NEBOSH

International Diploma
ID1: Know – Workplace
Health & Safety Principles
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ID1.1 – Regulating Health and Safety

element 1
Regulating Health and Safety
NEBOSH International Diploma
On completion of this Element, candidates should be able to:

1.1 Describe comparative governmental and socio-legal regulatory models

1.2 Outline the purposes of enforcement

1.3 Explain the role of the International Labour Organisation and the status of relevant
conventions and recommendations in a global health and safety setting

1.4 Summarise the role o f non-governmental bodies and self- regulation in securing common
health and safety standards in a global economy.

1.5 Outline how and why third parties must be managed within the workplace.

1.6 Outline the role of insurers in health and safety

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Contents Page No
ID1.1 – Regulating Health and Safety

1.1 Comparative Governmental and Socio-legal and Corporate Models 3

The Role, Function and Limitations of Legislations 4
Health and Safety Law 4
Nature, Benefits and Limitations of ‘Goal- Setting’ and ‘Prescriptive’ Legal Models 5
Loss Events in Terms of Failures in the Duty of Care to Protect Individuals and Compensatory
Mechanisms 9
Compensatory Systems 9
1.2 The Purpose of Enforcement 15
1.3 The Role and Limitations of the International Labour Organisation in a Global Health and Safety
Setting 18
1.4 The Role of Non-Governmental Bodies and Health and Safety Standards 26
Meaning of Self-Regulation 30
1.5 Third Party Control 33
1.6 Role of Insurer’s in Health and Safety 37
References 39

List of Figures
Table 1: Comparisons of ‘Prescriptive’ ad ‘Goal Setting’ Systems 7
Table 2: Relative advantages and disadvantages of ‘Goal Setting and Prescriptive’ legislations 7

List of Figures
Figure 1: Creation and Adoption of ILS’s 21
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1.1 Comparative Governmental and

ID1.1 – Regulating Health and Safety

Socio-legal and Corporate Models

Preamble
In today’s modern society Health and Safety in the workplace has become common place in most
countries of the world. Whist the majority in societies take their safety and health at work as a
customary ‘norm’, this is not the case globally.

This Element will explore some of the legal mechanisms in place to protect workers throughout the
world. It will examine these mechanisms, their nature, function, role and limitations in protecting
individuals in their occupations.

In making comparisons, delegates will gain an understanding of system approaches to laws that are
either ‘prescriptive’ in that it tells citizens ‘what’ to do and ‘how’ to do it, or ‘goal setting’ where it allows
citizens to determine ‘how’ they comply. These can stem from both cultural and societal norms, or as
will be seen in some societies, developed by a protective state that seeks to set the standard based on
accepted social values.

Some countries have simplistic legal mechanisms developed over many years to control the behaviour
of its citizens. In contrast, some societies that have a thriving global economy have developed their
laws to reflect the diversity of their respective population and its ever-changing values and beliefs.

To achieve this, some countries have developed laws that meet the needs of the individual state whilst
the superior federal laws (laws that govern many states) address the fundamental values of the
majority. The course notes will examine some of these models in detail to show how diverse societies
develop a singular model of standards to benefit several states or large single state.

Laws can be developed to prohibit certain activities or to afford individuals with rights. These falls into
what are called the criminal and civil systems. This element will explore how these systems of authority
are developed and how they may be used in Health and Safety to protect and compensate individuals
at work.

Accidents often occur in the workplace; however, the mechanisms that compensate individuals differ
depending on the legal system in place. Whilst some countries have mechanisms to deal with
accidents in the workplace, others may deal with them as part of a cultural system. The course notes
will outline some of these mechanisms and how they seek to restore individuals through compensatory
damages.

Whilst Health and Safety laws seek to deal with the protection of individuals in their daily work, other NEBOSH International Diploma
mechanisms may be used to protect workers which are not integral parts of a legal system. The
course will examine some of these and how they can be used against companies that fall below an
accepted standard.

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The Role, Function and Limitations of

Legislations
ID1.1 – Regulating Health and Safety

The maintenance of a ‘safe place’ strategy is readily identified in current health and safety legislation,
and the role of the enforcement authorities has always been geared to producing improvements in the
physical conditions in the workplace.

This has been brought about by a continuing enforcement programme in matters relating to machinery
safety, the control of hazardous substances, fire prevention and protection and the maintenance of a
sound structural environment.

A system which relies heavily on the enforcement of legal standards to bring about these improvements
in the physical conditions, however, has not always been successful in reducing accidents or ill-health,
due to the failure to examine the ‘human factors’ aspect of safety and accident prevention.

Health and Safety Law

Health and Safety is regulated in differing ways throughout the world. This can be through direct legislation
or indirect sanctions that are addressed in other forms of legal/cultural mechanisms. In most western
societies health and safety tends to be legislated for in physical statute, this kind of state is known as and
‘activist’ state.

Activist states see society, or aspects of it, as defective and in need of improvement. The state sees its role
as being protective, i.e., ‘a nanny state’. It encroaches into the social lives of its citizens for their material and
moral betterment. This form of state is directive in nature and can sometimes intimidate its citizens by telling
them what to do and how to behave.

The models adopted by North America, many parts of Europe and Australia are examples of this type of
system, whereby the state limits freedoms and responsibilities by creating well meant regulations. This use
of ‘material law’ seeks to implement broad goals using direct means to achieve them. Specific prescriptions
and detailed rules are created to control the judgement of its subjects.

States that adopt this form of legal framework develop operating standards and impose penalties via
criminal sanctions for failure to meet those standards. This form of control means that many of the legal
instruments become ‘prescriptive’ using explicit words such as ‘must’ and ‘should’. This leaves little open to
interpretation on the part of those subjected to its control and in some cases can stem innovation.

In contrast, the ‘Reactivist’ state sees its task as simply supporting existing social practice, protecting order,
and being a natural arbiter between conflicting and private interests. The onus is not on control but on
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defining rules in which freely chosen goals may be pursued. Thus, this form of legislature tends to be more
dynamic and adaptable to change. It allows those under its guidance and control to determine their own
route of compliance as such setting their own goals as to how far they wish to go beyond the required
standard. This form of state tends to make laws that ‘set goals’ as to ‘what’ is required but not ‘how’ to
achieve it.

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Nature, Benefits and Limitations of ‘Goal-

ID1.1 – Regulating Health and Safety

Setting’ and ‘Prescriptive’ Legal Models
Prescriptive Laws

“Prescriptive laws tell you WHAT TO DO and HOW TO DO IT”

In countries where there is some form of written law instrument, states then find themselves unable to
that addresses health and safety, it will generally be enforce and have to amend or create laws to
approached in one of two ways. In this section we address the new activity or equipment.
will deal with the benefits and detriments of a rigid
code of laws known as ‘prescriptive’ legislation. This Continual amendments become bureaucratic and
form of legal instrument tells those under its control burdensome on the state and the citizens its
what they ‘must’ do and in some cases ‘how’ to do it. serves to protect. The benefits for those governed
under this type of system of ‘black letter law’ is its
Because of its inflexibility, prescriptive legislation authoritative instructions on what needs to be
tends to be very slow to change. Whilst its aim is to done which prevents misinterpretation and is easy
control its citizens in every aspect of their lives, it fails to enforce; citizens know what they have to do.
to adapt to societal and economic changes at the However, it can prevent creative modernisation in
same pace. that companies will only do what they need to do
to stay within the law or in some cases will actively
The burden of control rests with the state and its seek to go outside the law. It has a double effect
ability to keep up with innovation. Whilst this may be on society in that the state will only enforce on
achieved in social practices and matters of public issues that fall within the legal instrument and
order, it is ill equipped to keep pace with new industry will only do what they have to comply with
technology in a thriving economy. Because of this what the state requires.
slow pace, states are forced to make numerous
adaptations to the original instrument or as is the It may seem that adopting this model creates
case in Europe create regulations. archaic states, unprepared for the dynamic
modern economy. This is not the case, as most of
In general terms, states that adopt this approach tend these countries have thriving economies that are
to have written constitutions that set out the principle in some cases at the cutting edge of technological
aims of the state. These are very rigid and whilst they advancement. Whilst this is a contradiction in what
can be added to, they are entrenched and cannot be has been described previously, these states have
removed. Evidence of this type of legislature can be sought to rely on other mechanisms to address
seen in Europe, North America and Australia where issues that fall outside the particular instrument
numerous regulations or amendments stem from the dedicated to health and safety in the workplace.
original body of text or Act in the states attempt to
adapt to change. Predominantly health and safety legislation fall into NEBOSH International Diploma
criminal law. These laws are determined by the
Whilst prescriptive laws seek to set a common state as an offence against it, commonly known as
standard of what the state perceives as the ‘common a criminal offence. Where a particular criminal
good’ of society it can fail to address every new sanction fails, there may be others that address
industry. An example of this can be taken from the the way in which individuals are protected.
former Factories Acts of the United Kingdom up to
the 1970’s. This piece of legislation was updated Other mechanisms that have been adopted to deal
many times to accommodate new industry but in with matters of health and safety fall within the
many cases the law failed to identify every workplace realm of civil law designed to afford individuals
and many still fell outside its jurisdiction. rights to bring actions against others who commit
an offence against them. This form of sanction is
These oversights are one of the major drawbacks of widely used in countries such as North America
prescriptive legislation. The state can only legislate where it can prove to be a far better deterrent than
for what is happening in a society at any given point the criminal sanctions adopted by the state. This
in time and it has difficulty legislating for future has driven companies down a route of self-
developments. Industry is continually changing and regulation.
growing due to new technologies; it is inevitable that
some innovation will fall outside the scope of the legal

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Although this is a simplistic explanation of how

prescriptive law changes, it is not the full story.
Whereas in North America the constitution is enforced
ID1.1 – Regulating Health and Safety

at federal level - individual states have the ability to add

to the legal instrument depending on local needs - this
will be explored later in this Element in the context of
federal and states laws. Moreover, in the case of
Europe where many countries have come together to
form an economic union of countries, laws have
adapted in quite differing ways.

Goal Setting Laws

“Goal setting laws tell you WHAT TO ACHIEVE
but not HOW TO ACHIEVE IT”

In contrast to prescriptive laws, goal setting The key benefit of ‘goal setting’ legislation is its ability
mechanisms seek to achieve an outcome and not to adapt to change; it sets a general principle that is
an output in that the method of compliance is not not linked to any particular given period of time. As
measured, only the success or failure are such, as society and technology advance the legal
measured. Many of the countries that adopt this instrument is unaffected, so it still has relevance. In
form of legislative structure tend to have the contrast, this is not the case with ‘prescriptive’
‘common law’ as its basis. legislation in that it has to be changed to meet the
challenges of an evolving economy.
Until 1974 the UK adopted a prescriptive model of
‘command and control’ in the then Factories Act, Having said this, the drawback of ‘goal setting’ laws is
however, following a report compiled by Lord its ambiguity. It allows individuals to make their own
Robens commissioned as a result of several interpretation of how to comply with the standard.
disasters, the UK decided to change the way it dealt This can prove difficult for the State that strives to
with matters of workplace safety. In 1974 the Health treat all equally particularly in new technology where
and Safety at Work etc. Act came into force; this the dangers may not be known. However, as the UK
was a revolutionary piece of legislation in that it have shown, it is not for the State to determine the
used the term ‘reasonably practicable’. In essence measures needed to control the dangers it is for the
what it meant was that companies could determine employer to show they did all they could have done.
how they complied with the law based on their own
experience in their particular field. The fundamental differences between these two
mechanisms can be seen in table 1.
This may appear crude and basic but the legislature
was not about to release all of its control, there
were general standards that had to be met to show
that companies had given proper consideration to
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the dangers it exposed its workforce to. At around

the same time the UK were heavily involved with
the European Union whose model was still
extremely prescriptive. This conflict was overcome
in the early 1990’s when the UK gave its law-
making ability in matters of Health and Safety to
Europe. What followed was a mass of Regulations
to bring consistency to a number of States and legal
systems.

The dilemma for the UK has been that whilst its

primary legislation, the Act, is ‘goal setting’, the
subordinate legislation, Regulations, are
‘prescriptive’. This conflict of legislation creates
much contention in the courts in how to interpret
particular events. In one doctrine the employer is
able to make calculated decisions on how they
protect individuals whilst the European doctrine is
one of State control.

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Table 1: Comparisons of ‘Prescriptive’ ad ‘Goal Setting’ Systems

ID1.1 – Regulating Health and Safety

Prescriptive Legislation Goal Setting Legislation

Tells its citizens ‘what’ to achieve but NOT ‘how’ to

Tells citizens ‘what’ to do and ‘how’ to do it
achieve it

Uses explicit wording’ e.g., ‘should do’, ‘must’ and Uses wording that allows qualitative and quantitative
‘shall’ interpretation, e.g., ‘reasonably practicable’

Can constrain innovation Allows for entrepreneurial innovation

Slow to adapt to change Dynamic not affected over time

States allows individuals to use their own expertise to

State controls growth of technology
meet the standard

Not over burdensome on State allows single

Overly bureaucratic
instrument to address all issues

Allows for enforcer to work in partnership instead of

Easy to enforce against
having to use sanctions

Table 2: Relative advantages and disadvantages of ‘Goal Setting and Prescriptive’ legislations

Factor Goal Setting regulation Prescriptive regulation

Flexibility Seen as more flexible Less flexible

More imprecise, and potentially less More precise and therefore
Predictability and certainty
certain potentially more certain
Seen to encourage experimentation Limited incentives to innovate in
Promotion of innovation and alternative approaches to compliance
compliance
Seen to promote substantive
Equality Seen to promote formal equality
equality
Can result in a tick-box mentality
Requires regulatees to be forward
Impact on approach and developing Uniform or
looking and think through
mindset of regulatees differential treatment of
consequences of actions
regulatees NEBOSH International Diploma
Can allow for differential treatment
Uniform or differential Formally treats all regulatees the
of regulatees based on compliance
treatment of regulatees same
history or other characteristics
Less adaptive to changes, rules
More open-textured and therefore
Ability to adapt to changes in can tend towards obsolescence,
can be more adaptive to changes in
environment/ market and require more rules to be
the environment
introduced
Scope for exercise of Potentially significant scope for the Typically constrains the
regulatory discretion exercise of regulatory discretion discretion of the regulator
Devolves some responsibility to
Regulator is ultimately
Accountability firms, and can create an
accountable for failures
accountability gap
Can lead to over- or under-
Can create incentives to ‘game
compliance depending on level of
Incentives for compliance the rules’ and engage in creative
precision of regulation, and the risk
compliance
profile of regulatees

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Legal Hierarchy of egal Hierarchy of Laws part of a larger country their laws tend to reflect the
particular interests of that province, but the
ID1.1 – Regulating Health and Safety

mechanism will generally be the same throughout

Laws the country.

States, refers to an individual country or province. States within a Single Country

However, in today’s society the global picture is far
more complex where many countries have joined Where a state or province falls within a particular
to form unions or are so large that they are split into country such as those found in North America, China
numerous provinces. and Canada, the laws of the individual state will be
wholly similar to that of the Country as a whole. The
Throughout the world we see many unions of purpose of state or provincial laws is to reflect the
states join together for both economic growth and local cultural differences and trends within that
stability, or for the common good. Examples of this particular area. These types of State laws tend to be
can be seen in Europe where many countries have used in countries with a large land mass where there
drawn together for stability and growth, the United is a diverse culture and practices may differ from one
States where land mass determines local area to the next.
anomalies, and the United Arab Emirates where
citizens of similar interests have come together for Whilst the state laws are written in keeping with the
the common good, i.e., GCC (Gulf Cooperation wider federal or country law, they may add to it to
Council). address their individual diversities. An example of
this may be that one state allows certain activities at
This can sometimes cause conflict if the legal a given age whereas based on the cultural beliefs of
mechanisms differ. It is primarily in the context of another area they may choose to raise that age; the
Health and Safety that there is a conflict of interest. country in its federal system would however set a
minimum standard by which all states would have to
Where a State is a country in its own right it will adhere to.
have its own legal code; the historical development
of that state will determine the mechanism it has In relation to the application of Health and Safety law
followed. In contrast, where a State is an integral this may manifest itself in varying ways for instance
whilst one state may tolerate smoking in the
workplace another may decide to ban it.

States within a Union of Countries

In this situation States have come together to form a union or federation of states. It may be for
economic stability and growth or for a common good, however, it may not always be the case that all of
the countries have the same legal doctrine. An example of differing doctrines is Europe where the
majority of states follow a rigid constitutionalised codex whereas others follow a more flexible approach.
Other examples of countries coming together under a federal body are the former Union of Soviet
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Socialist Republics (USSR) or Central Committee of the Communist party (CCCP), United Arab
Emirates (UAE) in contrast to Europe these countries have similar legal mechanisms based either on a
socialist or religious doctrine.

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Federal Laws

ID1.1 – Regulating Health and Safety

The objective of federal laws is to give consistency across all states as such federal law will have
supremacy over the individual state or country law. In principle this does not cause problems for states
that are part of a larger country, and whilst there may be subtle differences the federal laws tend to be
in keeping with the ideological principles of the smaller states.

The difficulty in a health and safety forum is the level of tolerability federations are willing to accept
when legislation across different borders and cultures. The legislature has to compromise to suit the
many differing needs of the individual states whilst maintaining an acceptable standard. This is far
easier in countries where the land mass dictates that the country is split into many provinces. Here,
federal law may only cover certain areas such as public order, administrative and constitutional affairs
leaving the individual province to legislate based on their local needs.

Whichever model of State/Federal interface there is it will always be the federal law that is supreme
where there are conflicts of interest, as such, there is a general tendency for federal laws to be
prescriptive and entrenched into agreed common practices. Where it is impractical for there to be a
commonality then states tend to rule on this in their own right.

Loss Events in Terms of Failures in the

Duty of Care to Protect Individuals and
Compensatory Mechanisms

Compensatory Systems
Statutory Compensation Law
Statutory compensation law provides a number of advantages to both employees and employers. A
schedule is drawn out to stipulate the amounts and forms of compensation an employee is entitled to if
he/she has sustained given kinds of injuries.

Employers can buy insurance against such occurrences.

Statutory schemes often award a set amount based on the types of injury. These payments are based on
the ability of the worker to find employment in a partial capacity: a worker who has lost an arm can still NEBOSH International Diploma
find work as a proportion of a fully able person.

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This does not account for the difficulty in finding In most western society’s compensation is paid in
work suiting disability. When employers are the form of damages awarded by a court or by
required to put injured staff on "light-duties" the fixed agreement through insurers.
ID1.1 – Regulating Health and Safety

employer may simply state that no light duty work

exists and sack the worker as unable to fulfil Damages can either be paid as a result of loss in
specified duties. terms of salary or chance, i.e., opportunity; or as
a result of the pain and suffering from the
When new forms of workplace injury are injury/illness that has been caused.
discovered, for instance: stress repetitive strain
injury silicosis; the law often lags behind actual Moreover, in some countries, punitive damages
injury and offers no suitable compensation, forcing (above and beyond normal damages as a
the employer and employee back to the courts method of penalising the offender) are now
(although in common- law jurisdictions these are widely used as a future deterrent, this form of
usually one-off instances). damages will be discussed later in this section.

Finally, caps on the value of disabilities may not Damages in monetary terms may be the only way
reflect the total cost of providing for a disabled to replace the loss of earnings or in worst case
worker. The government may legislate the value of scenarios the loss of a family member.
total spinal incapacity at far below the amount
required to keep a worker in reasonable living for For many years countries have adopted a
the remainder of their life. monetary value to injury or death. This has either
been pursued through the courts of the
A related issue is that the same physical loss can respective country or through other mediation.
have a markedly different impact on the earning
capacity of individuals in different professions. For This form of action generally comes from a civil
instance, the loss of a finger could have a code where the conduct of an individual, or
moderate impact on a banker's ability to do his or company, has caused another loss.
her job, but the same injury would totally ruin a
pianist. Predominantly the State takes no monetary part
in the award; it is a claimant against a defendant.
However, there are countries, in particular New
Zealand, where the State provides a robust
Financial Compensation system.

New Zealand has an internationally unique

Accidents and Ill health are a part of working life. It
regime in the field of accident compensation.
is inevitable that given the nature of some
workplaces there are inherent risks that may
The New Zealand regime combines traditional
eventually lead to someone being hurt or
concepts of tort (negligence), contract and
contracting some form of occupational health
criminal law with wide-ranging statutory
disease.
departures, notably New Zealand’s distinctive
accident compensation legislation.
Whilst the purpose of health and safety legislation,
industrial and managerial standards, can reduce
The accident compensation regime bars claim for
the likelihood of such occurrences they are
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compensatory damages for most types of

somewhat inevitable.
personal injury, while still allowing claims for
exemplary damages, damages claim for mental
When something goes wrong, the injured party or
injury not associated with physical injury, and
their family will, in most cases, seek some form of
damages claims for property damage and
compensation. Compensation in most countries of
business losses.
the world is a form of restitution, a payment that
restores an aggrieved party for their injury or loss.
Compensatory claims tend to stem from a civil
code of laws, these may be in written form or as
However, the mechanisms that seek to achieve
is the case in ‘common law’ from previous case
this aim differ greatly depending on the socio-
history.
cultural differences of the society where the loss
occurred.

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Personal injury is one aggrieved party seeking You cannot, of course, send a company to prison
and fines are often ineffective, so a corporate

ID1.1 – Regulating Health and Safety

restitution from another. While it is
predominantly a matter for courts other probation or remedial order is the most effective
means whereby a court can require a company and
mechanisms such as arbitration may be
its officers and directors to alter their conduct in a
preferred where the parties come together particular way.
under the guidance of a natural arbiter in an
attempt to come to some form of agreement. Under a corporate probation or remedial order, a
company will be placed under supervision of the
This approach circumvents the state and its court. Half the fine could, for example, be
clinical nature; it seeks to address not only the suspended pending satisfactory completion of the
loss but the natural grievance allowing parties probationary period. The court may need to
to make representations to one another. In appoint an expert or body to supervise the
probation.
situations where this fails the State can then be
used to finalise the conflict, but this should be
The terms of the probation order might be that the
used sparingly and as a last resort. company has to review its safety policy, its safety
procedures, initiate a training programme for
directors and senior management or others,
require a reduction in accidents etc. If after
Improvement Scheme completion of the probationary period, the
company has satisfied the terms of the Order that
Whereas financial compensation schemes seek to is the end of the matter. If the company fails to co-
restore an individual, improvement schemes are operate or comply, the suspended sentence could
designed either to improve standards for the whole be invoked and further penalties could be
or to deter re-offending. imposed, including, if felt desirable, the
disqualification of directors.
In some countries novel schemes have been
adopted in an attempt to bring about improvement, To carry out the order, the court will probably (but
one such scheme is Corporate Probation. not necessarily in all cases) appoint an expert or
body such as state enforcers to supervise the
company and report back to the court. The order
and other penalties would also be recorded on the
Corporate Probation company’s records.

Corporate Probation is a type of supervision order The attraction of this type of order is that it gives
imposed by the court on a company that has the court the power to set terms which will suit the
committed a criminal offence. company’s own situation and achieve a positive
change in the way in which the company operates.
It provides a flexibility which other penalties do not
and has as its objective, achieving a positive and
long-term change in company behaviour.

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The United States of America and Canada are x reporting to the court on the
the main countries to introduce this sentencing implementation of those policies, standard
ID1.1 – Regulating Health and Safety

option. and procedures

In the USA corporate probation can be imposed x identifying the senior officer responsible
on corporations that commit criminal offences. for compliance with those policies
The main objective in the USA seems to be standards and procedures
aimed forcing companies to pay restitution,
x providing, in the manner specified by the
preventing them from hiding assets or subverting
court, the following information to the
payment of restitution; but it is clear that the US
public:
Sentencing Council also envisaged other types
of corporate criminal offence by giving courts the
(i) the offence of which the organisation
power to introduce “any probationary conditions
was convicted,
related to the nature and circumstances of the
entire case and the purposes of sentencing”. (ii) the sentence imposed

In Canada the purpose of corporate probation (iii) any measures taken by the
Orders is aimed at improving occupational organisation to reduce the likelihood
safety. The introduction of such Orders came of its committing further offences, and
about as a result of the 1992 Westray Mine (iv) complying with any other reasonable
Disaster in which 26 persons lost their lives. conditions considered desirable by
Prosecution of the company failed because of the court in preventing subsequent
the need to identify a controlling mind or directing offences by the organisation or to
mind, similar to problems faced in similar UK remedy the harm caused by the
prosecutions. offence

However, in the lead up to the Canadian Bill,

considerable thought was given to alternative Corporate Probation is gaining positive acclaim in
sentencing options. many countries as a tool to improve standards in the
workplace.
The new Canadian law created a criminal code
duty on Although it is mainly used in cases of habitual
offending or as a result of a serious incident, it has
³Everyone who undertakes, or has the been shown to be effective in changing corporate
authority, to direct how another person does culture.
ZRUNRUSHUIRUPVDWDVN«WRWDNHUHDVRQDEOH
steps to prevent bodily harm to that person,
or any other person, arising from that work or
WDVN´ Adverse Publicity
The Canadian law provides for probation Orders Criminal sanctions can have both an educative
which could be useful in directly influencing the and denunciatory effect. The conviction forms the
future conduct of organisations convicted of core of the denunciation, but its impact may be
offences. lost if the public remain unaware of the
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defendant's crime.
Among the optional probation conditions
available are: No stigma will be attached to an offender if the
public, or the critical segment of it from the
x making restitution offender's perspective, is ignorant of the verdict.
x establishing policies, standards, and
Most corporate crimes in fact go unreported.
procedures to reduce the likelihood of
Cases where significant deaths occur, as in a fire
subsequent offences (however, the court
or train crash, are the exceptions.
must first consider whether it would be
more appropriate for another regulatory
In the more typical case, the corporate offence is
body to supervise the development of
either too technical to warrant the newspaper
implementation of such policies, standard
space required to explain it or insufficiently
and procedures)
newsworthy to merit reporting.
x communicating those policies, standards,
and procedures to its representatives If a court wishes to achieve a denunciatory effect,
it will have to take the initiative in seeing to it that
the company's wrongdoing is publicised. It can do
so by making an adverse publicity order.

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Such an order places on the convicted company The government may also lack the expertise to
the burden of informing others of its offence. An

ID1.1 – Regulating Health and Safety

create an advertisement that will achieve its
advertisement is typically placed in the intended purpose, and companies may be able
newspapers at the company's expense, or the to mount an advertising campaign of their own
company might be required to send a letter to to neutralise the government's efforts (although
shareholders or relevant members of the public such counter-publicity could be prohibited by
(such as potential purchasers of the company's court order).
product).
Even if successful, adverse publicity orders
An adverse publicity order is usually in addition to may produce an undesirable spill-over effect.
any other sanctions imposed by the court. Assume, for the sake of argument that an
adverse publicity order led to an effective
In the United States, under federal sentencing consumer boycott of the offender's product.
guidelines, a judge may order a convicted The resulting loss of sales could cause the
company to publicise at its own expense the fact company to close some of its plants or go out
of its conviction and the remedial steps it plans to of business altogether, in which case the force
avoid future violations. of the sanction might again fall
disproportionately on innocent workers,
The prospect of an adverse publicity order may suppliers and distributors. Those responsible
turn out to have a not inconsiderable deterrent for the critical decisions are likely to be better
effect. placed to find new employment and better
cushioned against any interim financial
Companies often go to great lengths to cultivate hardship.
their public image through advertisements in the
media. If the company's "good name" were to be Whilst these are just two examples of
placed in jeopardy by a conviction, there might be improvement schemes there are many others
a strong incentive to obey the law. that can be either internally triggered by
individual organisations who seek to self
The loss in potential sales from an adverse regulate, or imposed by other organisations
publicity order might far exceed the maximum whether internationally or within trade bodies;
fine that a court could impose. these approaches set standards for industry
bodies to aim for membership generally requires
The public, through its purchasing power, would some form of pre-qualification audit.
in effect be given a voice, albeit an indirect and
crude one, in determining the penalty ultimately What is important is that these mechanisms
imposed on the offender. should not be confused with improvement
notices enforced by a state through an
What effect an adverse publicity order in fact will inspectorate; these are criminal sanctions which
have on the organisation is somewhat are designed to address a particular issue and
conjectural. Past victims of the company's are not necessarily linked to an accident or ill
offence may become aware of their victimisation health issue, whereas improvement schemes are
and bring a civil action to recover damages. An generally triggered following some adverse
example would be where individuals were event.
suffering from the effect of exposure to a certain
chemical but were unaware of the source of their
NEBOSH International Diploma
illness.

An adverse publicity order would also provide

notification to those contemplating future
businesses with the offender, with a possible
outcome being a decision to take their custom
elsewhere or at least to proceed with caution.

The public may also respond. The consumer

boycott of products manufactured in South Africa
during the era of apartheid, and the boycott of
French wines, as a protest against France's
nuclear testing in the South Pacific, demonstrate
that the public's purchasing habits are not
immutable.

However, adverse publicity may have little effect

on the buying habits of the perhaps majority of
consumers who are more concerned with "value
for money" than with whether a company is a
"good citizen".
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Punitive Damages
ID1.1 – Regulating Health and Safety

Punitive damages are a form of damages above and beyond compensatory monetary value. These
have been widely used in North America for many years and can be seen developing across European
and Commonwealth countries in the form of ‘special damages.

Punitive damages are purely financial that seek to serve two purposes. Initially they are awarded to
the claimant in an effort to address the wider issues they have endured such as mental anguish and
their potential loss of livelihood; they are designed to look to the future of what the injured party may
have to endure in their lives. The other purpose is to serve as a deterrent to others as the level of
award can cause companies to go out of business as a result of the sum awarded. An example of this
may be that an individual is awarded damages of $1m for actual pain, suffering and loss of salary but
to address future needs the court may award $5m in punitive damages.

In order to receive damages, there has to be a causative link between what the claimant has suffered
and what the defendant did to cause that suffering. In contrast the additional punitive damages have
not got to have this direct link. This could manifest itself in the fact that an individual was unable to
drive his partner to work and as a result they lost their job.

Compensatory Reform

General (economic) Damages

This is compensation for post-trial losses which are likely to continue into the future and where it is
difficult to put a final figure on the losses.

Some examples of general damages are compensation for pain and suffering, loss of promotion or
other opportunities, pain and suffering, inability to carry out day to day tasks/hobbies, future loss of
earnings, etc.

Special (non-economic) Damages

This is compensation for money you have had to pay out pre-trial and have lost because of the
accident/injury/illness, and which you can put a figure on.

Examples are money spent on travel, prescription fees for medication, buying special equipment,
damage to property, and insurance excess.
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Non-economic damages are the only compensation a jury can provide for the injury itself, as
opposed to reimbursement of ‘out of pocket’ expenses like lost wages and medical bills. This type
of compensation is especially important for people who do not work outside the home, like the
elderly, children, and homemakers.

Fault and No-Fault Liability

Where an individual suffers injury, liability for payment of compensation to the injured person often
rests on the injured person being able to show fault for the injury on the defendant.

In a no-fault liability system, the need for the injured person to show fault is removed and the liable
party required to pay compensation automatically.

Support for no fault liability is growing within the reformation groups as a means of speeding up the
process of awarding damages to those injured.

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1.2 The Purpose of Enforcement

ID1.1 – Regulating Health and Safety

The Purpose of Enforcement
To seek compliance with a given set of legal rules States may employ enforcement bodies to carry out the
function of ensuring that the law is adhered to. Throughout the world countries have police forces that
uphold the law in a public forum, however, where their role does not address all of the laws within that
particular country then other agencies may fulfil this role.

In some countries Health and Safety laws are administered and enforced by agencies of the State who
have their own enforcement bodies to ensure companies comply. These agencies may have inspectors of
safety or mediators who support the police, which ever method is chosen they are likely to have powers
granted so that they can ensure companies comply with their legal duties.

Powers conferred on these agencies may differ greatly, but some examples may be derived from the
models used in western societies such as enforcement notices (improvement and prohibition) and private
prosecution. Notices can manifest themselves in many ways but whether written or verbal they are a form
of enforcement; it depends on how the individual state prefers to seek compliance. The ultimate sanction
is to prosecute companies and whereas the model adopted in the UK is of private prosecution other
mechanisms may be adopted in other countries.

The Principles of Enforcement with Reference to UK

HSE’s Enforcement Policy Statement (HSE 41)
Central enforcement action should be firm but fair in relation to health and safety law. This should
be informed by the principles of:

x Proportionality in
applying the law and
securing compliance
x Consistency of approach
x Targeting of
enforcement action
x Transparency about how
the regulator operates
and what those
regulated may expect NEBOSH International Diploma
x Accountability for the
regulator’s actions

Proportionality
Proportionality means relating enforcement action to the risks. Those whom the law protects and those
on whom it places duties (duty holders) expect that action taken by enforcing authorities to achieve
compliance or bring duty holders to account for non-compliance should be proportionate to any risks to
health and safety, or to the seriousness of any breach, which includes any actual or potential harm
arising from a breach of the law.

In practice, applying the principle of proportionality means that enforcing authorities should take
particular account of how far the duty holder has fallen short of what the law requires and the extent of
the risks to people arising from the breach.

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Deciding what is reasonably practicable to control

risks involves the exercise of judgement.
ID1.1 – Regulating Health and Safety

Where duty holders must control risks so far as is

reasonably practicable, enforcing authorities
considering protective measures taken by duty
holders must take account of the degree of risk
on the one hand, and on the other the sacrifice,
whether in money, time or trouble, involved in the
measures necessary to avert the risk.

Unless it can be shown that there is gross

disproportion between these factors and that the
risk is insignificant in relation to the cost, the duty
holder must take measures and incur costs to
reduce the risk.

The authorities will expect relevant good practice

to be followed.

Where relevant good practice in particular cases

is not clearly established, health and safety law
effectively require duty holders to establish
explicitly the significance of the risks to determine
what action needs to be taken.

Ultimately, the courts determine what is

reasonably practicable in particular cases.

Some irreducible risks may be so serious that

they cannot be permitted irrespective of the
consequences.

Consistency Targeting
Consistency of approach does not necessarily Targeting means making sure that enforcement
mean uniformity. It means taking a similar activities such as inspections are targeted primarily
approach in similar circumstances to achieve on those whose activities give rise to the most
similar ends. serious risks or where the hazards are least well
controlled; and that action is focused on the duty
Duty holders managing similar risks expect a holders who are responsible for the risk and who
consistent approach from the regulator in the are best placed to control it - whether employers,
advice tendered; the use of enforcement notices, manufacturers, suppliers, or others.
NEBOSH International Diploma

approvals etc; decisions on whether to prosecute;

and in the response to incidents. The duty holder’s management competence is
important, because a relatively low hazard site
In practice consistency is not a simple matter. poorly managed can entail greater risk to workers
Inspectors are faced with many variables or the public than a higher hazard site where
including the degree of risk, the attitude and proper and adequate risk control measures are in
competence of management, any history of place.
incidents or breaches involving the duty holder,
previous enforcement action, and the seriousness Certain very high hazard sites should receive
of any breach, which includes any potential or regular inspections so that enforcing authorities
actual harm arising from a breach of the law. can give public assurance that such risks are
properly controlled.
Decisions on enforcement action are discretionary,
involving judgement by the enforcer.

All enforcing authorities should have

arrangements in place to promote consistency in
the exercise of discretion, including effective
arrangements for liaison with other enforcing
authorities.

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Any enforcement action should be taken against the person / company responsible for the breach. This may
be employers in relation to workers or others exposed to risks; the self-employed; owners of premises;

ID1.1 – Regulating Health and Safety

suppliers of equipment; designers or clients of projects; or employees themselves.

Where several duty holders have responsibilities, enforcing authorities may take action against more than
one when it is appropriate to do so.

When inspectors issue improvement or prohibition notices; withdraw approvals; vary licence conditions or
exemptions; issue formal cautions; or prosecute; enforcing authorities should ensure that a senior officer of
the duty holder concerned, at board level, is also notified.

Transparency
Transparency means helping duty holders to understand what is expected of them and what they should
expect from the enforcing authorities. It also means making clear to duty holders not only what they have to
do but, where this is relevant, what they don't. That means distinguishing between statutory requirements
and advice or guidance about what is desirable but not compulsory.

Transparency also involves the enforcing authorities in having arrangements for keeping employees, their
representatives, and victims or their families informed. These arrangements must have regard to legal
constraints and requirements.

Duty holders, employees, their representatives and others need to know what to expect when an inspector
of the regulator visits.

Accountability
Regulators should be accountable to the public for their actions. This means that enforcing authorities must
have policies and standards against which they can be judged, and an effective and easily accessible
mechanism for dealing with comments and handling complaints.

NEBOSH International Diploma

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1.3 The Role and Limitations of the

International Labour Organisation in a
ID1.1 – Regulating Health and Safety

Global Health and Safety Setting

A Charter for the UN was drawn up at the United Nations Conference on International Organisation in
San Francisco in October 1945, and the UN officially came into existence on 24 October 1945.

The role of the United Nations is defined in the Charter to:

Maintain international peace and security

Develop friendly relations among nations

Cooperate in solving international economic, social, cultural, and

humanitarian problems and in promoting respect for human rights and
fundamental freedoms

Be a centre for harmonising the actions of nations in attaining these ends

NEBOSH International Diploma

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 19

Globalisation has created opportunities and benefits for many, yet at the same time millions of workers
and employers worldwide have had to face new challenges. The globalised economy has displaced

ID1.1 – Regulating Health and Safety

workers and enterprises to new locations, resulted in the sudden accumulation or dispersion of capital
wealth that has caused financial instability in certain regions. Despite initial optimism, globalisation has
not ushered in an era of prosperity for all.

Inequality within many countries and between the world's richest and poorest nations has also grown
significantly over the last few decades.

The continued development of the global economy is neither sustainable nor desirable in the view of
many. Inequality not only leads to a decline in productivity but also breeds poverty, social instability and
even conflict. In view of this, the international community has recognised the need to establish some
basic rules to ensure that globalisation offers a fair chance at prosperity for everyone.

International Labour
Organisation
In 1919, the signatory nations to the Treaty of
Versailles created the International Labour
Organisation (ILO) in recognition of the fact
that:

"Conditions of labour exist involving such

injustice, hardship and privation to large
numbers of people as to produce unrest so
great that the peace and harmony of the
world are imperilled."

To tackle this problem, the newly founded ILO

established a system of international labour
standards (ILS’s) through a collection of
international conventions and
recommendations with the input of
representatives of governments, employers,
and workers from around the world. The ILO's
founders recognised in 1919 that the global
economy needed clear rules in order to
ensure that economic progress would go
hand in hand with social justice, prosperity,
and peace for all.
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Conventions and Recommendations

International labour standards are legal instruments drawn up by the ILO's constituents (governments,
employers and workers) and setting out basic principles and rights at work. They are either conventions,
which are legally binding international treaties that may be ratified by member states, or
recommendations, which serve as non-binding guidelines. In many cases, a convention lays down the
basic principles to be implemented by ratifying countries, while a related recommendation supplements
the convention by providing more detailed guidelines on how it could be applied. Recommendations can
also be autonomous, i.e., not linked to any convention.

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Conventions and recommendations are drawn up

by representatives of governments, employers and
How International Labour
workers and are adopted at the ILO's annual Standards are Created and
ID1.1 – Regulating Health and Safety

International Labour Conference.

Adopted
Once a standard is adopted, member states are
required under the ILO Constitution to submit them
to their competent authority (normally the International Labour standards (ILS’s) have evolved
parliament) for consideration. In the case of from a growth in international concern that action needs
conventions, this means consideration for to be taken on a particular issue, e.g., providing working
ratification. women with maternity protection, or ensuring safe
working conditions for agricultural workers.
If it is ratified, a convention generally comes into
force for that country one year after the date of Developing ILSs at the ILO is a process involving
ratification. representatives of governments, workers, and
employers from around the world.
Ratifying countries commit themselves to applying
the convention in national law and practice and The first stage is that, the Governing Body agrees to put
reporting on its application at regular intervals. an issue on the agenda of a future International Labour
Conference.
The ILO provides technical assistance if necessary.
In addition, representation and complaint The International Labour Office prepares a report that
procedures can be initiated against countries for analyses the laws and practices of member states with
violations of a convention they have ratified. regard to the issue at stake.

The modern ILO has developed a comprehensive The report is circulated to member states and to
Decent Work Agenda which takes up many of the workers' and employers' organisations for comments
challenges faced. and is discussed at the International Labour
Conference.
The Decent Work Agenda aims to achieve decent
work for all by promoting social dialogue, social A second report is then prepared by the Office with a
protection and employment creation, as well as draft instrument for comments and submitted for
respect for international labour standards. discussion at the following Conference, where the draft
is amended as necessary and proposed for adoption.
The standards have grown into a comprehensive
system of instruments on work and social policy, This consultation, known as double discussion, gives
backed by a supervisory system designed to Conference participants sufficient time to examine the
address all sorts of problems in their application at draft instrument and make comments on it. A two-thirds
the national level. majority of votes is required for a standard to be
adopted.
They represent the legal component in the ILO's
strategy for governing globalisation, promoting This is a slow process since the Conference is an
sustainable development, eradicating poverty, and annual event and the double discussion process can
ensuring that people can work in dignity and safety. take a long period of time, sometimes running into
different conferences.
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Since 2003 the International Labour Conference

started using an ‘integrated approach’ with the aim of
improving the coherence, relevance and impact of
standards-related activities and developing a plan of
action that embodies a coherent package of tools to
address a specific subject.

These tools may include conventions, recommendations

and other types of instruments, promotional measures,
technical assistance, research and dissemination of
knowledge, and inter-agency cooperation.

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Figure 1: Creation and Adoption of ILS’s

ID1.1 – Regulating Health and Safety

Governing Body puts
item on agenda of
future IL Conference

ILO prepares report

analysing members’
laws

Report circulated to
member states,
workers and
employers

Discussed at ILC

2nd report prepared

Double
with draft instrument
Discussion
for comment

Submitted for
discussion at ILC

Amended and
proposed for adoption

2/3 majority vote NEBOSH International Diploma

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 22

Ratification Other Areas of Influence

Securely
ID1.1 – Regulating Health and Safety

An adopted convention, i.e., a convention agreed at

conference, normally comes into force 12 months While the main users of ILS’s are the ILO's member
after being ratified by two member states. Once it States, other bodies, such as multinational
has ratified a convention, a country is subject to the organisations have also found them to be useful
ILO's regular supervisory system responsible for tools. Increasing consumer interest in the ethical
ensuring that the convention is applied. dimensions of products has led multinational
enterprises to adopt voluntary codes of conduct to
govern labour conditions in their production sites
How ILSs are used? and those in their supply chains.

The majority of the top 500 companies in the United

ILSs are influential in a number of different ways at a States and the United Kingdom have adopted some
national level in establishing laws and policies and at sort of code of conduct for self regulation, many of
an organisational level in setting standards. them referring to ILO standards, e.g., a British
department store, has developed a supplier code of
conduct based on 15 ILO conventions and
recommendations.
Models and Targets for
Labour Law While these codes are no substitute for binding
international instruments, they play an important
International labour standards are primarily tools for role in spreading the principles contained in
governments which, in consultation with employers international labour standards. Similarly,
and workers, are seeking to draft and implement international labour standards have been used in
labour law and social policy in conformity with various international collective agreements, for
internationally accepted standards. For many states instance in the garment and textile industries.
this process begins with a decision to consider
ratifying an ILO convention. Countries often go International labour standards also have a direct
through a period of examining and, if necessary, impact on such globalised industries as the
revising their legislation and policies in order to maritime shipping sector.
achieve compliance with the instrument they wish to
ratify. International labour standards thus serve as They are used not only to shape the national
targets for harmonizing national law and practice in a maritime legislation of member States, but are taken
particular field; the actual ratification might come as the basis for port state ship inspections and have
further along the path of implementing the standard. a direct impact on the regulations and codes of
other international organisations, such as the
Some countries decide not to ratify a convention but International Maritime Organisation, (Coordinating
bring their legislation into line with it anyway; such body on maritime standards).
countries use ILO standards as models for drafting
their law and policy. Still others ratify ILO Other international institutions regularly use
conventions fairly quickly and then work to bring their international labour standards in their activities.
national law and practice into line. For such
countries, ratification is the first step on the path to Reports on the application of international labour
NEBOSH International Diploma

implementing a standard. standards are regularly submitted to the United

Nations human rights bodies and other international
entities.

Application at the International financial institutions such as the World

Bank and the Asian Development Bank have
National Level integrated certain aspects of labour standards into
many of their activities, including the World Bank's
In addition to shaping law, international labour Poverty Reduction Strategy Paper process.
standards can provide guidance for developing
national and local policies, such as employment and Pressure groups and non-governmental
work and family policies. They can also be used to organisations draw on international labour
improve various administrative structures such as standards to call for changes in policy, law or
labour administration, labour inspection, social practice.
security administration, employment services, and so
on. Standards can also serve as a source of good
industrial relations applied by labour dispute
resolution bodies, and as models for collective
agreements.

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 23

The influence of employers' and workers' The Roles and

Organisations

ID1.1 – Regulating Health and Safety

Responsibilities of National
Representative employers' and workers' Governments, Enterprises
organisations play an essential role in the
international labour standards system: they
and Workers as given in C155
participate in choosing subjects for new ILO Occupational Health and
standards and in drafting the texts; their votes can
determine whether or not the International Labour Safety Convention and
Conference adopts a newly drafted standard. Recommendation (C155 and
If a convention is adopted, employers and workers R164 respectively)
can encourage a government to ratify it. If the
convention is ratified, governments are required to
Occupational Safety and Health
periodically report to the ILO on how they are
applying it in law and practice. Convention (C155) 1981

Government reports must also be submitted to Convention No. 155 on Occupational Safety and
employers' and workers' organisations, which may Health provides for the adoption of a coherent
comment on them. national occupational safety and health policy, as
well as action to be taken by governments and
Employers' and workers' organisations can also within enterprises to promote occupational safety
supply relevant information directly to the ILO and and health to improve working conditions. The aim
initiate representations for violations of ILO of the policy is to prevent workplace accidents and
conventions and file complaints against member injury to health by minimizing, as far as possible,
states. the causes of hazards inherent in the work
environment.

Monitoring Conventions Article 4 – Basis for Setting National

Policy

Member States can choose whether or not to ratify 1. Each Member shall, in the light of national
any conventions, the ILO considers it important to conditions and practice, and in
keep track of developments in all countries, consultation with the most representative
whether or not they have ratified them. organisations of employers and workers,
formulate, implement and periodically
Under the ILO Constitution, member States are review a coherent national policy on
required to report at regular intervals, at the occupational safety, occupational health
request of the Governing Body, on measures they and the working environment.
have taken to give effect to any provision of
certain conventions or recommendations, and to 2. The aim of the policy shall be to prevent
indicate any obstacles which have prevented or accidents and injury to health arising out
delayed the ratification of a particular convention. of, linked with or occurring in the course of
work, by minimising, so far as is NEBOSH International Diploma
The Committee of Experts publishes an in-depth reasonably practicable, the causes of
annual General Survey on member States' hazards inherent in the working
national law and practice, on a subject chosen by environment.
the Governing Body.

These surveys are established mainly on the R164, states the International Governments,
basis of reports received from member states and Enterprises and Workers roles and
information transmitted by employers' and
responsibilities.
workers' organisations.

They allow the Committee of Experts to examine Key Roles and Responsibilities of
the impact of conventions and recommendations, International Governments:
to analyse the difficulties indicated by
governments as impeding their application, and to
identify means of overcoming these obstacles. a) Issue or approve regulations, codes of
practice or other suitable provisions on
occupational safety and health and the
working environment, account being
taken of the links existing between safety
and health, on the one hand, and hours
of work and rest breaks, on the other;

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b) From time to time review legislative e) To provide, without any cost to the worker,
enactments concerning occupational safety adequate personal protective clothing and
and health and the working environment, and equipment which are reasonably
ID1.1 – Regulating Health and Safety

provisions issued or approved in pursuance of necessary when hazards cannot be

clause (a) of this paragraph, in the light of otherwise prevented or controlled;
experience and advances in science and
technology; f) To ensure that work organisation,
particularly with respect to hours of work
c) Undertake or promote studies and research and rest breaks, does not adversely affect
to identify hazards and find means of occupational safety and health;
overcoming them;
g) To take all reasonably practicable
d) Provide information and advice, in an measures with a view to eliminating
appropriate manner, to employers and excessive physical and mental fatigue;
workers and promote or facilitate co-
operation between them and their h) To undertake studies and research or
organisations, with a view to eliminating otherwise keep abreast of the scientific
hazards or reducing them as far as and technical knowledge necessary to
practicable; where appropriate, a special comply with the foregoing clauses.
training programme for migrant workers in
their mother tongue should be provided;
Key Roles and Responsibilities of Workers
e) Provide specific measures to prevent
catastrophes, and to co-ordinate and make Workers' safety delegates, workers' safety and
coherent the actions to be taken at different health committees, and joint safety and health
levels, particularly in industrial zones where committees or, as appropriate, other workers'
undertakings with high potential risks for representatives should:
workers and the surrounding population are
situated; a) Be given adequate information on safety
f) Secure good liaison with the international and health matters, enabled to examine
labour occupational safety and health hazard factors affecting safety and health, and
alert system set up within the framework of encouraged to propose measures on the
the international labour organisation; subject;

g) Provide appropriate measures for b) Be consulted when major new safety and
handicapped workers. health measures are envisaged and before
they are carried out, and seek to obtain the
support of the workers for such measures;
Key Roles and Responsibilities of Enterprises
c) Be consulted in planning alterations of
work processes, work content or
The obligations placed upon employers with a view to organisation of work, which may have
achieving the objective set forth in Article 16 of the safety or health implications for the
Convention: workers;
d) Be given protection from dismissal and
a) To provide and maintain workplaces, other measures prejudicial to them while
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machinery and equipment, and use work exercising their functions in the field of
methods, which are as safe and without risk occupational safety and health as workers'
to health as is reasonably practicable; representatives or as members of safety
and health committees;
b) To give necessary instructions and training,
taking account of the functions and capacities e) Be able to contribute to the decision-
of different categories of workers; making process at the level of the
undertaking regarding matters of safety
c) To provide adequate supervision of work, of and health;
work practices and of application and use of
occupational safety and health measures; f) Have access to all parts of the workplace
and be able to communicate with the
d) To institute organisational arrangements workers on safety and health matters
regarding occupational safety and health and during working hours at the workplace;
the working environment adapted to the size
of the undertaking and the nature of its g) Be free to contact labour inspectors;
activities; h) Be able to contribute to negotiations in the
undertaking on occupational safety and
health matters;

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 25

i) Have reasonable time during paid working d) To facilitate the exchange of occupational
hours to exercise their safety and health safety and health statistics and data among

ID1.1 – Regulating Health and Safety

functions and to receive training related to relevant authorities, employers, workers and
these functions; their representatives;
j) Have recourse to specialists to advise on e) To provide information and advice to
particular safety and health problems. employers and workers and their respective
organisations and to promote or facilitate
cooperation among them with a view to
The arrangements provided for in Article 19 of the eliminating or minimizing, so far as is
Convention states that workers should: reasonably practicable, work-related hazards
and risks;
a) Take reasonable care for their own safety f) To promote, at the level of the workplace, the
and that of other persons who may be establishment of safety and health policies
affected by their acts or omissions at and joint safety and health committees and
work; the designation of workers' occupational
b) Comply with instructions given for their safety and health representatives, in
own safety and health and those of others accordance with national law and practice;
and with safety and health procedures; and

c) Use safety devices and protective g) To address the constraints of micro-

equipment correctly and do not render enterprises and small and medium-sized
them inoperative; enterprises and contractors in the
implementation of occupational safety and
d) Report forthwith to their immediate health policies and regulations, in
supervisor any situation which they have accordance with national law and practice.
reason to believe could present a hazard
and which they cannot themselves h) Members should promote a management
correct; systems approach to occupational safety
and health, such as the approach set out in
e) Report any accident or injury to health the Guidelines on occupational safety and
which arises in the course of or in health management systems (ILO-OSH
connection with work. 2001).

Promotional Framework for

Occupational Safety and
Health Convention (C187) 2006
Recommendation (R197) supplements the
Promotional Framework for Occupational Safety
and Health Convention, (C187) 2006 by providing
further guidance on its application. NEBOSH International Diploma
a) To raise workplace and public awareness
on occupational safety and health through
national campaigns linked with, where
appropriate, workplace and international
initiatives;
b) To promote mechanisms for delivery of
occupational safety and health education
and training, in particular for management,
supervisors, workers and their
representatives and government officials
responsible for safety and health;
c) To introduce occupational safety and
health concepts and, where appropriate,
competencies, in educational and
vocational training programmes;

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1.4 The Role of Non-Governmental Bodies

and Health and Safety Standards
ID1.1 – Regulating Health and Safety

Relevant Influential Trade Unions

Parties Trade unions have been in existences for many
years representing employees on issues of pay,
conditions, safety and health.
Employer Bodies
In today's society Unions still play a major role in
They represent the collective interests of shaping safe practice within the workplace in the
employers. Their influence on health and safety guise of ‘safety representatives’. Many countries
includes: have legislated on the duties of ‘safety
representative’ granting them legal status in the
− Promoting, encouraging and protecting
rights afforded to them to adequately represent the
the interest of employers in industrial
workforce.
relations to establish good relation
among employers and workers
Dwindling union membership can be attributed to
− Promoting and proposing public policies changes in legislation and standards, where much
− Promoting and proposing training of of the issues formerly dealt with by union
human resources and employment intervention has now been legislated for or has
creation been addressed by external standards institutions.

− Promotes diversity in workplaces, Although there has been a significant shift in union
cooperates with other stakeholders in membership their influence should not be
dealing with employment of men and disregarded. They still have a strong political voice;
women with disabilities, and undertakes in many cases they are consultees in the process
projects on corporate social of amending existing or bringing about new
responsibility. legislation.

The constraint on the influence of unions stems

from the fact that they predominantly operate in a
Trade Associations national forum and whilst linked to international
bodies they have little input into the working of
A trade association, also known as an industry international organisations. This ‘local’ influence
trade group, is an organisation founded and has caused difficulties for multinational companies,
funded by businesses that operate in a specific as such; many have moved away from union
industry. A trade association may participate in membership and have sought to join professional
activities such as promoting health and safety institutions whose influence is international.
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through education, lobbying and publishing

guidelines, codes and practices to all its
members. These could include:
− Promoting the use of products and Professional Groups
materials which are safe, healthy and
sustainable Whilst membership of professional institutions is
− Encourage member’s projects that limited to those who have achieved a certain
respect, protect and enhance the standard of skill within a given trade their influence
environment has the ability to affect a wider audience. In the
− Make available comprehensive forum of Health & Safety international recognition
information and guidance about has been growing over the past decade with
products, methods and projects institutions such as IOSH (Institute of Occupational
Safety and Health) accepting individuals from all
− Support the interests and endeavours of over the world joining its register.
members in achieving and sustaining a
safe workplace

Its focus is on collaboration between

companies.

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Institutions can have a major influence on shaping

Other Influential Parties

ID1.1 – Regulating Health and Safety

cultures from within; by heightening the awareness
of its members it achieves the same aims as
unions but through a more consultative
mechanism.
Pressure Groups
On an international scale, large professional Due to the diversity of cultures and societies throughout
institutions tend to have input into global bodies the world perhaps the greatest influence on change
such as the ILO and UN. This approach has greater comes from non-institutionalised pressure groups.
influence over cultural changes as its members These forms of groups tend to address global issues of
drive the discussion in an attempt to harmonise a environment and worker conditions, and whilst these are
particular standard. topics for bodies such as NGO’s and the ILO, pressure
groups serve an integral part of changing perceptions
and awareness.
ASSE As they tend to operate without the constraint of
governmental policy and procedure, they are far more
American Society of Safety Engineers (ASSE) is the able to access global media, this transmits a message
world’s oldest professional safety society ASSE that can reach individuals at their level. Groups such as
promotes the expertise, leadership and commitment ‘Friends of the Earth’ have had wide acclaim throughout
of its members, while providing them with the world on issues of the environment and have been
professional development, advocacy and standards able to influence change in large corporations by use of
development. It also sets the occupational safety, the media.
health and environmental community’s standards for
excellence and ethics.

The Society is a visible advocate for OSH General Public

professionals through proactive government affairs
at the federal and state levels.
The general public as individual has little no influence on
health and safety regulations but as a group such as
(pressure groups) they will have the ability to exert their
influence.
Board of Certified Safety
Professionals
BCSP sets and certifies technical competency
The Media – Importance of Print,
criteria for safety, health, and environmental Broadcast and Social Media in a
practitioners worldwide, enhancing careers,
advancing the profession and protecting the public.
Global Economy
There are laws in some countries that require the Have you ever considered exactly how the media
safety professional to be certified e.g., Certification influence health & Safety? Television, print, radio, the
of Safety Professional is a recognized need in the Internet, social media are all easily accessible to people
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USA. nationally and globally.

In fact, we accept it and even expect it to be present.

This means that the people controlling these medias
have access to billions of people. They can quickly and
easily get their messages out to the masses.

Agencies such as HSE UK produces guidance that are

available for downloading from the internet, IOSH UK
produces professional journals that educates individuals
and organisations on good health and safety practices.

The media is vital in conveying health and safety

information to the public, changing people’s perceptions
of what’s safe and healthy and what’s not, playing a
greater role in today's’ society in shaping people’s
perceptions and attitudes.

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Social media in a global economy and their role in changing attitudes to health and safety can be
exemplified in the case of the Tazreen Fashion Factory fire in Dhaka, Bangladesh which, in November 2012,
killed 177 clothing workers. They were making apparel for major retailers in the EU and the USA, and a
ID1.1 – Regulating Health and Safety

global storm of protest erupted when the dangerous conditions at the factory became public knowledge,
leading to the arrest of the owner in December 2013.

It was the first time that a factory owner had been charged with causing the death of workers in Bangladesh,
and it was claimed that this came about as the result of international pressure from consumers using social
media.

The interdependency of pressure groups and the media cannot be overstated in the influence they exude,
large scale industrial disasters will always be reported and whereas the impact of the media may be finite
the pressure groups will continue the campaign of awareness.

The media, in whatever form it delivers its message, is a part of our lives. Its ability to influence the public
and governments on matters of health and safety sometimes goes beyond that of the laws that sought to
overt such incidence. Examples of this have been seen over recent years where companies have seen
share prices drop as a result of adverse reports in the media.

Benefits of Schemes which Promote Co-Operation on

Health and Safety between Different Companies

Good Neighbour Scheme

Organisations often trade in a competitive marketplace. There are organisations and schemes that
encourage co-operation between organisations in health and safety development.

Good neighbour schemes have been identified as one of the more effective ways of finding and engaging
with small and medium businesses (SMEs).

Organisations that cooperate and compare their performance will discover the following benefits:

x Identifies specific problem areas

x Builds confidence when unconfirmed assumptions are validated
x Helps to prioritise opportunities for improvement
x Serves as an excellent baseline of the organisation’s performance
x It makes it easier to increase performance expectations
x
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It creates a sense of competitiveness and a real desire to improve

Most importantly, regular benchmarking with other organisations and sharing health and safety solutions
encourages a culture of continuous evaluation and improvement.

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Supplier Auditing

ID1.1 – Regulating Health and Safety

At times, product suppliers are required by product buyers to comply with industry recognized OHSMS
guidelines, such as OHSAS 18001. Supplier audits are second-party audits imitated by product buyers to
ensure suppliers comply with industry recognized OHSMS guidelines. These audits are performed by
second party purchasing representative or outsourced third party consultants.

The benefit of the purchaser imposed OHSMS management system and audits are that the supplier’s
revenues are directly linked to the health and wealth-being of the supplier’s workforce.

The effects on business of adverse stakeholder reaction to

health and safety concerns

Adverse Publicity
Following a large-scale incident, whether it’s an accident or some failure of quality as seen in the Perrier
case adverse publicity from the media can have a lasting damaging effect. It is good business to know the
importance of the media in today’s society as they can either aid or hinder companies.

There are many other cases of adverse publicity from the media that have a lasting damaging effect.
Some recent press coverage on disasters such as Bhopal and Buncefield was detrimental to the
controlling company. It is not only the shock effect it has but the lasting demise of public opinion in the
ability and quality of the owners or the particular company.

As a result, fines in the UK have risen dramatically, other countries have stiffened their safety procedures
and some have even adopted new laws, this is due to the shift in public opinion driven by the media.
Companies are sometimes afraid of the media but in today's society their ability to reach millions of
individuals it is only good business to know how to deal with publicity, positive and negative.

An Organisation’s moral
obligation to raise
standards of health and
safety within their supply
chains
The world has become a ‘global village’ of
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international trade between the ‘wealthy’
nations and the ‘developing economies’
Consumers are demanding fair trade and
suppliers have responded by developing codes
of conduct which ensure that exploitation is
identified and eliminated where possible.

Brand named ought to take some duty for requirements at their suppliers, and this is based upon the
concept that worldwide brand names remain in a remarkable position making a favourable influence on
health and safety standards, both within their organisations and throughout their supply chain. Part of this
ethical argument stems from the reality that competition I between possible suppliers to provide products
at the lowest price reflects on the resourcing of health and safety in supply organisations.

Organisations must, therefore, take some obligation to guarantee that fierce financial competition in between
suppliers does not result in the severe degradation of health and safety requirements. In cases where
workers have been hurt in severe incidents occurring at providers’ facilities, the ethical view has actually
been that the brand names involved need to take quick action to commit to offering compensation which
ought to be worked out with the trade unions representing the workers, and be based upon international

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requirements. The international buyers bear some duty for compensating the victims, and this must consist
of loss of income and damages for the hurt and families of the dead, medical costs, and educational fees for
the children of the deceased with the distribution of payments performed in an open manner in conjunction
ID1.1 – Regulating Health and Safety

with trade unions. It may even be anticipated that the brand names support an independent enquiry into any
such event and be associated with prevention of future similar events.

Meaning of Self-Regulation
Self-regulation is the means by which members of a profession, trade or commercial activity are bound by
a mutually agreed set of rules often set out in a code of practice or conduct, which governs their
relationship and the way they operate.

Such rules may be accepted voluntarily or may be compulsory but will normally include a procedure for
resolving complaints and for the application of sanctions against those who infringe the rules.

There are many types of self-regulation, from voluntary and unilateral requirements aimed at raising
standards in individual firms to complex rules set within a statutory framework that apply across a
commercial activity or profession. Self-regulatory schemes may or may not incorporate independent
enforcement bodies with or without statutory authority.

Changing public attitudes are an important part of the adoption and application of self-regulatory codes.
Companies can no longer ignore the impact of their activities on the environment.

Developments in global communications, which have enabled corporations to control production activities
on an ever-widening scale, have also facilitated the international transmission of information about working
conditions in their overseas suppliers, increasing public awareness and facilitating campaigning activities.

The growth of self-regulatory codes of conduct has tended to be concentrated in certain sectors,
particularly trade, textiles, chemicals and extractive industries. Codes addressing labour issues tend to be
concentrated in sectors such as garments, footwear, sports goods, toys and retailing, whereas
environmental codes are more likely to be found in relation to chemical manufacturing, forestry, gas, oil
and mining.
NEBOSH International Diploma

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Self-regulating codes of conduct can be broadly divided into five main types:

ID1.1 – Regulating Health and Safety

x Company codes
x Trade association codes
x Multi-stakeholder codes
x Model codes
x Inter-governmental codes

Codes vary considerably in scope and many do not even cover all of the International Labour
Organisation’s core labour standards. Company codes and trade association codes often have a more
limited scope than those developed in conjunction with other stakeholders.

Self-regulatory codes can generate positive benefits for stakeholders. Examples where working
conditions have improved show that those codes can provide influence on company decision making.
Furthermore, because of codes of conduct, firms are increasingly held responsible for the activities of
their suppliers and partner organisations as well as their own subsidiaries.

An inherent weakness of self-regulatory mechanisms is their voluntary nature, though a number of

incentives, some more persuasive than others, exist for organisations to become involved in self-
regulation initiatives. Reputation and credibility, for example, play an important role.

The advantages of self-regulation may be Conversely there are a number of

summarised in terms of expertise, cost- limitations or disadvantages associated
effectiveness and flexibility and include: with self-regulation, e.g.:

x Self-regulatory rules are by definition x All those who trade in the profession or
developed by those directly involved in the sector will not necessarily operate within
industry or profession and so can be said to the self-regulatory rules.
best reflect the issues and needs of the
particular sector. x It may be difficult to ensure that consumers
appreciate the implications of trading with
x It can be quicker to achieve self-regulation those who operate outside the rules.
than statutory regulation.
x Consumers may not be aware of who or
x Self-regulation can generate a sense of what is covered.
ownership amongst the profession or
industry and so is more likely to secure a x There is a danger of self interest being put
high level of compliance. ahead of the public interest and self-
regulation may lead to anti-competitive
x It can harness common interest in behaviour, especially in terms of restricting
maintaining the reputation of those involved market entry beyond the restrictions NEBOSH International Diploma
in the activity. required to protect consumers.
x It can be easily adapted or updated to x The organisations involved in enforcement
reflect changing circumstances or industry may not be open and transparent about
developments. their processes and outcomes.
x In some areas, especially the professions, it
may be disproportionately expensive or There may be a general lack of public
difficult for government to acquire the confidence in the ability of or the incentives for
specialist knowledge necessary to regulate a self-regulatory body to provide effective
effectively. consumer protection, and to impose
appropriate sanctions when rules are broken.
x Self-regulation can provide a quicker and
cheaper means of redress.
x It can harness the close relationship
between the industry/profession and their
clients.

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Self-regulation is used in one way or another across a wide range of activities from medicine,
accountancy and the law, to advertising, house building and most sports. It affects everybody, often
without them being consciously aware of it.
ID1.1 – Regulating Health and Safety

Typically, awareness of self-regulation is raised when something goes wrong. When self-regulation fails
amendments to improve the system is often the best solution for consumers and industry alike because
of the flexibility and expertise embodied in a regime that is ‘owned’ by those to whom it applies.

Role and Function of Corporate Governance in a System

of Self-Regulation
The system by which business are directed and controlled is corporate governance. With the increase
of corporate globalization, where many corporate organisations operate in territories throughout the
world (often with differing local standards for worker health and safety), there has been a tendency for
them to move to self-regulation.

It deals mostly with the relationship between the constituent parts of business - the directors, the board
(and its sub-committees) and the shareholders. Openness and accountability are the most crucial
aspects of good corporate governance.

This consists of:

x The timely arrangement by the business of excellent quality details.
x A clear and reliable business decision making procedure.
x Investors are given correct information to consider assisting them in making considered
judgments.

How Internal Rules and Procedures Regulate Health and

Safety Performance
The development of an efficient safety culture has been recognised as a crucial aspect in the
accomplishment of high standards of safety, along with an efficient safety management system and
organisational structure. Research studies and the experience of industry leaders show that the
achievement of a reliable culture needs.

x A set of rules, procedures and methods of working that facilitate safe working practices.
x Reliable senior management leadership, including a demonstration of management
commitment to surpassing basic compliance with guidelines and treatments.
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x A reward for safe behaviours and constant choice making and actions.
Senior supervisors require making sure that "policing" of compliance with treatments and rules is
performed in a manner which stresses safety results instead of entirely on compliance with the letter of
the guidelines and treatments.

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1.5 Third Party Control

ID1.1 – Regulating Health and Safety

A third party may be described as any person affected by the work other than an employee, whereas an
employee is a person working under a contract of employment.

Identifications of Third
Parties

Visitor
A lawful visitor to premises is one who
enters the premises on invitation, or under
licence.

All lawful visitors, whether on site for the

benefit of the occupier or not are owed a
common duty of care to ensure they are
kept reasonably safe while on site.

Trespasser
A common legal definition of a trespasser is
a person who:
Member of the public
x Goes onto the premises without A member of the public is understood to be a
invitation or permission or remains person 'not at work' who does not fit into other
there after the invitation or categories such as trespasser or visitor. The term
permission has been removed would therefore cover people off site such as
neighbours and passer-by.
x Although on the premises with
invitation or permission visits a part The ILO Convention and supporting
to which the invitation or permission Recommendations details preventative strategies
does not extend for both workers and members of the public and in
Article 17 of this Convention there is a requirement
x Deposits goods on premises to:
without permission
x "Whenever two or more undertakings engage in
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Trespassers are owed a duty of
'common humanity'. activities simultaneously at one workplace, they
shall collaborate in applying the requirements of
this convention."

Contractor
A contractor is a party engaged to perform a specific task, without direction from the engaging party
(Client).

An independent contractor (i.e., one who has control over the undertaking of the work) is responsible for
any civil liabilities arising from their work.

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Agency/Temporary Other Employers

Workers (Shared Premises)
ID1.1 – Regulating Health and Safety

Temporary workers are people taken on as The occupier's liability is defined as a liability
employees by the employer occupying the of a person who controls land or building in
premises, even if their expected employment regard to damages caused to others who
is for a short period of time, which could even enter there on. The occupier must take
be one day. reasonable care to ensure that the visitor is
reasonably safe for the purpose for which the
They still have all the rights of any employee visitor is on the land. The liability applicable to
and must be given sufficient information, an occupier of premises to visitor can be
instruction and training to move about in the described when the occupiers take a
premises safely and undertake the work they prevention step in order to avoid any injuries
are expected to do. and damages. Hence, the liability applicable to
the occupier for the visitors can be divided into
Under normal occupiers' liability related two ways which are from the negligence
legislation, the temporary worker will be activities and dangerous premises.
expected to exercise due care for their own
safety that result from any risks ordinarily
incident to their particular expertise.
Reasons for ensuring third
parties are covered by
Risks posed to a worker by the premises, the
work being undertaken around them or not health and safety
normally associated with their normal work management systems
(such as special circumstances in a particular
work area) must be properly controlled,
including informing the worker about them. Legal Reasons

The information that is necessary to be The ILO Occupational Safety and Health
provided is the same as for any visitor with the Convention C155 (Article 17) states:
following additions:
“Whenever two or more undertakings engage
1. The risks of the work that they are in activities simultaneously at one workplace,
doing and that is going on around they shall collaborate in applying the
them that may affect their health and requirements of this Convention”.
safety
The accompanying Recommendation R164
2. The measures necessary for the (Article 11) states:
proper control of the risks,
particularly any actions that the “Whenever two or more undertaking engage in
temporary worker may have to take
activities simultaneously at one workplace,
3. To ensure that the temporary worker they should collaborate in applying the
is provided with the appropriate provisions regarding occupational safety and
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instructions and information in a form health and the working environment, without
that they can understand regarding prejudice to the responsibility of each
these risks and their controls undertaking for the health and safety of its
employee. In appropriate cases, the
4. Sufficient information regarding competent authority or authorities should
emergency procedures, such as prescribe general procedures for this
actions in the event of a fire and first collaboration.”
aid provision
5. The location and availability of Considerations should include possible
welfare provisions, including eating, consequences of failing to comply with:
sanitary, washing, rest, changing and
storage facilities x National Health and safety legislation
6. The name of the person to be x Approved codes of practice
notified regarding problems and x Guidance notes and accepted
defects and the means to affect it, standards
particularly with regard to safety
procedures and any personal
protective equipment they are using.

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There could be other relevant local legislation concerning:

ID1.1 – Regulating Health and Safety

x Fire prevention
x Environmental Pollution
x Product liability

Economic Reasons
The financial considerations should include:

x The financial impact on the organisation of the costs of accidents/incidents and ill-health,
involving the third party.
x The effect on insurance premiums.
x Possible loss of production/service
x Effect on the ‘profitability’ of the organisation

Moral Reasons
Moral considerations are linked to the corporate social responsibility (CSR) of the organisation. This
would include the:

x Consumers of its products/services

x General public, who might be exposed to risks from transport, noise, chemicals, waste, fires or
explosion.

Basic Duties Owed to And by Third Parties

The employer has responsibilities to other people who are not workers, but third parties. The
responsibility of the employer extends also to others affected by their work activities. This concept is
commonly referred as ‘duty of care to your neighbour’. This is quite a common principle in civil law,
even without a specific contract between parties, where all employers are required to make similar
arrangements to those that would keep workers healthy and safe. This duty is supported by the ILO
Convention on Safety and Health C155 (as discussed in the previous section).
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Employers when dealing with third parties will expect that when they carry out their work they will
appreciate and guard against any special risks ordinarily incident to that work. Third parties are
expected to take regard to others that might be affected by what they do. Employers who are third
parties must have regard for the health and safety of others, who will include the workers of another
employer.

Examples of relationships which describe typical duties owed to sand by third parties.

Designers, Manufacturers, Suppliers to Customers/Users

Throughout the world there are many legal trading standards that relate to articles (plant and
equipment) as well as substances.

Many of these have been transposed into ‘harmonized’ international standards e.g., ISO 12100 - Safety
of Machinery - Basic Concepts, General Principles for Design.

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The above standard places a general duty on persons designing, manufacturing or supplying articles or
substances to:
ID1.1 – Regulating Health and Safety

1. Ensure that articles are safe and without risks to health when being used, set, cleaned or
maintained
2. Ensure that substances are safe and without risks when being used, handled, processed, stored
or transported
3. Carry out or arrange for the testing and examination, necessary to ensure the safety of the
product
4. Provide information on the safe use of the product (article / substance), including dismantling and
disposal
5. Revise any information supplied where it becomes known that there is a serious risk to health or
safety arising from the products
6. Undertake research, examination or carry out tests necessary to ensure compliance with the
items identified above.

Provision of Information Relating to Hazards/Risks to

Third Parties
An occupier of premises owes the duty of care to all 'visitors' of premises, not just those to whom the
occupier has given permission to be there; it therefore includes trespassers and intruders.

'An occupier of premises owes the same duty, the "common duty of care", to all his visitors, except in so
far as he is free to and does extend, restrict, modify or exclude his duty to any visitor or visitors by
agreement or otherwise.'

'An occupier of premises owes a duty to another (not being his visitor) in respect of any such risk if:

a. He is aware of the danger or has reasonable grounds to believe that it exists;

b. He knows or has reasonable grounds to believe that the other is in the vicinity of the danger
concerned or that he may come into the vicinity of the danger (in either case, whether the other
has lawful authority for being in that vicinity or not); and
c. The risk is one against which, in all the circumstances of the case, he may reasonably be
expected to offer the other some protection.'

From this it is clear that the duties of an occupier of premises, whether an employer or not, extend to all
persons that come onto the premises, whether by invitation or by other than lawful means.

It is important to appreciate that acts perpetrated by a visitor beyond that which could reasonably be
foreseen are unlikely to give a duty of care to the occupier.
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1.6 Role of Insurer’s in Health and Safety

ID1.1 – Regulating Health and Safety

Each country will have a different insurance system. However, typically there are different types of
insurance covering different features and they are described below:

Public Liability
This protects the company against its legal liabilities for injury to third parties and damage to third party
property arising from defects in their premises, or work performed by employees away from the
premises.

Product Liability
This protects the company against its legal liability for injury to third parties or damage to their property
and goods sold, supplied, repaired, serviced or tested.

Employers’ Liability
This protects the company against its legal liability for death or injury to employees acting in the course
of their employment in civil law.

How insurers can influence organisational health and safety

Insurers are now taking more interest in risk management and in helping organisations control risks by
providing advice and guidance in managing workplace risks.
The following are examples of recommendations from some insurance companies on how to manage
health and safety risks:

1. Ensure senior management's commitment to and leadership on health and safety

- Adopt national and international authorities’ guidance to lead health and safety.
- Encourage senior management leadership and commitment.
- Involve workers in health and safety matters that affect them.

2. Obtain competent assistance

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- Appoint one or more competent personnel to assist the organization in complying with health
and safety requirements. The competent personnel could be an internal staff member or an
external consultant.

3. Adopt a structured approach

- Adopt a structured approach to effectively plan, control, review and record all preventive and
protective measures.

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4. Complete suitable and sufficient risk assessments

- Perform suitable and sufficient risk assessments to identify legal and organizational
ID1.1 – Regulating Health and Safety

compliance with health and safety.

- Identify if existing controls are adequate, and whether there is a need to introduce further
control measures to reduce the risks.
Note: Evidence from risk assessments could be used in the defense for insurance claims.

5. Foster a positive culture

- Management should foster a positive culture to prevent accidents and disease in the
workplace.
- Management to obtain the buy-in from employees to agree and accept arrangements that
control particular workplace hazards.
- Avoid competing demands between productivity and safety, bureaucracy, and ineffective
safety leadership, as these will negatively impact the organisation’s safety cultures.

Role of Lost Adjusters and Claims Handlers

The role of Loss Adjusters

The role of a Loss Adjuster is to investigate insurance claims on behalf of the insurer. He/she is the first
point of contact when an insurance claim is made to the insurer.
When a claim is received by the insurer, they would deploy a Lost Adjuster to carry out visual inspection
of the damaged property to determine whether the claim is valid, and whether the insurance company is
liable under the terms of the insurance policy.

After obtaining all factual information, a Loss Adjuster’s report will be prepared and presented to the
insurance company.

The following is a summary of typical issues which the Loss Adjuster would review to establish if the
claim is covered by the insurance policy:

x Adequacy of the insurance policy value to cover the loss

x Whether all the conditions and endorsements have been met
x Whether the loss or damage to the property is covered by the insurance policy
x Whether the amount being claimed for is reasonable
x Whether only valid items are included in the claim
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Based on the Loss Adjuster’s report, the insurer will make a decision on claim settlement, and inform
the policyholder accordingly.

The role of claims handlers

The role of an insurance claims handler is to check and verify the validity of the insurance claims. They
ensure that insurance payments are promptly paid to the insured party.
The claims handler is also responsible for issuing claims forms, giving customers advice on the claim
process, and checking insurance claims.

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References

ID1.1 – Regulating Health and Safety

Chase. O. G (2005), ‘Law, Culture, and Ritual’, New York University Press

Gunningham. N, & Johnstone. R (2003), ‘Regulating Workplace Safety’, Oxford University

Press
nd
David. R, & Brierley. J (1988) ‘Major Legal Systems in the World Today’ 2 Ed, The Free
Press
th
Wallington. P, & Lee. R (1998) ‘Statutes on Public Law’ 8 Ed, Blackstone Press Limited

Gobert. J Prof (1998) ‘Controlling Corporate Criminality’, Web Journal of Current Legal
Issued, Blackstone Press Limited

Hutter. B, & Power. M (2005) ‘Risk Management and Business Regulation’, Financial
Times Mastering Risk Series

Mathur. S (2003) ‘A National Priority on Occupational Health and Safety Management

System’, ICMR Offset Press

Dr. Christopher Decker (2018) “Goal based and Rule based approaches to regulation” BEIS
research paper 8 – University of Oxford.

Association of British Insurer’s – Employer’s liability insurance

Morgan|Clark

Loss Adjusters — Role in Insurance Claims- lawgazette.com.sg

Internet
www.iosh.org

www.iso.org/iso/en/ISOOnline.frontpage

www.gcc-sg.org/

www.cjed.com/ccjs/systems.htm
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www.ohchr.org/english/law/cmw.htm

www.ilo.org/

www.bsi-global.com

www.iso.org/

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 NEBOSH International Diploma ID1.1 – Regulating Health and Safety
40

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Anzd objective

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

element 2
Health and Safety Leadership, Culture
and Worker Involvement
On completion of this Element, candidates should be able to:

2.1 Recognise different organisational structures and where conflicts in goals could lie and how these
conflicts can be resolved NEBOSH International Diploma
2.2 Recognise the different types of safety leadership and the behavioural attributes of an effective
leader.

2.3 Understand how an organisation can consult effectively with its workers.

2.4 Understand what contributes to an effective health and safety culture and climate and the impact
that behavioural change programmes can have on culture.

2.5 Outline the main differences between traditional and proactive safety management models.

2.6 Know how perception of risk can affect health and safety in an organisation.

2.7 Understand how human factors and failures are classified, connected and can contribute to
incidents and how human reliability in the workplace can be improved.

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Contents Page No

2.1 Organisational Structures 44

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

External and Internal Influences on the Organisation 49

PEST Analysis 49
2.2 Leadership 53
Authentic Leadership 55
2.3 Consultation 57
The Roles and Responsibilities of Health and Safety Practitioner in the Consultative Process 69
2.4 Health and Safety Culture and Climate 71
Why Promote Health and Safety Culture and Climate? 74
Problems and Pitfalls 80
Elements of an Organisation’s Safety Culture 81
Ten Elements of the Safety Culture Maturity Model 81
2.5 Safety Management 88
2.6 Risk Perception 93
2.7 Human Failure 100
The Job Factors 107
Role of Ergonomics in Job Design 107
The Components of Ergonomics 107
Ergonomically Designed Control Systems 116
Relationship between Physical Stressors and Human Reliability 123
Effects of Under-Stimulation, Fatigue and Stress on Human Reliability 124
The Influence of Personality, Attitude, Aptitude and Skill 127
Influence of Formal and Informal Groups 136
Organizational Communication Mechanisms and their Impact on Human Failure Probability 138
Improving Individual Reliability in the Workplace 142
References 147
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List of Figures

Figure 1: The Organisation as an Open System 44

Figure 2: Mechanistic / Hierarchical Structure 45
Figure 3: Functional Structure 46
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Figure 4: Divisional Structure 46

Figure 5: Geographical Structure 47
Figure 6: Transformational Leader Traits 54
Figure 7: Transactional Leader Traits 54
Figure 8: Safety-I assumes that things that go right and things that go wrong happen in different ways 88
Figure 9: The Process of Perception 93
Figure 10: Human Failures (HSG 48) 100
Figure 11: Hale and Glendons Behaviour in The Face of Danger Model 103
Figure 12: Human Factors 105
Figure 13: Normal Distribution Chart 109
Figure 14: The Five Shells of Influence 109
Figure 15: The Man-Machine Interface, Emphasising the Performance of the Human Information
Processing System 112
Figure 16: “Cranfield Man” 116

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Figure 17: Instrumental Panel 119

Figure 18: Patterns of Causes and Effects of Stress 126
Figure 19: Key Variables Affecting Individual Behaviour 127
Figure 20: Components of Attitude 128

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Figure 21: Vertical Communication 140
Figure 22: Horizontal Communication in a Bank 141

List of Tables

Table 1: Structural Elements 45

Table 2: Internal and External Influences 50
Table 3: Incidents arising from poor culture 71
Table 4: Overview of Safety-I and Safety-II 90
Table 5: Sensory Receptors 93
Table 6: Sensory Defects 94
Table 7: List of the Relative Advantages of Men and Machines the Fitts List (From Singleton) 114
Table 8: A Comparison of “Cranfield Man” and the “Average Operator” 116
Table 9: Rate of Injury by Job Tenure 131
Table 10: Shift Work and Ill Health 132
Table 11: Summary of informal and formal groups 137

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44

2.1 Organisational Structures

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Concept of Organisation as a System

The following key points are generally accepted about organisations:

 Organisation is a general term, and its use is not restricted to industry and commerce.

 Organisations are created by people and populated by people.

 Organisational success is dependent upon individuals working towards common goals in a co-
ordinated and controlled manner, and informal groups and structures are often equally important as
formal, role-based structures.

The view of an organisation as an open system sees the organisation in an interactive relationship with the
environment, drawing resources from it, and converting them into goods or services, which are ultimately
returned to it.

Figure 1: The Organisation as an Open System

Inputs Organisation Outputs

People Transformation Products
Finance process Services
Raw materials and Information
Information
Money and Waste
Pierre

Feedback
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The Environment

Within an organisation system each department or division may be considered as a sub-system with its own
inputs, transformation processes and outputs and its own environmental contexts.

Organisational Structure and Functions

The organisational structure determines how job tasks are formally divided, grouped and co-ordinated.

 Structure makes management possible – creating a framework through which activities can be
planned, organised and controlled.
 A good structure does not in itself produce good performance, but a poor structure makes 'poor
performance' inevitable.

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The type of structure will vary according to the needs of the organisation but is determined by six key
elements:

Table 1: Structural Elements

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

The degree to which tasks within the organisation
Work specification
are split into separate jobs

The basis by which jobs are grouped together to

Departmentalisation
ensure effective co-ordination

The lines of authority from the top to the bottom

Chain of command of the organisation that determine to whom
individuals and groups report

Determines the number of tiers and managers an

organisation has by establishing how many
Span of control
employees managers can efficiently and effectively
control

The degree to which formal authority and decision

Centralisation / decentralisation making is focused within / or diffused throughout
the organisation

The degree to which jobs can be standardised.

Formalisation Requires employees to work within a rigid
framework of rules, minimising discretion

Formal Organisations

Hierarchical vs Flat Management Structures

Structures vary from 'mechanistic' at one extreme of the spectrum to 'organic' at the other.

A hierarchical organisation follows the shape of a pyramid in such organisations every employee in the
organisation, except one, usually the CEO, is controlled by someone else within the organisation.
A flat organisation refers to an organisation structure with few or no levels of management between
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management and staff level employees. The flat organisation supervises employees less while promoting
their increased involvement in the decision-making process.

Figure 2: Mechanistic / Hierarchical Structure

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Mechanistic structures have:

 Tiers of management control

 High formalisation
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

 Mostly downward communication

 Limited participation of lower-level staff in decision making

Work within a mechanistic structure may be distributed according to:

 Function or purpose of work. (Figure 3)

 Product or service provided (divisional). (Figure 4)
 Geographical location. (Figure 5)

Organic structures have:

 A 'flat' management structure

 Cross mechanical and cross functional teams
 Low formalisation
 Comprehensive information network
 Highly participative decision making

Figure 3: Functional Structure

Pierre

Figure 4: Divisional Structure

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Figure 5: Geographical Structure

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Organisation Charts
The structure of an organisation is determined by its general activities – size, location, business interest,
customer base, etc and by the way in which its workers are organised.

The organisational pyramid (formal structure) is probably the principal model for most organisations with
management at its apex and the workforce at its base. Within this model each separate department has its
own pyramid with its own power structure and departmental goals. If the organisation is very large then
considerable problems involving communication, efficiency, effectiveness, etc. may occur.

The Informal Organisation

The informal organisation develops from the social and psychological needs of the people within the
organisation.

The informal organisation is flexible with undefined relationships.

The informal organisation can have a significant influence upon the morale and performance of staff. It can:

 Address social needs, providing a sense of personal identity and belonging

 Provide the grapevine informal channels for speedy communication
 Motivate staff through status and social interaction
 Control members through informal norms of behaviour
 Highlight weaknesses in the formal organisation
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The informal organisation may be used to bypass bureaucratic systems in delivering information. A rumour
can spread very quickly through informal channels, e.g., a takeover bid, long before there is a formal
declaration or intention to act.

Role of Management
Management will lead through issued instructions, policies and procedures, and supervision to ensure that these
are being complied to.

Specific responsibilities of management:

 Recommend to senior management team improvements or changes

 Plan health and safety into their work activities
 Interpret the health and safety policy
 Monitor/review/improve work systems

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 Monitor the work of subordinates/workers

 Control the work activities of their subordinates/workers
 Review reports and statistics

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Take part in investigations

The relationship of line management to health and safety practitioners should be clearly established. The
following factors should be borne in mind while establishing this relation:

 The health and safety practitioner should report to an effective senior manager
 Health and safety practitioners should not report through to a ‘Production’ Manager as it may
produce an intolerable health and safety versus production conflict
 In large organisations a number of health and safety practitioners may be employed and their inter-
relationships are important

Organisational and Individual Goals: Potential Conflicts

People within organisations are motivated to work towards organisational goals or objectives that ultimately
result in increased benefits, promotion, and peer recognition. However, in many cases, these individual goals
are not aligned with the organisation’s broader goals. The negative consequence is that while people in the
organisation strive towards personal motivations, very few people, if any, are directly concerned with the
organisation’s ultimate objective namely that of producing and delivering products and/or services to their
customers.

The goals of the individual and organisation may be summarised as follows:

Individual goals Organisational goals

Physical and mental well-being High productivity
Reward for their contribution, particularly financial Low error conditions - health and safety,
environment and quality
Job satisfaction Low absenteeism
Personal development Co-operation

Integration of the goals of the organisation with the needs of the

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individual
Most people have functional roles. For instance, they may produce an intermediate product or participate in
the management of a particular section of an organisation’s operations. However, they never see the final
outcome of the operation; that is the product going to market for sale. As such, they tend to become locked
into their own particular part of the operation and cannot see ‘the big picture'.
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People have their own particular goals with respect to work, such as future promotion, the acceptance of their
ideas and recommendations by the organisation and the increased remuneration accompanying these goals.

Integrating the goals of the organisation with those of the individual entails shared beliefs and attitudes with
respect to the core focus of the organisation, such as the production of a quality product or the provision of a
service. In particular, it implies authority, responsibility and accountability on the part of all levels of
management.

Authority, Responsibility, Accountability

In organisational terms, managers are delegated authority by those appointed by more senior than
themselves. The Authority also carries responsibility and accountability. When a manager’s execution of
authority is evaluated, to see if they have met their responsibilities, they will be accountable for their success
or failure. The limits of responsibility and authority should be clearly defined so that individuals know the
extent of what they can and cannot do.

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External and Internal Influences on the

Organisation

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

PEST Analysis
PEST analysis is a methodology for analysing the environment in which an organisation or its sub-units
operate. Although originally designed to consider external influences, the same checklist can also be applied
to internal influences.

The acronym PEST represents the following groups of factors:

Political factors National and organisational political factors that may affect the
performance of or the options open to the organisation.

Economic influences The nature of the economic climate within which the organisation
operates.

Sociological trends Demographic changes, trends in the way people live, work and
think, e.g. The increase today towards environmentally friendly and
healthy lifestyle to products and services.

Technological innovations New approaches to doing new and old things and tackling new and
old problems; these do not necessarily involve technical equipment
– they can be novel ways of thinking and organising.

More recently the technique has been modified to consider a

broader range of influences including:
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Ecological factors The wider ecological system of which the organisation is a part and
consideration of how the organisation interacts with it.

Legislative requirements Where appropriate the influence of national and international legal
requirements.

Industry analysis A review of the attractiveness of the industry of which the

organisation forms a part.

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The NEBOSH International Diploma syllabus requires specific consideration of the following influences:

Table 2: Internal and External Influences

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Internal Influences External Influences

Finance Legislation

Production Targets Parliament / HSC

Trade Unions Enforcement Agencies

Employment Tribunal

Contracts / Contractors

Trade Unions

Insurance companies

Public Opinion

Internal Influences

Finance
Organisations are motivated in much the same way as individuals. Consider Maslow’s Hierarchy of needs
which suggests that people are fundamentally motivated by the need to survive and only work towards
addressing their higher needs in the knowledge that the more basic needs have been addressed.

Organisations are the same. Organisations are unlikely to invest in health and safety training when they are
struggling to pay the bills, and when their very survival may depend upon getting the next order out on time.
Pierre

Production Targets
Getting the balance right between production pressures and health and safety needs is imperative to develop
a positive safety culture.

Time pressure on employees to meet production demands has been shown to increase accident rates. Errors
are more likely to occur when workers have high levels of fatigue due to demanding work schedules or
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excessive overtime.

Financial incentives to improve productivity can also lead to safety being compromised.

Trade Unions
Good labour relations results in a more motivated and safety compliant workforce; and deterioration in safety
standards could also result in deterioration in labour relations.

An effective safety committee with a co-operative relationship between management and the trade unions is a
good indicator of a positive health and safety culture.

The International Labour Organisation Occupational Health and Safety Convention C155 sets out a
framework for safety management that periodically review a coherent national policy on occupational safety,
occupational health and the working environment. In addition, member countries are required to undertake
measures, in accordance with national law and practice, to achieve these objectives.
Supporting this Convention is an ILO Recommendation R164 entitled 'Occupational Health and Safety
Recommendation'. This publication further details the criteria set out in the ILO Convention 155.

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Organisational Goals and Culture

Organisations that have clearly set out their health and safety goals in their health and safety policy
statement, influences a good culture. It’s important to make sure that goals should be established to meet

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

both legal and moral obligations. It is also important to set out how the goals will be achieved, by whom and in
what period.

Organisations must also have a process should recognize the need for ongoing continuous improvement.

Culture relates to the values and beliefs of an organisation and may have a positive or negative influence on
health and safety. Cultures that have an unconscious bias to productivity or short-term thinking and a reactive
approach can create a strong negative influence on health and safety Organisations that have a planning and
proactive approach that includes health and safety will have a strong influence.

External Influences

Legislation
Each member country ratifying the ILO Convention should introduce national laws to set out minimum
standards of occupational health and safety worker protection in that country.

With any legal structure there will be penalties for non-compliance and these can be very significant indeed
including financial penalties as well as imprisonment in some cases. Legal standards are minimum standards
which must be complied with.

Enforcement Agencies
National enforcement agencies generally have a dual role that includes education/raising awareness of legal
requirements related to health and safety as well as the enforcement of national laws.

In some countries the enforcing agencies establish initiatives designed to get organisations to focus on known
health and safety issues and to take action to prevent harm.

Courts and Tribunals

Courts and tribunals have an influence on health and safety after the event because they consider health and
safety after an issue has arisen because they represent a neutral perspective, they provide a source of
arbitration and moderation. The courts provide an opportunity to reflect society’s expectations regarding
health and safety.

In recent years courts have been giving organisations (and individuals) that have caused harm, particularly to
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members of the public, significant fines.

Contracts / Contractors / Clients

Supply chain pressures have had a significant impact upon the management of health and safety in recent
years. High quality organisations in both manufacturing and service sectors require their work partners to
perform to similarly high Standards.

Organisations not attaining the necessary standards will not be used, specifically in terms of the
client/contractor relationship the client can exert considerable pressure over the contractor. To win a contract,
certain standards of performance must be attained. The contractor may of course be more enlightened than
the client and can inform the client of concerns and shortcomings which may influence behaviour and health
and safety management positively.

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Trade Unions
Trade Unions function as pressure groups often lobbying the government and employer in accordance
with their member’s wishes.
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Historically, Trade Unions have been at the forefront of civil legal action for compensation for their
members. In the light of employers alleged negligence Class actions, key individual cases supported by
Trade Unions have had a significant impact upon the management of health and safety.

Insurance Companies
In the UK there has been, on average, a two-third increase in employers’ liability premiums (in real terms)
over the past decade and a doubling of claims in the past five years. Despite this, insurers have not profited
from employers’ liability for several years.

Insurers are now taking more interest in risk management and particularly in the control of long-term health
hazards.

An effective health and safety management system delivering minimal accidents and ill-health cases is not
just a pre-requisite for affordable employers’ liability insurance but is becoming a pre-requisite in obtaining a
premium full stop.

In countries where compulsory liability insurance is not a minimum legal standard, the use of insurance as a
risk management tool (risk transfer) can significantly influence perceptions and actions in safety
management. Insurers are pressurising employers to improve health and safety management standards,
with corresponding benefits in the workplace.

Public Opinion
Public opinion and public perception of risk are affected by direct experience or more generally through
indirect experience as reported through the popular media.

A significant health and safety incident can have dynamic effects not just locally but nationally and
internationally due to the influence of the media.

Once the public has been switched off a particular product or service it is very difficult to recoup their custom
Pierre

and good will.

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2.2 Leadership

What is Safety Leadership?

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Safety leadership can be broadly defined as "The process of defining the desired state, setting up the team to
be successful, and engaging in the discretionary efforts that drive the safety value," which basically describes
"engaging in and maintaining behaviours that help others achieve safety goals".

Types of Safety Leadership

‘Leaders’ may be described as those who are able to influence the attitudes and behaviour of people. While that
may generally be those with formal, senior positions in an organisation that need not be the case. There are
often people at various levels of an organisation with the practical rather than formal ability to influence or have
people ‘follow their lead’. They lead by being opinion formers, with an informal ‘power base’ or following,
exhibiting behaviour that is seen by their peers as being appropriate to the circumstances as understood by
them. Conversely, there are some with formal titles and authority who are not true leaders as they lack
credibility and their directions are not followed.

Directors, managers and supervisors can and should all be leaders in safety. The style of safety leaders could
be summarized below:

 Transformational
 Transactional
 Authentic
 Resonant

Transformational Leadership
This kind of leadership is considered the best style of a leader. This involves inspiring and engaging the ‘hearts
and minds’ of others get things done, such as to participate in safety campaigns. This leadership style is aimed
at:

 Producing mutual understanding and sharing of values and goals

 Greater level of safety consciousness and compliance and perceptions of a positive safety climate
 Inspiring others
 Promoting self-motivation
 Eliciting ideas and encouraging flexibility

This style is represented by openness and trust, communication, supporting rather than directing, flexibility in
thinking, and a preparedness to accept new ideas and challenge existing processes and beliefs. This style may
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focus more on strategy and concepts than tactics.

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Figure 6: Transformational Leader Traits

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Transformational leadership is a key to success at the strategic levels of an organisation - the board and
executive. It is, however, also important at the middle management and supervisory levels as quality
communication and engagement of team members has been shown to help shape safety interventions and
improve safety commitment and performance.

Transactional Leadership
Transactional or situational leadership is aimed at:
 Achieving compliance through the setting and obtaining agreement on goals
 Monitoring circumstances
 Performance and administering reinforcement and accountability
Pierre

This leadership style is that of “telling” rather than “selling” and may be considered to be management rather
than leadership. Nevertheless, it is leadership to the extent that it is aimed at influencing the behaviour of
others.

Transactional leadership is most commonly seen at the middle management and supervisory levels, and
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particularly in process driven organisations. This style of leadership adopts a reward and punishment system.
It is dominant in command-and-control organisations, as well as in organisations where strict observance of
procedures is critical to quality and safety. Workers are expected to carry out their duties as instructed.
Should something go wrong, the worker will be blamed and punished accordingly. The limitation of this style
of leadership is that not everyone is motivated by reward.

Figure 7: Transactional Leader Traits

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Authentic Leadership
Authentic leaders possess positive attitude and are great at inspiring people. They build trust, enjoy loyalty,
and support from their subordinates. They foster individual and team performance.

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Authentic leadership consists of four components

Some research has suggested that there are four key traits to authentic leadership. They are:

1. Self-awareness - authentic leaders reflect on their strengths, weaknesses, values and limitations
2. Relational transparency – authentic leaders do not overly display emotions, but are great at sharing
their thoughts and beliefs.
3. Balanced processing – authentic leaders welcome both opinions and opposing viewpoints from
subordinates and consider them in a fair manner.
4. An internalized moral perspective – authentic leaders adopt a strong moral code in their relationships
and decision making. They are not easily influence by external forces. They may also find making
unpopular decisions difficult to do.

The following diagram shows how the power of authentic leadership drives organizational performance

Source www.ckju.net
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Resonant Leader
Resonant leaders are in tune with those who are around them, and they use their emotional intelligence to
guide and help others. They are very aware that their actions will have an impact on people. They are skilful
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

in bringing out the best in people, and in helping them achieve results.

Resonant leaders are in-tuned with their own emotional intelligence, and the emotional intelligence of others
around them.

Advantages and Disadvantages of different types of safety

leadership

Types of Safety Advantages Disadvantages

Leadership
Transformational - Inspire others to get things done - Not good at handling details
- Produce mutual understanding and relies on staff to take care of
sharing of values and goals details.
- Promotes self-motivation - Their passion and believes
- Elicit ideas and encourage flexibility may not align with reality

Transactional - Procedures and rules are strictly - Not everyone is motivated by

implemented and observed reward
- Workers are rewarded for success - Workers are made
responsible for failure
Authentic - High moral standard - Contradiction could occur if
- Build trust, support and loyalty from they have to make unpopular
sub-ordinates decision.
- Difficulty in measuring the
performance of this style as it
is fairly new.
Resonant - Skilful in bringing out the best in - High collaborative process
people that affects the organisation’s
- In-tuned with their own emotional ability to rapidly make
intelligence changes.
- Their support and positive attitude - Their negative attitude and
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towards safety will reverberate lack of support for safety will

throughout the organisation reverberate throughout the
organisation

Behavioural Attributes of an Effective Leader

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A successful team leader may have many common leadership behaviour traits. These include the ability to:

 Behave and act with integrity and credibility, such as keeping

promises
 Effectively communicate
 Understand the requirement for developing the individuals
under control.
 Listening to views of others without passing judgement
 Set SMART goals and motivate the team members to
achieve them.
 Encourage and motivate in collective engagement
 Take responsibility for mistakes
 Recognise the contribution of others, and give them credit for their success
 Set acceptable behaviour by self-example
 Treat everyone equally (no discrimination)

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2.3 Consultation

Role of Consultation within the Workplace

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

There are many requirements to inform staff about hazards, risks and health and safety controls within the
workplace.

Consultation is a different process; it involves communicating with the workforce, taking into account their views
before management decisions are made.

The ILO Convention 155 Article 20 sets out the requirement for communications between employers and
workers, requiring ‘co-operation between management and workers and / or their representatives within the
undertaking'.

The associated  Be able to contribute to the decision-making

Recommendation 164 is process at the level of the undertaking
regarding matters of safety and health.
further amplified within this
 Have access to all parts of the workplace
article and requires: and be able to communicate with the
workers on safety and health matters during
The appointment, in accordance with national working hours at the workplace.
practice, of workers' safety delegates, of workers'
safety and health committees, and/or of joint safety  Be free to contact labour inspectors.
and health committees; in joint safety and health
 Be able to contribute to negotiations in the
committees, workers should have at least equal
undertaking on occupational safety and
representation with employers' representatives.
health matters.
Workers' safety delegates, workers' safety and  Have reasonable time during paid working
health committees, and joint safety and health hours to exercise their safety and health
committees or, as appropriate, other workers' functions and to receive training related to
representatives should: these functions.

 Be given adequate information on safety  Have recourse to specialists to advise on

and health matters, enabled to examine particular safety and health problems.
factors affecting safety and health, and
encouraged to propose measures on the
subject.
 Be consulted when major new safety and
health measures are envisaged and
before they are carried out and seek to
obtain the support of the workers for
such measures.
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 Be consulted in planning alterations of

work processes, work content or
organisation of work, which may have
safety or health implications for the
workers.
 Be given protection from dismissal and
other measures prejudicial to them while
exercising their functions in the field of
occupational safety and health as
workers' representatives or as members
of safety and health committees.

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HSG 263 Involving Your Workforce in Health and Safety

Source: British Health and Safety Executive

Consultation on health and safety is a two-way process between the employer and employees where the
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

employer:

 Talk to each other about issues

 Listen to employees’ concerns and raise their own concerns
 Seek and share views and information
 Discuss issues in good time
 Consider what employees say before making decisions.

The Four Stages to Consultation are:

1 Get started – prepare

2 Get organised – plan
3 Get it done – consult and involve
4 Get it right – keep improving

Stage 1. Get Started: Prepare

This section is about preparing to involve your workforce. It explains:

 Why employers should talk to their employees about health and safety?
 What the law says and how it applies to the workplace?
 How to gain commitment from the business and your workforce?

The facts:

 Accident rates are lower where employees genuinely feel they do have a say in health and safety
matters than in workplaces where employees do not get involved.
Pierre

 Employee involvement in health and safety management relates to a more positive health and safety
climate
 Stronger employee involvement means better control of common workplace risks such as slips and
trips.
 Employers can learn about the risks through consultation.
 Research has shown that workplaces with health and safety committees where some members are
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selected by unions have significantly lower rates of work-related injury than those found in
workplaces with no co-operative health and safety management.
 Aside from a legal duty to consult with employees, workplaces that consult with employees on
decisions about health and safety are safer and healthier.

Talking, listening and co-operating with each other can help:

 Identify joint solutions to problems

 Develop a positive health and safety culture where risks are managed sensibly
 Reduce accidents and ill health, plus their related costs to the business
 Bring about improvements in overall efficiency, quality and productivity
 Meet customers’ demands and maintain credibility
 Comply with legal requirements.

A workforce that feels valued and involved in decision-making plays a big part in a high-performing
workplace.

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What does the law say?

Different requirements exist in different countries. The law sets out how the employer must consult with the
employees in different situations and the different choices they have to make.

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

All employees are protected by employment law against harm (e.g., under the UK Employment Rights Act
1996, as amended).

How does the employer gain commitment to involve their workforce?

Commitment from all parties is vital for employee involvement to be effective and successful. This means the
employer, the employees, and the trade unions need to gain buy-in to the process.

Get Commitment from the Business

Those people who are in-charge of a business or responsible for managing health and safety, will need to
convince management to commit. Leadership and commitment from management is important in making
involvement successful.

Apart from the legal duty to consult, the employer can demonstrate why the need for commitment by building
a case in a number of ways:

 Highlight how co-operating with employees in other areas of the business has led to improvements
 Demonstrate evidence of the benefits to the business
 Look at current health and safety issues which could be addressed through consultation
 Explain that engaging the workforce is an investment. It may take time to develop trust, but it has
been shown to reduce workplace injuries and accidents
 Provide reassurance that consultation will not diminish effective management. Consultation does
not mean you have to agree on every issue, but rather discuss the areas of disagreement and
respect the views of others.

Get Commitment from the Employees

Employees are more likely to engage and believe in consultation when senior managers show personal and
long-term commitment and listen to the views of employees, because they want to hear what the workforce
has to say.

Employees are more likely to communicate if:

 They are committed to your business goals, including the health and safety goals
 They think it is in their interests to participate
 They trust you and find you approachable
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 Your actions match your words.

Stage 2. Get Organised: Plan

This section will help the employer to plan effectively and covers:
 What affects how they involve their workforce
 What they should consult with your workforce about
 When they should consult, so that they can do it in good time
 Arrangements for training health and safety representatives.

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What affects how the employer involve their workforce?

When planning how best to involve the employees, the employer needs to consider the following factors
about the business, the workplace, and the workforce that will have an impact on how they can engage with
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

the employees.

The business
 Structure of the business.
 Management style.
 Organisational and safety cultures.
 Trade union recognition and employment relations.

The workplace
 Size of workplace.
 Location of sites.
 Types of work done.
 Degree and nature of inherent dangers.

The workforce
 Size of workforce.
 Diversity of the workforce.
 Employment structures (e.g., direct employees, agency and contract workers).
 Work patterns such as shift systems, part-time etc.
 Offsite, remote or mobile workers.

These factors will affect whether the employer consult with individuals or representatives, the methods use,
organisation of inspections and investigations, and co-ordination between committees, among other things.

What should the employer be consulting with their workforce about?

Pierre

The law says that the employer must consult with their workforce about anything in the workplace that could
substantially affect their health and safety. The specifics will vary from workplace to workplace.

In general, the employer must consult about:

 Any change which may have a substantial effect on the workforce’s health and safety.
 Arrangements for getting competent people to help them meet their obligations under health and
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safety laws
 Information they must give to their employees on the likely risks in their work and precautions they
should take. Discuss with employees and representatives the best way for information to be shared.
 The planning of health and safety training.
 The health and safety consequences of introducing new technology.

Risk Assessments

Employers have a legal duty to assess the risks to the health and safety of the employees. In carrying out a
risk assessment, the employer should consult with the employees and health and safety representatives. It is
a valuable way of involving the employees who are doing the work. Employees know the risks involved and
the scope for potentially dangerous short cuts and problems. Employees are more likely to understand why
procedures are put in place to control risks and follow them if they have been involved in the process of
developing health and safety practices in their workplace.

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When Should the Employer Consult?

There is no legal set time limit, but the employer must consult in good time. This means there has to be
sufficient time to explain the issues to employees, time for them to consider and get back to the employer with
informed responses, and time for the employer to take into account the employees’ response before the

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

employer make a final decision.

It is advisable to consult promptly and regularly. Regular consultation is better than consulting on a case-by-
case basis as issues come up because it allows the employer to spot potential problems early.

How long the consultation process takes will largely depend on the complexity of what the employer are
asking the workforce to consider, how many people are being consulted, and methods of consultation. A
technical matter requiring time for consideration, or consulting an entire large workforce, is likely to require
longer.

Training arrangements for health and safety representatives

For health and safety representatives to be able to perform their role, they need to be equipped with
appropriate skills and knowledge, so the employer must plan for their training.

Stage 3. Get It Done: Consult and Involve

This section provides practical advice on ways to consult and involve employees or their representatives. It
explains:

 The duties of employers when consulting with representatives.

 The methods of involving the employees
 How to involve representatives in investigations and inspections
 How to set up a health and safety committee and make it work well

The employer has a duty to:

 Allow representatives paid time to perform their role and to undertake training
 Provide facilities and assistance
 Provide information
 If the organisation recognises trade unions, then it would be appropriate to set up a health and
safety committee if two union-appointed representatives request it in writing

If the employer has union-appointed health and safety representatives or representatives elected by
employees in the workplace, then the employer has a duty to:
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 Let them have time with pay as is necessary to carry out their role during their normal working hours
 Let them have time with pay as is necessary to be trained to perform aspects of their role, as is
reasonable in the circumstances.

Performing the role of a health and safety representative is a part of their job once they have been appointed
or elected. The employer can recognise this by recording it in the representatives’ job description, work
objectives or performance agreement for the year.

It can be mutually beneficial if the employer involves their elected health and safety representatives in
inspections, investigations, risk assessments, and health and safety committee meetings.

Training for health and safety representatives is vital to enable them to carry out their roles effectively.

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Provide facilities and assistance

Employer must provide the representatives with facilities they may reasonably need to carry out their role.
Although the needs of health and safety representatives will vary from workplace to workplace, in general the
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

employer should ensure the representatives have access to equipment and assistance such as:

 A telephone and office area where they can have a private and confidential conversation as part of
their role
 Suitable storage space for paperwork, records or reference material, such as a lockable cabinet or
desk
 Intranet and internet facilities
 Communication and distribution facilities like a photocopier and a notice board to circulate
information to the employees they represent
 Time with the employer or senior management to discuss health and safety issues.

Employers should also allow representatives to have facilities for investigation of hazards, complaints, and
incidents, including private discussions with employees.

Provide information

Employers must provide health and safety information to the health and safety representatives so that they
may fulfil their role. Note: Employers should already have relevant health and safety information as part of
their health and safety management system, such as copies of risk assessments or accident records.

Employers should provide employees and representatives information that will help them to understand:

 What the risks and dangers are for their work, or could be if there are changes to their work which
will affect health and safety
 What is done, or will be done, to reduce or stop the risks and dangers
 What they ought to do when they come across a risk or dangerous situation
 The name of the competent person.

By law, employers do not have to give employees or their representatives any information that:
Pierre

 Would be against the interests of national security or against the law

 Is about someone who has not given their permission for it to be shared
 Would harm the business unless it has an effect on health, safety or welfare
 Is connected with legal proceedings.
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Set up a Health and Safety Committee

If two or more union-appointed safety representatives request in writing that the employer set up a health and
safety committee, then the employer must do so within three months of the request being made.

If the organisation has two or more elected representatives, the employer can consult with the elected
representatives through a health and safety committee too, although the law does not require the employer to
do this. If the employer consults with both union-appointed representatives and employee-elected
representatives, it can be practical to have both of them represented on a health and safety committee.

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What are the best ways to involve the employees?

The method used to involve the employees will depend on:

 Which regulations apply to the workplace

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

 Whether the employer is involving individuals directly or consulting with the employee
representatives
 The specific health and safety issue the employer wish to consult on.

There are various ways the employer can consult with employees
- Face to face, directly with individuals
- Indirectly with employees
- Through representatives.

Face to Face:
 One-to-one discussions can be effective for small business, as the employer will have the
opportunity to talk to their employees regularly.
 If the business is larger, then the employer could try regular walkabouts to meet employees face to
face, and they get to share ideas and concerns.
 Have health and safety as a standing item on the agenda of routine team meetings where the
employees’ views can be fed back to the employer, and so there is always an opportunity for health
and safety issues to be picked up.
 Special workforce meetings can be best when there is a need to call the whole workforce together
for their views and opinions. This could be in addition to regular team meetings.
 Arrange toolbox talks where short talks on specific health and safety issues that show the
relevance of a topic to particular jobs, for instance a talk about manual handling for those doing jobs
that involve lifting heavy goods. It allows the employer and the workers to explore the risks and think
about ways to deal with them.
 Set up work groups to tackle specific health and safety issues and explore ways of making a
difference. The employees involved in the group should be directly involved with the issues being
looked at so they can really contribute to solutions.

There are also indirect ways the employer can involve employees:
Company intranet sites with health and safety information are convenient as they can feature news and
request the views of all staff. Keep the information updated and draw attention to new material so people who
do not regularly check it will know what is happening in their workplace. If some staff do not have access to
the company intranet, the quality and range of views given may be compromised.

Staff surveys can be useful in consulting with the workforce, although a lack of trust can undermine surveys
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and reduce the return rate. Consider the literacy or language skills of the workers to make sure they can
answer questions they understand. The employer can appoint an external organisation to run the staff survey
so the employees feel they can say what they really think.

Employee suggestion schemes can be useful if they are regularly used and acted upon. However, they
may not work if employees believe they will not make a difference, or because the employer and the
employees have already developed a good working relationship without the need for a suggestion box.

Notice boards and newsletters can be useful for sharing information as part of the consultation process,
particularly if used together with other methods as this increases the chance of getting messages across.

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Think about the different work patterns of the workplace. The workplace may have homeworkers, part-time
workers, shift workers, and agency workers and others, so think about the best way to consult with them.
Asking the employees or their representatives about their needs and preferences can make good sense.
Consulting with them in a way that suits them will demonstrate that the employer wants to hear what they
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

have to say and it will help get them engage in the process.

If the employees have difficulties in understanding English, or have low literacy levels, there are a number of
ways the employer can communicate with them to encourage their involvement.

 Ensure adequate time is allocated to consult with employees where language and/or literacy is an
issue. This will give them time to absorb the information and to respond to the employer
 Encourage employees to express their views in their preferred language by using interpreters
 Ask a co-worker to interpret, although these employees may need training if they are asked to
undertake this role
 Get information translated and check that this has been done clearly and correctly
 Use pictorial information and internationally understood pictorial signs where appropriate
 Where information has to be in English, use clear and simple materials, and allow sufficient time for
the employees to read the contents.
 Committees and representatives should reflect the workforce they represent
 Consider implementing ESOL (English for Speakers of Other Languages) courses to improve
communication in the workplace and on health and safety.

Ways the employer can consult with representatives

Employers can use the usual methods to consult with representatives such as one-to-one meetings.
However, consultation with representatives usually works better when it is carried out through a structured
forum.

This can be done in a number of ways:

 Have dedicated health and safety committees. They are particularly effective if there are several
representatives for different groups, larger numbers of employees, both union-appointed
representatives and employee-elected representatives, or representatives responsible for more than
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one site.

Investigation and Inspection

Health and safety representatives appointed by trade unions have prescribed functions that requires the
employer to involve them in investigating accidents, potential hazards, complaints, including workplace
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inspections.

There should be an agreed system for informing the representative in the event of an incident occurring. The
employer should involve them in investigations as early as possible. An investigation involving the health and
safety representative gives employees confidence to co-operate.

Formal inspections can take different forms, and the employer and their representatives will need to agree on
the best methods for the workplace. Some of the ways inspections can take place, either separately or in
combination include:

 Safety tours – general inspections of the workplace

 Safety sampling – systematic sampling of particular dangerous activities, processes or areas
 Safety surveys – general inspections of particular dangerous activities, processes or areas
 Incident inspections – carried out after an accident resulting in fatality, injury or near miss or ill health
that has been reported to the health and safety enforcing authority.

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Health and Safety Committees: Setting them up and making them work

It is usually practical to set up a health and safety committee where there are several health and safety
representatives elected by employees; or the employer has to consult with both union-appointed health and
safety representatives and employee-elected representatives.

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

A good way to set out the basic rules and procedures of how the health and safety committee will work is to
have a written constitution on what the committee will do to manage health, safety and welfare. This should
include:

 Purpose and objectives

 Membership
 Meeting arrangements
 Arrangements for reporting the outcome of meetings to employees.

Membership

There is no set number of committee members because the circumstances will vary from business to
business. Generally speaking, committee members could include:

 Management representatives that have the authority to consider views and recommendations
 Employee representatives, either appointed by a trade union, elected by the workforce, or a
combination of both, who have knowledge of the work of those they represent
 Representatives of others in the workplace such as contractors
 Co-opted workers and others. These are people who are included because of their specific
competences such as the company doctor, health and safety adviser, and other specialists.

What will the health and safety committee do?

A committee meeting gives the employer the opportunity to discuss health and safety related matters with the
employee representatives. To ensure all relevant issues are addressed, it can be useful for the committee to
agree some standing items for the agenda and allow for other items to be added as necessary.

Standing items to consider include:

 Statistics on accident records, ill health and sickness absence

 Accident investigations and subsequent action
 Inspections of the workplace by enforcing authorities, management or employee health and safety
representatives
 Risk assessments

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Health and safety training
 Emergency procedures
 Changes in the workplace affecting the health, safety and welfare of employees
 Adequacy of health and safety communications and publicity in the workplace.

Where possible, plan a series of committee meetings in advance but remain flexible to address important
matters as they come up. All committee members should have a personal copy of the planned meeting
dates, and they should be available where all employees can see them, for instance on notice boards or
intranet pages.

It is important that committee meetings are not postponed or cancelled unless there are exceptional
circumstances, or members have agreed to it. If the meeting is cancelled, another agreed date should be
arranged as soon as possible otherwise issues will not be addressed and the work of the committee, plus the
value of health and safety, is undermined.

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To be effective, health and safety committees should address strategic issues affecting the workforce or
groups within the workforce and allow day-to-day health and safety matters to be resolved at a local level
whenever possible.
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Making decisions and dealing with disagreements

The committee can be powerful in making improvements in the workplace.

When considering issues, the committee should:

 Discuss if action is needed

 Make recommendations for agreed action
 Record the discussion and actions in the minutes of the meeting (which should be accessible to the
whole workforce)
 Follow up on the actions, then review them at a later date.

A safety committee requires good communication between the employer and the committee members, and
between the committee members and employees.

To help reach agreements on recommendations remember:

 All members are committed to the committee’s aims and all views should be considered with
respect.
 The committee chair can be effective in summarising points and helping the committee to come to
reasonable recommendations
 Management representatives on the committee should have the authority to consider
recommendations.

If committee members cannot agree on solutions:

 Recommend a range of possible options, not just a preferred approach, which management can
consider
 Explain how and why decisions are reached to demonstrate how views have been considered
 Review the situation at a later date.
Pierre

What resources will employee representatives need as committee members?

Employers could show commitment by providing both health and safety representatives appointed by trade
unions and those elected by the employees with the same resources, although employers are only required to
do this for the former.
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Health and safety representatives need to have:

 Time to prepare for meetings as management representatives would

 Access to the same information for the purposes of the discussion at the meetings
 Training that is reasonable in the circumstances to allow them to perform their role, which includes
attending health and safety committee meetings for union-appointed representatives.

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Stage 4. Get it Right: Keep Improving

This section is about how to ensure arrangements for workforce involvement are as effective as possible. It
includes information on how to continue to improve by:

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

 Monitoring performance
 Reviewing progress
 Knowing what to do when things become challenging.

For effective employee engagement, the employer needs to keep monitoring performance and reviewing
progress regularly with the workforce and employee representatives.

Monitor performance

To keep an eye on how involvement with the employees is working, the employer could:

 Check how supportive management are by asking employees and their representatives if they have
been encouraged to get involved and been given time to participate.
 Check that employees know who their representatives are and whether they have been asked for
their views about health and safety matters.
 Look into organisational arrangements for involving the workforce in health and safety and whether
they have changed to allow employees greater opportunity to be involved in consultation. For
example, have training arrangements improved, or do representatives have their roles noted on their
performance appraisals?
 Collect information on health and safety issues and ideas that were raised as a result of employee
involvement to check if there have been improvements in health and safety.
 Think about other benefits beyond health and safety benefits because involving the workforce could
result in additional benefits, for example in productivity.

When monitoring performance, the employer should ask if:

 What they find is acceptable or if they need to do something more

 They need to address a matter further, how will they do this and what will the employees think
 There are any lessons to be learned.

The employer will be doing well if they can show:

 Employees are aware of their health and safety representative and they communicate with each
other
 Co-operation between managers and employees so that there are the resources to release people
for meetings and training
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 A health and safety committee that deals with strategic matters balanced with everyday problems
that are resolved as they happen
 Good communication with and through the workforce so that messages are delivered clearly and
decisions are explained
 Competence is built through training and information sharing so new skills can be learned as there
are changes
 Joint problem solving, where employees participate as equals to resolve issues
 Joint inspections and monitoring of health and safety performance, risk control systems, and
progress with plans.

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Review Progress

As well as thinking about how well consultation with the workforce is going, check on progress and consider
where might there be room for further improvement.
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

A review checklist can help the employer assess how close they are to moving towards full employee
involvement and joint problem solving. Not everything on the list will apply to all businesses. There may be
other factors not covered that are more relevant, but the statements are general guidelines to help employers
see how they are doing.

Review Checklist

 Gain commitment and action from senior management to involve employees and their
representatives in good time about matters affecting their health and safety.
 Fully involve employees and health and safety representatives in discussions about health and
safety matters affecting them and encourage the workforce to generate ideas for health and safety
initiatives.
 Train managers, employees and health and safety representatives together in health and safety
matters to enable shared understanding and greater co-operation.
 Use a range of methods to consult and involve employees to appropriately and effectively take into
account the needs of different groups of the workforce who are affected by health and safety
measures.
 Give health and safety representatives access to the facilities and training they reasonably need to
perform their role.
 Ensure the health and safety committee members are equal partners, working together to address
strategic matters, and day-to-day matters are resolved elsewhere.
 Involve health and safety representatives in joint accident investigations, workplace inspections and
risk assessments.
 Explain the reasons behind management decisions so the workforce can understand how their views
have been considered in making decisions about managing their health and safety.
 Build on the success of workforce involvement in some issues by engaging employees in
discussions of health and safety issues that can be more challenging.
 Review the progress of involving the workforce in health and safety, and update the consultation
processes so that they are current and effective.
Pierre

Behavioural Aspects Associated with Consultation

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Peer Group Pressures

Employees, who might be interested in taking a more active role, as safety representatives, have a number
of hurdles to overcome, such as the attitude of their peers and fitting in the responsibilities as safety
representatives alongside their existing job within a group.

Becoming a safety representative entail conforming to stated levels of safety performance and not doing
anything to reduce the levels of performance due to peer group pressure which brings disrepute to the role.
For example, a representative who witnesses unsafe behaviour in their peers may be hesitant to consult
because of fear of retaliation or rejection. These ‘peer groups’ put pressure on their members whereby
membership of the group entails conforming to the group norms or standards. In all cases, failure to meet
the group norms entails either rejection from the group or the need to prove continuing commitment to
achieving the group norms.

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Dangers of Tokenism

For people to engage in real consultation, they have to feel it is a genuine process and addresses important
issues that matter to them. All too often management curtails information avoids action on feedback and
fails to follow up a consultation. This is tokenism; this type of consultation is designed to meet only

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

IA6– Organisational Factors

regulatory requirements and to divert the demands of employees for participation into not detrimental
channels (that is, channels that are peripheral to centralized decision-making), while providing a ground for
presenting the company as progressive to the community and the market.

For example, the consultation process does not genuinely include Young Workers, and they are only
consulted in token or inadequate ways, e.g., young Workers may be included in OHS workgroups, but OHS
representatives don't actively seek out their ideas and opinions.

Potential Areas of Conflict

Potential areas of conflict may arise between the employer and the safety representatives on health and
safety issues during consultation:

 In general: there is a conflict of interest between workers (primarily demanding healthy workplaces)
and employers (primarily looking for cost-efficient production). Employers often take the cheap and
easy option to resolve a problem. Cost is a major factor taken into consideration by the employer
when deciding what to do about a problem. This can lead to conflict between employees and safety
representatives.
 Health and safety representatives have an independent approach to solving health and safety
problems in the workplace, which often challenges the supervisor’s or employer’s view.

The Roles and Responsibilities of Health and Safety

Practitioner in the Consultative Process
The OHS practitioner/advisor can further assist in the Consultation process by:

 Initiating, guiding and promoting consultation process on health and safety. It is through this
process that senior leaders and managers are best supported.
 Providing support and guidance for effective consultation, through training, repetition, practice, and
review
 Supporting managers and senior leaders to promote and foster open lines of communication and
consultation with workers will ensure that the overall process is effective and undertaken in line with
legislative obligations.

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Assisting senior leaders and managers to share information about health and safety with workers
and, in turn, allowing worker suggestions and feedback to be taken into account before a final
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decision is made.
 Encouraging senior leaders and managers to share health and safety information with workers about
health and safety matters
 Facilitating open discussions between managers and workers
 Ensuring that worker views are taken into account and given adequate consideration.

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OHS practitioners/advisors can proactively increase the effectiveness of workplace consultation and
achieve success through a variety of ways. From a practical perspective either through interactions with
managers or directly with workers and safety representatives by:
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

 Providing a suggestion box for workers to leave their ideas for the consideration of management
 Displaying the latest health and safety news and information on a prominent notice board
 Developing and making available clearly written policies and procedures for dealing with workplace
issues e.g., issue resolution, safety representative elections
 Encouraging managers to make health and safety a priority at team meetings
 Preparing reports and providing strategic advice to other workplace programs e.g., HR, safety,
health, and wellbeing
 Building OHS into business planning and practices.

Relationship within the Organisation

OHS practitioners/advisors can increase manager and worker participation and ownership of their own
health and safety outcomes by encouraging them to:

 Submit their ideas and thoughts on health and safety to their managers or direct OHS team
 Become actively involved in work health and safety in their workplace
 Participate in activities and programs
 Keep up to date with changes in the laws and what they mean to them and their workplace
 Be informed - view their intranet, notice boards, and website
 Talk to their safety representatives and employee representatives about issues and ideas for
health and safety in their workplace
 Lead by example - be seen to be safe by putting into practice what is in procedures.

Relationship outside the Organisation

Health and safety practitioners liaise with a wide range of outside bodies and individuals including:
Pierre

 Local government enforcement agencies

 Architects and consultants, etc.
 The fire department; contractors
 Insurance companies

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Clients and customers

 The public
 Equipment suppliers
 The media
 The police
 Medical practitioners
 And hospital staff.

This is a very wide brief and indicates that the safety practitioner requires a broad and extensive knowledge
of health and safety matters in order to fulfil his duties. He is the organisation’s first contact when health and
safety problems are encountered and will give advice on short-term safety solutions to problem and follow this
through with perhaps a recommendation for a change in policy or the introduction of new technology or
new/revised safe systems of work. He will also recommend the services of outside expert consultants where
the problem requires scientific, medical or technical advice which is outside his area of expertise. He may
also be involved in safety committees in a chairing role or simply in and advisory capacity during committee
deliberations.

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2.4 Health and Safety Culture and Climate

Meaning of Health and Safety Culture and Climate

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

The HSC’s Advisory Committee on the Safety of Nuclear Installations (ACSNI) report 'Organising for Safety'
in 1993 defined safety culture as:

“… the product of individual and group values, attitudes, perceptions, competencies

and patterns of behaviour that determine the commitment to and style and proficiency
of, an organisation’s health and safety management.

Organisations with a positive safety culture are characterised by communications

founded on mutual trust, by shared perceptions of the importance of safety, and by
confidence in the efficacy of preventive measures.”

This definition is also used by the HSE in the Guidance Booklet HSG 48 'Reducing Error and Influencing
Behaviour'.

Other, more direct, definitions include:

“The embodiment of a set of principles which loosely define what an organisation is like
in terms of health and safety”
(Glendon and McKenna, 1995)

“The way we do things around here”

(CBI, 1990)

“Those aspects of the organisational culture which will impact upon attitude and
behaviour, related to increasing or decreasing risk”
(Guldenmund, 2000)

A culture develops from the combined experience of the people within the organisation, whether or not it is
planned, and whether or not it is the one the organisation says it wants.

Safety culture is dynamic, reflecting and reacting to experience, changes in organisations philosophy and
expectations of both internal and external stakeholders.

Investigations into recent high-profile disasters have shown that a poor safety culture can be a significant
factor in incident causation. For example:
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Table 3: Incidents arising from poor culture

Incident Comment

Kings Cross “A cultural change in management is required through

out the organization” Judge Fennel, 1988

Piper Alpha “It is essential to create a corporate atmosphere or

culture in which safety is understood to be, and is
accepted as, the number one priority”. Lord Cullen, 1990

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The term safety culture can be used to refer to the behavioural aspects (i.e., ‘what people do’), and the
situational aspects of the company (i.e., ‘what the organisation has’).

The term safety climate should be used to refer to psychological characteristics of employees (i.e. ‘how
people feel’), corresponding to the values, attitudes, and perceptions of employees with regard to safety
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

within an organisation.

 Safety climate is a psychological phenomenon, which is usually defined as the perceptions of the
state of safety at a particular time
 Safety climate is closely concerned with intangible issues such as situational and environmental
factors
 Safety climate is a temporal phenomenon, a “snapshot” of safety culture, relatively unstable and
subject to change.

Three Aspects
The safety culture and the safety climate have three aspects:

 Psychological Aspects or ‘safety climate’ (individual and group attitudes, perceptions, and
values).
 Behavioural Aspects (safety-related actions and behaviours).
 Situational Aspects (policies, procedures, organisational structures and management systems).

What Is Organisational Culture?

Organizational culture can be defined as the collection of shared values, beliefs, expectations, practices that
guide and inform how people should behave and interact, and how work activities should be performed.
Organisational culture can be influenced by work processes, behavioural aspects of workers, organisational
structures & values, leadership styles, and management systems.
Organizational culture affects all aspects of the business, from workers turning up for work on time to treating
the employees with the same care and treatment as the customers.
Pierre

How organisational culture interlinks with health and safety

culture

Safety culture can be defined as the product of individual and group values, attitudes, competencies and
patterns of behaviour that determine the commitment to, and the style and proficiency of, an organisation’s
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health and safety performance. Culture can also be simply stated as “the way we do things around here”.
Organisations with a positive culture are characterised by communications founded on mutual trust, by
shared perceptions of the importance of safety, and by confidence in the efficiency of preventative measures.
It influences human behaviour and human performance at work.
Safety culture is a subset of the overall organisational culture. For an organisation to have positive safety
culture, management and employees must be fully committed to safety in terms of values, attitudes and
behaviour. Poor safety culture is one of the contributing factors to many major incidents and personal
injuries.
Culture does not change overnight. It usually takes years and needs top management commitment to
develop and drive the change. Managers should demonstrate, through their words and actions, high
standards of health and safety.

A Safety Climate survey can provide management with a snapshot of the organisation's culture in relation to
safety.

The largest influences on safety culture are:

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 Management commitment and style

 Employee involvement
 Training and competence
 Communication

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

 Compliance with procedures
 Organisational learning

Poor cultural factors include:

 Widespread, routine procedural violations

 Failure to comply with the company’s Management Systems
 Management decisions that appear consistently to put production or cost before safety.

Indicators of Culture
Proactive indicators - which show how successfully health and safety plans are being implemented mainly
through the extent of compliance with systems and procedures. The main means are audits, inspections and
management presence.

Safety Management Factors Cultural/Social Factors

Delegation of safety activities Empowerment of the workforce (more general)

Conduct of safety audits Good relation between management and workers

Encouragement of a long-term commitment of the

Monitoring of unsafe worker behaviours
workforce

Safety training -‐ initial and continuing Low turnover and longer seniority

Good housekeeping Active role of top management

Reactive indicators – which show the outcomes of breaches of health and safety systems and procedures,
mainly through accidents, etc. NEBOSH International Diploma

Indicators for a poor health and safety culture:

 A high sickness, ill health and absentee rate among the workforce;
 The perception of a blame culture;
 High staff turnover leading to a loss of momentum in making health and safety improvements;
 No resources (in terms of budget, people or facilities) made available for the effective management
of health and safety;
 A lack of compliance with relevant health and safety law and the safety rules and procedures of the
organisation;
 Poor selection procedures and management of contractors;
 Poor levels of communication, cooperation, and control;
 A weak health and safety management structure;
 Lack or poor levels of health and safety competence;
 High insurance premiums.

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Why Promote Health and Safety Culture and

Climate?
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Drivers of Safety Culture

Cultural drivers may focus on two main areas - those which are related to the organisation and those which
relate to ‘key individuals.

Organisational Drivers
Organisational drivers may be characterized by management systems and procedures in a variety of areas of
organisational activity. These drivers include both internal and external influences.

Internal drivers might include External drivers might include

Corporate business plan The extent of alliance contracts

Organisational structure/change Industry standards

Organisational standards Legal requirements

Performance metrics Regulatory regime

Systems and procedures

Promoting a Positive Health and Safety Culture

Senior Management Commitment ‐ crucial to a positive health and safety culture - This
commitment produces higher levels of motivation and concern for health and safety throughout the
organisation. It is best indicated by the proportion of resources time, money, and people) and support
allocated to health and safety management and by the status given to health and safety. The active
involvement of senior management in the health and safety system is very important. Managers need to be
Pierre

seen to lead by example when it comes to health and safety.

Leadership - Management’s commitment to safety is not enough if it is a passive state; only active,
visible leadership which creates a climate for performance can successfully guide a corporation to a safe
workplace. Safety leadership is seen as fostering a climate where working safely is esteemed - a safety
climate.
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High Business Profile to Health and Safety

Safety is a major cost driver for most high-risk businesses, and for some businesses, safety is not only the
primary cost driver but also the absolute goal by which performance, and potential survival is measured.
Safety performance, or lack thereof, can easily define the difference between success and failure for a
company. To give High business profile to health and safety, businesses should:

 Take a whole-of-business approach to health and safety, including employee attitudes and
workplace culture
 Combine formal business targets with indicators on the welfare and development of staff
 Use a wide range of health and safety improvement program, rather than narrow prevention
measures
 Include technical incident innovations and organisational improvements as part of their health and
safety program
 Measure, design and evaluate initiatives to demonstrate a return on investment

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Provision of Information, Involvement and Consultation, Training

The general duty requires employers to provide employees with the necessary information, instruction,

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

training and supervision to carry out the work safely.

All information, training, and instruction should be provided in a way that all employees at the workplace can
understand. Where employees do not speak or are unable to read the workplace language, employers
should find an alternative method of providing information and training. This would apply to employees with
a non-English speaking background in countries where English is the official language) and to workers who
for physical, intellectual or cultural reasons are unable to read.

Involvement and Consultation

Consultation with employees on health and safety is vital to ensure health and safety is managed effectively.
It requires employers to bring to their attention any issues or concerns that relate to the health, safety, and
welfare of all employees.

Consultation helps promote a positive health and safety culture and ensures that everyone is given an
opportunity to influence health and safety policies and procedures. Without co-operation between employers
and employees, the chances of managing health and safety effectively are reduced. There are many
examples where failure to consult and communicate has led to serious accidents.

Instruction and Training

Instruction and training should be relevant to the safety and health of employees in the workplace and should
take the functions of each employee into account.

The position of employees as managers or supervisors would also affect the nature of the training provided.
They may have management, or control, of some parts of the work process with other employees under their
supervision. This level of responsibility would require more comprehensive training in the administration of
safety and health and the organisation of systems of work, so employees are not exposed to hazards.

The type of training that suits each workplace may vary from place to place and should be determined
following consultation with employees and safety and health representatives where they exist). The training
and instruction given should include:

• Safety and health induction training;

• Industry based training i.e.: accredited or certificated courses);
• Hazard specific training;
• “On the job” training; and
• “In‐house” programs. NEBOSH International Diploma

Promotion of Ownership
Everyone who works at the company should own at least part of the system. Everyone has a responsibility to
contribute, either by assignment, by design or inherently to the system and those who have assigned or
designed responsibility should be accountable to the management or staff of the company for safety
performance in their areas of responsibility. To encourage or develop ownership, managers can foster and
maintain the following:

Engaging employees:

• Obtaining employee input into safety management on a daily basis - not just through OH&S
committees or other formal means
• Reducing the ‘us’ versus ‘them’ mentality through building trust
• Involving all site management in the planning process
• Sharing the information with onsite workers.

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Setting and Meeting Targets

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

When setting targets for H&S purposes employers have a statutory obligation to consult with the workforce,
through trades union safety representatives where unions are recognised (or, where they exist,
representatives of employee safety), for example, via safety committees.

A participatory approach to target setting, however, may require new methods of working and new inputs,
including, for example, a closer partnership between workforce representatives, OS&H professionals and
managers and additional resources.

Beyond the workforce, organisations may also wish to consult more widely with outside stakeholders, for
example, with business partners, with their insurers, with enforcing authorities, with unions nationally, with
trade associations or with benchmarking partners.

Factors that may Promote a Negative Health and Safety

Culture or Climate

Organisational Change
Organisational changes such as reducing staffing levels, using contractors or outsourcing, combining
departments or changes to roles & responsibilities are usually not analysed and controlled as thoroughly as
plant or process changes. Such changes can, if inadequately conceived or implemented, have a detrimental
effect on safety. Even subtle changes to organisations can have significant impacts on the management of
hazards.

From a series of audits across a range of industries, it was found that many organisations have embarked on
a process of significant change; changing their structure, staffing levels, methods of operation, maintenance
practices, and so on, without carefully considering the implications for risk to their operation, even though the
organisations appear fully aware of safety management issues. The commonest change is to reduce the
workforce numbers, and this has led, among other things too:

• Loss of skills and knowledge from the organisation

• Overloading remaining personnel and Breakdown of morale and culture.
Pierre

• Removing of hazard barriers

• Increased use of temporary contractors
• Formal systems in use that do not meet changed requirements
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Lack of Confidence in Organisation’s Objectives and Methods

Without trust in the organisation’s performance, its leadership, and, most important, the immediate supervisor,
it is impossible for an employee to feel committed to the organisation’s strategic direction.

The first element is organisational performance. Employees learn to trust the leaders of an organisation that
performs to expectations. They trust an organisation that is clear and excited about the organisation’s
direction, its place in the community, and its place in the particular industry. Too often, organisational
objectives and methods are only statements - statements devoid of action. If the objectives and methods are
too vague or too broad, unattainable, or ignore the role that individuals play in achieving the objectives,
employees will find it difficult to trust the direction in which their organisations are heading.

To mitigate this potential loss of confidence, organisations need to develop a clear vision, mission, and
values. They must also create confidence in staff by having achievable goals and objectives, which are then
monitored; everyone is held accountable for the results through a well thought‐out performance management
system.

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Uncertainty and Management Decisions that Prejudice Mutual

Trust or Lead to Confusion Regarding Commitment

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Poorly managed changes may create unnecessarily large and prolonged uncertainties about future
responsibilities and even job security among key technical staff. Such large and prolonged uncertainties
may divert attention from safety matters and, at worst, lead to key staff members leaving the organisation.

Non-programmed decisions during Organisational changes, to merge with another business or to close a
plant are made in unique circumstances, and the result of such decisions is often unpredictable. Managers
face ill-structured problems. These problems require a custom-made response and are usually handled by
the top management.

Top management is challenged between informing their employees of the entire truth and holding back
certain realities so as not to unnecessarily scare people or lose top talent. Hidden agendas make it difficult to
trust that a leader’s intentions and decision‐making are not self-centred. When a leader is only looking out for
themselves and lacks any sense of commitment to the advancement of their employees – this shuts off
employee quickly.

Organisational Change creates uncertainty among employees, thereby provoking intense scrutiny of
management decisions and intentions and a tendency to make interpretations that exaggerate management
decisions and intentions with the end result of reduced trust. Management then reacts similarly with negative
interpretations of employee reactions, creating a vicious cycle of reduced trust.

Effecting Cultural or Climate Change

Changes can be made effectively and safely, and gains in efficiency and competitiveness, as well as safety,
can be realized if changes are introduced carefully and managed well. Failure to manage Change well can
significantly affect the likelihood of an accident, the degree to which the assets of the company are put at risk,
and the company’s reputation, must ensure that and that the Change is managed so as to avoid adverse
impacts on safety. The safety of the workplace also depends on the values and safety culture of the
individuals in the organisation.

Planning
Critical to successful change is good planning. Planning involves developing and documenting the objectives
to be achieved by the change and the means to achieve it. Successfully managing the complexity of change
is virtually impossible without a robust plan that is supported by strong project management. The formal
procedure of applying a planning process in preparation for change helps organisations to:

• Take stock of their current position;

• Identify what is to be achieved, and what the future position following the change is expected to be;
• Detail precisely the who, what, when, where, why and how of achieving and implementing the
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change objectives;
• Assess the impact of the change in the organisation and the people within it, as well as other
stakeholders; and
• Ensure alignment with the organisation’s business model/strategy

A significant part of establishing the change vision, outcome and objectives is to identify and agree on the
anticipated organisational support required for the change, e.g., revised business processes/policies, new
infrastructure (including technology) or skills requirements. This then provides the foundation for the
development of specific actionable strategies to achieve the change. Together these strategies form the
Change Plan for the organisation.

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Communicating Plans for Change

Communications should describe why change is necessary, what the changes will look like, how they will be
achieved and how people will be affected by them. The aim is to ensure that unnecessary fears are allayed
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

by keeping people informed using a variety of methods ‐ written communications, the intranet, videos and,
best of all, face‐to‐face briefings and discussions.

Strong Leadership
Change efforts need to be “pushed” throughout the organisation, with leaders delegating both the
responsibility and authority to make decisions about the change, grounded in a clear change vision, to
managers at all levels. This delegation of decision-making authority helps both to reduce blockages and
increase buy-in from individuals affected by the change.

Committed Leadership
• Leaders must visibly support the change
• Ensure continuous engagement regarding the change
• Assess readiness for the change and make adjustments accordingly
• Take action to resolve issues

The Need for a Gradualist (Step-By-Step) Approach

Gradualist approach is the practice of making changes or achieving goals by degrees, in stages or small
steps. This is in contrast to sudden, dramatic or revolutionary change. The hypothesis is that there are
advantages, such as reduced resistance to be gained by implementing changes in small, gradual and
incremental steps. The main disadvantage is that the changes will take longer to be implemented,

Direct and Indirect Action to Promote Change

Making things happen in line with recommendations is perhaps, the hardest part of the change management
Pierre

process. Before this process commences, there must be full support for change from senior and line
management. Change can be implemented through both direct and indirect actions.

Direct Action

This is where the action taken is solely and directly aimed at achieving the desired change. For example, the
organisation may appoint a group of safety champions who are dedicated to educating and supervising all
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workers on waste management and safe disposal.

Indirect Action

This is where an action triggered an unintended action for change. The change could be either positive or
negative. For example, a risk assessment to identify unsafe equipment may also have identified that
equipment operators are being exposed to high noise levels on a daily basis. The recommendation from the
risk assessment could require a change in working hours to limit the exposure to the noise.

Cultural Dividends from Risk Assessment

Culture is about ‘the way we do things round here’. The risk assessment process provides an ideal
opportunity for bringing about cultural change and recommendations from risk assessments should address
this aspect. Risk assessments should examine work activities with a view to identifying the significant
hazards, and specify the precautions necessary, together with the need for information, instruction and
training where appropriate. They should also involve employees in a discussion on risks arising from current

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working practices and seek feedback from them on the way to make things safer. This level of involvement
has a direct effect on the safety culture in a workplace and is a powerful tool in bringing about change.

Whilst the process of changing the safety culture is a slow one, over a period of time these cultural dividends
will be noticed in terms of increased attention to the detail of safety procedures, the ‘safe way’ being
perceived as the ‘correct way’ and a reduction in injuries and lost time arising from minor accidents in

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

particular.

Training and Supervision

Training and instruction should draw the attention of employees to the significant hazards arising from work
activities with a view to breaking old unsafe habits and introducing employees to safer working practices.
Supervision should ensure the newly introduced working practices are maintained and praise employees
where they are followed.

Strong Worker Engagement

Successful organisational change requires the commitment from both management and employees.
Maintaining employee engagement in organisational change is a key element in the success of a change
initiative.

Training and Performance Measurements

Training

The impact of organisational change on training should not be underestimated. For example, training is
required for when there is a job change or when additional roles are introduced. Training is the cornerstone
for building competence.

Performance Measurements

The objective of performance measurements is to encourage everyone to be engaged in health and safety.
Generally incentive schemes are linked to performance measurements whereby employees are rewarded for
performance improvements, with the exception of accident and incident reporting as this may encourage
under-reporting and hiding of accidents/incidents.

Importance of Feedback
It is important that feedback from employees on all changes implemented are encouraged, and be carefully
assessed to know if the change was a success or failure or requires rework. All feedback should be
acknowledged within a specific timescale. NEBOSH International Diploma

Changes to Work Environment and the Positive and Negative Impacts

this has on Workers
Changes to work environment can have either a positive or negative impact on workers. The Health and
Safety Executive’s report on Work Related Stress, Anxiety and Depression Statistics in Great Britain 2016,
states that change as well as workload and lack of management support were cited as the primary causes for
work-related stress.

Additionally, reduced morale, and an increased in absenteeism, accidents/incidents, sickness and ill-health
rates could result during change. Before implementing change, it is advisable to consider all the possible
effects the change could have on the workers, before, during and after the change.

Changes that are not planned can become very costly to the organization.

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Negative Impacts on Workers

 Impact on mental stress and anxiety resulting from a change in the workplace
 Loss of loyalty and increased turnover
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

 Increased time away from work

 Life changes caused by restructuring

Positive Impacts on Workers

 More efficient ways of working
 An opportunity for employees to shine
 A break from the norm
 Encourages innovation

Building Trust in The Workforce Including Psychological Confidence

Building trust, co-operation and psychological confidence in the workforce can be achieved by management
demonstrating commitment and involvement in health and safety that affects the workers. The following are
some examples of ways to build trust in the workforce:

 Creating an open and transparent employee communication

 Sharing important information with the employees
 Fostering peer-to-peer communication
 Authentic and approachable leadership
 Creating a sense of purpose
 Engaging employees in change management
 Addressing worker’s concerns
 Setting realistic goals

Problems and Pitfalls

Pierre

Attempts to Change Culture Too Rapidly

Changing an organization’s culture is one of the most difficult leadership challenges as culture comprises an
interlocking set of goals, roles, processes, values, communications practices, attitudes and assumptions.
Changes that are made too rapidly and without any planning increases the risk of confusion, mistakes, errors,
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incidents, low staff morale, increase staff turnover, etc.

Culture change should be a gradual process. The process of culture change should be carefully planned. It
should start with top management and includes the entire organisation.

Adopting Too Broad an Approach

Before making a culture change, there is a need to define the goal and expectations.

Changes that occur all at once, on a large scale, and made at the spur of the moment, without any planning
are undesirable and are destined to fail. Although the reasons for failures are complex and unique to each
effort, at their simplest level, they all share three factors:

• Large financial outlays

• Lengthy lead times
• The uncertainty of success

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Absence of Trust in Communications

One of the main elements of trust is communication. Employees want open and honest communication. They

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

need to receive messages that are timely, honest, clear, and easy to understand. This type of communication
will generate trust and commitment and can avoid mistrust, misunderstanding, confusion and conflict.

Unsound management decisions involving change can result in distrust among the workforce and has the
potential to aggravate the process of change. Decision-making processes must be based on sound, reliable
and timely data.

Resistance to Change
Generally, people are not inclined to welcome or accept change and view changes with scepticism. There
are various groups of individuals who for various reasons tend to resist change. Therefore, as part of
planning, before implementing a change, it is important to consider all possible resistance to change at
individual level to ensure success.

Some of the reasons why individuals might resist change:

- Loss of status or job security in the organization: Roles being eliminated or reduced.
- Fear of the unknown: Fear caused by the lack of information about the change and its impact.
- Climate of mistrust: A culture of mistrust exists between management and employees.
- Fear of failure: Job change may cause individuals to doubt their capabilities to perform their duties.
- Age related: Older individuals tend to be set in their ways and prefer no change.

Elements and Levels of Safety Culture Maturity

Model
Source HSE UK OTO 2000/049 report

Elements of an Organisation’s Safety Culture

In the OTO 2000/49 report on British HSE’s ‘Safety culture maturity model’ published by HSE UK, the safety
culture maturity of an organisation is said to be made up of ten elements. An organisation’s or installation’s
level of maturity is determined on the basis of their maturity of the ten elements.
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Ten Elements of the Safety Culture Maturity Model

1. Management commitment and visibility
2. Communication
3. Productivity versus safety
4. Learning organisation
5. Safety resources
6. Participation
7. Shared perceptions about safety
8. Trust
9. Industrial relations and job satisfaction
10. Training

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Five Levels of Safety Culture Maturity

The safety culture maturity model presented below is set out in a number of iterative stages. It is proposed
that organisations progress sequentially through the five levels, by building on the strengths and removing the
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

weaknesses of the previous level. It is therefore not advisable for an organisation to attempt to jump or skip a
level.

Level One: Emerging

Safety is defined in terms of technical and procedural solutions and compliance with regulations. Safety is
not seen as a key business risk and the safety department is perceived to have primary responsibility for
safety. Many accidents are seen as unavoidable and as part of the job.
Pierre

Level Two: Managing

Frontline staff are uninterested in safety and may only use safety as the basis for other arguments, such as
changes in shift systems.
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The organisation’s accident rate is average for its industrial sector, but they tend to have more serious
accidents than average. Safety is seen as a business risk and management time and effort is put into
accident prevention. Safety is solely defined in terms of adherence to rules and procedures and engineering
controls. Accidents are seen as preventable. Managers perceive that the majority of accidents are solely
caused by the unsafe behaviour of front-line staff. Safety performance is measured in terms of lagging
indicators such as LTI and safety incentives are based on reduced LTI rates. Senior managers are reactive in
their involvement in health and safety (i.e., they use punishment when accident rates increase).

Level Three: Involving

Accident rates are relatively low, but they have reached a plateau. The organisation is convinced that the
involvement of the frontline employee in health and safety is critical, if future improvements are going to be
achieved. Managers recognise that a wide range of factors cause accidents and the root causes often
originate from management decisions. A significant proportion of frontline employees are willing to work with
management to improve health and safety. The majority of staff accept personal responsibility for their own
health and safety. Safety performance is actively monitored and the data is used effectively.

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Level Four: Cooperating

The majority of staff in the organisation are convinced that health and safety is important from both a moral
and economic point of view. Managers and frontline staff recognise that a wide range of factors cause
accidents and the root causes are likely to come back to management decisions. Frontline staff accept

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

personal responsibility for their own and others health and safety. The importance of all employees feeling
valued and treated fairly is recognised. The organisation puts significant effort into proactive measures to
prevent accidents. Safety performance is actively monitored using all data available. Non-work accidents are
also monitored and a healthy lifestyle is promoted.

Level Five: Continuous improvement

The prevention of all injuries or harm to employees (both at work and at home) is a core company value. The
organisation has had a sustained period (years) without a recordable accident or high potential incident, but
there is no feeling of complacency. They live with the paranoia that their next accident is just around the
corner. The organisation uses a range of indicators to monitor performance but it is not performance-driven,
as it has confidence in its safety processes. The organisation is constantly striving to be better and find better
ways of improving hazard control mechanisms. All employees share the belief that health and safety is a
critical aspect of their job and accept that the prevention of non-work injuries is important. The company
invests considerable effort in promoting health and safety at home.

Blame, No Blame and Just Culture (Dekker)

Blame Culture

A blame culture refers to an environment where people, or groups/teams of people, are frequently singled out
and blamed, criticised and fault is apportioned for mistakes and errors. This tends to result in a situation
where people are reluctant to accept responsibility for their actions and mistakes, because they are afraid of
criticism and reprimands from their managers and leaders. It also results in people unwilling to take risks or to
speak out.

Blame culture results in:

 Higher levels of turnover

 Reduced work engagement and productivity
 Decision escalation, or continually referring to managers for decisions
 Lower levels of organisational performance
 Lower levels of innovation behaviours and creativity
 Reduced levels of job satisfaction
 Reduced levels of responsibility taking

No Blame Culture
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According to an article published by the UK Investor in People, no blame cultures embrace the possibility of
errors and encourage their reporting. They are underpinned by the belief that errors are inherent to the
existence of organisations. Errors, or deficiencies that may cause errors, are treated as systemic factors
(rather than personal faults) and responded to accordingly.
In no blame cultures, speaking up about errors is a fundamental duty of every employee. No blame cultures
can exist in highly hierarchical organisations, flat organisations and everything in between, but the mandate to
speak up transcends hierarchy.

The characteristics of no blame cultures:

No blame cultures are driven by specific organisational characteristics:

A shared understanding of complexity:

Unfortunately, humans are biased to attribute errors to people, even if the cause is systemic. No blame
cultures spend time and energy ensuring employees understand how complex organisations are, so they can
better attribute errors to systemic factors.

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An appreciation for others:

Air traffic control organisations expose employees to the stresses and problems that arise in their colleagues’
jobs. If things go wrong, everyone is more likely to understand why it went wrong, rather than blame poor
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

performance.

Belief in honesty:
Honesty is an oil that lubricates the functioning of high reliability organisations. Without honesty, organisations
don’t have a true overview of where they are and therefore are not able to make effective and informed
decisions. No blame cultures therefore value and incentivise honesty.

The regular use of debriefs:

Critique is fundamental to the success of no blame cultures because it allows processes to be effectively
understood, deconstructed and put back together in better ways. Debriefs help ascertain what went wrong
and what should be changed in future and ensure everyone is on the same page.

Deference to expertise:
Operational decision-making in normal organisations tends to follow the organisational chart. In no blame
cultures, the hierarchy is loose enough that experts are able to lead on operational issues where appropriate.

A focus on behavioural expectations:

In an increasingly complex world, achieving outcomes becomes more difficult because of the number of
variables involved. Judging people on outcomes can therefore be unfair. While judging them on behaviours
encourages alignment with organisational values.

Realistic understanding of human beings:

Holding people to high standards can encourage performance. But organisations shouldn’t ignore the realities
of human beings (for example, that people can have ‘off days.’). No blame cultures are underpinned by the
reality of being a human being and people are not expected to be superheroes. Instead, they are encouraged
to see themselves as imperfect but valuable parts of a wider system.

Source: www.investorsinpeople.com

Just Culture

Just culture is about balancing safety (learning and improvement) and accountability. Just Culture wants
people to bring information on what must be improved to groups or people who can do something about it and
spend efforts and resources on improvements with safety dividend rather than deflecting resources into legal
protection and limiting liability.
Pierre

In a just culture people will not be blamed for their mistakes if they honestly report them. The organization can
benefit much more by learning from the mistakes than from blaming the people who made them. Many people
fail to report not because they are dishonest, but because they fear the consequences or have no faith that
anything meaningful will be done with what they tell. One threat is that information falls in the wrong hand
(e.g., a prosecutor, or media - notably for government related agencies due to freedom of information
legislation!). Some countries provide for this reason certain protection to safety data and exempt this
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information from use in courts.

Getting people to report is difficult and keeping the reporting up is equally challenging. It is about maximizing
accessibility (low threshold, easy system, …) and minimizing anxiety (employees who report feeling safe). It is
building trust, involvement, participation and empowerment. Let the reporter be a part in the process of
shaping improvement and give feedback. It may help to have a relatively independent (safety) staff to report
to instead of line reporting (which does have advantages regarding putting the problem where it should be
treated and having the learning close to the process).

Just culture enables people to concentrate on doing a quality job and making better decisions rather than
limiting (personal) liability and making defensive decisions. Just culture promotes long term investments in
safety over short-term measures to limit legal or media exposure.

Source: Sidney W. A. Dekker - Just Culture

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Behavioural Change Programmes

Behavioural Change programme is also sometimes known as Behaviour Modification programme. The
programme is designed to help replace undesirable behaviour with desirable behaviour. One of the most well-
known Behaviour Change programme is the “Behaviour Based Safety” programme.

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

In recent years the implementation of behavioural change programme to reinforce safe behaviour as part of a
risk reduction in the workplace has become common in many workplaces. The programme involves
observation of both safe and unsafe acts and assessment of safety related behaviours.

An article from the HSE UK, ‘Human factors: Behavioural safety approaches - an introduction (also known as
behaviour modification)’ cited the following information on Behavioural change programmes:

Why Behavioural change programmes are used?

The following are reasons why organisations implement behavioural change programmes:
 Inappropriate and unsafe behaviour have caused a significant number of accidents.
 The programme is good for encouraging management and workforce participation
 The programme helps improve the visibility of managers
 A changed in workers behaviors and actions can positively influence culture through attitudes and
perceptions
 Workers’ behaviors determine the performance of systems

Advantages of behavioural change programmes

 Encourage discussions about safety in the workplace

 Management and the workforce learning to communicate constructively
 Management visibility through active participation in the programmes
 Employee engagement in safety
 Everyone gets to learn how to observe both safe and unsafe behaviours
 Everyone gets to learn how to act promptly on unsafe acts
 Everyone has the opportunity to learn about safety leadership
 Everyone gets to learn how to think about aspects of human factors
 Can provide some leading indicators for safety
 The programme has been proven to be highly effective in changing behaviour when properly applied
 The programme provides opportunities to identify dangerous situations

Disadvantages of behavioural change programmes NEBOSH International Diploma

 Relies on everyone to correctly apply behavioural change technique

 Relies on consistent treatment of undesirable behaviour otherwise people will be confused by the
mixed signals.
 Harsh treatment for undesirable behaviour can disengage worker participation
 Lack of interest and ownership in the programme by management and workers
 Off the shelf programme may not be a good fit with the organization
 The onus to change is shifted away from management to workers
 May encourage a blame culture
 May conflict with other safety messages
 May encourage unfriendly communication style

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The principles of behavioural change programmes

A behavioural change programme is based on solid principles about ownership, motivating, assisting,
reinforcing, and sustaining safe behaviours. The following are seven principles of behavioural change
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

programmes.
 Ownership: management led with employee involvement and ownership.
 'Safe' and 'unsafe' behaviour: Clear definition of safe and unsafe behaviour

 Training: Training employees to lead as safety monitors as active observation and reporting
promotes employee engagement and compliance.
 Observation of behaviour: Observers (managers & employees) observe and record safe and
unsafe behaviors and unsafe conditions.
 Provide feedback: The observer shares the findings with the worker and provides feedback.
Positive feedback is encouraged.
 Reinforcement: Management using a combination of praise, support, encouragement, public
recognition or financial reward to help reinforce the behavioural change programme.
 Review: Regular review of the programme to ensure its continued effectiveness.
Pierre
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Organizational Condition Needed for Success in Behavioral Change

Programmes

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

The behavioral interventions require certain preconditions to be in place if they are to be implemented
successfully. The preconditions can be related to different levels of safety culture maturity. The preconditions
can be related to different levels of safety culture maturity.

The term cultural maturity refers to the important safety culture elements (e.g., management commitment,
trust and communication) that determine an organization’s readiness to implement a behavioral safety
programme. There are a number of ways of assessing cultural maturity, for example, conducting a safety
climate survey or holding workforce work
shops.

 Recognize the need for behavioral approaches - It is important to recognize that behavioral
approaches to safety improvement are likely to be most effective when technical and systems
improvements are failing to produce a corresponding reduction in accident rates.

 Convince the need to reduce the current accident rate - It is important that managers and frontline
employees are convinced of the need to reduce the current accident rate, as the success of the
programme is dependent on their continued involvement and commitment.

 Empowering employees and delegating authority for safety to employees - If managers are likely
to respond negatively to workforce empowerment, then they are likely to cause the programme to fail.

 Employer and Employee mutual Trust - If there are significant levels of cynicism amongst the
workforce about the management’s rue motivation for implementing the programme; this may
undermine its success.

 Management involvement in safety and management structure - Management support for the
programme is likely to be inadequate if managers do not see safety as a line management
responsibility.
 Ensure adequate resources available - The majority of both in-house and proprietary systems
require a significant number of resources to setup and maintain. The initial costs will include designing
the programme, setting up a steering committee, training personnel, and observers.

 Nominate Champion of the programme for the organization - The success of behavior
modification programmes appears to be dependent on someone to drive the programme forward and
keep the momentum going at both the site and corporate level.

 Adequate communication and feedback systems in place - There is a danger that managers end
up with communication overload if there are no systems in place to deal with all the information
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generated by the system. It is critical that increased communication is anticipated and systems are put
in place to cope.

A typical Behaviour Change Program Organisation requires a:

 A steering committee with a mix of supervisors and field personnel who should be trained up as the
first group of observers and will then be the ambassadors of the process.
 A committed and highly motivated facilitator.
 Support from Line Managers

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2.5 Safety Management

Source: Hollnagel E., Wears R.L. and Braithwaite J. From Safety-I to Safety-II: A White Paper.
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Traditional Safety – Safety I

Safety I is based on the idea that following procedures correctly will always lead to the right result. The main
focus is on compliance.

In Safety-I, safety is defined as a state where as few things as possible go wrong. A Safety-I approach
presumes that things go wrong because of identifiable failures or malfunctions of specific components such
as technology, procedures, the workers and the organisations. People are predominantly viewed as a
problem/ liability/hazard, mainly because they are the most variable of the abovementioned components.

The purpose of accident investigation in Safety-I is to identify the causes and contributory factors of adverse
outcomes, while risk assessment aims to determine their likelihood. The safety management principle is to
respond when something happens or is categorised as an unacceptable risk, usually by trying to eliminate
causes or improve barriers, or both.

As mentioned earlier, Safety-I’s effort is focus on what goes wrong, and this focus is reinforced in many ways
i.e., regulators and authorities require detailed reports on accidents, incidents; special agencies, departments,
and organisational roles are dedicated to scrutinising adverse outcomes.

Safety-I considers that when things go right it is because the system functions as it should and because
people work as imagined; when things go wrong it is because something has malfunctioned or failed. Safety-I
assumes that things that go right and things that go wrong happen in different ways.

Safety 1 approach is often reactive.

Figure 8: Safety-I assumes that things that go right and things that go wrong happen in different ways
Pierre
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Key Performance Indicators (KPIs)

The traditional approach of tracking safety performance is through KPIs such as recording the number of lost
time injuries, restricted work injuries and medical treatment cases. Bad KPI numbers mean more work needs
to be done!

Performance Variation
The Safety I approach to constrain variability is by controlling the way people do things and monitoring to
ensure systems perform safely as intended. In other words, Safety I approach does not allow for
performance variation and it is expected that all procedures, guidelines, rules are strictly adhered.

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Proactive Safety Management (also known as Safety-II or

Safety Differently)

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Hollnagel uses the term “Safety-II” for proactive safety while Dekker refers it to it as “Safety Differently”.

Instead of only looking at the few cases where things go wrong, Safety-II proactively looks at the many cases
where things go right and try to understand how that happens. It acknowledges that things go right because
workers are able to adjust their work to conditions rather than because they work as imagined.

Today’s work environments require that we look at everyday work or “Work-As Done” rather than “Work-As-
Imagined”, hence at systems that are real rather than ideal (Wears, Hollnagel & Braithwaite, 2015). Such
systems perform reliably because people are flexible and adaptive, rather than because the systems have
been perfectly thought out and designed or because people do precisely what has been prescribed.

People are therefore no longer a liability, and performance variability is not a threat. On the contrary, the
variability of everyday performance is necessary for the system to function and is the reason for both
acceptable and adverse outcomes. Because all outcomes depend on performance variability, failures cannot
be prevented by eliminating it; in other words, safety cannot be managed by imposing constraints on normal
work.

Safety-II considers the system’s ability to function as required under varying conditions, so that the number of
intended and acceptable outcomes is as high as possible. The basis for safety and safety management must
therefore be an understanding of why things go right, which means an understanding of everyday activities.

Performance Variability: In contrast to Safety-I, Safety-II is based on the principle that performance
adjustments are ubiquitous and that performance not only always is variable but that it must be so.

Ethical Responsibility – Removing unnecessary bureaucracy

Safety-II promotes the halting or pushing back on bureaucratization and compliance of work. It is about
devolving, decluttering, and decentralizing the safety bureaucracy. It considers safety as an operational issue,
a field-focused one, cutting centralized safety staff and reducing the bureaucratic accountability requirements
imposed on workers in the field.

Reduce risk-based decisions to lowest possible level

All organisations face risk. It is therefore crucial to understand the risk s and to find ways to minimise
them.

Risk-based decision-making is the process of categorizing evidence about the possibility for one or more
unwanted outcomes such as a safety incident, into a detailed and organised structure that can assist
decision makers to make informed choices and to develop plans prior to start of work to mitigate safety
incidents. Effective implementation of the plans is critical at reducing a risk to the lowest possible level so
that work can be performed without an incident.
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To ensure effective control of hazards, risk-based decision-making should be an integral part of every
decision made in organisations.

Continuous learning
As part of continuous learning, Safety-II approach encourages people to study and debrief all events and not
only those with bad outcomes. This approach enables people to learn about the interconnectedness,
dependencies, and patterns of systems/human behaviour.

A system is still deemed to be unsafe if adverse outcomes occur yet it is more important to understand how it
is safe when they do not occur. Safety is consequently defined by what happens when it is present, rather
than by what happens when it is absent. Simply put - look at what goes right as well as what goes wrong, and
learn from what works as well as from what fails.

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People seen as solution/an essential resource

“Safety-II” is also about relying on people’s expertise, insights and asking them what they needed and wanted
done to improve safety and efficiency.
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

The benefits of investing the positives (what goes right rather than what
goes wrong)

Safety-II approach focuses on positives rather than negatives, for example, highlighting the high level of
safety to all workers when everyone follows the organisation’s safety program.

Positivity can be infectious and, over time, can positively influence workers into a culture of safe work
practices.

The differences between Safety-I and Safety-II are summarised in the following table.

Table 4: Overview of Safety-I and Safety-II

Safety-I Safety-II

That as few things as possible That as many things as possible go

Definition of safety
go wrong. right.

Safety Reactive, respond when something

Proactive, continuously trying to
management happens or is categorised as an
anticipate developments and events.
principle unacceptable risk.

View of the Humans are seen as a resource

Humans are predominantly seen
human factor in necessary for system flexibility and
as a liability or hazard. They are a
safety resilience. They provide flexible solutions
problem to be fixed.
management to many potential problems.
Pierre

Things basically happen in the same way,

Accidents are caused by failures regardless of the outcome. The purpose
Accident and malfunctions. The purpose of of an investigation is to understand how
investigation an investigation is to identify the things usually go right as a basis for
causes. explaining how things occasionally go
wrong.
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Accidents are caused by failures To understand the conditions where

and malfunctions. The purpose of performance variability can become
Risk assessment
an investigation is to identify difficult or impossible to monitor and
causes and contributory factors. control.

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The Four Varieties of Human Work

Hollnagel described four varieties of human work in ergonomics and human reliability as follows:

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

1. Work-as-Imagined

When we think about human work, we typically think about the things that we actually do. “Work-as
imagined” is both the work that we imagine others do and the work that we imagine we or others did, do,
or would do, in the past, present, or future.

2. Work-as-prescribed

“Work-as-prescribed” is the formalisation or specification of work-as imagined, or work-as-done, or work-

as-disclosed, or some combination of the three. It takes on a number of forms in organisations, including:
laws, regulations, rules, procedures, checklists, standards, job descriptions, management systems, and
so on.

3. Work-as-disclosed

This is what we say or write about work, and how we talk or write about it. It may be simply how we
explain the nitty-gritty or the detail of work, or espouse or promote a particular view or impression of work
(as it is or should be) in official statements, etc.

4. Work-as-done

Work-as-done is actual activity of what people do. It is characterised by patterns of activity to achieve a
particular purpose in a particular context. It takes place in an environment that is often not as imagined,
with multiple, shifting goals, variable and often unpredictable demands, degraded resources (e.g.,
staffing, competency, equipment, procedures and time), and a system of constraints, punishments and
incentives, which can all have unintended consequences. Work-as-done is mostly impossible to prescribe
precisely and is achieved by adjustments, variations, trade-offs, compromises that are necessary to meet
demand. These adaptations are based on operational know-how, but often have not been subject to
formal analyses such as risk assessment; such analysis struggles to handle them.

Work as Done builds trust in the workforce, can identify risks and where potential incidents could come
from, events become more foreseeable, and learning to improve by analysing normal work.

Resilience – Hollnagel defines resilience engineering as the intrinsic ability of a system to adjust its
functioning prior to, during, or following changes and disturbances, so that it can sustain required
operations under both expected and unexpected conditions.

Resilience is the organisation or individual’s ability to recover from adverse situation, change and absorb NEBOSH International Diploma
disruptions without failure occurring. The concept of resilience is an approach of “Safety II”.

Performance variation - Some workplaces manage safety using a “find and fix” approach to identify
systems weaknesses and how performance could be improved. More often than not, complex and inter-
dependence systems have cause and effect which are always not linked in a predictable manner to
provide the desired outcome.

Safety could be improved by controlling the way people do things, based on traditional safety
management approach of Safety I to constrain variability. This approach of relying on compliance,
procedures and rules to control does not provide room for work variations. In reality, workers may not
always strictly follow prescribed work methods/rules and may make very slight modifications to match the
conditions of work, which generally are not reported or made known to their supervisor/manager.

The Safety II approach on the other hand is at aimed at understanding and managing variability. This
approach explores the various ways to which safety could be improved. For example, the ability of
organisations to quickly make adaptions for workers to work from home during a pandemic, and to then
gradually make transitions for workers to return to office work, when safe to do so.

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Limitations of traditional and proactive safety management

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

IA7 – Organisational Factors

Traditional – Is often reactive/post event. It is deemed to be autocratic & bureaucratic, where
compliance is driven by rules and procedures that must be strictly followed, and everyone is expected to
do as they are told.

Proactive – Being proactive means to think and act ahead before circumstances change. This allows
the organisation to be more prepared. However, the future is uncertain as people cannot foresee all
events, plus, predicted health and safety situations may not occur. There is also the potential risk of
creating a disruption of allocating resources to prepare for events where none previously existed, and
may never occur (making incorrect assumptions/predictions is costly). Other issues associated with the
proactive approach is that organisations may not be inclined to try it as this approach is not a common
approach adopted by organisations and it goes beyond traditional beliefs.

Effects of Proactive Safety Management on Health and Safety Culture

According to Hollnagel, “the purpose of safety management is to make sure that a system functions in a
way that is safe. This is usually taken to mean that the number of adverse outcomes is reduced, or that
safety culture improves by moving from a calculative to a proactive level”

Hollnagel is of the opinion that safety management is about looking ahead, and to not only try to avoid
things going wrong, but also try to ensure that they go right.

Proactive safety management is about foreseeing and being prepared for all possible events, and
resolving issues before an incident or an accident occurs. It ensures as much as possible goes right,
concentrating on incident prevention and promoting a safety management than on risk assessment.

The effects of proactive safety management include improvement in profitability, staff morale,
productivity, active employee involvement in health and safety, and reduction in injury and ill health.
Pierre

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2.6 Risk Perception

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Simply speaking perception is 'how we understand things'. It is the process by which we organise and
make sense of sensory input into the brain.

Perception is the third stage of a three-stage process, which is illustrated in figure 9 below.

Figure 9: The Process of Perception

Sensation Attention Perception

The initial registration by A selection or filtering The processing or
the senses of external process modification of sensory date
stimuli into useful information

Human Sensory Receptors

The brain receives information from sensory receptors, which are specialised to receive different types of
stimuli. Several senses may be stimulated simultaneously.

Whatever type of stimulus is received the information is translated into electrical, neural impulses that can
be transmitted along sensory neurons to the brain.

Table 5: Sensory Receptors

The retina (eye) Light entering the eye is interpreted in terms of brightness
by rod cells, and colour by cone cells

The cochlea (ear) Responds through sound waves transmitted through the ear
Detects s amplitude (loudness) and frequency (pitch)

The olfactory Responds to chemicals carried in the air, interpreted as

Epithelium (nose) smell. It is not known how many types of olfactory receptors
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Taste buds Chemicals dissolved in saliva are detected as sweet, sour,

(mouth and tongue) bitter or salty tastes
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Tactile receptors Different receptors for pressure, body temperature and

(the skin) pain are present in various concentrations through the skin

Proprioception Respond to information from within the body about the

(the body) position of muscles. Includes balance receptors and
(the inner ear) kinaesthetic receptors which respond to information about
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movement

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Sensory Defects and Basic Screening Techniques

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

IA7 – Organisational Factors

Sensory defects affect the quality of the input data which ultimately affects the perception of the data.

All senses are prone to defects. The cause may be genetic e.g., colour blindness; aging e.g.,
presbycusis, age induced hearing loss; as a consequence of exposure to physical hazards e.g., Vibration
White Finger will reduce the sensitivity of the tactile receptors in the fingertips; or due to illness e.g., a
cold will affect the sense of smell.

The following table provides examples of sensory defects.

Table 6: Sensory Defects

Sense Natural and ‘Imposed’ Sensory Defects

Color blindness, astigmatism, long and short-sightedness, monocular vision,

Sight
cataracts, vision distortion by goggles and face screens
Obstructed ear canal, perforated ear drum, middle ear damage, catarrh, ear plugs or
Hearing
muffs altering the sound reaching the ear
Taste and Lack of sensitivity, genetic limitations, catarrh, breathing apparatus screening out
Smell smells
Touch Severed nerves, genetic defects, lack of sensitivity through gloves and aprons

Balance Meniere’s disease, alcohol consumption, rapid motion, etc.

Limitations similar to sensory defects can also be ‘imposed’ by some of the equipment or clothing
provided to protect people against exposure to danger, e.g., safety goggles, gloves or ear defenders.
These sensory defects can be overcome by taking more care elsewhere in the behavioral model. This
means, for example, that people with poor sight or hearing do not necessarily have more accidents.

Human Perception
Pierre

Perception of Danger

Errors are most likely to be caused by one or more factors either involving a person's perceptual
capabilities or involving their mental or physical capabilities.

Perceptual capabilities involve the mental interpretation of the information gained through the senses NEBOSH International Diploma
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conditioned by prior experience; if a person's experience is that a given action has never involved danger,
then the perception of danger is reduced and thus the level of care and concentration. If a person's
mental or physical capabilities are exceeded, there may not be a hazardous outcome but the error rate,
or likelihood of error resulting in danger, is dramatically raised.

If a reduction of error, and thus danger, is required then these two areas must be investigated on a
personal level i.e., generalisations can help - but do not solve the immediate problems.

Visual Perception

Visual perception has been studied in much greater detail than perception of other sensory data, and so
visual perception will be used here to illustrate the key features.

In addition to experiencing colours and degrees of brightness, visual perception enables us to pick out
objects of interest from their backgrounds, to perceive distance and depth, and sense motion.

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Pattern Recognition

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Pattern recognition enables us to see not just simple objects or shapes but to determine regularities
and patterns. This is the process that enables us to read fluently.

Perceptual Set

Thought processes can be prepared for action and put into a state of readiness. This is known as 'set'
and it enables an individual to anticipate what is coming and act accordingly.

Perception can be 'set' by various factors including the individual’s attitudes and prejudices, emotional
state, and motivation.

Stereotypes

A stereotype is an expectation about an individual. Stereotypes are generalised beliefs about the
characteristics, attributes, or behaviours of members of certain groups.

Examples of stereotypes held in the workplace may be:

 Managers just pay lip service to health and safety they are clearly more concerned with
production.
 Employee Safety Representatives are not really interested in health and safety they just use it
as a means of gaining political advantages over management.

Stereotypes are based upon comparisons of average or typical characteristics in one group against
another.

The validity of a stereotype is questionable on a number of grounds:

 They may be based upon very limited information.

 They make no allowance for individuals whose characteristics may be very different to the group
average.

Factors Affecting Risk Perception

Eight distinct themes were identified in the findings commissioned by the HSE. These are listed and
discussed below:

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1. Perceived Control
The extent to which exposure to a given risk perceived to be under the control of the individual
has been shown to be a key factor in determining acceptability of risk.
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2. Psychological Time and Risk

A delay between exposure to a risk and the onset of the negative consequences has been shown
to reduce levels of caution in comparison to exposure to a similar level of risk with a more
immediately adverse effect.

3. Familiarity
There is a general tendency for people to underestimate familiar risks and overestimate those
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they are unfamiliar with.

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4. Perceptions of Vulnerability
The perception of vulnerability to the consequences of exposure to a given hazard has been
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

IA7 – Organisational Factors

shown to motivate individuals to modify their behaviour.
An individual with the perception of low vulnerability to the consequences of a particular
behaviour, e.g., smoking etc. are not likely to modify their behaviour.

5. Framing Effects
The way risk-based data is presented (or framed) can induce biasness.
Simply changing the textual descriptions of a risk from positive to negative i.e., talk about costs
rather than benefits or losses rather than gains) will have a measurable effect on observed
behaviour.

6. Numerical Representations of Risk

Numerical evidence shows that many people experience difficulty in understanding and
interpreting statistical probabilities, thus the need to introduce additional qualitative characteristics
to enable conceptualism of risk has been accepted.

7. Perception of Hazardous Substances

Workplace studies have shown workers to perceive the risk associated with water-based
pesticides to be lower than solvent based. The reasoning appears to relate to the perception that
water is natural, and inert and lower risk than solvent. This of course does not consider the risk
of pesticide itself.

8. The context or the individual?

Whether behaviour is determined by the individual or the situation is always been a topic for
debate. Individual differences and situations interact in evoking risk-taking behaviour. As per
Weyman and Kelley ‘perceived risk likely owes more to the situation than the individual’.

Perceptual Distortion
Lack of correspondence between the way a stimulus is commonly perceived and the way an individual
perceives it under given conditions.
Pierre

Everyone’s perception of hazard is faulty because it gets distorted. Things that are to our advantage
always tend to seem righter than those that are to our disadvantage. Management generally tends to
have a different perception of hazard from that of workers. When it affects work rates, physical effort or
bonus payments, workers also suffer from perceptual distortion.

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Errors in Perception Caused by Physical Stressors

The body has automatic mechanisms that attempt to protect it from physical agents such as noise and
extreme temperature. Physical stressors can be harmful because they force body systems to
continuously compensate for conditions that are outside the normal range.

Exposure to excessive heat and excessive cold may be workplace stressors. Other physical agents that
cause excessive stress are high levels of noise and vibration.

Workstation design may cause excessive stress. Heavy manual labour may have similar effects. Work on
rotating shifts may place the body under physical stress, because the body’s natural cycles, known as the
circadian rhythm, are forced to readjust.

Several days may be needed for this adjustment to take place, when workers change from one shift to
another. In the meantime, their appetite, sleep, body temperature and blood pressure may be affected.

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ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Causes of perceptual error Action

Stimulus not sensed

Physical stressors preventing the transmission of a stimulus: Design of work
 Background noise environment
 Too great a distance over which to communicate
Personal protective equipment (PPE) (for example, dust masks, hearing
protection, gloves)

Stimulus not selected for attention

Physical stressors can lead to psychological effects on an individual who
receives a stimulus:
 Low work load or level of activity can lead to poor concentration
and boredom, causing lack of attention to stimuli
Design of work
 Fatigue can impair levels of arousal and anticipation of stimuli
environment
 Over-concentration on one task can cause the exclusion of all
other stimuli
 Over exposure of an individual to stimuli can lead to de-
sensitisation, causing stimuli to be ignored
High workload or level of activity can lead to an individual having too much
to attend to and unable to cope, causing stimuli not to get an individual’s
attention

Knowledge,
Stimulus misinterpreted understanding and
training
Stimulus perceived incorrectly (incorrect interpretation - sometimes called a
‘false perception’):
Worker selection and job
 Lack of understanding of the stimulus or not the expected stimulus design, including work
 The effects of over/under work and fatigue could impair the allocation and work
correct interpretation of a stimulus rotation

Training and practice

Inappropriate response to stimulus
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(use of simulated
situations as training
No response or incorrect response: exercises)
 Lack of knowledge or understanding
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Correct response, but inappropriate priority

Stimulus ignored - deliberately ignoring a warning is rare, but may arise Behavioural change -
from: attitude/motivation
 No appreciation of the consequences of inaction
 False priorities, for example, bonus earnings
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 Attitude to health and safety - risk taking

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Perception and the Assessment of Risk

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IA7 – Organisational Factors

Risk perception is the subjective judgment that people make about the characteristics and severity of a
risk. The phrase is most commonly used in reference to natural hazards and threats to the environment
or health, such as nuclear power.

Several theories have been proposed to explain why different people make different estimates of the
dangerousness of risks. Research by Paul Slovic found that perceived risk was quantifiable and
predictable. Research in psychometrics has also identified that risk perception is highly dependent on
intuition, experiential thinking, and emotions

How people in the workplace perceive risk will depend on numerous factors such as:

 Their level in the organization

 Time employed in a particular job
 The time since the last serious accident
 Age and sex (females often see certain behaviors as riskier than males)
 Their attitudes and motivation.

Supervisors may see the risks differently from the workforce.

The researches have led to the identification of three factors that influence the perception of risk:

1. The degree to which a risk is understood - understanding a risk relates to the degree to which it
is observable, is known to those exposed, and can be detected immediately.
2. The degree to which it evokes a feeling of dread - this relates to the degree of uncontrollability,
of serious consequences, of exposure of high risks to future generations, and of involuntary
increase of risk.
3. The number of people exposed to the risk.

Perception and the Limitation of Human Performance

Even when we have achieved perfection in the area of perception, which is very unlikely, we still have to
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put the solution into effect. As human beings, we have limitations in knowledge, strength, physical and
mental ability. We have plenty of excuses for getting things wrong.

The major problem is that legislation, the courts, the media and the public at large expect perfection in
the area of health and safety.

Expectancy – Human beings cannot treat every sensory stimulus as new, unique and complete. How a NEBOSH International Diploma
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human perceives the world around them is built up over a period of time in their life. Individuals have
developed perceptual stereotypes to pre-judge stimuli and to make the perceptual process easier and
faster.

If an individual encounters a situation that do not match up to their stereotypes, then they can easily be
misled and make mistakes

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Filtering and Selectivity as Factors for Perception

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Maggie D Vernon (1955) identified that the perceptual process and the influence of perceptual set worked
in two ways:

1. The perceiver has expectations and focuses attention on particular aspects of sensory data in
order to select them for processing and perception.
2. The perceiver knows how to classify, understand and name sensory data and what inferences to
draw from them in order to filter them for processing and perception.

Perceptual Sensitisation and Defense

When considering practical applications of perception theory applicable to perceptual set there are two
additional aspects of perceptual set that are of specific importance:

1. Perceptual sensitisation - An individual can be, or become, ‘sensitised’ to certain stimuli if they
are relevant, important or meaningful to that individual. Sensitisation can be permanent or
temporary and may, or may not, be accepted consciously by the individual.
2. Perceptual defence - The mechanism of ‘perceptual defence’ is a result of humans not wanting
to be threatened or to feel anxious. Perceptual defence tends to protect the individual from
unpleasant situations by making them difficult to perceive at a conscious level.

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2.7 Human Failure

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Any incorrect action by an individual is termed human failure and is traditionally regarded as the
individual’s 'fault'.

Human Failure and Accidents

The more a system relies on human intervention the more 'fool proof' it should be but bear in mind that
experience has shown that nothing is fool proof to someone determined enough to override controls.
Conversely, well-trained and motivated personnel can spot potential incidents and prevent them.

Human failures can be expressed as:

Active Failures
These have an immediate consequence and are usually attributed to front line staff e.g., drivers, pilots
and control room personnel. (The concept of 'direct causes' in accident causation theory).

Latent Failures
These are indirect or 'root causes' of accidents and are often attributed to failures by designers, decision
makers and managers. These are often hidden and may only come to light as an accident investigation
unfolds. Latent failures can include:

 Poor design
 Lack of training
 Lack of supervision
 Uncertainty on roles and responsibility

In addition to the classification of failures as active or latent they can also be classified by
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intent. HSG 48 defines intentional failures, or departures from the rules and violations and
unintentional failures as errors.

Figure 10: Human Failures (HSG 48) Slips

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Skill Based
Lapses
Errors

Rules
Mistakes
Human
Failures
Knowledge
Routine

Violations Situational

Exceptional
;
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Causes of Human Failure

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Action or decisions is not intended, which involved a departure from accepted standards and led to an
adverse outcome.

Classes of Error Include:

Slips and Lapses

These occur when conducting very familiar tasks where there is normally little need to pay conscious
attention.

Slips – failure to carry out actions of a task, or ‘actions not as planned’:

 Performing an action too early or too late in a procedure

 Omitting steps or a series of steps from a procedure
 Turning a control knob in the wrong direction
 Doing the right thing on the wrong object
 Reading the wrong dial

Lapses – cause us to forget to carry out or complete an action or even forget what we set out to do.
These are most common when there is a long period of waiting or tasks take a long time to complete.

Violations
Violations are deliberate departures from procedures or rules, or in common terms 'breaking the rules'.

Violations fall into three distinct categories:

1. Routine Violation – Breaking the rules has become the normal way of working. Causes can
include:

 The desire to cut corners and save energy

 Perception that the rules are too restrictive or no longer apply
 Lack of supervision or enforcement
 New workers being taught bad habits then believing them to be correct
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2. Situational Violation – Breaking the rules due to pressure of the job:

 Time pressure
 Insufficient staff for the workload
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 Equipment not available

 Extreme weather conditions

3. Exceptional Violation – Rare and happens when something has gone wrong and the decision
making is to try to put things right even if this means taking risks that are known to be
inappropriate.
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Mistakes
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IA7 – Organisational Factors

More complex than slips and lapses. This is where the wrong thing is done, but the person believes that
the correct action has been taken.

Rule-based mistakes occur when our behaviour is based on remembered rules or familiar procedures.
We have a strong tendency to use familiar rules or solutions even when these are not the most
convenient or efficient.

Knowledge-based mistake in unfamiliar circumstances people revert to consciously making goals,

developing plans and procedures. Planning or problem solving needs us to reason from first principles or
use analogies. Misdiagnoses and miscalculations can result when doing this.

Cognitive Processing
Cognitive processing is the processing of new information in the human brain based on previously
acquired knowledge. The effectiveness of the processing depends on how the new information is
perceived, as well as in what form the knowledge used in the processing is stored and how it can be
accessed.

For an individual to act in a certain situation, he must be capable of interpreting and processing the
information which, in most cases, represents a range of stimuli presented at that point in time. In fact, the
relative speed with which people process information is a precondition of many accidents. Generally,
people can only process one stimulus at a time, and subsequent stimuli arriving have to wait until the first
stimulus has been processed (Single Channel Theory). This aspect of human performance is, therefore,
very important in the design of tasks where people need to make quick decisions as to the next course of
action.

It is generally agreed within cognitive neuroscience and psychology that there are two fundamentally
different modes of cognition; on‐line and off‐line. On‐line cognition is concerned with "immediate input"
from the local environment and deals with "here‐and-now” tasks that require fast moment‐by‐moment
processing.

One switches to slower, off‐line cognition to make more careful considerations, like when one makes a
mental check on something odd or plan future behaviour. Everyday activity and conversations use
predominantly on‐ line cognition, as does the reading, but when the usual flow is interrupted one switches
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to off‐line processing.

Off-line processing requires a lot of ‘thought energy’, cognitive processing, as the individual will consider
the results of a number of actions before deciding on which course of action to take. Some courses of
action will be rejected because the consequences will be predicted as being unpleasant.

Many factors need to be manipulated in order to do this and it requires knowledge of a variety of facts. It NEBOSH International Diploma
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is, therefore, a great skill that depends on intelligence and the amount of practice in using the skill

Rasmussen’s SRK (Skill, Rule, Knowledge) Taxonomy

The work of Rasmussen assumed human beings to be rule following organisms that make use of mental
models to solve problems and perform tasks. Rasmussen classified human errors according to
occurrence at the skill based, rule based, or knowledge-based level of performance.

The theory is based upon the operator’s degree of familiarity with the task.

 Unfamiliar tasks are of the knowledge-based level

 Tasks which are familiar but not automatic are of the rule-based level

Tasks which the operator is extremely familiar with are undertaken at the skill-based level.

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All tasks acquisition begins at the knowledge base level, progressing to rule based as familiarity
increases and skill based when the task is known 'inside-out'.

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Rasmussen made the following observation about behaviour at each level.

Skill Based Behaviour

• Operator is fully conversant with the task

• Behaviour is automatic, using dynamic mental models
• Errors are not true errors but mismatches between the operator and the environment

Rule Based Behaviour

Rule based – behaviour is based on remembered rules or familiar procedures, often without checking for
changes. There is a strong tendency to revert to these rules or solutions even when not always the most
efficient.
 Operator breaks activities into steps and follows one another
 Operator processes information in accordance with rules

Knowledge Based Behaviour

Knowledge based – when in unfamiliar, or circumstances that may feel familiar but unknown there is a
tendency to apply first principles or to try to match it with a situation which resembles a familiar one i.e.,
one that they are knowledgeable of. Experienced and knowledgeable personnel without complete
information on the hazards and risks are susceptible to this type of mistake.

 Operator uses intelligent problem-solving techniques to create a rule from first principles, then
tests it using trial and error.
 As this is energy intensive state the operator will revert to rule based or skill-based behaviour as
soon as possible.

Rasmussen’s research formed a platform for later theories such as James Reason’s Generic Error
Modelling System (GEMS) and The Human Failure Model from HSG48.

Hale and Glendons Behaviour in The Face of Danger Model (1987)

Hale and Glendons model amalgamates Rasmussen’s concepts of skill, rule and knowledge-based
functioning with Hale and Hale’s systems approach (Figure 11).

Danger is always present in the workplace. Workers rarely have to react in practice; however, an
effective reaction is vital to manage the danger. NEBOSH
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In this model it is the responsibility of the individual to control the level of danger. The individual has two
key areas of responsibility: firstly, he must avoid personal errors that will increase danger; secondly, he
must be able to detect and avoid, or recover from, other sources of danger.
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Figure 11: Hale and Glendons Behaviour in The Face of Danger Model
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 105

Human Factors

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

What Are Human Factors?
The HSE UK definition of Human Factors: ‘Human factors refer to environmental, organisational and job
factors, and human and individual characteristics which influence behaviour at work in a way which can
affect health and safety’. A simple way to view human factors is to think about three aspects: the job, the
individual and the organisation and how they impact on people’s health and safety-related behaviour.

Figure 12: Human Factors

The Job

Tasks should be designed in accordance with ergonomic principles to take into account limitations and
strengths in human performance. Matching the job to the person will ensure that they are not overloaded
and that the most effective contribution to the business results.

Physical match includes the design of the whole workplace and working environment.

Mental match involves the individual’s information and decision-making requirements, as well as their
perception of the tasks and risks. Mismatches between job requirements and people’s capabilities
provide the potential for human error. NEBOSH
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The Individual
People bring to their job personal attitudes, skills, habits and personalities which can be strengths or
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weaknesses depending on the task demands. Individual characteristics influence behaviour in complex
and significant ways. Their effects on task performance may be negative and may not always be
mitigated by job design. Some characteristics such as personality are fixed and cannot be changed.
Others, such as skills and attitudes, may be changed or enhanced.

The Organisation
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Organisational factors have the greatest influence on individual and group behaviour, yet they are often
overlooked during the design of work and during investigation of accidents and incidents. Organisations
need to establish their own positive health and safety culture. The culture needs to promote employee
involvement and commitment at all levels, emphasising that deviation from established health and safety
standards is not acceptable.

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Figure 12 lists some of the key issues for each area. By thinking about these aspects, you are asking
questions about:
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IA7 – Organisational Factors

• What are people being asked to do and where (the task and its characteristics)?
• Who is doing it (the individual and their competence)?
• Where are they working (the organisation and its attributes)?

Careful consideration of human factors at work can reduce the number of accidents and cases of
occupational ill-health. It can also pay dividends in terms of a more efficient and effective workforce.

Accidents can occur through people’s involvement with their work. As technical systems have become
more reliable, the focus has turned to human causes of accidents.

It is estimated that up to 80% of accidents may be attributed, at least in part, to the actions or omissions
of people. This is not surprising since people are involved throughout the life cycle of an organisation,
from design through to operation, maintenance, management and demolition. Many accidents are
blamed on the actions or omissions of an individual who was directly involved in operational or
maintenance work.

This typical but short-sighted response ignores the fundamental failures which led to the accident. These
are usually rooted deeper in the organisation’s design, management and decision-making functions.
Work has an impact on people’s health as well as on their safety. A positive work experience leads to job
satisfaction and contributes to physical and mental wellbeing.

Well-designed tasks and working environments that suit people’s individual skills and capabilities can
help here. Physical health problems can result from lost time injuries such as slips and falls, and from
manual handling problems. Mental well-being can be affected if someone witnesses a traumatic event,
suffers bullying or violence at work, or experiences stress at work.
Pierre

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The Job Factors

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Role of Ergonomics in Job Design
The International Ergonomics Association (IEA) has defined ergonomics as:
“The scientific discipline concerned with the understanding of interactions among humans and other
elements of a system.”

It considers that a holistic approach, considering physical, cognitive, social, organisational, environmental
and other relevant factors, is essential in safety and health management. Ergonomics deals with the
interaction of technological and work situations with the human being.

The basic human sciences involved are anatomy, physiology and psychology. These sciences are
applied by the ergonomist towards two main objectives:

 The most productive use of human capabilities

 The maintenance of human health and well being

The Components of Ergonomics

Anthropometrics provides data on dimensions Psychology is concerned with human
of the human body, in various postures. information processing and decision –
making capabilities. In simple terms, this
Biomechanics considers the operation of the can be seen as aiding the cognitive ‘fit’
muscles and limbs, and ensures that working between people and the things they use.
postures are beneficial, and that excessive
forces are avoided. The International Ergonomics Association
(IEA) has defined ergonomics as:
Human physiology is applied in two main
technical areas: “The scientific discipline concerned with the
understanding of interactions among
1. Work physiology addresses the energy humans and other elements of a system.”
requirements of the body and sets
standards for acceptable physical work rate and considers that a holistic approach,
and workload, and for nutrition considering physical, cognitive, social,
requirements. organisational, environmental and other
relevant factors is essential.
2. Environmental physiology analyses the
impact of physical working conditions – The IEA has also defined three areas of NEBOSH
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thermal, noise, vibration and lighting – and specialisation with ergonomics:
sets the optimum requirements for these.
1. Physical ergonomics
2. Cognitive ergonomics
3. Organisational ergonomics
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Physical Ergonomics Organisational Ergonomics

Physical Ergonomics is concerned with human
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IA7 – Organisational Factors

anatomical, anthropometric, physiological and Organisational ergonomics is concerned with
biomechanical characteristics. Areas of the optimisation of socio-technical systems,
application include: including their organisational structures,
policies and processes. Areas of study include:
 Working postures
 Communication
 Materials handling
 Crew resource management
 Repetitive movements
 Work design
 Design of working times
 Teamwork
 Participatory design
 Co-operative work
 Quality management

Cognitive Ergonomics

Cognitive ergonomics is concerned with mental

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processes, such as perception, memory, reasoning

and motor response, as they affect interactions
among humans and other elements of a system.
Areas of study are in the context of human – system
design and include:

 Mental workload NEBOSH International Diploma

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 Decision – making

 Skilled performance

 Human-computer interaction

 Human reliability

 Work stress

 Training

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Anthropometry

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Figure 13: Normal Distribution Chart
The word anthropometry is derived from the
Greek anthropos (man) and metron

Percentage of population
(measure).

Anthropometric data is used to specify the

physical dimensions of workspace, work
equipment and clothing so as to ‘fit the task
to the man’.

The natural variations of human populations

have significant implications for the design of
equipment etc.

The range of a population that should be

accommodated in design depends upon the
1.64 SD 1.64 SD
criticality of the consequences.

In non-critical situations it is usual to design

to accommodate 90% of the population,
Measurable
based upon a normal distribution (McKeown 95th Percentile
5th Percentile 50th Percentile
and Teiss, 2004). mean

The Worker and Workstation as a System

When considering the interaction of worker and workstation as a system (the man-machine interface)
it is necessary to consider two levels of influence upon the system.

Direct
Figureinfluence relates
20: Normal to the 'hands
distribution charton' aspects of human interaction with engineering and control
systems.

Indirect influence relates to the broader environmental and cultural influences.

ACSNI (1991) illustrated these influences in Figure 14: 'The Five Shells of Influence'

Figure 14: The Five Shells of Influence

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Organisational
System

Environment

Workplace layout
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Display Sensors

Machine Man Processing

Control Effectors
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Human Components of Work Systems

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IA7 – Organisational Factors

1. The Senses
As discussed earlier the human body receives information through sensation via sensory
receptors for sight, hearing, smell, taste and touch and proprioception.

Vision is the most dominant sense, followed by hearing. Sense of touch is also important in
the design of controls.

Often senses are used in combination when carrying out activities, e.g., a sound will attract a
vision response, and people will often hold items they want to ‘look at.’

2. Processes
The brain manages both low level processes to control basic sensory-motor responses and
higher-level cognitive processing which allows for planning, problem solving and decision
making.

3. Effectors
The musculoskeletal system and body mass are effectors, as no meaningful activity can be
carried out without maintenance of body postures and the generation of forces through shifts
in body mass.

The primary effectors are the means by which information is entered into the machine, i.e.,
the hands, the feet and the voice. The feet can affect simple controls such as the
accelerator, brake and clutch in a car when driving.

The hands offer a range of options for manipulating objects, from precision grips e.g., holding
a pen between fingertip and thumb, to a power grip where a lever is grasped at the base of
the fingers and palm.

Voice recognition software allows the voice to function as an effector communicating directly
with machine components.
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Machine Components of Work Systems

‘Machine’ includes any manufactured device used to enhance some aspect of human performance,
from simple hand tools through to devices with complicated mechanical engineering to computer
software and systems. NEBOSH International Diploma
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1. Controls
Effective human interaction with machines is dependent upon the design and construction of
suitable controls which can be acted upon by the effectors such as hand, feet, voice etc.

Mechanical systems controls provide direct feedback during the use of control actions e.g.,
resistance felt when turning a car steering wheel provides information about road conditions
and/or type pressure.

2. The Controlled Process

This is what the machine does, as controlled by the human, be it a pillar drill making a hole in
sheet metal, nuclear fission producing electricity in a power station, or a computer filling,
analysing or sending data.

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3. Display

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The simplest display arrangement is where the process can be experienced directly through
the sensors during the action, e.g., digging a hole with a spade.

Operating traditional machinery utilises information received directly from the control process
and from feedback. Information is also provided indirectly through dials and gauges. The
most complex display arrangements are used in hazardous industries such as chemical
processing, where due to the level of technical sophistication the human is increasingly
distanced from the control process but interacts with the machine through entirely artificial
displays. Display design is discussed in more detail later.

Influence of Process and Equipment Design on Human

Reliability
It is important that the physical and mental requirements of a job or task match the capabilities and
expectations of the people who are to undertake the work. Serious mismatches between the job and the
job holder can introduce stress and ill-health, safety problems as a result of an increase in human error,
and poor job satisfaction and morale.

This match of job factors to the individual's capabilities must include considerations of the work hours and
shift work, team working, workload, pressure, and also factors relating to the design of the workplace and
the work environment. Jobs which have been designed in accordance with human factors principles will
have matched the jobs to the needs of the individuals. The physical and mental capabilities of the
workforce therefore need to be considered when designing jobs.

Job, Equipment and Environment Focus

The way jobs are designed has a direct effect on the health and safety of workers. People will usually try
to adapt to poor job, equipment or environment design, but this can impact on their health and safety and
the overall safety of the work system (e.g., in safety critical or major hazard industries).

The timing of shifts, the length and frequency of breaks, the workload, the physical and mental demands
due to the design of the task, equipment and environment are all important factors to consider and can
affect both the individual and the integrity of the whole work system.

These factors are outlined below and are covered in other parts of this study material, and include:

1. Musculoskeletal disorders and manual handling

2. Work related stress
3. Fatigue from working patterns e.g., shift work and overtime NEBOSH
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4. Human factors in design
5. Alarm handling
6. Interfaces, and
7. Procedures
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Consideration of ergonomic principles will be critical in selecting the suitability of work equipment.
Manufacturers should always take account of ergonomic principles to reduce mental or physical stress
and strain of the operator. These principles shall be considered when allocating functions to operator
and machine (degree of automation) in the basic design.

Account should be taken of body sizes likely to be found in the intended user population, strengths and
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postures, range of movement, frequency of cyclic actions, etc.

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Man-Machine Interface
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IA7 – Organisational Factors

All elements of the “operator-machine” interface such as controls, signalling or data display elements
should be designed to be easily understood so that clear and unambiguous interaction between the
operator and the machine is possible.

Inherent in this interaction process is the transfer of either energy (power) or information between the
worker and machine. This exchange takes place via an imaginary plane known as “the man-machine
interface”. This information passes from the machine to the worker through display elements of the
interface and from the worker to the machine through control elements of the interface. Here the worker
and machine are combined in a closed loop feedback system. This is shown systematically in Figure 15.

Figure 15: The Man-Machine Interface, Emphasising the Performance of the Human Information
Processing System
Pierre

N.B. The broken lines underline that the displays and controls are linked between the operator and the
machine.

Design Considerations: NEBOSH International Diploma

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 Information on the status of machine/ process must be compatible with human sensory organs
(reception).
 Information must be organised to be easily interpreted.
 Quality and quantity of information to enable decision making; and
 Requires controls to be organised to allow logical and sequential actions to be taken based on
decisions made.

Controls
When deciding on how controls and displays should be arranged in front of the operator, the overriding
considerations are that they should be capable of being used quickly, accurately and without fatigue. For
this reason, an attempt is normally made to ensure that complementary sets of components are arranged
so that they suggest to the operator how they should be used. Groups of displays and controls should be
arranged, therefore, in terms of the sequence in which they would normally be used, their frequency of
use, and their importance.

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Control dimensions should be determined using appropriate anthropometric data. The following factors
also require attention.

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

 Force - if high levels of force are required the design should allow for it to be applied easily e.g.,
through the use of power grip design rather than a precision grip.
 Feedback - The closer the correspondence between the movement of the control and the
response of the controlled process the more accurate the control will be e.g., the movement of a
steering wheel and the corresponding movement of the vehicle on the road.
 Layout -High priority controls should be located so that they are easily seen and easily
accessed. All controls should be within the zone of maximum reach.
 Functional Groupings - Similarly functional controls should be grouped together. The grouping
should not cause interference with adjacent controls. If controls are to be used sequentially the
layout should correspond to the sequence. Controls may be interlocked to ensure they can only
be operated in the correct sequence.
 Expectation -Cultural influences will need to be considered, e.g., in Europe flicking a switch
downwards turns the system on. In the United States of America, the same action would switch
the system off.
 Compatibility - Controls should move in a direction compatible with the display. Controls on
similar machines will be expected to perform in a similar way.
 Distinctiveness - Controls can be 'coded' to enable operators to distinguish between them.
Distinctions can be made by:
 Shape -Geometric forms such as circles, squares and triangles are useful to distinguish
between types of control, giving both visual and tactile cues.
 Colour - Colour codes are only effective in a well-lit environment. Expectation may
interfere with understanding. Green is for go and Red is for stop, but green also
indicates safety and red indicates danger. Will the design intent be appropriately
perceived?
 Texture - Tactile characteristics such as rough or smooth, hard or soft may be useful to
differentiate controls where lighting is poor.
 Size - The use of three size groupings – small, medium, and large (with a minimum of
15mm diameter and 10mm thickness differences) corresponding to different control
activities has been shown to be effective. It is combinations of shape, colour, texture
and size that provides effective mean of distinguishing between controls.
 Location - Controls should be where 'expected'.
 Positions - The control should be in a position relative to the display where both can be viewed
simultaneously by the operator without compromising comfort. Control layouts should be
spatially compatible (in a similar layout) to that of the display. Consider then the relationship
between the controls and the burners on a cooker hob.
 Labelling - Labels can be used to describe a control function. Labels written traditionally from NEBOSH
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left to right are easiest to interpret, and the quickest to read and react to. Problems can arise
with understanding due to language or literacy issues, and labels can be easily damaged or
obscured due to a range of environmental factors.
 Operational Methods - Switches, buttons and dials can be used to distinguish between
different control functions.
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Display Designs
The primary objective of any display is to ensure that the required information can be received and
understood with the necessary levels of efficiency and effectiveness.
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Thought must be given to integrating the display with the controls. Bridger (1996) highlights three
general principles:

 Gestalt Principles can be used to ensure that functional relationships between inputs and
outputs are correctly represented.

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 Mental Workloads can be minimised by careful consideration of spatial memory and abilities to
process mental images.
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IA7 – Organisational Factors

 Learned Associations between displays, displayed variables and control movements should be
incorporated to minimise errors.

Specific additional factors to consider include:

 Dials - Most populations will 'expect' a dial to read clockwise. Dials are not effective for
providing warnings or handling complex information.
 Digital Displays - Can be difficult to read when data is changing rapidly, but provide a useful
service where accuracy is required and where numerical data is presented constantly or with
minimum changes.
 Lights - Colour coding can be used and flashing lights can be useful for attracting attention.
 Annunciators - These are devices that give a visual indication as to which of a number of
electrical circuits is operated e.g., indicating which sensor in a fire detection or security system
has triggered.
 Auditory Displays - Varying frequency and intensity can be particularly useful to warn of
danger.

Note: BS EN 60073:2002 provides detail on coding principles for machine indicators and activators.

Allocation of Function

This term refers to those parts of a system that will be performed by the machine and the role played by
the person. The solution is not a simple one of separating functions appropriate to one or other, but must
be seen in the light of social, economic and political arguments. Decisions can be based on the relative
capabilities and limitations of both components. Paul Fitts, a psychologist, attempted such an approach;
in drawing up his list itemising the relative advantages of men and machines. This was later updated by
‘Singleton’ and shown in Table 7: heat, cold, noise and vibration.

Table 7: List of the Relative Advantages of Men and Machines the Fitts List (From Singleton)
Pierre

Property Machine Performance Human Performance

Speed. Much superior. Lag one second.
Consistent at any level. 2 horse-power for about ten seconds.
Large constant standard 0.5 horse-power for a few minutes.
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forces and power available.

0.2 horse-power for continuous work over a day.
Consistency. Ideal for – routine, repetition Not reliable – should be monitored.
and precision.
Subject to learning and fatigue.
Complex activities. Multi-channel. Single channel.
Low information throughout.
Memory. Best for literal reproduction Large store multiple access.
and short-term storage.
Better for principles and strategies.
Reasoning. Good deductive. Good inductive.
Tedious to re-programme. Easy to re-programme.
Computation. Fast, accurate. Slow.
Poor at error correction. Subject to error.
Good at error correction.

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Property Machine Performance Human Performance

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Input. Can detect features outside Wide range (1012) and variety of stimuli dealt with
range of human abilities. by one unit, e.g., eye deals with relative location,
movement and colour.
Insensitive to extraneous
stimuli. Affected by heat, cold, noise and vibration.
Poor pattern detection Can detect very low signals.
Can detect signal in high noise levels.

Overload reliability. Sudden breakdown. Gradual degradation.

Intelligence. None. Can deal with unpredicted and unpredictable
situations.
Incapable of goal switching
or strategy switching without Can anticipate.
direction.
Can adapt.
Manipulative Specific. Great versatility and mobility.
abilities.

The usual engineering approach to allocation of function is one of: as much as possible being done by a
machine at a reasonable cost and letting the human operator do the rest.

Degradation of Human Performance Resulting from Poorly

Designed Workstations

Poor design of workstations may lead to the workstation being designed so that it is the wrong height
than that needed for an average person. Most work tasks are best performed at approximately elbow
level, and if the work surface is too high, the neck and shoulders become stiff and painful. If the work
surface is too low, lower back pain develops quickly. This applies to all workstations where workers are
in standing or sitting positions.

Workstations need to be capable of adjustment. Unsuitable workbench height causes the operator to
develop musculoskeletal problems.

 If the workbench is too high, the operator has to adopt an unnatural posture, with the elbows
away from the body and the shoulders rose. This causes discomfort in the shoulders and
neck.
 If the work surface is too low the operator will have to lean forward. This causes neck and
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 Repetitive movement, particularly those requiring the operator to exert force or use an
unnatural action, can lead to upper limb disorders. One problem is tenosynovitis, or
inflammation of the tendons of the hand and wrist. This is a common problem with keyboard
operators.
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The layout of controls and displays can influence the safety of a system. Typical problems include:
 Switches which can be inadvertently knocked on or off;
 Control panel layouts which are difficult to understand;
 Displays which force the user to bend or stretch to read them properly;
 Critical displays which are not in the operator's normal field of view;
 Poorly identified controls which the operator could select by mistake; and
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 Emergency stop buttons which are difficult to reach.

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Ergonomically Designed Control Systems

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Cranfield Institute of Technology conducted early research into the design of control systems. A
traditional horizontal lathe was analysed to enable comparison of the location of existing controls with the
anthropometric data (body part measurements) of the average operator.

There were significant differences between the two. The lathe had obviously not been designed with the
limitations of the average operator in mind.

Figure 16: “Cranfield Man”

Table 8: A Comparison of “Cranfield Man” and the “Average Operator”

Pierre

Measurement Average Operator Cranfield Man

Height 1.75 1.35

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Shoulder width 0.48 0.61

Arm span 1.83 2.44

Elbow height 1.07 0.76

Ergonomic considerations are much more likely to affect the design of machinery nowadays. This can be
seen in the control systems for most modern machinery including cranes and aircraft.

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Production Process Control Panels

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

The need for good ergonomics in relation to production process control panels is critical to health and
safety. One of the factors leading to the reactor core damage and radioactive water loss at Three Mile
Island was a poorly designed control panel that featured:

 Controls that went off scale

 Key indicators that were sited out of view
 Hundreds of alarms that were illogically arranged with no means of isolating the unimportant
ones which were provided

This information overload did not allow control room workers to react in the way that the situation
demanded.

Nuclear Power Plant Control Room Simulator, Showing Complexity of Controls

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When designing production process control panels, the designer must consider the layout of the control
panels in order to ensure:

 That all control room workers can see each other and all relevant instrumentation
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 That audible warnings are clearly understood and cannot be masked by other sounds
 That workstations are designed to ensure that displays are clear and that controls are easily
identified and operated
 That lighting is provided which allows clear definition and does not compromise visual displays.
 As far as possible, display instruments should be located close to the controls that affect them

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 If the controls and display are separate, they should be in the same order and arrangement
 Identification labels should be placed above the control and identical labels above the
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

IA7 – Organisational Factors

corresponding display
 If controls are operated in sequence, they should be arranged in the same sequence running
from left to right
 If the controls are not operated in a specific sequence, then they, and their corresponding
display, should be arranged in functional groups

Ergonomic Design of Crane Cabs

HSE have identified two main ergonomic concerns with the design of cabs used offshore.

 Poor working posture – much of the work is done sitting, often leaning forwards, head position
will vary considerably to follow loads.
 Equipment that is difficult to use – controls can require continuous operator application for
considerable periods of time. Space is often limited and control location is compromised as a
consequence.

Design improvements have included: routing steering columns through the dash rather than the floor to
optimise floor space and leg room; providing adjustable controls to fit the operator; mounting gauges on
the steering column for easier visibility; mounting microphones in a position that allows comfortable
communication.

Traditional Crane Cab Ergonomically Designed Crane Cab

Pierre

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Ergonomic Design of Aircraft Cockpits

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Figure 17: Instrumental Panel

Modern aircraft have a multitude of systems

and controls blended into the instrumental
panel.

Advancements in aviation accidents have

been traced to unrecognised or improperly
interpreted instrument readouts.

Such problems may be averted with an

intelligent ergonomically engineered pilot
alerting system.

Advanced engine monitoring systems can

combine several instruments into one
display which can be located in an optimal
location for comfortable view and easy hand
access.

The information depicted on each instrument is grouped according to necessity and function and
advanced software and hardware technologies are used to reduce pilot workload and enhance intuitive
decision making.

Airbus A380-841 Glass Cockpit

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Ergonomic Design of CNC Lathe

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IA7 – Organisational Factors

A computer numerical controlled (CNC) lathe is a machine that performs a number of cutting operations
without having to be continuously supervised by an operator.

Ergonomics are applied to the use of the keyboard and monitor whereby the operator programmes the
machine to undertake the cutting process. The monitor, often in a fixed position on the machine control
panel, benefits from being height adjustable.
Pierre

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Matching Skills and Aptitudes

Matching the job to the individual ensures that people are not overloaded; this contributes to consistent
performance.

 Physical matching includes how the whole workplace and the working environment are
designed.
 Mental matching involves taking into account the individual’s information and decision-making
requirements as well as his or her perception of the task.
 Mismatches between job requirements and an individual’s capabilities increase the potential for
human error.

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Task Analysis

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Identifying the potential for human failure in preventing an accident or exposure to substances
hazardous to health requires having a thorough understanding of the task the person is carrying out.
Task analysis is a formal step by step examination of tasks to identify hazards, risks and likely errors
and is often used in the development of a safe system of work. The approach is formal, structured and
is diagnostic as well as descriptive.

There are different methods for achieving this understanding which are usually referred to as Task
Analysis methods. A thorough understanding of the task can contribute to:

 Accurate and workable procedures;

 Assuring the competence of employees;
 Determining appropriate staffing levels;
 Workload analysis;
 Design of workstations, plant and control systems;
 Person specifications for recruitment;
 Human error analyses as part of risk assessment; and
 Allocation of function i.e., identifying whether a task would be more accurately and efficiently
run by a machine (e.g., monitoring system states) or a person (e.g., decision making).

Application of Task Analysis

The process of task analysis involves a number stages, typically this will include:

 Select the task to be analysed

 Break the task down into a sequence of steps
 Identify potential hazards
 Identify current control measures
 Consider the effectiveness of the control measures and factors that could affect this, for example,
worker behaviour
 Determine what additional control measures are required

When conducting a task analysis all aspects of the job/task should be considered and recorded in writing.
Typical considerations in a task analysis would be:

 The work to be done NEBOSH

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 Where the work is done
 Equipment, materials and people used
 The current controls
 Adequacy of controls
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 Correct use by the workers of the controls

 Behavioural factors relating to workers/supervisors/managers
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Selecting the task to be analysed


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IA7 – Organisational Factors

Ideally, all tasks should be systematically analysed
 Break the job/task down into a sequence of steps
 When breaking the task down into steps it is important to ensure that it enables sufficient depth of
analysis for the purpose of the process
 Identify potential hazards and current control measures
 The hazards that may occur and the control measures in place are identified and recorded for
each step
 Consider the effectiveness of the control measures
 It is important to consider the effectiveness of the control measures and the factors that could
mean the controls might not be used

Example of part of a task analysis – changing the wheel of a vehicle

Additional control
Step Hazards Control measures
measures
Vehicle too close to
Drive to area well clear of traffic.
passing traffic Place blocks in front
Turn on hazard warning lights
and back of the wheel
1 Park vehicle Vehicle on uneven,
Choose a firm level parking area diagonally opposite the
soft ground
wheel to be removed
Apply the parking brake
Vehicle may roll
Correct design of spanner that
contacts all sides of the wheel
Loosen wheel Injury to hands nut, to reduce slipping
Apply steady pressure,
2 nuts of wheel
Muscle strain Gloves for grip and to protect slowly
to be removed
Long handled spanner to enable
suitable force
Suitable clothing or sheet to
enable you to get down to level to
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Difficulty in access fit jacking device

under vehicle,
causing person to Locate jacking device in jacking
Use hand light to help
Raise vehicle bend and stoop point
see position of jacking
3 with jacking Raise vehicle only high enough point
Jacking device could
device so wheel to be removed clears
slip
the ground and can be removed NEBOSH International Diploma
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Vehicle could
overbalance If tyre of wheel being removed is
flat raise sufficiently high to
enable spare wheel to be fitted

4 Continued Continued Continued Continued

Task analysis methods can be used to eliminate the preconditions that give rise to errors before they occur.
They can be used as an aid in the design stage of a new system, or the modification of an existing system.
They can also be used as part of an audit of an existing system.

Task analysis can also be used in a retrospective mode during the detailed investigation of major incidents.
The starting point of such an investigation must be the systematic description of the way in which the task
was actually carried out when the incident occurred. Examples are Fault Tree Analysis and Event Tree
Analysis.

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Individual Factors

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Relationship between Physical Stressors and Human
Reliability
Physical stressors such as cold, heat, noise, vibration and light may impact upon human reliability.
The effect of each is discussed below:

Heat Vibration
High internal temperatures (38.5˚C) have been Vibration has been shown to be a major risk
shown to increase the speed of performance factor in a development of spinal problems in
due to an acceleration of the body's internal certain driving occupations.
clock.
Vibration white finger (VWF) and hand arm
Increased rates of error and an increase in risk vibration syndrome (HAVS) can lead to
taking behaviour have also been associated permanent disability of the hands with pain,
with high internal temperatures. A dose numbness and lack of grip.
response relationship is evident with
performance diminishing over time. Vibration can also affect task performance
by causing body parts to resonate,
Relative humidity is also a factor, with a range of degrading vision and manual control. At 5
35 to 40% appearing optimal, whereas a relative hertz the shoulder girdle resonates, between
humidity of 75% has been shown to lead to 20 and 30 hertz the head resonates between
diminished performance. the shoulders and at higher frequencies the
eyes may also resonate.
Cold
Cold causes shivering, impaired neural
conduction and poor muscular control, all of
which may affect reaction times.

Research by Meese et al 1989 examined

reaction times and vigilance of workers at
temperatures of 6˚C, 12˚C, 18˚C and 24˚C.

Work at the lower temperatures was clearly

shown to be slower and more cautious. (Bridger
1995).
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Noise
Noise can affect the performance of auditory
tasks by masking important audible cues. The
degree of effect will vary depending upon the
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intensity and nature of the noise.

It has been further suggested that noise can

degrade performance by interfering with mental
processes (too loud to hear yourself think!).

Noise can also impact upon levels of

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satisfaction with the working environment,

though attitudes towards noise sources are
highly subjective.

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Light
Poor workplace lighting can lead to a broad range of
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IA7 – Organisational Factors

problems: glare may cause discomfort or be
temporarily disabling; visual fatigue and eye strain
may occur; and poor lighting may also have an
adverse physiological effect.

Even before the Hawthorne Experiments, it was

believed that workplace lighting could have a specific
impact upon workers satisfaction. Natural lighting with
a view of the outside view of the outside world is
generally considered to create a more satisfactory
workplace. Many workers believe that working in
artificial light is unhealthy.

Light also has biochemical and behavioural effects on

humans. The action of ultraviolet light on the skin is
essential for the production of vitamin D, which is used
in the metabolism of calcium. Interruptions of these
processes can lead to physiological effects (rickets)
and psychological effects (SAD / Seasonal Affective
Disorder).

Light is also an important cue for the ‘body clock’ or

circadian rhythms. Lack of exposure to exposure to
daylight due to shift work can give rise to 'shift lag'
(displacement of the body clock).

Effects of Under-Stimulation, Fatigue and Stress on

Human Reliability

Under-Stimulation
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Under-stimulation occurs when there's not enough going on in our environments to keep our attention or
keep us interested. This can result in ‘boredom’, a distinct emotional state in which the level of stimulation
is perceived as unsatisfactorily low.

With the advancement in the technology, jobs could be become monotonous and controlled if they are
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to perform a task. Such jobs are likely to create negative attitudes and poor mental and physical health. It
is only through redesigning such work that improvements can be made in the quality of working life and
the performance of the job.

Fatigue
Fatigue is generally considered to be a decline in mental and/or physical performance that results from
prolonged exertion, sleep loss and / or disruption of the internal clock. It is also related to workload; in
that workers are more easily fatigued if their work is machine-paced, complex or monotonous.

If workers are fatigued, they will be less alert, their reaction time will be slower, and they will find it less
easy to concentrate and may make ill-judged decisions. As a result, they may make more errors, which
can lead to accidents and injuries. It is important not to underestimate the risks of fatigue.

For example, the incidence of accidents and injuries has been found to be higher on night shifts, after a
succession of shifts, when shifts are long and when there are inadequate breaks. Fatigue has also been
implicated in 20% of accidents on major roads.

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The effects of fatigue can be identified by an individual’s degraded performance and occurs as:

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

• Tasks requiring attention not being done or partly done
• Poor decision making (mental sluggishness)
• Forgetfulness
• Slower reflexes and reaction times
• ‘Micro sleeping’ (where an individual’s eyes close and concentration is lost for a few seconds)
• Loss of situational awareness

Work patterns – time at work - Research has demonstrated a clear relationship between the length of
the working day and the performance of workers. There is a great deal of individual variation in
susceptibility to fatigue and the effects on individuals. The effect of fatigue tends to be more marked if the
task is monotonous or very repetitive

Rest periods – amount of sleep - Everyone maintains a basic sleep requirement, which can vary
between individuals and over time, but the average is seven to eight hours per day

Therefore, if an individual does not get a full night’s sleep, they are more likely to be fatigued the following
day. If this continues over a period of time, they can build up a ‘sleep debt’. Rest periods perform both a
physical and social function. The daily rest between work periods/shifts needs to be adequate to enable
workers to return to work fully rested. Shift workers, especially night workers, benefit from regular
recovery periods of at least 48 hours

Stress
HSE defines stress as:

“The reaction that people have to excessive pressure, or other types of demands placed upon them.
It arises when they worry that they can’t cope”

Work related stress is experienced when the demands of the work environment exceed the employees’
ability to cope with or control them. This leads to an adverse reaction that people have to excessive
pressures or other types of demand placed upon them.

It has been suggested that there are seven contributory factors to workplace stress. Both, having too
much to do or the work being too difficult (overload) and work that is routine, boring and under-stimulating
tasks can be a source of stress.

Medical opinion states that possibly 70% of

patients being treated have conditions that
have their origins in stress. Causes of stress
can be divided into two groups:
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• Environmental
• Psychological

The environmental stressors are things such

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as bodily injury, noise, extremes of

temperature, etc. and the psychological
stressors include periods of intense mental
activity, being unable to achieve what is
required, physical or social isolation,
inconvenient and excessive hours, dangerous
job etc.
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Introduction of new systems can also be a

source of stress where a technology that is
complicated and lack of proper training and support may exert tremendous pressure on individuals.

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As well as its effect on individuals it must be noted that stress also affects the organisation at large.
Stressed employees’ availability for work will be diminished as will their capacity for work and the quality
of their work. This will lead to “organisational ill-health”.
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IA7 – Organisational Factors

Figure 18: Patterns of Causes and Effects of Stress

Exposure to
Problems external to
organisational and
work
other factors

Imbalance between
demands and ability to
cope

Experience of
stressed / troubled
employees

Diminished availability Poor / impaired

and poor performance employee health
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Impaired quality of
employee life

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Organisational
ill-health

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Human Factors/Ergonomics approach to reduce work-related

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Stress
Human factor considerations are about designing work and workplaces so that people can carry out their
duties effectively and efficiently, without experiencing discomfort, becoming ill or making mistakes due to
poor job or equipment design, or negative organisational influences. The nature of the job, the
organisational context and the individual characteristics required all influence individual performance.

A systematic human factors / ergonomics approach would involve an analysis of the job design (tasks to
be done) and how it relates to the other jobs and tasks. This includes looking at workload (physical and
mental), work patterns, information and communication needs, job role and amount of personal
discretion, equipment design and the work-place environment. Getting these aspects right can be
especially important where the work is safety-critical or involves safety-critical decisions.

Organisational Context
Much of this relates to the organisational culture and takes into account working relationships between
relevant workers, teams and managers (e.g., are they supportive or antagonistic?).

Another aspect concerns whether the right level of practical support is available in the form of resources
and management sponsorship, for example. Also, since few organisations remain static for very long,
then whether change is planned and managed effectively is also important.

The Influence of Personality, Attitude, Aptitude and Skill

How do these variables affect an individual's behaviour in the workplace?

Can they be manipulated by management to obtain the desired behaviour and if so, how?
The key variables affecting individual behaviour are illustrated in figure 18 below. It is these determinants
of behaviour that the following discussion will address.

Figure 19: Key Variables Affecting Individual Behaviour

Values
Motivation
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Attitudes Individual
Perception behaviour
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Personality
Learning,
education
and training
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Ability / Aptitude

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Personality
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IA7 – Organisational Factors

The key points to define personality is that it is

 Stable: People do not change fundamentally from day to day.

 Organised: Systems are related. Personality is formed through a combination of biological
mechanisms and environmental factors (nature and nurture).
 Distinctive: Each personality is unique.

Four main personality types include:

1. Stable / extrovert
2. Unstable / extrovert
3. Stable / introvert
4. Unstable / introvert

Cattell’s Trait Theory suggests that personality is extremely difficult to change. Management has the
responsibility to ensure that consideration of a person’s personality is taken into account when choosing
people for a task as accidents occur as a result of mismatched personality and task is not the fault of the
individual.

Attitude
Allport 1935, defined attitude as:

“A mental and neural state of readiness,

organised through experience, exerting a
Pierre

directive and dynamic influence upon the

individual's response to all objects and
situations with which it is related.” (Malim &
Birch, 1998)

Individual attitudes differ. They reflect an individual’s inclination to feel, think, or act in a positive or NEBOSH International Diploma
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negative way towards a particular target, be that a person, an object or a concept.

Figure 20: Components of Attitude

Affective
Attitude Target
Feelings and
emotions

Cognitive
Perceptions, believes
and memories

Behavioural
Actions or intentions
to act

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Early research into attitude and behaviour failed Behavioural approaches to safety management

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

to prove a direct casual relationship between offer a more pragmatic solution to the
attitudes and behaviours. management of human factors related safety
issues in the work-place.
La Piere studied racist attitudes and behaviours
in California in the 1930’s. He visited 250 hotels Behavioural approaches focus on directly
and restaurants with a Chinese companion and observed human behaviour, as this is much easier
was refused entry only once. to measure than attitude.

A later questionnaire asking the same Behaviour is modified through motivational

establishments if they would accept Chinese techniques. As appropriate behaviours are learnt
guests elicited a 92% negative response. they are strengthened due to their positive
consequences.
Clearly there was a generally racist attitude
prevalent at the time, but other factors Research has shown that when behaviour is
influenced the actual, overt behaviour. changed the underlying attitudes are consequently
modified to 'fit' with the new behaviour.
The relationship between attitude and behaviour
was no longer considered to be one of cause
and effect.

Aptitude
Ability is the capacity to perform a particular physical or mental function. Key abilities include physical
strength, manual dexterity, spatial acuity and conceptual thinking.

Abilities may be learned or developed in the workplace. An aptitude is an inherent ability or inclination for
acquiring or developing ability.

Skills
Skills are the expertise or talent needed in order to do a job or task. Each individual has skills which they
have developed over time. Some individuals are gifted with physical and manual skills whilst other
individuals have great analytical skills.
For an individual worker who has an excellent analytical skill but poor physical skills to be put into a job
role that requires physical dexterity to operate a machine is not a good move on the employer’s part as
this worker lacks the necessary skill for this role. The incompatibility of the required skillset with that of a
worker’s skillset may create additional risk in the workplace.

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Organisational Factors
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

IA7 – Organisational Factors

Organisational factors have the greatest influence on individual and group behaviour.
Organisational factors are the management elements which contribute to a positive or negative health
and safety culture. Negative culture can cause employees to work unsafely even if competent.

The Effects of Leadership and Commitment at All Levels on

Health and Safety Culture

Management Commitment
For an organisation to be successful in promoting and maintaining positive health and safety, it is vitally
important that management shows their commitment towards health and safety in the workplace.
Management commitment produces higher levels of motivation and concern for health and safety
throughout the organisation. It is indicated by the proportion of resources (time, money, people), whether
health and safety are included in the agenda of management and departmental meetings, and support
allocated to health and safety management and by the status given to health and safety versus
production, cost etc. The active involvement of senior management in the health and safety system is
very important.

Leadership
Leaders need to be seen to lead by example when it comes to health and safety. Good managers appear
regularly on the ‘shop floor’, talk about health and safety and visibly demonstrate their commitment by
their actions – such as stopping production to resolve issues. It is important that management is
perceived as sincerely committed to safety. If not, employees will generally assume that they are
expected to put commercial interests first, and safety initiatives or programmes will be undermined by
cynicism. Health and safety standards cover all aspects of the organization. Every employee should
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understand the standards of health and safety expected by management. Management in turn needs to
continually promote these to all levels of the organisation. An important method is by leadership and
setting good examples.

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Effects of Patterns of Employment
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One of the accepted practices these days in most of the workplace is to have short-term workers/contract
workers, which clearly has an effect on individuals who are seeking job security. Many of the workers, who
are on a contract, suffer a great deal of stress due to lack of security. Others may not feel committed or
loyal to the organisation as they know that their contract is a limited one.

The higher risk of injury associated with temporary/contract workers are closely related to the increased
risk of injury to new workers.

The Labour Force Survey (LFS) shows that the rate of injuries to new employees, in the first six months of
employment is double that of employees with more than 12 months experience. This pattern is consistent
regardless of occupation, or hours worked.

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Table 9: Rate of Injury by Job Tenure

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Job tenure Rate of all injuries per 100 workers
per 12 months

Less than 6 months 11.4

6 – 11 months 5.6

12 months – less than five years 4.2

5 years or more 3.5

It has been suggested that this heightened rate is due to an initial learning effect and that once
appropriate skills have been learned the accident rate evens out.

Analysis of hours worked shows the expected correlation between increased exposure to hazards due to
longer time in the workplace and an increased incident rate.

Basic incident rate calculations do not, however show whether or not there is any additional risk
associated with long or short hours of work against the average 39.5 hours per week.

Study suggests:

 Workers on a low number of weekly hours worked have a significantly increased risk of
workplace injury.
 The more hours worked the lower the risk of injury.
 Those working less than 16 hours a week have double the rate of injury to those working 30 –
50 hours a week.
 The high risk is independent of other occupational factors.

Payment System
A central theory of human behaviour and motivation is that many workers respond to incentives. Payment
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systems for work may also provide rewards designed to over-ride the importance of other considerations.

Thus, this becomes the most important factor for many individuals who work under any type of
employment. For example, workers on a piecemeal arrangement are paid by their performance/output;
abattoir workers are often paid per animal slaughtered, so for them speed is important, because the
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faster they work the more they get paid. Same is the case of delivery boys. While safety may not be the
top priority, they understand that their own safety is important because if they injure themselves, they
won’t be able to work and then they won’t get paid. So, to make sure they continue to work and earn may
lead them to take care of themselves/ work safely.

This holds good for self-employed people too. At the same time, people on full employment who would
continue to get paid even if they are absenting from work may not think much about their own safety in
these terms, and so may tend have an unsafe attitude and behaviour.
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Shift Work and Health

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

IA7 – Organisational Factors

The key findings of epidemiological research into shift work and ill health are presented in the table 10.

The generalities of this population-based evidence must be considered in the context of the individual.

A broad range of factors including age, body clock “phasing”, ability to nap and lifestyle adaptation to take
advantage of the opportunities shift work offers all play a part in determining an individual's susceptibility.

Table 10: Shift Work and Ill Health

Mortality Mortality rates for shift workers are not higher

than those for the population at large.
However, they have been shown to be higher
than for the day workers

Cardiovascular Disease Higher rate of cardiovascular disease have

been found in shift workers, and particularly
former shift workers. The causes are unclear
but seem to include, smoking, blood pressure
and increase body mass

Ulcers Shift workers have a higher risk of gastric

duodenal ulcers. Causes are thought to include
irregular meal times, poor diet, smoking and
alcohol consumption

Neurological Disorders Shift workers have a greater tendency towards

general malaise, anxiety and depression

Sleep Loss Shift workers have been shown through electro

– encephalography to have less sleep and of a
poor quality.
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The reasons are physiological (circadian

rhythms), social and environmental

An increase on fatigue on night and early shifts

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The summary of research in HSE’s CRR 31, 1992 suggested that certain classes of employee should not
be allowed to work shifts, notably those:

 On medication with critical dose schedules

 With Cardiovascular problems
 With gastro intestinal disorders
 With epilepsy

It was further recommended that employees aged 40 and above had regular health checks.

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Shift Work and Safety

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

There is a general consensus that both productivity and safety are diminished on night shift.

It should be noted that conditions on nights may be very different. Staffing levels, the presence of
management, maintenance activities and the quality and quantity of scheduled work are all key
variables.

The main casual factors identified in research are:

 Rhythmic Changes: Performance levels are at their lowest ebb in the early hours of the
morning. A notable exception is work requiring a high short – term memory load.
 Fatigue: Individuals felt more fatigued and were more likely to fall asleep than those on days.
This is due to a combination of body rhythm changes and reduced duration of sleep.
 Shift length: Shifts over 8 hours long generally show a 'tailing off' of performance, particularly
if tasks are physically or mentally demanding, or repetitive. Longer shifts appeared to give rise
to higher accident rates though this is highly dependent upon the nature of the work being
undertaken.

Managing the Impact of Shift Work

There is no one solution to the potential health and safety impact of fatigue and shift work. The 'best
practice' management approach, which will go beyond what is required by health and safety
legislation, is through a multi-component approach which includes:

 Careful planning of shift rostering taking into account knowledge of the effects of biological
rhythms;
 Reviewing maximum hours of duty and time for recovery;
 Education of shift workers on sleep routines, nutrition, effects on family and social life,
exercise;
 Environmental design changes, especially those aspects which can improve alertness such
as temperature, lighting, and comfort levels;
 Reducing the number of safety-critical tasks planned for the night shift;
 Rotating jobs to reduce levels of boredom; and
 Providing medical advice for shift workers, especially for those with existing medical
conditions.
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The Effect of Weaknesses in The Safety Management

System
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As a processor system has a series of activities that make up their implementation strategy. The overall
system can, therefore, be only as strong as its weakest link. For example, in an inspection program
process, one should expect certain components or steps. If an inspection program is designed,
procedure written and inspectors trained, yet there is no tracking of issues to closure, it indicates severe
weaknesses in the overall effectiveness of the inspection program. Issues such as frustration on the part
of inspectors and workers, numerous repeat findings, with some even contributing to incidents will
probably result.
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Inadequacies in Policy
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

IA7 – Organisational Factors

Very well drafted Health and Safety policies also sometimes fail to achieve the intended outcomes. The
most common reasons are:

 The statements in the policy and the health and safety priorities not understood by or properly
communicated to the workforce
 Minimal resources made available for the implementation of the policy
 Too much emphasis on rules for employees and too little on management policy
 A lack of parity with other activities of the organization such as finance and quality control due to
mistaken concerns about the costs of health and safety and the effect of those costs on overall
performance. This attitude produces a poor health and safety culture
 Lack of senior management involvement in health and safety, particularly at board level
 Employee concerns that their health and safety issues are not being addressed or that they are
not receiving adequate health and safety information. This can lead to low morale among the
workforce and, possibly, high absenteeism; High labour turnover

Inadequacies in The Setting of Standards

Setting the standards for safety is perhaps one of the most important outputs of health and safety
planning Standards are the absolute minimum that organizations require from their workers regarding
various business activities in the organization. Standards stand above SOPs and reflect the way work is
done for the particular business activity in the organization. Standards are also designed to meet or
surpass regulatory requirements and will often define the success of the business.

When organizations develop standards that exceed regulatory requirements, they are sending a clear
message to workers that the health and safety of its workers are paramount to organizational success,
and this cannot be compromised.

On the other hand, if there are inadequacies in the setting of standards or the organisation sets low
safety standards due to various reasons, then one should expect poor safety performance.
Pierre

Inadequacies in Planning
Effective planning involves defining the organization’s objectives or goals, establishing an overall strategy
for achieving those goals and developing a comprehensive hierarchy of plans to integrate and
coordinate activities. Planning is based on the consideration of who has to do what and what is to be
done (ends) as well as how it is to be done (means) and preparedness in anticipating what might go NEBOSH International Diploma
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wrong, the likelihood of its occurrence, and the potential consequences.

Risk mitigation strategies can be devised to address these scenarios. Some of the inadequacies in
planning for health and safety are:

 Failing to determine the board’s charter and structure for leading health and safety.
 Failing to determine high-level health and safety strategy and policy, including providing a
statement of vision, beliefs and policy.
 Failing to hold management to account for implementing the strategy.
 Failing to specify targets that will enable them to track the organisation’s performance in
implementing board strategy and policy.
 Failing to manage the health and safety performance of the CEO, including specifying
expectations and providing feedback.
 Failing to determine and implement business and action plans to give effect to board strategy.
 Failing to determine targets that will enable them to track their own performance.
 Failing to implement performance management processes for workers that specify health and
safety expectations, and provide feedback on performance

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Inadequacies in Information

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

The inability to share important information that is timely and accurate is a common denominator in every
known disaster. In each instance, this risk factor either be caused the event to occur or contributed to the
severity of the outcome.

Communication failure is a complex problem because it involves man and machine. Failure can be
attributed solely to an equipment problem such as system overload, poor reception, inter-operability of
different communication devices, or lack of technology.

In other situations, failure can occur because certain individuals neglect to pass along vital information or
do not think it is important to do so. Failure can occur within an organization, between organizations, or
between authorities and the general public.

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Inadequacies in Responsibilities
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

IA7 – Organisational Factors

By developing specific task lists for each position at a site, an organization exhibits a high level of
operational discipline to both teams and individuals. Job roles and responsibilities are well defined and
clear. Tasks and procedures need to be carefully coordinated to avoid incidents. Coordination of roles
and responsibilities helps ensure that we allocate all tasks in terms of content, quality, and timing (correct
sequence) without duplication or overlap.

Without coordination, workers can make incorrect judgments in the field. A well‐intended worker may
inadvertently do alter or correct a situation desired by another worker. It is possible to omit, overlook, or
perform important tasks in the wrong order. The result of improper job coordination can be human error,
which has been a contributing factor in many serious incidents.

Inadequacies in Monitoring
Employers should measure what they are doing to implement their health and safety policy, to assess
how effectively they are controlling risks, and how well they are developing a positive health and safety
culture. Some of the inadequacies in Monitoring for health and safety are:

 Inadequate plan and lack of routine inspections and checks to ensure that preventive and
protective measures are in place and effective
 Insufficient data to justify proposed action plan
 Monitored risk inadequately described
 Inadequate data analysis procedures or descriptions
 Monitoring documentation requirements inadequate per the safety management system
 Adverse event reporting methods/procedures inadequate or absent
 Definitions of adverse events and reporting procedures inadequate or absent
 Likely adverse events poorly described or absent
 Follow-up actions or monitoring absent or inadequate.
Pierre

Influence of Formal and Informal Groups

This topic has been discussed at length in 2.1, covering the impact that the organisation’s structure, type
and nature of Organisations that can have on individual performance and behaviour in the workplace.
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Formal Groups
Formal groups are created in order to achieve specific organisational objectives and are concerned with
the coordination of work-based activities. Certain tasks can only be performed through the combined
efforts of a number of individuals working together. The influence of formal groups within an organisation
is dependent on the group’s role and status.

Informal groups
Within the formal structure of the organisation there will always be an informal structure. These informal
groups are like-minded individuals who get together for support. These groups may emerge and dissipate
gradually as the need for group cohesion changes.

The informal group may have a positive or negative influence.

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Summary of Informal and Formal Groups

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Table 11: Summary of informal and formal groups

Informal groups Formal groups

1. Qualifications for membership 1. Qualifications for membership

 Personality, characteristics,
temperament, attitudes, common  Skills, experience, education, training
(shared) interests, likes/dislikes capacity/capability
 Qualitative: immeasurable, subjective  Quantitative: measurable, objective
 Complementary in social psychological  Complementary in task requirement terms
terms  Individuals placed into groups to meet
 Individuals ‘earn’ membership - cannot task needs
be ‘placed’ into group

2. Leadership 2. Leadership

 Leadership ‘adopted’ by group  Leadership ‘appointed’ by external

 Leader must be ‘accepted’ by each authority
individual in the group  Leader need not be ‘acceptable’ to
 ‘Un-named’ leader individuals
 ‘Status’ awarded internally - by group  Named leader
 Not readily identifiable (the most  Title - given by external authority
outspoken individual may not be the  Identifiable - badge, uniform, office, status
leader) symbols
 Flexible to meet varying situations  Inflexible - leader in all situations
 Temporary - may change at any time  Permanent - may not change at any time
 Concerned for aspirations (needs) of the  Concerned for the needs (objectives) of
group the organisation

3. Communication 3. Communication

 In more extreme case 1-way, where it is

 2-way. From any member to all others. from the group leader. More participative
 Requests, consultation, advice, groups may be 2-way
discussion  Directives, orders, rules, schedules
 Always verbal - face to face  Can be verbal - often written
 Slow - complicated network  Fast - straight from ‘group leader’ to
 Understanding ensured member
 Communication through each member  Understanding expected and assumed
 Conviction of communicated message  Communication to the group
  Support expected from higher authority
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 Decisions imposed from above

4. Size of group 4. Size of group

 Depends on size and nature of task to be


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Depends on communication network

performed

5. Loyalty 5. Loyalty

 Always to group  Expected to be to the organisation

6. Identity 6. Identity
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 Status, personal name, personal role,

 Title, job description
sense of belonging and being accepted

7. Compliance by individual 7. Compliance by individual

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 Unwritten rules, norms, values  Written rules, standards and procedures

 Pressure to comply imposed by group  Pressure to comply by organisation
 
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

IA7 – Organisational Factors

Invisible Prescribed sanctions
 Variable sanctions  Visible
 Organisation charts

8. Summary 8. Summary

 ‘Us’  ‘Them’
 ‘Feelings’  ‘Facts’
 ‘Social’  ‘Scientific’
 ‘Democratic’  ‘Autocratic’

Organizational Communication Mechanisms and their

Impact on Human Failure Probability

The main function of communication is either to inform or to exchange information i.e., consultation. It is
probably worth noting the difference in the type of communication involved between 'information' and
'consultation' since they are both required in health and safety management. Informing is the provision of
data (or information) to a person or group of people to make them aware of something such as a safe
system of work, a procedure or a risk control.

Modes of Communication
One-way and Two-way Communication - Informing is a one-way process; in using it the intention is not
to seek feedback or comment. On the other hand, consultation is a two-way process aimed at providing
data or information and seeking feedback. In the consultation process the feedback may have one of two
functions - or possibly both.

The first is to seek the opinions or views of the recipient on the information given, for example, the
Pierre

feasibility of a particular system of work. This allows the questioner to refine the process of arriving at a
decision, based on a wider pool of experience and gives those being consulted the advantage of feeling
involved in the decision.

The second function of a two-way communication allows the questioner to determine if those being
questioned have correctly understood the information and exactly what is being required of them through
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the communication. This has the advantage of clarifying the communication and is more likely to make
the communication process more effective and efficient.

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Shift Handover Communication

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Whilst major incidents have highlighted the importance of shift handover, it is not known how typical
these incidents are of less high-profile failures of communication at shift change.

Given the proven importance of effective communication at shift handover, operators should give this
activity a high priority. Shift handover should be included in the safety-critical topics supervised and
audited periodically by management. They should identify its importance in policy and procedures, assign
responsibilities and set minimum standards.

A description of how to conduct an effective handover should be available so individuals can assess and
improve their own practice. High risk handovers needing extra attention should be flagged up. The
importance of effective communication skills during shift handover and throughout other work activities
suggests this attribute should be amongst the selection criteria for key posts. Furthermore, opportunities
should be available for existing staff to develop their communication skills if required.

Operational Considerations
One reason for miscommunication at shift change is that the key information needed by incoming
personnel has not been analysed or recorded. Analysing information requirements and providing a
reliable method of capturing this information, for example a structured log or computer-generated display,
aids accurate communication.

Other potentially high-risk handovers where a large gap in understanding has to be bridged include:

 Following a lengthy absence from work (e.g., at crew change)

 Between experienced and inexperienced staff
 During a plant or process upset

Effective Shift Handover at an Individual Level

To maximise effectiveness, individual handovers should be conducted face to face, with relevant
information present (e.g., logs, computer displays). Incoming and outgoing personnel should both
participate in a two-way dialogue, which allows for questioning, explanation and clarification.

It is important that individuals are aware of company standards for handover, what is expected of them
and which handovers are high risk or potentially problematic.

Organisational Communication Routes NEBOSH

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Management can use one or more channels or routes to communicate with his employees and obtain
feedback. Some experts prefer to use the phrase “lines of communication” instead of channels of
communication.
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Vertical Communication
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

IA7 – Organisational Factors

Vertical communication occurs between hierarchically positioned persons and can involve both
downward and upward communication flows. Downward communication is more prevalent than upward
communication.

 Upward Communication: Upward communication provides managers with information about

current problems, updates on employees’ progress toward goals, suggestions for improvement
and proposals for innovations, employee grievances, and feedback about employee attitudes.
Upward communication can take the forms of employee surveys, suggestion boxes, face‐to‐face
encounters, open-door policies, or required reports.

 Downward Communication: Downward communication is used by managers to assign goals;

provide job instructions; inform about policies, procedures, and practices; provide performance
feedback; point out problems. Downward communication can take many forms; speeches,
memos, company newsletters, bulletin boards and policy and procedure manuals.

Figure 21: Vertical Communication

Superiors Superiors

D
O U
W P
N W
W A
A r
r d
Pierre

Subordinates Subordinates
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Horizontal Communication

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Horizontal communication takes place among peers and can cut across departments and work groups.
These lateral communications benefit the organization by more efficiently providing support, coordination
and information than could vertically channels. Some organizations form task forces and committees to
facilitate information exchange and coordination between departments.

Figure 22: Horizontal Communication in a Bank

Branch Manager

Marketing Finance Operations

Manager Manager Manager

Business Cashier Officer

Organisation

Inward and Outward Communication

The external communication of a business organization takes two forms: Outward and Inward.

A business organization has to communicate with numerous people and parties that are outside, namely,
customers, bank, government officials, post office, insurance companies, police, municipality, etc.

The communication takes place in the form of letters, telegrams, phone calls or the company may use
mass media such as newspapers, radio, and television. Advertising is the most structured form of
external communication. NEBOSH
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Inward communication is said to take place when the organization receives letters, telegrams, phone
calls and visits from outside parties. All these are carefully attended to since they are the feedback that
the company receives to all that it has been doing or saying.
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Contribution of Human Error to Serious Incidents

The NEBOSH International Diploma syllabus requires knowledge of the contribution of human error to the
following major disasters:

 Fixborough
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 Kegworth
 Herald of Free Enterprise
 Piper Alpha
 Ladbrook Grove

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As well as identifying specific human errors (i.e., slips and lapses, and rule and knowledge-based
mistakes) candidates should also be able to identify:
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

IA7 – Organisational Factors

 Active and latent failures (direct and indirect causes)
 Violations

Broader human factors (the influence of the job, the individual and the organisation)

Improving Individual Reliability in the

Workplace

Motivation and Reinforcement

Providing suitable motivation is a particularly effective way of affecting the safety culture within an
organisation. If this is done visibly and the benefits adequately explained, the positive effect on the
organisational culture can most often ensure that any risk control measures in place are effective and
that where problems occur, they are quickly identified allowing remedial action to be taken.

Aspects of management that are likely to produce worker motivation include:

 Recognition of the worker or team and indicating their value to the organisation by praise and
encouragement
 A general improvement of the safety culture by visible management commitment, particularly
where this is backed up by demonstration, i.e., leading by example
 Involvement of the whole workforce in the risk management process, particularly in areas of
hazard identification, risk assessments and the development of practicable safe systems of
work
 Rewards of some form or other can provide motivation, but care must be taken that they do not
Pierre

distort the process - for example by inhibiting incident reporting in an area that receives a
bonus for no incidents
 Empowering the workers involved in particular tasks to take ownership of their own safety
management by giving them authority to effect change where problems occur
 Ensuring that sufficient and adequate training is available, both on the workers' immediate task
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 Regular safety meetings during team briefings will reinforce the message that safety is part of
the work not a 'bolt-on' extra
 Effective joint consultation and safety committee meetings to ensure that concerns and good
ideas may be aired productively
 Good communication systems enabling the workforce to be kept informed of changes in
technology, production aims, legislation and potential problems
 Discipline is necessary - although it does not always need to be heavy handed.

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Safety Incentive and Award Schemes

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

As part of their safety and health management systems, many employers use safety incentive programs
to encourage safety in the workplace. These programs provide workers with rewards for achieving
certain safety goals. Examples of these rewards include cash, meals, tangible goods, and public
recognition. Employers can provide such rewards on the basis of individual or group performance
depending on the program’s design.

There are two types of safety incentive programs:

 Rate-based programs, which reward workers for achieving low rates of reported injuries or
illnesses
 Behaviour-based programs, which reward workers for certain behaviours such as
recommending safety improvements.

Components of a successful safety incentive program

1. Include employees in the setting of goals and rewards.

2. Foster an environment of open communication about safety issues and the reporting of
incidents.
3. Provide regular feedback to employees on the progress being made toward meeting safety
goals.
4. Hold a recognition party at the successful completion of company-wide safety training.
5. Regularly evaluate the effectiveness of safety incentive program.

Job Satisfaction
Herzberg’s original hypothesis followed the notion that the opposite of dissatisfaction is not satisfaction,
but simply no dissatisfaction, and that the absence of satisfaction is not dissatisfaction but no satisfaction.

His postulation of these factors as being different in character caused the theory to be called the
‘Herzberg two-factor theory of job satisfaction’. The following is a list of the basic factors which he
referred to as ‘satisfiers’ and ‘dissatisfiers’. It illustrates the basic difference between the two.

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Further analysis suggests that the satisfiers are all integral to the performance of the job and are referred
to as ‘job content factors’.
ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

IA7 – Organisational Factors

Herzberg further called the satisfiers ‘motivators’ and the dissatisfiers ‘hygiene factors’. He referred to the
dissatisfiers as ‘replenishment needs’ since provision must always be made for them, but their
importance is realised only when they are inadequate or absent.

In other words, people expect their replenishment needs to be met at all times. The motivators, on the
other hand, he called ‘growth needs’ since they are the work elements that provide real motivation in this
theory of job satisfaction,

Appraisal Schemes
Performance appraisal may be defined as a structured and formal interaction between a subordinate and
supervisor, that usually takes the form of a periodic interview (annual or semi-annual), in which the work
performance of the subordinate is examined and discussed, with a view to identifying weaknesses and
strengths as well as opportunities for improvement and skills development.

The purposes of performance appraisal are to look at it from the different viewpoints of the main
stakeholders: the employee and the organization.

Generally, the aims of a performance appraisal are to:

 Give feedback on performance to employees.

 Identify employee training needs.
 Document criteria used to allocate organizational rewards.
 Form a basis for personnel decisions: salary increases, promotions, disciplinary actions, etc.
 Provide the opportunity for organizational diagnosis and development.
 Facilitate communication between employee and administrator.

Selection of Individuals – Matching Skills and Aptitudes

Pierre

Employee Selection is the process of choosing individuals who have relevant qualifications to fill jobs in
an organization. Without qualified employees, an organization is in a poorer position to succeed.

The factors for consideration include:

 The standards to be attained for recruitment and for staff undertaking new activities. NEBOSH International Diploma
NEBOSH International Diploma

 Select and recruit staff using suitable methods.

 Selection of staff who have carried out other similar work
 Use of appropriate methods to test the candidate’s aptitude and mental abilities.

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Training and Competence Assessment

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

The opportunities and need for training provision can be rolled out from identifying the skills and
knowledge needed for people to do their job in a safe and healthy way. Compare these against people’s
current skills and knowledge and identify the gaps.

The key to effective training is to understand job requirements and individual abilities.
There are a number of methods of delivering the training and each has different merits - no one method
is correct in all circumstances. The main methods include:

On-the-Job Training

This is in reality another form of lecture, but in a real working environment. This has the advantage of
potentially being more stimulating for the participants, but can also cause problems particularly if the
group is large in that it can disrupt the work area and can expose the participants to uncontrolled risks
caused by the group being in a space too small for them.

Mentoring

This is a form of on-the-job training that involves the trainee being supervised closely at first, then more
relaxed as they progress by an experienced person. However, the experienced person may well be too
busy or unable to undertake their teaching role.

Off-the-Job Training

Off the job training relates to training that a person takes away from the workplace. The locations of such
training may well be in a ‘on-site’ training centre of a company, a dedicated training area for job specific
tasks (skill centre) or even away from the company altogether e.g., college, training institute, hotel
training class room etc. The importance of such training is that the trainee is taken away from their
natural working environment and all of the distractions that it may have. This allows for better
concentration and more focused learning.

Different types of Off-the-Job training Includes:

 Lectures - These can be efficient in that a number of people can be taught at one time, but
suffer from potential lack of interaction causing attention to wander. However, good lecture
techniques that promote participant interaction can overcome this problem.
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 Seminars – Where discussion is encouraged and students can learn from the instructor and
from each other. The number of students who can usefully take part at one seminar is a limiting
factor.

 Computer Based Training - This involves a training course on a computer that the trainee uses
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to learn some or all of the aspects of the task. This can be effective if there are sufficient
resources (computers) for the participants but can suffer from being a little too divorced from the
reality of the information being passed on.

 Distance Learning - Involves the use of material prepared elsewhere, often in book form, but
with the advantage of some form of tutor support to help the trainee through difficulties. This can
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be effective as it is often undertaken in short 'bursts' by the trainee but can suffer from the
remoteness of the assistance and potential lack of motivation of the participant.

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Fitness for Work

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

IA7 – Organisational Factors

Fitness for work refers to issues concerning an individual's health specifically in connection with his or her
job. For most administrative or office type jobs, a health assessment would only be necessary if the
health declaration indicates that there is a serious health problem or some difficulty with mobility or
speech or hearing, for example. The main purpose of the assessment is to confirm that the individual is
generally fit for the job and to indicate whether or not any adjustments to the job will be needed.
Pierre

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References

ID1.2 – Health and Safety Leadership, Culture and Worker Involvement

Ian Brooks 2003 Organisational Behaviour: Individuals, Groups and Organisation (2 nd edition)

John Martin 2001 Organisational Behaviour (2nd edition) Thompson Learning, London ISBN 1 86152 583 4

Stephen P Robbins 2000 Essentials of Organisational Behaviour (6 th edition) Prentice Hall, New Jersey
ISBN 0 13 083572 2

John Arnold, 1998 Work Psychology: Understanding Human Behaviour in the Workplace (3 rd Edition)

Cary L Cooper and Ivan T Robinson Financial Times Pitman Publishing, London ISBN 0 273 62868 2

Laurie J Mullins 1999 Management and Organisational Behaviour (5 th edition) Financial Times Pitman
Publishing, London ISBN 0 273 63552 2

Behavioural Issues 1999 Step change in Safety Task Group Behavioural Issues Task Group Interim Report

M. Fleming 1999 Safety Culture Maturity Model. The Keil Centre.

Fiona Davies, 1999 Summary guide to safety climate tools

Rachael Spencer and Karen Dooley MaTSU for HSE Offshore technology report 1999/063

S Gadd and A M Collins Human Factors Group 2002 Safety Culture: A review of the literature HSL/2002/25
Health and Safety Laboratory

HSE 2001 Involving Employees in Health and Safety (HSG217) HSE Books ISBN 0 7176 2053 0

International Labour 1981 Occupational Safety and Health Convention Standards International Labour
Organisation Geneva C155

International Labour 1981 Occupational Safety and Health Standards Recommendation International
Labour Organisation Geneva R164

Harvard Health Publishing

HSE.Gov. UK - Human factors-Behavioural safety approaches

HSE.Gov.UK – Human factors – organisational change

IOSH Magazine – Article on safety I and Safety II

Safety Differently- Sidney Dekker

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Resonant Leadership by David Boyatzis and Annie McKee (Harvard Business School Press, 2005

From Safety I to Safety II - Professor Erik Hollnagel

The Varieties and Archetypes of Human Work by Steven Shorrock

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HSG 263 – Involving your workforce in health and safety

Diploma

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 NEBOSH International Diploma ID1.2 – Health and Safety Leadership, Culture and Worker Involvement
Pierre 148

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and Safety Performance

ID1.3 Assess, Develop and Maintain Individual and Organisational Health
element 3
Assess, Develop and Maintain
Individual and Organisational Health
and Safety Performance
On completion of this Element, candidates should be able to:

3.1 Understand how providing information, instruction, training and supervision helps to develop
and maintain a competent workforce.

3.2 Recognise the characteristics of and what can be learnt from High Reliability Organisations
(HROs).

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Contents Page No

3.1 Competence, Training, Information and Supervision 151

3.2 High Reliability Organisation (HRO) 161
ID1.3 Assess, Develop and Maintain Individual and Organisational

References 164
Health and Safety Performance
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3.1 Competence, Training, Information and

Supervision

and Safety Performance

ID1.3 Assess, Develop and Maintain Individual and Organisational Health
Meaning of the Term ‘Competence’

Competency is the ability of an individual to perform a job properly. Its use varies widely, which leads to
considerable misunderstanding.

Some scholars see "competence" as a combination of knowledge, skills and behaviour used to improve
performance; or as the state or quality of being adequately or well qualified, having the ability to perform a
specific role.

The term competence is often used in an overall sense to describe an accumulation of competencies and
may also be classified related to levels of proficiency.

Competencies may be classified as:

 Behavioural – Soft Skills

 Managerial – Planning & Controlling Skills
 Technical – Hard Skills

Difference Between Competence and Training

Competence can be described as the combination of training, skills, experience and knowledge that a
person has and their ability to apply them to perform a task safely. It is also the ability of the individual to
undertake responsibilities and perform activities to a recognised standard on a regular basis.
It is the responsibility of the employers to ensure that they hire competent people to safely carry out the
various tasks that each job role requires.
Training can provide the foundations of competence, but it does not in itself necessarily result in a
competent person. Training alone does not achieve competence – consolidation of skills, knowledge,
training and practical experience are key to achieving competence.

Training and Instructions

Training is a means of communication which will help people acquire the skills, knowledge and attitudes to
make them competent in the health and safety aspects of their job, whatever their position in the
organisation.

Training is classified into various types such as Induction, Off-the-job, On-the-job, Technical,
Management, Skills, Open learning etc.

Note that the training is only part of the process in ensuring that people are competent. Training must not
be used as a means of compensating for inadequacies in other aspects of the system e.g., poorly
designed work equipment or workplace etc.

The need for training and the selection of training methods is something that needs to be properly
analysed and identified if it is to be effective.

The provision and use of work equipment should be supported by general requirements for information,
instruction, training and supervision.

Employers should ensure that all persons who use or supervise the use of work equipment have received
adequate training for purposes of health and safety.

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Adequate training will consist of a judgement against the following factors:

 Evaluate the existing competence of employees to operate the full range of work equipment that
they will use.
 Evaluate the competence they need to manage or supervise the use of work equipment; and
ID1.3 Assess, Develop and Maintain Individual and Organisational

 Train the employee to make up any shortfall between their competence and that required to
carry out the work with due regard to health and safety.

Circumstances When Training is Likely to Be Required

What is 'adequate training'?

It is not possible to detail here what constitutes 'adequate training' as requirements will vary according to
the job or activity and work equipment as well as the legal requirements of a country/region etc.

In general, employers will need to:

 Evaluate the existing competence of employees to operate the full range of work equipment that
they will use;
 Evaluate the competence they need to manage or supervise the use of work equipment; and
Health and Safety Performance

 Train the employee to make up any shortfall between their competence and that required to
carry out the work with due regard to health and safety.

Account should be taken of the circumstances in which the employee works. For example, do they work
alone or under the close supervision of a competent person?

When is training necessary?

Training needs are likely to be greatest in recruitment. However, training needs are also required:
 Induction;
 If the risks to which people are exposed change due to a change in their working tasks; or
 Because new technology or equipment is introduced; or
 If the system of work changes.

Also, employers should provide refresher training if necessary. Skills decline if they are not used regularly.
Employers need to pay particular attention to people who deputise for others on occasions - as they may
need more frequent refresher training than those who do the work regularly.

Groups of People Having Specific Training Needs

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Who needs health and safety training?

Leaders do!
Whether you are an employer or self-employed, are you sure that you’re up to date with how to identify
the hazards and control the risks from your work? Do you know how to get help – from your trade
association, your local Chamber of Commerce, or your health and safety enforcing authority? Do you
know what you have to do about consulting your employees, or their representatives, on health and safety
issues? If not, you would probably benefit from some training.

Managers and supervisors

If you employ managers or supervisors, they need to know what you expect from them in terms of health
and safety, and how you expect them to deliver. They need to understand your health and safety policy,
where they fit in, and how you want health and safety managed. They may also need training in the
specific hazards of your processes and how you expect the risks to be controlled.

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Employees
Everyone who works for you, including self-employed people, needs to know how to work safely and
without risks to health. Like your supervisors, they need to know about your health and safety policy, your

and Safety Performance

ID1.3 Assess, Develop and Maintain Individual and Organisational Health
arrangements for implementing it, and the part they play. They also need to know how they can raise any
health and safety concerns with you.

Contractors and self-employed people who may be working for organisation

Remember, these people might not be familiar with your working environment and safety systems that you
have put in place for regular employees.

Training needs to be carried out upwards in the organisation to ensure people at different levels in the
hierarchy are knowledgeable and dispose their H&S responsibilities properly.

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

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

Competence means having sufficient training and experience or knowledge and other qualities.
Employers should consider when appointing competent Supervisors that they have:

 Knowledge and understanding of work involved.

 Understand the principles of risk assessment and prevention.
 Knowledge of current health and safety applications.
 Identifying potential hazards on new processes before work starts and on the safety
organisation required.
 New methods of safe working arising from current technological development.
 Capacity to apply to the tasks required.
 Ability to identify problems.
 Ability to assess the need for action.
 Ability to design and develop strategies and plans and evaluate their effectiveness.
 Ability to promote and communicate health and safety practices.
 Understanding of relevant current best practice.
 Awareness of own limitations.
 Willingness and ability to supplement existing experience and knowledge.
 Membership of a professional body or similar.
 Hold suitable qualifications.

The above would ensure that the Supervisors have the ability to assess safe use of work equipment and
ensuring that appropriate control measures are in place.

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Young People and Vulnerable Persons

Young Person’s Training

A young person is defined as: ‘A person of either sex who has reached school leaving age but has not
ID1.3 Assess, Develop and Maintain Individual and Organisational

yet reached the age of 18’. Because of their youth and inexperience all young people will require
closer supervision than adult workers. However, young persons may be at risk because:

 They are keen to learn and can be overenthusiastic.

 They have little or no experience comparisons, so risk perception skills are compromised.
 Because of the risk perception factor, they are more likely to take risks.
 They are more open to influence and peer group pressure.
 The body not fully developed.

Precautions for young people should include:

 Provide suitable work equipment and not permit young people to work on critical and
dangerous machinery.
 Ensuring adequate communication of the organisation of work and associated processes.
 Health and safety training.
 Mentoring.
Health and Safety Performance

 Suitable supervision.
 Limiting hours of work or ensuring task rotation for certain tasks.

Vulnerable Persons
A vulnerable person is an individual who is at risk of abuse or harm due to life circumstances - e.g., a
homeless person or a frail older person, a person with learning difficulty, a person with special needs
due to mental and physical disability. Their ability to identify hazards and risks and ability to handle
equipment safety will benefit from training.

Specific training in special procedures and use of equipment needs to be bespoke to vulnerable
persons.

The need for training to be carried out upwards in the organisation

Organisations that embrace health and safety tend to ensure that every level of employees in the
organization receive appropriate training. This means senior management (directors and managers)
through to all workers all receive appropriate training to ensure they understand their responsibilities
with regard to health and safety in the workplace.

Additionally, organisations that adopt a shared approach to training, where managers and staff
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members attend training together achieve good results in resolving workplace health and safety
issues.

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The Relationship between Competence, External and

Self-Supervision
ID1.3 Assess, Develop and Maintain Individual and Organisational

The level of competence required by an individual should be directly related to the risk of the activity. A
number of elements contribute to competency for example; information and training. Where
necessary, supervision and limitations should be placed on individual’s work activities until any defined
competencies are achieved.

The levels of supervision an employee may need in the workplace will depend on the following factors:

 The age of the employee.

 His/her experience of work in general & of the task to be performed in particular.
 The nature & complexity of the task & its inherent risks.
 The person’s skills & qualifications for the work.
 His/her attitude & aptitude.
 The systems of work & any specific safety requirements applying to the task.
 The employee’s communication skills & any special needs that he/she may have.
Health and Safety Performance

Generally, the level of supervision is reduced when a worker demonstrates competence in carrying
out his/her work.

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Competence v Supervision

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Specific Training Needs for Certain Hazardous Types of Work

and Safety Performance

ID1.3 Assess, Develop and Maintain Individual and Organisational Health
Equipment
For certain types of work equipment there will be specific requirements for training on the safe operation
of the equipment

Woodworking Machines
Operators receive refresher training at least every five years. New starters and novice users are likely to
have the greatest training needs initially. The training would be specifically designed to cover the following
areas such as:

 Health and Safety regulations and general requirements.

 Correct selection, setting and use of guards.
 Correct selection, setting and use of machine.
 Correct selection, setting and use of tooling.
 Safe use of machines.
 Safe working practices.
 PPE.

Chainsaws
Workers, who use a chainsaw as part of their work, should be competent to do so. Before using a
chainsaw to carry out work on or in a tree, a worker should have received appropriate training and
assessment of competence. They need to know safe handling operation, maintenance and importance of
PPE.

Chainsaw training may include:

 Recognising and applying workplace safety procedures.

 Checking and maintaining chainsaws.
 Safety components.
 Cutting attachments.
 Chain sharpening.
 Kickback prevention.
 Chainsaw maintenance.
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 PPE
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Power Presses
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Power presses are powered equipment used to stamp, cut or form materials by the use of dies (or
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tools). Injuries from power presses are among the most common in metal machinery workplaces. No
person should be permitted to operate a power press unless properly trained.

All new operators should be given induction training by a competent person which should include:
clear instructions on the safe operation of the power press from "start up" to "close down", including all
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possible sequences of control and operation, instructed in the hazards of the machines they operate,
instructed on the safe operation of the power press and about the types of faults likely to arise and
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how to report faults. During training, all trainees should be supervised by a competent person.

It is good practice that the operator's knowledge on the use of the power presses and the precautions
to be taken are regularly assessed to ensure he remains competent.

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Abrasive Wheels
ID1.3 Assess, Develop and Maintain Individual and Organisational

In some countries, there is legal requirement for workers to attend abrasive wheels training course if
they are involved in the purchase & selection, storage & handling, mounting, dressing and use of
abrasive wheel.

The contents of the training may include:

 Abrasive wheels regulations
 Pre-use inspection
 Hazards arising from the use of abrasive wheels
 Selecting the correct wheel for the job
 Inspection & testing of abrasive wheels
 Guarding of grinding and cutting operations
 Safe mounting of the abrasive wheel
 Storing, handling and transportation
 The function of all components used with abrasive wheels
 PPE
Health and Safety Performance

Ensure that the use of the equipment is restricted to those people trained and appointed to use it
All training should be recorded.

Information Required for The Safe Use/Operation of

Work Equipment

The employer has to ensure that all persons who use work equipment, and also those who supervise
or manage it, have adequate health and safety information, or if necessary, written instructions on the
use of the work equipment.

The information should cover:

 Conditions under which work equipment may be used:

- The effect of extreme heat, cold and humidity on machinery.
- The acceptability of PPE and the effect of climate on the protection provided by such
equipment.
- The effect of high and low ambient temperatures on workers in terms of fatigue.
- The effect of high levels of sunlight. NEBOSH International Diploma
- Heat stress problems in non-acclimatized personnel, particularly when the use of PPE is
necessary.
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- The effect of climate on the stability of chemical substances used for operating
machinery.
- The effect of climate on equipment operation and maintenance.

 Foreseeable abnormal situations and actions to be taken- The machine can effectively be
described to be in one of two possible states:
- The machine performs the intended function.
- The machine does not perform the intended function.
- Failure of one (or more) of its component parts or services.
- External disturbances, for example, shocks, vibration, electromagnetic interference.
- Design error or deficiency, for example, software errors.
- Disturbance of its energy source.
- Surrounding conditions, for example, damaged floor surfaces.
- Unintended behaviour of the operator or reasonably foreseeable misuse of the machine.

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and Safety Performance

ID1.3 Assess, Develop and Maintain Individual and Organisational Health
Conclusions drawn from experience or in usage:
- Any information and written instructions provided should cover any conclusions drawn
from experience using the work equipment.
- These experiences should be recorded and steps taken to make sure all appropriate
members of the workforce are aware of them.

Presentation of Information and Instructions

Information and instructions should be easy to understand. Written instructions should be available to the
people directly using the work equipment and also other appropriate people such as maintenance staff.

Supervisors and managers also need access to the information and written instructions. The amount of
detailed health and safety information they will need to have immediately available for daily running of
production lines will vary, but it is important that they know what information is available and where it can
be found.

Information can be verbal where this is considered sufficient but, where there are complicated or unusual
circumstances, the information should be in writing. Other factors that need to be taken into consideration
include:
 The degree of skill of the workers involved.
 Their experience and training.
 The degree of supervision.
 The complexity and length of the particular job.

The information and written instructions should:

 Be in clear English and/or other languages if appropriate for the people using them.
 Be set out in a logical order, with illustrations where appropriate.

Special arrangements may be needed for employees with language difficulties or with disabilities which
could make it difficult for them to receive or understand the information or instructions.

Training of Lift Truck Operators

The training of lift-truck operators may be divided into three stages:
 Basic skills training and the knowledge required for safe operation.
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 Specific job training, knowledge of the workplace and experience of any special needs and
handling attachments; and
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 Familiarisation training operation on the job under close supervision.

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Basic Training
ID1.3 Assess, Develop and Maintain Individual and Organisational

Basic training should cover fully the skills and knowledge required for the safe operation of the lift truck
and any handling attachments which the trainee will be required to operate, including the risks arising from
lift-truck operation. Such risks would include not only those directly related to the operation of trucks, but
associated tasks, such as the fire hazard created by possible production of hydrogen when recharging
batteries.
As a rough guide, the normal length of a course for novice operators would be five days. In all cases, the
time devoted to training needs to be sufficient to ensure that the basic training objectives can be achieved.
The ability to drive private cars or other conventional road vehicles does not remove the need for proper
training on lift trucks, which have very different stability and handling characteristics as well as different
controls. An operator with basic training on one type of lift truck or handling attachment cannot safely
operate other types, for which they have not been trained, without additional, conversion training.

The ratio of trainee: instructor: truck should be such that the instructor is able to demonstrate each part of
the practical training and the trainee is able to obtain adequate hands-on experience. There should be
adequate time allowed for each trainee to have sufficient practical experience to become a safe truck
operator and to do so under close supervision. A trainee: instructor: truck ratio of 2: 1: 1 is ideal, but in
any case, the ratio should not exceed 3:1:1 except for lecture sessions. The opportunity to learn from the
performance and mistakes of other trainees can be valuable.
Health and Safety Performance

Specific Job Training

Specific job training will normally be completed at the same time as basic training and would normally
include the specific requirements of the employer’s activities. Such detail would usually include:
 The control and maintenance (including pre-use inspection) requirements of the truck the
operator will be using in the workplace, including the use of specific attachments.
 The use of the truck in the conditions which are likely to encountered in the workplace e.g.,
stacking, racking, working in cold stores, on slopes, rough terrain etc.
 The detail of site rules such as one-way systems, other hazards that may be encountered such
as overhead obstructions, noise etc.
 Specific handling techniques for loads to be lifted which are specific to the work area.
 Safe systems of work, such as key control and authorised use of vehicles; and
 Refuelling and recharging of the vehicle as appropriate.

Familiarisation Training
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This final part of the programme should take place in the workplace and be supervised by the trainee’s
normal works supervisor. This part of the training should give the trainees the opportunity to practice the
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new skills learned in the previous aspects and should continue to prepare them for the rate of work to be
managed on an ongoing basis.

On completion of the training the trainee should receive written authorisation to operate the lift truck and
an adequate record, including names and dates should be maintained. The operator should continue to
be monitored following completion of the training programme to ensure that competency is maintained,
since training does not ensure competency but should be coupled with experience.

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3.2 High Reliability Organisation (HRO)

and Safety Performance

ID1.3 Assess, Develop and Maintain Individual and Organisational Health
What are HROs?
A high-reliability organization (HRO) is an organization that has succeeded in avoiding catastrophes
despite a high level of risk and complexity. Should a failure occur in HROs, there will potentially be
catastrophic consequences.

HROs are normally characterised by their Interactive complexity i.e., interaction among system
components is unpredictable and/or invisible, highly structured hierarchical structures with clear roles and
responsibilities, collective decision-making process, high levels of accountability with expectations on strict
adherence to procedures, ‘getting it right first time’. Poor performance is not tolerated.

HROs adopts high levels of risk control systems for the control of both hazard and probability.

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The characteristics of a HRO

(Source HSE UK RR899 Research Report)
ID1.3 Assess, Develop and Maintain Individual and Organisational

Containment of unexpected events by:

 Having in place back-up systems in the event of failures and cross-checking of important
decisions (redundancy)
 Allowing people with expertise, irrespective of rank, to make important safety related decisions in
emergencies, whilst during routine operations there is a clear hierarchical structure and an
understanding of who is responsible for what (deference to expertise in emergencies
 Oscillation between hierarchical and flat organisational structures)
 Investment in training and technical competence
 Well-defined procedures for all possible unexpected events

Effective anticipation of potential failures through:

 Engagement with front line staff in order to obtain ‘the bigger picture’ of operations (sensitivity to
operations)

Health and Safety Performance

Attentiveness to minor or what may appear as trivial signals that may indicate potential problem
areas within the organisation and use incidents and near misses as indicators of a system’s
‘health’ (preoccupation with failure)
 Systematic collection and analysis of all warning signals, no matter how trivial they may appear
to be, and avoid making assumptions regarding the nature of failures
 Explanations regarding the causes of incidents tend to be systemic rather than focusing on
individual, ‘blame the operator’ justifications (reluctance to simplify)

Just culture characterised by:

 Open reporting systems for near misses and accidents without fear of punishment
 Follow-up of accident investigation outcomes by implementing corrective actions
 Empowering staff to abandon work on safety grounds
 Fostering a sense of personal accountability for safety.

Learning orientation characterised by:

 Continuous technical training
 Systematic analysis of incidents to identify their root causes and accident types or trends within
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 Open communication of accident investigation outcomes
 Updating procedures in line with the organisational knowledge base
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Mindful leadership characterised by:

 Proactive commissions of audits to identify problems in the system (often in response to
incidents that occur in other similar industries)
 ‘Bottom-up’ communication of ‘bad news’
 Engagement with front line staff through site visits
 Investment of resources in safety management and the ability to balance profits with safety

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The Lessons That Other Organisations Can Learn from HROs

and Safety Performance

ID1.3 Assess, Develop and Maintain Individual and Organisational Health
Lessons that other organisations can learn from HRO to enhance reliability:

- HROs aggressively seek to know what they do not know: Investment of resources to train
and re-train staff to enhance technical competence and enable them to anticipate and respond
appropriately to unexpected events. They also analyse accidents and near misses to identify the
types of accidents that happen in the organisation and target the aspects of the system that
require redundancies.

- HROs balance efficiency with reliability: HROs use incentive schemes to balance safety with
profits and enable employees to make decisions that are safe in the short-run and profitable in
the long-term.

- HROs communicate the big picture to everyone: HROs have effective communication
channels so that they can access quickly expertise in emergencies and communicate the ‘big
picture’ to everyone. They also have well-defined procedures for both normal and emergency
situations with well-known decision rules as to when they should be used.

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References
ID1.3 Assess, Develop and Maintain Individual and Organisational

High reliability organisations A review of the literature Prepared by the Health and Safety
Laboratory for the Health and Safety Executive 2011

NB ILO Draft code of practice on safety in the use of machinery - Draft Meeting of Experts on
the Code of Practice on Safety in the use of Machinery (Geneva, 29 November–7 December
2011) http://www.ilo.org/wcmsp5/groups/public/---ed_protect/---protrav/--
safework/documents/normativeinstrument/wcms_164653.pd
Health and Safety Performance

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and Safety Performance

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element 4
The Assessment and Evaluation of Risk
On completion of this Element, candidates should be able to:

4.1 Recognise and apply different hazard identification techniques.

4.2 Explain the principles of implementing and maintaining a sensible risk management programme.

4.3 Outline what should be considered in a risk management strategy for an organisation
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Contents Page No

ID1.4 – The Assessment and Evaluation of Risk

4.1 Hazard Identification Techniques 167
ID1.4 – The Assessment and Evaluation of Risk

Definitions 167
Task Analysis 168
MEEP Analysis 168
Failure Tracing Techniques 169
Failure Modes and Effects Analysis (FMEA) 170
Event Tree Analysis 171
Importance of Worker Input 171
4.2 Managing Health and Safety Risk 172
Meaning of the Term Sensible Risk Management 172
Acceptability/Tolerability of Risk 179
4.3 Risk Management 183
Common Risk Management Strategies 185
Risk Management 185
Risk Control Strategies 186
References 191

List of Tables
Table 1: Public Tolerance of Incidents 180
Table 2: Tolerability of Risk from Nuclear Power Stations, HSE 181

List of Figures
Figure 1: Risk Management 185
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4.1 Hazard Identification Techniques

Definitions

ID1.4 – The Assessment and Evaluation of Risk

Hazard
For health and safety purposes the definition of hazard is “the potential to cause harm”.

Hazards may be either:

Physical e.g. machinery, electricity, heat, noise, gravity.

Chemical e.g., water, acid, alkali, oils.

Biological e.g., HIV virus, legionella, hepatitis virus (usually a disease-causing

agent).

Ergonomic e.g. physical stress, wrongly sited controls and indications.

Psychological e.g. workload/pressure/hours of work, trauma.

Risk

Risk is defined as “the probability of harm from a particular hazard being realised”.

For example: noise is a hazard i.e., has the potential to cause harm. The risk is the likelihood that it actually will
cause harm. Clearly this is dependent on a number of different factors (risk factors) such as how loud the noise
is, how long an individual is exposed to the noise, the frequency of the noise, the individuals’ personal
characteristics / predisposition to suffering with noise related effects, previous exposure and so on.

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Observation

ID1.4 – The Assessment and Evaluation of Risk

Observation is either an activity of a living being (such as a human), consisting of receiving knowledge of the
outside world through the senses, or the recording of data using scientific instrument. The term may also
ID1.4 – The Assessment and Evaluation of Risk

refer to any data collected during this activity.

An observation can also be the way you look at things or when you look at something.

Task Analysis

Job Safety Analysis

Job Safety Analysis (JSA) is a work study technique in which a task is carefully observed and every detail
recorded. The process is often used in conjunction with the development of Safe Systems of Work, work
instructions, safety training etc. The method of working is then evaluated so as to identify hazards. An
‘ideal’ safe method is then developed and implemented.

The process is as follows: (SREDIM)

 Select the process to be studied. Priorities are often based on previous accidents, etc.

 Record in detail how the job is done, the equipment and materials used and any hazards involved.
This is best done by observation and discussion with those ‘job holders’ actually doing the job
under review.

 Evaluate the risks involved in the activity (refer to accident records etc).

 Develop a safe system for carrying out the work. At this stage reference is made to applicable
standards, e.g., legislation, codes of practice.

 Implement the safe system.

 Maintain the system (by supervision, etc) and monitor those who carry out the work to ensure that
the system does not deteriorate.

Job Safety Analysis goes further than merely identifying hazards. As noted above, in many ways ‘job safety
analysis’ is similar to the risk assessment process. The distinctive feature is the work study style observation
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of how the work is done followed by careful evaluation to develop the ‘ideal’ system of work.

The information can be recorded on a chart or JSA worksheet, there is no predefined format for the
recording of JSA work but will be determined by the organisations systems and the needs of the employer.

MEEP Analysis

MEEP Approach
All risks arising from the work activity must be assessed. The activity can be broken down into individual
elements so that hazards – conditions or actions, at each stage can be analysed.

The degree of detail of analysis should depend on the level of risk involved, but in any case, all components
of the work should be included in the analysis.

A useful approach to ensuring the key areas is considered for analysis is to consider the four main elements
of the activity.

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Materials
What materials does the activity have the potential to expose employees to and how are they handled,
mechanical or manual? Following consideration of this element risks can be controlled.

ID1.4 – The Assessment and Evaluation of Risk

Equipment & Plant
What is used? Is it suitable? Consider the design and ergonomic factors, maintenance routines and statutory
inspections where applicable, guarding arrangements, isolation from energy sources and other hazards
which the equipment may produce such as noise and vibration.

Environment
Take into account the levels of lighting, heating, environmental noise, ventilation, welfare facilities, etc. Does
the condition of floors, seating, access to, egress from, means of escape, layout and working space have an
adverse effect on exposure to risks? Remember that for outdoor activities the weather can change very
quickly and the hazards on a bright July morning are very different to a dark November afternoon.

People
Consider who is involved and their levels of competence. Is there specific information, training, instruction
that is required and what level of supervision is adequate for the task being analysed. Do particular
disabilities, the presence of the public or other persons have an effect on the activity and the level of risk
involved. Task analysis should then consider these points in adequate depth to ensure the development of a
safe system of work.

Checklist
A checklist is a type of informational job aid used to reduce failure by compensating for potential limits of
human memory and attention. It helps to ensure consistency and completeness in carrying out a task.

A basic example is the "to do list." A more advanced checklist would be a schedule, which lays out tasks to
be done according to time of day or other factors where there is a need to monitor safety standards, perhaps
on a daily basis, many organisations operate a simple checklist system. In this case, a trained person, such
as a supervisor, undertakes this check on a daily or weekly basis.

Such a system relies heavily on conscientious use of the checklist, regular revision of the same, and on the
effectiveness of action taken where there is a deviation from the requirements shown in the checklist.

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Failure Tracing Techniques
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Several formal methods of assessing risk and minimising the consequences have developed
such as:
 Hazard and Operability Studies; (HAZOP).
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 Fault Tree Analysis (FTA).

 Failure Modes and Effects Analysis (FMEA).
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 Event Tree Analysis (ETA).

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Hazard and Operability Studies

ID1.4 – The Assessment and Evaluation of Risk

Background
ID1.4 – The Assessment and Evaluation of Risk

A HazOp study identifies hazards and operability problems. The concept involves investigating how the
plant might deviate from the design intent. If, in the process of identifying problems during a HazOp study, a
solution becomes apparent, it is recorded as part of the HazOp result; however, care must be taken to avoid
trying to find solutions which are not so apparent, because the prime objective for the HazOp is problem
identification. Although the HazOp study was developed to supplement experience-based practices when a
new design or technology is involved, its use has expanded to almost all phases of a plant's life.

HazOp is based on the principle that several experts with different backgrounds can interact and identify
more problems when working together than when working separately and combining their results.

The "Guide-Word" HazOp Is the most well known of the HazOps; however, several specializations of this
basic method have been developed. These specializations will be discussed as modifications of the Guide-
Word approach, but they are not to be regarded as less useful than the Guide-Word approach. Indeed, In
many situations these variations may be more effective than the Guide- Word approach.

Failure Modes and Effects Analysis (FMEA)

Failure Modes and Effects Analysis (FMEA) is a qualitative structured method for hazard identification. It is
a simple method, that is easy to apply, yet it is a powerful tool that can be used to improve the quality of
products and processes. Furthermore, its concept and schematic approach can be readily adapted by
management to solve problems that may arise with procedures within an organisation. The FMEA is a
preliminary failure analysis methodology, and as such it is widely used in a multitude of applications related
to safety, reliability, processes and product design, development and quality of products and systems.

Fault Tree Analysis

FTA provides a systematic approach to the identification of the combination of possible occurrences that
could combine to produce an undesirable effect.
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The possible combinations of occurrences once identified are displayed graphically in a fault tree.

The frequency or probability of these occurrences can be estimated to enable a quantitative analysis of the
undesirable effects to be conducted.

FTA can be useful in identifying a list of potential failures.

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Event Tree Analysis

Event tree analysis is a forward-thinking process, based on binary logic, in which an event either has or
has not happened or a component has or has not failed. It is valuable in analysing the consequences

ID1.4 – The Assessment and Evaluation of Risk

arising from a failure or undesired event.

An event tree begins with an initiating event, such as component failure, increase in temperature/pressure
or a release of a hazardous substance. The consequences of the event are followed through a series of
possible paths. Each path is assigned a probability of occurrence and the probability of the various
possible outcomes can be calculated.

In the following example fire protection is provided by the sprinkler system. A detector will either detect the
rise in temperature or it will not. If the detector succeeds the control box will either work correctly or it will not
- and so on.

Importance of Worker Input

It is important to involve workers in the hazard identification process. This includes not only the environment,
safety and health specialists of the organisation, but also the hands-on workers as well.

Each member of staff has a unique understanding of their job. This knowledge is not only valuable for
finding hazards, but also helps minimize oversights, and ensures a quality analysis and selection of controls.
Workers tend to have a better knowledge of the job due to past performance, personal experience and
lessons learned, which is very helpful in identifying and establishing what could go wrong with each stage of
the process or task.

Discussion and review of the tasks between the work supervisor & workers should produce sufficient
information to evaluate the hazards without getting overly detailed. The more familiarity the group has with
the job, activity, task, or steps, the less complex the evaluation is likely to be.

By involving workers, the chances are management will get the workers to “buy in” and to accept & co-
operate on changes or solutions.

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4.2 Managing Health and Safety Risk

ID1.4 – The Assessment and Evaluation of Risk

ID1.4 – The Assessment and Evaluation of Risk

Meaning of the Term Sensible Risk Management

Sensible risk management means balancing the level of risk against the measures needed to control the
real risk in terms of money, time or trouble. The level of detail in a risk assessment should be proportionate
to the risk and appropriate to the nature of the work.

The health and safety practitioner will use a risk assessment essentially as a tool to inform decisions. If the
probability of harm is low, then control measures would be applied proportionately.

Sensible approach to risk management is about:

 Ensuring that workers and the public are properly safeguarded

 Allowing innovation and learning not stifling them
 Ensuring that those that create risks handle them sensibly as well as recognize that failing to take
care of risks properly is likely to result in tough action
 Giving overall benefit to society by balancing benefits and risks, with a focus on minimizing
substantial risk both those which arise regularly and also those with serious consequences.
 Making it possible for Individuals to recognize that in addition to the right to safety, they also have
to conduct responsibly.

It is definitely not about reducing protection of people from risks that cause real harm or exaggerating trivial
risks and scaring people.
Sensible risk management do not stop important recreational and learning activities for individuals where
the risks are well controlled and do not aim to create a risk-free society. It is also not a sensible risk
management practice to generate an exhaustive paper work.

Enabling work Activities as Part of Proportionate Risk

Management
The general approach of health and safety legislation is to set out the objectives to be achieved and
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specify those who create risks from work activity are responsible for protecting workers and the public from
the consequences of that activity. Health and Safety laws also give considerable choice to duty holders as
to the measures they should put in place.

The role of the health and safety practitioner in this exchange is to ensure risk controls adopted are
proportionate to the risk. He/she should be clear concerning exactly what is a lawful requirement. Rather
than attempt to limit an activity or stop or presume that it will certainly have unplanned or undesirable
consequences, the practitioner should, for that reason, examine whether the choice or the selected safety
measures are proportional by considering the actual risks.

Appreciating what the real risk includes taking into consideration the likelihood and consequences of
something going wrong, as well as this implies thinking of:

 What kind of occurrence the preventative measure is intended to Stop?

 What injury or disease could be caused?
 Exactly how likely it is to take place.

Organizations needs to take ownership of their risks and also take proportional steps to take care of those
risks to ensure that attention is concentrated on the significant risks that cause injury as well as illness, and
not the trivial or everyday low risks.

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Types of Risk Assessment

ID1.4 – The Assessment and Evaluation of Risk

Qualitative, Semi-Quantitative & Quantitative

The judgement of risk rating may then be via qualitative means, which are based on the experience and
expertise of the assessor, semi-quantitative which provides a crude scoring mechanism and allows the
risks to be rated and prioritised. This technique is particularly useful for justifying expenditure on risk
control relative to other risks and quantitative assessments from probability data.

Risk rating using qualitative or semi-quantitative means is often referred to as ‘relativistic’ assessment
since it is scored relative to other risks, whereas quantitative assessments are often described as
‘probabilistic’ assessments.

Specific techniques such as Hazard and Operability (HAZOP) studies, Fault Tree Analysis (FTA), Failures
Modes and Effect Analysis (FMEA) and Event Tree Analysis (ETA) can be used to determine the
frequency of events occurring or the probability that a particular event will occur.

Probability theory is based on the scale that extends from 0 – 1, where zero represents no occurrence and
1 represents a certainty. Where the data is available for a series of linked events e.g., a flammable gas
release followed by an ignition source then the final probability of the last event can be calculated.

In order to carry out these, advanced risk assessment techniques the numerical data must be supplied.
Truly quantitative assessments based on the probabilities of events (such as the failure of safety critical
components, etc) are difficult to apply in most situations. This is because the data needed to calculate
probabilities is simply not available. Such techniques are applied in high-risk processes and industries
such as nuclear installations and in aviation for example.

A useful, although not wholly scientific, method of estimating likelihood and severity can be useful when
determining priority as regards health and safety effort. This semi-quantitative approach is not absolutely
essential and, even when it is used, it should not mask the main purposes of the assessment as
discussed earlier.

There are many versions of the technique; the following system is taken from the UK’s HSE document
Successful Health and Safety Management HSG 65.

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How to Engage Workers at All Levels in The Risk

Assessment Process?

ID1.4 – The Assessment and Evaluation of Risk

ID1.4 – The Assessment and Evaluation of Risk

Employees know the risks involved in their work tasks, as well as the scope for potentially dangerous
shortcuts and problems. They are more likely to understand and follow procedures and safe practices if they
have been involved in developing the health and safety practices in their workplace. As such, consultation
with the employees should form part of the general risk assessment process.

The following leaflet from the HSE UK provides a step-by-step example on how to engage workers at all
levels in the risk assessment process.
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When dynamic risk assessments/situational awareness should be used?

The definition of a dynamic risk assessment is:

“The continuous process of identifying hazards, assessing risk, taking action to eliminate or reduce risk,

ID1.4 – The Assessment and Evaluation of Risk

monitoring and reviewing, in the rapidly changing circumstances of an operational incident.”

Dynamic risk assessment is commonly used in changing environments, where what is being assessed is
“alive” and is developing/evolving. This means the decision-making process involves analyzing and
reviewing the risks and benefits (which requires an appropriate level of situational awareness), selecting
the appropriate response (system of work) and deciding if the risks are proportional to the benefits.

After an action to control an incident is initiated (based on the dynamic risk assessment), it is crucial that
the situation is monitored and further reviewed and confirmed at regular intervals.

Dynamic risk assessments are useful when dealing with unknowns and emergency situations.

The HSE UK describes Situation Awareness as “being aware of what is happening around you in terms
of where you are, where you are supposed to be, and whether anyone or anything around you is a threat
to your health and safety”

Where and when should situational awareness techniques be used?

- When beginning work on a new project/contract.
- When the work environment has changed since a risk assessment or method statement was
written.
- When working with new or different workmates.
- Before complacency has set in - it can be a silent killer

In summary, both dynamic risk assessments/situational awareness should be carried out on the spot by
workers as a situation, job or location, equipment changes.

The Link Between the Outcomes of Risk Assessments and

the Development of Risk Controls
The aim of the risk management procedure is to establish risk controls appropriate to the dangers being
examined. The result of the Risk assessment process follows from risk evaluation and includes making
decisions about risk controls and the priority for their execution. Risk evaluation involves comparing the
level of Risk discovered throughout risk analysis (which thinks about the causes and sources of danger,
their repercussions and the probability of the event) with recognized risk criteria. This process then

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informs the choice about the need for controls.
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Therefore, a suitable and sufficient risk assessment should consider arrange of control measures and
provide a basis for the selection of control measures.
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The risk assessment process should provide the following in relation to control measures:


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Identification or clarification of existing and potential control measure options

 Evaluation of effects of control measures on risk levels
 Basis for selection or rejection of control measures and the associated justification of adequacy
 Basis for defining performance indicators for selected control measures
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The risk assessment should evaluate the range of control measures in terms of viability and
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effectiveness to provide a basis for selection or rejection of each control measure, where viability relates
to the practicability of implementing the control measure within the facility, and effectiveness relates to
the effect of the control measure on the level of risk.

It’s evident therefore that the decision to choose the appropriate risk control options is directly
connected to the risk assessment process.

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Factors Affecting Choice of Control Measures

ID1.4 – The Assessment and Evaluation of Risk

In practice, it is not really important which hierarchy is used in selecting a risk control measure or
combination of risk control measures. What is important is that it is recognized that some types of risk
ID1.4 – The Assessment and Evaluation of Risk

control measure are more effective, in the long term, than others and that this is taken into account when
deciding which risk control measures to recommend.

However, there are a number of different criteria which can be used to define ‘best’, including the
following.

 The number of people protected by the risk control measure- For example, it is better to
put a soundproof enclosure around a noisy machine than to expect everyone who might be
exposed to the machine’s noise to wear ear defenders.

 Long-term/Short-term Controls - In general, it is preferable to have risk control measures

which, apart from any necessary maintenance, operate without human intervention. Short-
term measures may be applied until further control measures are arranged. Best solution
may be very costly; an organisation may factor it into its budget over a period, making it a
long-term solution.
 Applicability - It is important not to decide on a single control measure and try to make it
apply to all situations, as it may not be suitable. The control measure selected should remain
applicable over time.
 Practicability - The risk control measure decided on may not be able to be applied to an
organisation’s particular circumstances. For example, it may be decided that a particular type
of guard be fitted to a particular type of machine and it may be found that though this is
practicable for three of the machines, one is different and an older type, making it impractical
to fit the selected guard.
 Proportionality - There is an allowance in these principles for the amount of time, effort or
money required to introduce a risk control measure. The duty-holder must be able to show
that a risk control would be ‘unacceptably disproportionate’ to the benefits of risk reduction
that would be achieved.
 Maintenance - The extent to which the risk control measure requires testing, maintenance,
cleaning, replacement, etc.
 Effectiveness- The extent to which the continuing effectiveness of the risk control measure
relies on human behaviour. The general hierarchy of control measures indicates a hierarchy
of effectiveness. The most effective control measure is one that eliminates/ avoids the
hazard. The next most effective would be one that substitutes it for one of more acceptable
risk. Control measures further down the hierarchy generally have less effectiveness than
those higher up.
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 Competencies of personnel - Consider the current competence of workers and the

additional training that will be required on the introduction of the new measures. The
introduction of complex equipment can create the need for workers to learn new
competencies. The control measures selected should not be burdensome for the workers to
understand, and beyond their competence.
 Cost - The cost of the risk control measure. The extent to which the risk control measure
reduces the risk. Cost will usually be a strong influence on the choice of a particular control
measure. Most organisations have limits of financial resource that will require them to ensure
control measures are cost effective. If control measures are expensive and provide limited
improvement to risk, organisations would question the value. If a control measure was
inexpensive and had a significant risk reduction effect, organisations would be motivated to
choose it and apply it.
 Legal and/other Requirements - The choice of controls measures will need to take account
of any specific legal requirements and associated standards relating to the risk. Reference
should always be made to appropriate national and international codes of practice and
standards when deciding on the minimum control measures to be used to control risks.
 Training needs relevant to preferred controls – appropriate training needs to be
organised for the workers so that they can use the control measures without any problems.

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Organisational Arrangements for Implementing and

Maintaining an Effective Risk Assessment Programme

ID1.4 – The Assessment and Evaluation of Risk

For any programs to be successful we need management commitment. This means providing adequate
resources in the form of budget, manpower and time. It also means being seen to be involved such as
participating in risk assessments.

Effective risk assessment requires procedures to be written, kept up to date and readily available to all
relevant parties. Risk assessors need to be trained and competent to carry risk assessments.

Management needs to put in place some form of monitoring arrangements to ensure the effectiveness of
risk assessment. This could include:

 Appointment of responsible and competent staff to conduct risk assessment

 Arrangement in place for training to ensure competency of risk assessors
 Setting timeframe for conduct and review of risk assessment
 Develop and implement robust risk assessment procedures
 Communication arrangements to share findings with concern parties as well as other
business units with common activities and risks
 Consultation arrangements with workers
 Arrangement for systems to be in place for recording and reporting of findings

Suitable and Sufficient

A term used is that the risk assessment should be ‘suitable and sufficient’.

To achieve this, the level of detail in the risk assessment should be proportionate to the level of risk.
It should also:

 Ensure that all aspects of work activity are reviewed

 Take account of the way the work is organised
 Identify the significant hazards and risks
 Evaluate the risks

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 Identify employees and others at risk
 Identify control measures NEBOSH
 Be appropriate to the nature of the work

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Ensure that residual risk is low

 Enable priorities to be set
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 Ensure non-routine operations are taken into account

 Ensure staff undertaking the assessment have sufficient knowledge and experience
 Ensure that the risk assessment is valid for a reasonable time
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The Risk Assessment Process

ID1.4 – The Assessment and Evaluation of Risk

The law does not expect organisations to eliminate all risk, but it does require organisations to protect
ID1.4 – The Assessment and Evaluation of Risk

people as far as ‘reasonably practicable’.

In many organisations the risks are well known thus necessary control measures are easy to apply. Do not
overcomplicate the process. For example, employees who move heavy loads could harm their backs -
check that reasonable precautions have been taken to avoid injury.

Involve the employees or their representatives in the process. They may have useful information about how
the work is done that will make the assessment of the risk more thorough and effective.
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Acceptability/Tolerability of Risk

ID1.4 – The Assessment and Evaluation of Risk

Whether a risk is acceptable or not is based on legal Hazards giving rise to concerns can be put into
requirements, industry standards and an two broad categories:
organisation’s own internal standards.

Acceptability relates to the willingness to accept the

presence of a particular risk to secure certain Individual concerns or how individuals
benefits. To tolerate a risk implies the individuals see the risk from a particular hazard affecting
who are at risk do not regard the presence of the risk them and things they value personally. This is
as being a fact of life or negligible but something not surprising since one of the most important
which needs to be regularly reviewed and controlled. questions for individuals incurring a risk is how
For example, most people are undeterred from using it affects them, their family and things they
the road and car as a means of transport despite value.
learning that over 5,000 people are killed each year
by traffic in the UK. Though they may be prepared to engage
voluntarily in activities that often involve high
The view of risk varies significantly depending on risks, as a rule they are far less tolerant of
whether the individuals are capable of judging the risks imposed on them and over which they
extent of the hazard by experience or whether there have little control, unless they consider the
is a lack of understanding from the cause or the risks as negligible. Moreover, though they may
presence of the danger or whether there is a large be willing to live with a risk that they do not
dread factor in terms of the consequence of realising regard as negligible, if it secures them or
risks. society certain benefits, they will want such
risks to be kept low and clearly controlled.
A lack of understanding therefore can lead to a lack
of toleration as a result of dread. In many
circumstances the risk assessor looks at the hazard
associated with a situation or event, while the public Societal concerns or the risks or
may look at the outrage involved.
threats from hazards which impact on society
and which, if realised, could have adverse
This is not a misperception of risk by either party,
repercussions for the institutions responsible
simply a different way of defining a particular risk.
for putting in place the provisions and
arrangements for protecting people, e.g.,
Perception of risk may be affected by factors such
Parliament or the Government of the day.
as:
This type of concern is often associated with
 Who controls the risk? hazards that give rise to risks which, were they
 Risk transfer or substitution. to materialise, could provoke a socio-political
response, e.g., risk of events causing
 Naturally occurring hazards. widespread or large-scale detriment or the

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Risk familiarity / dread. occurrence of multiple fatalities in a single
event.
 Benefits to individual / society.
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 The proximity of the risk. Typical examples relate to nuclear power
generation, railway travel, or the genetic
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 The level of technology required to control modification of organisms. Societal concerns

the risk. due to the occurrence of multiple fatalities in a
 single event are known as societal risk.
International

Confidence in control measures.

Societal risk is therefore a subset of societal
 Whether the alternatives are worse. concerns.
 Whether danger money is paid.
Diploma

 Local or media interest.

Diploma

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Hazards giving rise to societal concerns share a number of common features. They often give rise to risks
which could cause multiple fatalities; where it is difficult for people to estimate intuitively the actual threat;
where exposure involves vulnerable groups, e.g., children; where the risks and benefits tend to be unevenly

ID1.4 – The Assessment and Evaluation of Risk

distributed - for example, between groups of people with the result that some people bear more of the risks
and others less, or through time so that less risk may be borne now and more by some future generation.
ID1.4 – The Assessment and Evaluation of Risk

People are more averse to those risks and in such cases are therefore more likely to insist on stringent
Government regulation.

The opposite is true for hazards that are familiar, often taken voluntarily for a benefit, and individual in their
impact. These do not as a rule give rise to societal concerns.

Nevertheless, activities giving rise to such hazards (for example, bungee jumping) are often regulated to
ensure that people are not needlessly put at risk. In dealing with societal risk the term outrage is often used
to describe the public’s reaction, based on a number of subjective, personal factors. These factors can be
summarised in a series of questions about the potential hazard.

To describe the outrage level, see what column these hazard criteria fit into:

 High outrage or

 Low outrage

Table 1: Public Tolerance of Incidents

High Outrage Low Outrage

Coerced Voluntary

Industrial Natural

Exotic Familiar

Memorable Nondescript

Dreaded Not dreaded

An emergency Chronic
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Not knowable Knowable

Controlled by others Control by the individual

Process is not responsive Process is responsive

Done by someone unknown or not trusted Done by someone trusted

If the words in the first column best describe the hazard, then the public outrage is likely to be high.
Regardless of what the assessors believe, the public will perceive the hazard as being associated with a high
risk. If, however, the words in the second column best describe the hazard, then the outrage is likely to be
low. Where risks aren’t so clearly defined, risk communication and consultation are important.

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As Low as is Reasonably Practical ALARP

ID1.4 – The Assessment and Evaluation of Risk

"ALARP" is short for "as low as reasonably Thus, the process is not one of balancing the
practical ". costs and benefits of the measures but, rather, of
adopting measures except where they are ruled
ALARP means that the level of risk has been out because they involve grossly disproportionate
balanced against the resources (time, money and sacrifices. Extreme examples might be:
manpower) necessary to combat the risk. Positive
action is taken unless the cost of the action is  To spend £1m to prevent five staff
grossly disproportionate to the risk. suffering bruised knees is obviously
grossly disproportionate; but
A risk that is controlled to the ALARP standard
 To spend £1m to prevent a major
may be considered tolerable. In essence, making
explosion capable of killing 150 people is
sure a risk has been reduced ALARP is about
obviously proportionate.
weighing the risk against the sacrifice needed to
further reduce it. In reality many decisions about the risk and the
controls that achieve ALARP are not so obvious.
The decision is weighted in favour of health and
safety because the presumption is that the duty- Factors come into play such as on-going costs set
holder should implement the risk reduction against remote chances of one-off events, or daily
measure expense and supervision time required to ensure
that, e.g., employees wear ear defenders set
To avoid having to make this sacrifice, the duty- against a chance of developing hearing loss at
holder must be able to show that it would be some time in the future. It requires judgement.
grossly disproportionate to the benefits of risk There is no simple formula for computing what is
reduction that would be achieved. ALARP.

The HSE suggested in their publication ‘The tolerability of risk from nuclear power stations’, 1992, that an
individual risk of death of 1 in 1,000 (10-3) per annum should on its own represent the dividing line between
what could be just tolerable for any substantial category of workers for any large part of a working life, and
what is unacceptable for any but fairly exceptional groups.

For members of the public who have a risk imposed on them ‘in the wider interest of society’ this limit is
judged to be lower, at 1 in 10,000 (10-4) per annum.

Table 2: Tolerability of Risk from Nuclear Power Stations, HSE

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Levels of Fatal Risk
NEBOSH

(average figures, approximated)

International

Per annum
International

1 in 100 Risk of death from five hours of solo rock climbing every weekend.

Risk of death due working in high risks groups within relatively risky industries such
1 in 1,000
as mining.
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1 in 10,000 Risk of death in an accident at work in the very safest part of industry
Diploma

1 in 1 million General risk of death in a fire or explosion from gas at home.

1 in 10 million Risk of death by lightning.

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The HSE suggest that these limits should be used with caution, because:

 Hazards that give rise to such levels of individual risks also give rise to societal concerns and the latter often
play a far greater role in deciding whether a risk is unacceptable or not.

ID1.4 – The Assessment and Evaluation of Risk

 The limits were derived for activities most difficult to control and reflect agreements reached at international
level. In practice most industries in the UK do much better than that.
ID1.4 – The Assessment and Evaluation of Risk

Risks Giving Rise to Societal Concerns

Where societal concerns arise because of the risk of multiple fatalities occurring in one event from a single
major industrial activity the HSE propose that the risk of an accident causing the death of 50 people or more
in a single event should be regarded as intolerable if the frequency is estimated to be more than 1 in 5,000
per annum.

In the case of most housing developments, the HSE advises against granting planning permission for any
significant development where individual risk of death for the hypothetical person is more than 10 in a million
per year and does not advise against granting planning permission on safety grounds for developments
where such individual risk is less than 1 in a million per year.

Different criteria are applied to sensitive developments where those exposed to the risk are more vulnerable,
e.g., schools, hospitals or old people’s homes, or to industrial or leisure developments.
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4.3 Risk Management

ID1.4 – The Assessment and Evaluation of Risk

Organisational Risk Profiling
The risk profile of an organisation provides information on all aspects of the approach to leading and
managing its health and safety risks.

Health and safety risks exists in every organisation. By performing an organisational risk profiling,
management will be able to determine significant issues. Some risks may be a safety or a health hazard
related, or a combination of both.

A risk profile examines:

• The nature and level of the risks faced by the organisation
• The likelihood of adverse effects occurring
• The level of control and costs associated with each type of risk
• The effectiveness of controls in place to manage those risks

Risk control measures may be prioritized and taken following the completion of a risk profiling.

Practicality

The practicality of risk profiling is to identify inherent risks faced by the organization. It helps management to
identify the effectiveness of existing controls to mitigate risks, and to create a framework to monitor higher
risk priorities.

ILO C155 Section 5 and 15 requires employers to carry out risk assessments to address all risks that might
cause harm in the workplace. The risk assessment must be 'suitable and sufficient. For a risk assessment
to be considered suitable and sufficient, the level of detail in the risk assessment should be proportionate to
the level of risk. The risk assessment should consider only the reasonably foreseeable risks and not the
unforeseeable risks. The risk assessment should:

- Ensure that all aspects of work activity are reviewed

- Take account of the way the work is organised
- Identify the significant hazards and risks

NEBOSH
- Evaluate the risks
- Identify employees and others at risk NEBOSH
- Identify control measures
- Be appropriate to the nature of the work
International

- Residual risk is low

- Enable priorities to be set
- Involvement of workers or their representatives in the process
International

Organizational Context
Diploma

A risk profile examines the nature and levels of threats faced by an organization and the purpose of risk
profiling is to ensure that managers focus on risks that have been identified and prioritized for action.
Diploma

Some organization may be willing to accept or retain risk while others may seek to implement risk
management strategies to reduce or control, transfer or avoid risk.

Regardless of the nature of specific workplace activities, the risk profile should be able to enable the
organisation to:

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 Identify and prioritize the significant risk without giving minor risks unnecessary priority
 Reduce these risks to an acceptable level
 Minimize the associated paperwork and bureaucracy.

ID1.4 – The Assessment and Evaluation of Risk

ID1.4 – The Assessment and Evaluation of Risk

When considering risk controls, discuss the issues with employees and think of what is currently being done,
after that contrast it by including the industry requirement.

Health and Safety and The Business Agenda

HSE guidance in HSG65 Managing for Health and Safety states that managing health and safety risks is a
part of managing the wider business risks.

The linking of health and safety risks to the wider business agenda is reflected in the new management
system standard ISO 45001.

Integrating Health and Safety Risks into Main Business Risk

Within every organisation there are both health and safety risks, and business risks.
This interrelationship of health and safety risks and business risks has the potential to impact organisations
in a positive and negative way.

Health and safety risks should never be managed in isolation as poor health and safety management can
have a negative impact on business risks such as reputation, branding, business continuity and financial
wellbeing. For this reason, the integration of health and safety risks into business risks is a more successful
and holistic approach to managing overall corporate risks. It ensures that all significant business risks,
including health and safety risks, are effectively managed.

Risk assessments identifies workplace hazards and allows for suitable control measures to be implemented
to prevent harm to employees, visitors and the general public. It could also bring benefits to the organization
such as:

- a more content and healthier workforce with less absenteeism

- reduced administrative costs and management time (e.g., investigation time)
- efficient assets (e.g., through planned preventive maintenance).

Conversely, poor practice can result in increased:

 absenteeism and staff turnover with higher labour-related costs
NEBOSH International Diploma

 insurance premiums
 breakdown and damage to assets and properties and associated costs.

The above items are linked to three wider business issues - business continuity risks, financial risk and
reputational risk. For example, if an organisation was providing goods and services as part of a supply
chain, the presence of a health and safety risk could interrupt the supply of such goods/services (a
business continuity risk).

This, in turn, could result in financial penalties (such as contractual penalties), and may also damage the
brand/reputation of the organisation, resulting in further losses due to an inability to generate further
contracts and thus negatively affecting business profitability.

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Common Risk Management Strategies

Concepts within a Health and Safety Management System

ID1.4 – The Assessment and Evaluation of Risk

Risk Management
The principles of risk management are the identification, measurement and/or evaluation and economic
control of risks that threaten the assets or earnings of a company or enterprise.

In many countries specific legal requirement exists, but legal standards such as ‘adequate’, ‘suitable and
sufficient’ and ‘so far as is reasonably practicable’ require active management rather than passive minimal
compliance. This requires employers to develop effective ways of meeting those responsibilities and
targets. Risk management is the cornerstone of modern health and safety law.

The modern style of criminal law demands active management of risks, not just compliance with prescribed
standards. Risk management decisions can avoid or reduce any adverse financial impact upon an
organisation. Where the legal duty is ‘so far as is reasonably practicable’ a computation between cost and
risk is necessary requiring active management of risks.

Particularly for multi-national companies, effective risk management is a priority in judging their responses
to business pressures on a worldwide scale. There are always competing demands on any business
resource and risk management techniques will enable the management to make educated decisions on
their ‘risk appetite’ (risk avoidance or risk acceptance) in balancing competing factors such as cost and
control.

The Risk Manager

The role of the safety practitioner has developed whereby previous involvement was primarily in safety
initiatives derived from the requirements of prescriptive legislation. The role developed with the advent of
time to incorporate loss prevention through consideration of an accidents and incidents and then loss
control through identification, avoidance, evaluation and reduction of risk, including fire, security and
environmental risks. More recently the safety professional is involved in risk-financing strategies through
insurance and outsourcing.

Figure 1: Risk Management

Risk Control
NEBOSH
NEBOSH
Loss Control Risk Financing
International
International

Risk Avoidance Risk Reduction Risk Retention Risk Transfer

Diploma
Diploma

Risk management is therefore a combination of risk identification, analysis, loss control, risk financing,
monitoring and reviewing strategies.

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Risk Control Strategies

ID1.4 – The Assessment and Evaluation of Risk

Strategies for controlling risk will include the following:
ID1.4 – The Assessment and Evaluation of Risk

 Avoidance
 Reduction
 Transfer of risk
 Retention

These risk control approaches are sometimes known as the 4Ts:

 Terminate (avoid)
 Treat (reduce)
 Tolerate (retain)
 Transfer

1. Avoidance

Risk Avoidance is the decision of the organisation to change an operational mode, consequently remove the
presence of or ‘avoid’ the presence of a particular risk. In order for this method of control to be successful
the organisation must first of all have to have clearly identified any hazards and subsequently evaluated the
relevant risks. An example of this strategy in practise would be an organisation sub- contracting a particular
activity, which contains the risk element to a contractor thereby avoiding the risk to the client organisation. It
should be noted however that the subject to certain legal constraints there may arise in the client contractor
relationship some civil and criminal reliability.

By redesigning a task based on the findings of task analyses hazards can be simply and cheaply removed,
similarly the automation of certain tasks using robots or programmable electronic systems can remove to a
large extent the need for human intervention in the process thereby avoiding the hazards and subsequent
risks in the workplace. These are of course examples of avoidance in an overall risk management strategy.

Another example of a health and safety nature of the application of risk avoidance as a risk control measure
could be the substituting of a particular hazardous chemical for one which has no or tolerable harmful
potential.
NEBOSH International Diploma

2. Reduction
Risks can be reduced by implementation of standard operating procedures, education and training, limiting
the numbers or types of participants, redesign of tasks, establishing security methodologies, duplication of
records, selecting appropriate venues, preventive maintenance, etc.

Risk reduction involves the ongoing management of risk in the organisation by implementing a programme
designed to protect the organisation’s assets from wastages caused by accidental loss.

The components of such a loss control programme should include: - occupational safety, health and hygiene
- environmental protection - damage control - transport risk management - fire prevention and control -
security, anti-fraud and antiterrorism measures - IT systems protection - personnel and competence
retention - product or service safety and quality assurance - public safety and liability - business continuity.

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3. Retention
Risk retention involves managing the risk within the organisation, with any loss arising from poor risk
management being totally financed from within. This option may be followed consciously or

ID1.4 – The Assessment and Evaluation of Risk

unconsciously – it’s what happens if risks aren’t fully identified. The risk is retained in the organisation
where any consequent loss is financed by the company. There are two aspects to consider under this
heading: risk retention with knowledge, and risk retention without knowledge.

a. With knowledge
This covers the case where a conscious decision is made to meet any resulting loss from within
the organisation’s financial resources. Decisions on which risks to retain can only be made once
all the risks have been identified and effectively evaluated.

b. Without knowledge
Risk retention without knowledge usually results from lack of knowledge of the existence of a
risk or an omission to insure against it, and this often arises because the risks have not been
either identified or fully evaluated.

4. Transfer
The concept of risk transfer as a risk control strategy relates to the redistribution of risk consequence
realisation to a third party. In many circumstances this may relate to transferring the consequence of risk
to an insurance company who will then pay compensation to the insured party in the event of realisation
of the risk and subsequent loss.

In a contract arrangement the consequences of risk realisation are transferred to a third party this is also
in the form of a risk transfer. It should be noted however that the content of contract terms is governed in
law in many countries. There are of course numerous examples of compulsory risk transfer through
compulsory insurance schemes, e.g., Motor Insurance.

Factors to be considered in the Selection of an Optimum

Solution Based on Relevant Risk Data
In setting out to provide evidence that the risks are reduced to a level that is ALARP, it is a fundamental
requirement to demonstrate, in the first instance, that the hazard identification and risk assessment
carried out have been systematic and detailed, as they provide the foundation on which to base the

NEBOSH
control measure selection.

NEBOSH
Hazard / Risk Criteria Approach
Define criteria that is considered to correspond to ‘reducing risk to a level that is as low as is reasonably
International

practicable’, assess performance quantitatively or qualitatively (using matrices for example) and compare
against the criteria.
International

Comparative Assessment of Risks, Costs and Benefits

Evaluate risk and associated costs for a range of control measure options for the facility and compare the
Diploma

relative merits of the different options, selecting the options which are practicable.
Diploma

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Cost Benefit Analysis [CBA]

The numerical assessment of the costs of implementing a design change or modification and the likely

ID1.4 – The Assessment and Evaluation of Risk

reduction in fatalities that this would be expected to achieve.
ID1.4 – The Assessment and Evaluation of Risk

The quality of the modelling and the data will affect the robustness of the numerical estimate and the
uncertainties in it must always be borne in mind when using the estimate in risk management decisions.
In making this assessment there is a need to set criteria on the value of a life or implied cost of averting a
statistical fatality (ICAF).

Therefore, the health and safety professional have to be attuned to the culture, vision and objectives of
the organization. The beginning point therefore in the decision‐making process is the setting of business
objectives. These goals can be ascertained through the identification of risk, the assessment of risk, and
then selecting necessary ways of handling them. The factors to be considered in the selection of the
optimum risk management solution include:

 Stakeholders' and the organization’s health and safety goals

 Legal and other constraints.
 The organization’s financial objectives.
 Cash budgeting and liquidity.
 Workforce relations and related issues.
 Ethical and social considerations.
 The effectiveness of proposed solution.
 Public Expectation
 Levels of Insurance Premium
 Human Factors

In reality, there is no simple cut-off and a whole range of factors, including uncertainty need to be taken into
account in the decision-making process.

Aspirations of Stakeholders and The Organization

The stakeholders of the Organisations greatly influence the corporate perspective of tolerance of risk and
risk management strategy. The Organisations with high corporate social responsibility will:

 Expect reduction of risk well below minimum legal requirements;

 Avoid activities that remain a significant risk
 Maximise transfers by contracting and insurance
NEBOSH International Diploma

Legal and Other Constraints

Can be influenced by both civil and criminal law:

 The need for machine guards may be a requirement supported by criminal law
 Contractual conditions and obligations
 Civil liability for harm to workers and others

The need for legal compliance should be regarded as the minimum standard the organisation must achieve
in terms of risk control

The Organisation’s Financial Objectives

 Need to make a profit high on list of corporate objectives
 Vary from the wish to make enough money to survive through to the objective of maximising profits
 Solutions need to be consistent with the organisation’s goals
 The health and safety practitioner must aim to reduce the potential losses from risks
 Keep the cost of controls in proportion

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Cash Budgeting and Liquidity

 Cash treated as a resource

 Must be controlled

ID1.4 – The Assessment and Evaluation of Risk

 Aim to have enough cash available when needed, which itself has cost implications
 Money held in reserve could be used for investment and earn interest
 Unexpected need to meet the costs of a risky event may disturb this balance
 It has been estimated that some 70% of businesses that have a major fire fail within two years of
the event

Worker Relations and Related Issues

There are several aspects of worker relations that concern the health and safety practitioner and the
selection of appropriate risk controls.

 The cost of accidents/incidents

 The need for employer’s liability insurance premiums
 Security
 Frequent accidents/incidents lower morale
 Resistance by workers
 Hospital treatment

Ethical considerations
 Moral argument – people matter and risk control decisions cannot be made purely on financial or
legal grounds
 The price the worker pays ranges from personal injury to death
 Excessive costs can lead to job losses
 The manager deciding on the optimum solution must consider the organisation’s culture vision
and goals

Effectiveness of Proposed Solution

 Avoidance of risk effective in removing the risk but may carry significant cost
 Commercial impacts
 Transfer risk to another party
 Contracted relationship residual risk to organisation image

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 Reduction and self-management of risk
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Principles and Benefits of Risk Management in a Global Perspective

International

Risk management may be defined as: ‘The minimisation of the adverse effects of pure and speculative
International

risks within an organisation’.

The role of risk management in the workplace is to:


Diploma

Consider the impact of certain events that can give rise to loss of performance of the organisation
 Devise alternative strategies for minimising these risks

Diploma

Relate these alternative strategies to the general framework used to manage the organisation

All activities involve risk therefore organisations have to manage risk by identifying it, analysing it and
evaluating whether risk needs to be controlled in order to satisfy their risk criteria.

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The benefits of risk management of an organization are self-evident in terms of loss prevention and
business disruption, but there are a number of specific benefits that can be used to support it at an
organizational level:

ID1.4 – The Assessment and Evaluation of Risk

 Increased likelihood of achieving objectives
ID1.4 – The Assessment and Evaluation of Risk

 Encouragement of proactive management

 Improved identification of opportunities and threats
 Compliance with relevant regulatory requirements
 Improved governance, stakeholder confidence and trust
 A reliable basis for decision making and planning
 Improved risk control, loss prevention and incident management
 Effective allocation and use of resources for risk control
 Improved operational effectiveness and efficiency
 Enhanced health and safety performance.

Organizations with multiple locations worldwide still need to consider how they intend to manage risk and
the associated benefits but face the challenge of how to manage safety across their global sites where
standards and local conditions may vary considerably.

Large multinational organisations may decide to consistently apply the principles and seek the benefit
examined earlier by adopting the same HSE management standards for all of their locations globally. One
benefit of this approach is that it is easier to audit (one company, one standard) and allows comparisons to
be made across global sites.

Other organisations may decide simply to only comply with the local HSE standards. This is likely to be a
more cost-effective approach, and also legally compliant, but the standard to be achieved may be lower.
NEBOSH International Diploma

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References
Successful Health and Safety Management HSG65, HSE, 2003, HMSO.

ID1.4 – The Assessment and Evaluation of Risk

The Management of Health and Safety at Work Regulations 1999 Approved Code of
Practice and Guidance L21, HSC, 2000, HMSO.

Fault Tree Hand Book, US Nuclear Regulatory Commission, 1981.

HAZOP Guide to Best Practice, Chemical Industries Association, 2000, Institution of

Chemical Engineers.

Guidance on Risk Assessment at Work, European Commission, 1996, ECSC-EC-

EAEC.

Quantified Risk Assessment: Its input into decision making, HSE, 1994, HMSO.

The Tolerability of Risk from Nuclear Power Stations, HSE, 1992, HMSO.

5 Steps to Risk Assessment Case Studies HSG38, HSE, 1998, HMSO.

HSE 5 steps to risk assessment INDG163 (rev) HSE,1998, HMSO.

Reducing Risks Protecting People, HSE’s Decision Making Process, HSE, 2001,
HMSO.

Reducing Risks, Protecting People, HSE's decision making process, HSE, 2001,
HMSO

HSG 65

NEBOSH
NEBOSH
International
International
Diploma
Diploma

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192

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ID1.4 – The Assessment and Evaluation of Risk
element 5
Pro-Active and Reactive Health and
Safety Monitoring
On completion of this Element, candidates should be able to:

5.1 Explain different types of loss causation theories/models, tools, and techniques and how data can be
used to calculate loss rates.

5.2 Outline the purpose of health and safety performance measurement, monitoring and review.
194

Contents Page No

Accident and Incidents 196

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

5.1 Theories/Models and Use of Loss Causation Techniques 197

Accident Triangles 197
Bird’s Triangle 199
Limitations 199

IA5 – Pro-active and Reactive Health and Safety Monitoring

Accident Causation Models 200
Multi-Causation Approach 201
Latent and Active Failures – Reason’s Model of Accident Causation 203
Holes and Slices (Swiss Cheese Model) 203
Fault Tree Analysis (FTA) 204
Event Tree Analysis (ETA) 205
Quantitative Analysis of Accident and 209
Ill Health Data 209
Ill -Health Prevalence Rate: 210
Epidemiology 211

Monitoring Monitoring
Accident and Incident Data 213
MoMoMonitoring

5.2 The Purpose and Use of Health and Safety Performance Measurement 219
Health and Safety Objectives 221
Health and Safety Arrangements 222
Health and Safety Control Measures 222

Mo
Review of Current Management System 222
Recommendations for Review of Current Health and Safety Management Systems 223
Health and Safety Monitoring 224
Distinction Between, and Applicability of, Performance Measures 225
Reactive Monitoring 225
Proactive Monitoring 227
Reactive and Active (Proactive) Monitoring 228
NEBOSH International Diploma

Presenting and Communicating Findings 229

Monitoring and Measuring Techniques 230
Role and Purpose and Key Elements of Measurement Techniques 231
Health and Safety Benchmarking 239
Reviewing Health and Safety Performance 242
Inputs to a Review Process 242
Review Process 243
Output from Review Process 244
References 246

List of Tables
Table 1: Monitoring Systems 228
Table 2: Advantages and Disadvantages of Internal and External Benchmarking 240

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List of Figures

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Figure 1: The Heinrich Accident Triangle 1931 197
Figure 2: The Bird Accident Triangle 1969 197
Figure 3: The Multi-Cause Theory 201
Figure 4: Example of Root Cause Analysis 202
Figure 5: Accident on a Roundabout 204
Figure 6: Example Fault Tree 205
Figure 7: Example Event Tree 205

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International
International
Diploma
Diploma

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196

Accident and Incidents

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Definition of an Accident
A useful definition of an accident is ‘an unplanned, unwanted event which results in loss.’ Loss is not confined to
personal injury, other examples being loss of business revenue or opportunity.

IA5 – Pro-active and Reactive Health and Safety Monitoring

Definition of an Incident
The above definition of an accident does
not include those events that could have
caused loss. Such events are often called
incidents or near misses. A useful
definition of an incident is ‘an unplanned,
unwanted event that has the potential to
result in a loss’.

Monitoring Monitoring
MoMoMonitoring

Accident Studies

Mo
Whatever term we use it is pure chance
that prevents an incident from becoming
an accident. The severity of injuries or
damage resulting from an accident is
also often a matter of chance.
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5.1 Theories/Models and Use of Loss

Causation Techniques

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Accident Triangles
There have been many studies carried out to try to establish a relationship between accidents and incidents.
These are illustrated by accident triangles. The two most famous studies of accidents are by Heinrich 1931
and Bird 1969. Bird took a larger sample size than Heinrich and therefore his work is deemed to be the more
reliable.

Figure 1: The Heinrich Accident Triangle 1931

Major Injury

29 Minor Injury

300 Incident

1
HEINRICH
Figure 2: The Bird Accident Triangle 1969

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1
Serious Injury
International

1
International

10 Minor Injury
Diploma

1
30 Damage
Diploma

1
600 Incident

1
BIRD

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198

From these accident triangles, it can be concluded that incidents are the foundation of major injuries. Major
accidents can be avoided, and the severity of an injury can be reduced through reporting and investigating near
misses.

The theory of loss control is built around these studies. As the studies also demonstrate that the majority are
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

near misses or accidents resulting in damage, the greatest benefit from a loss control programme can therefore
be achieved by focusing on these areas.

If incidents are left uncontrolled, they may well develop into major accidents. However, none of these studies
attempted to count the number of situations (actions or conditions) that had the potential to result in injury. Such
situations are called hazards.

IA5 – Pro-active and Reactive Health and Safety Monitoring

Valuable lessons are learned by investigating accidents, but if uncontrolled hazards are ignored, they could
cause accidents.

Uses and Limitations

Uses
Each of the theories and/or models is useful in so far as they try to identify reasons why losses arise or how they
could arise, but in the end, it must be said that they are theories. Users of such theories can and do proactively
use them in a bid to try and identify situations or contributors to loss before the loss being realised.

Monitoring Monitoring
Such theories and models could also be useful in considering contributors to loss following an event. On the
positive side, loss causation models provide a direction of focus for the individual interested in reducing injuries in
MoMoMonitoring

an organisation.

For example, Heinrich’s principles date back to 1932 and encourage focusing on near misses instead of injury-
related incidents to prevent significant losses from occurring.

The Loss Causation model provides users with a tool to control the vast majority of accidents and loss control

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problems. The Loss Causation model encourages focusing on the development of standards, the measurement
and evaluation of standards to ensure they are being followed through by members of the organisation, and the
continuous update of standards to provide a means to prevent injuries in an organisation.

Limitations
It is important to realise that such theories and/or models are at best an approach to real-life situations and never
real-life themselves.
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Underlying Principles Connecting Causes and Outcomes:

Incidents with the same cause(s) usually have a range of possible outcomes e.g., near misses to injuries to
fatalities.
There is underlying randomness to outcomes.

- Often difficult to predict exactly when or where incidents will happen or their severity.
- Whether severity is minor, or major can just be a matter of chance.
- More severe incidents will happen sooner or later if you just leave it to chance.

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Consideration should be given to:

- Potential outcomes as well as actual outcomes.

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

- Tackling root causes to avert far more serious outcomes.
- Cautionary use of incident ratio data studies, for example, Bird’s Triangle

Bird’s Triangle
Advantages

 It is still useful in communicating the importance of safety.

 It provides a strong visual representation of the relationship between near misses, minor accidents,
and the potential for more serious incidents.
 It can be used as a training aid, and can be used to communicate the fact that even relatively minor
actions can have serious consequences.
 It can influence employees to think about risk exposure, especially when there could be unspoken
toleration of unsafe acts in some workplaces.

Limitations

 Bird's statistics are based on insurance statistics. This means this ratio of near misses to serious
accidents is only indicative at best.
 Bird’s statistics relies on the organisation's datasets to be accurate and absolute, which may not
always be the case.
 Bird’s statistics may be misleading as not all near misses or unsafe acts have the same level of
severity and outcome.
 Bird's Triangle is about actual event outcomes. It does not take into consideration that the possibility
of some serious incidents are not represented by a higher volume of near misses.
 Bird’s Triangle looks at incidents as a single sequence of events influenced by an intervention (multi-
causality theories are ignored).
 Bird’s Triangle does not consider failure of management systems (incidents often seen as being
caused by operator fault)

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Accident Causation Models

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Basic (indirect or root) Causes Slips and lapses occur in very similar tasks and are
categorised in HSG 48 as skill-based errors. Mistakes
are more complex involving mental processing.
Basic Causes – Personal
Slips - are failures in carrying out the actions of a
Factors task or routine, such as:

IA5 – Pro-active and Reactive Health and Safety Monitoring

Violations
 Omitting a step in a series of steps,
The HSE Guidance publication ‘Reducing error and  Performing an action in a sequence too soon
influencing behaviour’ HSG 48 defines a violation as a or leaving it too late,
deliberate deviation from rules, procedure, instructions
or regulations.  Performing an action in the wrong direction or
with too much or too little force and,
A passive unsafe act or violation is one where the  Carrying out the correct action on the wrong
action is formed from habit rather than by conscious item.
thought. HSG 48 categorises these as routine
violations, where breaking the rule or procedure has Lapses of memory cause:
become the normal way of working within the group.
This can be from a desire to cut corners, the  Steps in a routine sequence to be omitted or
perception that the rules are too restrictive or that they duplicated, or;
no longer apply, the lack of enforcement and new

Monitoring Monitoring
 Loose place in a task or even forget what was
workers not realising the correct way of working.
intended.
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Active violations occur from deliberate unsafe acts;

these can become passive habitual acts if Poor design, boredom, monotony, fatigue,
uncorrected. HSG 48 categorises these as situational interruptions, distractions, and a lack of feedback can
and exceptional. all contribute to lapses.

Situational violations occur where breaking the rules is Mistaken actions are categorised as:

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due to pressure from the job such as being under time
pressure, insufficient staff for the workload, the right  Rule based and
equipment not being available or even extreme  Knowledge based
weather conditions. It may be difficult to comply with
the rule in a particular situation or staff may think that Rule based error is based upon a learned set of
the rule is unsafe under the circumstances. rules, and mistakes occur when if the rule applied
does not suit the situation.
Exceptional violations happen when something has
gone wrong. To solve problems individuals may feel it Poor design and design changes, lack of
necessary to break a rule, even though they are aware competence and misperception can lead to rule-
that they are taking a risk, they believe, falsely, that based mistakes.
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the benefits outweigh the risks.

Knowledge based errors occur where individuals
are faced with unfamiliar circumstances or situations
“…unintended actions or decisions where there are no learned rules.
involving a deviation from an accepted
standard, including routine violations, This requires planning and problem solving with the
which lead to an undesirable application of logic, therefore individuals tend to
outcome…” relate back to learned rules and try to apply them to
the circumstances or situation.
Errors
Mistakes occur due to misdiagnosis and
These are passive; HSG 48 defines error as: miscalculations or when the rules applied do not suit
the circumstances or situation faced. There is also a
tendency for individuals not to use scientific logic in
Errors fall into two categories: testing a hypothesis before its application.

 Skill based (slips of action, lapses of memory) Individuals also tend to adopt “tunnel vision” once
and, their solution is applied, trusting their intuition and
ignoring feedback that may demonstrate the
 Mistakes. circumstances or situation is not controlled.

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Basic Causes – Job Factors

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Unsafe Conditions
These occur due to poor ergonomic design, use and maintenance of work equipment, workplaces and work
routines. Work equipment design may cause confusion and stress especially when there is excessive
feedback, a lack of feedback or ambiguous feedback. Many machinery accidents arise due to lack of
provision or use of adequate guards to prevent access to the danger zone; hence all guards should be well
designed, adjusted, inspected and maintained.

A person’s performance can be affected by workplace environmental factors such as temperature, humidity,
lighting, ventilation and noise. The design of the workplace and work equipment may cause the adoption of
poor posture. Work routines may be repetitive in nature with no allowance for rest or recovery. Shift work and
overtime work can have an adverse effect on performance.

Immediate (Direct) Causes

Unsafe Acts
These behaviours are violations and errors arising from poor attitudes, lack of knowledge, skill, information,
instruction, and physical unsuitability from boredom, fatigue and distractions. Unsafe acts can be passive or
active.

Unsafe Conditions
These occur due to poor ergonomic design, use and maintenance of work equipment, workplaces and work
routines.

Multi-Causation Approach
A serious accident normally has multiple causes with chains and combinations of events. Rather than using a
single chain approach the multi-causation approach allows for consideration of the various immediate causes
and underlying sub-causes of an accident. With this approach the numerous contributory factors can be
identified and examine.

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Figure 3: The Multi-Cause Theory

Lack
Management
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Control

1
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Unsafe
2 Act
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3
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Accident Injury
4
Unsafe
5 Condition

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Root Cause Analysis

A more practical multi-causation approach to accident analysis is achieved by the
development of root cause analysis. Root cause analysis is a simple technique for
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

identifying all of the direct causes and then analysing each of them in turn to find out
the underlying causes.

More complex quantified fault trees are used in risk assessment see Element IA4.

The ultimate aim is to find out why the systems of management failed to prevent
each of the underlying causes that contributed to the accident. This type of analysis

IA5 – Pro-active and Reactive Health and Safety Monitoring

allows a wide range of recommendations to be made to prevent recurrence.

For example: Late for an appointment, Mr Smith slips on a patch of oil. The accident
report form would typically be completed as follows:

“Oil cleaned up with granules, Mr Smith should take more care in future”

The cause of the injury has been identified; however, this would not prevent
recurrence.

Figure 4: Example of Root Cause Analysis

The cause of injury

Monitoring Monitoring
A man slips and strikes The direct causes
his head on the floor of the accident
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He was hurrying There was oil on the The lighting was poor
floor – he did not see the oil

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A1 A2 A3 B1 B2 B3 C1 C2 C3

Lack of Lack of management Lack of

management control management
control control
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A thorough investigation might include questions The source of the oil spillage was found to be a
about: forklift truck; it would be useful to know:

 Why Mr Smith was in such a hurry?  Why was it leaking?

 Why were rules prohibiting running not  Why the leak had not been rectified?
known or not enforced?
 Why the spill had not been cleaned up
 Was Mr Smith aware that running in the before the accident?
workplace is unsafe?
 Why was the lighting poor?
 Were there an adequate number of lights?
 Were they switched on?
 Were they properly maintained?

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It can be seen that the questions examine the systems for maintenance, training, supervision and fault
reporting, etc. Accident investigation should try to find why management systems failed to prevent the
accident rather than apportion blame.

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

The domino theory of accident causation is simplistic can assist in structuring accident investigations. It has
limitations in that considering just one chain of events the linear approach relates more to immediate causes
rather than errors in planning, design, etc. and it is reactive rather than proactive, therefore cannot be used to
predict the likelihood of events.

Whereas contributory causes in the multi-causal theory of accident causation combine in a complex and
random fashion. Each contributory cause has its chain or chains of events, which can be graphically
represented by root cause (simple fault tree) analysis. As such it can be more complex/difficult to understand
and require more time/resources than the linear domino theory approach.

The multi-causal theory of accident causation can be used to predict and prevent the likelihood of accidents.

Latent and Active Failures – Reason’s Model of Accident

Causation
Reason’s Accident Causation Model or "Swiss Cheese Model" was first published by Reason in 1990 which
illustrates how accidents occur in organisations.

Reason’s model is a general model that traces the root causes of different accidents to organisational errors
(latent failures) arising in the upper levels of any organisation. His hypothesis includes that almost all the
accidents can be traced back to one or more of four levels of failures: Organisational influences, unsafe
supervision, preconditions for unsafe acts, and the unsafe acts themselves.

Holes and Slices (Swiss Cheese Model)

In Reason’s Swiss Cheese model, he illustrates that an organisation's defences against failure are modelled
as a series of barriers, which could be represented as slices of Swiss cheese. The holes in the cheese slices
represent individual weaknesses and are dynamically varying in size and position in all slices/barriers.

The system as a whole will fail when all of the holes in each of the slices align momentarily, permitting (in
Reason's words) "a trajectory of accident opportunity", so that a hazard passes through all of the holes/gaps
in all of the defences, leading to a failure, which can either be latent or active failure.

Active failures: These are the unsafe acts committed by people that can be directly linked to an accident.

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These could be in the form of mistakes, violations, slips and lapses.

Latent failures: Latent conditions may lie dormant

within the system for many years before they are
triggered via a combination of active failures to create
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an accident opportunity.

Usually, latent conditions can be identified by

stringent risk assessments which identify potential
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hazards and risks and allows corrective actions to be

taken before an adverse event occurs.
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The Swiss cheese model of how defenses, barriers,

and safeguards may be penetrated by an accident
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trajectory.

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Fault Tree Analysis (FTA)

FTA provides a systematic approach to the identification of the combination of possible occurrences (causes)
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

that could combine to produce an undesirable effect (incident).

The possible combinations of occurrences once identified are displayed graphically in a fault tree. FTA can be
useful in identifying a list of potential failures.

IA5 – Pro-active and Reactive Health and Safety Monitoring

How To Carry Out an FTA

It is important to select and define the 'top event'. This could typically be:

 Machine or process failure.

 Component failure.
 An accident.
 An explosion.
 A system failure.

The fault tree is then constructed downward from the top event. It will look like an inverted tree, branching
downwards rather than upwards.

The tree is constructed by identifying and correctly relating all events and combinations and/or sequences of

Monitoring Monitoring
events that could result in the top event. These are related through AND/OR gates.

Example
MoMoMonitoring

Construct a Fault Tree for an accident occurring between a vehicle on the roundabout in collision with a vehicle
entering the roundabout.

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Figure 5: Accident on a Roundabout
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Figure 6: Example Fault Tree

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Event Tree Analysis (ETA)
Event tree analysis is a forward-thinking process, based on binary logic, in which an event either has or has
not happened or a component has or has not failed. It is valuable in analysing the consequences arising from
a failure or undesired event.

An event tree begins with an initiating event, such as component failure, increase in temperature/pressure or
a release of a hazardous substance. The consequences of the event are followed through a series of
possible paths. Each path is assigned a probability of occurrence and the probability of the various possible
outcomes can be calculated.

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Example

Consider a fire starting in a bedroom fitted with an automatic alarm system. It is assumed that if the alarm
sounds the occupants will respond to it and make good their escape.
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The first step is to identify the initiating event. In this example it is the fire and release of smoke.

The second step is to identify the safety functions designed to deal with the initiating event. In this example
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these are:

 A smoke detector.
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 A fire alarm signal.

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 A fire alarm sounder.

The third step is to construct an event tree. See Figure 7.

Figure 7: Example Event Tree

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ID1.5 – Pro-active and Reactive Health and Safety Monitoring

IA5 – Pro-active and Reactive Health and Safety Monitoring

Construction of the tree begins at the left-hand side with the initiating event of interest.

Monitoring Monitoring
The next step is to insert the 1st safety function (smoke detector in this example). Only two possibilities are
considered, either success or failure of the safety function. Usually, success is denoted in an upward path
MoMoMonitoring

and failure is denoted by a downward path. Success leads on to the 2nd safety function and failure leads to
an undesired outcome. In this example success of the 1st safety function means that the smoke detector
works as designed.

The event now progresses to the 2nd safety function. Again, only success and failure of the safety function

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are considered. Success leads on to the 3rd safety function and failure leads to an undesired outcome. In
this example success of the 2nd safety function means that the alarm signal works as designed.

The event now progresses to the 3rd safety function. Once again only success and failure of the safety
function are considered. Success leads on to the desired outcome and failure leads to an undesired
outcome. In this example success of the 3rd safety function means that the alarm sounder works, the
occupants are warned of the fire and they make good their escape.

In this example every undesired outcome is that the occupants of the room are not warned of the fire,
however, in some event trees as the event progresses there may be different outcomes with differing hazard
severities.
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Bow Tie Analysis

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

The Bow-Tie model is a visual method of showing how the hazard(s) becomes the top event. It shows the barriers
in place to prevent progression and the threats to those barriers. It is made up of a combination of a fault tree and
event tree (QRA’s) looking both backward and forwards in time from an initiating event.
It shows the probability of the top event occurring (FTA) and escalation and subsequent consequences from it
(ETA). It links the barriers and measures to reduce the chance of the top event occurring and the consequences
resulting from the top event. The results of Bow Tie models can be documented and a full appreciation of the risks
and potential outcomes can be understood.

Fault Tree Analysis Event Tree Analysis

H Consequence
Scenario
a
z
a Top Consequence
r Event
d Threat

Barriers or Recovery Consequence

controls measures

Control (keep within control Prepare for emergencies

limits)
Reduce likelihood (Proactive) Mitigate consequences and
re-instate (Reactive)

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Five Whys
‘Five whys’ brainstorming approach is similar to fault tree except it is simpler. The goal is to determine the
root cause of a problem by repeating the question “Why?”. Each answer forms the basis of the next question.
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The application of 5 Whys to an example mentioned in an OSHA fact sheet is given below:

The Problem: A worker slips and falls, and suffers an injury.

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1st Why: There was a puddle of oil on the plant floor.

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2nd Why: Oil spilled from a compressor.

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3rd Why: An oil leak from the compressor was not detected.

4th Why: The compressor was not inspected on a regular basis and repaired (if required).

5th Why and the Root Cause: The compressor was not in the maintenance system.

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Fish Bone Analysis Method

Fishbone is a general problem-solving method for visualising and categorizing the potential causes of a
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

problem in a diagram (cause and effect diagram). This tool is used to identify a problem's root causes.

The “fishbone” diagram can be used in brainstorming to identify possible causes of a problem.

The output looks like a fishbone (has a backbone and ribs representing potential contributing/influencing
factors) and is used to record and rationalize events that constitute the accident.

IA5 – Pro-active and Reactive Health and Safety Monitoring

There are four steps to using the tool.

1 Identify the problem.

2 Work out the major factors involved.
3 Identify possible causes.
4 Analyze your diagram.

Example of a Fish Bone Diagram

Monitoring Monitoring
MoMoMonitoring

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Quantitative Analysis of Accident and

Ill Health Data

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Monitoring and review are essential elements of a safety management system. Every organisation should
have objectives and a plan for continually improving health and safety performance. A measure of past
performance will not normally be found from one indicator, a number of indicators will always be necessary.

Reactive measures allow a number of performance indicators over a period of time to indicate the
effectiveness of accident prevention strategies and hence develop the continual improvement plan.

When the occurrence of accidents and incidents vary, they influence the identification of trends and patterns,
a measure of those parameters to determine various rates of events rather than measuring simple accident
figures can be used.

Reducing figures over a period of time generally indicates an improvement in performance. The use of
statistics should be carefully monitored, as they can be useful in the analysis of performance, however they
do have limitations.

Accident Incidence Rate

Confining data to reportable injuries will not give a true indication of performance, as it will not reflect the
severity of the injury. Also, a low reportable injury incidence rate will not necessarily mean good safety
performance as it does not cover non-reportable injuries or damage incidents.

Variations in health and safety cultures may affect the recording of non-reportable accidents as employees
may be reluctant to report them and supervisors, who are held responsible for accidents, may encourage such
reports.

These limitations should not discourage managers from recording accident statistics, which are necessary for
gauging, with interpretation, health and safety performance.

This is probably the most widely used formula, and is the number of defined accidents, in a period per
thousand employees.
Number of defined accidents
x 1000
Average number employed

When comparing and benchmarking incidence rates across various departments, sites or sectors, it is
important to compare like with like.

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 That they relate to the same type of accident,
as definitions may vary.
 That the working hours are the same, e.g., if
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large amounts of overtime are worked the
incidence rate will be increased when
compared to when it is not.

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That the definition of those employed is

comparable, e.g., if part time staff are
included in one calculation the incidence rate
will be decreased when compared to when
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they are not.

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Fatal Accident Incidence Rate

This indicates the number of fatalities per 1000 employees. Similar limitations for working hours and the average
number employed as for accident incidence rate (above) apply. Although the definition of a fatal accident is
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

reliable and, as fatalities occurring at the time of the accident remain difficult to hide, the number of fatalities is
generally deemed to be accurate, however, a potential limitation is the reporting of fatalities occurring within one
year of an accident.

Number of fatalities
x 1000
Average number employed

IA5 – Pro-active and Reactive Health and Safety Monitoring

Accident Frequency Rate
This is the number of defined accidents in a period per 100,000 person-hours worked. In some organisations
the incidence rate may not be a reliable guide as there may be many part-time workers, long shifts, and
overtime working. There also may be wide changes of activity, hence risks, from one period to another. In
such cases, the number of hours worked can be used.

Number of defined accidents in period

x 100,000
Total person hours worked in period

Monitoring Monitoring
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Accident Severity (or Gravity) Rate

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One way of improving comparisons would be to consider the consequence of accidents in terms of lost time
to an organisation rather than the definition of what constitutes the accident itself. Severity rate is the number
of days lost in a period per 1000 person-hours worked. It is useful to consider the severity of the accidents in
terms of time lost due to injury in addition to the number of accidents. The results can identify trends;
however, the results can be distorted by low morale, sick pay policies, incentives, and “light duties” work.

Total number of days lost in a period

x 1000
Total person hours worked in a period
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Ill -Health Prevalence Rate:

Estimated prevalence is the estimated number of people with a work-related illness at any time during the 12-
month reference period. It includes the full range of illnesses from long-standing to new cases; Prevalence
rate is defined as the prevalence estimate divided by the population at risk of having a work-related illness.

The estimated number of people ever

employed with a work-related illness in the
Annual estimated prevalence rate
12-month reference period
of work-related illness per 100 000 = x 100,000
_______________________________________
people ever employed
Estimated number of people ever employed

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Epidemiology

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Epidemiological analysis was first applied to the study of disease epidemics. Epidemiology only identifies
patterns of data distribution; therefore, subsequent investigations are necessary to identify the reasons for the
occurrence.

An example being that typhoid fever was a major disease in cities. A trial-and-error study of those affected
considered what they ate, the work they did, and plotted their home locations. Investigations revealed that the
only common thing used by the victims was the same wells for drinking water.

Closing the wells in the locality resulted in a marked decline in occurrences and stopped the spread of the
disease. The cause of the disease was unknown for many years; however, the closure of the wells had a
beneficial effect.

This example forms the basis of epidemiology: Health Data

 Identify the problem to eliminate or Occupational ill-health is the principal cause of
reduce through patterns of occurrence. death and lost working days. Occupational
 Investigate, usually by trial and error, the health data includes information regarding,
information (data dimension) for possible where appropriate:
causal factors for the patterns of
occurrence.  The nature of the ill-health condition

 Take remedial action. Statistical analysis  The nature of the work

considers data gathered for a population.  Personal details
In statistical terms the word ‘population’ does  Non-occupational factors
not necessarily only refer to a body of people, it
refers to all cases or situations.  Pre-employment health screening and
medical examination
Analysis of data in a population seeks to identify  Health surveillance
variables, i.e., any distinguishing attribute or
characteristic.  External reports on occupational ill-
health
Data variables may be a combination of:
Each of these factors under study is termed a
 Named categories, example - type of data dimension.
accident, injury site, etc.
 Ranking or relative condition, example -
fatality, major injury, minor injury or 1st,

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2nd, 3rd and
 Differing quantities example - age, size,
weight, etc.
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Nature of the Ill-health Pre-employment Health Screening

and Medical Examination
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Condition
Pre-employment health screening and medical
This relates to the diagnosed disease or ill-health examination assists in the avoidance of employing
condition and the organ(s) affected. After an absence people with health problems; however, it can identify a
it is important to identify any potential occupational predisposition to certain occupational ill-health
ill-health causes, including physical or psychological conditions.

IA5 – Pro-active and Reactive Health and Safety Monitoring

stress, to ascertain medical diagnosis and review risk
control measures. Pre-employment health screening usually consists of
completing a questionnaire and medical tests, such as
lung function testing and audiometric testing, which can
Nature of Work be useful to determine a baseline for comparison.

A causal link may be established between the

disease or ill-health condition, the type of work Health Surveillance
undertaken, and substances exposed to e.g., carpel
tunnel syndrome and keyboard use. Health surveillance is designed to identify the onset of
ill-health at an early stage it must be remembered that it
Monitoring of certain exposures to substances does not prevent ill-health, however it is an indication of
hazardous to health is a statutory requirement in the effectiveness of control measures and can assist
many countries. Results from monitoring can be with epidemiological studies, for example into biological
useful in the determination of exposure levels and in resistance.

Monitoring Monitoring
the comparison against them.
As with monitoring exposure, health surveillance is a
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statutory requirement in many countries.

Personal Details
Personal factors such as age, gender, weight, height, External Reports on Occupational
ethnic origin, etc. may contribute to the cause of the Accidents, Incidents, and Ill- health

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disease or ill-health condition.
Data for cases of occupational diseases is available
from external sources and varies in incidence due to
Non-occupational Factors the different reporting and recording requirements and
because of under-reporting and bias.
Non-occupational exposures and activities often
cause diseases and ill-health. Ensuring the health of External sources include:
employees is not only concerned with causing ill-
health, but also the worsening of ill-health conditions.  EU / World Health Organisation (WHO).
 Labour Force Surveys (LFS) – based upon
Non-occupational factors can directly affect the
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answers to a questionnaire.
health of an individual when combined with
occupational exposures.  Government Sources.

Non-occupational examples include:  Industrial sectors / Trades Associations.

 Trades Unions.
 Smoking, including passive smoking
 Insurance Companies.
 Poor diet
 International Labour Organisation (ILO).
 Obesity
 Alcohol and drug abuse
 Lack of, or unsuitable, exercise
 Hobbies leading to unhealthy exposures,
e.g., recreational noise exposures,
repetitive use of keyboards in personal
computing or use of game consoles, etc.

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Accident and Incident Data

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Epidemiology can be applied to accidents and  Manual handling
incidents where the same types of data dimension
are available. Accident and incident data  Slip, trip or fall
dimensions include, where appropriate:  Contact with electricity

 The category of accident or incident  Exposure to harmful substance

 The time of day  Exposure to fire / explosion

 The part of the body injured  Other (e.g., injured by animal, drowning,
etc.)


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The nature and severity of the injury
 The location of the accident or incident Time of Day
 The category of persons affected
Analysis of the times of accidents and incidents
can reveal trends. High incidence, for example at
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natural breaks and lunchtimes can demonstrate a

Category of Accident or lack of risk control, low incidence, for example on
Incident night shift can identify under-reporting.
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Shift work and ‘unsociable hours’ working have

Categorisation of the types of accident or incident
an effect on the way people act at work.
can reveal the effectiveness of existing, and the
Research has shown that the risk of injury on a
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need for further, risk control measures. Types of

4th night shift was 42% higher than on the 1st.
accident include:
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The natural rhythms of the human body may well

 Contact with moving machinery
result in individuals being more vulnerable at
 Struck by moving object or vehicle certain times of the day. What is more certain is
that extended hours of work are likely to result in
 Struck against something fixed fatigue which is a contributory factor in many
accidents. Accident and incident statistics may
also identify seasonal trends.

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Part of the Body Injured Category of Persons Affected

Consideration of the part of the body injured can Consideration of the persons affected, e.g.,
reveal weaknesses in control measures, e.g., back employees, temporary workers, contractors,
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

injuries in manual handling operations. visitors and members of the public can reveal
trends. The employee category can be sub-
divided into classification of employee by
Nature and Severity of the department and their length of service.

Injury Consideration of the statistics can then be used

IA5 – Pro-active and Reactive Health and Safety Monitoring

to determine the effectiveness of control
Analysis of the nature of injuries reveals the type of measures and identify further risk control
injuries sustained. Examples of types of injury measures necessary.
include:
Consideration of ‘human factor’ causes may
 fatalities result in further provision of information, training,
instruction and supervision or further job,
 amputations individual and organisational control measures.
 fractures
Results may identify those who repeatedly suffer
 dislocated joints, sprains accidents, either due to a lack of aptitude
 strains necessitating consideration of an individual’s
suitability for a specific role or they may identify
 lacerations those who are risk takers, their accidents due to
intentional violations, necessitating consideration
 abrasions
of disciplinary action.

Monitoring Monitoring
 puncture wounds
Trends can also dispel any myths that may exist
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 contusions whereby it is often considered that it is the new

starters or temporary employees only who suffer
As the accident triangle demonstrated earlier there accidents.
is usually a higher incidence of minor injuries in
comparison to major injuries. Thus, major
accidents can be avoided and the severity of injury

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can be reduced through near miss reporting,
investigation and control.

Analysis of the nature and severity of injuries can

then be used to determine the effectiveness of
existing risk control measures and whether any
further control measures are necessary.

Location of the Accident or

Incident
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Mapping the location and type of accidents and

incidents onto a plan can assist in the identification
of groups of incidences, which is not readily
apparent from the review of a spreadsheet list,
e.g., a cluster of slip accidents may result from a
temporary condition that occurs infrequently, the
significance of which is not readily identified in
each of the individual accident investigations.

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Accident and Incident Data

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

By gathering accident incidence data over time an
analysis can be performed whereby the numbers of
events are measured over that time period. Whether
the number of events actually increases, or
decreases will then give a measure of a trend over
the period of time.

This time or trend analysis will now be subject to

several different influences. As mentioned earlier
the influence of under reporting, possibly even over
reporting and of course the nature of the operation
will influence the figures that are actually reported.

Consequently, aspects other than the actual events

themselves may influence the trend. Similarly,
where the amount of work that an organisation
carries out is reduced consequently, the number of
undesirable events (accidents/incidents) will
decrease regardless of any changes in safety
management practices.

Other uses of trend analysis include the

classification of industrial sectors, occupations and
workplaces according to risk, enables the
identification of the effectiveness of legislative and
best practices requirements and the apportioning of
fault and liability.

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Analysing the Information

However, if figures were recorded of 80 or 120
The limitations of interpreting results are twofold, over accidents a year then the difference would be more
significant from the expected figure of 100. For long
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

generalisation of the results and misinterpretation. As

statistical data is historic it does not necessarily indicate term data analysis identifying upper limits and lower
future performance. limits of significance of deviation, the trend can be
calculated and plotted.
The data from any study only applies for the population
studied under the conditions at the time of the study. An Deviation of the trend beyond these significant
expert with competence in the theories of causation and boundaries would then indicate external influences

IA5 – Pro-active and Reactive Health and Safety Monitoring

data dimension variables must undertake any beyond that of random fluctuation.
generalisation beyond these parameters.
One particular use of accident and incident rates is to
A study only identifies patterns of data distribution and enable trend analysis to be completed when the
assumptions must not be made about the correlation organisation is facing a number of different changes
between data without considering the variables for a since the parameters within the organisation for
plausible causal link, this may require further trial and calculating the rates remain the same and an
error investigation of existing or further data. indication of the movements of those rates beyond
significant boundaries can be determined.
For example, in a study of accidents Powell et al, 1971,
found that there was correlation between those deemed When using accident and incident rates as a
as sociable and outgoing (extroverts) and the numbers of measure or comparator of an organisation’s
recorded injuries. It may have been tempting to assume performance there must be clearly drawn guidelines
that extroverts had more accidents. as to definitions, interpretation and multipliers that
are used.

Monitoring Monitoring
A further study, however, demonstrated that extroverts
were more likely to report injuries, demonstrating a link The level of risk between the organisations must also
between personality traits and the reporting of injuries be comparable to successfully use these rates as
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rather than their occurrence. comparators between organisations. For example, an

organisation that has an incidence rate of 100 may
When analysing trends, it should be clear that any indicate that the high-risk levels within that
change of direction of the trend is more than just a organisation are well managed.
chance or random fluctuation.

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However, comparison with another organisation,
For example, for an organisation that manufactures 500 which also has an incidence rate of 100, may
components a day and in a given year they had 100 indicate that that organisation is very poorly
accidents recorded, then following years given that managing the low levels of risk contained within the
nothing had changed within the manufacturing process organisation.
then you could expect a figure of around 100 accidents
per year. It would be reasonable then to suggest that the types
of comparison that can be made are between parts
If the case arose whereby 101 or 99 accidents were of the same organisation, between similar
recorded in a particular year, then this could be down to organisations, between organisations within a
random fluctuation. relevant industry or service sector, or comparisons
between countries. All these comparisons of course
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would be subject to clearly defined terminology and

boundaries in the scope of the comparison.

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Principles of Statistical Variability, Validity and the Use of

Distributions

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Generally, the larger the sample, the better is the result because larger samples tend to be more similar to the
population from which they are collected. However, if the population of interest is small, then the sample can be
relatively small. Large samples require more time for data collection and analysis and are hence more costly
than smaller ones.

Sampling a Population
In statistical terms the word ‘population’ does not necessarily only refer to a body of people, it refers to all cases
or situations. Analysis of data in a population seeks to identify variables, i.e., any distinguishing attribute or
characteristic.

Random Sampling
This is a sampling method in which all members in a group have an equal and independent chance of being
selected. Random sampling is meant to be an unbiased representation of a group.

Sampling Validity
Samples should be selected in such a way as to be representative of the population. They provide the most valid
results because they reflect the characteristics of the population from which they are selected.

Statistical Variability
The variability of a statistic is characterized by the spread of its sampling distribution. In general, larger samples
will have smaller variability. This is because as the sample size increases, the chance of observing extreme
values decreases and the observed values for the statistic will group more closely around the mean of the
sampling distribution.

Errors in Data
In sampling, a bias would refer to the tendency of a sample statistic to systematically over-or under-estimate a
population parameter.

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A sampling distribution would also be considered biased if too few items are being sampled.

If the statistic is termed unbiased, then the average of all the statistics from all possible samples will equal the
true population parameter; even though any individual statistic may differ from the population parameter.
Sampling error is the variability among statistics from different samples.
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Use of Distributions
A technical term related to probability is ‘Confidence’.
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

In survey research, a margin of error is always there around any estimate. Therefore, if the margin of error is +/-
3% and we get a value of 50% for a variable, it means that the true value of the variable should be between 47%
and 53%.

How confident are we about this figure? When we say 95% confident, it means that if we repeat the study 100
times, we can expect similar results 95 times and be wrong 5 times. This is called Confidence Level and the
margin of error range is called Confidence Interval.

IA5 – Pro-active and Reactive Health and Safety Monitoring

The table here highlights exactly how the margin of error and level of confidence interact with sample size. To
get the same level of accuracy (e.g., +/- 3.2%), larger samples are required as the confidence level rises. For
instance, if we want to be sure that in 95 out of 100 times, the survey is repeated with the margin of error of +/-
3.2%, we need a sample of 950.

Monitoring Monitoring
MoMoMonitoring

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5.2 The Purpose and Use of Health and Safety

Performance Measurement

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Performance measurement is the ongoing monitoring and reporting of OSHSMS accomplishments and
progress toward pre-established goals. For many OHSMS, requirements can be met through performance
measurement, which includes collecting data on the level and type of activities (inputs) and the direct products
and services delivered by the OHSMS (outputs).

Health and safety differ from many areas measured by managers because success results in the absence of an
outcome (injuries or ill-health) rather than a presence.

A low injury or ill-health rate, even over years, is no guarantee that risks are being controlled and will not lead to
injuries or ill-health in the future. Historical records can be a deceptive indicator of safety performance. Indeed,
low rates may indicate a failure of reporting rather than a lack of injuries or ill-health.

Organisations need to recognise that there is no single reliable measure of health and safety performance. What
is required is a ‘basket’ or combination of measures or a ‘balanced scorecard’, providing information on a range
of health and safety activities.

Measuring or monitoring performance is an essential aspect of managing anything; strengths and weaknesses
need to be identified and progress measured. Measuring is therefore essential to maintaining and improving
health and safety performance.

Key Performance Indicators

A Key Performance Indicator (KPI) is a measurable/quantified value that demonstrates how effectively a
company is achieving key business and operational objectives. Organisations use KPIs to evaluate their success
at reaching targets and are critical for the current and future growth of the organisation.

Key performance indicators for reviewing overall performance can include:

 Assessment of the degree of compliance with health and safety system requirements.
 Identification of areas where the health and safety system are absent or inadequate (those areas
where further action is necessary to develop the total health and safety management system).
 Assessment of the achievement of specific objectives and plan, and accident, ill-health and incident
data accompanied by an analysis of both the immediate and underlying causes, trends and
common features.

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These indicators are consistent with the development of a ‘positive health and safety culture’. They emphasize
achievement and success rather than merely measuring failure by looking only at accident data. Organisations
may also ‘benchmark’ their performance against other organisations by comparing:
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 Accident rates with those organisations in the same industry, which use similar business
techniques.

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Processes and experience of similar risks.

 Management practices and techniques used within other organisations to provide a different
perspective and new insights on health and safety management within the safety management
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system.
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The Types, Benefits and Limitations of Leading and Lagging

Indicators
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Lagging Indicator
What is a lagging indicator?

Lagging indicators measure a company’s incidents in the form of past accident statistics. Examples include:

IA5 – Pro-active and Reactive Health and Safety Monitoring

 Injury frequency and severity
 OSHA recordable injuries
 Lost workdays
 Worker’s compensation costs

Why Use Lagging Indicators?

Delaying signs are the typical security metrics used to suggest progress toward conformity with safety and
security regulations. These are the fundamental numbers that assess the total effectiveness of safety at your
centre. They tell you how many individuals got harmed and also how severe were the injury.

Monitoring Monitoring
The Drawbacks of Lagging Indicators
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The major downside to only utilizing delayed indications of safety performance is that they only tell you how many
individuals got injured and how severe was the injury. The problem is such indicators do not tell you how well your
company is doing at preventing cases.

The reactionary nature of delayed indicators makes them an inadequate gauge of how well an organisation is
doing in terms of prevention. When managers see a low injury price, they could become obsequious and also put

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safety and security on the base of their to-do checklist, when in fact, countless threat elements are existing in the
workplace that will add to future injuries.

Leading Indicator
What Is a Leading Indicator?

A leading indicator is a measure preceding or indicating a future event used to drive and measure activities
carried out to prevent and control injury. Examples include:
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 Safety training
 Ergonomic opportunities identified and corrected.
 Reduction of MSD risk factors
 Employee perception surveys
 Safety audits

Why Use Leading Indicators?

Leading indicators are focused on future safety performance and continuous improvement. These measures are
proactive in nature and report what employees are doing regularly to prevent injuries.

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Best Practices for Using Leading Indicators

Companies dedicated to safety excellence are shifting their focus to using leading indicators to drive continuous

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

improvement. Lagging indicators measure failure; leading indicators measure performance, and that’s what we’re
after!

According to workplace safety thought leader Aubrey Daniels, leading indicators should:

 Allow you to see small performance improvements.

 Measure the positive: what people are doing versus failing to do.
 Enable frequent feedback to all stakeholders.
 Be credible to performers.
 Be predictive.
 Increase constructive problem solving around safety.
 Make it clear what needs to be done to get better

Track Impact versus Intention

While there is no perfect or “one size fits all” measure for safety, following these criteria will help you track
impactful leading indicators.

Health and Safety Objectives

The Health and Safety objectives of the Targets should be SMART i.e.:
organisation and the commitment to the strategic
management of health and safety is incorporated  Specific
into the health and safety policy document which is
reflected in step 1 of the health and safety  Measurable
management system described in HSG 65,
Successful Health and Safety Management.  Agreed
Using a combination of proactive and reactive
 Realistic
monitoring techniques progress towards the

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objectives of the organisation can be measured
 Time framed
and areas for improvement identified. Objectives
and targets are tools for translating the
Both short and long-term objectives should be set
organisations intention into action, providing a
and prioritised against business needs. Objectives
direction and timescale for driving the organisation
at different levels or within different parts of an
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forward.
organisation should be aligned, so they support the
overall policy objectives. Personal targets can also
If an organisation is not working towards clearly
be agreed with individuals to secure the attainment
defined targets and objectives, there is no way of
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of objectives.
knowing whether it is making progress in health
and safety performance.
Therefore, if one wants to determine whether an
objective is effective (as opposed to whether it is
An objective is a general goal – an unquantified
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suitable or adequate) one needs to evaluate whether

statement of intention. A target allocates detailed
the desired results are being accomplished. It is not
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performance requirements, and functions as a route

marker on the way to achieving an objective. sufficient to focus simply on whether there are
objectives (i.e., “paperwork”) in place.

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Health and Safety Arrangements

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

The arrangements should take into account the measuring and monitoring procedures, which again are
made up of both proactive and reactive systems for checking progress against targets and also
performance over time.

The ‘Arrangement’ section of the safety policy is not limited to procedures to control or prevent a loss, but
also to record, report, monitor and assure that Health and Safety is managed. It essentially would include

IA5 – Pro-active and Reactive Health and Safety Monitoring

topics such as:

 Incident/Accident Reporting
 Emergency Preparedness/Fire Precautions
 Training and Competency development
 Third Party Control arrangements
 Control Measures including administrative arrangements like PTW.

Health and Safety Control Measures

Monitoring Monitoring
The need for control measures in the workplace stems from the need to minimise risks to the organisation by
controlling the potential for loss. Whether or not control measures are suitable and sufficient is a question of fact
that can only be judged based on monitoring and measuring techniques, which again will include a combination of
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both reactive and proactive systems.

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Review of Current Management System

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The performance measurement system reveals

whether the particular management arrangement
Review of Current

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

(e.g., the accident investigation system), or risk
control system (e.g., the system to control Management System
contractors) has the capability to deliver the
required outcome and is fit for purpose. Performance standards are needed to identify the
contribution that people make to operate the health
No matter how well the management and safety management system.
arrangements and risk control systems are
designed, they can never deliver the desired Standards for people at all levels are needed to
outcome if they are not implemented or complied ensure:
with. Performance measurement will provide
information to determine the level of compliance  The effective design, development and
with the management arrangements and risk installation of the health and safety
control systems. management system.

Effectiveness of the control measures can be  The consistent implementation and

reviewed systematically by a supervisor who could improvement of the health and safety
do pre-work/daily assessments; the section management system, i.e., the management
manager could carry out a formal monthly review; arrangements. Risk Control Systems and
a quarterly review by the department manager Workplace Precautions, and positive
and an annual management review by the rewards can be provided for individuals in
management representative. recognition of the effort put into accident and
ill-health prevention.
Performance standards are the foundation for a
positive health and safety culture.

Recommendations for Review of Current Health and Safety

Management Systems
The organisation’s OHS performance, the strategies that have been implemented to improve its performance and
the effectiveness and relevance of the measures selected need to be periodically monitored and reviewed. As part
of continuous improvement, appropriate measures should be taken to address any issues identified during this
review.

A review of OHS management systems should be conducted after analysing performance measurement and
recommendations should be generated to improve the system. Reviewing and improving the management system
is essential, and senior management should be involved in the review process. The continuing review of the
system leads naturally to the continual improvement of the occupational health and safety management system.

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Performance measurement may also trigger a safety audit. Auditing is a structured approach to evaluating the
OHSMS. An audit may be conducted internally or externally which compliments performance monitoring activities
by looking to see if the safety and health management systems are achieving the right results. Organisations
should combine the results from measuring performance with information from audits to improve the
organisation’s overall approach to safety and health management.
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The review process may also occur, based on audit reports or after an investigation into an incident or due to
changed or new legislative requirements.
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The review should consider:

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 The health and safety policy,

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 The objectives and targets,

 The adequacy of resources,
 Any results from audits,
 Investigations, and
 Any changed conditions that are impacting the workplace.

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The information obtained should be evaluated. It should identify where targets and objectives are not being met.
Corrective actions and improvements to the system should then be implemented. This process is often referred to
as ‘continuous improvement’.
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

The Benefits of Measuring What Goes Right

It gives organisations information about:

IA5 – Pro-active and Reactive Health and Safety Monitoring

 Where you are relative to where you want to be
 What progress is necessary and reasonable in the
circumstances
 How that progress might be achieved against particular
restraints (e.g., resources or time)
 The way progress might be achieved
 Priorities and effective use of resource
 Providing feedback and motivation
 Providing a basis for continual improvement

Monitoring Monitoring
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Health and Safety Monitoring

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Health and safety performance should be monitored at all levels of the organisation from day-to-day monitoring
by line managers and supervisors to periodic audits of management systems.

There are two forms of monitoring:

 Reactive monitoring which monitors accidents, ill-health and incidents

 Active monitoring which measures the effectiveness of management systems, the extent of compliance
with standards and the achievement of plans
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Objectives of Active (Proactive) Monitoring

The measurement process can gather information through:

 Direct observation of conditions and of people’s behaviour (sometimes referred to as unsafe acts and
unsafe conditions monitoring)
 Talking to people to elicit facts and their experiences as well as gauging their views and opinions.
 Examining written reports, documents, and records.

These information sources can be used independently or in combination. Direct observation includes
inspection activities and the monitoring of the work environment (e.g., temperature, dust levels, solvent levels,
and noise levels) and people’s behaviour. Each Risk Control System (RCS) should have a built-in monitoring
element that will define the frequency of monitoring; these can be combined to form a common inspection
system.

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Objectives of Reactive Monitoring

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Failures in risk control also need to be measured (reactive monitoring), to provide opportunities to check performance
learn from failures and improve the health and safety management system. Reactive monitoring arrangements
include systems to identify and report:

 Injuries and work-related ill health

 Other losses such as damage to property
 Incidents, including those with the potential to cause injury, ill-health or loss (near misses)
 Hazards and faults
 Weaknesses or omissions in performance standards and systems, including complaints from
employees and enforcement action by the authorities.

Distinction Between, and Applicability of, Performance

Measures

Reactive Monitoring
The term reactive monitoring stems from looking at events that have passed, arguably monitoring failure. By
counting the number of unwanted events such as accidents or incidents (near misses), the safety practitioner can
monitor the organisations’ performance over a period of time in comparison with similar performance data for
different periods. By examining trends in data, the performance over a period can be consistently compared
against similar data using the data analysis techniques described earlier.

Accident Statistics
Traditionally the main (sometimes the only) way of monitoring health and safety performance was to analyse data
on unwanted events such as accidents or incidents and to present the information in the form of statistics.
Several fairly standard formats exist.

Incidence Rate
The average number of accidents per employee (in a given period). The accident incident rate is a measure of:

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Number of defined accidents x 1000
Average number employed

Usually, only accidents that are reportable under RIDDOR are included. Some organisations include all ‘lost time’
accidents but ‘lost time’ can be defined as more than a day, more than an hour, etc. therefore, consistency of
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information is important.

Standard Industry Classifications (SICs) are published each year in the UK by the Health and Safety Commission
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(HSC) in its annual report. This quotes the incidence rate for main industry groups. A multiplier of 100,000 is
used.
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Frequency Rate
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The average number of hours worked per accident.

In organisations where many employees do not work standard hours (i.e., many part-time employees) relating
accidents to the number of people employed does not provide a consistent unit of measurement. In these cases,
the total number of hours worked during a period is more relevant.

Number of defined accidents in period

x 100,000
Total person hours worked in period

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Severity Rate
Severity rate is the number of days lost in a period per 1,000 person hours worked
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Total number of days lost in a period

x 1000
Total person hours worked in a period

In reality, the number of accidents in a period can be more of a measure of the effectiveness of the reporting
system than of safety performance. A large number of minor accidents might be of less concern than a smaller

IA5 – Pro-active and Reactive Health and Safety Monitoring

number of serious ones. One measure of the seriousness of an accident is the length of the absence resulting
from it.

Some Problems with Accident, Injury/Ill-Health Statistics

 Under-reporting
 Whether a particular event results in an injury is often a matter of chance, so it will not necessarily
reflect whether or not a hazard is under control.
 There is evidence to show there is not necessarily a relationship between ‘occupational’ injury
statistics (e.g., slips, trip and falls) and control of major accident hazards (e.g., loss of containment of
flammable or toxic material).
 A low injury rate can lead to complacency.

Monitoring Monitoring
 Injury statistics reflect outcomes, not causes.
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Objective / Subjective
Subjective measures are those measures that rely on the assessor’s judgement in terms of the level of

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compliance or suitability of the measure to meet the criteria or objectives specified by the organisation. An
objective measure is a question of fact not a question of judgement therefore the assessor’s opinion is not taken
into account since the measure is either present or not.

Advantages and Disadvantages of Objective measures

Advantages Disadvantages

Utilizes measures that have been collected by the

Does not identify new measures for collection
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organisation
It may not be suitable to capture the quality of
Analysis is relatively straightforward
the safety system in place

Advantages and Disadvantages of Subjective measures

Advantages Disadvantages
May give rise to new measures that were not The responses require conversion to measures
previously collected. suitable for inclusion in a Continual Improvement
Program
Can be identified even though the organisation has They are subjective which makes them difficult to
not collected any measures quantify

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Qualitative/Quantitative

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

A qualitative measure is usually a description of terms that are found by the assessor and are not able to be
portrayed in numerical data for comparison or analysis. Quantitative data is data that is outside of the scope of the
description of the assessor and can be communicated using quantities or numerical data which can be used for
comparison and displayed in many different formats.

Quantitative / Objective

The term quantitative refers to a type of information based in quantities or else quantifiable data (objective
properties) - as opposed to qualitative information which deals with apparent qualities (subjective properties). It
may also refer to:

 Quantitative property, a measurable property such as distance, mass, or time

 Quantitative research, scientific investigation of quantitative properties
 Statistics, also known as quantitative analysis
 Numerical data, also known as quantitative data.

Qualitative / Subjective

The word qualitative refers to descriptions or distinctions based on some quality or characteristic rather than on
some quantity or measured value.
It can be a form of analysis that yields the identity of a compound. It may also refer to:

 Qualitative research, featuring a high degree of subjectivity.

 Qualitative data, data that is not quantified.

Qualitative research is a method of inquiry employed in many different academic disciplines, traditionally in the
social sciences, but also in market research and further contexts.

Qualitative researchers aim to gather an in‐depth understanding of human behaviour and the reasons that
govern such behaviour.

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The qualitative method investigates the why and how of decision-making, not just what, where, when. Hence,
smaller but focused samples are more often needed, rather than large samples.

Qualitative methods produce information only on the particular cases studied, and any more general conclusions
are only hypotheses (informative guesses).
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Proactive Monitoring
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Proactive monitoring is the term given to monitoring methodologies for examining performance in comparison
against a standard of performance that is expected or set in the organisational goals over a period of time.
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Proactive monitoring then looks forward towards attaining specified objectives rather than looking backward in
time at previous performance against objectives.
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It is advantageous for an organisation to employ both proactive and reactive performance measures so that the
organisation has a holistic view of the organisational performance.

It should be noted however that whilst data can be gathered reactively through accident investigation and
subsequent statistical analysis new objectives for the organisation can be set based on the performance history of
an organisation over time. It could be argued that the setting of objectives and subsequent monitoring of
progress towards those objectives is proactive performance measurement, although there must be an element of
reactive monitoring to gather this statistical evidence to set the objectives initially.

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Reactive and Active (Proactive) Monitoring

Table 1: Monitoring Systems

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Reactive Monitoring Techniques Active (proactive) Monitoring

Accident Statistics Inspections

IA5 – Pro-active and Reactive Health and Safety Monitoring

 Data based on past failures.
 Intended to reveal hazards that are not
 Historical may not reveal current or future controlled to a standard.
problems.  Done before there is an accident.
 Data may be inaccurate.  Reveal visible non-compliance with
standards.
 Can reveal trends.
 Can be largely reactive if they lead to 'fixes'
 Useful for prioritising rather than corrective action.
 Under reporting can be misleading  Relies heavily on visible evidence only.

 Zero accidents do not necessarily indicate

low risk.
Sampling

Monitoring Monitoring
Accident Investigation
 Attempt to provide a method of comparison

MoMoMonitoring

Many of the limitations as for statistics, to show improvement (or otherwise).

thorough investigations can reveal  Sample only, not thorough.
underlying problems.
 Takes little time.
 Thoroughness tends to depend on severity  Can be used to involve employees.
of injury not potential.

Mo
Tours

 Intended to provide a general impression.

 Not detailed

Surveys
 Focus on specific topics can be thorough.
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Audits
 Tests the existence, adequacy and use of
safety management systems - very
proactive

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Data Sources for Work-Related Ill-Health

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

There is no single comprehensive source of information for occupational and work-related disease statistics.
The statistical picture must be pieced together from different sources such as:

ILO Safe-work website:

http://www.ilo.org/public/english/protection/safework/accidis/index.htm has estimates by region of accident

and ill-health data.

Many National Governments and Labour Organisations compile statistics on Accident and Ill-Health as well
as various epidemiological studies which are conducted worldwide with results that are published to medical
experts in the first instance.

Household surveys, such as the 2001 Labour Force Survey ‘trailer’ yield estimates of the number of people
who say that they have conditions which they believe have been caused or made worse by work. Such
surveys obviously depend on perceptions of medical matters, but such perceptions are of some interest in
their own right, and responses can be validated in various ways who report conditions.

The IIDB Scheme (Ill-health assessment for industrial injuries disablement benefit) administered by the
Benefits Agency for the Department of Social Security (DSS) gives compensation for permanent disability
from specified ‘prescribed diseases’ which are conditions whose occupational cause is well established.
Some kinds of occupational ill-health are not covered by this scheme while others are seriously under
reported.

Most prescribed diseases are also reportable under RIDDOR, provided the affected employee’s current job
includes the work activity specifically associated with the disease, and provided the employer receives a
written diagnosis from a doctor. As with injuries there is substantial under reporting of ill-health under
RIDDOR.

Presenting and Communicating Findings

Textual and Graphical Reporting Techniques

The information collated by the organisation must be analysed and communicated to relevant persons to be
of any benefit. There are several ways of analysing the information and presenting the data for best effect,
e.g., table, charts and graphs.

Depending on the nature and complexity of the information to be communicated then the data can be
displayed pictorially by way of histograms, line graphs, etc, to make identification of trends or other

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movements obvious. If a more detailed analysis is required then the information may have to be presented by
way of numerical tables, which for most people makes identifying trends more difficult than a pictorial
representation.

The safety practitioner must be aware of the various presentation techniques since they are likely to be
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presented with a range of statistical information in various forms throughout their working life. The safety
practitioner must be able to see through the façade of presented data and look at the source of the
information to ensure that the data is valid and useful.
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ID1.5 – Pro-active and Reactive Health and Safety Monitoring

IA5 – Pro-active and Reactive Health and Safety Monitoring

Monitoring and Measuring Techniques
The range of measures available to evaluate the health and safety performance of an organisation and how these
can be utilised to review the effectiveness of the health and safety management system.

Collection and Use of Sickness Absence and Ill-Health Data

Monitoring Monitoring
MoMoMonitoring

The key benefit of collecting and analysing the information related to employee sickness absences are:

• It will help in identifying the patterns of sickness absences.

• Help identify the causal trends for different short/long-terms sickness absences.
• Assist in planning to cover the absent employee.

Mo
• Benchmark the performance of organisation.

Having a robust mechanism to record and monitor the daily sickness absence and analyse it weekly, with help in
taking prompt action to contact the employee who has absented and investigate the causes/reasons, before they
accrue a chronic condition.

Analysis of sickness absence records will help in revealing the illness/injury patterns caused by work, or made
worse, for example:

• Correlate a particular health effect (MSDs) to employees who are carrying out a specific task.
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• Occupational stress in a particular job/department, where employees have minimal control over their
work.

If the employer can intervene and take early action, it would increase the chance for the employees to return after
falling sick.

When having a formal recording system to manage sickness absence, the following information is required:

• Name and contact details

• Date of absence (first day)
• Reason for absence
• Work-related injury/illness, or not?

After collection of this information, the total number of days absent could be compiled and updated; the date when
the employee was interviewed/contacted and the outcome of it should be recorded. The assistance of the
Occupational Health department could be sought to estimate the expected length of absence and likely date for
return to work.

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Role and Purpose and Key Elements of Measurement

Techniques

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Workplace Inspections
The main purpose of a safety inspection is to identify those hazards that are not controlled to a suitable standard
e.g., as specified in the law or within risk assessments.

The inspection is a formal, organised, and structured examination of the physical working environment including
work equipment. Inspections may be carried out by any number of suitably qualified (competent) personnel, or a
combination of people.

The safety officer/advisor may inspect to compare against standards or legal compliance or members of the
safety committees may inspect to ascertain conditions pertinent to committee business. Similarly, trade union-
appointed safety representatives have the right to conduct inspections of the workplace following a period of
notice (3 months) in writing to the employer. A safety representative may wish to inspect to investigate complaints
made by union members or to establish compliance with specified standards.

The enforcement agencies (HSE and Local Authority) will conduct inspections usually unannounced to determine
compliance with legal standards, accident investigation, or investigation of complaints.

Where statutory engineering inspections of cranes, hoists, lifting tackle, pressure vessels, etc. are required then
competent persons may be appointed to carry out the relevant inspection, see Unit C.

In their most basic form, (a general workplace inspection) inspections involve the identification of obviously visible
hazards with the objective of eliminating or controlling the hazards that have been identified.

Limitations of Inspections
Many hazards cannot be eliminated so it is necessary to decide whether or not they are adequately controlled or
controlled in accordance with prescribed standards as well as the systems of work in operation.

In many cases eliminating the hazard may be dealing with the symptoms rather than the cause.

It may be necessary to investigate more thoroughly to find out how the hazard arose so that similar hazards can
be prevented from arising in the future.

These problems can only be overcome if the inspections are carried out by people who are trained and
competent (have the necessary knowledge, ability, training and experience) to do so.

Carrying Out a General Workplace Inspection

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The inspection should be planned and structured to ensure that maximum benefit is gained from the process,
when carrying out inspections in a workplace preparation is vital:

Before the inspection:

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All inspections should be recorded to ensure that a record of

observed strengths and weaknesses is maintained. This will
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allow the organisation to monitor its progress over time.

Examination of the previous inspection records is therefore
an important element in preparing for the inspection.
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Where the purpose of the inspection is to compare

performance within the workplace with standards, either
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those which are set internally or legal standards then the

inspector should take the time to familiarise themselves with
the standards prior to conducting the inspection.

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After the inspection:

Simply identifying hazards and listing them is unlikely to improve safety so inspection must lead to corrective
action. Following an inspection, it is essential to identify actions to eliminate or control the hazards and also
to prevent them from occurring.
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

It is useful when making recommendations for improvement to prioritise the actions to be taken and set clear
responsibilities and dates for action with provision for review of the actions at an appropriate point.

General workplace inspections, whilst providing valuable information for the safety practitioner and the
organisation have three major limitations:

IA5 – Pro-active and Reactive Health and Safety Monitoring

 Some hazards are not visible, e.g., psychological stress, poor process design.
 Some hazards are not always present, e.g., intermittent mechanical faults, overflowing or leaking
vessels, hazards that may occur in certain circumstances.
 Unsafe practices (i.e., people behaving in a manner, which may expose them to a hazard) are just
as important as hazards.

It is necessary therefore to supplement inspections with other methods. These limitations can be overcome
using techniques such as:

Safety Sampling

Monitoring Monitoring
This is a random sampling exercise in which observers follow a pre-determined route usually at normal
walking pace and note any omissions or non-compliances. The number of non-compliances, etc. is counted
MoMoMonitoring

to provide a score of the overall effectiveness of the safety performance. The technique has little scientific
validity (the observer’s attentiveness is sure to vary) but has the advantage of raising the profile of the safety
improvement effort.

Safety Tours

Mo
A safety tour is an unscheduled (usually) examination of the workplace to assess whether or not acceptable
standards of housekeeping, safe access, fire precautions etc. are being maintained. Some hazards may be
identified but a tour gives a general impression rather than a thorough analysis of hazards.

Following the safety tour, a written observation sheet of identified Health and Safety failings or Health and
Safety concerns can be used to set further objectives or further goals regarding either sampling survey or
audit requirements in order to further the organisational performance in safety.

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

 The workplace (floors, walls, roofs, access/egress)

 Work equipment (guarding, condition, and suitability)
 Personal protective equipment (suitability, use, storage)
 Fire precautions (alarms, extinguishers, escape routes, signs)
 Ergonomics (workstation layouts, manual handling)
 Materials (proper storage and handling, hazardous and flammable substances)

This list is by no means exhaustive.

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During the inspection:

The person conducting the inspection should ensure that comprehensive notes are made of any suspected

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

breaches of law or other standards. Similarly, where inadequately controlled hazards are identified a suitable
record should be made and the hazard dealt with as appropriate.

The inspection is about monitoring the standards as much as identifying problems so the inspector should be
mindful of recording improvements following any previous inspections.

The record should be as comprehensive as possible and include all the relevant areas such as storage areas
as well as work areas. There is no point in recording trivia at the expense of genuine hazards or areas for
improvement.

Safety Surveys NEBOSHNEBOSH

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As with building surveys a safety survey is normally carried out by a specialist who will either be focusing on
specific topics (e.g., a survey of fire precautions) or will be asked to report on the main strengths and
weaknesses. Detailed reports are normally produced as a result of surveys. Similarly, the detailed report as a
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result of the survey can be used to specify particular objectives against which further organisational
performance can be measured.
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Health and Safety Audits

In 1991 the UK Health and Safety Executive publication HSG 65 stated:
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

“In addition to routine monitoring of occupational health and safety performance, there will be a need for
periodic audits that enable a deeper and more critical appraisal of all the elements of the OH&S management
system”.

Audits should be conducted by persons who are competent and independent from the activity that is being
audited but may be drawn from the organisation. At different times and for different reasons, audits will need
to cover the following questions:

IA5 – Pro-active and Reactive Health and Safety Monitoring

 Is the organisation’s overall OH&S management system capable of achieving the required standards
of OH&S performance?
 Is the organisation fulfilling all its obligations with regard to OH&S?
 What are the strengths and weaknesses of the OH&S management system?
 Is the organisation (or part of it) actually doing and achieving what it claims to do?

This definition is very similar to subsequent definitions contained within the British Standards BS 8800.

In April 1999 British Standards published OHSAS 18001, Occupational Health and Safety Management
Systems – Specification. This standard did not replace BS 8800. It has been published, by the quality
assurance commercial body of the BSI the Product Approval Specification (PAS), and not by the standards
making body.

Monitoring Monitoring
OHSAS 18001 is a certifiable standard but not an accredited standard.
MoMoMonitoring

BS 8800 is neither certifiable nor accredited (BSI 1999)

OHSAS 18001 management standard states the requirements of an audit component as follows:

“The organisation shall establish and maintain and audit programme and procedures for periodic

Mo
occupational health and safety management system audits to be carried out in order to determine whether or
not occupational health and safety management systems:

• Conform to planned arrangements for occupational health and safety management including
requirements of this occupational health and safety management system specification.
• Has been properly implemented and maintained; and is effective in meeting the organisation’s
policy and objectives.
• Reviewed results of previous audits.
• Provide information results audit to management.
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The audit programme, including a schedule, shall be based on the results of risk assessment of the
organisation’s activities and results of previous audits. The audit procedures shall cover scope, frequency,
methodology and competence as well as the responsibilities and requirements for conducting the audits and
reporting results. Wherever possible, audits shall be conducted by personnel independent of those having
direct responsibility for the activity being examined”.

The key difference in the development of health and

safety audits in support of a health and safety
management scheme is that whilst they may be
certificated such as OHSAS 18001, they are not
accredited schemes like the environmental or quality
management scheme audits. Therefore, the issue of
auditors’ reproducibility, without accreditation, remains
an issue.

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Audit questions are often worded so that a ‘yes’ answer scores points. There is usually a provision for
qualified answers (if for example the exits are marked but are not all kept clear).

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Evidence is gathered from people (interviews), the workplace (a tour) and documents (an examination of
records of training, inspection / test maintenance, etc.). A thorough audit is very detailed but could be
described as “a full examination of the systems of management to ensure that they exist, are adequate and
used in practice”.

The existence of a safety management system or detail of safety management system is a question of fact.
Whether or not the detail contained within the management system or system of work is adequate is a
question of judgement. The auditor must have the necessary competence (i.e., knowledge, ability, training
and experience) to make the judgement on the adequacy of the management system in question. Finally, as
to whether the management system or system of work under review is used again is a question of fact, which
can be monitored over a period of time.

Interviews of personnel within the organisation may be horizontally sliced or vertically sliced to get the views
from a range of different levels within the organisation. It may well be the case that the view of a group of
managers will be that the system of work is put in place and carried out whereas below the management
level the experience of the workers may be that the system of work is comprehensive and while documented
it is not actually put into practice because it is cumbersome to do so or hinders the actual activity taking
place.

Reasons for Audit

The evaluation of the system effectiveness is considered to be a powerful management tool for quality
improvement. In fact, many authors argue that one of the primary purposes of audits is continuous
improvement (Burr 1997, Hunt 1999, Willborn and Cheng 1994, Russell 1997, Russell and Regel 1996 and
Walker 1998).

Ramsey observed that without an effective audit, all control systems tend to deteriorate over time or to
become obsolete as a result of change. Ramsey further observed that in reality some drift often occurs, and
perhaps standards are not maintained, or some unnoticed changes occur. An effective method of preventing
this identified ‘drift’ in control of standards is by regular audit.

An effective audit will identify such drift at an early stage and allow corrective action in good time. An
additional benefit is one of continuous improvement. (Ramsey, 1998).

Independence
It is important to demonstrate the independence of an audit. To achieve this, the management system such
as ISO 14000 is part of an accreditation scheme. Audit bodies subject to these accreditation schemes must
submit themselves for accreditation to an appropriate national or international accreditation body. These

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main accreditation bodies include:

 United Kingdom Accreditation Service

 The European Co-Operation for Accreditation

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 International Agreements on Accreditation

Reliability of Audit
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Karaptrovic and Wilborn (1999) identified that in performing auditing activities, the auditors must objectively
and independently collect and verify audit evidence. Objectivity and independence were identified as two
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separate, yet interrelated, fundamental principles of auditing. They identify that objectivity relates to the
consistency of the auditing process and results, materiality of evidence, the use of appropriate methodology,
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the application of a systematic approach to auditing, as well as being free from bias are also important
aspects. Consistency means that two auditors auditing the same system against identical criteria should
come up with similar conclusions.

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Comparison of Environmental and Health and Safety Audits

Environmental and health and safety audits share common features in that both audits require assessment of
compliance against standards which are often legal, as opposed to quality which is against internal or
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

customer requirements.

Whatever audit protocol is used, the underlying purpose of examining, by an independent function, using a
systematic and documented verification approach of objectively obtaining and evaluating audit evidence to
determine whether an organisation’s management system conforms to the management system audit
criteria; and communicating the results of this process to the client remains an effective way of achieving
both compliance to standard and continuous improvement.

IA5 – Pro-active and Reactive Health and Safety Monitoring

Integration of Occupational Health, Safety and Environmental Auditing
Although there are certified schemes for auditing health and safety and environment there is no existing
accredited uniform health and safety and environmental audit protocol. The need for a mechanism to conduct
an integrated audit has been identified as one of the primary means to ’drive forward’ an integrated system.
Without workable integrated mechanisms, it is unlikely that the benefits of integration will be achieved.

The practical difficulties in implementing an integrated audit have been identified previously. For example,
Gates Rubber Company within the UK introduced an integrated approach using BS8800 and ISO 14000 and
identified that:

“One of the core problems experienced by the non-safety or environmental professional during an integral
audit was the blurring of the environmental and OHS boundaries – when did environment issues finish and

Monitoring Monitoring
safety starts? When does an environmental issue become a safety issue?” (Baird 2000)
MoMoMonitoring

Whilst there are methods for determining audits for both environmental and health and safety risks, it will be
necessary to develop an integral method, which will be able to undertake both environmental and health and
safety audits and then balance the non-conformances identified from each element of the audit. Not only
such an integrated method will have to be developed but also there will need to be developed a means of
prioritising the outcomes of the audit process.

Mo
A comprehensive system of measuring the monitoring performance will contain a range of objective,
subjective, qualitative, and quantitative measures to provide a holistic view as to the organisational
performance over a period.

ISO 45001 Requirement for Audit

OH&S management system auditing is a process whereby organisations can review and continuously
evaluate the effectiveness of their OH&S management system. In general, OH&S management system audit
need to consider OH&S policy and procedures, and the conditions and practices in the workplace.
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Developing an Audit System

To ensure the success of a health and safety audit it is important to gain the support and commitment from

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

senior managers and from the key parties involved for them to provide time and information.

Key steps of the audit process include planning, interviewing and verification, providing immediate feedback,
report writing, communicating the findings and follow up actions.

In the planning phase the type of audit should be established, e.g., vertical or horizontal slice, comprehensive
or selected and the audit personnel chosen, either individual or team auditors, local or independent auditors.
The provision of audit protocol and audit skill training may be necessary.

Audit questionnaires and scoring systems may need to be developed or it may be decided to purchase / use
proprietary audits, e.g., HASTAM or CHASE, etc. The number of questions will depend upon the complexity
and level risk in the organisation. Different questions may need to be developed for senior managers,
managers and workers. The scoring system may require weighting to reflect levels of risk and compliance
with legislation and internal / external standards.

Prior to undertaking a full audit, it is beneficial to communicate the purpose and implications of the new audit
process and to undertake a pilot audit so that the effectiveness of the audit programme can be evaluated and
revised if necessary.

An internal OH&S management system audit programme should be established to allow the organisation to
review its own conformity of its OH&S management system. Planned OH&S management system audits
should be carried out by personnel selected by the organisation, to establish the degree of conformity to the
documented OH&S procedures, and to assess whether or not the system is effective in meeting the OH&S
objectives of the organisation. In either case, the personnel conducting the OH&S management system
audits should be in a position to do so impartially and objectively.

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Leading/Proactive Measures Trailing/Reactive Measures

Analysis of the safety management system Analysis of injury statistics
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Root cause accident investigation Injury investigation

Focus on overall system improvement Focus on the absence of injuries
Training = safety performance improvement Training = compliance with rules

IA5 – Pro-active and Reactive Health and Safety Monitoring

Worker recognized for safety performance Worker reprimanded for accident

Role of In-house Health and Safety Professionals in Audits

The key function of OHS Professional is to provide advice to all levels of management in effectively analysing
risks and implementing appropriate levels of controls. Organisations use their OHS department to primarily
monitor the performance of Health and Safety.

While carrying out safety inspections would be a responsibility of all levels of management in an organisation,
health and safety professional would be primarily involved in planning and carrying out performance reviews
through internal and external audit systems. They would also be involved in making sure that a robust internal
audit system and competent auditors are available to perform health and safety audits.

Monitoring Monitoring
Apart from developing OHS performance matrices and targets with active consultation of management,
MoMoMonitoring

professionals would be involved in developing monitoring programs and an inspection/audit plan (internal and
external).

The following would be the key functions of an OHS professional during an external audit:

Mo
1. Preparing audit plan/schedule
2. Selection of a third-party auditor/company.
3. Setting objectives of audits
4. Preparing for audit, with respect to internal communication and agreement on schedule, documentation,
and availability of key personnel.
5. Facilitate the exchange of information with external auditors.
6. Assist and coordinate with auditors in performing audits.
7. Receive information/observations and non-compliance reports from auditors.
8. Communicate the key findings to management.
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9. Assist management in implementing corrective and preventive actions.

10. Post audit follow-up and audit close-out report.
11. Maintain records of audits and present information to the management/board.
12. Review the performance of auditors as well as the company.

Safety Conversations
Safety conversations supply the opportunity to respond to non-compliant behaviour in an effective however non-
confrontational way. The discussion is used to provide feedback, describe a safer alternative, listen to the
response and close the discussion in an efficient way. For discussions to be effective, the instigator requires to
listen diligently and emphasize any favourable actions that have been observed. By drawing out

reactions from the other person and getting them to describe in their own words what they ought to be doing to
keep safe, it is more likely that the feedback will be taken favourably. The focus needs to be on future methods of
improving safety, with a verbal dedication to take on board those ideas.

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Behavioural Observations
Behavioural observations are used in Behavioural Modification Program to improve individual behaviour. The

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

crucial principle is to favourably enhance the desired behaviour and deter or perhaps punish the undesirable
behaviour. The very first action is to recognise the desired behaviour, which needs to be specific, observable, and
easily measured. Frequently, simply observing behaviour can in itself lead to a positive improvement in the
behaviour, but this is usually just a short‐lived effect. Feedback has to be offered extremely quickly after the
safe/unsafe act so that the safe behaviour is reinforced, not just to the specific however to all those influenced so
that they appreciate the impact of the program.

Health and Safety Benchmarking

In its original meaning, a benchmark is a reference point used in surveying. From this, benchmarking came to
mean comparing with a ‘standard’. More recently, benchmarking has developed into a business improvement tool.
It can be applied to any area of an organisation’s work, including health and safety management.

Benchmarking is not just about comparing data or copying the competitors, it is more about continuously learning
from others, learning more about your organisation’s strengths and weaknesses in the process, and then acting
on the lessons learned. This is what leads to real improvement.

Benchmarking should not be viewed as a means to an end, not an end in itself, as some organisations aim for
business excellence and want to be seen as ‘best’ or at least better than average.

Health and safety benchmarking is a five-step cycle aimed at ensuring continuous improvement:

[ Step 1: Decide What to Benchmark

Benchmarking can be applied to any aspect of health and safety, but it makes sense to prioritise. High hazard and
risk topics are sensible places to start as these are areas where most harm could be done.

Consider looking at the findings of risk assessment, accidents and ill-health patterns in the organisation or
industry may also indicate priorities, especially if any common causes can be identified.

Consider both health and safety processes and performance indicators and benchmark both.

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Performance data, e.g., accident and ill-health statistics, percentage of risk assessments completed indicating
where priorities may be.

Process benchmarking allows real improvement to be made by considering what goes on and how it could be
done better, these may be at the workplace level (e.g., how a particular hazard is controlled) or management level
(e.g., how incidents are investigated, risk assessments are carried out).
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[ Step 2: Analyse Where You Are

Identify the starting position - is the organisation meeting health and safety law or relevant codes of practice in the
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

chosen topic?

Consider how to measure where the organisation is now and where it wants to be. This will help in the
measurement of improvements from benchmarking. Quantitative or qualitative measures based on data can be
used, e.g., the percentage of managers who have completed health and safety training or the perceptions on the
quality of the management training. Comparison of audit system results (sometimes these are ‘scores’) can often
be used as a measure, providing they are of similar type and content.

IA5 – Pro-active and Reactive Health and Safety Monitoring

[ Step 3: Select Partners
Large organisations can find partners both within the organisation (internal benchmarking) and outside (external
benchmarking). Smaller organisations will probably need to look outside, as they are unlikely to have a wide
range of potential partners to choose from inside their firms.

Table 2: Advantages and Disadvantages of Internal and External Benchmarking

Monitoring Monitoring
Advantages and Disadvantages
of Internal and External Benchmarking
MoMoMonitoring

Advantages Disadvantages
Internal

Easier to get at information and therefore Does not identify overall best practice.

Mo
cheaper. Can be 'blinkered'.
Improves consistency within a firm.
Can help improve communication and
information sharing.
Easier to get management commitment.
Good practice of technique before looking for
outside contact.
External
With competitors
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Easy to identify potential partners. Care needed with competition law.

Can help your competitive edge. Some potential partners may be resistant.
Use as a marketing feature if you are the
'benchmark.'
Within the same Industry

Quite easy to identify potential partners.

Often links already exist with potential partners.
Share issues and concerns.

Different Industry

Potential for really innovative ideas. Can be difficult to identify potential partners.
No competitor problems.

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[Step 4: Working with Partner

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

With the right planning and preparation, this stage should be relatively straightforward.

Guidelines suggested by the HSE:

 Be realistic – don’t try to do too much in one go.

 When exchanging information make sure it is comparable
 Respect partners – remember confidentiality and keep to agreed topics.
 Keep to timescales and send a message of thanks.

[ Step 5: Learning and acting on lessons learned.

Devise an action plan, based on the findings and generate SMART objectives (Specific, Measurable, Agreed,
Realistic, and Timescale).

Implement the action plan and regularly review progress with it. If there are problems, it may be useful to
contact partner(s) again to overcome them.

Remember continuous improvement - if standards have moved on, reset the benchmark and start from Step 1
again.

Pointers to Success – Success in Health and Safety

benchmarking requires:
 Senior management resources and commitment
 Employee involvement through their safety representatives at all key stages
 A commitment to an open and participative approach to health and safety
 A willingness to share information with others within and outside the organisation.
 An ability to identify your strengths and weaknesses.

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 To compare data on a meaningful basis
 Proper planning and preparation

Key Points
International

1) Decide what to benchmark.

International

2) Analyse where you are.

3) Select partners.
4) Work with partner.
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5) Learning and acting.

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242

Reviewing Health and Safety Performance

Formal and Informal Reviews of Performance
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Regular reviews of health and safety need to be carried out systematically. Data from independent audits and
monitoring activities is used to help review performance. To help maintain an effective management system
there should always be a drive for continuous improvement.

Organisations would tend to have a combination of formal and informal performance reviews as part of good
safety management practice. Informal reviews are referred as walkthrough and formal as Inspection. Safety

IA5 – Pro-active and Reactive Health and Safety Monitoring

audit is a formal review process whilst safety tour is generally informal. These methods are discussed in the
earlier section of this element.

The purpose of performance review is to analyse data gathered through monitoring techniques and to make
judgments about whether performance is adequate so that risks are being adequately controlled and managed.
The review will then question whether the organisation:

 Achieves health and safety objectives.  Implements information gained to improve the
 Implements effective risk controls. management system across the whole
organisation.
 Ensures that awareness, training,
communication, and consultation  Meets legal standards.
programmes for employees are effective.  Reduces the risk of accidents and ill- health.
 Learns lessons from management

Monitoring Monitoring
system failures.
MoMoMonitoring

Inputs to a Review Process

During a performance review all the data gathered through different monitoring methods is looked at e.g.

Mo
 Work related ill health data  Claims records
 Past performance reviews  Health surveillance
 Enforcement authority notices  Hazard and operability
studies
 Accident records
 Benchmarking

The review should

Legal and also
goodconsider:
practice developments  Absence and sickness data
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.  Evaluations of compliance  Results of participation and consultation

 Accident and incident data  Quality assurance reports
(including preventative and
corrective actions)  External communications and complaints
 Actions from previous management  Audits
reviews
 Monitoring data, records and reports
 Inspections, surveys, tours and sampling
 Objectives have or have not been met

Once the data has been analysed judgments can be made to determine whether health and safety risks are
being managed and controlled adequately. The review will be able to determine where performance has
improved and where more work is required. Some of the typical questions asked during the review are:

.  Has there been a reduction in  Are the risk controls that are in place effective
accidents? and working?
 Are health and safety objectives being met?  What lessons can be learnt from failures in the
 Are we complying with relevant legal safety management system?
standards?
 Is training for employees effective?

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It is important to regularly review health and safety-related information (risk assessment, safety policy, etc). The
review usually takes place when something has changed (the task, location, etc), there is a change in legislation
or technology, after a near miss or accident and after a reasonable time (usually every year).

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Review Process

The key steps in developing a performance measurement system include:

1. Identify the key processes.

In the case of health and safety, these will be the management arrangements, risk control systems, and
workplace precautions.

2. Analyse the key management arrangements and risk control systems to produce a process map
or flow chart.
If the management arrangements and risk control systems have been designed correctly, it should be
relatively easy to produce a flowchart. It is vitally important to understand how the process operates on the
ground, so it is important to involve those responsible for implementing the process in this activity.

3. Identify the critical measures for each management arrangement and risk control system.

This can be done by considering:

 What outcome do we want? When do we want it?

 How would we know if we achieved the desired outcome?
 What are people expected to do? What do they need to be able to do it? When should they do it?
 What result should it produce?
 How would we know that people are doing what they should be doing?

Again, it is important to include the people involved in implementing the arrangements and systems in deciding what
the critical measures might be.

The measures which are derived should be:

 Accepted by and meaningful to those involved in the activities being measured and those who need
to use the measures; simple/understandable/repeatable/objective.

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 Capable of showing trends.
 Unambiguously defined.
 Cost-effective in terms of data collection.
International

 Timely
 Sensitive; and should
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 Drive appropriate behaviour.

The last point is particularly important because the choice of measures can sometimes promote behaviours that
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conflict with the desired outcomes. For example, rewarding low accident rates (in the absence of other measures of
performance) can lead to under-reporting. Or merely counting the number of safety meetings held by a supervisor can
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lead to the target for the number of safety meetings being achieved but the quality is very poor.

4. Establish baselines for each measure.

Once the individual measures have been established then baseline data needs to be established.

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5. Establish goals or targets for each measure.

Again, this should be done by involving the people who are expected to operate the particular activity rather
than imposing goals or targets on them arbitrarily.
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

6. Assign responsibility for collecting and analysing the data.

It is important to assign responsibility for collecting and analysing the data and to hold people accountable for
this activity.

IA5 – Pro-active and Reactive Health and Safety Monitoring

7. Compare actual performance against target.
The emphasis should be on achievements rather than failures, but it is important to analyse the reasons for
substandard performance if improvements are to be made.

8. Decide on corrective action.

The measurement data should provide information to enable decisions to be made about what corrective action
is required and where and when it is necessary.

9. Review the measures.

The measures derived needs to be reviewed regularly to ensure that they remain appropriate, useful and cost-
effective. There should not be frequent changes of measures because this can lead to confusion.

Monitoring Monitoring
Output from Review Process
MoMoMonitoring

Mo
The Government and the Health and Safety Reporting should include the following information:
Commission believe that companies reporting on
health and safety performance to common
standards will help achieve national health and  The broad context of the company’s health
safety targets. and safety policy
 Significant risks faced by the employees &
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Appropriate health and safety information should others plus strategies and systems in place
be included in reports on company activities and to control them.
performance. This demonstrates to stakeholders
 Health and safety goals. These should
the company’s commitment to effective health
relate to the health and safety policy.
and safety risk management. It also shows that
the company is alert to the need to monitor and  Progress towards achieving health and
improve its health and safety performance. safety goals in the reporting period, and on
health and safety plans for the forthcoming
There is presently no legal requirement for period.
companies to report on their health and safety  Specific developments impacting upon the
performance, though the HSC considers it to be company’s health and safety performance,
good practice. (e.g., the introduction of new working
practices, technological change or
There may be other health and safety employee training and development).
developments that a company may wish to report
 Significant health and safety plans for the
to highlight their contribution to improving health
coming years which build on past
and safety performance.
performance.
As a minimum the annual report should address  Arrangements for consulting employees
key health and safety issues including the and involving safety representatives.
effectiveness of systems for controlling health
and safety risks.

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In addition, the report should provide the

ID1.5 – Pro-active and Reactive Health and Safety Monitoring

following data, on health and safety
performance:

 The number of injuries, illnesses and

dangerous occurrences which should be
reported.

 Brief details of the circumstances of any

fatalities and of the actions taken to
prevent any recurrence.

 The number of other cases of physical

and mental illness, disability or other
health problems that are caused or made
worse by someone’s work first reported
during the period.

 The total number of employee days lost

to all causes of physical and mental
illness including injuries, disability or
other health problems. The number of
days thought to be caused or made
worse by someone’s work should be
identified, as should the main causes of
absence.

 The number of health and safety

enforcement notices served on the
company and information on what the
notices required the company to do.

 The number and nature of convictions for

health and safety offences sustained by
the company, their outcome in terms of
penalty and costs, and what has been
done to prevent a recurrence.

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 The total cost to the company of the
occupational injuries and illnesses
suffered by staff in the reporting period.

Additional information on the outcome of health

International

and safety audits, and on the extent and

effectiveness of health and safety training
provided to staff, may also be useful.
International
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References
ID1.5 – Pro-active and Reactive Health and Safety Monitoring

Reducing Error and Influencing Behaviour, HSG 48, HSE, 2003

The Management of Health and Safety at Work Regulations 1999 Approved Code of Practice and Guidance
L21, HSC, 2000, HMSO

The Health and Safety at Work etc. Act 1974, HMSO

IA5 – Pro-active and Reactive Health and Safety Monitoring

The Cost of Accidents at Work, HSG 96, HSE, 1996

Successful Health and Safety Management HSG 65, HSE, 2003

A Guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995, L73, HSE,
1999
www.ilo.org 2003

www.hse.gov.uk 2003

Accident studies, Heinrich 1931, Bird 1969 and Bird and Loftus 1969.

Reducing error and influencing behaviour, HSG 48, HSE, 1999.

Monitoring Monitoring
International Labour Standards, Occupational Safety and Health Convention, C155, International Labour
Organisation, Geneva, 1981.
MoMoMonitoring

International Labour Standards, Occupational Safety and Health Recommendation R164, International
Labour Organisation, Geneva, 1981.

International Labour Office, Recording and Notification of Occupational Accidents and Diseases an ILO

Mo
Code of Practice, ILO, Geneva, 1996. ISBN 922109451.
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element 6
The Role of the Health and Safety
Professional
On completion of this Element, candidates should be able to:

6.1 Describe the role of the health and safety professional, the essential communication and
negotiation skills needed and how to use financial justifications to aid decision making.
248

Contents Page No

6.1 Role of the Health and Safety Professional 249

Competence/Performance Criteria 251
Need for Health and Safety Professionals to Evaluate Their Practice 252
ID1.6 – Role of the Health and Safety Professional

Evaluate Own Practice/Competence 252

Health and Safety Professional– Mentoring and Supporting 253
Distinction between Leadership and Management 254
Role of Health and Safety Professional on Safety Management System 256
Why Worker’s Information Needs to Be Handled Confidentially 257
Contribution of the Health and Safety Professional in Achieving the Objectives of an Organisation 259
Health and Safety Professional’s Role in Change Management 260
Effective Communication and Negotiation Skills 262
Different Methods of Communication 266
Procedures for Resolving Conflict and Introducing Change 270
Use of Financial Justification 271
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6.1 Role of the Health and Safety

Professional

ID1.6 – Role of the Health and Safety Professional

The Safety Professional

This person may have the title of Safety Director, Manager, Officer, or Adviser. The safety professional's prime
duty is to promote health and safety in the workplace. It is important to realise that the safety professional does
not absorb any of the line management responsibilities for health and safety. But would be engaged in
conceptualizing, planning and developing programs to prevent Health and safety losses to the business
(includes employers, employees, and/or third parties associated).

A common misunderstanding is that a safety adviser or officer is appointed to manage safety, leaving other
managers to get on with their important responsibilities for finance, production, etc. Health and safety is not an
optional extra for managers; it is part of their role, of equal importance to their other duties. This often results in
conflicts within an organization, and effects influencing decision making.

A safety professional must understand what can affect their organisation’s ability to manage its health and
safety responsibilities. The role of a health and safety professional involves activities that will support and drive
positive organisational culture and ensure the provision of resources and accountability to support work health
and safety.

The general role and tasks of the health and safety professional are to:
- Advise
- Guide
- Plan
- Monitor

Role of Safety Professional

By having the role of devising health and safety plans for the whole organization the professional helps
the organization to comply with their duties, and by being available to the employees the professional can
help them to understand and comply with the policy.

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These roles may include:

- Advising managers on compliance requirements and

best practices NEBOSH International
- Developing strategies for managing health and
safety
- Developing policies and procedures
- Carrying out site visits, safety inspections, and
safety audits
- Identifying potential hazards, risks, and control
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measures
- Designing and delivering training courses
- Investigating accidents
- Advising on specialist areas
- Keeping records, including accident statistics

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Knowledge Requirements
Health and safety professionals have a huge role and contribution to make within any organisation about
the development, design, evaluation and maintenance of health and safety management systems.

Their role covers many aspects but two broad primary areas being to:
ID1.6 – Role of the Health and Safety Professional

1. Investigating the efficiency and cost-effectiveness of health and safety management systems
2. Developing and implementing changes to improve the efficiency and cost-effectiveness of health
and safety management systems.

Health and Safety Professionals should to be able to visibly demonstrate that they have knowledge and
adequate understanding of:

 The significance and role of health and safety review systems within any organization
 Health and safety management systems
 The factors and features that are essential for the efficient and cost-effective working of a health
and safety management system.
 Efficacy and cost-effectiveness of a health and safety management system

Principles and Concepts

 How to respond to the needs of others
 Electronic and paper record systems

External Factors Influencing Health and Safety Review Systems

 Statutory requirements and industry best practice on health and safety
 Quality management requirements for documentation

There may be a requirement for Safety professionals to interact with various external agencies/bodies,
which includes:

 Local authorities and Enforcement officers

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 Insurance Companies
 Suppliers
 Civil defence/fire services NEBOSH International Diploma
 Consultants/contractors
 Media/Public

Advice From Other Sources

No one person is likely to have an in-depth knowledge of all aspects of health and safety that will arise in
an organisation. However, good professionals should know their limitations and also potential sources of
professional assistance and advice.

The professional must be empowered to access these other professionals and sources of help when
necessary.

One other source of consultancy that exists to help small businesses and their employees is the voluntary-
based Safety Information Centres (SICs).

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The SICs provide voluntary assistance to small firms on health and safety management issues. The
centres are run by groups affiliated with the Royal Society for the Prevention of Accidents (RoSPA).

These groups function in many different ways such as holding local forums, networking, and co-ordinating
partnerships between employers, educational establishments, local authorities, health and safety
inspectorates, and trade unions.

ID1.6 – Role of the Health and Safety Professional

Potential Conflicts
A conflict of interest is anything that impedes or might be perceived to impede an individual's ability to act
impartially and in the best interest of a client. Here, the ‘client’ may be an organisation or a person.

A conflict of interest can cast doubt on your integrity and also have a damaging effect on the profession as
a whole.

No one can predict a conflict of interest and it may arise anytime. There is increasing recognition that
conflict-of-interest situations that are not properly dealt with can lead to corruption. Organisations need to
remain alert to this possibility.

A conflict of interest may occur where you:

- Are acting for another person with competing interests at the same time.
- Have other obligations or pressures that detract from or affect your relationship with the client.
- Are faced with conflicting duties owed to different clients.

Responsibilities for health and safety are owned by different parties in the workplace and may be
reinforced by the local authorities. The employer has responsibilities for employees and third parties;
individuals, who may be employees or third parties, may also have specified responsibilities, and trade
union representatives or other employee representatives may be granted certain rights. The challenge of
a health and safety professional is to work with all these parties to maximize the health and safety
performance of the organization.

Competence/Performance Criteria

Meaning of the Term ‘Competence’

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Competency is the ability of an individual to perform a job properly. Its use varies widely, which leads to
considerable misunderstanding.
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Some scholars see "competence" as a combination of knowledge, skills, and behaviour used to improve
performance; or as the state or quality of being adequately or well qualified, having the ability to perform a
specific role.

The term competence is often used in an overall sense to describe an accumulation of competencies and
may also be classified as related to levels of proficiency. Training is often an important component of
establishing competency
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Competencies may be classified as:

 Behavioural – Soft Skills

 Managerial – Planning & Controlling Skills
 Technical – Hard Skills

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Need for Health and Safety Professionals to Evaluate Their

Practice

Competence is not attained through qualification alone. The professional should maintain and improve
their competence by participating in Continuing Professional Development (CPD) activities.
ID1.6 – Role of the Health and Safety Professional

Health and safety professionals need to keep up to date with new developments such as changes in the
law and new technical knowledge and developments.

Many professions define CPD as a structured approach to learning to help ensure competence to
practice, taking in knowledge, skills, and practical experience. CPD can involve any related learning
activity, whether formal and structured or informal and self-directed.

CPD scopes are always broad and in general, falls into the following categories:

 Extending technical expertise beyond initial specialization

 Updating or re-training in a new technical field
 Developing an awareness of compliance issues such as health and safety and COSHH
 Development of management and soft skills including finance and accounting, foreign language
capabilities, and critical thinking

To achieve this in practices, Health and Safety Professionals must:

 Identify specific goals and targets based on a specified standard to achieve or based on current
competency and future demand. It could also be based on personal and/or organizational needs
and aspirations.
 Evaluate their performance, through formal and informal means.
 Develop an action plan for implementation.
 Monitor performance against the plan
 Develop and change their practice and evaluate the effectiveness of the developments.
 Anticipate and identify the changes required, which could arise from changes in the best
practices, changes in the national/international legislations, or any changes in the organizations
policies and procedures.

Evaluation of own practice and identifying self-development needs to become the most important
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component in this competency-building process.

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Evaluate Own Practice/Competence
There are different ways in which a health and safety professional could evaluate their professional
practices:

 Classifying aims, objectives, and targets set by themselves, local/national standards and codes
of conduct, the current level of competence, projected future demands, personal ambitions, and
organisational requirements.
 Evaluating efficiency utilizing job outcomes, formal appraisals as well as the sights of customers
as well as co-workers
 Creating as well as checking an individual activity plan
 Trying and also assessing the outcomes of developments to own methods and practices.
 Identifying and reacting to changes in professional practice, national and local systems as well as
organisational policy and procedures
 By benchmarking their method versus that of various other experts and also versus excellent
case studies.

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Identifying Self-Development Needs

Performance criteria must be identified by the health and safety professionals, through:

ID1.6 – Role of the Health and Safety Professional

 Setting and prioritizing SMART foals and targets for their development
 Selecting the goals and targets based on the accurate assessment of all the relevant information
relating to their work and achievement, including developments in professional practice and related
areas.
 Develop a personal improvement action plan and regularly review.
 Trial and practice of their development initiatives without causing any problems to others.
 Evaluate the developments in their practice and ensure continuous improvement in self-development.

Some practical measures by which Health and safety professionals can develop their competence include:
 Joining CPD (IOSH or other) systems
 Educate relevant individuals and use appropriate systems to report and address factors that impact
negatively on own practice
 Share knowledge, skills, and enhancements to practice with colleagues where it is likely to be of
benefit
 Assess improvements required to execute own job better as well as continuously make use of different
resources to maintain very own expertise, abilities, and practice up to date.
 Keep records of own activities, development strategies as well as progress, as well as utilize them to
promote and also educate continuous reflective practices.
 Prioritize areas for growth as well as strategise how understanding and also development will be
attained.
 Apply new expertise as well as abilities to combine knowledge, enhance own method, as well as
examine the efficiency of freshly obtained knowledge and skills.

Health and Safety Professional– Mentoring and Supporting

Mentoring is an all-embracing form of educational support and development mechanism, and it has a very

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significant potential to improve health and safety partnerships between two stakeholders. Here in this context, it
would mean the safety professional and other staff. Mentoring activities is fundamental in the development
process. This goes beyond the objective of training where the safety professional could provide information and
knowledge to help managers understand how to perform health and safety tasks.

A health and safety professional, as an experienced member of the team, can use his or her specialist knowledge
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and understanding to support the development of other members of the team.

While supporting the team in an advisory role, the health and safety professional must ensure that the ownership
for the solution to a problem is resting with other people. The function of the professional there would be to provide
support. Increasingly, organizations are looking for professionals who are collaborative, supportive, and helpful
rather than purely advisory.
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In mentoring, the aim is to establish a partnership between the mentee and also the mentor. The duties for
finding the solution to the problem continue to be with the mentee and the mentor is just there to oversee and to
support the mentee's exploration. In other words, supporting a manager to discover the ideal, most practicable
solution to a health and safety problem may involve mentoring. Professionals may not appreciate the pressures
and constraints that supervisors operate under so the professional must empathize with the manager’s
situation. Nonetheless, specialists do understand the legislations, the standards that require to be achieved, as
well as what solutions may be practical. This is the professional expertise and understanding they can give
ID1.6 – Role of the Health and Safety Professional

during their discussions.

For managers to 'own' health and safety, they should be encouraged and supported; telling as well as
doing is less reliable compared to a much more joint method which supports the advancement of
managers to make sure that they end up being less dependent on the expert health and safety
professional.

Distinction between Leadership and Management

Too often, the terms ‘leadership’ and ‘management’ are used interchangeably. The problem is many do
not recognize the critical differences between these roles and the vital functions of each in building strong
safety performance. Specifically, managers exist as part of the organization’s structural hierarchy and
exert formal influence over their subordinates. Leadership is a voluntary activity by which an individual
exerts social influence over co-workers by setting an example of appropriate behaviour to elicit shared
goals and effect positive change in the organization.

Therefore, the main distinction is that leaders have people follow them while managers have people who
work for them. Managers typically make decisions in an instant time, while leadership focuses on the long-
term vision or goal. The successful health and safety professional will need to be both a strong leader and
manager to get their workers on board to follow them towards their vision of health and safety.

An important role of a health and safety professional is to take care of the organization’s health and safety
management system. He/she gives support and advice related to its implementation, which could involve:

 Setting policies and procures

 Risk management (Risk Evaluation and Control)
 Training: conducting safety education and training
 Accountability: applying disciplinary procedures
 Monitoring and measuring performance.
 Review and learning lessons for continuous improvement.
Performing these roles could be argued as the managerial roles of a safety professional. However, an
equally important function the professionals have is to facilitate/influence a change of approach towards
NEBOSH International Diploma

better health and safety management. For this he/she must demonstrate leadership through:

 Setting self- example, by knowing and following the rules

NEBOSH International Diploma
 Reporting and analysing safety hazards, violations, and incidents.
 Maintaining open communication with workers/co-workers and management about safety
concerns
 Encouraging co-workers to exhibit safe behaviours.
 Showing co-workers small tokens of appreciation for a safe job well done
 Making all stakeholders aware that unsafe behaviour is unacceptable.

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ID1.6 – Role of the Health and Safety Professional

Need to Adopt Different Management Style
Many managers assume that leadership style is a function of their personality rather than a strategic decision
they can make. The manager should be able to choose the style that has the most effect in the situation
presented.

There are many different models of management styles. The choice of the style is contingent on the leader's
characteristics, individuals she/he will certainly lead, and also the nature of the activity. Inevitably, the leader
has to pick a style that will certainly be most reliable for the scenario available.

Management styles could generally be classified into 3 groups, and each has significance to different aspects
of the health and safety professional’s role.

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1. Autocratic
Managers make all the important choices as well as carefully supervise and regulate workers. They just give
orders that they expect to be complied with, and no consultation is carried with workers.
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When quick choices are required or when managing large numbers of low-skilled workers, this strategy is
effective.

Health and safety experts may have to run in this autocratic function when:

 They have the proficiency as well as the authority to closely manage a workplace task.

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The needs to ensure safety, security and health are clear and also well-defined.
 There is no requirement for input from the labour force.

2. Democratic
Managers depend on workers as well as motivate them to make choices. They entrust the authority to do this
and pay attention to their suggestions and comments. Decisions are made by the team, by getting in touch
with or by vote. This style needs effective two-way communication as well as might involve discussion teams
offering recommendations as well as ideas.

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When there is no demand for central co-ordination, this method is effective with inspired people that are
qualified of making their very own choices or Health and safety professionals may find this approach
forthcoming in the health and safety committee, where binding decisions on plan and also procedures are
made after participation and last arrangement by the board members.
ID1.6 – Role of the Health and Safety Professional

3. Participative
Managers are concerned regarding the demands as well as views of their workers and just how motivated
they feel. They seek advice on problems and pay attention to responses or viewpoints yet still make the
decision, albeit in the best interests of the workers thinking that they still require instructions.

This strategy works where team arrangement is necessary however can be difficult to take care of where
there are many varying opinions.

Health and safety professionals may find that the participative approach is essential in collaborating with and
supporting managers to encourage their ownership of health and safety. Although the professionals know
about the law, the standards that need to be achieved, and what solutions might be feasible, the
responsibility for finding the solution to the problem remains with the manager. The health and safety
professional is there to guide and support the manager to discover the best and most practicable solution to
the problem.

Role of Health and Safety Professional on Safety

Management System

The role of health and safety professionals in the development, design, implementation, evaluation, and
maintenance of Health and Safety Management Systems are not limited to the following:

1. Implementation of the Health and Safety Management System

(Systems/Procedures/Programs)

 Identify the individuals and parties who need to be advised of their involvement and
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responsibilities during the implementation process of the HSMS.

 Establish lines of authority and accountability as part of meeting OHS responsibilities.
 Describe the best method of communicating the WHS plan implementation process to NEBOSH International Diploma
individuals and parties appropriate to the organization.
 Develop an action plan for implementing the Workplace Health and Safety (WHS) plan.
 Identify roles and responsibilities of the H&S professional in supporting the implementation
of a systematic approach to managing OHS.
 Identify resources required for implementing the WHS plan.
 Provide direct support to mentoring managers and supervisors during the implementation of
HSMS.
 Provide support to managers to meet OHS responsibilities and to implement action plans.
 Identify appropriate levels of information to be communicated to various parties.
 Identify the training needs of people implementing the plan.

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2. Evaluation of the Health and Safety Management Systems

 Apply knowledge of monitoring, measurement, and evaluation of OHS performance, to

communicate to individuals and parties the requirements for measurement and evaluation
appropriate to the organization.

ID1.6 – Role of the Health and Safety Professional

 Develop systems relating to who should make the measurements.
 Develop systems that incorporate both active and reactive.
 Monitor achievement against action plans and update plans as appropriate.
 Utilize other methods of evaluation such as audit, positive and negative measures, and
records and record management.
 Consider external changes include changes to legislation, learning from failures, and new
information on hazard controls.

3. Maintenance of Health and Safety Management Systems

 Identify a broad range of sources of information and data which should be accessed when
evaluating the current status of the WHS management approach and identifying areas for
improvement.
 Provide advice to management relating to frequency, method and scope of review in
consultation with stakeholders.
 Remind the people with “authority to act” on their responsibilities to conduct a management
review and what the intended outcomes might be.
 Provide support and advice to all stakeholders to facilitate their input to the review process.
 Ensure legislative requirements are met relating to the review process.
 Identify areas of opportunity for improvement of the HSMS, which will lead to improved
OHS performance.
 Identify areas where improvement can be made and contribute to the recommendations for
improvement.

Why Worker’s Information Needs to Be Handled Confidentially

The disclosure of sensitive employee information can lead to a loss of employee trust, confidence and
loyalty, resulting in a loss of productivity.

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Employee sensitive / confidential information include: personal identifying information, medical and
disability information, national origin and age should be kept confidential to avoid discrimination claims from
employees.

In some countries, the law requires employer to keep employees’ medical information confidential and to
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limit access to on a “business need-to-know” basis, for example a supervisor may need to have information
about the medical issues of an employee and the type of work restrictions to prevent harm to the employee.

In summary, worker’s information needs to be handled confidentially so as to:

 Adhere to data protection laws and to avoid legal consequences.

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 Gain the trust and loyalty of the employees.

 Avoid breaching the privacy of the employees.
 Retain the confidence of the employees.
 Enhance the reputation as a trustworthy employer.

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Enabling Work Activities as Part of Proportionate Risk

Management
The general approach of health and safety legislation is to set out the objectives to be achieved and specify
those who create risks from work activity are responsible for protecting workers and the public from the
consequences of that activity. Health and Safety laws also give considerable choice to duty holders as to the
ID1.6 – Role of the Health and Safety Professional

measures they should put in place.

The role of the health and safety professional in this exchange is to ensure risk controls adopted are
proportionate to the risk. He/she should be clear concerning exactly what is a lawful requirement. Rather than
attempt to limit activity or stop or presume that it will certainly have unplanned or undesirable consequences,
the professional should examine whether the choice of the selected safety measures is proportionate to the
actual risk.

Appreciating what the real risk includes taking into consideration the likelihood and consequences of
something going wrong, as well as this, implies thinking of:

 What kind of occurrence the preventative measure is intended to Stop?

 What injury or disease could be caused?
 Exactly how likely it is to take place.

Organizations need to take ownership of their risks and also take proportional steps to take care of those
risks to ensure that attention is concentrated on the significant risks that cause injury as well as illness, and
not the trivial or everyday low risks.

Organisational Risk Profiling

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

Every organisation will have its risk profile. This is the starting point for determining the significant health and
safety issues for the organisation. In some businesses the risks will be immediate and tangible safety
hazards, whereas in other organisations the risks may be health-related and it may be a long time before the
illness becomes apparent.

A risk profile examines:

 The nature and level of the risks faced by an organisation.
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 The likelihood of adverse effects occurring.

 The level of control and costs associated with each type of risk.
 The effectiveness of controls in place to manage those risks. NEBOSH International Diploma
The result of risk profiling will certainly be that the ideal risks have been determined and prioritized for action,
and also minor risks will certainly not have been given way too much importance. It also notifies decisions
concerning what risk control actions are required.

Practicality

The law states that a risk assessment must be 'suitable and sufficient,' i.e., it should show that:

 A proper assessment was made.

 You asked who might be affected.
 You dealt with all the obvious significant risks, taking into account the number of people who
could be involved.
 The precautions are reasonable, and the residual risk is low.
 You involved your workers or their representatives in the process.

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The degree of information in a risk evaluation should be proportionate to the risk and ideal to the nature of
the job. The minor risk could typically be disregarded, as can risks emerging from everyday tasks related by
including life in general, unless the work task compounds or substantially changes those risks.

Your risk analysis needs to just include just what you can reasonably foresee and not the unforeseeable

ID1.6 – Role of the Health and Safety Professional

risks. The degree of risk arising from the job activity needs to decide how advanced the risk evaluation
should be.

Organizational Context

A risk profile examines the nature and levels of threats faced by an organization and the purpose of risk
profiling is to ensure that managers focus on risks that have been identified and prioritized for action.

The practicality of risk profiling is to generate an outline of the most important risks faced by the organization.
It enables organizations to have a detailed picture of the inherent risks in their operations and helps them to
discover the effectiveness of the controls in place, to mitigate the risk, and also to create a framework to
monitor its higher risk priorities.

Some organizations may be willing to accept or retain risk where others may seek to implement risk
management strategies to reduce or control, transfer or avoid risk as discussed in detail in Element IA6.

Regardless of the nature of specific workplace activities, the risk profile should be able to enable the
organisation to:

 Identify and prioritize the significant risk without giving minor risks unnecessary priority.
 Reduce these risks to an acceptable level.
 Minimize the associated paperwork and bureaucracy.

When considering risk controls, discuss the issues by including your employees and think of what is currently
being done, after that contrast it by including the industry requirement.

Contribution of the Health and Safety Professional in Achieving

the Objectives of an Organisation

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The health and safety professional has a role in contributing to the health and safety goals and objectives of
an organisation by leading the initiatives. They could function as advocates, convincing both managers as
well as the labour force of the worth of their understanding and experience.

If a goal is accepted by employees, the health and safety professional can measure the types of behaviour
that can be improved. Once the health and safety professional has identified an area for improvement, local
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knowledge can be applied to establish appropriate behaviours to achieve the improvement

Organizational health and safety objectives are attained via a planning process that considers where the
organization is currently at, where it should be, what it wishes to accomplish, who will be accountable for
what, how it will achieve its goals, and how success will be gauged. All the considerations should be
documented in a plan, along with a strategy on how to deliver the objectives. The health and safety
professional’s input in the process is also to be considered. A key element is the risk profile of the
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organization. The assessment of risks to determine what requirements are needed to address the risks, what
are the priorities, and which are the greatest risks. This is where the expertise and know-how of the health
and safety professional is needed.

ln organizing activities to deliver the plan, the health and safety professional has a substantial duty in
communicating the plan, and including the workforce so that everyone is clear on exactly what is needed; the
health and safety professional should review the issues and to lead in establishing positive attitudes as well
as behaviours.

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Health and Safety Professional’s Role in Change

Management
OSHA defines Management of Change as follows:
“Management of Change (MOC) is a best practice used to ensure that safety, health, and environmental risks
ID1.6 – Role of the Health and Safety Professional

and hazards are properly controlled when an organization makes changes to their facilities, operations, or
personnel”.

Management of Change (MOC) is important in any organization because if a proposed modification is made
to a hazardous process without appropriate review, the risk of a safety accident could increase significantly.

Management of change refers to the formal process for managing the HSE risks when significant changes
are made to the physical assets/facilities, process operations, operating/management procedures and/or
organization/personnel. Such changes may modify the existing risk profile or introduce new risks. Before
such changes are approved and made, it is necessary to review the hazards associated with the proposed
change, re-evaluate the risks and provide all necessary additional hazard/risk controls.
Therefore, the goal of the change management is to ensure that standardized methods and procedures are
used for efficient and prompt handling of all changes, in order to minimize the impact of change-related
incidents, and consequently improve the day-to-day operations of the organization.
The role of a H&S professional in change management can include but not limited to the following:
 Involve from the start rather than the end of the change process or when things go wrong.
This may include the following actions:

 Contribute to change strategies and plans, including training and communications

 Carry out change impact assessments to identify risks and issues relating to change
management

 Develop, deliver and manage training, engagement, adoption, and resistance management plans
 Develop plan to promote, encourage and maintain open communication with parties impacted
throughout the change duration to ensure they understand what safety standards are expected of
them during change.
 Manage stakeholder relationships
 Define and measure success metrics and monitor change progress

 Co-ordinate with project teams to ensure the successful execution of the end-to-end change
management strategy
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 Ensure that health and safety is integrated into team planning and does not get downgraded
based on competing priorities, budgetary constraints, or a lack of resources

 Develop strategy to encourage feedback and communication channels between workers, and NEBOSH International Diploma
managers before, during and after change.
 Assist management to involve and assist workers in any change management process and to
ensure managers are made aware of issues or concerns on safety, especially hazards or flaws
related to the change.
 Be a role model on safe work practices to workers and managers

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 How to influence organizational change

Changes within the organization if not managed effectively could result in accidents, undue
disruptions of work / production, workers’ experiencing emotional stress, workers’ distrust of
management and a reduction in overall productivity.
What should be happening (Source HSE UK)

ID1.6 – Role of the Health and Safety Professional

 The organisation provides employees with timely information to enable them to understand the
reasons for proposed changes

 The organisation ensures adequate employee consultation on changes and provides

opportunities for employees to influence proposals

 Employees are aware of the probable impact of any changes to their jobs. If necessary,
employees are given training to support any changes in their jobs
 Employees are aware of timetables for changes
 Employees have access to relevant support during changes

 The use of plan-do-check-act to help resolve issues during change

The Four Phases of the PDCA Cycle also known as Deming Cycle is a systematic process of continual
learning and improvement. It is a continuous loop of planning, doing, checking, and acting. It can be
used during organizational change to resolve issues and implement solutions methodically.

The cycle begins with a Planning phase where issues related to changes are identified and understood,
and a theory for improvement is defined. In the Do stage, possible solutions are trial and the outcome is
studied in the Check phase. Repeat as many times as needed the Do and Check phases.
Finally, the most effective solution is implemented in the Act phase.
The four phases of PDCA:
1. Plan

This stage involves the identification of issues. Perhaps the

written management of change (MOC) plan is inadequate or
an aspect of the communication strategy is lacking in details.
2. Do

After all the issues associated with the change have been

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identified, and potential solutions tested. The solutions are
used in the next stage.
3. Check

Analyze the effectiveness of the MOC plan against

expectations. If not, return to Step 1 and begin the cycle
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again.
4. Act

This is the implementation stage. Continue to look for ways

to improve the change process.
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Ethics and Application of Ethical Principles

Meaning of the term ‘ethics’

ID1.6 – Role of the Health and Safety Professional

At its core, ethics holds up a favourable vision of just what is best as well as exactly what is worth pursuing.
This is like a guiding principle for decision-making. Organizations who base their workplace safety on ethics
will certainly invest their power verbalizing as well as seeking favourable concepts, values, and virtues.
Noting regulative requirements and decreasing costs from injuries are critical, yet they are added to the
quest/pursuit of the right and good.

Why Professional Ethics is Important?

1. As professions become more specialized, the ethical issues become more specialized
2. Professional societies have increased efforts to establish ethical codes to guide members
3. Increasing public scrutiny, lack of traditional deference
4. Regulatory oversight, public protection reasons

Application of Ethical Principles

Ethics in simple terms is about the conduct of people. It is about treating people with respect, honesty, and
integrity.

One form of mutual respect in the workplace is for management to consult with workers on health and safety
issues before making or implementing changes. Recruitment policy should avoid discrimination factors such
as age, sex, race, religion, nationality, or colour.

Employee personal details such as medical history should be treated as confidential and not be given to
others without the permission of the employee.

Practical application of ethical principles includes but not limited to the protection of confidentiality, respecting
people's autonomy, never altering a record after the fact, be accurate in all reporting, practice only when
competent.

Effective Communication and Negotiation

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Skills NEBOSH International Diploma

Effective Communication
Communication is not limited to sending out messages and assuming people receive them. Successful
communication means that ‘receivers’ understand messages in the same as was meant by the ‘sender.’

The communication effectiveness will certainly rely on just how a message is developed, provided, and also
transferred. Face-to-face interaction is typically most efficient since individuals can communicate, and can
ask for clarifications/explanations. Direct communication could be accomplished via:

 Training - induction and toolbox talks

 Team briefings;
 Meetings, formal and informal
 Appraisal sessions.

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While written communication is often less reliable than face-to-face, it is still important. Readability, legibility,
and availability will influence its effectiveness. Options for written communication include:

 Notice boards;
 Newsletters;


ID1.6 – Role of the Health and Safety Professional

Posters;
 Competitions;
 Notes in wage slip.

A lot of communication takes place informally (for example one-to-one ‘chats’ or sending of emails) and it is
quite common for these to have a greater influence (even if wrong) than messages from the boss (which are
correct but may not be presented in a way employees respond to so well).

A safety professional must consider various methods/media of communication as per the objective and
should not be limited to writing. Advancement in information technology has equipped safety professionals
with a lot of social media avenues that can be suitably used to create and involve participation by staff and
employees in health and safety. Training needs analysis may look at using videos and/or demonstrations to
communicate messages.

Need for Consultation and Negotiation

It is important to establish that there is a difference between informing people and consulting them. While
informing is a one-way process involving the provision of relevant information, Consulting is a two-way
process where an account is taken of the views of those being consulted before a decision is taken.

In any workplace, co-operation is achieved by allowing and encouraging everyone to participate in health and
safety. This generates ownership and understanding. Also, it ensures knowledge and experience are built
into solutions.

Participation can be achieved through safety representatives and committees. However, everyone can be
involved to some degree by inputting into and getting involved in decision-making and problem-solving.

Influencing Ownership of Health and Safety

An organisation’s attitudes and values regarding safe working are important factors that influence its
approach to work. It is not enough to provide safe equipment, systems and procedures if the culture doesn’t

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encourage healthy and safe working. Worker participation helps in developing effective ways of protecting
workers.

Control of a team aiming for a common objective is about getting everyone to work together to achieve good
health and safety performance. It starts at the top of an organisation, by nominating someone to have overall NEBOSH International
accountability.

Responsibilities are then allocated to line managers. Specialists are appointed to advise the line. Safety only
happens when people accept it as part of the job. To achieve control:

 Responsibilities must be laid out

 Responsibilities must be understood
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 People with responsibilities must have the necessary time and resources
 People must be held accountable
 Encourage participation of employees in risk assessment and selection of controls
 Ensure managers are made accountable for health and safety performance
 Consult workers/representatives during implementation
 Involve workforce in setting and monitoring performance measures and encourage them to
monitor their work areas
 Discuss plans for review with workers/representatives
 Provide feedback on the success and failure of safety programs.

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Benefits of Health and Safety Professionals Engaging with

Stakeholders

Stakeholder engagement is about engaging with the stakeholders right from the start, so that their views,
ID1.6 – Role of the Health and Safety Professional

needs and ideas are taken into consideration.

Stakeholders include both internal and external parties. Internal stakeholders can include directors,
managers, and employees. External stakeholders can include shareholders, enforcing authorities,
contractors, suppliers, visitors and general public.

Engaging with stakeholders on health and safety issues can help build relationships, resulting in the
following benefits.

 Foster trust, confidence and enhancing working relationships, which can help to influence a
positive safety culture.
 Promotes awareness of risk issues, and understanding of the management of health and safety
 Improves strategy for managing risk as generally the best ideas about managing risk come from
those closely involved in the tasks.

 Provides those who will affect or be affected by H&S issues a chance to voice their opinions.

 Opportunity to pool knowledge, experience, and expertise to collaboratively create workable H&S
solutions.

 Helps to reduce the level of risk in the workplace and improves governance.
 Promotes consistency and transparency in the implementation of H&S risk management
decisions.
 Improves the overall effectiveness on the implementation of the management system.
 Contributes to the development and delivery of information, instruction, and learning
opportunities.
 Strengthen the working relationships and mutual respect of all parties in health and safety.

Ways that the Health and Safety Professional can Understand

and Influence Different Stakeholder Groups
Internal stakeholders exist at varying levels within organizations, whilst external stakeholders are parties
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who could be involved in the organisations health and safety activities. Stakeholders are not all the same.
Some are equal in importance or relevance and some are not. As part of a stakeholder management
strategy, the first task is to carry out a stakeholder analysis to identify the various relevant stakeholders.
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One way to identify stakeholders is the mapping of all parties to identify stakeholder groups so that
different approach and strategy may be developed to engage and influence each particular group.

The mapping process involves the asking of pertinent questions. Some examples of questions to ask
include but not limited to the following:

 Who will be impacted by what you are doing or proposing to implement?

 Who holds influential positions that could be of assistance to what you are doing?
 Who operates organisations with relevant interests?

 Who has relevant experience for similar projects/situations?

 What are the activities of each stakeholder group?

It is important to take into account that stakeholder mapping may need to reviewed and updated at
suitable intervals as stakeholder positions are not static, some positions may change and evolve.

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Other methods to identify stakeholders include face-to-face interviews using checklists, semi-structured
interviews, and structured questionnaires, analysis of published and unpublished documents, policy
statements, and various regulations, all of which may be used to gather data on shareholders.

ID1.6 – Role of the Health and Safety Professional

Importance of Receiving and Acting on Feedback
A positive safety culture requires a capacity to learn from accidents, near-misses, and safety performance
indicators and bring about continual improvement. To work effectively, the organization needs to learn from
what is happening in its workplace and marketplace. Organizations need to react to safety inspections and
reports.

Reviewing also allows the opportunity to promote and celebrate health and safety successes. Increasingly,
third parties are requiring partner organizations to report health and safety performance publicly.

To achieve this the workforce needs to be willing to participate and be prepared to report their mistakes, near
misses, and accidents and the organisation needs to react to market research and customer feedback.

The main sources of information on health and safety performance feedback come from measuring activities
and from audits. Feeding information on success and failure back into the system can help to motivate
employees, and successful organizations emphasize positive reinforcement and concentrate on encouraging
progress on those indicators which demonstrate improvements in risk control. Reviewing should be a
continuous process undertaken at different levels within the organization and involving all stakeholders.

Review plans may include:

 Monthly reviews of supervisors, individuals, or sections

 Three- monthly reviews of departments.
 Annual reviews of sites or the organisation.

Organizations should decide on the frequency of the reviews at each level, and the device is reviewing
activities to suit the measuring and auditing activities. In all reviewing activity, the result should be specific
remedial actions which:

 Establish, who is responsible for implementation, and

 Set deadlines for completion.

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These actions determine the basis of effective follow-up, which should be closely monitored.

Key Performance Indicators (KPI's)

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Key performance indicators for reviewing overall performance can include:

 Assessment of the degree of compliance with health and safety system requirements.
 Identification of areas where the health and safety system are absent or inadequate (those areas
where further actions are necessary to develop the total health and safety management system).
 Assessment of the achievement of specific objectives and plan and accident, ill- health and
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incident data accompanied by an analysis of both the underlying and immediate causes, trends,
and common features.

These indicators are consistent with the development of a 'positive health and safety culture'. They
emphasize achievement and success rather than merely measuring failure by looking only at accident data.

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Different Methods of Communication

Communication is a two-way process where the needs of the receiver are as equally important as the needs
of the speaker. Because it is a two-way process, both participants must be sure they are using the same
language.
ID1.6 – Role of the Health and Safety Professional

There are three main methods of communicating information and these are:

 Written Communication
 Verbal Communication
 Visual (Graphic) Communication

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

ADVANTAGES DISADVANTAGES

- Permanent record - Maybe unread

- Reference - One way
- Consistent message - Often no feedback
- Accurate detail - Time-consuming
- Wide audience - Cost
- Authoritative - Misinterpretation

Barriers To Written Communication

These include:

 Illiteracy (a person cannot read)

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 Competence
 Level of the written material
 Presentation NEBOSH International Diploma
 Quality of information
 Quantity
 Attitude

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Verbal Communication
This can be in the form of instructions, interviews, meetings, lectures, briefings, informal talks, etc.

ID1.6 – Role of the Health and Safety Professional

ADVANTAGES DISADVANTAGES

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

Barriers to verbal communication include:

 Hearing defects  Use of technical terms

 Speech defects  Lack of knowledge and

experience of recipient
 Noise
 Attitude
 Distance
 Inattention / Distraction
 Language (Jargon)
 Duration
 Ambiguity
 Speed

Visual/Graphic Communication

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

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ADVANTAGES DISADVANTAGES
- Consistent message - Boring
- Large groups - No feedback NEBOSH International
- Interesting & stimulating - Too much for memory

Barriers to visual communication:

 Relevance of subject matter
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 Quality of material
 Volume
 Environment
 Knowledge of personnel

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Broadcasting Methods

Depending on the type of communication method, various methods can be used to broadcast the health and
safety information. All these different measures have their own strengths/weaknesses and limitations.

It is important to use a variety of methods to communicate health and safety information in the workplace
ID1.6 – Role of the Health and Safety Professional

because:

 People respond differently to different methods of communication.

 Variety prevents over-familiarisation.
 There could be a need to overcome language barriers.
 Some employees may not be able to read.
 There is a need to motivate, stimulate interest and gain involvement and feedback.
 Different types of information require different methods of communication.

Methods of broadcasting may not be limited to the following:

 Notice boards
 Health and safety media
 Moving image media
 Poster campaigns
 Toolbox talks
 Memos/e-mails
 Worker handbooks

Notice boards

A traditional communication technique and the advantage is that the communication is easily available to
everyone. Notice board information relies on an individual’s ability to read, understand, and apply the
information correctly. The information posted on the notice board must be kept up to date and maintained in
a legible condition if it is to be effective.
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Films and Videos

Films and videos tend to be more informative and entertaining than some other media such as slide
presentations. The visual & sound impact stimulates the imagination and interests of the viewers which may
help in the retention of information. These are useful tools during health and safety training and induction.

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Posters

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

ID1.6 – Role of the Health and Safety Professional

ADVANTAGES DISADVANTAGES
- Low cost - Need to be changed on a regular basis
- Flexibility - May become soiled
- Short and to the point - May become defaced
- Can reinforce verbal instructions - May become out-dated
- Constant message - May appear to trivialise important matters
- Graphic message - Over-reliance

“Toolbox” Talks

These are normally provided by supervisors to the operatives under their control at which they can discuss
health and safety issues, remind them of critical risks and precautions and reinforce any training programme.
The sessions also provide an opportunity for suggestions and feedback from operatives (two-way
communication).

Memos

Memos are quick and easy to use and may be sent to more than one individual. This is often a one-way
communication system and relies on the receiver to interpret and understand the message.

Email

This is an electronic form of a memo that has a way of checking if a message was successfully sent or read.
One advantage of memos and e-mails is it has a record of the message delivery.

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The disadvantage is that they can be ambiguous, difficult to understand, or lost in the multitude of emails
exchanged.

Worker Handbooks NEBOSH International

Much of the communication on health and safety is in the form of written formal documents, one of which is
the worker handbook. The handbook usually contains information such as site rules, incident reporting,
emergency arrangements, etc.
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Public Opinion

Public opinion and public perception of risk are affected by direct experience or more generally through
indirect experience as reported through the popular media.

A significant health and safety incident can have dynamic effects not just locally but nationally and
internationally due to the influence of the media.

Once the public has been switched off a particular product or service it is very difficult to recoup their custom
and goodwill.

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Why an Organisation’s Top Management Should Be Media

Trained
Media training is about being prepared, ready and confident to respond to the media attention.
ID1.6 – Role of the Health and Safety Professional

Often media attention comes because of unwelcome news such as severe job cuts, accidents, scandals, etc.
It is therefore vital that top management is equipped with media handling techniques so that they will have
the confidence, presentation skills, including body language to positively deal with the media and
successfully protect the company’s reputation.

Top management who completes media training are more confident in their media skills.

When the top management is media trained, they will be competent to:

 Deliver key messages

 Answer difficult questions
 Own the interview
 Use appropriate body language
 To void being misquoted

Procedures for Resolving Conflict and Introducing Change

Conflicts of interest can arise at any time. There is increasing recognition that conflict-of-interest situations
that are not properly dealt with can lead to corruption. Organisations need to remain alert to this possibility.

There are two aspects to dealing with conflicts of interest situations:

1. Identifying and disclosing the conflict of interest and

2. Deciding what action (if any) is necessary to best avoid any effects of the conflict of interest.

Conflicts should be managed and resolved in a transparent, timely, and appropriate manner.

An effective conflict-of-interest policy needs to be developed for promoting integrity and creating an
organizational culture that does not tolerate conflict of interest. This aims to protect the integrity of the
organization’s policies and administrative decisions. Generally, management maintains trust and supports
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transparency. In principle, the higher the position, the stricter the policy, and the more transparency is
required.

Effective processes should also be developed to identify risk and deal with conflicts of interest in the daily NEBOSH International Diploma
work as well as appropriate accountability and management approach. This includes sanctions not only to
ensure that management and employees take personal responsibility for complying with both the letter and
the spirit of standards set within the organization and regulators, but also an encouragement to consistently
demonstrate such compliance.

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Ensuring Roles and Responsibilities are Clear, Understood, and

Implemented by Workers

Large organizations are more likely to have hierarchical structures, where clear job descriptions and personal

ID1.6 – Role of the Health and Safety Professional

remits enable workers to focus on their job-specific tasks. Clearly defined roles and responsibilities are of
particular importance in large organizations. In smaller organizations, job roles may be less structured.

The senior management must identify who needs to do what with regards to the management of health and
safety. Particularly, the roles and responsibilities of all managers should be documented and defined in
sufficient detail.

Responsibilities of managers should at least include requirements for:

 Planning for health and safety

 Implementation of health and safety
 Evaluation of health and safety

It is also important that managers are provided with appropriate authority to carry out their roles and meet
their responsibilities.

Other roles that relate directly to the effective management of health and safety that should be defined
include:

 Health and safety professionals

 Occupational health specialists
 Those that conduct governance audits, if they include health and safety.
 Human resources managers
 Training managers
 Purchasing and contracts managers
 Workers and their representatives

One critical aspect of implementing the roles and responsibilities is to consult and engage the employees
while allocating tasks and roles so that there is no conflict with their competency and capabilities. A robust
communication channel must be established at all levels and regular monitoring and feedback process is
undertaken so that necessary changes/adjustments can be made.

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Use of Financial Justification
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The Significance of Budgetary Responsibility

Some health and safety initiatives will require money to achieve their objectives and the safety professional
will probably need to make the financial case for why management should invest in the project. He/she will
have to demonstrate how the time and resources required will offer good value for money.
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A budget is the financial description of an action plan outlining how the money will be used in the
organisation. The budget holder needs to consider the objectives to be reached in spending the money and
the activities involved in achieving the objectives.

In allocating funds from a budget on the proactive measure, the safety professional can consider the
‘payback’ time. The shorter the payback period the more likely senior managers will be to agree to fund the
project. Many of the costs associated with injury and ill-health cannot be recovered through insurance
schemes. All such budgetary requirements must be communicated to the Management, and approvals must
be obtained.

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Recognizing the Responsible Budget Holder

The safety professional will need to identify the manager responsible for the budget where the function in
which the proposal to spend money for safety improvements will take place.

The health and safety budget holder should ideally be a senior manager or director and shall be responsible
ID1.6 – Role of the Health and Safety Professional

for procurement and associated financial checks and balances. He will be involved in planning the budget,
which would require him to consider both short and long-term costs and benefits. This includes new
initiatives, visualization projects, campaigns, etc.

It is important to identify and establish the source of funding for health and safety initiatives and requires a
reasonable budget holder to agree to authorize this. The justifications for such a budget must be therefore
explained in a convincing way to make the budget holder take appropriate decisions.

This could vary depending upon the organisation’s financial arrangement. Either the budget could be a
separate fund allocated to the organization on an annual basis, or it could be integrated into the respective
business unit’s budget. To ensure accountability and ownership, it is a good practice to have the health and
safety budget integrated into the business unit budget, thereby making the business unit head the budget
holder to plan and authorize the expenses.

The ownership is lost if there is a separate health and safety fund that caters to the entire business unit. In
such a situation, it would be difficult to assign a budget holder. Often companies struggle with such a
financial arrangement. These conflicts must be addressed in the company’s policy as to who will be
responsible for financial decisions/allocations.

Cost-Benefit Analysis

Cost-Benefit Analysis is a fairly straightforward and relatively simple and widely used technique for deciding
whether to make a change. As its name suggests, using the method, simply add up the value of the benefits
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of a course of action, and subtract the costs associated with it.

Costs are either one-off or maybe ongoing. Benefits are most often received over time.
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In its simple form, cost/benefit analysis is carried out using only financial costs and economic benefits. For
example, a simple cost/benefit analysis of a road scheme would measure the cost of building the road and
subtract this from the economic benefit of improving transport links. It would not measure either the cost of
environmental damage or the benefit of quicker and easier travel to work.

Cost-benefit analysis techniques have developed in recent years, more so in the health and safety industry,
as decisions concerning risks and risk management have been made on a cost versus risk basis.

To undertake a cost/benefit analysis, the following questions must be addressed:

 What costs are involved in reducing or eliminating the risk?

 What degree of capital expenditure is required?
 What ongoing costs will be involved, e.g. regular maintenance, training, etc?
 What will the benefits be?
 What is the pay-back period?
 Is there any other more cost-effective method of reducing the risk?
 Thought should also be given to the benefits.

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Benefits may vary in nature and description, but may include:

 Lower insurance premiums because of no (or fewer) claim being made against the organisation.
 Reduced absenteeism.
 Lesser accidents and incidents are happening in the organisation.

ID1.6 – Role of the Health and Safety Professional

 lesser cases of property/equipment damage.
 improved productivity and increased morale and motivation amongst the workforce.

The costs are balanced against the benefits, and then an objective decision can be made on whether to
allocate resources or not.

Cost Estimation & Evaluation

Once the estimates of the costs of accidents and ill health have been assessed, it permits the following
benefits to be seen:

1. An appreciation of the balance between the costs of risk controls and their benefits.
2. More efficient priorities for action to be set.
3. The evidence is needed to convince people of the financial value of the prevention of accidents
and ill-health.

However, there are unlimited and complexities in practice for estimating the cost due to the following
reasons:

Delayed Benefits
Some of the programs will not see immediate benefits in the corresponding financial cycles, it would take
years to ‘break-even’, and this is often called a payback period.

Unquantifiable Costs and Benefits

Not all costs and benefits are quantifiable and given a monetary value. There are indirect and intangible

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benefits like ‘morale’, ‘reputation’, ‘goodwill’, etc. which cannot be assigned an accurate monetary value.

One time Cost vs Recurring Costs

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Consideration will have to be given for the capital costs (including procuring, installing, commissioning,
training, etc), which are one-off. While there are other running costs like, maintenance, cleaning, inspection,
behavioural programs, administrative system (including audits), etc. that would need to factor in.

The cost for Implementing Safety Intervention programs could be summarized in the following areas:
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1. Organisational Cost – Salaries, training, temporary staff, overtime, etc.

2. Design Cost – Engineering aspects (procurement/fabrication/Installation); development of
software and systems.
3. Planning Cost – Change management costs, the introduction of new systems to the existing
system, change of factory layout, and process flows.
4. Operational Cost – Cost of running and maintaining the systems, including PPE provision,
supervision, and inspection and testing, etc.

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A safety professional may require justifying the estimation of benefits that you have perceived and would
require to collect data and information from different sources including internal sources like accident
statistics, feedback from personnel, finance department, etc.

Once the costs and benefits have been estimated, then the projected payback period (break-even) must be
calculated. The shorter the payback period, the easier it to convince the management to act. Therefore, focus
first on tangible benefits with a short payback period and then look at intangible long payback benefits.
ID1.6 – Role of the Health and Safety Professional

Internal and External Sources of Information That Should Be

Considered When Determining Cost:
The various items of data that are needed to make a full evaluation of the costs of accidents and ill health are
wide. Indications of the areas are given throughout this topic, but it may be useful to consider a checklist of
the most likely aspects here. Consideration must be given to internal and external data/sources of
information, including best practice guidance.

Sources of internal information that can be used to develop cost models will usually be found in the:

 Financial department – loss production and sales, insurance premiums, productivity figures
(reduced cost per unit)
 Maintenance departments – man-hours and spares including downtimes
 Human Resource departments – New personnel (salary and training)
 Purchasing departments - purchase, fabrication and installation costs

External sources of cost information would include:

 Manufacturer’s catalogues or supplier’s price-lists

 The internet
 Contractors
 Similar benchmarked industries

Short-and Long-Term Budgetary Planning

Long-term planning is required to ensure the sustainable profitability of the safety programs introduced. The
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different time frames of the planning process are focused on time-sensitive aspects of the company's
structure and environment.

Short-term usually involves processes that show results within a year (fiscal year) and long-term plans, which
are the overall goals the organisation sets, are often four or five years into the future. Long-term budgetary
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planning implements policies and procedures that shape the company's profile.

All one-time/capital costs for plant, equipment, and systems could appear in the short-term financial planning,
Tangible/measurable running/recurring costs could also be put in the annual budget.

When short-term planning is successful, long-term planning builds on those achievements to preserve
accomplishments and ensure continued progress. Therefore, the benefits coming from health and safety
initiatives may be projected in the long-term budgetary plan and capital expenditure-related losses will
appear in the budget of the respective fiscal year.

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References

ID1.6 – Role of the Health and Safety Professional

UK Legislation Management of Health and Safety at Work Regulations 1999

Institution of Occupational Safety and Health Code of Conduct, www.iosk.co.uk

International Institute of Risk and Safety Management Code of Ethics, www.iirsm.org

https://app.croneri.co.uk/feature-articles/health-safety-and-organisational-change

Stakeholder role in safety culture and safety performance of construction: a conceptual model – by

Dr. Torky Althaqafi and Dr. Salah Abunar

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Diploma Diploma

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ID1.7 – Develop a Health and Safety Policy Strategy

element 7
Develop a Health and Safety Policy
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Strategy
On completion of this Element, candidates should be able to:

7.1 Outline societal factors that could influence an organisation’s health and safety policy and priorities.

7.2 Summarise the principles of Corporate Social Responsibility and how it applies to organisations.

7.3 Outline why and how organisation changes should be effectively managed.

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Contents Page No

7.1 Societal Factors which Influence Health and Safety Standards and Priorities 279
ID1.7 - Develop a Health and Safety Policy Strategy

Economic Climate, Government Policy, and Initiative 279

Industry/Business Risk Profile 279
Globalisation of Business 279
Migrant Workers 280
National Level of Sickness Absence 280
Incapacity 280
7.2 Corporate Social Responsibility (CSR) 281
What are the benefits of CSR? 281
7.3 Organisational Change 282
Why is Organisational Change an Issue? 282
Kubler-Ross Change Curve 283
Key Principles of Managing Organisational Change 286
References 286
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7.1 Societal Factors which Influence Health

and Safety Standards and Priorities

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ID1.7ID1.7
Economic Climate, Government Policy, and Initiative

– Develop
Economic climate has both positive and negative effects on governments and organisations.

- Develop
Organisations - When times are good, organisations are more inclined to allocate budgets to manage health
and safety such as spending on safety equipment, training, health surveillance, and safety campaigns. When
times are bad, the priority will be on production and expenditures on health and safety are cut back.

a Health
Economic crisis puts extra strain on occupational health and safety in the workplace. W orkers are expected to

a Health
“go the extra mile”, working longer hours, with fewer breaks. Safety equipment may not be provided, and
machinery may not be maintained appropriately. There may also be instances where inexperienced workers
are hired at a lower salary to carry out hazardous work for which they are neither trained nor experienced to

and and
perform.

Safety
Government – During an economic crisis, such as deep recession and mass unemployment, the government
would generally be forced by the situation to cut back on spending on public services which could include

Safety Policy Strategy

safety and health preventive measures. This will have an adverse effect on safety performance.

Industry/Business Risk Profile

Every business face risks and the first step in managing risk is identifying the risks and getting a measure of the
exposure to each risk.

Each type of industry presents its kind of inherent and significant risks. As an example, in the mining industry
risks exist in all aspects of the mine’s life cycle, including mining, processing and downstream stewardship of
minerals and metals products.

There are strong social and business drivers for organisations to improve the health and safety of their
employees. Poor health and safety performance can seriously damage the reputation of an organisation and the
industry.

Globalisation of Business
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Globalisation has created opportunities and benefits for many, yet at the same time, millions of workers and
employers worldwide have had to face new challenges. The globalised economy has displaced workers and
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enterprises to new locations resulted in the sudden accumulation or dispersion of capital wealth that has caused
financial instability in certain regions. Despite initial optimism, globalisation has not ushered in an era of
prosperity for all.

Inequality within many countries and between the world's richest and poorest nations has also grown significantly
over the last few decades.

The continued development of the global economy is neither sustainable nor desirable in the view of many.
Inequality not only leads to a decline in productivity but also breeds poverty, social instability, and even conflict.
Because of this, the international community has recognised the need to establish some basic rules to ensure
that globalisation offers a fair chance at prosperity for everyone.

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Migrant Workers
Migrant workers can bring with them a high level of expertise that would benefit the host country, or they could
be a burden due to their cultural differences, language barriers, perception of risks, lack of education, training
and general awareness.
ID1.7 - Develop a Health and Safety Policy Strategy

Migrant workers who are unskilled and lack education tend to be vulnerable to exploitation such as having to
work long hours with low wages and in some countries, they may not have access to social security and welfare.

National Level of Sickness Absence

Workplace absenteeism has a negative impact on performance and often reflects unhealthy organisational
and management practices.

Absenteeism due to sickness is a significant issue that has the potential to reduce productivity in an
organisation. Some research has indicated that the rising cost of health care is the fastest-growing burden
on families, businesses, governments (where the state provides healthcare), and the economy.

Incapacity
Incapacity concerns employees who are unable to work because of a medical condition that prevents them
from carrying out certain functions.

Employers are responsible for the health, safety and welfare of all employees, including those who can
only perform certain jobs due to medical reasons.

In many countries, the equality law requires employers to make reasonable adjustments for workers who
suffers from some form of incapacity to enable them to have the same access to everything that is involved
in carrying out and keeping their job.

Societal Expectations of Equality i.e., Adjustments for

Workers with Disabilities
There are people with disabilities in all parts of the world and at all levels in every society. The number of
people with disabilities in the world is large and is growing. Ignorance, neglect, and fear are social factors
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that throughout the history of disability have isolated persons with disabilities and even delayed their
learning and development.

The rights of persons with disabilities have been the subject

of much attention in the United Nations and other
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international organisations over a long time. The most
important outcome of the International Year of Disabled
Persons, 1981, was the World Programme of Action
concerning Disabled Persons, adopted by the General
Assembly by its resolution 37/52 of 3 December 1982.

The Standard Rules on the Equalization of Opportunities for

Persons with Disabilities have been developed based on the
experience gained during the United Nations Decade of
Disabled Persons (1983-1992).

The purpose of the Rules is to ensure that people with

disabilities irrespective of gender, race, etc. as members of
their societies, may exercise the same rights and obligations
as others.

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7.2 Corporate Social Responsibility (CSR)

Businesses today are increasingly expected to be accountable for how their practices impact society and

Policy Strategy
ID1.7ID1.7
the environment.

Implementing a CSR model does more than just help the environment and society, it also has a positive

– Develop
impact on a business’ reputation. As people are becoming more socially conscious, they are choosing to
prioritise businesses that are focused on social responsibility. CSR practices also help boost employee
morale as employees and employers gain a greater sense of purpose in their work.

- Develop
There are four types of CSR:

a Health
Philanthropic: is about the organization making contributions to enhance the quality of life for society. For
example, taking part in fundraising, donations to charity organisations, natural disaster relief aid

a Health
organisations, etc.
Environmental protection: is about how the organisation attempts to reduce its ecological footprint and

and and
not cause harm to the environment.

Safety
Organisation diversity: is about the organization implementing programs and policies that encourage
increase representation of diverse groups of people of different cultural backgrounds, religions, ages,
genders, and disabilities. It can also include employing people with varying work experiences, and

Safety Policy Strategy

personality.
Volunteering commitments: is where the organization and their employees are committed to engaged in
volunteering programs in giving to society beyond traditional charitable or philanthropic acts. Example:
Helping out at fundraisers, cleaning up rubbish from waterways, etc.

What are the benefits of CSR?

The potential benefits of CSR to companies include:

 Building public trust - consumers are more willing to support a company that supports and
engages in CSR activities to improve society
 Workers becoming more engaged and productive – they are proud of the company’s CSR
initiatives.
 Companies becoming more sustainable - reduction in carbon emissions and use of

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renewable energy.
 Increase in profits – consumers are willing to pay more for products from socially responsible
companies.
 Professional and personal development for workers - resulting from participation in CSR NEBOSH International Diploma
volunteering programs
 Costs savings – reduction in waste and emissions not only helps the environment, but helps
the company reduce costs.
 Improve brand reputation – from media attention when taking part in community activities

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7.3 Organisational Change

Why is Organisational Change an Issue?
ID1.7 - Develop a Health and Safety Policy Strategy

Any kind of organisational change could have an unsettling effect on employees. Examples of
organizational changes include: reorganisations, takeovers, mergers, downsizing, re-classification /
downgrading of roles and responsibilities, etc. If the process of change is not effectively managed, it could
cause major stressors that put pressure on everyone, from senior management to all employees.

In the context of safety, even subtle organisational changes could have significant impacts on the
management of hazards.

Organisational change should be handled in a psychologically safe manner through a process of planning,
effective communication, consultation, and engaging with all affected parties.

Potential Problems Associated with Organizational

Change
Organisational change that are not carefully considered and planned risks encountering the following
problems:

- Overload – personnel are given more or different types of tasks. They may need to be ‘multi-skilled’
or more flexible in the work they can do - this will require additional training.

- Teams may need to be ‘self-managed’ – they will need new skills and self-discipline.

- Reporting lines are unclear. An individual or team might receive instructions from several
managers.

- New teams will need to learn new skills, for example: in using any automated plant and to learn
new procedures.

- Systems that worked well with a large workforce may not be suitable for a smaller workforce, for
example: a simpler permit system may be preferred.

- Contractors may lack the skills and experience of full-time employees - employees may need to
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develop skills in supervising contractors and this may add to their workload.

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Kubler-Ross Change Curve

The work of Kubler-Ross, describes the change curve as an emotional journey that individuals experience
when dealing with change. It shows the need to be mindful of people’s feelings when putting plan into action.

Policy Strategy
ID1.7ID1.7
The change curve shows the stages that individuals go through during change - shock and denial, anger,
bargaining, depression and acceptance. The stages are further elaborated in the leaflet below:

– Develop
- Develop
a Health
a Health
and and
Safety
Safety Policy Strategy
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NEBOSH International Diploma

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284

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 – Develop
ID1.7ID1.7 a Health Safety
and and NEBOSH International Diploma
285

- Develop a Health Safety Policy Strategy NEBOSH International Diploma

Policy Strategy

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Source : www.changequest.co.uk
286

Key Principles of Managing Organisational Change

The following list of key principles published by the HSE UK for managing organizational change can help
management to navigate the change process in a systematic manner.

 The key issue is that the direct and indirect effects of a proposed change on the control of
ID1.7 - Develop a Health and Safety Policy Strategy

hazards should be identified and assessed.

 Due to the greater potential consequences of an accident, major accident hazard sites should aim
for higher reliability in their planning and decision-making.
 Avoid too many simultaneous changes which may result in inadequate attention to some or all.
Phase changes whenever possible.
 Organisational change should be planned in a thorough, systematic, and realistic manner; similar
to the processes for managing plant change.
 Two aspects of the change need risk assessment: risks and opportunities resulting from the
change (where you want to get to) and risks arising from the process of change (how you get
there).
 Consult with staff (including contractors) before, during, and after the change - don't miss serious
issues hidden among all the natural concerns.
 Ensure that all key tasks and responsibilities are identified and successfully transferred to the new
organisation.
 Provide training and experienced support/supervision for staff with new or changed roles.

References
Human factors: Organisational change – www. hse.org.uk

Organisational change and transition management – www.hse.org.uk

https://croner.co.uk/resources/culture-performance/corporate-social-responsibility

The Turnbull report, Institute of Chartered Accountants for England and Wales,1999.

International Labour Standards, Occupational Safety and Health Convention, C155, International
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Labour Organisation, Geneva, 1981

International Labour Standards, Occupational Safety and Health Recommendation R164,

International Labour Organisation, Geneva, 1981

Sarbanes-Oxley Act 2002 (pub L. No 107-204, 116 Stat 745) NEBOSH International Diploma

References

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 Anzd objective

element 8
Contractor and Supply Chain
Management
On completion of this Element, candidates should be able to:

8.1 Outline the principles of managing health and safety in supply chains and the general control
of contractors.
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Contents Page No

8.1 Contractor and Supply Chain 291

IA7 – Organisational Factors

ID1.8 – Contractor and Supply Chain Management

Selection of Contractors 291

Management of Contractors Within the Supply Chain 296
Why Modern Slavery Must Be Managed Within Supply Chain 297
References 298
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8.1 Contractor and Supply Chain

Selection of Contractors

ID1.8 – Contractor and Supply Chain Management

The choice of contractor can have a big impact on health and safety. Since contractors may not be as familiar
with the industry as employees, selection needs even greater attention.

The contractor’s competence must be accurately assessed before appointment.

Competence is not just a matter of technical qualifications or training achievements, although these may be
important, the full range of abilities needed for the work must be assessed.

Definition of roles and responsibilities for the start of contract

In construction projects there are generally three main parties - the owner, the management team, and the
contractor. A contractor has multiple responsibilities, which vary depending on the contract. For example, in
respect to health and safety, the contractor must have adequate procedures to ensure the safety of their workers
and to protect the assets of the owner. The contractor is also responsible for ensuring only trained and
competent personnel are permitted to operate equipment, and preventing misuse. The contractor should also
have procedures to deal with emergencies and unforeseen issues at site, and to report the incidents to the
owner’s nominated supervisor or site co-ordinator.

Under Construction (Design and Management) Regulations 2015 (CDM 2015) the following roles are defined:

Clients: Organisations or individuals for whom a construction project is carried out that is done as part of a
business.

Designers: Organisations or individuals who as part of a business, prepare or modify designs for a building,
product or system relating to construction work.

Principal contractors: Contractors appointed by the client to coordinate the construction phase of a project
where it involves more than one contractor.

Contractors: Those who carry out the actual construction work, contractors can be an individual or a company.

Workers: Those working for or under the control of contractors on a construction site.
Health and Safety Manager: Facilitating co-operation between all parties in H&S matters. Monitoring the
hazards, risks, and corrective actions.

With so many parties involved in a construction site, it is vitally important that clear roles and responsibilities of all NEBOSH
parties are well defined to avoid unnecessary issues such as workers do not understand how they fit into the
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team and what are their responsibilities, time wasted on doing work that should be done by others, duplication of
work, conflicts where multiple people are trying to do the same work at the same time, etc.
International

Preferred List of Contractors

International

Relationships will inevitably be built over time and some contractors will become 'preferred'. This may be through
formal systems such as central purchasing and select tender lists or maybe less formal.
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A personal awareness of a contractor’s safety record and performance on site is the best means of determining
and being able to demonstrate a contractor’s competence.
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The need to go through a complete selection process is reduced with the use of preferred contractors.

By restricting contracts to a select tender list, unknown or below standard contractors can be avoided. In order
for a contractor to be included on a select tender list the client can insist on certain criteria being met. Since the
position of being a preferred contractor can be financially beneficial to contractors the client can demand

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standards are met prior to inclusion. Further the threat of removal from the list can be a useful tool for the client
when ensuring standards are maintained.

IA7 – Organisational Factors

ID1.8 – Contractor and Supply Chain Management

Pre-qualification
The selection of contractor begins with pre-qualification to obtain accurate view of the risk profiles of potential
contractors. The pre-qualification enables the client to verify the contractor's work capability, their safety
management ability and safety track record.

During pre-qualification process, certain criteria is used to consider suitability of a contractor.

Some of the criteria is listed below:

 Financial stability: Financially sound to ensure the successful completion of the work.
 Management ability: Management experience, risk management, quality management, etc
 Technical capacity: Qualification, experience, etc
 Experience: size, number and type of project completed, etc
 Past performance: Project completed on time and on budget, etc
 Reputation: Client satisfaction, claims and litigations, etc
 Resources: Adequacy of material, equipment and staff, etc
 Health and Safety: Safety performance, H&S records, H&S Management Systems, etc
 Quality: tender quality, quality statement, quality control, etc
 Environment: waste management and disposal, etc
 Organisation capability: number of years in business, size of business, manpower, etc
 Planning and Control: method statement, maintenance plan, etc

Organisational procurement process to outline health and safety

criteria for the selection of contractors
As part of the procurement process, checklists may be used to check how seriously a potential contractor
regards health and safety. The depth of questioning needs to be tailored to the risks of the job, but general
considerations should include willingness of the contractor to learn about, and comply with, the client company
standards, and the ability to provide information regarding their health and safety procedures and technical
competence.
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Questions may be necessary to:

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 Identify key people employed on contract
 Define arrangements for supervising and managing the work
 Determine the experience and knowledge of operational and supervisory staff

The deciding factors about the contractor chosen may include:

 Availability
 Cost
 Technical Competence
 Reliability
 Health and Safety

The contractor best equipped to meet the job requirements should be selected.

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Health and safety procedures associated with the job should be included in the contractor’s specification, and
bids should be checked against the specification to ensure that proper provision has been made for
controlling risks.
Examples of health and safety criteria for the selection of contractors include:

Experience

ID1.8 – Contractor and Supply Chain Management

 What experience do you have on our type of business?
 How familiar are you with the hazards in our business?
 Have you done this sort of job before? What are the main problems?
 Can you provide existing risk assessments or safety method statements, e.g., for a similar job?
 Can you supply references?

Health and Safety Policy and Practise

 Do you have a health and safety policy?
 Has the regulatory body ever taken action against your activities?
 What are your health and safety procedures?
 Do you plan to use any sub-contractors?
 Will you provide a safety method statement for this job?
 What safety checks do you make on equipment and materials?

Training and Competence

 Are you a member of a trade / professional body?
 How do you ensure your sub-contractors are competent?
 How do you prepare them for working safely while on site?
 What health and safety training do you provide?

How is the information about health and safety passed onto staff and sub-
contractors?
 Can you show us your training programme and records?
 Have they got current certificates of competence and participation in health and safety training?

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Supervision
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 How do you plan to supervise this job?

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 Who will be responsible for supervision on site?

 How are the changes which arise during a job dealt with?
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 How will you liaise with us?

 If you identify a problem, what action do you take concerning your staff or sub-contractors?
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 Will you report incidents / accidents to us?

 Are you prepared to abide by our rules?
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Contractor Selection Must Consider the Following Aspects:

Contractors’ capability

IA7 – Organisational Factors

ID1.8 – Contractor and Supply Chain Management

When considering contractors’ capability, the following should be taking into account:
 Evidence of experience in the same type of work
 Checkable references from previous clients
 Membership of trade or professional bodies
 Accident/ill-health statistics
 Evidence of prosecutions (convictions) and notices
 Evidence of qualifications for all relevant workers
 Evidence of skills and ongoing training (especially health and safety training)
 Risk assessments and method statements
 Evidence of how sub-contractors are selected
 Recognition of their limitations
 Demonstration that appropriates resources and equipment are adequate and available for work to
proceed.
 Additional requirements when selecting a specialist contractor e.g occupational hygienists:

 Evidence of relevant competency i.e., qualifications, member of a trade of or professional body

at a relevant level that will include completion of continuing professional development.

 Conformation to relevant code(s) of ethics and/or demonstration of independence, impartiality

and integrity

 Ask contractor to demonstrate why they are competent to do the work.

 Evidence that good practice/industry standards are followed.

 Procedures in place for ensuring co-ordination between organisation and contractor of:

 Information sharing e.g. Site rules

 Hazard reporting
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 Control of access to hazardous areas

 Emergency procedures
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 Safe systems of work, including permits-to-work
 Assessment of exposure to hazardous substances
 Sign in/sign out
 Active monitoring
 Assessing number of incidents and special arrangements

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Managing Health and Safety Within Supply Chain

Simply put, supply chain is the flow of raw materials to manufacturer, to supplier, to customer, to consumer.
Both large and small supply chains face challenges relating to health and safety. Safety consideration is required at

ID1.8 – Contractor and Supply Chain Management

every phase or stage of the supply chain as there are implications for the working conditions and health and safety of the
workers.

Focal company

What is focal company?

Companies governing over the supply chains, providing direct contact to end customers, and designing the
product or service offered are known as focal companies.

Focal companies manage the relationships with their immediate suppliers, sub-contractors and customers.

Role of focal company in supply chain

From a health and safety perspective, the focal company’s role is to drive better health and safety standards
across supply chains by expectation of minimum health and safety standards, communication and training.

Different strategies and instruments may be adopted by focal companies to ensure their suppliers are health
and safety compliant, focusing on selection, auditing, monitoring and training, for example adopting specific
procurement strategies that requires the use of occupational health and safety standards for selecting
suppliers, mandating third-party certification, and issuance of codes of conduct.
In addition, the United Nations Global Compact document (UNGC, 2010) states that focal companies
should:
 Share relevant business information with suppliers
 Build long-term relationships
 Create incentives for sustainability
 Expect improvements to sustainability management systems
 Encourage and reward transparency
 Be sensitive to how their own business practices may impact suppliers’ ability to meet
sustainability expectations.

Formal health and safety management systems’ role in supply chain

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A health and safety management system provides a structured management approach to control risks and to
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decrease the incidence of injury and illness in the workplace. The complexity of a health and safety
management system varies, depending on the size and type of workplace.
International

A health and safety management system plays an important role in ensuring safe supply chains for both
people and the environment.
International

Examples of HSE management systems include:

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- ISO 14001:2015 - Environmental management systems

- ISO 45001:2018 - Occupational health and safety management systems
- ISO 26000 - Social responsibility
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A formal certified HSE management system is not compulsory. However, parties within the supply chain can
enjoy certain advantages for having a formal certified HSE management system. This includes:
- Having standards that clearly state the minimum level of compliance

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- Certification of management system demonstrates confidence as it is granted by an

independent third party
- Reduction in audit/inspection costs e.g. organisations do not have to be audited separately

IA7 – Organisational Factors

by each of their customers
ID1.8 – Contractor and Supply Chain Management

Management of Contractors Within the Supply Chain

Contractors are external organisations or individuals that have a contractual relationship with the client.

Contractors could be managed in a number of ways. Establishing clear lines of communication between the
client and contractor/s will ensure that all issues relating to health and safety may be promptly resolved.

In addition to establishing clear lines of communication, there is also the need to ensure co-ordination, and co-
operation between all parties in the supply chain so that work can progress smoothly without conflicts that could
contribute to misunderstanding or unsafe situations, resulting in undesirable incidents such as injuries or other
damages.

The co-ordination, monitoring and sharing of essential health and safety information by the client to the
contractor / sub-contractor workers require careful attention at all stages. It begins at the pre-contract stage
where a thorough assessment of contractor / sub-contractor competence and the selection of suitable
contractors is carried out. Where necessary, health and safety training on site should also be carried out prior
to commencement of work. Pre-prepared information about the client’s rules and procedures to be given to
contractors. Complying with the client’s rules and procedures should be part of the agreement between the
client and contractor. At job execution stage, there should be close cooperation of all parties and appropriate
levels of supervision.

Joint control procedures should be implemented and used by all contractors. For example, ensuring the same
permit-to-work system is used by all contractors, and is centrally controlled. The recording and reporting of
incidents should also be controlled by a common procedure that is shared to all contractors/sub -contractors.
This will enable the client to easily collate and review incident data, and to take corrective actions as
necessary.

The contractor’s job is complete when the work has been done in accordance with the plan and the terms of the
contract agreement.

A joint client / contractor review can be effective in evaluating both the quality of the contractor’s performance
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and the effectiveness of the client’s control during the work.

Some examples of questions that could be asked during the review include:
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 Did the project achieve what it set out to do?
 Were there any problems with the selection process?
 Would you use that contractor again?
 Was the work carried out satisfactorily?
 Were the criteria used to determine the satisfactory progress or completion useful?
 Were the information exchange procedures sufficiently effective?
 Were the liaison procedures effective?
 Were the welfare arrangements effective?
 Were there any significant complaints from the client's employees?
 Could the contractor be included on a preferred list?

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

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Safety certification schemes have become important instruments in the management of contractors in the supply
chain. These certificates are applied by the contracting companies to demonstrate their health and safety and
environmental competencies and that they have rigorous safety management systems in place.

In many European countries (such as the Netherlands, Belgium, France, Germany, Austria, United Kingdom)

ID1.8 – Contractor and Supply Chain Management

and particularly in high-risk sectors, the contractor safety certification schemes have gained substantial
commercial value as it certifies that the contractor's safety management system meets the requirements of the
Scheme.

Why Modern Slavery Must Be Managed Within Supply

Chain
Modern slavery is a broad term which refers to the enslavement of vulnerable individuals whose freedom is
compromised by means of exploitations, threats, violence, and abuse of power or deception. Slavery is illegal
and has been abolished in every country.

Examples of modern slavery within supply chain include: slavery, servitude, forced labour, deceptive recruiting
for labour, debt bondage, etc.

Indicators of modern slavery may include, but are not limited to:

- Excessive working hours

- Forcing workers to work against their will
- Unnecessary deduction of salary
- Withholding of salary
- Confiscation of workers passport

Most victims are reluctant to approach the authorities for help as they fear being punished or losing their
employment.

Investors and society would not tolerate companies guilty of widespread modern slavery in their operations.
Those companies found guilty of modern slavery risk supply chain disruption, loss of revenues and damaged
brand reputation and prosecution.

Where in Supply Chain Modern Slavery Exist?

Modern slavery is present globally in all industry sectors and in all stages of the supply chain from raw materials
supply to manufacturer, to supplier, to customer, to consumer.

Some countries have higher rates of modern slavery due to cultural reasons. Seasonal industries tend to have a
higher rate of modern slavery due to the temporary nature of work. NEBOSH
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Examples of industries in countries where high rate of modern slavery is prevalent:

- Agriculture
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- Clothing and footwear manufacture

- Fishing
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- Construction
- Manufacturing
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References

IA7 – Organisational Factors

ID1.8 – Contractor and Supply Chain Management

Promoting occupational safety and health through the supply chain- by Erika Ustailieva, Annick Starren,
Lieven Eeckelaert and Isabel Lopes Nunes – EU-OSH

Modern slavery challenges to supply chain management by Stefan Gold, Alexander Trautrims, Zoe Trodd

White Paper – modern slavery - NSF

https://www.antislavery.org/slavery-today/slavery-in-global-supply-chains/
NEBOSH International Diploma

NEBOSH International Diploma

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