NEBOSH IGC Summary – Week 1 (IG 1)

Element 1: Why we should manage

workplace health & Safety
Health: Absence of diseases. PLUS physical, mental & social wellbeing.

Safety: Absence of uncontrolled hazards, unacceptable risks &

significant risks = Controlling all hazards. [FYI: Please note that this is
not just the absence of accidents, but also the result of all persons
taking positive actions to identify accident causes & take suitable
preventative measures].

Welfare: Looking after people’s basic needs; providing welfare facilities

e.g.: food, water, bathrooms (sanitary conveniences), accommodation
including adequate lighting, ventilation, lockers, changing rooms, resting
& eating facilities.

Environmental protection: Measures used to prevent harm to the

environment of the workplace & to the surroundings of the organisation
& the whole world including air, water, land and natural resources, flora,
fauna and human beings and their inter-relationships.

Hazard: Something with the potential to cause loss or harm of any kind
such as: injury to people or damage to equipment.
[FYI: Please note that hazard can include articles, substances, plant or
machines, methods of work, the working environment and other aspects
of work organisation]
Example: Electricity, Noise, Vibration, Radiation, or Working at height.

Risk: Combination of the likelihood of harm to occur and the severity of

that harm – this harm could be injury to people or damage to equipment
(Risk = Likelihood X Severity)

Accident: An unwanted & unplanned event which results in a loss or

Harm of any kind such as: injury to people or damage to equipment.
Example: An employee tripped over a cable, fell down & broke his leg.

Occupational Accident / ‘work-related’ Accident: An unwanted and

unplanned event which results in Loss or harm of any kind such as:
injury to people, damage to equipment, and it happened OUT OF or IN
THE COURSE OF WORK.
Example: An employee tripped over a cable inside the workplace; fell
down and broke his leg.
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NEBOSH IGC Summary – Week 1 (IG 1)

Near miss: Unwanted & unplanned event that has the potential to
cause loss or harm of any kind such as: injury to people or damage to
equipment, BUT it did NOT cause ANY kind of loss at all.

Example: An employee tripped over a cable, fell down BUT without any
harm or loss at all.

 Why consider near misses

Near misses indicate that the potential for serious accidents is present
and what happened this time without any loss could result next time in
any harm or loss, so the near miss should be reported, recorded and
investigated and proper action should be taken to prevent its
reoccurrence and prevent it from becoming an accident in the future.

Dangerous Occurrence / HiPo: Unwanted & unplanned event that had

a HIGH potential to cause a SEVERE loss of any kind such as: severe
injury, death to people or severe damage to equipment BUT it did NOT
result in ANY kind of loss whatsoever (Defined under national laws &
regulations)

Example: big load dropping from a crane just missing a large group of
workers without any injuries to them & without any damage to the load
or the crane; No loss or harm whatsoever.

Incident: an unwanted & unplanned event that has caused OR could

have caused loss or harm of any kind such as: injury to people or
damage to equipment (Incident includes ALL of the previous terms)

Accident Triangle (Safety Pyramid) by Frank Bird (1969)

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NEBOSH IGC Summary – Week 1 (IG 1)

Why manage health & safety (Arguments Reasons / for

maintaining good level of safety in any organisation)  FLM

o Moral reasons / Arguments:

Duty of care: it is the duty / responsibility of the company to care

about people; by providing safe workplace, protect them from any
harm & prevent their suffering; as more than 400 million of
employees die & suffer accidents and diseases every year. Also
to improve the morale / motivation of the employees.

Health & Safety Morals is a Crucial

o Legal & Social reasons / Arguments:

- It’s a legal requirement & social expectation to manage health

And safety.

- To avoid prosecutions & legal actions against the company

Such as fines, penalties, or imprisonment.

o Financial reasons / Arguments:

The financial or economic side is very important, working safely is

the best investment, it provides the business with a competitive
edge, and it ensures business continuity; increasing production
and avoiding any delay, disruption, inconvenience, or disturbance
caused by accidents and sickness.

Also, the organization will enjoy the economic benefits from the
highly motivated workforce that could result in increased rate and
quality of products and services.

Importantly, profits and bonuses can be wiped out easily by the

large costs associated with even one workplace accident, and
Managing health & safety will prevent or reduce the enormous
COSTS of accidents such as 

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NEBOSH IGC Summary – Week 1 (IG 1)

 COSTS of accidents:

1- Stopping the work / lost working time / work delays

2- Loss of products & raw material
3- Repairs & replacement of damaged equipment
4- Cleaning & repairing the site / plant
5- Cost & time of accident investigation
6- Compensation payment to the injured person
7- Sick leave payment
8- Medical expenses e.g. First aid, hospitalization & surgical
operations
9- Legal expenses e.g., lawyers’ fees, fines & penalties
10- Replacement & retraining of injured workers
11- Extra wages, overtime payments, temporary workers
12- Decreased productivity due to the decreased morale of
the employees
13- Increase of insurance premiums
14- Loss of business reputation losing future contracts,
Customers & clients

When an accident occurs, there are two types of losses that the
organisation may face (two types for the costs mentioned above):

• Direct costs (insured) - the measurable costs arising directly from the
accident.

• indirect costs (uninsured) - those which arise indirectly as a

consequence of the event, Indirect costs may be hard to identify and
they are often difficult to quantify accurately.

These are only financial costs. There is no way to know the value of the
quality of life lost to injuries and illnesses.

→ please note that financial arguments are NOT only the costs of
accidents in this page but also what is mentioned in the previous page.
_________________________________________________________

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NEBOSH IGC Summary – Week 1 (IG 1)

Types of Laws: Civil and Criminal

Aims (Objectives):-

Aim of Civil law: To compensate an individual OR organisation for loss

suffered such as injury, death or damage to property.
[Please note that Compensation is something, typically money, awarded
to someone as a recompense for loss, injury, or suffering.]

Aim of Criminal law: To punish an individual OR organisation for

behaving in a way that the society decided it’s unacceptable,
punishment such as: fines, penalties or imprisonment.

• In the criminal law; the state must prove its case “Beyond
reasonable doubt”
_________________________________________________________

TWO types of Civil law:

 1- Fault Liability Civil Law: THREE standard conditions

required to win a case of negligence against an employer;

1- Duty of care owed by the defendant (such as employer) to the

claimant (the injured party such as worker): To prove that it’s the
duty of the company to care about the claimant & protect them
from harm by providing safe work place, safe tools & equipment.

2- This duty of care was breached: To prove that the company didn’t
provide reasonable care / enough protection for the claimant. This
duty could be providing training or providing PPE.
Example: Not providing the worker with the required Personal
Protective Equipment (PPE) such as goggles.

3- This breach caused the loss: To prove by an evidence (such as

medical report) that the loss suffered was caused directly by that
breach e.g. Not providing goggles led to eye injury

 2- No Fault Liability civil law (Also called Strict liability,

absolute liability or vicarious liability) :

It’s assumed that the employer is liable and the compensation is paid
accordingly.

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NEBOSH IGC Summary – Week 1 (IG 1)

Frameworks / Legal Models for regulating the Health & Safety

1- European model (Goal Setting)

The goal-setting regime allows flexibility in safety, allowing
those responsible to use their knowledge of their activities to
design the best control measures.

2- American model (Prescriptive)

In a prescriptive regime, the legislation is couched in terms of
rules which MUST be followed - not flexible.

3- Common model by the ILO (International Labour

Organisation) : producing Conventions (Mandatory) such as
C155 and Recommendations (Non mandatory) such as R164
www.ilo.org

Reasons for Variation of level of enforcement between countries

(Reasons for difference in legal implementation)

o Different legal systems & standards (the legal model or

framework for regulating safety)
o Different laws & legislations (The details of the law and its
articles)
o Varying degree of reporting to enforcing authorities (So the
enforcers are able to investigate accidents and implement law)
o Funding & other resources of enforcement authority (such as
financial recourses, time, transportation & all required tools)
o Competence of the enforcers & their number (KATE - needed for
proper implementation of the law)
o Different penalties for violations (Deterrent punishment should
prevent anyone from breaking the law)
o Religious beliefs, level of education & safety culture (People
could break the law if it is opposing their beliefs or if they don't
think it's useful to follow the regulation)
o Degree of monitoring (The extent of measuring the safety
performance of the organisations)
o Economic climate and Political pressure (Liquidity as well as
pressure groups could affect the enforcement)
o Corruption in the society (bribes and kickbacks leading to
breaking the law without being punished and so the law will be
just on the paper not followed by anyone)

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NEBOSH IGC Summary – Week 1 (IG 1)

Competence (KATE)

K  Knowledge or Qualifications (being certified) in the subject

A  Ability or Skills (mental and physical skills enough to do the job)

T  Training required for the work

E  Practical experience in the field

PLUS Knowing their limitations (They should know when to stop and
ask for help or advice)

Checks to assess competence

- Qualifications & certificates

- Membership of professional/trade organisations
- Level of training
- Undertaking written and/or practical assessments
- Seeking references, recommendations or evaluations

When is additional training needed?

The 4 points mentioned in page 15

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NEBOSH IGC Summary – Week 1 (IG 1)

Sources of Health & Safety Information

(Sources of guidance = Where you can find information)

Internal

o Risk assessments & JSA (Job Safety Analysis) .....

o Policies & procedures .....
o Audit / Inspection reports .....
o Health and safety committee .....
o Health & Safety practitioners e.g. Safety advisors .....
o Health & Safety representatives .....
o Workers & supervisors .....
o Maintenance logs of equipment .....
o Training records of the workers .....
o Accident & ill health records .....

External

o Government bodies & National safety organisations .....

o NGO (Non Governmental Organisations) .....
o Suppliers, Designers and manufacturers .....
o Consultants, experts and specialists .....
o Insurance companies .....
o Trade unions .....
o Internet (trusted websites only) .....
o Laws & local legislations .....
o International standards e.g. OSHA, HASAWA (Health & Safety
At Work Act), EU (European Union) and publications by HSE
(Health & Safety Executive)

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NEBOSH IGC Summary – Week 1 (IG 1)

Roles, Responsibilities or Duties of Employers (Duty of care)

1- Duty of care: Protecting the workers and all affected people from
harm by Providing Safe working environment e.g. safe access
and egress , Safe systems of work , Safe plant and equipment
2- Providing (it is) : Information about the hazards, Training on the
job, clear Instructions & adequate Supervision
3- Consultation with the employees (getting feedback)
4- Providing Welfare facilities e.g. food, drinking water, bathrooms ,
& accommodation
5- Providing adequate Emergency procedures, drills & equipment.
6- Providing Suitable PPE (Personal Protective Equipment) and not
charging the employees for them

Duties of employees (Workers)

1- Duty of care towards themselves and towards their colleagues i.e.

not to put themselves or their colleagues at risk.
2- Attend training sessions provided by the employer & follow the
instructions.
3- Cooperate actively with each other & with their employer AND
Report any incident happening in the workplace.
4- Using the welfare facilities in a good way & keep them in a good
condition.
5- Follow the emergency procedures and participate in any practices
or drills planned by the employer.
6- Using the PPE and the equipment in the same way they were
trained for, maintain them and keep them in a good condition.

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Duties of Designers, Manufacturers and Suppliers

o Ensure equipment & substances are safe when being used,

stored or transported
o Deliver the product on time and per the client’s specifications
o Carry out any necessary tests, continuous researches and update
the client
o Provide information e.g. Manuals, catalogues & MSDS
o Provide training and maintenance if needed and take reasonable
steps to provide further information if new serious risks appear

Duties of Health & Safety Practitioner such as safety Advisors,

safety officer, safety coordinator, safety manager or any other
employee with primary health & safety function:

o Be competent enough to do their job (KATE ...)

o Maintain adequate information systems, training, risk assessment
o Establish and maintain procedures for reporting, investigating,
recording and analysing all incidents
o Be able to interpret the law applying to their organisation in order
to give the legal advice to the management
o Have good communication skills & good relationships inside &
outside the organisation (with enforcing authorities, insurance
company, contractors, consultants & clients)

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NEBOSH IGC Summary – Week 1 (IG 1)

Managing contractors / Proper approach for effective Management

of Contractors (5 steps)

1- Select the suitable contractor; considering factors such as

(Criteria to assess the safety competence of contractor) :
- Previous experience in the type of work and industry (To make
sure they have done the work before safely and effectively)
- Competence of the workers (KATE .....)
- Suitable references / Reputation among previous & current
customers (Having an evidence on safe effective work done
before)
- History of Enforcement (History of legal actions taken against
the contractor by the enforcement authority)
- Quality and content of Health & Safety policy (As an indication
for the health & safety performance of the contractor)
- Quality of Risk assessments, Permit to work system and safe
system of work for the activities (to ensure safe work)
- Accident and ill-health records (History of accidents & near
misses of the contractor and how they deal with it to know
whether they care about safety or not)
- Records of equipment’s maintenance (a maintenance log to
ensure suitable tools to do the job safely)
- Accreditation or Membership of trade / professional
international bodies (such as IOSH or ISO)
- Their arrangements for selecting their sub-contractors (To
make sure they have a suitable criteria to select their sub-
contractors who will sure affect the client)
- Insurance of equipment & people (To ensure business
continuity and avoid interrupting the work)

2- Plan the job: deciding the scope of work , duration of the job,
number & type of equipment and tools used in the job & policies
and standards used in the job)

3- Control contractor on site: by keeping open channels of

communication with the contractor such as radio, phone calls,
emails or a client representative on site with the contractor.

4- Checking contractor’s work: measuring the performance of the

contractor by carrying out regular audits & inspections by
competent people.

5- Review contractor’s performance: Producing action plan with

recommendations for improvements, assigned to responsible
persons to be followed up within a time frame.

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NEBOSH IGC Summary – Week 1 (IG 1)

Element 2: How health and safety

management systems work and what they
look like
o Components / elements / sections of the health & safety
management system: HSG 65 / ILO OSH 2001 / OHSAS 18001
"ISO 45001" are POPIMAR based on PDCA

1) Policy:
- A business plan for health & safety to prevent / reduce loss in an
organisation and improve the safety performance and motivate
the staff to behave safely.
- Consisting of: Statement of intent, Organisation & Arrangement

2) Organising:
o Identify the health & safety roles & responsibilities of everyone in
the company ( who does what ) e.g. Job descriptions
o Identify Channels of communication within the organisation :chain
of command ( who is reporting to whom) e.g. Organisational chart

3) Planning 4) Implementation: Identify hazards, assessing risks,

and decide how risks can be eliminated or controlled, and Set
objectives & standards against which performance can be
measured.
This should be implemented & enforced all over the organisation

5) Monitoring (Measuring performance): Measure health & safety

performance to determine the extent to which health & safety
policy and its objectives are being implemented, Monitoring
should be both active (before the accident measuring the
progress) e.g. Audits AND reactive (after the accident measuring
the failures) e.g. Accident investigation

6) Audit: Systematic critical examination of the whole health &

safety management system to identify the weaknesses and
needed corrective actions, by ensuring UAE , using 3 evidences:
inspection (physical observation), documents checks & staff
interviews

7) Review: Analysing data gathered through monitoring to see

whether performance is adequate or not, AND developing the
action plan and recommendations needed for improvements
Which should be assigned to the responsible persons to be
Followed up within time frame.
See the diagram next page 
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NEBOSH IGC Summary – Week 1 (IG 1)

PDCA and POPIMAR

Key Elements of a Health &

Safety Management System HSG 65 (HSE 2003)

Policy (Plan)

Organising (Plan)

Auditing Planning & Implementing (DO)

(Check)

Measuring performance (Check)

Reviewing performance (Act)

POPIMAR and PDCA

- Policy  (P of PDCA)
- Organising  (P of PDCA)
- Planning and Implementing  (D of PDCA)
- Evaluation: Monitoring, Audit and investigation  (C of PDCA)
- Review: Action for improvement; preventive and corrective action;
(Continual improvement)  (A of PDCA)

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NEBOSH IGC Summary – Week 1 (IG 1)

What is a health and Safety policy: A business plan for health &
safety to prevent / reduce loss in an organisation and improve the safety
performance and motivate the staff to behave safely.

The policy is consisting of 3 sections or elements

1) Statement of intent (Policy statement):

It is a one side of A4 page, usually dated and must be signed
(authorized) by the most senior manager.
The aim / purpose of statement of intent is:
 Comply with the law as it’s a legal requirement to have a
written statement establishing the importance of health and
safety in the organisation.
 Showing the commitment of the top management towards
the continual improvement of health & safety
 Providing the general health & safety objectives of the
organisation

2) Organisation:
 Identify the health & safety roles and responsibilities of
everyone in the organisation ; who does what (e.g. Job
descriptions)
 Identify the channels of communication within the
organisation ; who is reporting to whom (e.g. Organisational
chart)

3) Arrangements:
Showing how the policy will be implemented, By Identifying the
practical means for achieving the general Health & Safety
objectives identified in the statement of intent.

Contents of Arrangements Section

Risk assessment procedures .....
Inspections & audits (Frequency & the forms used) .....
Emergency response plan (Evacuation, emergency procedures & drills)
Permit to work procedures .....
Confined space entry .....
Driving .....
Hot work .....
Safe use of DSE .....
Management of contractors .....
Safety of visitors .....
Handling of chemicals / hazardous substances .....
Substance misuse / alcohol & drugs policy .....
Training .....
Personal Protective Equipment (PPE): provision & use .....

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NEBOSH IGC Summary – Week 1 (IG 1)

How to write your policy according to HSE (Health and safety Executive)
Your policy should cover three areas:

Part 1: Statement of intent

State your general policy on health and safety at work, including your
commitment to managing health and safety and your aims. As the employer
or most senior person in the company, you should sign it and review it
regularly.

Part 2: Responsibilities for health and safety

List the names, positions and roles of the people in your business who have
specific responsibility for health and safety.

Part 3: Arrangements for health and safety

Give details of the practical arrangements you have in place, showing how
you will achieve your health and safety policy aims. This could include, for
example, doing a risk assessment, training employees and using safety signs
or equipment.

_________________________________________________________

When to review the Policy / Reasons to review the policy:

(The 4 points)
1- If the policy is no longer valid e.g. after a major or repeated
accident or ill health, increase in number of accidents or
worsening in trends of accidents.
2- After a major change, such as: new activity, new working method,
new technology used or new tools / equipment used in work, new
information becomes available, change in the structure of the
organisation or new top management (CEO) or new legislation in
the country.
3- As a result of monitoring or reviewing the health & safety
performance i.e. if recommended by an Audit, enforcer or
insurance company.
4- Periodically; after a reasonable period of time e.g. annually.

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NEBOSH IGC Summary – Week 1 (IG 1)

Causes of ineffective health & safety policy:

o No visible leadership and no management commitment towards

health & safety (Managers are not leading by example; they are
NOT doing what they are asking the employees to do)
o No SMART objectives set to implement policy (there's nothing for
the employees to aim for and there's no follow up)
o Aims and objectives not clearly understood by employees (and
they will not be able to implement the policy)
o No monitoring for achieving the objectives (so; there's no way to
find the gaps and enable improvement)
o Health & safety not given priority against other business needs
like production (poor safety culture of the organisation)
o Poor channels of communication (Leading to confusion or lack of
feedback from the staff)
o Low morale for the employees (So there's no motivation to
implement the policy)
o Inadequate resources to implement action e.g. financial, time,
equipment or competent people
o Frequent changes in the organisation (changes in top
management leading to conflicts causing confusion to workers)
o Too much emphasis on employee responsibilities (ignoring the
important role for the management)
o Management unaware of their health and safety role (No
management training to achieve the policy objectives)
o If the policy is not complying with the law or local legislations or
the international standards
o No review for the policy whenever needed (whether periodically
or after any change such as using new equipment or new working
method)

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NEBOSH IGC Summary – Week 1 (IG 1)

Element 3: Managing risk – understanding

people and processes
Good Health & Safety performance is depending on
 Hardware (Safe tools & equipment)
 Software (Safe working procedures / Safe System of Work SSOW)
 Human factor (Competent worker)

Health & Safety culture is “A concept that includes the values, beliefs
and principles that serve as a foundation for the safety management
system and includes the set of practices and behaviours that exemplify
and reinforce those basic principles”

OR Health & Safety Culture is “the way safety is recognised, valued

and prioritized in an organization – indicating how an organization /
person behaves when no one is watching !!!"

indicators of health & safety culture & performance in organisation

Also called Key Performance Indicators (KPIs):

They are measurable values used to track and determine the health &
safety progress on specific objectives (Tokenism is very dangerous!)

The health & safety indicators include:

Leadership & Management commitment,

Legal compliance,
Communication,
Participation and involvement,
Levels of compliance with rules and procedure,
Staff morale,
Staff complaints,
Staff turnover,
Levels of absenteeism,
Accident and Sickness rates,
Number of Reported Accidents & Incidents,
Accidents trends and rates
Lost Time Injury (LTI) Frequency Rate,
Equipment Breakdowns,
Average Overtime Hours per Person,
Medical checkups and Fitness Assessments.

These are either positive or negative indicators.

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NEBOSH IGC Summary – Week 1 (IG 1)

Benefits and Outputs of a POSITIVE health and safety culture in an

organization:

Increased levels of compliance with rules and procedure,

Improve staff morale,
Solve staff complaints which should be decreased as well,
Avoid high staff turnover,
Reduced absenteeism,
Reduced sickness rates and
Reduced accident rates

Factors that may lead to Negative culture:

Job insecurity
Reorganisation (frequent changes in the company structure)
Lack of management commitment to safety
Poor management decision making
Inadequate supervision
Poor working conditions

Internal influences on Health & safety in any organisation

(6C & 1 P)

Competence of workers (KATE…),

Commitment of the management,
Control (Precautions and measures taken to control the risk)
Co-operation between colleagues inside the organisation,
Communication both internal and external,
Culture of health & safety inside the organisation, and
Production/service demands.

External Influences on Health and Safety:

Society expectations,
Political priorities,
Economic conditions,
Legislation and enforcement,
Manufactures of Products & Equipment,
Competent Authority in the Country
National or International agencies,
Pressure groups,
Insurance Companies,
Clients,
Contractors & Suppliers,
Trade / Workers unions and
Stakeholders.

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NEBOSH IGC Summary – Week 1 (IG 1)

Why leadership is important

Effective health and safety performance comes from the top; members
of the board have both collective and individual responsibility for health
and safety. Directors and boards need to examine their own behaviours,
both individually and collectively, against the guidance given - and,
where they see that they fall short of the standards it sets them, to
change what they do to become more effective leaders in health and
safety.

Why directors and board members need to act?

 Protecting the health and safety of employees or members of

the public who may be affected by your activities is an essential part
of risk management and must be led by the board.
 Failure to include health and safety as a key business risk in
board decisions can have catastrophic results. Many high-profile
safety cases over the years have been rooted in failures of
leadership.
 Health and safety law places duties on organisations and
employers, and directors can be personally liable when these duties
are breached: members of the board have both collective and
individual responsibility for health and safety.

By following this guidance, you will help your organisation find the best ways
to lead and promote health and safety, and therefore meet its legal
obligations.

This is what health and safety leaders have to say:

 'Health and safety is integral to success. Board members
who do not show leadership in this area are failing in their
duty as directors and their moral duty and are damaging
their organisation.'
 'An organisation will never be able to achieve the highest
standards of health and safety management without the
active involvement of directors. External stakeholders
viewing the organisation will observe the lack of direction.'
 'Health and safety is a fundamental part of business.
Boards need someone with passion and energy to ensure it
stays at the core of the organisation.'
 'Board level involvement is an essential part of the 21st
century trading ethic. Attitudes to health and safety are
determined by the bosses, not the organisation's size.'

https://www.hse.gov.uk/leadership/whyleadership.htm

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NEBOSH IGC Summary – Week 1 (IG 1)

Human behaviour is influenced & affected by THREE factors:

1- Organisational factors (it is, health & safety culture of the
company, Discipline, Rewarding, communication, management
commitment, Safety Policy and adequate resources)
2- Job / Task factors (Type of work, hazards, control measures,
work procedures, environmental conditions, ergonomics, time
pressure, work load, time, duration & frequency of the job)
3- Individual / Personal factors: The following A, B and C 

 Individual / Personal Factors:

A- Physical characters (Age, height, health condition, disability and
sensory defects)
B- Social & cultural characters (Competence (KATE), Language,
level of education, health & safety culture and religious beliefs)
C- Psychological characters 

 C- Psychological characters

Attitude: - The way an individual believes they will respond in a

given situation.

Aptitude: - The natural predisposition towards an ability.

Perception: - The way in which a person interprets and makes

sense of the presented information from their surroundings using
the five senses.

Factors which may affect / influence perception

o Sensory defects e.g. hearing loss or uncorrected poor eyesight
o The nature of the hazard (being hidden or obvious)
o Lack of (it is) = incompetence of the workers (lack of KATE)
o Feel of being in control / overconfidence / over familiarity with job
o Peer group pressure (Workers affecting each other negatively)
o Confidence in others (could lead to oversight)
o Personal characteristics such as young age or disabilities
o Poor environmental factors such as poor lighting or loud noise
o Being under the influence of Drugs or alcohol (Affecting senses,
attention and reflexes)
o Fatigue & Exhaustion (cause poor concentration & poor thinking)
o Distractions / lack of concentration (not paying enough attention)

Motivation: - is the driving force behind the way a person

acts in order to achieve a goal.
EXAMPLE: Financial reward in the form of a bonus.

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Human failures:
o Errors:
 Skill based errors: Slips (attention) AND Lapses (memory)
 Mistakes: knowledge based mistakes AND rule based mistakes

o Violations: (Routine, situational & exceptional)

Causes of unsafe behaviour / Why person may fail to comply with

safety procedures:
o Unrealistic working procedures (making the worker ignore them)
o Lack of management commitment (workers following managers in
unsafe acts)
o Over confidence / Over familiarity with the job (leading to unsafe
behaviour or shortcuts)
o Repetitive or monotonous work leading to boredom (causing lack
of attention)
o Lack of motivation (and so; not following the work procedures)
o Peer group pressure (workers affecting each other and working
unsafely)
o Work stress / time pressure (not working carefully to save time)
o Fatigue and exhaustion (affecting concentration of workers)
o Being under the influence of drugs & alcohol (affecting the
workers reflexes and attention)
o Lack of (it is) / incompetence of workers OR lack of adequate
supervision
o Job insecurity (making the workers not caring about their work)
o Wilful disregard of the worker (Worker ignoring the procedures on
purpose)

Reducing human failures:

- Automate or mechanise the job (Job done automatically or by machine

instead of humans)
- Competent workers (KATE .....)
- Adequate level of supervision (To ensure following safe procedures)
- Providing the suitable tools & equipment needed for the work
- Well motivated employees to follow the rules (bonus for safe work)
- Discipline and punishment for breaking the rules
- Clear roles and responsibilities for the workers (to avoid confusion)
- Ban Drugs & alcohol in the workplace and carryout random testing for
the employees during the work time
- Adequate breaks & rest time to avoid fatigue & exhaustion
- Good environmental conditions e.g. suitable lighting, reduced noise
- Avoiding boredom & monotonous work by job rotation
- Regular medical checkup & treatment for any ill-health/sensory defects

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What motivates people / Promoting safe behaviour / improving

safety culture / improving safe performance etc.  DROFTINGS

o Discipline (NOT MOTIVATING)

o Rewarding scheme / bonus to encourage workers to comply with
safe procedures and behave safely
o Open discussions / Effective communication & consultation
(getting feedback from workers)
o Facilitate the work by providing the better resources e.g. Funding,
time, suitable & easier tools & equipment
o Provide (it is) for employees at all levels (information about the
benefits of positive culture and consequences of poor safety
culture, CONTINOUS training on how to do the job safely clear
instructions and adequate supervision (continuous till it’s
embedded in their personality)
o Involving the employees in different health & safety activities to
gain knowledge & experience (for example: participating in health
& safety committee and other safety activities)
o Establishing a NO blame culture within the organisation (so the
employees will be encouraged to participate in safety and report
accidents & near misses without being afraid of punishment)
o Giving priority to Safety NOT production (making everyone know
that safety is FIRST and give them the authority to stop any
unsafe operation - SWA = Stop Work Authority. [Pease note that
this does not mean that production is not important; on the
opposite it's what we work for, and safety is first for the sake of
production, priority is given to safety to ensure safe operation
NOT to stop production and delay work, The Goal of safety is to
have safe ongoing production as a successful system. Safety is
Successful when we have successful production; with everyone
doing their job in the safe way achieving their goals]
o Showing the management commitment (managers should be
Leading by example and doing what they are asking the
employees to do)

remember DROFTINGS
 Also: Providing the adequate resources (Financial resources,
adequate time and suitable tools),Setting SMART health & safety
objectives for all of the employees, Identifying and keeping up to
date with legal requirements, Ownership of health and safety at
every level, Identify clear health & safety responsibilities for
everyone, Learning from experience through monitoring and
reviewing the health & safety performance e.g. audits and
inspections, Job security (Job satisfaction), and Establishing
suggestions / complaints scheme

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Methods of communication

 Written
Newsletters
Emails
Meetings minutes
Memos, notices & written messages
Policies / Standards / codes of practice / Written work instructions
Notice boards (which could include visual stuff as well)

 Oral / Verbal
Team briefings
Safety Induction (orientation)
Training sessions
Safety committee meetings
Tool box talks
Verbal instructions

 Visual / Graphic
Posters
Signs
Videos
Charts (Graphs)
Hand signals

Written Communication
Advantages Disadvantages
. Written record (documented) . May not be read
. Can be referred to . may be too complex with jargon
. Can convey complex ideas . Time to produce and expensive
. Provide analysis . Tends to be formal and distant
. Many people in different locations . Does not provide direct feedback
. Can clarify / confirm oral . Difficulty to modify
. Forms basis of contracts . Does not allow for interaction &
exchange of views

Oral / verbal communication

Advantages Disadvantages
. Direct avoiding any confusion . No written record
. Close physical proximity . Difficult to control
. Provides instant feedback . May reduce the quality of
. Could be more effective decision making through lack of
. Allows contribution & Participation time
. Allows for interaction . Affected by personal Attitude

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Visual / graphic communication (such as Posters etc.)

Advantages
 Relatively Low cost & could be easily produced internally.
 Grab people’s attention if well designed with bright colours and
nice pictures.
 Very Flexible (could be displayed anywhere in the workplace)
 They are Brief (easily understood by most people)
 Overcoming language barriers (Anyone can understand it
regardless their language because posters are based on pictures)
 Will enforce written instructions (make people understand better)
 Constant reminder helping to remember the new instructions.
 Employees could be easily involved in making safety posters

Disadvantages
 May become soiled or defaced e.g. weather conditions
 Can become out of date and so giving negative message
 Need to be changed on regular basis to maintain attention
 May be seen as trivialising serious matters
 May alienate people (if offensive or bloody pictures are used)
 Provide no direct way for feedback (may not deliver message)
 Could be used by some managers to replace proper training
 Could be used by management to shift responsibility to workforce

Barriers to oral / verbal communication

The receiver
o Sensory impairment (such as hearing loss)
o Learning difficulties (can't understand quickly or from first time)
o Incompetence of the receiver (Lack of enough knowledge &
experience to understand the given instructions)
o Lack of motivation (Not interested in the message and So not
paying enough attention)
o PPE Interference (ear plugs masking the voice of the speaker)

The sender / message

o Complexity of the message: Ambiguous message, Too much
jargon (technical or advanced terms not easily understood)
o Too short or too Long / boring message
o Incompetence of sender (no enough KATE to deliver message)
o Different language, accent or dialect not understood by receiver
o Low / monotonous voice of the sender
o Lack of feedback

The place
o High noise levels covering the voice of the speaker
o Distractions (making people not concentrating)

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Safety Signs

 Prohibition (Circular, Red, white background)

Example: No smoking

 Warning (Triangular, black edging, Yellow background)

Example: Electrical hazard

 Mandatory (Circular, Blue, white symbols)

Example: Goggles must be worn

 Safe Condition (Green, White symbols)

Example: Emergency exit

 Fire (red symbols)

Example: Fire extinguisher

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Why young workers are at more risk?

o Lack of enough experience and training

o Not fully developed yet (mentally & physically)
o More likely to take risk (might be risk takers; perceiving risk as
exciting rather than dangerous)
o Easily responding to peer group pressure (easily affected by their
colleagues following them even in dangerous situations)
o Being highly motivated, over enthusiastic, highly active & full of
energy which may lead to dangerous behaviour

How to minimise risk to young workers?

o Provide extensive training sessions, simple and easily understood

to provide them with the needed knowledge & experience
o Assign a mentor or a guide to be with them at all times
o Never give them high risk jobs or assign to them high
responsibilities
o Distribute them in the work place and separate them (not to let
them work alone together to reduce the peer group influence)
o Restrict the number of working hours, avoid giving them extra
hours or overtime and ensure providing suitable PPE fitting their
size

_________________________________________________________

Personal / individual factors that might place an individual at

greater risk of harm while at work

 Incompetence of the worker (No KATE .....)

 Poor attitude to work (not caring about safety)
 Lack of motivation to work safely & follow the instructions
 Poor perception of risk (caused by overconfidence or over
familiarity with the job)
 Being easily affected to peer group influence (following others in
unsafe behaviour)
 Issues relating to physical capabilities or development (such as
lack of stature, strength &/or stamina) or Poor Physical
capabilities e.g. disability or pregnancy
 Poor health condition (Medical problems, ill health or sensory
defects such as uncorrected poor eyesight or hearing loss)
 Young age of the workers (18 to 25 years old as they are not
developed yet and could be risk takers)

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Content of Induction training programme for new employees

(information included in induction pack for an apprentice)

o Health and safety policy / Safety culture of organisation (to

highlight the importance of safety to the company)
o Emergency response plan (His or her role in case of emergency
such as firefighting and evacuation)
o Reporting procedures (How & why to report incidents (Accidents
and near misses) as well as complaints and suggestions and any
other safety concerns.
o Hazards of the workplace (and all required control measures and
precautions)
o Different specific policies such as driving, smoking, Alcohol &
substance abuse policy
o Welfare facilities such as rest rooms and break area
o High risk & restricted areas
o PPE and how to use it properly and how to maintain it
o Job related training
o Organisational chart & chain of command
o Key personnel (fire warden, first aider, health & safety
representative, health & safety manager)

*** The safety induction (orientation) for the NEW worker is one of the
most important trainings as it will form the foundation for work, it should
be covering the requirements with proper feedback from the attendees,
using all available methods of communication (Verbal, Written and
visual)

Factors to consider when preparing a Health and safety training

- Identify the training needs and targets that should be achieved

- The target trainees, their number and competence
- Training methods & the competence of the trainer (lecturer)
- How to evaluate effectiveness of training
- Location (Suitability and whether it's on site or not)
- Time available for the training
- Training aids & suitability of facilities required e.g. room size etc.
- Course rules and administration
- Previous evaluations & feedback
- Nature of the subject and its complexity

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Training that could be recommended for the different types of

workers, to improve health and safety competence:

1- Job related training e.g. Working at height& manual handling

2- Emergency response Plan (ERP) including First aid, fire fighting
and evacuation.
3- Communication skills, consultation and active listening.
4- Leadership skills for managers and supervisors
5- Reporting procedures (How and why to report all accidents and
near misses)
6- Incident investigation and fixing root causes
7- Hazard identification and risk assessment and control
8- Permit to Work (PTW) procedures
9- General Health & Safety awareness training and Benefits of
adopting positive safety culture
10- Safety induction training for all the-new comers

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Importance of planning & setting SMART Health

& Safety objectives:
SMART Objectives & Targets

Specific
Measurable
Agreed
Realistic (Achievable)
Time frame

Risk Assessment is “a logical process of collecting information &

making judgments against standards to establish whether or not risks
are adequately controlled”

Or Risk Assessment is “Evaluating & analyzing the risks arising from

hazards, and checking the existing control measures & identifying
additional controls if needed”

Or Risk Assessment is "identifying 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"

Composition of Risk Assessment team

 The risk assessment should be carried out through a team of

competent people, brain storming from the people working in the
activity being assessed, this team also include Technical
specialists, such as mechanical and electrical engineers, Line
managers responsible for the tasks or areas being assessed,
Worker safety representatives and the health & safety advisor.

*** You may refer to the risk management process and framework based on
ISO 31000: 2018 (Risk management: principles and guidelines) describes a
systematic and logical process, during which organizations manage risk by identifying
it, analyzing and then evaluating whether the risk should be modified by risk
treatment in order to satisfy their risk criteria.

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FIVE Steps of Risk Assessment (Semi-Quantitative RA)

1- Hazard identification:
Break the activity into steps and identify all hazards using sources
of information such as:
- Task observation and Workplace inspections.
- Accident, ill-health & near miss records
- Experts & workers carrying out the assessed task
- Company policies & work procedures, SDS and manuals.
- Local legislations & legal standards regarding the assessed
Activity.
 Identify both the safety hazards that might cause accidents or
physical injury (Safety hazards such as moving parts of
machinery, vehicles and potholes in a pedestrian walkway), and
also Identify the health hazards that might cause disease or ill
health (Health hazards such as asbestos, noise and repetitive
manual handling).

2- Decide who might be harmed and how:

- Consider both employees & non-employees (such as
Contractors, visitors & members of the public)
- Consider groups at special risk (such as pregnant women,
Young, old workers & disabled workers)

3- Risk evaluation AND control measures

- Estimate, analyze & rank the risk considering both likelihood
And Severity of the harm (property damage, injuries & possible
Acute and chronic health effects), Using risk assessment matrix
(Such as 5X5)
- Check the existing control measures & decide whether they are
Adequate or additional precautions are needed.

4- Record the findings:

Everything should be recorded & documented; such as
- The details & signatures of the risk assessors
- Date, time & location of the assessment
- Description of the assessed activity & types of hazards
- People who might be harmed and how they could be harmed
- Level of the risk and control measures that should be taken

5- Review the assessment and revise if necessary:

- Periodically such as annually or after any change such as new
Legislation or new equipment used in the activity which was
Assessed.

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Factors to ensure suitable & sufficient risk assessment (RA)

o Determining the appropriate risk assessment approach and

Evaluate the risk properly considering both likelihood and
Severity of the harm
o To be completed by a team consisting of competent assessors
Involving managers, workers & external experts if needed
and Ensure adequate co-ordination between assessors
o Taking account of the way the work is organised
o Ensure all hazards are identified not missing or under-estimating
any of them
o Cover all activities (routine & non-routine) and Ensure that all
aspects of work activity are covered and identified not missing
any of the steps
o Low residual risk achieved by Identifying the adequate practical
control measures (prevention and mitigation) and to Be
proportionate to the level of the risk
o Complying with the legal requirements & international standards
& Providing the necessary information, resources and support to
assessors.
o To be reviewed when needed; for example periodically or after
any change in the activity assessed like using new tools or new
technology, Ensure good monitoring of the assessment to
maintain effectiveness

 Your REAL aim while carrying out Risk assessment should be

taking practical steps to protect the workers from real harm and
suffering – not bureaucratic back covering.

Competence of Risk Assessors (KATE)

o Knowledge of process or activity being assessed & hazards

involved
o Technical Knowledge of the plant or equipment
o Good communication Skills and report writing Skills
o Ability to interpret legislation and guidance
o Practical Training & Experience in the activity assessed AND in
risk assessment techniques & hazard identification
o Knowing their limitations (They should know when to stop and
ask for help or seek advice, should never assume anything or do
something they are not sure about)
o Good attitude to health & safety

When risk assessment (RA) should be reviewed?

The 4 points mentioned in page 15

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General Hierarchy of Control / Precautions – ERIC PD

(With reference to ILO-OSH Guidelines 2001)

Eliminate:
Remove the hazard OR avoid the whole activity, Example: Get rid of
kerosene from the workplace OR avoid entering the confined space by
doing the job from outside using automated long tools

Reduce / Substitute:
Decrease the risk by decreasing: the amount of the hazardous
substance, its concentration or substitute (replace) the substance with a
less hazardous one

Isolate:
Putting barriers between the worker & the hazard
o Isolate the worker from the hazard by building a ventilated control
room so the worker will be doing the work from inside the room
isolated from the hazard
o Isolate the hazard from the worker by total enclosure of the
machine e.g. inside a glove box

Control:
o Engineering controls: technical modifications of the machine ,
preventive maintenance , extractor fans or LEV)
o Administrative controls: administration tools such as (it is) , permit
to work system , reduce the number of workers exposed to the
hazard, providing adequate frequent breaks, job rotation, reduce
the duration & frequency of exposure to the hazard.

PPE: Personal Protective equipment: The last line of defence, such as

Helmets, safety shoes & ear plugs

Discipline:
Clear rules & strict system (without any exception) where any violation
or error must be investigated and the suitable disciplinary action should
be taken e.g. warning letter; this should obtain compliance with rules
and following procedures.

 Benefits of PPE
- Often low cost
- Can be used as short term measure if the control measure is not
required for long time
- Portable for worker away from base
- Disposable PPE (single use) reduces risk of infection
- Remarkable decrease in the severity of the accident.

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Limitations of PPE (Why start with ERIC / Why PPE should be the
Last option / last resort / last line of defence)

o Does not eliminate the hazard (Passive protection only)

o Only protects the wearer (anyone else in the area isn't protected)
o Always fail to danger
o May introduce new hazards (For example: ear plugs protect from
noise but could cover or mask important alarms)
o Relies on the worker to use it (affected by human behaviour)
o Usually uncomfortable & affecting sensation or good grip
o Will provide NO protection & will be ineffective: if wrong size, if
used while damaged, if not well maintained, if not suitable for the
hazard or not worn correctly
o Management may not enforce wearing
o May lead to complacency, overconfidence or false sensation of
safety (Workers not being careful because of depending on them)
 Not only because of the above limitations; but also it’s a legal
requirement to consider PPE as last option & start with the other
control measures (ERIC)

Factors affecting the selection & wearing of PPE

- Type & nature of hazards which the PPE will protect from
- Place of use, Type of equipment & tools used while wearing PPE
- Time needed & period of use
- Good quality and to be Made to suitable approved standards
- Comfort & effect on sensation and perception
- Compatibility & Interference with other types of PPE
- Age, health condition & characters of the wearer to be suitable for PPE
and Sizes available
- Storage requirements and Maintenance needs
- Training requirements and availability
- Cost and availability in the market

Main types of PPE

 Head protection (Hard Hat, Crash helmet, Helmet with chin strap,
bump cap & hair cap / hair net)
 Eye protection (Safety glasses, goggles & face shield)
 Foot protection (Steel toe cap, Anti pierce, Anti-static & Chemical
resistant)
 Hand and arm protection (gloves made of Kevlar, stainless steel,
leather, rubber, latex, Neoprene, cotton & PVC (Poly Vinyl
Chloride)
 Body protection (Chemical & heat resistant suit, Reflective vest,
Overalls & Fire retardant aprons)
 Respiratory protection (Respirators & Breathing apparatus)

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Safe System of Work (SSOW) is “A step by step procedure for

carrying out a task safely, taking into account hazards, the risks, control
measures, equipment needed, environment, emergencies & the
competence needed by the workers”

It’s also called SOP (Safe Operating Procedures) and WI (Work

Instructions)

Job Safety Analysis(JSA) Developing safe system of work SREDIM

Select the task to be studied

Record each logical step
Evaluate the risks for each step considering MEEP
Develop a safe working procedures
Implement the system
Monitor its effectiveness
MEEP: Materials, Equipment, Environment & People

Factors that should be considered when developing and

implementing a SSOW (Safe System Of Work) for general work
activities

 Employer’s responsibility to provide safe systems of work
 Role of competent persons in the development of safe systems
 Importance of worker involvement in the development of safe
systems
 Development of a safe system of work considering Importance and
relevance of written procedures
 The distinction between technical, procedural and behavioural
controls
 Analysing tasks, identifying hazards and assessing risks
 Introducing practical control measure
 Instruction and training in the operation of the system
 Monitoring the system
 Full definition of any specific examples such as: confined spaces and
lone working and working and travelling abroad in relation to safe
systems of work.

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Permit to Work (PTW) is “A documented control system requiring

written confirmation from the authorized persons that certain actions
have been carried out to eliminate or control risks before a high risk or
non-routine activity is carried out”

Examples for high risk activities requiring Permit to work (PTW)

(Types of PTW)
Confined space entry, working on Electricity especially live work
Hot work, Mechanical lifting: working on / nearby cranes, working at
heights, excavation, working on pressurised systems

The main sections / states of a permit-to-work (PTW):

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

Permits are usually triplicate-copy documents with a unique

identification number for cross-reference purposes.

The Content / key elements of a permit-to-work include:

 A description of the task to be performed

 Date, Time & Location
 An indication of the duration of the validity of the permit
 The isolations that need to be made & the additional precautions
required
 Details & signatures of the persons authorising the work
 An acknowledgement of acceptance by the employee carrying
out the task
 The employee would then need to indicate on the permit that the
work has been completed & the area made safe in order for the
permit to be cleared (signed off)
 Detailed precautions that will be taken to carry out the job safely

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ERP (Emergency Response Plan) / Emergency procedures /

Emergency cases that might require evacuating people from the
workplace:

Importance of emergency procedures:

All organisations are required to have written emergency procedures to
comply with legal requirements, protect employees & visitors and
ensure business continuity and reduce loss.

Types / Examples of Emergency procedures / Emergency

Response Plan (ERP):
 First aid & medical evacuation
 Firefighting & evacuation
 Explosions
 Bomb threat or terrorist attack
 Man lost
 Man overboard,
 Chemical spillage
 Gas leak
 Natural phenomena e.g. Volcanoes or earthquakes
 Desert storm & other adverse weather conditions.

Aims of first aid (The main functions of first aid):-

 Preserve life of the injured person: Minimise consequences of

serious injury & provide CPR if needed
 Prevent deterioration of the case: Treat injuries, stop any
bleeding and reduce effects of medical shock
 Promote recovery of the casualty: Reassurance and put in
recovery position
Remember the 3 Ps

Factors / Typical arrangements to consider in first aid Assessment

o The nature of the work / type of hazards and control measures

o The size of the organisation and Number of employees
o Past history of accidents & ill health (and in similar field)
o The nature and distribution of the workers, shift patterns & the
need of travelling, remote or lone workers
o Remoteness of site from emergency medical services
o Shared sites (Cooperation & coordination between companies
sharing the same workplace or area)
o Planned and unplanned absence of first aiders due to holidays or
other reasons
o Local legislations, legal requirements in the country &
international standards

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Element 4: Health and safety monitoring and

measuring
 ‘‘Proactive (Leading/Active) monitoring” before the accident or
the problem – measuring the progress of the health & safety
performance of the organisation.

Examples of proactive (Leading) monitoring tools:

Audits, Inspections, Benchmarking, Health surveillance, Near
miss investigation, Checking Procedures and Monitoring
behaviour.

The aim of active (Leading) monitoring is to provide information

on how the system is working, to give an overview of the current
control measures in place and then identify possible causes of
accidents, injuries, ill-health, and any other loss.
So, it prevents accidents from happening by ensuring suitable
controls & procedures are in place, before things go wrong.

** A leading indicator looks forward at future outcomes & events.

N.B. Benchmarking is the process of comparing the safety

Performance, and setting targets in relation to the past
Performance (internal Benchmarking) or the performance of
Other similar organisations (external Benchmarking).

 ‘‘Reactive (Lagging) monitoring” after the accident or the

problem – measuring the failures / weaknesses of the health &
safety management system

Examples of reactive (Lagging) monitoring tools: Accident

Investigation, Identifying trends, Statistics of civil claims and
Statistics of Enforcement actions.

The objective of reactive (Lagging) monitoring is to measure

historic (previous) performance by looking at what ALREADY
happened and by identifying the consequences and the causes of
failures that ALREADY happened, to establish what controls and
procedures can and should be done to prevent a repeat
(recurrence) in the future.
It also provides data which may be used to assess and compare
trends over time (Benchmarking).

** A lagging indicator looks back at whether the intended result

Was achieved.

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Inspection:
Health & Safety inspection is a “physical observation” for the
workplace to identify any uncontrolled hazards; unsafe acts or
unsafe conditions as well as the identification of good practice
and level of compliance with agreed procedures.

*** Inspections should be carried out regularly on daily basis in

the workplace.

Types of workplace inspections

1- General workplace inspections  see details in the next paragraph

2- Statutory inspections: Checks or tests specified in an act and/or
Regulation that are a legal requirement
3- Compliance inspections: An evaluation conducted for the purpose
of issuing a Certificate of Compliance (COC) or Notice of Non-
compliance (NON).
4- Commissioning inspections: A systematic process of verifying the
performance of facilities and systems to ensure trouble-free
outcomes and mitigate the risk of unplanned outages or
downtime.

 Types of General workplace inspections:

1- Safety Sampling

A regular exercise in which assigned observers walk within a

Timescale noting any health and safety defects REGARDING a
Certain part of specific health & safety aspect such as: inspecting
Fire extinguishers for the fire safety.

2- Safety survey

A formal, structured examination possibly by a team of people

(Examining whole health & safety aspect such as fire safety as a
Whole)

3- Safety Tour

Unscheduled, Unplanned & non recorded less formal workplace

examination to check general workplace standards.
Tour carried out by everyone especially Managers and shows
Commitment to health & safety.
_________________________________________________________

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NEBOSH IGC Summary – Week 1 (IG 1)

People who may carry out inspections (if competent enough):

All types of workers should participate in carrying out inspections, from

each and every department in the workplace. Formal inspections are
mainly carried out by Managers & supervisors, Health and Safety
advisors, Health and Safety representatives, Enforcement officers, And
Insurance Company
_________________________________________________________

Limitations of inspections (Why the inspection might not be

enough to prevent accidents)

- Some hazards or unsafe practices are not always present: it may not
be taking place during the inspection time
- Some hazards are not visible / unseen by inspector: A worker could
follow the safety rules only during the inspection time.
- Observations or recommendations may not be mentioned in the
inspection sheet
- The whole inspection may not be documented
- Poor management commitment: may not pay attention to what is
Mentioned in the sheet
- Incompetence of inspectors could affect the results
- New activity, tools or people could be missed (in-between inspections)
- The checklist used could be out of date or missing some details

Audit
“Health & Safety audit a systematic critical examination of the whole
health and safety management system to ensure the compliance and to
identify any weaknesses then produce action plan with suitable
recommendations to correct any non-conformity 

 The aim of the audit is to ensure that the health & safety
management system is UAE:

Used
Adequate
Existing

Using THREE evidences:

1- Inspection (physical observation)

2- Documents checks (Paperwork)
3- Staff interviews (Both senior and junior; managers and workers)”

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Factors to be considered when preparing a health & safety audit:

- Type of audit, its scope such as management system elements and

terms of reference
- audit protocols and consider issues such as scoring or the use of
suitable software.
- Size of the organisation and number of employees
- Activities taking place, risks, tools & equipment used
- Auditing team (competence, number and duties in the audit)
- Management system needs and content
- Local legislations and selected performance standards
- Duration of the audit & frequency of auditing
- Cooperation needed from management and their commitment
- Available resources to complete the audit
- Identification of the key elements of the audit process such as the
planning, interviews and verification, feedback routes and the
preparation and presentation of the final report.

Internal Audits External Audits

Advantages Disadvantages

 Cheaper  More expensive

 Easier to arrange  More time required to
 Less threatening organise
 Better knowledge about the  More threatening
organisation  Less knowledge
Disadvantages Advantages
 Could be Influenced by  internal relationships are less
internal relationships likely
 May not be taken seriously  Increased formality
 May be biased  Independent of internal
 Assumptions may influence competition
conclusions  Assumptions are less likely
 Usually not professional  Specialists & experts
auditors  A Different Perspective
 Similar Perspective  Surety of compliance
 Legal limitations

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Audit Inspection
 Planned, informing everyone  Both planned and random,
in advance, Longer, takes Quicker and lower cost
more time and it’s more  Identifies hazards that are not
expensive controlled to a standard (Hazards
 Tests the UAE: Existence, both unsafe acts & unsafe
Adequacy and Use of health conditions)
& safety management
systems  Physical observation only
 Includes physical
observation, documentation
checks and staff interviews  Identifies direct (immediate)
 Identifies organisational causes of accidents: unsafe
failures which are root conditions and some unsafe
causes of accidents and ill- actions
health
 Largely proactive as they  Largely reactive as they lead to
track the origins. quick fix of immediate causes
rather than corrective action of
root causes

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NEBOSH IGC Summary – Week 1 (IG 1)

Incident investigation
 Why investigate: Reasons to investigate / report / record
accidents & near misses / Importance of reporting

 Why must the accident be reported by the employer to the

competent authority?

o Prevent future accidents and Prevent business losses by

identifying and eliminating the root causes.

o Show the management commitment & Demonstrate concern and

care about people’s health & safety improving workers morale
(motivation).

o Identify weaknesses in management system, in order to review

and update work procedures and risk assessments.

o Comply with the law because it’s a legal requirement to report,

record and investigate accidents & near misses

o Comply with the client and insurance requirements; have a proper

system in place and learning lessons from what happens.

o Collect data & information needed to defend criminal cases &

compensation claims.

o Collect data & information needed for statistics & benchmarking

o To identify the trends and patterns of all incidents; analyse them

and decide the proper precautions to prevent similar accidents
and near misses

o For Disciplinary purposes to control any unsafe behaviour which

is the leading direct cause of accidents (Not to blame the person
even if he/she actually did something wrong)

The different levels of investigations are: minimal, low, medium

and high
(For more details download “HSG245”)

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Actions following Accident (What should be done when an

accident happens in the workplace)

Immediate / initial / short term actions

o Initiate the emergency response plan: notify the location

manager, the health & safety manager, first aiders, rescue team,
ambulance, the police & local authorities if needed (The first hour
after an accident is called the Golden Hour)
o Make sure the accident scene is safe, check if the place is safe
for you to approach and help (No gas leakage, no spills, No live
electricity, etc.)
o Apply first aid / medical treatment for injured person & transfer
safely to the hospital if needed
o Secure the area to preserve the accident scene for the
investigation See more details next page 44
o Issue the initial investigation report with the basic verified
information and assemble the investigation team.
o Take photographs of the accident scene & identify witnesses to
be interviewed as soon as possible
o Inform everyone on the site about the accident and if there’ any
required precautions to be taken at the moment.
o Inform the family of the injured person (Next of Kin)

Longer Term actions

o Complete the final accident investigation report:

o Interview the witnesses and take their statements
o Examine & review the related documents such as risk
assessments, training records & safe working procedures and
update them if needed
o Identify & fix all possible immediate & root causes of the accident
as well as any breaches for the law or the company policy
o Report details to the insurance company & arrange for
compensations and repairs
o Produce a safety alert with the learning lessons to be distributed
all over the organization and to other companies.

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Why secure accident scene?

1- It’s important to protect the accident area to prevent similar
accidents from happening in the same time, e.g. if someone
slipped on oil spill and it was left on the ground; someone else
could slip on the same spill and have another accident.
2- Avoid disturbance and contamination of the accident scene,
Preserve and Keep all the evidence and prevent people from
tampering the scene or touching anything.
3- Give enough resources for proper investigation by drawing
sketches and taking pictures which show things that words
can't.
4- Avoid legal actions as the company could be held accountable
for an unsecured accident scene allowing interruption of
investigation and will be liable as well if this led to another
accident.
5- Help the eyewitnesses to remember what happened by
keeping the scene in the same shape, looking as it was when
they see it again.
6- Avoid any panic that could happen when people are close to
the accident place and injured colleagues with possible blood
or other painful images.
7- To make a safe work area for the investigator team without
any possible hazard and facilitate their job.
8- Give sufficient time to complete the investigation by avoiding
any interruption or interference from the rest of the place.
9- For insurance coverage as certain steps are required by
insurance companies such as securing accident scene or
making a formal police report, etc.
10- To protect the place by preventing further damage to the
rest of the area or to other equipment present in the same place.

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How should the contractor worker’s accident be

externally reported by the employer?
 The organisation should appoint a person to be officially
responsible for reporting and also dealing with the media
 The accident should be reported to the insurance company, to the
contractor and to the enforcement authority
 The report should include full details about the Injured Person (IP)
such as full name, address, job title and their responsibilities, the
outcome of the incident and details of any injuries sustained, any
reports from the hospital and medical investigations like x-ray,
details of what happened in this incident, details about any
equipment or vehicles used, details of witnesses and their
statements, possible direct and immediate causes, possible
breaches to the law or company policies and procedures

A wide range of ways could be used to report an incident:

1- Online, through the website of the enforcement authority,

Responsible persons should complete the appropriate
online report form listed in RIDDOR for example.
2- Sending official email to the enforcement agency.
3- Telephone, All incidents can be reported online but a
telephone service is also provided for reporting
fatal/specified incidents only, in the UK you can call the
Incident Contact Centre on 0345 300 9923 (opening hours
Monday to Friday 8.30 am to 5 pm).
4- Paying a visit to the office and personally make the report.
5- Using the organisation’s Accident Book which is an
essential document for employers and employees, who are
required by law to record and report details of specified
work-related injuries and incidents.
6- Reporting out of hours is not possible as the safety
enforcement agencies such as The HSE and local authority
enforcement officers are not an emergency service

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Process of accident investigation (The FOUR steps to

complete the accident investigation process):

1- Collect the information: See details below in the next

paragraph  “information in accident investigation report”

2- Analyze this information: to find out the immediate & root

causes of the accident and any possible breaches of the law,
Company policy or work procedures.

3- Check the risk control measures: to decide whether they

were adequate at the time of the accident and could have
prevented the accident or additional controls are needed.

4- Take action: Produce action plan with recommendations to

eliminate the root causes of the accident and take the suitable
effective steps to prevent similar accidents in the future.

 Information in accident investigation report:

o Details of the injured persons (Name, Job, training, etc.)
o Details & the extent of the injury or loss with reports from Hospital
o Details of Equipment & tools involved in the accident and any
damage occurred, with copies of maintenance log
o Time, date & location where the accident happened (whether it
happened during the working hours or not, outside or inside the
workplace, etc.)
o Description of the accident (how it happened)
o Related documents to be attached e.g. risk assessment & SSOW
o Relevant evidences of the accident such as damaged tools / spill
o Photos & sketches of the accident scene and equipment
o Details of the witnesses & copies of their signed statements
o Possible immediate & root causes of the accident

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NEBOSH IGC Summary – Week 1 (IG 1)

o Any breach of the law or the company polices or work procedures

o Details of the members of the accident investigation team
o Recommendations & action plan to prevent recurrence

Domino Theory:

It has been suggested by Frank Bird that the events leading up to an

accident are like a row of dominos and by removing any domino; the
accident will NOT occur.

Direct / Immediate causes of an accident

Obvious direct reasons that caused the accident (Unsafe acts and/or
unsafe conditions)

Root / Underlying / Basic causes of an accident

Root causes are management failures; The failures in management

systems or procedures that have led to the accident (Individual factors,
Job factors and/or organisational factors)

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Possible composition of Investigation team (Useful members of

accident investigation team)

The team size should be kept small in number, and the seniority of the
members will depend on the severity of the accident.

The investigation team could include the following people:

o Senior manager to sit as chairperson such as Location manager /
CEO (According to the severity of the accident)
o A manager at lower level than the chair person, for example
Supervisors or team leaders
o A senior manager from another department
o Competent workers experienced in the work activity
o Health and Safety practitioner e.g. safety adviser
o Health and Safety Representative (preferably from the same
department where the accident happened)
o External consultant / Specialists / technical expert e.g. Engineers
o Enforcement authority representative
o Insurance company representative

 Any person whose responsibilities or actions may have been

involved in the event being investigated should be excluded from the
investigation team, but would of course, be interviewed as a valuable
witness.

The end of IG1

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