NEBOSH

International
General Certificate
 Unit IGC1
Management of
international health
and safety
 Element 1

Foundations in health and

safety
 Foundations in health and safety
The scope and nature of occupational health and safety
Meaning of and distinctions between common terms
Health, safety, welfare and environmental protection
• Health
- “A state of well being in both physiological and
psychological sense. For example in occupational terms, it
would include not suffering from fatigue, stress or noise induced
deafness”
• Safety
- “Absence of danger of physical harm to persons, including
no damages to property such as equipment, materials and
structures”
 Foundations in health and safety
The scope and nature of occupational health and safety
Meaning of and distinctions between common terms
Health, safety, welfare and environmental protection
• Welfare
- “The provision of workplace facilities that maintain the
basic well being and comfort of the worker such as eating,
washing and toilet facilities ”
• Environmental protection
- “A measure used to prevent harm to the environment
of the world It prevents harm to air, water, land and natural
resources providing protection to flora, fauna and human
beings and their inter-relationships.”
 Foundations in health and safety
The moral, social and economic reasons
The business case for health and safety
Insured and uninsured costs
• Direct costs
- Lost time
- Damage to equipment
- Medical or first-aid costs
- Time and materials to clean up after the accident
- Insurance, indemnity or compensation payments
- Court costs
- Fines
 Foundations in health and safety
The moral, social and economic reasons
The business case for health and safety
Insured and uninsured costs
• Indirect costs
- Lost time by other workers who stop work or reduce
performance/supervisor or other managers
- Weakened morale
- Preparing accident reports, attending hearings,
inquests courts
- Interference with production leading to failure to fill
orders on time, loss of bonuses, penalty payments
and similar losses
 Foundations in health and safety
The moral, social and economic reasons
The business case for health and safety
Employers’ liability insurance
• Other costs that may be incurred relate to:
- Production delays
- Damaged goods and equipment
- Accident investigation
- Loss of expertise or experience
- Hiring and training replacement staff
- Loss of goodwill and reputation
- Clean-up operations
- Possible fines and associated legal fees
 Foundations in health and safety
The moral, social and economic reasons
The reasons for promoting and maintaining good
standards in health and safety
• Need to provide a reasonable standard of care and to reduce the
injuries, pain and suffering caused to workers by accidents and ill-
health

• Need to provide a safe place of work, safe plant and equipment,

safe systems of work, competent workers and a high standard of
training and supervision.

• Economic benefits include the avoidance of criminal penalty and

compensation claims by complying with the law including the
employer’s duty and the possible repair or replacement of plant and
equipment;
 Foundations in health and safety
The moral, social and economic reasons
The reasons for promoting and maintaining good
standards in health and safety
• Highly motivated workforce resulting in an improvement in the rate
of production and product quality;

• Improvement of the organization’s health and safety culture and the

commitment of management;

• Avoidance of costs associated with accident investigations;

• Avoidance of costs of hiring or training of replacement staff and the

possible repair or replacement of plant and equipment;

• Better insurance and maintaining the image and reputation of the

organization with its various stakeholders.
 Foundations in health and safety
The role of national governments and international bodies

• The ILO has set out a number of conventions and

recommendations
• Relate to the management of health and safety, recording
and notifying accidents, health and safety for the workplace
and work equipment
• ILO conventions set out what should be done by member
countries at a national level and what should be done at
employer level
• Workers’ rights and responsibilities are included within the
conventions
 Foundations in health and safety
The role of national governments and international bodies
Employers’ responsibilities
• According to ILO Occupational Safety and Health
Convention C155, employers have multiple responsibilities
• These include (article 16) ensuring that, so far as is
reasonably practicable, the workplaces, machinery,
equipment and processes under their control are safe and
without risk to health
• Must also ensure that, so far as is reasonably practicable,
the chemical, physical and biological substances and agents
under their control are without risk to health when the
appropriate measures of protection are taken
 Foundations in health and safety
The role of national governments and international bodies
Employers’ responsibilities
• This includes provision, where necessary, of adequate
protective clothing and protective equipment to prevent, so
far is reasonably practicable, risk of accidents or of adverse
effects on health
• Employers must also provide measures to deal with
emergencies and accidents, including adequate first-aid
arrangements
 Foundations in health and safety
The role of national governments and international bodies
Employers’ responsibilities
Storage of gas cylinders/office workplace

Source: RMS
 Foundations in health and safety
The role of national governments and international bodies
Workers’ responsibility and rights
• The ILO sets out workers’ responsibilities to protect
themselves and those around them from harm
• Expected to co-operate with the employer with regard to
obligations placed upon the employer
• Including reporting any situation that presents imminent risk
or serious danger
• Workers should receive adequate information and training on
measures taken by the employer to secure occupational
safety and health
 Foundations in health and safety
Sources of information on National Standards

1) Reasonably practicable
• The degree of risk in a particular situation can be
balanced against the time, trouble, cost and physical
difficulty of taking measures to avoid the risk

Source: RMS/Corel Clipart

 Foundations in health and safety

Practice Question 1

What is the meaning of the following terms:

a. Health
b. Safety
c. Welfare
d. Environmental protection
 Foundations in health and safety

Answer 1

• Health
- “A state of well being in both physiological and psychological
sense. For example in occupational terms, it would include not
suffering from fatigue, stress or noise induced deafness”
• Safety
- “Absence of danger of physical harm to persons, including no
damages to property such as equipment, materials and
structures”
 Foundations in health and safety

Answer 1

• Welfare
- “The provision of workplace facilities that maintain the basic
well being and comfort of the worker such as eating, washing
and toilet facilities ”
• Environmental protection
- “A measure used to prevent harm to the environment
of the world It prevents harm to air, water, land and
natural resources providing protection to flora, fauna and
human beings and their inter-relationships.”
 Foundations in health and safety

Practice Question 2

Outline reasons for promoting and maintaining good

standards of health and safety in the workplace.
 Foundations in health and safety

Answer 2
• Need to provide a reasonable standard of care and to reduce the
injuries, pain and suffering caused to workers by accidents and ill-
health

• Need to provide a safe place of work, safe plant and equipment, safe
systems of work, competent workers and a high standard of training
and supervision.

• Economic benefits include the avoidance of criminal penalty and

compensation claims by complying with the law including the
employer’s duty and the possible repair or replacement of plant and
equipment;
 Foundations in health and safety

Answer 2
• Highly motivated workforce resulting in an improvement in the rate of
production and product quality;

• Improvement of the organization’s health and safety culture and the

commitment of management;

• Avoidance of costs associated with accident investigations;

• Avoidance of costs of hiring or training of replacement staff and the

possible repair or replacement of plant and equipment;

• Better insurance and maintaining the image and reputation of the

organization with its various stakeholders.
 Element 2

Health and safety

management systems 1 -
policy
 Policy
The key elements of a health and safety management system

Setting policy
• Organisations that are successful in achieving high
standards of health and safety have health and safety
policies
• Contributes to their business performance
• Satisfies the expectations of shareholders, employees,
customers and society at large
• Policies are cost effective
• Policies influence all their activities and decisions
 Policy
The key elements of a health and safety management system

Organising
• Structured and operated to put their policies into effective
practice
• Helped by the creation of a positive culture that secures
involvement and participation at all levels
• Sustained by effective communications and the promotion of
competence
• The visible and active leadership of senior managers is
necessary to develop and maintain a culture supportive of
health and safety management
• Their aim is not simply to avoid accidents, but to motivate
and empower people to work safely
 Policy
The key elements of a health and safety management system

Planning and implementing

• Successful organisations adopt a planned and systematic
approach to policy implementation
• Their aim is to minimise the risks created by work activities,
products and services
• Use risk assessment methods
• Performance standards are established and performance is
measured against them
• Specific actions are needed to promote a positive health
and safety culture
• Risks are eliminated by the careful selection and design of
facilities, equipment and processes or minimised by the use
of physical control measures
 Policy
The key elements of a health and safety management system

Evaluation
• Health and safety performance in organisations that manage
health and safety successfully is measured against pre-
determined standards
• Reveal when and where action is needed to improve
performance
• The success of action taken to control risks is assessed
through active self-monitoring
• Includes an examination of both hardware and software
including individual behaviour
• Failures of control are assessed through reactive monitoring
 Policy
The key elements of a health and safety management system

Auditing
• Specifically designed to determine the extent to which the
health and safety management system, or elements of it, are
compliant with standards
• Internal auditing will confirm compliance with internal
standards
• Critical that the whole health and safety management
system be audited by an independent organisation
• To determine the extent to which it complies
• An audit policy and programme should be developed, which
includes auditor competency, the audit scope, the frequency
of audits, audit methodology and reporting
 Policy
The key elements of a health and safety management system

Action for improvement

• It is critical to take prompt preventive and corrective
action related to system non-conformities,
• Arrangements should also be established to aid the
continual improvement of health and safety management
system elements and the system as a whole
• Taking into account such areas as the health and safety
objectives of the organisation, changes in national laws and
regulations, voluntary programmes and collective
agreements and any other new relevant information
• Commitment to continuous improvement involves the
constant development of policies, approaches to
implementation and techniques of risk control
 Policy
The key elements of a health and safety management system

Action for improvement

Key elements of successful health and safety management

Source: ILO-OSH 2001

 Policy
The key features and appropriate content

Health and safety arrangements

Specific arrangements for hazards relating to:
• Contractors
• Electricity
• Fire
• Maintenance
• Manual handling
• Stress
• Substances
• Transport
• Work at height
• Work equipment
 Element 3

Health and safety

management systems 2 -
organising
 Organising
Organisational health and safety roles and responsibilities
Top management demonstrating commitment
Resources for a health and safety management system
• The organisation should consider:
- The amount of support from senior management
needed
- Financial
- Time
- People
- Technical
- Organisational
- Infrastructure and equipment
- The need for information, expertise, knowledge and
training
 Organising
Organisational health and safety roles and responsibilities
Top management demonstrating commitment
Roles and responsibilities
• It is essential to define the roles and responsibilities of
workers and managers clearly
• To achieve and maintain a good level of health and safety
performance
• Particular commitment should be made by senior
management to establish roles and responsibilities
• Will include the most senior manager, members of the
senior management team and anyone in the senior
management team taking a lead role in health and safety
 Organising
Organisational health and safety roles and responsibilities
Top management demonstrating commitment
Senior management appointee
• The senior management team embrace their responsibilities
for health and safety
• Top manager has overall responsibility
• Team share responsibility
• Some organisations demonstrate their commitment by
selecting someone from the team to provide the team with
extra focus and act as a ‘conscience’
• Ensures that sufficient time and effort is committed at senior
management level
 Organising
Organisational health and safety roles and responsibilities
Role and responsibilities of various parties
Middle managers and supervisors
• Managers at all levels in an organisation are expected to
ensure health and safety is effectively established in their
area of control
• It is important to recognise that managers and supervisors
can only achieve success within their current knowledge and
experience
• A training needs analysis should be carried out to identify
any gaps relating to their responsibilities within the
management system
 Organising
Organisational health and safety roles and responsibilities
Role and responsibilities of various parties
Persons with primary health and safety functions
• A person appointed to provide primary health and safety
functions (the health and safety practitioner) should be
appointed by the employer to provide advice and assistance
in meeting the employer’s responsibilities
• The appointment of a practitioner does not remove line
management responsibilities for health and safety, but it
provides support to line mangers in fulfilling these
responsibilities
• The health and safety practitioner is also usually a worker
and has responsibilities to take reasonable care for their acts
and omissions when conducting their work
 Organising
Organisational health and safety roles and responsibilities
Role and responsibilities of various parties
Workers for the health and safety of themselves and others
who may be affected by their acts or omissions
• In most countries there is a wide based principle of ‘duty of
care’
• Requires workers to be involved in the prevention of health
and safety risk
• Not to solely rely on the actions of their employer
• Establishes a responsibility of workers for the health and
safety of themselves and others that may be affected by
their acts or omissions
• The duty placed on workers is often set out at national or
local level in both civil and criminal law
 Organising
Organisational health and safety roles and responsibilities
Role and responsibilities of various parties
Workers for the health and safety of themselves and others
who may be affected by their acts or omissions
• The duty is often expressed as responsibilities to ensure that they:
- Take reasonable care for their own safety and that of other persons
who may be affected by their acts or omissions at work
- Comply with instructions given for their own safety and health and
those of others and with safety and health procedures
- Use safety devices and protective equipment correctly
- Report forthwith to their immediate supervisor any situation which they
have reason to believe could present a hazard and which they cannot
themselves correct
- Report any accident or injury to health that arises in the course of or
in connection with work
 Organising
Organisational health and safety roles and responsibilities
Role and responsibilities of various parties
Persons in control of premises
• Anyone in control of non-domestic premises or plant used by
persons not in their employment should, so far as is
reasonably practicable:
- Ensure safe access and egress to premises and plant
- Ensure that plant or substances in the premises, or
provided for their use, are safe and without risk to
health
 Organising
Organisational health and safety roles and responsibilities
Role and responsibilities of various parties
Self-employed
• Frequently involved in work in other employers' premises
• Carry a responsibility for the risks of their work that may
affect themselves, those that work alongside them or the
public
• Expected to take a responsibility for their own safety
• For example:
• Getting electrical equipment inspected and tested at
intervals
• Making sure the ladder they use to access a scaffold
platform is safe
 Organising
Organisational health and safety roles and responsibilities
Role and responsibilities of various parties
Responsibilities of suppliers, manufacturers and designers of
articles and substances - “the supply chain”
Suppliers, manufacturers and designers of articles and substances
• Often have specific duties placed on them to ensure that
articles and substances for use at work are as safe and
without risks as far as is reasonably practicable
• The responsibility relates to both new and second hand
articles as well as substances supplied to workplaces
 Organising
Organisational health and safety roles and responsibilities
Role and responsibilities of various parties
Responsibilities of suppliers, manufacturers and designers of
articles and substances - “the supply chain”
Suppliers, manufacturers and designers of articles and substances
• This includes:
- Safe design, installation and testing of articles
- Substances are safe and without risks to health
- Carry out or arrange for tests or examinations to ensure safe
design and construction of articles
- Provision of information on use and conditions essential to
health and safety
- Carry out research to minimise risks
- Erectors and installers of articles for use at work must ensure it
does not make the article unsafe or a risk to health
 Organising
Concept of health and safety culture
Meaning and extent of the term ‘health and safety
culture’
• The health and safety culture of an
organization is the product of individual and
group values, attitudes, perceptions,
competencies and patterns of behavior that
determine the commitment to the
organization’s health and safety
management.

Source: RMS
 Organising
Concept of health and safety culture
Meaning and extent of the term ‘health and safety
culture’
• Any organisation develops beliefs, attitudes and common
ways of behaving, this may be consciously or unconsciously
• The cumulative parts of how an organisation sees things
and does things are called its culture
• This may be a positive shared position or negative, in the
way it affects health and safety
• Organisations may have expectations that focus on the
short term or the longer term
• The culture of the organisation will lead to shared
expectations about the perception of risk and standards to
be adopted
 Organising
Concept of health and safety culture
Indicators to assess an organisation’s health and
safety culture
Specific tangible outputs/indicators
• Accidents
• Absenteeism
• Level of compliance with health and safety rules and
procedures
• Staff turnover
• Sickness rates
• Complaints about working conditions
 Organising
Concept of health and safety culture
Indicators to assess an organisation’s health and
safety culture
Factors promoting a positive health and safety culture
• Effective communication
• Leadership and commitment
• Equal priority
• Accident investigation
• Consultation
 Organising
Concept of health and safety culture
Indicators to assess an organisation’s health and
safety culture
Factors promoting a negative health and safety culture
• Change
• Mixed messages and trust
 Organising
How health and safety behaviour at work can be improved
Promoting health and safety standards by leadership and
example
• Management actions
- Send clear signals to staff and others
• Leadership through example
- Correct use of PPE
- Observance of rules
• Organisations should identify key performance indicator (KPI)
standards for heath and safety
• Management controls must be established to ensure the
standards are met and to show leadership and commitment to
health and safety
 Organising
How health and safety behaviour at work can be improved
Effective communication within the organisation
Use and effectiveness of various communication measures
• Notice boards
• Health and safety media
- Moving image media (films, videos, DVD’s)
- Poster campaigns
• Toolbox talks
• Memos/e-mails
• Worker handbooks
 Organising
How health and safety behaviour at work can be improved
Effective communication within the organisation
Safety notice board/Safety suggestion scheme

Source: RMS
 Organising
How health and safety behaviour at work can be improved
Training
The effect of training on human reliability
General points
• A health and safety training programme should be
implemented for all workers from general workers to director
level.
• Should include:
- Specialist training
- Internal and external courses
- Formal and informal training
 Organising
How health and safety behaviour at work can be improved
Training
The effect of training on human reliability
Effects and benefits of training
Benefits to worker
• Better understanding and involvement raises staff morale/job satisfaction
• Understanding of relevance of systems of work and controls reduces risk
• Understanding of welfare arrangements aids health, safety and hygiene
• Allows worker to reach experienced worker standard more quickly
• Increases flexibility of staff
 Organising
How health and safety behaviour at work can be improved
Training
The effect of training on human reliability
Effects and benefits of training
Benefits to employer
• Reduces accident frequency and severity
• Reduces injury related absenteeism
• Reduces claims and insurance premiums
• Reduces the chance of prosecution
• Increases profits/benefit
 Organising
How health and safety behaviour at work can be improved
Training
Opportunities and need for training provision
Induction training for new workers
Key health and safety topics to be covered
• Review and discussion of the safety policy
• Specific training requirements
• Fire and emergency procedures
• Welfare facilities
• First-aid procedures and facilities
• PPE provisions - limitations, use and maintenance
 Organising
How health and safety behaviour at work can be improved
Training
Opportunities and need for training provision
Refresher training
• Regular refresher training
• Reinforce employer’s desired approach
• Common refresher period is three years
• Provided to managers and workers
 Organising
How health and safety behaviour at work can be improved
Training
Opportunities and need for training provision
Specific health and safety training
• Safe systems of work
• Equipment training
• PPE training
• Fire training
• Health and safety inspections
• First-aid training
 Organising
Emergency procedures and contacting emergency services
The importance of developing emergency
procedures
• Adequate emergency procedures should be in place, or
developed, to control likely incidents
• Procedures should be in writing and regularly tested through drills
and exercises
• Arrangements should be formalised with local Accident and
Emergency services (A&E)
• Emergency procedures should be subject to regular review
• Fire is a specific risk which will need regular review throughout a
major build or modification project
 Organising
Emergency procedures and contacting emergency services
Types of Emergencies that requires evacuation of
workers

• Fires or explosion,
• Accidental release of toxic chemicals or gases,
• Transport incidents,
• Bomb alerts or other terrorists activities,
• Weather related emergencies and earthquakes.
 Organising
Emergency procedures and contacting emergency services
Arrangements for contacting emergency and rescue
services
• The employer must consider the risks arising from their undertaking
and the related emergencies that could result
• Where necessary, contacts are made with external emergency and
rescue services
• Alerting them to the timing of special, high hazard tasks such as work in
a confined space or where there is a significant risk that people may
need to be rescued
• The employer must identify and assess the nature of any injury likely to
occur and consider the distance to emergency hospital facilities
• It may be necessary to provide a first aid room
 Organising
First-aid in the workplace
Role, training and number of first-aiders and
appointed persons
Role of first-aiders
• Give immediate assistance to casualties with workplace
injuries or illness
• To summon an ambulance or other professional help
 Organising

Practice Question 1

a. Identify 3 types of emergency in the workplace that may

require the evacuation of workers
b. Outline why it is important to develop emergency
procedures in the workplace.
 Organising

Answer 1a
• Fires or explosion,
• Accidental release of toxic chemicals or gases,
• Transport incidents,
• Bomb alerts or other terrorists activities,
• Weather related emergencies and earthquakes.
 Organising

Answer 1b
• Adequate emergency procedures should be in place, or
developed, to control likely incidents
• Procedures should be in writing and regularly tested through
drills and exercises
• Arrangements should be formalised with local Accident and
Emergency services (A&E)
• Emergency procedures should be subject to regular review
• Fire is a specific risk which will need regular review
throughout a major build or modification project
 Organising

Practice Question 2

a. Give the meaning of the term ‘ health and safety culture’.

b. Identify factors that could have contributed to the
deterioration of the health and safety culture within the
organisation.
 Organising

Answer 2a

The health and safety culture of an organization is the product

of individual and group values, attitudes, perceptions,
competencies and patterns of behavior that determine the
commitment to the organization’s health and safety
management.
 Organising

Answer 2b
I. Factors such as the lack of visible leadership and commitment at senior
level;
II. Changes in the management structure or roles and changes in work
patterns with the lack of effective communication prior to and during
change;
III. Health and safety was not given the same priority as the other objectives
such as production and quality;
IV. Lack of consultation with and involvement of the workforce;
V. Absence of management systems particularly where health and safety
were concerned;
VI. Reduction in the workforce leading to work overload; a high staff turnover
and external influences such as downturn in the economy leading to job
insecurity;
VII. Presence of a blame culture and/or peer pressure and a deterioration in
the standard of welfare facilities.
 Element 4

Health and safety

management systems 3 -
planning
 Planning
Importance of planning
Setting health and safety objectives
• Setting objectives provides:
- A target to aim for
- Participants with a sense of direction
- Motivation, through structured progress and successful
achievement in meeting them
• Objectives must be set for the organisation as a whole, each
function and level
• The objectives that relate to the whole organisation should be set
by the top management team
• It is important that objectives set for the whole organisation,
functions and levels are documented
 Planning
Importance of planning
Setting health and safety objectives
• Legal and organisational commitments should be stated in the
health and safety policy and translated into organisation-wide,
functional and level based objectives
• The objectives should express the actions required that will lead
to the reduction in accidents
• Objectives should include consideration of technological options
• Good objectives will also reflect the organisation’s financial,
operational and business requirements and take into account the
views of interest parties
 Planning
Importance of planning
Examples of health and safety targets
• To reduce the number (or percentage or rate) of accidents or
injuries
• To reduce the number (or percentage or rate) of ill-health
• To increase training hours for employees
• To increase inspections (and/or audits) frequency
• To increase communication and consultation with employees
• To increase promotional activities for health and safety
• To conduct emergency drills
• To conduct health conservation programs
 Planning
Principles and practice of risk assessment
Meaning of hazard and risk and risk assessment
Hazard
• “Something that has the potential to cause harm (loss)”
 Planning
Principles and practice of risk assessment
Meaning of hazard and risk and risk assessment
Hazard
Hazards can include:
• Articles, for example, tools such as chisels
• Substances and chemicals such as pesticides or cement
• Plant or machines, for example, mobile cranes or a fixed grinder
for sharpening tools
• Methods of work, for example, production line workers or
workers at height
• The working environment, for example, cold environments such
as a frozen food storage warehouse or hot and humid ones such
as an industrial laundry
• Other aspects of work organisation such as shift or lone working
 Planning
Principles and practice of risk assessment
Meaning of hazard and risk and risk assessment
Risk
• “The likelihood of potential harm from a hazard being
realised”
 Planning
Principles and practice of risk assessment
Meaning of hazard and risk and risk assessment
Risk
• The risk from a substance is the likelihood that it will harm a
person in the actual circumstances of use and the severity of
the harm it will cause
• This will depend upon:
- The hazard presented by the substance
- How it is controlled
- Who is exposed, to how much and for how long, and
what they are doing
 Planning
Principles and practice of risk assessment
Meaning of hazard and risk and risk assessment
Risk assessment
• “To evaluate the risk(s) arising from the hazard(s),
identifying preventive and protective measures, taking
into account the adequacy of any existing controls, and
deciding whether or not the risk is acceptable”
 Planning
Principles and practice of risk assessment
Objectives of risk assessment; prevention of
workplace accidents
Risk assessment involves:
1) The identification of hazards
2) Identification of the population at risk
3) The evaluation of the risks from the hazards
4) Recording significant findings and the implementation of them
5) Reviewing the risk assessment and updating it if necessary
 Planning
Principles and practice of risk assessment
Distinction between different types of incident
Injury accident
• Some injury effects will be acute in nature
• Such as strains or sprains of muscles or ligaments caused by
inappropriate lifting of heavy items
• Other common injuries include:
- Cuts
- Burns
- Bruises
 Planning
Principles and practice of risk assessment
Distinction between different types of incident
Dangerous occurrence
• RIDDOR 1995 lists incidents that must be formally reported to the
relevant enforcement agency
• Significant events (the collapse of, the overturning of, or the failure
of):
- Load-bearing part of any lift or hoist
- Mobile powered access platform
- Access cradle or window-cleaning cradle
- Excavator
- Pile-driving frame or rig (overall height of more than 7
metres)
- Fork lift truck
- A scaffold of more than five metres high
 Planning
Principles and practice of risk assessment
Distinction between different types of incident
Near-miss
• A near-miss is classified as one type of event under the
term incident:
• “An unplanned, uncontrolled event which led to, or
could have led to loss”
 Planning
Principles and practice of risk assessment
Distinction between different types of incident
Accident ratio study

10

30

600
Source: Frank Bird
 Planning
Principles and practice of risk assessment
Criteria for a ‘suitable and sufficient’ risk assessment
5 steps to risk assessment

Source: ILO OSH management system: a tool for continuous improvement

 Planning
Principles and practice of risk assessment
Identifying hazards
Sources and form of harm
Sources of hazard may be related to:
• People - may carry infections or be violent
• Equipment - mechanical or electrical hazards
• Materials - may be sharp, heavy or toxic
• Environment - height or slipperiness
• Systems/situations - the way work is carried out may put
undue pressure on a worker
 Planning
Principles and practice of risk assessment
Identifying population at risk
General groups at risk
• This category includes vulnerable people that might be at risk
from a particular hazard
• For example, women of childbearing age may be deemed to
be at risk from exposure to the hazards presented by lead
• Other at risk groups could be:
- The public
- Young persons
- People with health conditions
- Workers that have come from other countries where
language or work practices may be different to the UK
 Planning
Principles and practice of risk assessment
Identifying population at risk
Specific groups at risk
• Operators
• Maintenance staff
• Cleaners
• Contractors
• Visitors/public
 Planning
Principles and practice of risk assessment
Identifying population at risk
Precautions for Visitors
• Measures such as visitor identification by the issue of badges with a
routine for signing in and out;

• Prior notification to those members of staff to be involved in the visit;

• Provision of information to the visitors in suitable languages on hazards

and emergency procedures;

• Explanation of specific site rules, for example, restricted areas and the
wearing of personal protective equipment;

• Clear marking of pedestrian routes;

• Need for visitors to be escorted by a member of management or

supervisory staff.
 Planning
Principles and practice of risk assessment
Evaluating risk and adequacy of current controls
Likelihood of harm and probable severity (consequence)
1) Likelihood - take account of the circumstances in which the
hazard may be encountered and the current controls in
place
• The circumstances may relate to environmental factors that
can mask or make a hazard more obvious
• Reliance on a control like personal protective equipment
would normally increase the likelihood compared to a control
that put the hazard behind a protective barrier
 Planning
Principles and practice of risk assessment
Evaluating risk and adequacy of current controls
Likelihood of harm and probable severity (consequence)
2) Severity (consequence) - this considers the probable
outcome of contact with the hazard
• May include death, major injury, minor injury, damage to
plant/equipment/product, or damage to the environment
• It is important that this is the most probable outcome, not
possible outcome, as it may be possible to think of some
extreme circumstances that all hazards may have the
outcome of death
• The severity of contact with electricity is greatly reduced if
the nature of the hazard is that it is operating at low voltage
 Planning
Principles and practice of risk assessment
Evaluating risk and adequacy of current controls
Risk rating and prioritisation
Risk rating
• The risk rating is a combination of the likelihood and severity
(consequence) value
• Risk rating = likelihood x severity (consequence)
 Planning
Principles and practice of risk assessment
Evaluating risk and adequacy of current controls
Risk rating and prioritisation
Likelihood categories
5. Almost Absence of any management controls. If conditions remain unchanged there is
Certain almost a 100% certainty that an accident will happen (for example, broken rung
on a ladder, live exposed electrical conductor, and untrained personnel).
4. High Serious failures in management controls. The effects of human behaviour or
other factors could cause an accident but is unlikely without this additional factor
(for example, ladder not secured properly, oil spilled on floor, poorly trained
personnel).
3. Medium Insufficient or substandard controls in place. Loss is unlikely during normal
operation, however it may occur in emergencies or non-routine conditions (for
example, keys left in forklift trucks; obstructed gangways; refresher training
required).
2. Low The situation is generally well managed; however occasional lapses could occur.
This also applies to situations where people are required to behave safely in
order to protect themselves but are well trained.
1. Improbable Loss, accident or illness could only occur under exceptional conditions. The
situation is well managed and all reasonable precautions have been taken.
 Planning
Principles and practice of risk assessment
Evaluating risk and adequacy of current controls
Risk rating and prioritisation
Severity (consequence) categories
5. Major Causing death to one or more people. Loss or damage is such that it could
cause serious business disruption (for example, major fire, explosion or
structural damage). Loss/damage in excess of (£___________).
4. High Causing permanent disability (for example, loss of limb, sight or hearing).
Loss/damage in excess of (£___________).
3. Medium Causing temporary disability (for example, fractures). Loss/damage in excess of
(£___________).
2. Low Causing significant injuries (for example, sprains, bruises, and lacerations).
Loss/damage in excess of (£___________) for example, damage to fixtures
and fittings.
1. Minor Causing minor injuries (for example, cuts, scratches). No lost time likely other
than for first-aid treatment. Loss/damage in excess of (£___________) for
example, superficial damage to interior decorations.
 Planning
Principles and practice of risk assessment
Evaluating risk and adequacy of current controls
Risk rating and prioritisation
Risk prioritisation
• Risk Rating 1-9 Low
• Risk Rating 10-15 Medium
• Risk Rating 16-25 High
 Planning
Principles and practice of risk assessment
Evaluating risk and adequacy of current controls
Risk reduction through prevention and control measures
Hierarchy of control
• E liminate
• R educe
• I solation
• C ontrol
• P ersonal protective equipment
• D iscipline
 Planning
Principles and practice of risk assessment
Recording significant findings
Format
Information to be recorded - risk assessment form
No. Hazard Associated Persons Existing Consequence Likelihood Current Comments
identification risks at risk controls (severity) risk and
rating actions

Source: RMS
 Planning
Principles and practice of risk assessment
Reasons for review
Examples of circumstances that would require the review of the
validity of a risk assessment are:
• When the results of monitoring are adverse and not as expected
• A change in process, work methods or materials
• Changes in personnel
• Changes in legislation
• The introduction of new plant or technology
• New information becoming available
• As time passes
 Planning
Principles and practice of risk assessment
Reasons for review
The validity of risk assessment should be monitored through a
combination of monitoring techniques such as:
• Preventive maintenance inspections
• Safety representative/committee inspections
• Statutory and maintenance scheme inspections, tests and
examinations
• Safety tours and inspections
• Occupational health surveys
• Air monitoring
• Health and safety audits
 Planning
General principles of control and risk reduction measures
General hierarchy of control
Elimination/avoiding risks
• Avoiding risk at source is the best option for controlling risk
• Means that everyone is protected and there is no residual
risk to manage
• May be a difficult option to achieve
• Must be considered by designers at the conception stage of
a project
• Removal of the hazard in total from the working
environment should be aimed for
 Planning
General principles of control and risk reduction measures
General hierarchy of control
Reducing/substitution
• Reducing the hazard to an acceptable level by:
- substituting something less hazardous
- or reducing the strength of the hazardous material
- or reducing the quantity in use/etc
• Reduction of exposure may be achieved by keeping the
numbers at risk to a minimum
• Rotating work schedules
 Planning
General principles of control and risk reduction measures
General hierarchy of control
Engineering control
• A common engineering control involves the isolation of the
hazard from people
• Other engineering controls limit the chance or amount of
exposure to hazards
 Planning
General principles of control and risk reduction measures
General hierarchy of control
Signage, warnings and administrative controls
Administrative controls
• A safe system of work is an example of an administrative
control
• A formal procedure which results from systematic
examination of a task
• To identify all the hazards and the controls necessary for
health and safety
• Defines safe methods of working
• In some cases controlled by the use of structured checklists
that ensure steps in the system of work are carried out
• Often called a permit to work
 Planning
General principles of control and risk reduction measures
General hierarchy of control
Signage, warnings and administrative controls
Signs and warnings
• Role of safety signs and signals
• Requirements of Health and Safety (Safety Signs and
Signals) Regulations (SSSR) 1996
• Categories and features
 Planning
General principles of control and risk reduction measures
General hierarchy of control
Categories of safety signs

Source: RMS
 Planning
General principles of control and risk reduction measures
General hierarchy of control
Personal protective equipment
Requirements - PPER 1992
• Ensure PPE is suitable for hazard and person
• No PPE should be issued without adequate training/instruction
• Issue, obtain signature and record
• Set-up monitoring systems
• Organise routine exchange systems
• Implement cleaning/sterilisation
• Issue written/verbal instructions
• Provide suitable storage
 Planning
Developing and implementing a safe system of work
Confined spaces
• A confined space is not only a space which is small and
difficult to enter, exit or work in; it can also be a large space,
but with limited/restricted access
• It can also be a space that is badly ventilated, for example, a
tank or a large tunnel
 Planning
Developing and implementing a safe system of work
Confined spaces
Confined space - chamber and sewer

Source: RMS
 Planning
Developing and implementing a safe system of work
Confined spaces
Confined space - tank and open tank

Source: RMS
 Planning
Developing and implementing a safe system of work
Confined spaces
• The Confined Spaces Regulations (CSR) 1997 define a
confined space as any place, including any:
- Chamber
- Tank
- Vat
- Silo
- Pit
- Pipe
- Sewer
- Flue
- Well
 Planning
Developing and implementing a safe system of work
Confined spaces
Testing the atmosphere
The following arrangements are recommended for testing the
atmosphere of confined spaces:
• When testing for toxic atmospheres, chemical detector tubes
or portable atmospheric monitoring equipment is appropriate
• However, there may be cases requiring monitoring
equipment specifically designed to measure for flammable
atmospheres
• Only persons experienced and competent in the practice
should carry out testing and records should be kept of the result
of tests
• Personal gas detectors should be worn whenever appropriate
 Planning
Developing and implementing a safe system of work
Confined spaces
Safe access to and egress from confined spaces
The following arrangements are recommended for safe access
and egress from confined spaces:
• Openings need to be sufficiently large and free from
obstruction
• Practice drills will help to check that the size of openings
and entry procedures are satisfactory
• Where entry to a confined space is necessary, employers
will need to ensure that the necessary safety features are
followed
 Planning
Developing and implementing a safe system of work
Confined spaces
Respiratory protective equipment (RPE)
• Must be suitable
• Other equipment - ropes, harnesses, lifelines, resuscitating
apparatus, first-aid equipment, protective clothing and other
special equipment will usually need to be provided
 Planning
Developing and implementing a safe system of work
Confined spaces
Access to a confined space

Source: HSG150, HSE

 Planning
Developing and implementing a safe system of work
Confined spaces
Emergency arrangements
Emergency arrangements shall be suitable and sufficient
provided they:
• Require the provision and maintenance of resuscitation
equipment
• Require the provision and maintenance of such equipment
as is necessary to enable the emergency rescue to be
carried out effectively
• Restrict, so far as is reasonably practicable, the risks to
health and safety of any rescuer
• Shall immediately be put into operation when circumstances
arise requiring a rescue
 Planning
Developing and implementing a safe system of work
Confined spaces
Summary of main points for confined spaces
Identify the hazards, for example:
• Flammable substances
• Oxygen deficiency or enrichment
• Toxic gas, fume or vapour
• Ingress or presence of liquids
• Solid materials that can flow, for example, flour, grain, sugar
• Excessive heat
Prevent the need for entry by:
• Use of viewing panels for inspection
• Clean from outside using water jets, long handled tools
• Use vibrators to clear blockages
 Planning
Developing and implementing a safe system of work
Confined spaces
Summary of main points for confined spaces
Develop safe working practice:
• To control residual risks
• Based on a permit-to-work
Develop emergency procedures, to include:
• Means of raising the alarm
• Safeguarding the rescuers
• Fire safety
• Notifying public emergency services
 Planning
Developing and implementing a safe system of work
Confined spaces
Summary of main points for confined spaces
Provide training, to include:
• Need to avoid entry
• Hazards and precautions
• How emergencies arise
• Emergency arrangements
 Planning

Practice Question 1

Identify precautions that could be taken to help to ensure the

health and safety of visitors to a workplace
 Planning

Answer 1

• Measures such as visitor identification by the issue of badges with

a routine for signing in and out;
• Prior notification to those members of staff to be involved in the
visit;
• Provision of information to the visitors in suitable languages on
hazards and emergency procedures;
• Explanation of specific site rules, for example, restricted areas and
the wearing of personal protective equipment;
• Clear marking of pedestrian routes;
• Need for visitors to be escorted by a member of management or
supervisory staff.
 Planning

Practice Question 2

a. Outline why it is important for an organisation to set health

and safety targets
b. Identify health and safety targets that an organisation could
set
 Planning

Answer 2a

It is important for an organisation to set health and safety

targets so that:
- There are goals to aim for
- Participants have a sense of direction
- There is motivation, through structured progress and
successful achievement in meeting them
 Planning

Answer 2b
• To reduce the number (or percentage or rate) of accidents
or injuries
• To reduce the number (or percentage or rate) of ill-health
• To increase training hours for employees
• To increase inspections (and/or audits) frequency
• To increase communication and consultation with
employees
• To increase promotional activities for health and safety
• To conduct emergency drills
• To conduct health conservation programs
 Planning

Practice Question 3

a. Identify 2 examples of confined space that may be found

within a workplace
b. Describe the main factors to consider when preparing a
safe system of work for entry into a confined space
 Planning

Answer 3a

- Chamber
- Tank
- Vat
- Silo
- Pit
- Pipe
- Sewer
- Flue
- Well
 Planning

Answer 3b
• Identify the hazards, conduct the risk assessment and communicate to
the work force
• Testing the atmosphere for toxic gases or oxygen level by experienced
and competent persons
• Provide safe access to and egress from confined spaces and ensure that
openings are free from obstruction
• Provide competent safety watchman to standby outside the confined
space and record the entries and activities at the confined space
• Provide respiratory protective equipment such as full face respirators or
face mask
• Provide other equipment such as ropes, harnesses, lifelines,
resuscitating apparatus, first-aid equipment etc
• Provision for emergency procedures and arrangements, as well as
testing out with emergency drills
 Planning

Practice Question 4

a. Identify the key stages of a workplace risk assessment

b. Outline 3 reasons for reviewing a risk assessment
 Planning

Answer 4a
• Identify the hazards
• Decide who might be harmed and how
• Evaluate the risks and decide on precautions
• Record your findings and implement them
• Review your assessment and update if necessary
 Planning

Answer 4b
• A change in process, work methods or materials
• Changes in personnel
• Changes in legislation
• The introduction of new plant or technology
• New information becoming available
• After an accident or injury
 Element 5

Health and safety management

systems 4 - measuring, audit
and review
 Measuring, audit and review
Active and reactive monitoring

Approach to inspections
Frequency and type of inspection
• General workplace inspections
• Statutory thorough examination of equipment
• Statutory inspections of equipment
• Preventive maintenance inspections of specific (critical) items
• Pre-use ‘checks’ of equipment
 Measuring, audit and review
Active and reactive monitoring

Approach to inspections
Competence of inspector
• Inspections normally involve a physical examination of the workplace or equipment
• Identifying hazards and determining if they are effectively controlled
• Usually carried out by a manager, worker health and safety representative, equipment user
or technical specialist
• It is important that the inspector be competent to inspect what it is that they are inspecting
• The qualifications, knowledge, skill and experience may be set out in national legislation
 Measuring, audit and review
Health and safety auditing

Meaning of the term ‘health and safety audit’

• An audit is an exercise which determines the level of compliance
of something to a set of agreed standards
• Minimum standards may be derived from relevant legislation
• An audit may determine the extent to which an organisation is
compliant with legislation
• A health and safety management system audit is that part of the
management system that subjects the other components to a
rigorous, systematic examination
 Measuring, audit and review
Health and safety auditing

Distinction between audits and inspections

• Audits assess the health and safety system
• Active monitoring methods like inspections may be examined
• The audit would identify if the right people were conducting them
• Inspections usually involve the examination of the workplace,
work equipment or work activities
• Inspections are concerned with hazard identification in the
workplace
• Auditing relates to the systems that manage the prevention and
control of hazards
 Measuring, audit and review
Health and safety auditing

Using audit findings to improve health and safety

performance
• Audit constitute the ‘feedback loop’ which enables an organisation to
reinforce, maintain and develop its ability to reduce risks
• Audit findings provide managers with information on how effectively
plans and the components of the health and safety management system
are being implemented
• Audit findings provide a check on the adequacy and effectiveness of the
management arrangements
• Audit findings show whether adequate risk control systems exist, are
implemented, and consistent with the hazard profile of the organisation
• Audit findings show whether appropriate workplace precautions are in
place
 Measuring, audit and review
Health and safety auditing

Using audit findings to improve health and safety

performance
• Feeding information on success and failure back into the system is an
essential element in motivating employees to maintain and improve
performance.
• Successful organisations emphasise positive reinforcement and
concentrate on encouraging progress on those indicators which
demonstrate improvements in risk control.
• The audit findings may be used to develop corrective and preventive
actions for remedy to sub-standard performance identified during the
audit
• The audit findings may be used for communication to the workforce as
training and educational material.
 Measuring, audit and review
Investigating incidents

Incident investigation as a reactive monitoring measure

Why investigate?
Reasons for investigating accidents:
• Humane
• Economic
• Legal
 Measuring, audit and review
Investigating incidents

Incident investigation as a reactive monitoring measure

Role of investigation
• Prevention of recurrence
• Establish legal liability
• Data gathering
• Identification of trends
• Discovery of underlying causes
 Measuring, audit and review
Investigating incidents

Incident investigation as a reactive monitoring measure

Function of investigation
• Need to establish the causes of an accident
• Identify weaknesses in current systems
• Determine economic losses
• Recommend actions to prevent a recurrence
• Determine compliance with statutory requirements
• Improve staff relations
• Acquire statistics
• Prepare for criminal/civil action and provide insurance/worker
compensation data
 Measuring, audit and review
Investigating incidents

Different types of incident

• Injury - “physical harm or damage done to or suffered by a
person”
• Ill-health - “harm to a person’s health caused by their work”
• Dangerous occurrence - “an incident not resulting in personal
injury reportable to the enforcing authority”
• Near-miss - “an accident that results in no apparent loss”
• Damage only - relate to those events that could have caused
harm to people but only cause damage to property, equipment,
the environment or production losses
 Measuring, audit and review
Investigating incidents

Interviews, plans, photographs, relevant records and

checklists
Relevant records
• Opinions
• Experiences
• Observations
• Measurements
• Check sheets
• Work permits
• Risk assessments
• Method statements
• Training records
 Measuring, audit and review
Investigating incidents

Immediate causes and root causes

Root or underlying causes
Examples
Immediate cause:
• Inadequate or non-existent safety devices
• Poor housekeeping
• Loose clothing
• Machine malfunction
• Operator error
 Measuring, audit and review
Investigating incidents

Immediate causes and root causes

Root or underlying causes
Examples
Root (underlying) cause:
• Poor design of guard
• Inadequate training, instruction and/or supervision
• Failure to provide appropriate PPE
• Inadequate maintenance
• A range of personal factors
 Measuring, audit and review
Investigating incidents

Immediate causes and root causes

Root or underlying causes
Examples
Immediate cause:
• Oil leaking onto the floor
• Floor remaining in a slippery condition
• Abandoned pallets blocking the walkway
• Inadequate lighting at the scene of the accident
• Worker was wearing unsuitable footwear and not paying
attention where putting feet
 Measuring, audit and review
Investigating incidents

Immediate causes and root causes

Root or underlying causes
Examples
Root (underlying) cause:
• The absence of adequate risk assessments and safe
systems of work
• Failure to introduce procedures for routine maintenance of
equipment/cleaning up spillages
• Poor warehouse design/inadequate walkways
• Failure by management to monitor working
• Little training or instruction of employees
 Measuring, audit and review
Review of health and safety performance

Maintenance of records of management review

• Every organisation must establish and maintain procedures
for the maintenance of records of the management review
• They should be maintained as appropriate to the system and
the organisation
• Provides evidence of compliance with legal requirements
• Records provide the necessary evidence that effort is being
applied to ensure health and safety performance levels are
being met
• They should be legible, identifiable and traceable to the
particular review activity in question
 Measuring, audit and review
Review of health and safety performance

Role of senior management

• The senior management of the organisation carry the
responsibility, on behalf of the organisation, to ensure
reviews of performance are conducted
• This will mean that the top manager (Chief Executive or
Managing Director) has overall responsibility, but the senior
management team (Board) also share responsibility
• The role of the senior management team is to treat health,
safety and the environment as equal partners to other
business issues such as production (service) and quality
• The review should assist in the establishment of goals and
clear measurable objectives to achieve such goals
 Measuring, audit and review

Practice Question 1
Outline the key features of:
i. A health and safety inspection
ii. A health and safety audit
 Measuring, audit and review

Answer 1
i. A health and safety inspection
• Inspections normally involve a physical examination of the
workplace, work equipment or work activities
• Inspections are concerned with hazard identification in the
workplace and determining if they are effectively controlled
• Statutory inspections of equipment
• Preventive maintenance inspections of specific (critical) items
ii. A health and safety audit
• An audit is an exercise which determines the level of
compliance of something to a set of agreed standards
• Audits assess the health and safety system
• Auditing relates to the systems that manage the prevention
and control of hazards
 Measuring, audit and review

Practice Question 2
Explain how the findings of an audit may be used to
improve health and safety performance
 Measuring, audit and review

Answer 2
• Audit constitute the ‘feedback loop’ which enables an
organisation to reinforce, maintain and develop its ability
to reduce risks
• Audit findings provide managers with information on how
effectively plans and the components of the health and
safety management system are being implemented
• Audit findings provide a check on the adequacy and
effectiveness of the management arrangements
• Audit findings show whether adequate risk control systems
exist, are implemented, and consistent with the hazard
profile of the organisation
• Audit findings show whether appropriate workplace
precautions are in place
 Measuring, audit and review

Answer 2
• Feeding information on success and failure back into the
system is an essential element in motivating employees to
maintain and improve performance.
• Successful organisations emphasise positive reinforcement
and concentrate on encouraging progress on those
indicators which demonstrate improvements in risk
control.
• The audit findings may be used to develop corrective and
preventive actions for remedy to sub-standard
performance identified during the audit
• The audit findings may be used for communication to the
workforce as training and educational material.
 Measuring, audit and review

Practice Question 3
Identify possible sources of information that could be
used when investigating the increase in the workers
absent from work.
 Measuring, audit and review

Answer 3
• Opinions
• Experiences
• Observations
• Measurements
• Check sheets
• Work permits
• Risk assessments
• Method statements
• Training records
• Medical records
• Leave application records
 Measuring, audit and review

Practice Question 4
Outline reasons why it is important for an organisation
to investigate ‘near miss’ incidents
 Measuring, audit and review

Answer 4
• A near-miss is defined as “An unplanned, uncontrolled event
which led to, or could have led to loss”
Reasons for investigating near miss incidents:
• Prevention of recurrence
• Establish legal liability
• Data gathering
• Identification of trends
• Discovery of underlying causes
• Need to establish the causes of an accident
• Identify weaknesses in current systems
• Determine economic losses
• Determine compliance with statutory requirements
Practice Time
 Foundations in health and safety

Practice Question 1

What is the meaning of the following terms:

a. Health (2)
b. Safety (2)
c. Welfare (2)
d. Environmental protection (2)
 Foundations in health and safety

Practice Question 2

Outline reasons for promoting and maintaining good

standards of health and safety in the workplace. (8)
 Organising

Practice Question 1

a. Identify 3 types of emergency in the workplace that may

require the evacuation of workers (3)
b. Outline why it is important to develop emergency
procedures in the workplace. (5)
 Organising

Practice Question 2

a. Give the meaning of the term ‘ health and safety culture’.

(2)
b. Identify factors that could have contributed to the
deterioration of the health and safety culture within the
organisation. (6)
 Planning

Practice Question 1

Identify precautions that could be taken to help to ensure the

health and safety of visitors to a workplace (8)
 Planning

Practice Question 2

a. Outline why it is important for an organisation to set health

and safety targets (2)
b. Identify health and safety targets that an organisation could
set (6)
 Planning

Practice Question 3

a. Identify 2 examples of confined space that may be found

within a workplace (2)
b. Describe the main factors to consider when preparing a
safe system of work for entry into a confined space (6)
 Planning

Practice Question 4

a. Identify the key stages of a workplace risk assessment (5)

b. Outline 3 reasons for reviewing a risk assessment (3)
 Measuring, audit and review

Practice Question 1
Outline the key features of:
i. A health and safety inspection (4)
ii. A health and safety audit (4)
 Measuring, audit and review

Practice Question 2
Explain how the findings of an audit may be used to
improve health and safety performance (12)
 Measuring, audit and review

Practice Question 3
Identify possible sources of information that could be
used when investigating the increase in the workers
absent from work. (8)