. In some cases,
the information can be obtained from manufacturer’s data, HSE Guidance or other published
information. Note: this must take into account the actual situation and be realistic. It is remotely
possible that someone tripping over a cable in an office may be killed however, the most probable
result is bruising or at worst a fractured bone. If, however, the cable is trailing across the top of a
long and very busy stairs then a single death or even multiple deaths could be a more appropriate
assessment.
When evaluating risk, it is not sufficient to only consider safety related risks. Health risks such as
acute and chronic health effects should also be considered when evaluating risk.
Acute health effects are quickly seen, usually after exposures to fairly high levels or
concentrations of hazardous substances. For example, an extremely loud noise can result in
temporary or even permanent hearing loss.
Chronic effects usually develop slowly. For example, if you breathe small amounts of asbestos
fibers, you won’t even notice them. There are no acute effects. But if you inhale asbestos month
after month, year after year, you greatly increase your chances of getting asbestos disease, such
as lung cancer.
This is a chronic effect. Most health effects experienced in construction are typically chronic; this
makes it difficult to associate where the exposure occurred. For example, a worker in their later
years presents with a chronic health effect. The exposures that may have caused the damage
could have occurred very early in his working life.

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Risk Rating
Risk Assessment Factor: 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 indication of priority and the extent of the risk, the higher the number the greater the
priority and 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 15 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 if possible, within reasonable limits.
NOTE: This system provides an indication of risk only and is based on subjective judgement
therefore Management must satisfy themselves that the risk assessment and the actions taken
to deal with the 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
Principles to Consider When Controlling Risk
Section 3.10.1 of ILO-OSH 2001 – ‘Guidelines on occupational safety and health management
systems’ covers prevention and control measures. The following is an excerpt from this section:
3.10.1. Hazards and risks to workers’ safety and health should be identified and assessed on an
ongoing basis. Preventive and protective measures should be implemented in the following order
of priority:
(a) eliminate the hazard/risk;

(b) control the hazard/risk at source, through the use of engineering controls or
organizational measures;
(c) minimize the hazard/risk by the design of safe work systems, which include administrative
control measures; and
(d) where residual hazards/risks cannot be controlled by collective measures, the employer
should provide for appropriate personal protective equipment, including clothing, at no
cost, and should implement measures to ensure its use and maintenance.
3.10.1.2. Hazard prevention and control procedures or arrangements should be

established and should:
(a) be adapted to the hazards and risks encountered by the organization;

(b) be reviewed and modified if necessary, on a regular basis;
(c) comply with national laws and regulations, and reflect good practice; and

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(d) consider the current state of knowledge, including information or reports from
organizations, such as labour inspectorates, occupational safety and health services, and
other services as appropriate.
Practical Application of the Principles: Applying the General

Hierarchy of Control
General hierarchy of control with reference to ISO 45001:2018 (clause 8.1.2) is as follows:
Eliminating hazards and reducing OH&S risks
The organization shall establish, implement and maintain a process(es) for the elimination of
hazards and reduction of OH&S risks using the following “hierarchy of control”:
(a) eliminate the hazard;

(b) substitute with less hazardous processes, operations, materials or equipment;
(c) use engineering controls and reorganization of work;
(d) use administrative controls, including training;
(e) use adequate personal protective equipment.
NOTE In many countries, legal requirements and other requirements include the requirement that
personal protective equipment (PPE) is provided at no cost to workers.

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Hierarchy of Risk Control
Once the risk assessment has been carried out protective or control measures must be
implemented and we use the Hierarchy of Control.
Definition of Hierarchy of Control
Hierarchy of Control is defined as a preferred series of measures to control risks in order of

priority starting with elimination and ending with Personal Protective Equipment.
The word ‘Hierarchy’ means starting with the first/highest and working down.
When assessing the adequacy of existing controls or introducing new controls, a hierarchy or risk
controls must be considered. The health and safety management system (ISO 45001:2018)
states that the organisation shall establish a process for achieving risk reduction based upon the
following hierarchy:
Elimination (Eliminate the Hazard) - Operating noisy machines during shifts

when fewer people are exposed.
Can the hazard be removed completely?
This is the most effective method, e.g. - Limiting the amount of time a person
remove trailing cable. spends at a noise source
Substitution/Reduction (use of less - Managing health and safety co-

hazardous materials, processes, ordination with subcontractors’ activities
operations or equipment)
- Conducting induction training; providing
Can the risk be reduced at source? Is there instruction on how to report incidents
a safer alternative? Reduce risk of injury by and nonconformities
using low voltage tools etc.
- Changing the work patterns (e.g. shifts)
Engineering Controls (Isolate, Guarding of workers;
etc.)
Can the hazard be enclosed or contained? Personal Protection Equipment
e.g. guard on dangerous part of machine, Can something be provided to the person to
cover hole, inspection pit, noise reducing lessen he injury effect of accidents aware of
enclosure around machine etc. the hazard e.g. issuing Safety Helmets,
Footwear etc.
Administrative Controls
Administrative controls are changes in the

workplace that reduce or eliminate the
worker exposure to harm. Examples include:

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Prioritisation of Actions
The overall risk of an incident is classified according to which of the consequences has the
highest rating. The level of risk then determines the priority for action. With increasing risk, the
priority for action increases, with an increasing call on resources and increasing management
involvement.
Prioritising should take into account the severity of the risks, the likely outcome of an incident, the
numbers who might be affected and the time necessary for taking the preventive measures.
Residual Risks
Residual risks are risks that remain after all efforts have been made to eliminate or reduce the
risks to as low as reasonably practicable. Residual risks should also be taken into account in risk
assessments.
Acceptable / Tolerable Risk Levels

Whether a risk is acceptable or not is based on legal requirements, industry standards and an
organisation’s own internal standards.
Acceptable Risk: Acceptability relates to the willingness to accept the

presence of a particular risk to secure certain benefits.
Tolerable Risk: To tolerate a risk implies the individuals who are at risk
do not regard the presence of the risk as being a fact of life or negligible
but something which needs to be regularly reviewed and controlled.
For example, most people are undeterred from using the road and car
as a means of transport despite learning that over 5,000 people are
killed each year by traffic in the UK.
Use of Guidance for Risk Assessment

Use of guidance produced by relevant bodies helps management fulfil their risk assessment
duties. Guidance may include advice to Employers, workers and other interested parties on
practical aspects of implementing risk assessment requirements including how strategies for
identification of hazards and control of risks should be based on consultation and participation of
all those who work in the workplace.

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Sources and Examples of Legislation

Sources of legislations are available from international organisations, government departments,
manufacturers’ websites. Examples of legislations include: HSE Five Steps to Risk Assessment
INDG163, ISO 45001:2018, ILO-OSH2001.
Application based on Priority of Risk
Mitigation of risk needs to be prioritised based on their overall effect on the work, on the
probability of occurrence and the financial, reputational or legal impact to the organisation.
Applying Controls to Specified Hazards

The two following precautions and controls are considered when applying controls to specified
hazards.
a) Workplace precautions
b) Risk control systems
a) WORKPLACE PRECAUTIONS
Workplace precautions are actions which are taken to reduce identified risks to an acceptable
level. So, they are Risk Control Measures
Workplace Precautions include:

- Machinery guards - Training
- Personal protective - Provision of information
equipment
- Ventilation
- Safe systems of work
- Job rotation
- Good hygiene practices
- First aid
It must be remembered that workplace precautions always have weak links. Machine guards can
be removed, PPE not worn or incorrectly worn, safe systems not followed etc.
b) 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, storage
etc.
So, 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.

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Distinction between Priorities and Timescales

Prioritising should take into account the severity of the risks, the likely outcome of an incident, the
numbers who might be affected and the time necessary for taking the preventive measures.
Timescale set for taking the preventive measures need to be realistic with consideration given to
short, medium- and long-term measures.
Step 4: RECORD SIGNIFICANT FINDING
FORMAT
Significant findings from risk assessment must be recorded in writing and there are many formats
and systems available in the marketplace for this to be done. Some organisations may choose to
develop and use their own format of recording. Irrespective of whether the recording system is
purchased from the marketplace or developed by organisations, the methodology of recording
generally remains the same.
INFORMATION TO BE RECORDED
The significant hazards should be recorded in writing and trivial hazards and risks can be ignored.
Although it is not specified, it is advisable to have the following information recorded on a risk
assessment to ensure traceability:
- The area or work activity being assessed

- Date of assessment and the assessor's name
- What the hazards are
- Who is exposed (staff, contractors, visitors)
- Risk rating (numerical and high, medium, low)
- What control measures are in place (and any comments on their adequacy)
- Any recommendations for changes
- When the action is required by
- Who is responsible for the action
- Date the action is completed
- Further action or next review
The risk assessments should be available to all those involved so that that any requirements can
be implemented.

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Step 5: REASONS FOR REVIEW
The change in circumstances that require a Risk Assessment to be reviewed could be:
 Accidents/Incidents  Prosecution.
 Changes in Processes.  Enforcement action.
 Changes in Materials.  Compensation claims
 Changes in Premises.  Policy review.
 Changes in Legislation.  Professional advice.
 Changes in Work patterns.  Passage of time.

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Application of Risk Assessment for Specific Types of Risk and

Special Cases
RISK ASSESSMENT FOR SPECIFIC TYPES OF RISKS
Let’s look at the following examples of specific types of risks that requires risk assessment to be
carried out:
a) Fire
b) Display Screen Equipment (DSE)
c) Manual Handling
d) Hazardous Substances
e) Noise
a) Fire
In some countries, it is a legal requirement to carry out fire risk assessment and to document the
findings in writing. Fire Risk Assessments can identify what you need to do to prevent fire and
keep people safe.
Reasons for carrying out a fire risk assessment

− A fire risk assessment helps identify all the fire hazards and risks.
− It enables the organisation to decide whether any risks identified are acceptable or
whether more needs to be done to reduce or control them.
− It may be a legal requirement in some countries
− It is part of good business practice
Factors to be Considered When Carrying Out A Fire Risk Assessment
When carrying out a fire risk assessment the factors to be considered should include:
− Construction and use of building

− Flammable materials
− Sources of ignition
− Work activities generating heat
− Methods of control
− Means of fire detection
− Means of raising alarm
− Means of fighting fire and maintenance of equipment
− Evacuation routes/Protection of evacuation routes
− Numbers of persons at risk
− Those who may be specially at risk e.g. disabled
− Fire prevention training
− Fire drills

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b) Display Screen Equipment (DSE)

Who is a DSE User?
Not everyone who works on DSE is a user and the guidance to the regulations gives a very wide
range of who is or is not a user.
However, a person would generally be considered if the following 7 criteria apply:
- Uses DSE for continuous or near continuous spells of an hour or more at a time
- Uses DSE more or less daily
- Has to transfer information quickly to or from DSE
- Needs high levels of attention and concentration
- Highly dependent on DSE
- No choice in the use or non-use of DSE
- Requires special training or skills.
DSE Risk Assessment
A DSE Risk assessment should combine both the identification of risk and evaluation of its extent.
Analysis should cover both the presence of undesirable features and the absence of desirable
ones. It should take account of user requirements. The assessment should look at:
Organisation: Job rotation, breaks
Individual: Physical characteristics, training
Environmental: Noise, lighting, screen glare, temperature, workspace etc.
Equipment: Height and position of keyboard and screen, seating posture, design of chair,
screen definition and colour, adjustability of equipment.
Health Effects from use of DSE
The three main health effects of the use of DSEs are:
1) Musculoskeletal Disorders
These are disorders of the hand, arm, shoulder and neck also described as ‘Work related upper
limb disorders’ WRULDs. These range from temporary fatigue or soreness in the limb to chronic
soft tissue disorders such as Tendonitis and Carpal tunnel syndrome.
Prolonged static posture of the back, neck and head is known to cause musculoskeletal disorders
and other factors that contribute to the problem are awkward positioning of the hands and wrists.
2) Eye and eyesight problems
Medical evidence shows that using DSEs is not associated with permanent damage to eyes or
eyesight nor does it make existing defects worse. However, some workers may experience
temporary visual fatigue which can be caused by poor legibility of the screen, keyboard and
documents, poor lighting, glare and reflections and a drifting or flickering image on the screen.

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There is no evidence that working with DSE causes eye damage but it may cause workers with
pre-existing vision defects more aware of them
3) Fatigue and stress
DSE workers can suffer stress symptoms and fatigue due to the requirement for high speed
working, lack of social interaction and lack of breaks.
c) Manual Handling
Manual handling relates to the moving of items either by lifting, lowering, carrying, pushing or
pulling.
Where it is not possible to avoid manual handling operations at work a risk assessment should be
undertaken. To carry out a risk assessment on all manual handling operations will involve both
time and effort.
The HSE in the UK introduced a risk assessment filter to screen out lifting operations with very
little risk as shown by the diagram below for people standing.
When undertaking a manual handling risk assessment, it should be considered under the four
headings of:
1. The Load
2. The Individual capability
3. The Task
4. The Environment

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Manual handling injuries
Injuries due to manual handling may be classified under the 2 main headings of:
1. External
2. Internal
1. EXTERNAL INJURIES
Examples of these are cuts, bruises, crush injuries, lacerations to fingers, hand, forearms, ankles
and feet. Generally, these types of injuries are not as serious as internal injuries.
2. INTERNAL INJURIES
Examples of internal injuries are muscle and ligament tears, hernias (ruptures), slipped discs,
knee, ankle and shoulder injuries. One of the most serious injuries is slipped disc which results in
frequent incapacity and may even be permanently damaging.
d) Hazardous Substances
Employers or people in control of workplaces where hazardous substances are used must carry
out risk assessments on the hazardous substances to minimise exposure and protect the health
and wellbeing of staff.
Every year, thousands of workers are made ill by hazardous substances, contracting lung disease
such as asthma, cancer and skin disease such as dermatitis.
Examples of substances that are harmful:
− Dusty or fume-laden air can cause lung diseases, e.g. in welders, quarry workers or
woodworkers.
− Metalworking fluids can grow bacteria and fungi which cause dermatitis and asthma.
− Flowers, bulbs, fruit and vegetables can cause dermatitis.
− Wet working, e.g. catering and cleaning, can cause dermatitis.
− Prolonged contact with wet cement in construction can lead to chemical burns and/or
dermatitis.
− Benzene in crude oil can cause leukaemia.
Many other products or substances used at work can be harmful, such as paint, ink, glue,
lubricant, detergent, photocopier toners and beauty products.

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e) Noise
If a person continues to receive excessive noise dose, damage will gradually impair their ability to
hear and understand speech, especially where background noise exists.
Purpose of noise assessment
The purpose of a noise assessment is to identify people who are at risk of hearing damage as a
result of noise exposure.
The ILO Code of ‘Ambient Factors in the Workplace, Section 9.2 Assessment states:
The level of noise and/or duration of exposure should not exceed the limits established by the
competent authority or other internationally recognized standards. The assessment should
consider:
- The risk of hearing impairment
- The degree of interference to speech communications essential for safety purposes
- The risk of nervous fatigue, with due consideration to the mental and physical workload and
other non-auditory hazards or effects
For the prevention of adverse effects of noise on workers, employers should:

- Identify the sources of noise and the tasks which give rise to exposure
- Seek the advice of the competent authority and/or the occupational health service about
exposure limits and other standards to be applied
- Seek the advice of the supplier of processes and equipment about expected noise emission
Specific risk assessment methods are used for certain risks as shown in the above
examples so as to enable proper, systematic consideration of all relevant issues that
contribute to the risk.

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RISK ASSESSMENT FOR SPECIAL CASES
There are requirements to carry out risk assessments for special cases and these are:
a) Young Persons
b) Expectant and Nursing Mothers
c) Disabled Workers
d) Lone Workers
a) YOUNG PERSONS
In some Countries a young person at work is defined as is someone who is over school leaving
age but has not reached the age of 18. Other Countries will have their own interpretations.
Young people are at greater risk whilst at work for the following reasons:
- Keen to learn and be over enthusiastic
- Have no experience comparisons
- More likely to take risks
- Open to influence and peer group pressure
- Body not fully developed
The risks to young persons can be:

- The workplace e.g. heat, noise, vibration
- Physical, biological and chemical agents
- Carcinogens
- Radiation
- The work equipment
- The organisation of work and the processes
involved
Control Measures
The following control measures may be required:

- Training
- Close supervision
- Mentoring by an experienced responsible fellow worker
- Clear lines of communication
- Restricting the type of work carried out
- Restricting type of equipment to be worked on
- Restricting the hours worked.

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b) PREGNANT & NURSING MOTHERS

There may be a requirement to carry out risk assessments for expectant and nursing mothers as
potential health and safety risks to them may include:
- Exposure to chemicals
- Lead
- Biological exposure
- Ionising Radiation
- Extremes of temperature
- Manual handling
- Ergonomic issues (Prolonged standing etc.)
- Environmental issues, heat, light, noise
- Prolonged standing
- Adoption of awkward body movements
- Stress
- Personal protective equipment (may not fit)
There are also the normal problems associated with pregnancy such as:
- Morning sickness - Increasing size etc.
- Backache
c) DISABLED WORKERS
Many Organisations will have disabled workers. The popular conception is that disabled persons
are those in wheelchairs but disablement may also be deafness blindness etc. It is essential that
these factors are considered especially in an emergency.
Obviously disabled workers will be at risk from the general

hazards of the workplace but other factors that need to be
considered include:
Reduced mobility for generally 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
etc.
- Those with sensory disabilities such as hearing and
eyesight problems may not be able to hear or see
alarms.
- There may well be reduced communication ability, e.g. speech defects or hearing
The Management should consult with disabled workers about how to reduce the risks to them.

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d) LONE WORKERS
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 person
- Is there a requirement to lift too heavy objects
- Is there a risk of violence
- Are women especially at risk
- Are young workers especially at risk.
When providing control measures for lone workers the following should be included:
- Worker properly trained and - Devices to raise the alarm
experienced
- Check worker has returned to
- Employer set limits on what base/home
can/cannot be done
- First Aid kits and training
- Periodic visiting by supervision to
- Emergency action to be taken if
observe procedures being followed
worker becomes ill
- Regular contact between worker and
base
- Automatic warning devices
Night Shift Workers

Factors to consider when assessing the risk to night shift workers
- Hours worked and recovery period between shifts

- Disruption of normal routines-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/ heat, ventilation

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Management of Change
3.5
Source: ISO45001 Clause 8.1.3: Management of Change
Organisations are required to establish a process for the implementation and control of planned
temporary and permanent changes that influence its OH&S performance.
Examples of changes that requires management of change include:
− New products, processes or services;

− Changes to work locations, working practices, processes, procedures, equipment, or the
company’s organisational structure;
− Construction works
− Changes to applicable legal and other requirements;
− Changes in knowledge or information concerning hazards and associated risks
− Developments in knowledge and technology
Organisations are required to control both temporary and permanent changes, to review the
consequences of unintended changes and, where applicable, to take action to mitigate any adverse
effects that might arise as a result of the occurrence of change.
Purpose of the Management of Change Process

The overall purpose of the management of change process is to minimise the introduction of new
hazards and risks into the workplace as a result of changes as listed in the above examples.
Depending on the nature of any anticipated change, the company must use a suitable methodology
for assessing the risks and the opportunities that might arise as a result of the change.
The organisation must ensure that new, unforeseen hazards are not introduced, or the risk profile
increased as a result of the introduction of the change. Where the organisation decides to implement
the change, it must ensure that all affected employees are properly informed and are competent to
cope with the change.
The management of change process should include consideration of the following questions to
ensure that any new or changed risks are acceptable:
− Have new hazards been created?

− What are the risks associated with the new hazards?
− Have the risks from other hazards changed?
− Could the changes adversely affect existing risk controls?
− Have the most appropriate controls been chosen, bearing in mind usability, acceptability
and both the immediate and long-term costs?

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Managing the Impact of Change

In order to manage change successfully, it is, therefore, necessary to attend to the wider impacts
of the changes. As well as considering the tangible impacts of change, it's important to consider the
personal impact on those affected, and their journey towards working and behaving in new ways to
support the change. The following are areas to be considered with regard to management of
change:
Communication and co-operation – Plan on how and when the changes will be communicated
to everyone who’s affected, and organizing and/or delivering the communications messages.
Getting them ready to adapt to the changes, by ensuring they have the right information, training
and help. Getting buy-in for the changes from those involved and affected, directly or indirectly.
Risk assessment – Conduct risk assessment to assess and address how the changes will affect
people and the organization structure.
Appointment of competent people – Identify competent "change agents" and other people who
need to be involved in specific change activities, such as design, testing, and problem solving, and
who can then act as ambassadors for change
Segregation of work areas – Consideration should be given to segregate work areas that are
affected by change such as building or demolition work so as to minimise disruption to other
functioning work areas.
Amendment of emergency procedures – Consideration to be given to the review and updating

of emergency procedures as a result of changes for example changes in plant infrastructure,
processes, materials used, and key personnel are occasions for updating the procedure.
Welfare provision – Make sure those involved or affected have adequate welfare provision during
change such as water, toilet facilities, eating facilities, etc.

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Safe System of Work for General

3.6 Activities
Why Workers Should be Involved When Developing Safe

Systems of Work
Employers should discuss the development of the safe system with employees or their
representatives for health and safety.
It is best practice to involve the workforce or representatives of the workforce in any development,
modification or assessment of safe systems of work.
Employees who are actively involved with carrying out the work should be consulted when
developing a safe system of work as they often have personal knowledge or experience of
particular dangers and may offer practical, common-sense suggestions on what should be done
to avoid accidents and minimise health risks.
Involving employees will gain their commitment and help make work activities safe. When the safe
system of work is finalised it must be adequately communicated to the workforce.
Why Procedures Should be Recorded / Written Down

Relying on “understood” procedures may lead to misunderstandings and inconsistencies in
carrying out a task safely.
Written procedures are a means of documenting information such as the risks associated with a
work task and incorporating the appropriate risk control measures into a sequence of steps for
doing the task safely. It also clearly states how the work is to be done and to an acceptable
standard.
In short, written procedures ensure workers are aware of the risks in their work tasks, clearly
outlines how the work task can be carried out safely and how to avoid injury or illness while
performing the tasks.

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The Differences between Technical, Procedural and Behavioural

Controls
The hierarchy can be broken down and considered as having three levels of protection which
move from the most to the least effective, Technical, Procedural and Behavioural.
Technical
Technical control strategies generally deal with risks from the perspective of
the physical controls related to the workplace or the activity in question.
Such strategies would include physical barriers such as machinery
guarding, wide aisles, packaging for easier handling, local exhaust ventilation
Procedural
Procedural control strategies consider a less physical approach and would

normally be associated with the structure of the organisation or the
systems of operation within the structure. Examples of procedural controls
would include policies and standards, rules and procedures, permit to work, purchasing
control, emergency preparedness and planning, implementation of safe systems of work,
specification of equipment standards, etc.
Behavioural
Behavioural controls, as the title suggests, relate specifically to the behaviour
of individuals within the workplace. By taking into account the influences
on behaviour, safe behaviour can be encouraged. Examples of behavioural
controls would include supervision, health surveillance, knowledge, skill training,
communication and changing perception

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Development of a Safe System of Work

Develop safe work procedures for the tasks that present the greatest risk and pose the most
serious consequences, and work gradually through those that present less risk.
When developing safe systems of work or other procedures there are two useful things to
consider that may make the system more effective and more likely to be followed. The first is to
put yourself in the position of the person doing the job.
Many times, safe systems are drawn up by people who will not be doing the job, and this may
lead to problems because what looks good on paper in an office may not look good to the person
actually doing the job. As an example, a safe procedure for men digging up a road that says they
can dig to within 1.5 metres of the power cable with the excavator and then remove the rest by
hand may well not be followed. If you were that person what would you do?
The second thing is to keep the procedure simple and user friendly.
The longer or more complicated the document the less chance there is of it being followed. When
writing safe systems, we need to consider whether the information we are putting in is really
necessary for the people doing the job or are we covering every tiny detail in case something
goes wrong.
There are five steps to be considered in developing a safe system of work.

These are:
1. Analysing the Task
2. Identifying Hazards and Assessing Risks
3. Introducing Controls and Formulating Procedures
4. Instruction and Training in the Operation of the Safe System
5. Monitoring the Safe System
Step 1. Analysing the Task

Analysis of the task can be achieved in a number of ways.
Examples to analysis methods:
1. Hierarchical task analysis (HTA)
2. Design task analysis (DTA)
3. Job safety analysis (JSA)

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When analysing the task, the following factors should be considered:
- Purpose of Task - The Environment

- People involved - Legal Requirements
- Equipment and Materials - Standards
- The Work Methods - Existing Controls
Step 2. Identifying Hazards and Assessing Risks

Having assessed the task, this should identify the hazards involved which need to be eliminated
or reduced. These could include items such as:
- The location of the work (Work at - Vehicles
height/Confined Space)
- People Internal/External)
- Electricity/Hazardous Energies
- Environment
- Machinery, Plant and Equipment
- Materials and Substances Used

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Step 3. Introducing Controls and Formulating Procedures
Safe systems of work should be properly documented.

Wherever possible, they should be incorporated into normal process operating procedures.
This is so that:
- Health and safety are seen as an integral part of, and not add-on to, normal production
procedures
- The need for operators and supervisors to refer to separate manuals is minimized.
Whatever method is used, all written systems of work should be signed by the relevant managers
to indicate approval or authorisation.
Version numbers should be included so that it can quickly be verified that the most up-to-date
version is in use.
Records should be kept of copies of the documentation, so that all sets are amended when
updates and other revisions are issued.
As far as possible, systems should be written in a non-technical style and should specifically be
designed to be as intelligible and user-friendly as possible.
It may be necessary to produce simple summary sheets, which contain all the key points in an
easy-to-read format.
DEFINE SAFE SYSTEM - DOCUMENTATION
The written safe system should incorporate the precautions that have been seen to be necessary
from the assessment of the task and identification of hazards. The safe method should be written
so that it is easy to understand and follow. When designing the safe system, we should consider:
a) 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.
b) Equipment and Machinery
Good design and safety specification of plant, machinery and equipment, including
ergonomic factors; efficient and planned maintenance.
c) Environment
Consideration needs to be given to the environment in which the work is being carried out. A
job being done in a temperature of -40 Centigrade could have a different set of problems
when being done in +40 Centigrade. Also, good lighting and control of noise may need to be
considered.
d) People
Safe behaviour, sound knowledge, skills, both mental and physical, willingness to conform to
the system, motivation, resistance to pressures to behave unsafely, and job experience – the
human assets of the enterprise, adequately trained and supervised, working in harmony.

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Step 4. Instruction and Training in the Operation of the Safe

System
IMPLEMENT THE SAFE SYSTEM
The system must be implemented as soon as possible.
Employees should be given instruction and training before using the system.
All personnel on a site must be aware of the permit procedure and when a permit is necessary.
This will extend to any contractors or visitors. A program of instruction, induction training, issue of
booklets and other methods are used to achieve this requirement.
Step 5. Monitoring the Safe System

Regular monitoring can ensure that the safe system of work is in place, is effective, being followed
and continues to be workable.
Monitoring activities can be designed and undertaken to provide regular and frequent checks to
ensure that the standards built into the safe system of work are effective and that the results of
operating the system are ensuring health and safety performance.
The details of the monitoring to be undertaken and the role and duties of supervisors and
managers should be clearly stated and followed. These should particularly include the
identification of unsafe conditions or unsafe deviations from the safe system of work
requirements.

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Permit-to-Work
3.7 Systems
Meaning of Permit-to-Work System

A permit to work procedure is a formal written system used to control certain types of work which
are potentially hazardous.
Permit-to-work systems and procedures are the most formal method of ensuring safe working
practices and safe systems of work. The objective is for an experienced and trained authorised
person, who will sign the permit-to-work certificate, to pre-assess (with all necessary technical
assistance) the hazardous circumstances involved and then describe in writing:
(a) The work to be carried out and the hazards involved
(b) All the precautions required together with emergency procedures
(c) Who may carry out the work
(d) The limits of the permit-to-work area or equipment.
According to circumstances, the permit-to-work certificates will require acknowledgement either

by all the personnel carrying out the hazardous work and/or by the supervisor in charge of them.
A well-designed permit-to-work certificate will also make provision for signed confirmation that the
work area or equipment involved has been restored to a safe condition, for possible time
extension of the permit, and for its formal cancellation and the keeping of a record.
WHY PERMIT SYSTEMS ARE USED

Permit systems are used to ensure that high-risk work is done safely and efficiently. They are
used to control work which has been identified as potentially hazardous. The permit system
involves procedures to request, review, authorise and document. It is used as a means of
communication amongst those who carry out the hazardous work.
PERMIT AUTHORISATION AND COMPETENCY TO PERFORM WORK
This is a key area, since it is vital that both the ‘authorised person’ is in every way a fit and proper
person, ultimately signing the permit to work certificate, and that the personnel carrying out the
work know exactly what they are required to do.
The appointment by employers of authorised persons to sign permit to work certificates should not
be taken lightly, and just as permit to work systems are themselves formal, so should be the
manner of appointment of such persons.
In appointing an authorised 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).

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- Their training, qualifications and experience and status.

- 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 Organisation providing the permit to work system to ensure that the personnel
carrying out the work are competent to do so safely.
This is in practice often delegated both to the supervisor responsible for performing the work and
the authorised 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.

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HOW PERMIT TO WORK SYSTEMS WORK AND ARE USED
A typical permit to work has the following components:
1. Authorisation
2. Safety precautions
3. Definition of the work to be undertaken
4. Limitations
5. Signatures
6. Checks and precautions before work
7. Checks and examinations after work
8. Cancellation
9. Copies
It is important that a permit-to-work certificate should be designed to suit the circumstances of its
use. In particular, the permit should assist the authorised person, who will ultimately sign it after
thorough checking, in describing all the necessary precautions. In this situation, so called ‘blanket
permits’ which can cover a large area can be a danger because of a lack of detailed specification.
As will be seen from the listed examples, each permit details the specific precautions necessary
to cope with, for example, hot work, work on electrical systems, machinery maintenance, confined
spaces, working at height etc. In general terms, a permit-to-work system is a formal system
designed to ensure that all parties involved are aware of:
- The job location/plant identification
- Description of work
- The period of time in which the work may be carried out
- Description of the hazards which are, or might be, present
- The tests and checks which have to be made and the precautions to be taken before
starting work.
- Further precautions to be taken while undertaking the work
- Authorisation: Signature by competent person confirming that all necessary precautions
have been taken
- Acceptance: Signature of person in charge of work confirming understanding of work to
be done, hazards involved and precautions required
- Time Extensions/Shift change procedures
- Hand back: Confirming work completed
- Cancellation
Note: All signatures must be legible
The permit-to-work certificates should be regarded as a written agreement between the

organisation and the personnel receiving it. The person receiving the permit must understand that
they must comply with the certificate in every detail and that the person authorising it has
complete and absolute control. It is normal for permit-to-work certificates to be of the ‘no carbon
required’ variety (supplied in pads) and made out with two or more copies with different colours.

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Copies should also share a specific serial number to ensure correct identification and a typical
distribution might be as follows:
- Top (yellow) copy to be issued to and retained by the supervisor in charge of the work.
- First (pink) copy to be placed in transparent plastic envelope and displayed at place of
work.
- Both the above copies to be returned to the authorise person to be destroyed when work
is complete.
- Second (blue) copy to be retained in pad for record purposes, with the necessary
‘confirmation of work completed’ and ’cancellation’ signatures.
On large projects, many permit-to-work may be necessary, sometimes running concurrently.

Under such circumstances it may be necessary to appoint a ‘permit co-ordinator’, and to have a
system of application for permits, thus enabling all necessary arrangements to be made prior to
the issuing of the permit by the authorised person. In such a case, a formal ‘request for the
permit-to-work certificate’ may be necessary.
The need to inform all relevant personnel that a permit to work system is, or will be in operation is
vital. Some permits will require the Management of the area concerned to sign the permit to
confirm they are aware of it. The workforce may be informed by formal notices on notice boards
etc. In some cases, the posting of specially prepared maps indicating permit to work areas (into
which only persons covered by the permit certificates may go) may well be justified and very
useful.
On proposed permit to work systems it is often difficult to get both supervisors and operatives to
understand precisely what is required. Formal training sessions should be set up and the
proposed system, nature of the work, hazards etc. fully discussed and communicated.
WHEN TO USE A PERMIT TO WORK SYSTEM

Since permit-to-work systems constitute the most formal and detailed method of ensuring safe
systems of work, they should be reserved only for circumstances where:
- The potential hazards involved are severe
- The precautions necessary are complicated and need positive
enforcement.
The permit-to-work effectiveness may be affected by the following:

- It should be a formal document
- It should be simple to use, not overly complicated
- There should be commitment from those who use it
If permit-to-work systems are used too often they tend to lose their effect
through too much paperwork and possible over-application of long drawn out requirements, which
both management and the workforce will increasingly not want to follow in every detail.

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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 because of a flammable
atmosphere.
A hot work permit allows ‘hot work’ i.e. (welding, flame cutting etc.) to be carried out after 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 etc.)
Electrical Work Permits (Non-live Electrical Systems)
These permit work to be undertaken on 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. Another form of permit is designed to cover work on, or testing
of, exposed conductors (at dangerous voltages) which only for overriding operational needs
cannot be isolated.
Use of this latter permit system should be rare and the ‘isolation method’ is always to be
preferred.
Machinery Maintenance Permits
Maintenance work, particularly plant maintenance, involves many risks such as electricity,
steam, hot surfaces, dangerous parts of machinery, falling from height and being trapped inside
machinery.
A permit is needed when maintenance work can only be carried out if normal safeguards are
dropped or when new hazards are introduced by the work. Examples are entry into vessels, hot
work and dismantling of plant and equipment.
Danger can arise when sludge is disturbed or scale removed and the possible ingress of
harmful gas must always be considered.
Numerous tragedies are on record where an operative is seen to be unconscious within a

confined space, and multiple further fatalities have then occurred when colleagues, not heeding
the hidden danger, have entered the confined space for rescue purposes and have also been
overcome.
Work At Height
Falls from height are a major cause of work related fatalities and injuries.
When workers climb up a ladder or through some other method work above the ground, they
are placing themselves at risk of falling from a height. Even falls from a low height have the
potential to cause serious injury and must be managed. Examples of tasks that involve working
at heights include erecting signs, working on roof, working on scaffold, working with ladders,
accessing shelving.
Confined Space Entry Permit
This is 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. The
hazards of entering confined spaces are not always immediately apparent, even when tests
have been carried out.
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Emergency Procedures
3.8
Why Emergency Procedures Need to be Developed
Workplace Emergencies
Workplaces need a plan for emergencies.
Workplace emergency is an unforeseen situation that threatens employees, customers or the

public, disrupts or shuts down business operations, or causes physical or environmental damage.
Emergencies may be natural or manmade and include some of the following events:
- Floods
- Fires
- Toxic gas releases
- Chemical spills
- Explosions
- Workplace violence resulting in bodily harm and trauma
Employers must explain clearly the procedure for any worker to follow in serious and imminent
danger.
Employees and others at work need to know when they should stop work and how they should
move to a place of safety. In some cases, this will require full evacuation of the workplace, in
others it might mean some or all of the workforce moving to a safer part of the workplace.
Organisations should develop policies that include procedures for dealing with workplace
emergencies.
Factors to be considered in drawing up the procedures could include:

- Type of emergencies as indicated - Emergency service contact and
above response time
- Evacuation in case of fire - Appointed persons to deal with the
emergency and deputies
- Dealing with accidents,
- Communication systems
- Hazardous chemicals spillage
- First Aid/medical facilities
- Intruder alert
- Evacuation procedures
- Discovery of explosive device
- Effects on surrounding community
- Type/location of workplace
- Post emergency action e.g. repairs,
media, investigation

Page 114
When developing emergency procedures, consideration must also be given to non-employees

who may be on the premises and they should also be informed of the procedures. The reasons
for this are:
- they can act appropriately in the event of the emergency
- it will prevent them obstructing employees and putting them at risk
- correctly and competently follow emergency procedures to evacuate safely without panic
- have confidence in the safety standards of the organisation
- know who to contact for assistance
- know where the assembly points are located
An obvious but sometimes ignored fact is that emergency procedures should not be tested for the
first time during an emergency. It is essential that emergency procedures are practised so that
weaknesses in the system are highlighted and corrected.
When developing emergency procedures, it may be necessary to have the local emergency
services involved to ensure all events are considered.
Importance of Developing Emergency Procedures

Emergencies can develop very rapidly and it is vitally important to move people to a safe place
without any delay.
Emergency procedures are a series of steps that need to be followed when responding to an
emergency. These include the precautions, the protective clothing and equipment to be used, any
special conditions, and the responsibilities and duties of people undertaking these procedures. It
provides a basis for informed decision-making during
the emergency and for effective working relations with
external agencies
Emergency procedures are an important part of the

overall emergency management system. They should
be clear, simple, practical and achievable.
In summary, it is important for organisations to

develop emergency procedures as they enable the
organisation:
- To maintain a high level of preparedness
- To respond quickly and efficiently to limit the
impacts of an emergency
- To manage an emergency until the
emergency services, arrive and take control
- To support emergency services with
information, knowledge, skills and equipment
- To protect emergency responders, personnel
and the community from harm.

Page 115
What to Include in an Emergency Procedure

The points to include in emergency procedures (Source: The HSE UK, HSG268: The Health
and Safety Toolbox):
− Consider what might happen and how the alarm will be raised. Don’t forget night and shift
working, weekends and times when the premises are closed, e.g. holidays.
− Plan what to do, including how to call the emergency services. Help them by clearly
marking your premises from the road. Consider drawing up a simple plan showing the
location of hazardous items.
− If you have 25 tonnes or more of dangerous substances, you must notify the fire and
rescue service and put up warning signs.
− Decide where to go to reach a place of safety or to get rescue equipment. You must
provide suitable forms of emergency lighting.
− You must make sure there are enough emergency exits for everyone to escape quickly,
and keep emergency doors and escape routes unobstructed and clearly marked.
− Nominate competent people to take control (a competent person is someone with the
necessary skills, knowledge and experience to manage health and safety).
− Decide which other key people you need, such as a nominated incident controller,
someone who is able to provide technical and other site-specific information if necessary,
or first-aiders.
− Plan essential actions such as emergency plant shutdown, isolation or making processes
safe. Clearly identify important items like shut-off valves and electrical isolators etc.
− You must train everyone in emergency procedures. Don’t forget the needs of people with
disabilities and vulnerable workers.
− Work should not resume after an emergency if a serious danger remains. If you have any
doubts ask for assistance from the emergency services.
Emergency Management
Emergency management involves a process of four typical phases:
1. PREVENTION: regulatory, physical or operational measures to prevent emergencies or
mitigate their impact
2. PREPAREDNESS: arrangements to mobilise and deploy all necessary resources and
services
3. RESPONSE: actions taken during and immediately after an emergency to minimise the
impact
4. RECOVERY: arrangements to restore the facility to normal as quickly and efficiently as
possible and to assist the community to recover.

Page 116
Why People Need Training in Emergency Procedures
Training both theory and practical, including simulated exercises should be given to all staff
whose work may impact on any incident or who may be affected by an emergency. If possible, all
neighbouring businesses, public action committees and local civil defence/authorities shall be
involved in exercises/drills.
The main objective of training and drills are:
1. Familiarisation – to enable all parties

involved/affected to be familiar with the emergency
response actions/arrangements within the
workplace.
2. Effectiveness – to check the effectiveness of the

emergency arrangements, and also it could be seen
as an opportunity for all the emergency responders
to practice their roles.
Emergency drills could be conducted either announced or

unannounced. Announced drill will enable planning and
better preparedness, whilst unannounced drill will enable a
real time testing of the response and effectiveness of the
arrangements.
Why Emergency Procedures Need to be Tested

An emergency response plan will not work properly unless realistic training is provided and it is
thoroughly tested prior to implementation in an actual emergency.
Testing the plan helps to identify problem areas, as well as inherent weaknesses, that must be
corrected in order to ensure that the plan will work as designed. It identifies areas in need of
improvement thereby enhancing coordination and communication among emergency response
personnel.

Page 117
First Aid in the Workplace
PURPOSE OF FIRST AID
The aim of first-aid is to:

- Preserve life and minimise the consequences of serious injury
- Prevent deterioration by reassuring the casualty and lessening the effects
of medical shock
- Promote recovery, provide treatment of minor injuries that do not require
professional medical attention.
What to consider when deciding on first aid needs in a

workplace
First Aid Requirements

To determine the needs of first aid requirements, organisations should carry out an assessment of
their operations taking into consideration the following:
1. The size of the organisation and number of employees, including fluctuations caused by
shift patterns. The more employees there are, the higher the probability of 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 levels of risk; others have more or more specific hazards, e.g.
construction or chemical sites.
4. Past accident history and accident types. The history of past accidents, their number,
frequency, type and consequences can help to determine first-aid materials and equipment
required and where first-aiders should be located.
5. Remoteness of the site from emergency medical services. The proximity to emergency
services should be considered. The provision of an equipped first aid room may be required
if ambulance access is 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 for which the general first aid course may not cover.
8. The employer should also consider in their assessment annual leave and other absences
of first aiders through illness or absence.

Page 118
9. Coverage of shift work and working out of normal working hours. Work at the night
may limit access to first aid.
Having made this assessment, the employer is able to work out the number and size of first aid
boxes required. Additional facilities such as a stretcher or first aid room may also be
appropriate.
Role, Training and Number of First Aiders

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, organisations will decide on the number of first aiders for their workforce.
Appointed Person
Some organisations may choose to have an appointed person instead of a first aider. This
arrangement would not be adequate for activities where the risk of injury may be serious/major.
Appointed persons should attend short emergency first aid courses and they should not provide
first aid if they are not competent.
The role of the appointed person is to:
- Take charge when someone is injured or falls ill. This includes calling for an
ambulance as necessary.
- Take charge of first aid supplies and equipment
- Arrange for first aid box to be replenished
- Maintain records of all treatments given

Page 119
Training
First-aiders should be trained and certificated to administer first-aid.
In the UK, for example, the training is provided by organisations approved and monitored by the
Enforcing Authority (HSE) and lasts for four days, with a requirement for the certificate to be
renewed every three years following attendance on a refresher course of at least two days
duration.
Many organisations will ask for volunteers to become first aiders but in others it will be part of a
job specification.
Information for Employees

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

First aid kits should be kept in a prominent, accessible location and able to be retrieved
promptly.
Access should also be ensured in security-controlled workplaces. First aid kits should be
located close to areas where there is a higher risk of injury or illness.
If the workplace occupies several floors in a multi-storey building, at least one kit should be
located on every second floor. Emergency floor plans displayed in the workplace should include
the location of first aid kits.
A portable first aid kit should be provided in the vehicles of mobile workers if that is their
workplace (for example, couriers, taxi drivers, sales representatives, bus drivers and
inspectors).
Employers should provide an adequate number of first-aid boxes. The actual contents for first-
aid boxes will be determined through risk assessment together with any local legislation or
guidance.
Medicines or tablets should not be kept in first aid box.
Typical contents of first aid box include:

- Disposable latex gloves - Safety pins
- Individually wrapped sterile adhesive - Individually wrapped wipes
dressings (assorted sizes)
- Individually wrapped triangular
appropriate to the work environment
bandages
- Sterile eye pads
- Individually wrapped sterile
- Sterile eye wash unmedicated wound dressings
(assorted sizes)
Small travelling first-aid kits should be provided for workers working away from their base, e.g.
fitters, forestry and agricultural workers.

Page 120
First-Aid Rooms
Employers may have to provide a suitable first-aid room (or rooms) where the assessment of
first-aid needs identifies this as necessary or it is required in 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 first
aid.
Coverage in Relation to Shift Work and Geographical Location

In addition to the need to arrange coverage when first aiders take annual leave, sick leave and
other absences, organisations also need to consider first aid coverage for shift work and remote
locations.
Training an adequate number of workers to administer first aid at the workplace or ensuring that
workers have access to an adequate number of other people who have been trained to
administer first aid would ensure sufficient coverage.
Shift Work Coverage

Organisations with shift work should ensure that first aiders are available during shift hours.
Their name and contact details should be made known to all shift workers.
Geographical Location (Remote areas and lone working)

First aid considerations may be necessary for workers in remote or isolated areas. For
example, where access is difficult due to poor roads or weather conditions, arrangements may
need to include aerial evacuation.
The provision of a system of work that includes effective communication with the worker will
assist in enabling an immediate response in an emergency.
Where there is lone working, consideration should be given to the provision of portable first aid
kit, communication equipment such as mobile phone and emergency contacts.
Contact details of first aiders should also be made available.
Multi-occupancy sites
Agreement can be 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.
Absence of First Aider

Employers should consider the possibility of the first aider being absent and there should be
someone appointed to take control of the situation and call medical assistance etc. In some
countries these people are given a 1-day emergency first aid course.

Page 121
Reference
Guidelines on Occupational Safety and Health Management Systems (ILO-OSH 2001)
ISO 45001:2018: Occupational Health and Safety Management Systems
HSG65: Managing for Health and Safety (Third edition, published 2013), HSE Books ISBN
978 0 7176 6456 6
HSG628: The Health and Safety Toolbox (First published 2014), HSE Books ISBN 978 0
7176 6587 7
Occupational Safety and Health Convention (C155), ILO.

https://www.ilo.org/dyn/normlex/en/f?p=normlexpub:12100:0::no::p12100_instrument_id:312
300
Occupational Safety and Health Recommendation (R164) 2006, ILO.

https://www.ilo.org/dyn/normlex/en/f?p=1000:12100:::NO:12100:P12100_INSTRUMENT_ID:
312502
Reducing Error and Influencing Behaviour (HSG48), HSE Books ISBN 978-0-7176-2452-2
Human factors: Training & Competence, HSE UK.

http://www.hse.gov.uk/humanfactors/topics/competence.htm
ILO Safety and health in construction, Code of Practice, ILO Geneva, ISBN: 92-2-107104-9.
https://www.ilo.org/wcmsp5/groups/public/---ed_protect/---protrav/---
safework/documents/normativeinstrument/wcms_107826.pdf
ILO Training package on Workplace Risk Assessment and Management for Small and
Medium-Sized Enterprises, 2013, ILO Geneva, ISBN: 978-92-2-127065-2.
https://www.ilo.org/wcmsp5/groups/public/---ed_protect/---protrav/---
safework/documents/instructionalmaterial/wcms_215344.pdf
ILO Code of Practice Ambient Factors in the Workplace (Chapter 3 – General principles of
prevention and control) https://www.ilo.org/wcmsp5/groups/public/---ed_protect/---protrav/---
safework/documents/normativeinstrument/wcms_107729.pdf
ISO 7010:2019, Graphical symbols — Safety colours and safety signs — Registered safety
signs, 2019, ISO. https://www.iso.org/standard/72424.html
Safe Work in Confined Spaces (ACoP, Regulations and guidance), L101 (Third Edition,
2014), HSE Books, ISBN: 978-0-7176-6233-3 www.hse.gov.uk/pubns/priced/l101.pdf
Five Steps to Risk Assessment (INDG163), Rev. 4, 2014, HSE Books, ISBN: 978 0 7176
6463 4. https://www.hse.gov.uk/pubns/indg163.pdf
Example Risk Assessments, HSE, http://www.hse.gov.uk/risk/casestudies/index.htm
Guidance on Permit-To-Work Systems. A guide for the petroleum, chemical and allied
industries, HSE Books, ISBN: 978-0-7176-2943-5 www.hse.gov.uk/pubns/priced/hsg250.pdf

Page 122

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Page 49

NEBOSH International General Certificate in OSH

On completion of this element, candidates should be able to:

INTERNATIONAL HSE COUNCIL | Together We Progress

3.1 Health and Safety Culture

Meaning and Definition of a Health & Safety Culture

The HSE define Health & Safety Culture as:

INTERNATIONAL HSE COUNCIL | Together We Progress

Factors that can cause the culture to decline include:

The safety culture of the organisation can be improved by:

INTERNATIONAL HSE COUNCIL | Together We Progress

Benefits of a Positive Culture

Indicators of an Organisation’s Health & Safety Culture

Influence of Peers on Health and Safety Culture

INTERNATIONAL HSE COUNCIL | Together We Progress

Improving Health and

Gaining Commitment of Management

- Health and safety is included in the - Allocation of sufficient resources

INTERNATIONAL HSE COUNCIL | Together We Progress

Promoting Health and Safety Standards by Leadership and

PRACTICAL METHODS IN WHICH MANAGEMENT CAN PROMOTE HEALTH AND SAFETY

Practical examples include:

INTERNATIONAL HSE COUNCIL | Together We Progress

A person shall be regarded as competent where he has:

Competence is the ability to undertake responsibilities and perform activities to a recognised

INTERNATIONAL HSE COUNCIL | Together We Progress

Good Communication within the Organisation

It arises from ambiguities or, even, accidental distortion of a message.

INTERNATIONAL HSE COUNCIL | Together We Progress

Remember: Communication is a two-way process where the needs

Benefits and limitations of the following methods of communications:

3. Visual (Graphic) Communication

INTERNATIONAL HSE COUNCIL | Together We Progress

Barriers to written communication

Barriers to verbal communication include:

INTERNATIONAL HSE COUNCIL | Together We Progress

3. VISUAL (GRAPHIC) COMMUNICATION

Could be in the form of video, computer, posters, visual aids.

Barriers to visual communication:

- Lack on consultation between - Perception of risks

INTERNATIONAL HSE COUNCIL | Together We Progress

Communications within an Organisation

Companies need to communicate with all levels of

In addition to the above formal communications, successful managers communicate their

INTERNATIONAL HSE COUNCIL | Together We Progress

OTHER HEALTH AND SAFETY COMMUNICATION MEDIA

Films and Videos

“Tool Box” Talks

INTERNATIONAL HSE COUNCIL | Together We Progress

The handbook should be:

Training is classified into various types such as Induction, Off-the-job,

INTERNATIONAL HSE COUNCIL | Together We Progress

Co-operation and Consultation with the Workforce &

BENEFITS OF WORKER PARTICIPATION

HEALTH AND SAFETY CONSULTATION

INTERNATIONAL HSE COUNCIL | Together We Progress

Safety Committees should be compact, have equal representation of management and

Conduct of Safety Committees

INTERNATIONAL HSE COUNCIL | Together We Progress

Objectives and Functions of Safety Committee

The function of Safety Committee includes:

- Clear Terms of Reference. - Good communication channels.

Obviously, an ineffective Committee is the opposite of the above.