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NEBOSH
International General Certificate

UNIT TITLES
Unit IGC1: Management of Health and Safety
Unit IGC 2: Risk Assessment

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© Copyright

All rights reserved.

- NEBOSH IG Textbook - Version 2 (2018) Specification Date: July 2020

NEBOSH Syllabus Publication Date: April 2021

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Acknowledgment and Disclaimer

HSE Zip is thankful to National Examination Board in Occupational Safety and Health (NEBOSH)
for allowing us to reproduce extracts from their documents including Syllabus guide, examiner
reports and past exam papers available on their website.

We also acknowledge the permission given by the following bodies to allow the use of their publicly
available material:

• Health and Safety Executive HSE-UK

• International Labour Organization (ILO)
• ISO 45001:2018, Standards and Guidelines
• National Institute for Occupational Safety and Health (NIOSH)-USA
• Occupational Safety and Health Administration (OSHA)-USA
• Safe Work Australia
• Work safe Victoria
• European Agency for Safety and Health at Work
• Work safe New Zealand

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UNIT IGC 1

S.No Element Page No.

INTRODUCTION
1 Why we should manage workplace health and safety 10
1.1 Morals and Money 15
1.2 Regulating Health and Safety 22
1.3 Who does what in organization 29
2 How health and safety management systems work and what they look 38
like
2.1 Occupational Health and Safety Management Systems 41
2.2 Making the Management System Work – The Health and Safety 49
3 Managing risk – understanding people and processes 55
3.1 Health and safety culture 59
3.2 Improving Health and safety culture 65
3.3 Human factors which influence safety -Related Behaviour 77
3.4 Risk assessment 82
3.5 The Management of Change 102
3.6 Safe system of work 106
3.7 Permit to work system 114
3.8 Emergency procedures (including training and testing) and first aid is needed 120
in the workplace.
4 Health and safety monitoring and measuring 126
4.1 Active and Reactive Monitoring 129
4.2 Investigating Incidents 141
4.3 Health and Safety Auditing 154
4.4 Reviews of health and safety performance 161

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INTRODUCTION

NEBOSH IG
International General Certificate in Occupational Health and Safety

NEBOSH IGC Course Details. The National Examination Board in Occupational Safety and Health
(NEBOSH) is an UK based Board found in 1979, provides a numerous education program in
which NEBOSH IGC is the most admired and wanted course by a number of people and HSE
professionals.

About the course

NEBOSH International General Certificate is a globally recognized health and safety qualification
intended for companies or individuals working to international standards with regards to Health,
Safety & Environment. This course focuses on the International Labor Standards (ILO) codes of
practice. Upon successful completion of the certificate, delegates can apply for a membership with
Institution of Occupational Safety and Health (IOSH) and/or International Institute of Risk and Safety
Management (IIRSM) as its qualification meets the academic requirements for Technician
Membership (Tech IOSH) of IOSH and Associate membership (AIIRSM) of the IIRSM.

Who should attend this course?

This course is suitable for individuals who aspire to gain health & safety knowledge on how to manage
risks and hazards in any area of any business. It is also particularly suitable for individuals who are
interested to embark on a career in the Health, Safety and Environment.

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Qualification Overview

1. Unit prefixes and title/s:

Unit IG1: Management of health and safety

Unit IG2: Risk assessment

2. Assessment Method:

Unit prefixes Assessment Type Assessment Time

Unit IG1: Open Book Examination 24 hours

(Assessment completed at home)
Unit IG2: Practical assessment 3 hours(recommendation)

3. Modes of study:

1) A full-time block release course (minimum of two weeks, ten working days including question paper
hours)
2) Part-time day release (spread over at least ten weeks)
3) Open or distance learning
4) E – Learning

4. Qualification level and number of credits:

Notional SCQF Level 6 with 11 credits (Equivalent to RQF Level 3)

5. Entry requirements:

None

6. Recommended minimum standards of English:

Equivalent to an International English Language Testing System score of 6.0 or higher in IELTS tests

7. How the Course is graded:

Candidates must achieve at least 45% from IG1 written exam paper and a ‘pass‘ from the IG2 practical
assignment.

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To pass this NEBOSH IG Certificate, you’ll need to achieve:

• At least 45 marks out of 100 from the IG1 written exam paper, plus
• A ‘pass’ for the IG2 practical assignment. You can only gain a ‘pass’ or ‘refer’ grade for the assignment.

To pass the NEBOSH IG Certificate qualification you will need to complete the single IG 1 written exam paper
successfully and achieve a ‘pass’ grade for the practical assignment IG2 before a final overall grade is awarded.

Passing grades come in three categories, for the IG1 paper students must score at least: 45 – 64 marks to gain
a ‘pass ‘, 65 – 74 marks gain a ‘credit’ and 75 marks or more for a distinction! Candidates must also achieve a
‘pass‘ grade for the IG2 practical assignment.

9. Qualification grading and issue of qualification parchment:

Your qualification grade is based only on the result from the question paper (Unit IG1). But you need to achieve
a ‘Pass’ in both units (Unit IG1 and IG2) before the parchment can be issued.

Distinction 75 marks or higher

Credit 65 - 74 marks
Pass 45 - 64 marks

When you have completed both units, you are normally considered to have completed the whole qualification.
We will then send you a qualification parchment within 40 working days of your final successful unit. We will
only issue individual Unit certificates on written request.

Once we issue the result of the second successful unit, you have 20 working days to either:

• tell us in writing that you want to re-sit a successful unit to improve your grade (see ‘Re-sitting unit(s)’ for
further information); or
• submit an Enquiry About Result (EAR) request; please see the EAR policy for further information:
www.nebosh.org.uk/policies-and-procedures/ enquiries-about-results-ears

10. Who is the qualification designed for?

This qualification is designed for anyone (managers, supervisors and workers) in any type of organisation. It’s
ideal for anyone who needs a broad understanding of health and safety issues to be able to manage day-to-
day risks effectively. Many people take the International General Certificate in Occupational Health and Safety
(IGC) as a first step in a career in health and safety. It gives a valuable overview, and is a sound basis for further
professional study.

11. Benefits for learners?

The IGC looks at everyday solutions for general workplace health and safety issues. When you have
completed the qualification, you will be able to:

• justify the need for health and safety improvements;

• advise on duties for health and safety in the workplace;
• help your organisation to manage contractors;

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• work within a health and safety management system;

• positively influence health and safety culture and behaviour;
• carry out a general risk assessment (using a 5-step approach) of your workplace;
• recognise workplace changes and their impacts and understand how to minimise these impacts;
• develop basic safe systems of work that include emergency arrangements and know when to use a
permit-to-work system;
• take part in incident investigations; and
• help your employer check the effectiveness of their health and safety management system
• through monitoring, auditing and review.

13. Benefits for employers?

When you achieve the IGC, you will be a huge asset to your employer. You will make a real difference in the
workplace. You will have the knowledge, understanding and skills to help protect the health and safety of all
workers. You will also be able help your employer to comply with the law and good practice, as well as help
them avoid the huge costs from incidents and ill-health.

14. Professional Membership?

Once you have your qualification parchment for the IGC, you can apply for the following memberships.

Membership body Membership category Designatory letters

International Institute of Risk and Safety
Management Associate AIIRSM

Institution of Occupational Safety and Health

(IOSH) Associate AIOSH Technical Tech IOSH

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Flow Chart of Attaining NEBOSH IGC Certificate

Social Media
Marketing / Business Development Automatic Enquiry
Facebook/ WhatsApp

Course Brochures/ Course Outline

Admissions Enquiry

Course Advisor Course Brochures/ Course Outline

Registration Form Terms and Condition & Data Protection Policy

Schedule Allocation of trainer for

Registered Learners

Mode of Study based on Candidate requests

If
Open and Distance Learning
Study Materials to Learners
Access will provide.

Course programme and Training Execution

Register of NEBOSH Exam

Learner Attending the Exam and IG 2 submission

Re sit
Results for Examination

NEBOSH Certificate Receiving

CERTIFICATE DELIVERY
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About Us:

We are the No.1 International recognised Quality, Health, Safety & Environmental Training Provider in India
& UAE. Specialized in International Professional Training and Certification based on interested parties’
bases.

Vision
To be a universally valued educational academy that ultimately provides quality educations to all
community people in the world. And to achieving our educational goals with our quality policy.

Mission Statement
We aimed to provide an eternal motivation to the Youngsters in transformation of professionals in their
stream of education and interests. Providing assistance and training to the people to expertise in their
educational field.

Our Professional Goals

Attaining worldwide educational quality standards for the advancement of mankind education system with
our newly implemented educational strategies. To improvise the education and technology status by being
a part of educational source.

Our Quality Policy

The Directors, Management and Staff are responsible for educational development Control through the
Quality Educational Management System seeking improvement by constant review, with our supporting
members and students being encouraged to co-operate.
• Adhering to the Hi-Tech practical training methodology.
• Consistently improving in educational training system.
• Analysing the ways of prevailing learning and coaching method to improve the limitations and to
come up with different solutions.
• Benchmarking our performance in Educational quality against the peripheral standards.

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NEBOSH INTERNATIONAL GENERAL

CERTIFICATE

UNIT IGC1: MANAGEMENT

OF HEALTH AND SAFETY

Element 1 - Why we should

manage workplace health and
safety

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Overall Aims
On completion of this element, you can understand:

• Discuss the moral, financial, and legal reasons for managing workplace health and safety.
• Describe how health and safety regulations are enforced, as well as the consequences of
noncompliance.
• Summarize the main health and safety responsibilities of various groups of people at work.
• Describe how contractors should be chosen, monitored, and managed.

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Element
Why we should manage workplace health and safety
1

1.1 Morals and Money

1.1.1 Reason for Managing Health and Safety ................................................................................................ 15
1.1.2 Moral Reasons for Good Standards of Health and Safety ...................................................................... 16
1.1.3 Financial Reasons for Good Standards of Health and Safety.................................................................. 17
1.1.4 Legal Reasons for Managing Health and Safety in the Workplace ......................................................... 19

1.2 Regulating Health and Safety

1.2.1 What Enforcement Agencies do and What happens if you don’t comply .............................................. 22
1.2.2 Role of Enforcement Agencies ............................................................................................................... 23
1.2.3 Consequences of Non-compliance ......................................................................................................... 23
1.2.4 Part Played by International Standards .................................................................................................. 24
1.2.5 The International Labour Organisation’s (ILO) Convention C155 and Recommendation R164 ............... 24
1.2.6 Where you can find Information on National Standards ........................................................................ 27
1.2.7 Sources of Information ..........................................................................................................................28

1.3 Who does what in organization

1.3.1 The Employer .........................................................................................................................................29
1.3.2 Roles of Directors and Managers (The Employer) .................................................................................. 29
1.3.3 How Top Management Can Demonstrating Commitment….................................................................. 31
1.3.4 Responsibilities of Organisations Who Share a Workplace to Work Together on Health & Safety ......... 33
1.3.5 How Clients and Contractors Should Work Together ............................................................................ 34

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Element
Why we should manage workplace health and safety
1

In this section, topics will learn about:

1.1 Morals and Money

1.2 Regulating Health and Safety
1.3 Who does what in organization?

Introduction to health and safety in Workplace

Occupational Health and Safety (OHS) is the discipline concerned with protecting the health and safety of all stakeholders
in the workplace from exposure to hazards and risks resulting from work activities. All workers are entitled to work in
environments where risks to their health and safety are properly controlled. Under ILO health and safety law, Employers
have a duty to consult with their employees or their representatives, on health and safety matters. It is a responsibility
shared by both the employer and the employee.

For employers, one of the fundamental principles of workplace health and safety is risk assessment which identifies all
the hazards and potential for harm whilst working.

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Introduction to Key Terms

Term Health
The term “health”, indicates not merely the absence of disease or illness; it also includes the physical, mental, social,
ergonomically elements affecting health, which are directly related to safety and hygiene at work.

Term Safety
The “protection of people from physical injury” – Eg. Cuts, crush, amputation, etc. It refers to a workplace having an
acceptable degree of freedom from risk (i.e) Risk is reduced as low as reasonably practicable.

Term Welfare
Welfare is defined as ‘taking care of the basic needs of the people’s’., Access to basic facilities such as toilet facilities,
hand-wash stations, changing rooms, rest rooms, places where food can be prepared and eaten in relatively hygienic
conditions, drinking water and basic first-aid provision.

Term occupational illness

An “occupational illness” is a chronic ailment caused by exposure – typically over a prolonged period to workplace
hazards or work activities. Occupational illness is a serious problem for businesses. In fact, more legal claims result
from occupational ill-health issues than any other work-related safety issue.

Term Hazard
A “hazard” is any source of potential damage, harm or adverse health effects on something or someone. For example,
to people as health effects, to organizations as property or equipment losses, or to the environment).

Term Risk
“Risk” is the chance or probability that a person will be harmed or experience an adverse health effect if exposed to a
hazard. It may also apply to situations with property or equipment loss, or harmful effects on the environment.

Term Likelihood
The state of “likelihood” is used to refer to the chance of something happening or reasonable probability of occurring.

Term Accident
An “Accident” is defined as an unplanned event that results in personal injury or property damage.

Term Incident
An unexpected event that happens at or off the work place which did not resulted any loss to man, material or equipment
etc. It can be termed “incident”.

Hazardous Event
A “hazardous event” takes place when someone or something interacts with the hazards and allows it to cause harm.

Term Near Miss

A “near miss” is an event that did not result in injury, illness, or damage – but could have potentially resulted in loss man,
material or equipment etc.

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Term Risk Assessment

Risk assessment is a term used to describe the overall process or method where you:

• Hazard identification - Identify hazards and risk factors that have the potential to cause harm.
• Risk analysis and Risk evaluation - Analyze and evaluate the risk associated with that hazard.
• Risk control - Determine appropriate ways to eliminate the hazard, or control the risk when the hazard cannot be
eliminated.

1.1 Morals and Money

In this section, you will learn about:

1.1.1 Reason for Managing Health and Safety

1.1.2 Moral Reasons for Good Standards of Health and Safety.
1.1.3 Financial Reasons for Good Standards of Health and Safety - (Insured and Uninsured Costs).
1.1.4 Legal Reasons for Managing Health and Safety in the Workplace.

1.1.1 - Reasons for Managing Health and Safety

The reasons for managing health & safety include: reduced loss through damage & injuries, reduced absenteeism &
insurance premiums, improved moral and company reputation, reduced litigation / legal cost, fines, compensations
payments; and increased likelihood of securing business.

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There are three fundamental reasons for organizations to manage health and safety risk:

• Moral – as human beings we should feel obliged to look after each

other’s safety / Humanitarian Reason.

• Social or Legal – there are strict legal obligations imposed on

employers and employees relating to the safety of employees and
others affected by the business and To “avoid legal problems and
compensation claims”.

• Financial or Economic – businesses that address health and safety

risk are invariably more successful than those that do not. Loss
events such as “accidents or ill-health” lead to significant direct and
indirect costs.

1.1.2 - Moral Reason for Good Standards of Health & Safety:

Health & Safety is the responsibility of every employer. This is also the duty of the administration to provide effective
processes for the control of health and safety. There are various categories of risks relating to employment, involving all
kinds of companies, from a small low-risk workplace to a high-risk nuclear plant requiring a multi-disciplinary health and
safety committee.

The Size of the Health & Safety Problem:

The following global figures have been released by the International Labor Organization (ILO) as part of their SafeWork
program (you do not need to recall the exact figures; we send them to illustrate the size of the problem):

• There are 270 million occupational accidents and 160 million occupational diseases
recorded each year.
• Around 2 million people die every year from occupational accidents and
occupational diseases.
• 4% of the world's gross domestic product is lost each year through the cost of
injury, death, absence, etc.
• There are around 355,000 work-related fatal accidents each year - half of these
occur in agriculture.

These figures relate to the number of accidents and cases of disease which are reported and recorded globally. Not
everything is reported or recorded, however, so the real figures are almost certainly higher.

Organizations set up companies to naturally make profits to make money. They hire staff and consultants to get the job
finished. Workers are paid to carry out the duties given to them by the contractor. The employer shall provide the
employee with everything possible to carry out the job in the desired period with the correct efficiency. No employer will
want his workers to get injured or harmed while doing their duties. This is the moral obligation of the employer to take
care of his workers. This moral obligation can also be called 'humanitarian' or 'ethical.' Employers pay staff for their jobs
and not for being injured when doing so. Therefore, the employer must ensure that workers who work with him do not
get hurt or suffer ill-health. That's the moral justification for managing safety.

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1.1.3 - Financial Reasons for Good Standards of Health and Safety - (Insured and Uninsured
Costs).

Accidents and ill-health are costly. When an accident or ill-health occurs, there will be direct and indirect costs associated
with that event. Some of these losses can be insured against, but many cannot. Accidents and ill health can significantly
affect the profitability of an organisation and, in some cases, can put an organisation out of business.

Today the business scenario is changing and if a business is not able to make profits year on year then it is difficult to
sustain it. Businesses realize that to maximize profits and to minimize production costs, and the costs associated with
accidents either needs to be totally eliminated or atleast minimized as far as possible.Let us now understand as to what
are the costs associated with accidents.

This is the financial argument for managing health and safety. It is sometimes referred to as the business case because it
focuses on money.

Insured and Uninsured Costs of Accidents and Ill-Health:

Employers usually take out insurance to cover themselves against potential losses caused by such events as fire and theft.
In many countries, employers are also required by law to have insurance against certain types of liability .

Subject Emphasis
All employers are required to have certain types of insurance against accidents, ill-health or other problems, such as:

• Employers’ liability;
• Public liability;
• Motor vehicle;

However, as above said insurance does not cover all the costs arising from accidents and ill-health, which can have a
dramatic impact on the business. Many employers employees and public think that most incidents costs are covered by
insurance. However, insurance policies do not cover everything; they only pay for injuries or damages.

Uninsured costs vary between businesses and types of accident. They are, however, several times more than the insured
costs. They can be likened to an iceberg. The costs recoverable through insurance are visible. But hidden beneath the
surface are the uninsured costs. Like an iceberg, most of the costs are not immediately visible.

Uninsured costs include all indirect costs as well as those relating to loss of production as a result of many types of
incident. It has been estimated that uninsured losses were between 8 and 36 times greater than insured losses. The costs
that are not covered by the insurance agencies are:

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Emphasis focus
Examples of possible insured and uninsured losses include:

Insured Costs Uninsured Costs

• Damage to plant, buildings and equipment. • Production delays or down time
• Compensation paid to workers • Loss of raw materials due to accidents
• Medical costs • Accident investigation time
• Legal costs (civil claims) • Criminal fines and legal costs
• Damage to industrial relations • Sick pay for injured workers
• Overtime to make up for lost production
• Hiring and training new employees
• Legal costs (civil claims)
• Loss of business reputation

Direct and Indirect Costs of Accidents and Ill-Health:

The theory of the consequences of an incident can be closely compared to that of a floating iceberg. What we see above
the ocean surface is just 1/10th of the mass of the iceberg, while the 9/10th of the mass is lost under the oceans. In the
same way, we compare the costs of injuries mainly to the costs of hospitalization and insurance awards that can be readily
calculated, which are often known as direct costs, but most of the costs are covered like icebergs and can be several
times the direct costs, which are known as indirect costs.

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Looking at the above, it is no question that injuries cost capital, and it is the indirect costs that cause much of the harm
to the results of businesses, and thus it is better for firms to invest in the avoidance of incidents (which some businesses,
sadly, view as losses) rather than the loss arising from injuries.

Term Direct and Indirect Cost:

Direct costs: “the measurable cost that are directly associated with accident.”

Indirect costs: “the cost which arise indirectly as a consequence of the event and not easy to quantify precisely and
also hard to identify.”

Emphasis focus
Examples of possible Direct Costs and Indirect Costs include:

Direct Costs Indirect Costs

• First aid treatment • Loss of goodwill of the customers following delays in
• Worker sick pay production and fulfilling orders
• Hospitalization costs • Loss of staff from productive duties in order to
investigate the incident.
• Compensation payable to the victims
• Loss of staff morale, which impacts productivity and
• Fines in the criminal courts quality.
• Repairs or replacement of damaged structures • Cost of remedial action following an investigation.
and plant • Cost of recruiting and training temporary or
• Lost or damaged product replacement labor.
• Lost production time while dealing with the injury • Compliance with any enforcement notice served.
• Damage to public image and business reputation.
• Overtime to make up for the lost time
• Damage to industrial relations, perhaps leading to
• Costs associated with rehabilitation of the injured
workers unrest.
worker and their return to work. • General difficulties in recruiting and retaining staff
as an indirect result of the accident.

1.1.4 - Legal Reasons for Managing Health and Safety in the Workplace.

Legal requirements for health and safety management apply

to the system of international and regional regulations
governing the work of companies and institutions. Many
states have regulations that set guidelines for how
companies should treat themselves with regard to health
and safety. Failure to comply with these minimum legal
standards could result in disciplinary action by the
authorities or prosecution before the courts. Successful
prosecution may result in a fine and, in many countries,
imprisonment for the persons involved.

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Strong legal reasons for employers to manage risk

• Preventive – enforcement notices (improvement or prohibition) can be issued by enforcement inspectors.
• Punitive – where the criminal courts impose fines and imprisonment for breaches of legal These punishments can
be given to the company or to individuals within the company.
• Compensatory – where employees are able to sue in the civil courts for compensation.

Legal Framework of Authorities:

Before taking care of the legal requirements, no entrepreneur can start a business. Even before the establishment of
companies, local authorities obtain such licenses; These permits are only issued if the employer undertakes to ensure
that all relevant requirements of the law are met. Some national legislation will require employers to take care of the
health, safety and welfare of their workers. These laws are implemented by local authorities in consultation with the
community.

Social expectations that change as standards of living, technologies and knowledge improve, and legislation is also
changed to take account of these rising expectations. In order to ensure compliance with the legislation, national
governments also designate regulatory officials who are authorized to access the organization, conduct investigations,
interview individuals and verify documents. During these routine inspections, if enforcement agencies find any violations
regarding the law, they may initiate proceedings, which can range from a simple enforcement notice to a trial in criminal
court, which can result in fines, imprisonment, or both.

The following are the social factors that influence health and safety:

• Migrant workers
• National level of sickness and incapability
• Social expectations of equality
• Economic climate
• Government policy
• Risk profile
• Globalizations

Many states have these legal requirements in order to meet the demands of their societies. These demands are expressed
in the laws regulating the actions of people and organizations. The perceptions of society continue to increase over time,
meaning that the norms of conduct of organisations will follow these higher expectations. In this way, basic health and
safety regulations are revised over time to become more stringent.

Subject Emphasis
The legal responsibility for health and safety at work rests primarily on the employer. The employer has a duty to
provide the following:

• Safe place of work.

• Safe plant and equipment.
• Safe systems of work.
• Information, Instructions, Training and supervision.
• Competent workers
• Social expectations of equality

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Other References about the Topic

The below ILO and HSE Website provides helpful Guidence on the topic of health and safety:
• www.ilo.org
• www.hse.gov.uk

Study questions from above Covered Topics

1. Define:
a) Health.
b) Incident
c) Hazardous Event
d) Term Near Miss
e) Term Risk Assessment
f) Safety.
g) Welfare.
h) Term occupational illness
i) Term Hazard
j) Term Risk
k) Likelihood
l) Accident
2. Give three insured costs and three uninsured costs that may arise from a workplace accident.
3. What are the potential costs to an organization as a result of inadequate health and safety standards?
4. What are the reasons for promoting and maintaining good health and safety standards in the workplace?
5. Explain the moral reasons for healthy and safe management?
6. What are the types of insured costs and uninsured costs for accidents?
7. A serious accident has occurred to a worker and there will be costs to the organization as a result.
a) What costs are likely to be insured?
b) What are the reasons why it is important for an organization to maintain employer liability insurance?

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1.2 Regulating Health and Safety

In this section, you will learn about:

1.2.1 What Enforcement Agencies do and What happens if you don’t comply
1.2.2 Role of Enforcement Agencies
1.2.3 Consequences of Non-compliance
1.2.4 Part Played by International Standards
1.2.5 The International Labour Organisation’s (ILO) Convention C155 and Recommendation R164
1.2.6 Where you can find Information on National Standards
1.2.7 Sources of Information

1.2.1 - What Enforcement Agencies do and What happens if you don’t comply

Every nation has its own way of enforcing health and safety laws.
Regardless of the name of the organization, they are all subject to
those roughly the same rules all over the world. Enforcement agencies
play a dual role in ensuring that operations are carried out according
to the following:
a) With the requirements of the law and, at the same time,
b) If the law is breached or injuries occur, then prosecute and
lay the groundwork for criminal prosecution of the company.

Law enforcement agents have the right to enter the property at any
time without proper authorization to take photos or search records,
or to seize any incriminating or illicit drugs found in the property in
order, if necessary, to destroy them. They must seek assistance from
the local police to carry out this task.

Enforcement: “The implementation of health and safety regulations does not ensure compliance or effectiveness in the
prevention of injuries and ill-health, so enforcement may be required”.

Enforcement agents usually have a variety of authority to deal with breaches of the law and other situations they consider
to be dangerous. Such authorities also lead in disciplinary actions, depending on the seriousness of the non-compliance,
such as:

Informal: E.g. providing health and safety advice and guidance, verbal and / or written; and

Formal: That may involve either or a combination of the following: conviction with the intent of punishment;,
e.g. company or individual fines and or imprisonment of individual/s, or ensuring legal compliance,
e.g. issuing legal mandates (authorisation) to stop dangerous activities,
e.g. prohibition notices; issuing legal mandates to comply with the law,
e.g. improvement notices.

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1.2.2 - Role of Enforcement Agencies

There is no coordinated national framework for implementing health

and safety legislation, and regulatory and compliance frameworks vary
from country to country. However, there are some general normative
organizations that may have the following standards that usually apply:
Enforcement Agencies, In many countries, the government can
allocate health and safety authority to a private agency. Such an entity
is essentially a health and safety police agency. In some cases, they
may be, or may be, with the assistance of the police.
Fire Authorities, Many have a separate fire authority with a role in
Figure 1 - Determining of Enforcement Action enforcing fire safety legislation and/or advising employers.

Insurance Companies, In some countries, insurance companies play a major role in enforcing safety, thus avoiding the
necessity for the government to hire many law enforcement personnel. The inspections and audits they perform for their
clients' premises complement those conducted by the authorities, and in some cases are the only inspections that occur
on a regular basis. They can exert significant influence in raising standards, as they can refuse to provide insurance cover
unless their standards are met.

1.2.3 - Consequences of Non-compliance:

A breach of health and safety legislation is a criminal offence and the following could be the consequences:

• Formal enforcement action: There are two types of enforcement action:

a. Improvement notices: This defines a particular breach of the law and describes the date by which the
condition will be remedied.
b. Prohibition notice: This notice is given to halt an activity which the inspector feels could lead to serious
personal injury.
• Prosecution of the organization in the criminal courts: Successful prosecution might result in punishment in the
form of a fine.
• Prosecution of individuals, such as directors, managers and workers: Successful prosecution might result in
fines and/or imprisonment.

As well as the implications of criminal procedure, there is also the issue of insurance for employees and those affected
by an incident at the workplace. Based on the region / country involved, these can include the worker:

• Bring legal action against their employers in the civil legal system and have to show that their employer has been
incompetent and is thus to blame for their injuries.
• Claiming compensation from national compensation schemes, with no requirement to prove negligence or blame
through the use of the legal system

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Civil Law

The division of law relates to the right of individuals, for example, to compensate people for harm inflicted on them
without guilt on their part.

The employee or any interested party who has been injured or suffered health effects due to conditions in the workplace
can claim compensation by filing a suit in the civil court. Here the claimants (the person claiming compensation) must
prove that the employer was negligent in his actions and that this negligence resulted in the ill health or injury of the
claimants.

1.2.4 - The Part Played by International Standards (like ISO 45001)

The ISO is a weblink of the national standards institute in 157 countries with a central secretariat in Geneva, Switzerland
that coordinates the system. The International Organisation for Standardization is the world’s largest developer of
management standards. ISO has developed:

• ISO 9001 (Quality management standard)

• ISO 14001 (Environmental management
standard)
• ISO 45001 (Occupational health and safety
management systems (H&SMS))

Although these are not legal documents, they have been adopted by other organizations around the world because they
have demonstrated sound business practices. The result is a combined solution for quality and environmental
management. On the technological level, ISO was responsible for the development of safety standards under which
machines, etc. would adhere, e. g. ISO 12100: Machinery Health. Such requirements are then commonly referred by
national regulations on the machinery safety, since compliance with the recognized international standard demonstrates
safety.

1.2.5 - The International Labour Organisation’s (ILO) Convention C155 and Recommendation
R164:

International Framework Law:

We have now learned that the legal justification is one of the reasons for managing health and safety. Let us all consider
how these laws are made, how there is uniformity across nations in these rules, how these rules are applied, and the
consequences of not agreeing with them.

The International Labor Organization (ILO), a United Nations (UN) body, is an important player in the field of international
legal standards in the field of health and safety. Most countries are affiliated with the International Labor Organization.
The main outputs of the ILO are the Conventions and Recommendations. These set international legal standards.

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Conventions and recommendations that form the basis of

comprehensive legislation in each Member State, culminating in the
implementation of minimum specific health and safety requirements.
Comprehensive standards can also vary, as the parameters are
applied by each Member State in a geographically appropriate
manner. The ILO adopted the Convention on Occupational Safety and
Health (C155) in 1981. It describes a common health and safety policy
both at the state level and at the level of the company involved.

The 1981 Occupational Safety and Health Recommendation (R164) supplements C155 and provides more detailed
instructions for how to comply with the C155 policies. In particular, it defines the responsibilities that should be imposed
on employers and staff in order to meet the basic objective of a safe and healthy place of work. Many countries that
belong to the ILO have ratified C155 and R164 and have then legislated to put their requirements into the national (or
regional) law.

Now let's look at the difference between the convention and the recommendation and take some examples
of the same to strengthen our understanding.

Conventions are legally binding international conventions that must be ratified by Member Nations, while
recommendations act as non-binding guidance. The Convention lays out the basic rules to be adopted by the ratification
countries, although a related recommendation supplements the Convention by providing more specific instructions on
how to apply it.

The ILO introduced the Occupational Safety and Health Convention (C155) in 1981. It is the purpose of setting up a
convention that outlines the health standards for both the regional and the individual level of the organisation.

This convention is supplemented by the Occupational Safety and Health Recommendation 1981 (R164). It provided
detailed guidance as to how to comply with the policies laid down in C155. Let us now look at some of the necessities
laid out in C155 and R164.

Article 16 of C155 identifies some basic obligations placed on employers:

1. “…toensurethat…theworkplaces,machinery,equipmentandprocessesundertheircontrolaresafeandwithoutrisktohealth.
2. …toensurethat…thechemical,physicalandbiologicalsubstancesandagentsundertheircontrolarewithoutrisktohealth...
3. …toprovide…adequate protective clothing andprotective equipment to prevent…risk of accidentsor of adverse effectson health.”

Source: C155 Occupational Safety and Health Convention, 1981 (abbreviated)

Copyright © International Labour Organization 1981

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Employers’ Responsibilities:
There is general understanding in C155 and R164 that much of the
responsibility for ensuring good standards of health and safety at work
falls with the employer – since they provide employment, work space,
equipment, processes and procedures, etc. They recognize that it is the
responsibility of all workers. Although regulatory terminology varies
from country to country, the basic idea is that employers and workers
must take adequate measures to ensure the safety and absence of
health risks.

These obligations are very usually worded in the Convention. R164 expands on what they might mean in practice. It
identifies some practical obligations to meet the objective of Article 16 of C155.

Subject Emphasis

Specifically, Article 10 of R164 puts the following obligations on employers:

• Providing workplaces and work equipment, and using safe work methods that do not pose a threat to
health.
• Provide appropriate instructions and training.
• Provide the necessary supervision.
• Develop health and safety arrangements that are compatible with the size and nature of the project.
• Provide any necessary personal protective clothing and equipment free of charge.
• To ensure that working hours do not adversely affect the safety and health of employees.
• Take the necessary measures to eliminate any severe physical and mental stress.
• Keeping up to date with knowledge in order to comply with the above.

Workers’ Responsibilities and Rights:

Article 19 of C155 states that all workers and their representatives have to co-operate with their employer so that they
can fulfil their safety obligations.

Subject Emphasis

R164 says that workers should:

• Take reasonable care of their own safety and the safety of other
people who may be affected by the things they do and fail to do.
• Comply with safety instructions and procedures.
• Use all safety equipment correctly and do not tamper with it.
• Report any situation that they think may be dangerous and they
cannot correct themselves.
• Report any work-related accident or ill health.

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The Convention and Recommendation not only put a duty on workers, but also give those workers rights. In addition to
the basic right to a safe workplace, Article 19 of C155 gives workers the following rights:

Subject Emphasis

R164 says that workers Rights :

• The right to obtain adequate information on the actions taken by the employer to ensure occupational safety and
health.
• The right to the necessary training in the field of occupational safety and health.
• The right to consult the employer in all issues of occupational safety and health related to their work.
• The right to leave the workplace that the worker believes poses an imminent and dangerous danger to his life or
health, and not to be forced to return until it is safe.

1.2.6 - Where you can find Information on National Standards

Information on international standards is available from the ILO website and national standards can be obtained from
the relevant national regulatory bodies, who publish guidance documents which provide information on the legal
standards required. Many of the regulatory bodies have websites which are valuable sources of information, such as:

• http://www.hse.gov.uk the health and safety website for UK.

• http://www.ilo.org for information on ILO conventions and
recommendations.
• http://www.dgms.gov.in for information on Indian labour and
OHS laws.
• https://bis.gov.in/for information on quality, safety and
reliability of products w.r.t Indian scenario.
• http://www.osha.europa.eu for EU related information.
• https://www.osha.gov/for USA related information.

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1.2.7 - Sources of Information:

Emphasis focus
Internal Source of Information External Source of Information
• Accident records • National legislation
• Medical records • Material safety data sheets
• Risk assessments • Codes of practice / Guidance notes
• Maintenance reports • Information from local safety groups.
• Safety inspection reports • Information from trade associations.
• Plant registers. • Operating instructions
• Company’s safety library. • Trade association’s publications
• Company Policies. • Safety publications
• Information from health & safety advisor Audit • Workplace exposure limits
reports • Workers insurance companies & unions.
• Safety committee minutes

Study questions from above Covered Topics

1. Identify three of the legal duties an employer must comply with.
2. Define two legal duties that the worker must comply with.
3. What are the consequences of an employer's failure to comply with legal health and safety responsibilities?

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1.3 Who does what in organization

In this section, you will learn about:

1.3.1 The Employer

1.3.2 Roles of Directors and Managers (The Employer)
1.3.3 How Top Management Can Demonstrating Commitment
1.3.4 Responsibilities of Organisations Who Share a Workplace to Work Together on Health &
Safety
1.3.5 How Clients and Contractors Should Work Together

1.3.1 - The Employer

The contractor is responsible for ensuring that the workforce is safe and free from health risks. As we have already stated,
the ILO Convention C155 and Recommendation R164 make the employer's responsibility clear. These international
standards are generally expressed in local legislation. Look again at the relevant section of this section to remind yourself
of the employer's duties. It is necessary to remember that the employer (client) owes:

• Their own workers (employees) to ensure their health and

safety.
• Other workers who might be working within their
workplace but are not direct employees such as casual
workers, agency workers and contractors.
• Workers who are not their employees and are not working
in their workplace but are carrying out work on their
behalf, such as contractors installing a piece of machinery
on behalf of the employer at someone else’s premises.
• People who might be outside their workplace, but are
affected by their work activities; such as members of the
public passing by.

So, an employer has responsibility for the health and safety of everyone who might be affected by what they do for work,
whether they are their employees, or not.

1.3.2 - Roles of Directors & Managers

Directors and Senior managers

Directors and managers have an significant role to play in establishing, enforcing and guiding health and safety within the
company. They have a vital element with them, without which nothing would be possible. This critical factor is what we
call 'resources.' Resources could be capital, space, personnel, plant and equipment or more simply, it could be managerial
time to provide a hearing on health and safety related issues.

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However, executives and general administrators are scarcely interested in the day-to-day operations of the organizational
side of the company. Their role does not normally involve ‘doing’, but rather setting strategy and allocating resources. It
is also the duty of directors and senior management to ensure that:

• The right health and safety policy is put in place.

• Adequate personnel are dedicated to develop, execute and maintain the health and safety management program.
Which requires sufficient funding to achieve the policy objectives, but also competent staff to help in the
implementation of policy objectives.
• The exact organisational structures with clear roles and responsibilities are put in place.
• A director/senior manager is appointed with exact responsibility for health and safety so that it can be championed
at board level.
• One or more competent persons are selected to assist the organisation in meeting its health and safety obligations.
• Contractors are engaged and managed correctly, demonstrating the organisation’s health and safety responsibility
to third parties.
• The health and safety performance of the organisation is reviewed on a regular basis to ensure that the objectives
are being achieved and that the objectives and measures in place remain valid.

Directors and senior managers will have an enormous impact on their organisation and their priorities. This influence is
not necessarily due to their strategic decision-making, but rather to the manner in which they are viewed by the lower
management hierarchy. They will show a strong dedication and leadership on health and safety issues.

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Middle managers and supervisors

Middle managers and supervisors are involved in the day-to-day operative running of the organisation, so are responsible
for the health and safety standards within the operations under their control. Their operational areas of responsibility
are normally defined in their job description and in the organisation’s health and safety policy documentation.

• Line managers will be operationally accountable for the health and safety of:
• The staff that work straight for them (their direct reports).
• Staff lower down in the organisational chart (below their direct reports).
• The areas and activities under their control.

1.3.3 - How Top Management Can Demonstrating Commitment

Top management, for example, directors / senior management, should be active in the management of health and safety.
They should establish their commitment by taking action to meet their responsibilities, for example, providing resources
for a health and safety management system. In count, they should consider appointing a person from the senior
management team to ensure health and safety is given equal importance.

By appointing senior managers with specific responsibility for health and safety: The management appointee is typically
responsible for presenting health and safety performance and reporting to the senior management team. They would be
interested in the organisation of an annual analysis of health and safety results.

By defining roles and responsibilities: Top management should determine who has to do what with respect to health
and safety management. This will include a senior manager, a director of the management team and anyone on the senior
management team who plays a leading role in health and safety. Certain functions to be clearly identified include:
a) Health and safety practitioners.
b) Those that conduct governance audits, if they include health and safety.
c) Human resources and training managers.
d) Purchasing managers.
e) Worker health and safety representative.

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By Resources for a Health and Safety Management System: To design, implement and sustain the occupational health
and safety management system . Examples of resourses are below:

a) Technical.
b) Organisational.
c) Infrastructure and Equipment.
d) The need for information, expertise, knowledge and training.
e) The amount of support from senior management needed.
f) Finance.
g) Time.
h) People.

By appointing competent people (internal and external, including specialists) to help the organisation meet its health
and safety obligations: Competent individuals shall be named by the top management, on behalf of the company, to
provide guidance and assistance to the company in performing its obligations. In order to ensure the correct selection of
individuals, the company should:

a) Appoint one or more competent persons to assist with compliance with national health and safety legislation
and other appropriate standards.
b) Make preparations for the persons to co-operate.
c) Ensure the number of people appointed, time available and means at their disposal are adequate. Consider
the size of the organization, its risks and distribution of the risks and any national legal minimum
requirements.
d) Persons appointed that are not workers are provided with information.

This is necessary to ensure that those appointed are competent, which means that they have adequate expertise and
experience or skills and other qualities. The following considerations will be taken into consideration:

• Designing and developing strategies and plans.

• Implementing these strategies and plans.
• Evaluating their effectiveness.
• Promoting and communicating health, safety and welfare advances and practices.
• Awareness of own limitations.
• Knowledge and understanding of work involved.
• Principles of risk assessment and prevention.
• Current health and safety applications.
• Capacity to apply to tasks required.
• Identify problems.

It is important that managers and workers understand that the competent persons are appointed to assist the
organization and top management in matters of health and safety in order to maximize its effect.

By reviewing health and safety performance: Reviews of the management of the health and safety performance of the
organization should be carried out on a periodic basis by the top management team, for example on an annual
basis. Management system reviews should focus on the functioning of the management system and consider whether
it is effective in meeting the policy and objectives of the organization.

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1.3.4 - Responsibilities of Organisations who Share a Workplace to Work together

When two employers share a work place, it is not difficult to understand that the risks that one employer causes in that
work place will impact the workers of the other employer. For example, if two employers hold offices in the same building,
the fire risk generated by one employer affects the safety of the other's employees. It follows that all companies must
collaborate and plan their practices in order to ensure high levels of health and safety. Let us now look at the conditions
laid down in Article 17, R164, C155, Recommendation 11 with respect to the sharing of the workplace.

Article 17 of C155 states that “Whenever two or more undertakings engage in activities simultaneously at one workplace,
they shall collaborate in applying the requirements of Occupational Safety and Health Convention

Article 11 of R164 states that “Whenever two or more undertakings engage in activities simultaneously at one workplace,
they should collaborate in applying the provisions regarding occupational safety and health and the working environment,
without prejudice to the responsibility of each undertaking for the health and safety of its employees. In appropriate cases,
the competent authority or authorities should prescribe general procedures for this collaboration”.

(Source:https://www.ilo.org/dyn/normlex/en/f?p=NORMLEXPUB:12100:0::NO:12100:P12100_INSTRUMENT_
ID:312502:NO)

Joint occupiers of premises are those that share a common concept but have their own business interests, staff, systems
and facilities. In such scenario the risks created by one of the business could affect the employees of the other business.
For example, there could be a pathological laboratory next to a garment manufacturing plant. Biohazards and waste
created by the pathological lab could become a danger for workers working in the clothing company and, at the same
time, cloths and other raw materials would pose fire hazards for workers in the pathological lab. In order to deal with
such a situation, it is the duty of the sole owner of the company to be joint occupants of the premises. The following
should be achieved to ensure good coordination:

Each employer will appoint a senior staff member to a joint committee which will meet periodically to address safety
related issues.

• There should be joint consultations to ensure that hazards of each of the occupiers are known and the control
measure recorded.
• There should be procedures jointly made to deal with emergencies and fire and other emergency mock drills should
be planned and jointly executed.

The law puts a duty on the employer to provide ‘safe plant and equipment’. The employer procures these from
manufactures, but these will be ‘safe’ only if the designing and manufacturing is safe. To ensure this legislation puts
certain responsibilities on the supply chain.

• Plant and equipment should be designed as per acceptable standards and manufactured under the required quality
control. This should include procurement of the raw material from authorized vendors, manufacturing as per a set
procedure and tested and certified, if required by third party surveyor, before dispatch.
• It should include operating instructions and complete manual for servicing and replacement of the parts.
• If the manufacturer is supplying chemicals, then it should be supplied only in proper containers, labelled as per
international standards and accompanied by a Material Safety Data Sheet or the MSDS.

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1.3.5 - How Clients and Contractors should Work together

Contractor Management
Contractors are commonly used in the workforce, either to execute a specific project or expertise, or to provide extra
work as appropriate. For example, a site intending to expand the premises will usually be taken over by a building
contractor to deliver the project rather than personally hiring the workers, in the same manner as a corporation can hire
a self-employed training contractor to provide a training course.

Contractors are approached by customers in a variety of specific situations at work. A contractor may engage in a one-
off operation, such as the redevelopment of an IT suite, or may participate on a more permanent basis in the delivery of
in-house catering or cleaning services.

Quite clearly, it is not in the interest of health and safety for the client to ignore the risks associated with the contractor’s
work or for the contractor to ignore the risks inherent in the client’s workplace.

The duties they owe each other (as per ‘Safety and health in construction’, ILO Code of Practice –
chapter 2)

• Clients should:

(a) Co-ordinate or nominate a competent person to co-ordinate all activities relating to safety and health on their
construction projects;
(b) Inform all contractors on the project of special risks to health and safety of which the clients are or should be aware;
(c) Require those submitting tenders to make provision for the cost of safety and health measures during the construction
process.

• In estimating the periods for completion of work stages and overall completion of the project, clients should take
account of safety and health requirements during the construction process.

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As the employer has the responsibility to protect own workers as well as contractors. To ensure
that, contractors have to be managed by the following steps:

Effective planning and co-ordination of contracted work

Pre-selection of the contractor
Monitoring and Managing the Work

1. Effective planning of the contracted work

Information must be shared between the customer and the contractor. The client should inform the contractor about
the hazards and risks in the office, and the contractor should tell the client about the hazards and risks generated by the
job. In this way, work can be designed to keep us safe.

The contractor will carry out risk analyses of the work involved an
d develop safe working procedures to manage the defined risks.
Client shall if required appoint a Project Management Consultant
(PMC) and plan the contract work as follows:

• Choose on scale of contracting.

• Scope of the work to be determined
• Decide on information to be shared
• Hazards posed by the site and work carried out
• Hazards posed by the contractor’s activities
• Risk assessments of contractor’s job
• Method statements

2. Pre-selection of Contractors:
The effective management of contractors can be broken down into 5 basic steps:

Selecting a contractor: The contractor best equipped to meet the job requirements should be selected. The following
checklist may be used to gauge how seriously a potential new contractor regards to health & Safety:

• Membership of trade / professional bodies

• Health and Safety Policy and Objectives
• Means of demonstrating employee competence, e.g. qualifications, experience, training, etc.
• Arrangements for selection and management of sub-contractors, if used;
• Arrangements for on-going liaison with the client; and
• Arrangements for managing and supervision of employees
• Experience of the type of job and the industry sector
• Suitable Reference
• Enforcement history, e.g. prosecutions and enforcement notices
• Safety management documentation including policy, risk assessments, safe systems of work, e.g. method
statements, and monitoring arrangements;
• Accident and ill-health data;

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Planning the Job. Planning of Job can be carried out by:

• Conducting Risk Assessment.
• Application of All the information in the Job.
• Carrying out Job Safety Analysis.
• Following Safe working Procedures. & Method Statement.
• By Setting Roles & Responsibilities.

Controlling contractors on site: Site health and safety rules should be communicated to the contractor in advance and
be reiterated when the contractors first arrive on site.
• A site induction should be provided & checks made to ensure that essential points have been understood.

A site contact should be nominated to lease with the contractor. The site contact should have sufficient
authority and competence to undertake the role, which involves:
• General communication;
• Pre-commencement checks to determine whether the contractor is able to carry out the job as agreed;
• Ensuring site controls, e.g., permits-to-work and emergency arrangements, are in place; and
• Monitoring performance

Checking the contractor’s work:

• The proposed frequency should be decided and agreed at the beginning of the job, with the understanding that
it may vary in light of on-going experience.
• Checks should be both announced (e.g., at the end of a shift) to review progress, and unannounced, to check
adherence to safety method statements and site rules.
• Monitoring is critical in ensuring that contract terms and conditions are being met in terms of technical quality
as well as health and safety.
• The frequency of checks is dependent upon the hazards and risks associated with the job. High risk work may
require several checks per shift, long duration low risk work may be subject to weekly or less frequent checks.

Review the contractor’s performance, and the effectiveness of control.

• The contractor’s job is complete when the work has been done according to plan and the terms of the contract
agreement.
• A joint client / contractor review can be effective in evaluating both the quality of the contractor's performance
and the effectiveness of the clients’ control of the project.
• Any issues arising should be recorded. The information may determine the future use of the contractor or the
need for changes to contractor management arrangements.

3. Monitoring and Managing the Work:

Arrangements must be provided by the company to ensure that the provider complies with healthy working practices.
These plans would include:

• Having a signing in and out procedure.

• Ensuring that the contractor provides a named works supervisor.
• Carrying out site induction training for all contractor workers.
• Controlling high-risk activities with a permit-to-work system.

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The company will need to track the contractor's work to ensure that the agreed health and safety standards are met. This
can be achieved by regulating the risk assessment and the framework document that has been established during the
planning stage. If the customer decides that the approved safe working procedures are not being implemented, it is in
their best interest to interrupt the job so that the problem can be resolved.

Study questions from above Covered Topics

1. List the criteria that can be used to assess the suitability of the contractor to do the work on behalf of the client.
2. What are the responsibilities of the client and the contractor where a contractor is working in a client’s
workplace?

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NEBOSH INTERNATIONAL GENERAL

CERTIFICATE

UNIT IGC1: MANAGEMENT

OF HEALTH AND SAFETY

Element 2 - How health and

safety management systems
work and what they look like

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Overall Aims
On completion of this element, you can understand:

• Give an overview of the elements of a health and safety management system and the benefits of
having a formal/certified system
• Discuss the main ingredients of health and safety management systems that make it effective –
policy, responsibilities, arrangements
• Give an overview of the elements of a health and safety management system and the benefits of
having a formal/certified system.
• Discuss the main ingredients of health and safety management systems that make it effective –
policy, responsibilities, and arrangements.

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Element
How health and safety management systems work
2 and what they look like

2.1 Occupational Health and Safety Management Systems

2.1.1 Introduction to Occupational Health and Safety Management Systems................................................ 41
2.1.2 ILO-OSH 2001: The ILO Occupational Safety and Health Management System...................................... 42
2.1.3 ISO 45001: The Occupational Health and Safety Management System Standard................................... 44
2.1.4 The Benefits of Achieving Certification................................................................................................... 47

2.2 Making the Management System Work – The Health and

Safety

2.2.1 Introduction to Health and Safety Polices ............................................................................................ 49

2.2.2 Typical Content of Health and safety Policy ..........................................................................................49
2.2.3 Reviewing Policy .................................................................................................................................... 53

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Element
How health and safety management systems work
2 and what they look like

2.1 Occupational Health and Safety Management Systems

In this section, you will learn about:

2.1.1 Introduction to Occupational Health and Safety Management Systems

2.1.2 ILO-OSH 2001: The ILO Occupational Safety and Health Management System
2.1.3 ISO 45001: The Occupational Health and Safety Management System Standard
2.1.4 The Benefits of Achieving Certification

2.1.1 - Introduction to Occupational Health and Safety Management Systems

The Health & Safety Management system is the method of policy-making, organizing, controlling, monitoring and
updating the activities of the organisation and of using all other organizational resources to accomplish the specified
goals of protecting individuals (both employee and non-employees) from injuries and occupational ill-health, complying
with legal requirements and avoiding prosecution; and managing health and safety in a cost effective way to accomplish
business objectives.

A systematic approach to the management of an organization’s

health and safety is referred to as an Occupational Health and Safety
Management System (OHSMS).

There are two common OHSMSs use by

organizations internationally. These are usually
identified by reference to their publication code
numbers:

• ILO-OSH 2001 and

• ISO 45001.

ILO-OSH 2001 is the ILO’s own SMS published in a Guidance Note called Guidelines on occupational safety and health
management systems. ISO 45001 is the OHSMS standard published by the International Organization for Standardization
(ISO).

Organisations are free to develop their own OHSMS, but working to a recognised standard can be an advantage. Both
SMSs are based on what is known as the PDCA management cycle:

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• Plan – set your aims and objectives and then plan how to achieve them.
• Do – put your plans into effect; implement them.
• Check – monitor your performance towards the aims and objectives that you set yourself.
• Act – routinely review progress and change what you are doing if it looks like you are missing your targets.

2.1.2 - ILO-OSH 2001: The ILO Occupational Safety and Health Management System

Key Elements
ILO-OSH 2001: The ILO Safety and Health Management System:

Policy (Plan) – A clear statement has to be made to

establish health and safety as a prime commitment of
management with respect to aims and objectives in
maintaining and practicing good safety and overall
reducing accidents or even achieving zero harm.

Figure 2 - Health and Safety Policy

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Organising (Plan) – From top management to front-line

workers, a framework of roles and responsibilities for
health and safety must be established within the
organisation, including the employment of professional
staff.

Planning and implementing (Do) – Detailed

arrangements must be made for the management of
health and safety. While policy speaks about ‘what needs
to be achieved’, this section speaks about ‘how it can be
achieved’. . This section will have procedures for carrying
out risk assessment and the identification and
implementation of safe systems of work and protective

Evaluation (Check) – Methods must be devised to

monitor and review the effectiveness of the
arrangements put into place. This might be done
reactively (e.g. by reviewing accident, absenteeism and
ill-health statistics), or actively (e.g. by reviewing
inspection reports, safety sampling and safety tour).

Audit (Check) – Arrangements must be made for the

independent, systematic and critical examination of the
SMS to ensure that all parts are working acceptably
well.

Action for improvement (Act) – Any shortcomings

found by the evaluation process must be addressed as
quickly as possible by making the required changes to
the policy, company and execution arrangements.

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Continual improvement – The health and safety

management program follows a continuous process,
requires consistent improvement and greater and higher
goals. The whole aim is not to stay stagnant, but to keep
on continually improving.

2.1.3 - 45001: The Occupational Health and Safety Management System Standard

The ISO standard ISO 45001 provides an OHSMS standard that an organisation can be externally audited against.
Successful certification to the management standard means that the organisation can demonstrate to other interested
parties (such as clients) that it has a robust SMS that can stand up to close scrutiny. ISO 45001 is based on the PDCA
management cycle and is fully compatible with other ISO management standards such as ISO 9001 (an internationally
recognised quality management standard) and ISO 14001 (an internationally recognised environmental management
standard).

ISO 45001:2018 is the newly developed health and safety management system certification standard to replace OHSAS
18001. Being a key driver for any organization, this standard has set of procedures and standards for helping the
organization to achieve its OH&S objectives. Moreover, it encourages the inputs of internal and external stakeholders as
part of developing the risk-based approach to health and safety management.

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Plan-Do-Check-Act cycle
The OH&S management system approach applied in this document is founded on the concept of Plan- Do -Check-Act
(PDCA). The PDCA concept is an iterative process used by organizations to achieve continual improvement. It can be
applied to a management system and to each of its individual elements, as follows:

a) Plan: determine and assess OH&S risks, OH&S opportunities and other risks and other
opportunities, establish OH&S objectives and processes necessary to deliver results in
accordance with the organization’s OH&S policy;]
b) Do: implement the processes as planned
c) Check: monitor and measure activities and processes with regard to the OH&S policy and OH&S
objectives, and report the results;
d) Act: take actions to continually improve the OH&S performance to achieve the intended
outcomes.

Outline of the Standard

In the following outline, the location of each element in the PDCA cycle has been indicated in brackets after the element
title just to help:

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Clause 4: Context of the organisation (H&SMS framework):

Focuses on the evaluation of the “context” of an organisation which includes

• Understanding the organization and its context (e.g. number of workers, size, geography, culture, technology used,
ethical and environmental responsibility, legal requirements and other requirements)
• Understanding the needs and expectations of workers and other interested parties
• Defining the scope of the OH&S management system by taking into account internal and external issues, work-
related activities, and other factors.
• Establishing and implementing OH&S management system as per the standards and requirements prescribed in
the ISO 45001:2018.

Clause 5: Leadership and worker participation

Details about how the organization provides guidance on

• Demonstrating leadership, commitment and active support from top, senior, middle and junior management
categories
• Developing an OH&S policy
• Specifying roles, responsibilities and authorities to achieve the intended objectives of OH&S management system
• Outlining the processes in relation to consultation and participation of workers.

Clause 6: Planning (Plan)

This clause specifies the plan to

• Identify and assess the risks and opportunities involving organisation and workers
• Address the risks and opportunities that have been identified
• Prepare and respond to the identified risks, opportunities and other emergency conditions
• Manage legal and other requirements.

Clause 7: Support (Do)

For proper functioning of OH&S management system, this clause discusses the requirements of support on

• Resources (e.g. human, natural, infrastructure)

• Competence
• Awareness (i.e. OH&S policy and OH&S objectives)
• Communication (i.e. Internal and external)
• Documented information

Clause 8: Operation (Do)

Briefs on the operational planning and control requirements relating to the OH&S management system covering

• Elimination of hazards and reduction of OH&S risks

• Management of change (i.e. introduction of new products, changes in legal requirements, any technological
advancements etc.)
• Procurement of products and services, contractor’s activities and operations and outsourcing arrangements
• Emergency preparedness and response

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Clause 9: Performance evaluation (Check)

It encompasses the following to evaluate the performance of OH&S management system

• Monitoring, measurement, analysis and performance evaluation

• Internal audit
• Management review

Evaluation of compliance: To ensure the compliance with the legal and other requirements, the organisation should

• Establish and maintain the process and systems to fulfil the compliance obligations
• Have adequate knowledge to understand its compliance status
• Identify and take actions regarding non-compliance, if needed
• Retain documented information as evidence of the compliance evaluation results

Clause 10: Improvement (Act)

To ensure perfections and continual improvement of the OH&S management system, this clause takes into account of
the following aspects

• Incident (e.g. near misses, ill-health, injuries)

• Non-conformity (e.g. incompatible PPE, breaching legal requirements, violating manufacturer’s instructions)
• Corrective action (e.g. finding out the root cause of the incident, reviewing the non-conformities)
• Ways to achieve the continual improvement (e.g. safe work practices, new technology, seeking assistance from
experts and third party consultants, competence enhancement)

2.1.4 - The Benefits of Achieving Certification

Benefits of having a Formal / Certified Health and Safety Management System

The ISO management system standard operates in the same way as other ISO management standards (and the old OHSAS
18001 Standard) in that conformance to the standard can be verified by an external accredited organisation (such as the
British Standards Institution) so that certification to the standard can be achieved. This certification can then be used by
the organisation as proof of a robust OHSMS.

This may be useful for internal purposes (e.g. to demonstrate to

internal interested parties that the management system exists and
is functional).

It will be valuable for many organisations when seeking to

demonstrate to clients, customers or authorities that OHS
management is integrated into the day-to-day operations of the
company. When competing for contracts or more work with other
organisations, this might give the organisation a competitive
advantage.

Certification is an expensive process but the costs of achieving and

maintaining certification are often outweighed by the financial
benefits associated with having a robust formal/certified OHSMS.

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Whether an organisation is using the ILO-OSH: 2001 model or ISO 45001, it may be necessary to go round the cycle more
than once, particularly when:

• starting out;
• developing a new process, product, or service; or
• Implementing any change.

Study questions from above Covered Topics

1. What are the elements of an Occupational Health and Safety Management System (OHSMS) set out in ISO
45001?
2. What is the role of “assessment” in the ILO Occupational Safety and Health Management System 2001?

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2.2 Making the Management System Work – The Health and Safety
In this section, you will learn about:

2.2.1 Introduction to Health and Safety Polices

2.2.2 Typical Content of Health and safety Policy
2.2.3 Reviewing Policy

2.2.1 - Introduction to Health and Safety Polices

The foundation stone of an effective OHSMS in any organisation is the health and safety policy. A good health and safety
policy sets out the organisation’s general approach and commitment to achieving particular aims and objectives. It
provides a framework of general and specific health and safety responsibilities for staff, and guidance on the detailed
operational arrangements to be taken to protect employees and others from harm as a result of workplace activities.

In particular, the policy should influence decision-making within the organization. This will occur in two ways:

1. Senior management have to decide what kind of health and safety standards they are committing the
organization to, and will have to allocate resources accordingly.

2. Other managers have to ensure that their decision-making is in line with the policy and does not work against
the organisation’s stated aims and objectives.

There is no one correct format or set of contents for a health and safety policy, but it must reflect the particular
circumstances of the individual organisation: the hazards and risks, the size, and the complexity of the organisation. The
policy must therefore be developed and tailored to fit the particular organisation that it exists to serve. For example, the
safety policy of a small, low-hazard manufacturing company may be very different from that of a large, high-hazard oil
and gas multinational.

2.2.2 - Typical Content of Health and safety Policy

A policy is normally presented in three parts.

General Statement of Intent: The purpose of the statement of Intent section in health and safety policy is to
• State and illustrate the overall Aims and Objectives and a clear picture of management’s commitment towards
health and safety.
• Set objectives and quantifiable performance targets.
Organisation Section: Indicates the purpose of organization section in health and safety policy, management and
identifies roles and responsibilities delegation of authority, channel of communication etc. within the organization.
Arrangements Section: These are the systems, procedures and other measures necessary to put the policy into effect.
They should explain clearly how health and safety will be achieved in the organization through the implementation,
maintenance, monitoring and review of preventative and protective measures.

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Proportionate to the Needs of Organisations

Organisation differ greatly in their aims, risks, structure and to what they feel capable of committing themselves. In the
same way, a policy is therefore a ‘personal’ thing, setting out a particular organisation’s position at that point in time.
The policy enables the organisation to communicate its personal commitment, expectations it has of people and its
approach to health and safety.

Guidance on effective health and safety policies, including the ILO document ‘Guidelines on occupational safety and
health management systems – ILO-OSH 2001’, suggests that the health and safety policy must be appropriate to the size
and nature of an organisation’s activities and the nature and scale of its health and safety risks. This means that a small
organisation with low risk may have a simple policy, whereas a large complex organisation with higher risk would need a
policy that had a wider scope and greater depth. In some cases it may be necessary for large complex organisations to
have different health and safety policies for different locations in order to better reflect the risks they are managing at
the locations. In all but the very small organisations, for example, those employing less than five workers, employers are
usually expected to establish a written health and safety policy

Statement of intent General Policy

This spells out the organisation’s overall approach to health and safety management and its aims and objectives. This is
where those at the very top of the organisation set out their vision for the organisation in the context of health and safety
performance; where they would like the organisation to be. It must commit the organisation to achieving legal
compliance. In many cases the commitment will be to achieving a higher standard than that set by the law, either as a
matter of corporate policy, or because of the nature of the organisation.

The Statement of Intent should recognise that managers and employees at all levels of the organisation play a role in
policy implementation, and it will express very clearly that everyone must follow the policy and that major policy
violations may result in disciplinary action.

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The General Statement of Intent should be:

• Signed by the person at the top of the organisation (e.g. the Chief Executive Officer (CEO) or Managing Director
(MD)) to authorise the policy and indicate that the policy commitment comes from the highest level.
• Dated to indicate when the current statement was prepared and to provide a reference point for review.

Subject Emphasis

Aim of satement of Intent

The Statement of Intent may recognise some general aims that have to be achieved by the organisation, such as:

• Meeting legal obligations.

• Provision of a safe workplace, safe equipment and safe systems of work, as well as information, instruction,
training and supervision.
• Risk assessment of all relevant workplace activities.
• Performance monitoring.
• Provision of adequate resources, such as expert health and safety advice.
• Effective communication and consultation with workers.

Objectives of statement of Intent

The Statement of Intent may also set quantifiable targets/objectives for the organisation to achieve. Targets are
useful, as they allow performance to be measured and provide a tangible objective for staff to aim for. They also help
drive continual improvement. Possible targets might relate to:

• Accident rates: to achieve a reduction in the accident or ill-health rate.

• Active monitoring: to complete successfully a number of active monitoring activities, such as:
– Successful completion of all supervisor safety inspections over a year.
– Completion of key activities, such as carrying out risk assessments across the organisation.
– Delivery of training to all workers.
– Development of a consultation process to engage the workforce.

Setting SMART Objectives

When health and safety objectives are set for an organisation, those objectives
should be SMART. The acronym SMART refers to the idea that objectives should
be:
• Specific – a clearly defined, precise objective.
• Measurable – it is possible to measure achievement of (or progress
towards) the target; usually by quantifying the objective.
• Achievable – it can be done, it is possible.
• Relevant - within the timescale set and with the resources allocated.
• Time-bound – a deadline or timescale is set for completion of the
objective.

Figure 14 - SMART

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Organisational Roles and Responsibilities

This section of the health and safety policy deals with people and their
operational duties in relation to health and safety. It outlines the chain of
command for health and safety management and identifies the roles and
responsibilities of staff to enable clear delegation of duties.

This section to include an organisation chart showing the lines of responsibility

and accountability (in terms of health and safety management). This chart also
shows the lines of communication and the feedback routes that exist within the
organisation for clear reporting. Figure 15 - Roles & Responsibilities

The Organisational Roles and Responsibilities section will usually reflect the management
hierarchy within the organisation and allocate responsibilities accordingly:
• The CEO or MD – Ultimately responsible and accountable for the entire organisation.
• Management at all levels – Managers and supervisors at all levels are responsible for correctly interpreting the
policy and cascading down the line the top managements’ objectives and targets. Creating effective plans and
procedures to achieve these targets and continuously monitoring them both by active and reactive ways. They
are responsible for the day-to-day working of the organization and reporting of both successes as well as
shortcomings. All employees are responsible for acting safely by following the procedures laid down.
• All employees – Responsible for acting safely at all times in the course of their duties at work.
• Competent persons – Have operational duties, but are also considered competent to carry out one or more
specialist health and safety duties (e.g. as first aiders or fire marshals).
• Specialist health and safety practitioners – Responsible for providing advice to support management and
employees in achieving safety.

Arrangements
The Arrangements section is often the largest section of the policy. It deals with the general arrangements that exist to
manage health and safety and the specific arrangements that are necessary to deal with particular risks relevant to the
organisation and its activities. The systems and procedures used to manage health and safety are contained in this
section.

The Organisational Roles and Responsibilities section will usually reflect the management
hierarchy within the organisation and allocate responsibilities accordingly:
• Employee health and safety code of practice.
• Accident investigation and reporting.
• Identifying and providing health and safety information, instruction and training.
• Consultation with workers in issues concerning health and safety.
• Emergency procedures.
• Welfare and first- aid provision.
• Monitoring of plant and equipment, their maintenance and risk assessments.
• Developing safe systems of work and permit to work systems to control hazards.
• Developing effective lines of communication.
• Communication of health and safety matters, including hazards and control measures.
• Provision of PPE, storage space for the same and training to use them.
• Ensure effectiveness of arrangements by periodic assessments with different techniques and strategies.

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All the general health and safety management issues will be relevant to all workplaces; they are generic issues. However,
the practical arrangements made for the management of these issues will have to be tailored to suit the organisation.

The list of possible arrangements that might be required can be long and depends on the problems and issues faced by
the organisation in question. For example, a lorry haulage company will have a set of arrangements to manage transport
risk, but an office-based company will not.

Examples of specific risks and problems within an organisation that may need detailed
arrangements include:

• Lone working.
• Noise-exposure control.
• Vibration-exposure control.
• Control of exposure to toxic materials
• Control of transport risks.
• Specific health surveillance requirements.
• Waste disposal.

2.2.3 – Reviewing Policy

A health and safety policy should not be considered as rigid and

unchanging. Instead, it should be subject to regular reviews so that it
remains current and relevant. In this way it can be considered a ‘live’
document.

It is good practice to review policy on a regular basis (e.g. annually).

However, there are other circumstances which could give rise to
reviews, such as technological, organisational or legal changes.

Circumstances that might require a review of policy:

• There is an introduction of new machinery, processes or technology.

• There have been changes following consultations with the employees.
• Legal changes, such as the introduction of new legislation applicable to the organisation.
• Where an audit, investigation or risk assessment suggests the policy is no longer effective.
• When requested by a third party, such as an insurance company or client.
• Following enforcement action.
• Following consultation with the workforce.
• A change of buildings, workplace or worksite.
• After a certain amount of time has passed since the last review (e.g. an annual review is a common practice).

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Study questions from above Covered Topics

1. Why might the health and safety policy of two organizations doing similar work be different?
2. What are the three main parts of a health and safety policy?
3. Who should sign the policy statement?
4. What are the health and safety responsibilities of all workers?
5. What circumstances may require a policy review?

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NEBOSH INTERNATIONAL GENERAL

CERTIFICATE

UNIT IGC1: MANAGEMENT

OF HEALTH AND SAFETY

Element 3: Managing Risk –

Understanding People and
processes

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Overall Aims
On completion of this element, you can understand:

• Describe the concept of health and safety culture and how it influences performance.
• Summarise how health and safety culture at work can be improved.
• Summarise the human factors which positively or negatively influence behaviour at work in a way that can
affect health and safety.
Explain the principles of the risk assessment process.
Discuss typical workplace changes that have significant health and safety impacts and ways to minimise
those impacts.
Describe what to consider when developing and implementing a safe system of work for general activities.
Explain the role, function and operation of a permit-to-work system.
Discuss typical emergency procedures (including training and testing) and how to decide what level of first
aid is needed in the workplace.

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Element

Managing Risk – Understanding People and Processes

3

3.1 Health and Safety Culture

3.1.1 Health and Safety Culture .......................................................................................................................... 59

3.1.2 Relationship between Health and Safety Culture and Performance .......................................................... 60
3.1.3 Indicators of Health and Safety Culture ...................................................................................................... 62
3.1.4 The Influence of Peers................................................................................................................................ 64

3.2 Improving Health and Safety Culture

3.2.1 Management Commitment and Leadership ............................................................................................... 65

3.2.2 Competent Workers ..................................................................................................................................67
3.2.3 Effective Communication ........................................................................................................................... 67
3.2.4 Co-operation and Consultation .................................................................................................................. 73
3.2.5 Training ...................................................................................................................................................... 74

3.3 Human Factors which Influence Safety-Related Behaviour

3.3.1 Organizational Factors ............................................................................................................................... 78

3.3.2 Job Factors ................................................................................................................................................. 78
3.3.3 Individual Factors ...................................................................................................................................... 79

3.4 Risk Assessment

3.4.1 Introduction to Key Words and Phrases ..................................................................................................... 83

3.4.2 Risk Profiling............................................................................................................................................... 85
3.4.3 The Purpose of Risk Assessment ................................................................................................................ 86
3.4.4 The Five Steps of Risk Assessment ............................................................................................................. 88
3.4.5 Special Cases and Vulnerable Workers ....................................................................................................... 98

3.5 The Management of Change

3.5.1 Typical types of changes in the workplaces .............................................................................................. 102

3.5.2 Managing the Impact of Change .............................................................................................................. 103

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3.6 Safe Systems of Work

3.6.1 Introduction to Safe Systems of Work ...................................................................................................... 106

3.6.2 Worker Involvement ............................................................................................................................... 106
3.6.3 Written Procedures..................................................................................................................................107
3.6.4 Technical, Procedural and Behavioral Controls ........................................................................................ 108
3.6.5 Developing a Safe System of Work ........................................................................................................... 109

3.7 Permit-to-Work Systems

3.7.1 Meaning of a permit-to-work system ......................................................................................................113
3.7.2 Why permit-to-work systems are used .................................................................................................... 115
3.7.3 How permit-to-work systems work and are used ..................................................................................... 115
3.7.4 When to use a permit-to-work system ..................................................................................................... 117

3.8 Emergency Procedures and First Aid

3.8.1 Why Emergency Procedures need to be developed. ............................................................................... 120

3.8.2 What to include in an emergency procedure. ......................................................................................... 120
3.8.3 What to consider on First-Aid Requirements in a workplace. .................................................................. 123
3.8.4 Why workers Need training for Emergency Procedures .......................................................................... 126
3.8.5 Why Emergency Procedure need to be tested........................................................................................ 126

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3.1 Health and Safety Culture

In this section, you will learn about:

3.1.1 Health and Safety Culture

3.1.2 Relationship Between Health and Safety Culture and Performance
3.1.3 Indicators of Health and Safety Culture
3.1.4 The Influence of Peers

3.1.1 - Health and Safety Culture

A safety culture is an organizational culture that places a high degree of importance on safety beliefs, values, and attitudes
- and is shared by the majority of people within the company or workplace. It can be described as "the way we do things
here". An organizational safety culture values and promotes safety beliefs, values, and attitudes - which are shared by
the majority of members within the organization. It can be described as "the way we do things here". When a safety
culture is positive, it can lead to improved workplace health and safety (WHS) and productivity.

Safety culture refers to how people work together. There is no standard definition, but there are two main things that all
definitions have in common.

1. A good safety culture is based on people's values, attitudes, beliefs and behaviour. In an organization with a good
safety culture, it is oriented towards safety, which is a priority.

2. It is about spreading these values, attitudes, beliefs and behaviour. Organizations with strong security cultures embed
it everywhere - from top management to the store floor and in everything they do.

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“The core values, beliefs and behaviour resulting from a collective commitment by leaders and individuals throughout
an organisation that appropriately priorities safety against other organizational goals to allow business objectives to
be undertaken without undue risk”

Subject Emphasis

Health and Safety Culture

The shared attitudes, values, beliefs and behaviours relating to health and safety. These will either be positive or
negative.

As explained above, organizations, therefore, build their own informal values, traditions, customs and viewpoints. This
can also be stated as the 'culture' of the organisation.
In the same way organizations can also have a 'health and safety culture'. Health and safety culture can be defined as
the product of individual and collective values, attitudes, beliefs, perceptions and competencies related to health and
safety.

3.1.2 - Relationship Between Health and Safety Culture and Performance

There is a strong correlation between an organization's health and

safety culture and its health and safety performance. Organizations
with a strong, positive culture tend to perform well, while
organizations with a weak negative culture tend to perform poorly.
Health and safety culture in an organization is defined as “the shared
attitudes, values, beliefs and practices that characterize people at
work in relation not only to the magnitude of the risks they face but
also to the necessity, practicality and effectiveness of preventive
measures”.

Positive Culture:

In an organization with a positive culture, the following is seen:

• There is leadership and commitment to health and safety at all levels of the organization.

• There is an acceptance that high standards of health and safety can be achieved as part of a long-term strategy
formulated by the organization.

• Managers believe in safety and treat it as an investment, not a cost. Each action is taken by them only after a
careful assessment of the risks and after consideration of the internal policies of the companies.

• Workers behave in a safe manner because they are well trained, competent and know the importance of
following rules and regulations. Those workers who do not feel the importance of safety are generally in the
minority, but over time these workers also absorb this good culture and turn for the better, while the workers
who are reluctant to change, either leave or are forced to leave.

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• This good health and safety culture results in better risk control, a highly motivated and empowered workforce,
strict adherence to rules and thorough accident investigation resulting in good health and safety performance
with lower rates of accidents and illnesses.

Negative Culture:

In an organization with negative culture the following is seen:

• There is poor health and safety leadership from the

management. Managers are generally concerned in
ensuring that the productivity is achieved and sales targets
are met even if it means adopting unsafe practices or
breaking the set procedures. Health and safety issues are
neglected; near misses and worker complaints are either
not reported or not adequately investigated. There are no
policies or they are poorly implemented.

• Workers are poorly trained and the companies’ procedures are not properly communicated to them. They look
at the managers to lead them and follow their poor customs and behaviors. There may be some workers, who
are safety conscious, but they are too few to make an impact or they get absorbed into this negative way of
working or they leave the organization.

• This negative culture leads to workers and managers violating the rules, there is poor or no implementation of
risk control measures and there are large number of unsafe acts and conditions, which neither get reported not
investigated. This leads to an increase in accidents and ill health thus impacting the organizations health and
safety performance.

Subject Emphasis

Factors that have a negative impact on health and safety culture in an organisation include:

• Lack of strong leadership for safety from management.

• Having a culture of blame.
• Management's lack of commitment to safety (eg, saying one thing and doing another).
• Health and safety receive a lower priority than other business issues.
• Organizational changes (change that is frequent or poorly communicated resulting in uncertainty).
• High employee turnover rates (ie workers do not stay long enough to be affected).
• Lack of resources (eg, lack of workers due to downsizing, lack of correct equipment).
• Not consulting workers.
• Personal issues (eg, unstructured peer group pressure, bullying, or harassment).
• Poor management systems and procedures.
• External influences (eg, economic climate leading to difficult operating conditions).

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3.1.3 - Indicators of Health and Safety Culture

There are many indicators of an organization's health and safety culture that will show whether they are strong, positive
or negative. Because health and safety culture are defined
in part as the way people think and feel (their attitudes,
beliefs, priorities) and these are intangible concepts that
are difficult to measure. Therefore, rather than trying to
assess health and safety culture directly, it is often easier
to assess it indirectly by looking at tangible outputs that
can be used as indicators.

It can be divided into two categories:

• Active indicators - which show how well health
and safety plans have been implemented,
particularly through the level of compliance with
regulations and procedures
• Interactive indicators - which show the results of
violations of health and safety regulations and procedures, especially through accidents, etc.

Accidents
Accident logs can be used to find out the average number of accidents that occur (e.g., the number of accidents per
100,000 man-hours). The accident rate of a particular organization can be compared with the following:

• The performance of the organization in previous years -

this will indicate whether the accident rate is increasing or
decreasing. The decreasing rate can be viewed as an indicator
of a positive health and safety culture.

• The average for other organizations doing the same work,

or the industry average (often published by the authorities) -
this is the process of measuring performance. A higher accident
rate than the notional average may be seen as an indication of
a negative health and safety culture.

Looking at the quality of investigations that follow accidents

and the effort that is put into preventing a recurrence is
another way of using accidents as an indicator of health and
safety culture. In an organisation:

• With a positive health and safety culture, much time and effort will go into investigating accidents, writing
investigation reports and introducing follow-up action to prevent a recurrence.
• In the context of a negative health and safety culture, superficial accident investigations are conducted, reports
are of poor quality, and either no follow-up action is taken, or they are ineffective (and may focus on blaming
the worker rather than identifying the cause).

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Sickness Rates:
A lot of ill health is caused, or made worse, by work. For example, in many
countries a huge number of working days are lost because of back pain, and a
significant proportion of that back pain will have been caused or made worse by
the work that individuals are doing. Sickness rates can be used in the same way
as accident rates, as an indicator of health and safety culture.

Absenteeism:
A high level of absenteeism indicates that workers are either unable or unwilling to
come to work. If they can't, it may indicate that they have work-induced ill health, or
its exacerbation, as noted above. If they are not ready, this indicates that they are
holding back from their work for some reason. This usually occurs due to poor morale
of the workforce which in turn may be linked to a poor health and safety culture.

Staff Turnover:
An organisation with a positive health and safety culture is often a good
place to work. Workers feel safe, morale is good, training is available, and
workers are consulted about their working conditions. As a result, workers
stay with their employer for longer, so low staff turnover may indicate a
good health and safety culture, while high staff turnover may indicate the
opposite.

Compliance with Safety Rules

In organizations with a positive health and safety culture, routine audits and
inspections will indicate a high level of compliance with health and safety rules
(this is clearly one of the reasons for good accident records). On the contrary, in
an organization with poor culture, there will be extensive violations of rules and
regulations to achieve the production goals of the firms.

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Complaints about the Working Conditions:

There is a clear correlation between health and safety culture and the
number and type of complaints made by workers (and worker safety
representatives) to management. An organization with a positive culture
may actively encourage complaints, but few serious complaints will be
made. An organization with a negative health and safety culture may
discourage workers from filing a complaint, and many complaints
submitted will be legitimate and serious.

3.1.4 The Influence of Peers

Peer pressure often promotes good health and safety

within a work team. If team members believe that
working safely is the only way to do the task, then each
team member will monitor the activities of the other and
the group as a whole will ensure that any new member
follows their example to ensure a safe output. However,
peer pressure may have a negative effect in that
managers and employees may be pressured directly or
indirectly for not making an effort in establishing or
acting in accordance with good health and safety
standards.

This may be particularly the case when they have motivations that they feel will be constrained by a positive approach,
for example, resources may be drawn away from areas where the manager wishes to develop in the interest of health
and safety or the worker may feel this will limit their ability to generate productive rewards.

Study questions from above Covered Topics

1. Define health and safety culture.
2. How do a worker’s peers exert influence over their behaviour?

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3.2 Improving Health and Safety Culture

In this section, you will learn about:

3.2.1 Management Commitment and Leadership

3.2.2 Competent Workers
3.2.3 Effective Communication
3.2.4 Co-operation and Consultation
3.2.5 Training

3.2.1 Management Commitment and Leadership

There must be commitment from the highest levels of the organization and this commitment will in turn lead to higher
levels of motivation and commitment throughout the organisation. Senior management must be committed to
promoting high health and safety standards and must believe in the benefits of operating safely. The commitment of top
management is always gained because they understand that it makes sense for business and the economy to operate
safely which is also a legal requirement. Once committed, senior management will lead the process of changing the
culture. The worker sees that top management takes OHS performance seriously, and this runs through the organization
and helps create a positive OHS culture.

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Promoting H&S Standards by Leadership & Example and appropriate use of disciplinary
procedures

Senior management has a direct impact on the attitudes and behaviours of its managers at the operational level. It is
essential for senior management to demonstrate that health and safety is a major priority for the company. To achieve
this, it is necessary:
• Ensure that health and safety is placed as a major business priority;
• Ensuring that the commitment of senior management to legal compliance is clearly visible, that is, it is shown
to employees;
• Involve senior management in the operational monitoring of performance standards;
• Develop a trusting relationship with employees.
• Encouraging cooperation between management and employees.
• Provide resources to managers (time, money, and trained staff) to implement, maintain, and manage health
and safety performance; And the
• Measuring the extent to which senior management has achieved key performance indicators.

Appropriate Use of Disciplinary Procedures

Company policies and procedures clearly state what is acceptable or not, regarding health and safety behaviour at all
levels of the organization. It becomes important that failure to comply with the rules brings with it some disciplinary
action which is also well documented in company policies. A good organization will ensure that negligent acts are
reported promptly and managers act accordingly using available disciplinary measures, this will ensure that workers do
not repeat their actions again.
The gravity of the infraction will determine the level of action. Minor violations can be dealt with verbally, while more
serious ones can result in formal warnings and even a brief suspension. Disciplinary actions must include:

• Proportionate to the infraction, such as a verbal warning to pedestrians not to follow and more comprehensive
penalties, such as suspension to purposefully remove the machine guard.
• Determined after investigation, and it is critical to find the root problem.
• Consistent and does not differ between employee levels; for example, the same regulation should apply to
contract workers, internal workers, and supervisors or managers.

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3.2.2 Competent Workers

Competence is defined in ISO 45001:2018 as the "capability to apply knowledge and skills to produce intended
results."

A competent person is someone who has had sufficient training, information, experience, capabilities, or other skills to
perform his or her job safely and without putting his or her health at danger.

It is the obligation of the employer to guarantee that employees are qualified to do the responsibilities that have been
given to them. The more efficient the worker is, the safer he can execute his job. This has a good impact on the culture
of health and safety. The employer may check qualifications, solicit references, or verify membership in professional
groups to determine competence.

Managers must be qualified as well. This means that all managers must understand the health and safety implications of
the daily decisions they make. This is frequently missed. For example, if a manager is in charge of a warehouse, he must
comprehend the difference between safe and unsafe forklift operation. They do not need to be able to drive a forklift
truck personally, but they must be knowledgeable enough to recognize good and bad behaviour when it is observed.

3.2.3 Effective Communication

Communication can be defined as the process of delivering information from the sender to the recipient. To be truly
effective, correct information must be transmitted, received and understood. Effective communication includes:
• Personal competence e.g., writing reports,
teaching, chairing a meeting, etc.;
• Knowledge and understanding and possibly
subject matter expertise, e.g., health and safety
hazards, management systems, pressure
vessels, etc.;
• Purpose for example, inform, persuade, make
decisions, take action, inform, raise awareness,
mentor, coach, sell, motivate, investigate,
motivate, explain, etc.

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Benefits and Limitations of Different Methods of Communication

There are three standards methods of communicating information are:

▪ Verbal
▪ Written
▪ graphic.

• Verbal communication is the most common. It is communication by way of speech or oral speech. Verbal
communication should only be used for relatively simple pieces of information or instructions. It is commonly used in the
workplace, during training sessions, or in meetings. Following are the advantages and limitations of verbal
communication:

Emphasis focus

Benefits Limitations
• It is personal and can be delivered from one • Language barrier may exist and hence information
person to other easily, without others knowing may not be understood.
about it. • Use of jargon, local or technical language may not be
• It is quick and preparation time required is less. understood.
• Allows for checking for understanding by asking • Strong accent or dialect may interfere.
the recipient about it. • Background noise may interfere
• Allows for feedback to be given • Recipient may have poor hearing.
• Usually allows for additional transmission of • Message may be arguable or debatable.
information by means of voice of tone and body • Recipient may miss or forget some information.
language. • There is no written record as proof.
• Poor transmission quality of made by telephone or PA
system.

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• Written Communication uses the written word (eg report, memo, email, notice, company brochure, policy
document, operating instructions, risk assessment, minutes of meetings).

Emphasis focus

Benefits Limitations
• Because it is written, it creates a permanent • It is indirect and can be impersonal.
record. • It takes time to prepare.
• It can be referenced in case the information is • May contain terms and acronyms.
forgotten. • There may be a language barrier.
• It can be written carefully to avoid confusion and • The message may not be read.
to clarify the message carefully. • There is no place for instant responses.
• It can be checked several times to ensure that the • No questions can be asked.
information is correct. • The receiver may have poor vision.
• Can be distributed to a wide audience relatively
inexpensively.

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Graphic Communication: Graphic communications use images, symbols, or illustrations (for example, safety signs, such
as a fire exit sign; hazard warning symbols, such as skull and crossbones on a toxic chemical label; or photographs, such
as an image showing a guard used correctly in instructions device operation).

Emphasis focus

Benefits Limitations
• It may be eye-catching. • It can only transmit simple messages.
• Visual. • May be expensive to purchase or produce.
• Quick in interpretation. • It may not be seen.
• No language barrier. • Icons or illustrations may be unknown to the
• Language-free. recipient.
• Delivering a message to a wide audience. • No instant comments are available.
• No questions can be asked.
• The recipient may have poor vision.

Use and Effectiveness of Noticeboards and Health and Safety Media

Notice Boards:
This is the most common and most widely used method of transmitting information. For a bulletin board to be effective,
the following must be considered:
• It should be eye-catching and centrally located in an area used by most workers, e.g., pantry, break rooms or
changing areas.
• Display screens should be up to date and replaced at regular intervals so that workers must read them
frequently.
• It should contain only health and safety data eg: corporate policies, accident data, safety committee meeting
minutes, etc.

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Posters and videos - Used to provide safety information, draw

attention to specific issues and support a safety culture. Films or
videos are mainly used in training programs, and if they are well
made, they can attract the attention of the audience.

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Toolbox talks – Short, practical safety briefings are commonly

provided in the workplace, and are frequently delivered by the
supervisor at the start of the shift. They can be valuable for raising
awareness and discussion about safety concerns, but if the topics
are uninteresting or badly delivered, they may be perceived as
boring or a waste of time.

Memos and e-mails - Written notifications are used to offer precise

information regarding a certain issue, such as revising processes,
highlighting gaps in practice, and so on. Because there is no chance for
comment or questioning when utilizing the journal, its value is really
confined to giving clear and exact instructions or information.

Company Intranet - It is a private network that only connects a few

computers, whereas the Internet is a public network that connects many
computers all over the world. Most firms utilize it to convey the
organization's health and safety regulations and procedures with
employees.

Worker handbooks - Used to establish the organization's health

and safety policy. All new employees must be given a copy, and
updates are usually distributed to keep personnel up to date on
developments. This is a fundamental document that contains
information like site rules, reporting procedures, emergency
plans, and so on. It is common practice to distribute this leaflet as
part of a new employee's orientation and to acquire a receipt as
proof of the problem.

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3.2.4 Co-operation and Consultation

ISO 45001:2018 defines consultation as “seeking views before making a decision”. It includes engaging health and
safety committees and worker’s representatives, where they exist.

ISO 45001:2018 defines participation as “involvement in decision making”. It includes engaging health and safety
committees and worker’s representatives, where they exist.

Workers will not feel much responsibility over health and

safety if they believe they are being dictated to. In fact,
they may dislike being given orders from on high and begin
to actively resist safety efforts and improvements. This
results in a negative culture. Employee consultation
necessitates that the employer consult with their staff. It
may also be necessary to consult with other workers, such
as contractors who work on the employer's premises or on
behalf of the employer.

Employers are required by law in many countries to engage with their employees on health and safety issues. Specific
standards are provided in ILO-C155 Article 20 and ILO-R164 Article 12. Even if there is no legal duty, it is considered good
practice for the employer to engage with his employees on problems of health and safety.

An employer is not required to confer with employees on anything, but the following health and safety issues need
counseling:
✓ The implementation of measures impacting worker health and safety.
✓ The selection of safety advisors and specialists.
✓ Plans for health and safety training.
✓ The introduction of new technology into the workplace, which will have an impact on health and safety.

'CONSULTING' is a two-way exchange of facts and opinions between the employer and employees to determine the
best course of action. This means that the employer listens to their employees' problems and adjusts their plans as
needed.

'INFORMING' is a one-way process in which management makes choices, which are then communicated to employees
and reviewed for comprehension. Most workers would oppose this style of communication because they see
management decisions as being imposed on them and the management being authoritarian in enforcing their
decision. This results in a negative culture.

Employers can consult with employees using one of two methods:

• Direct consultation, which involves managers speaking to individual workers during their regular rounds and
attempting to settle individual workers' issues. This type of technology would be useful in small businesses.
• Informal consultation, where worker safety representatives raise issues at regular meetings, discuss them with
management, and then return choices to the individual employees they represent.

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Benefits of worker participation including worker feedback

• It is critical for a company to consult with its employees on health and safety because involvement will help
them grasp the value and necessity of health and safety.
• It will increase the profile of health and safety and foster a sense of ownership over safety measures.
• Management will demonstrate its commitment to health and safety by soliciting their input and allowing them
to participate in decision making.
• Participation will also boost employee morale and contribute to the development of a positive culture.
• Employee involvement will be beneficial in ensuring that any recommended improvements are viable.

The Role of Health and Safety Committees

For any committee to function properly, its goals, functions, and

composition must be well defined. An effective health and
safety committee requires worker and management
representatives to demonstrate a genuine commitment to the
organization's health and safety goals. The Health and Safety
Committee's objectives and tasks must be clearly defined and
conveyed. The health and safety committee's makeup must be
defined, and committee members must agree on who will chair
meetings, how many meetings will be held, and the structure of
the agenda.

The Functions of a health and safety committee:

• Evaluate steps done to ensure health and safety, such as procurement and maintenance programs.
• Examine occupational health and accident statistics.
• Examine audit reports on health and safety.
• Think about enforcing agency reports and disclosing information.
• Think about any reports that employees' health and safety representatives might want to provide.
• Contribute to the creation of health and safety norms, work regulations, and processes.
• Examining the efficacy of health and safety content for educating managers and staff.
• Examining the effectiveness of workplace communication and publicity.
• Taking into account new developments and potential changes, such as law and new technology.
• Establish a relationship with national law enforcement agencies.

3.2.5 Training

Training is critical in building an organization's culture, following accepted standards of behaviour, and completing jobs
safely. Training is described as the systematic transfer of skills and knowledge in a relatively safe environment. This is due
to the fact that training has a major impact on safety-related behaviour. Workers endeavour to accomplish their jobs to
the best of their abilities without instruction, but they do so either by informal imitation of others (including imitation of
any poor habits and risky work practices they notice) or by completing the job in the way they believe is best.

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Once the worker has been properly trained, they

will understand:
• The hazards and risks that come with their job.
• The proper rules and measures to take.
• Expected emergencies and steps should be done if
these occurrences occur.
• Workplace constraints
• Their personal health and safety responsibility.
• The ramifications of breaching the rules, including
disciplinary action.
• Who should I contact if I have a problem?

Training Opportunities

Following could be the opportunities when training needs to be imparted to workers.

• New worker – When new employees join a company, they are given induction training. This helps the worker to
learn about the business in a secure and orderly manner, while also ensuring that critical information is
presented and understood. Because the person is at risk in the workplace from the outset, it makes sense to
provide induction training once they begin working and to cover critical safety information, such as emergency
procedures, first.

Content of General Induction Training to New Workers:

• Organizational Health and Safety Policy - Goals

• Fire and other emergency procedures - assembly point
• Care facility location
• Safe movement in the workplace
• Incident reporting procedures
• Consultation arrangements
• Public safety regulations and staff code of practice
• Personal protective equipment (PPE) - requirements and application
• Introduction to SSW, PTW, and so on.
• Introduction to Risk Assessment - Workplace Safety Analysis
• Coordination and cooperation
• Dos and Don'ts - Drug Use - Discipline

• Job change - When a worker's job profile changes, such as when an office worker is assigned the task of visiting
customers at their workplace, training for single workers, training on safe road travel, and so on, may be required.

• Process change – Workers may be exposed to new hazards and risks when the method work is done changes,
necessitating further training. For example, when a new product is manufactured on an existing machine, it may
introduce new dangers that necessitate training on new safe operating methods.

• New technology - Organizations' use of new technologies introduces new dangers and hazards that employees may
be unaware of. The widespread adoption of desktop computers, displays, and keyboards is one example of new
technology that poses new workplace concerns. Many workplaces require training on the risks connected with the

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use of Display Equipment (DSE), as well as correct planning and use of a DSE workstation.

• Introduction of New legislation - new legislation enacted by local governments may necessitate training for
employees to grasp their implications for their daily tasks.

It is critical to preserve records of any training offered, not just to document who was trained, but also to update and
demonstrate progress against the training plan. Training records should include the degree of competency attained, the
date of training, and a note indicating when refresher training is required. These documents can be used to show
authorities that adequate training was delivered, or to offer documentation that an employee got training in the event
of a legal action for compensation or an accident inquiry.

Study questions from above Covered Topics

1. What are the advantages and disadvantages of written and verbal communication?
2. Explain why graphic symbols (such as pictograms) are used to transmit safety information using an example.
3. How can employees help to improve workplace health and safety?
4. What should be the primary focus of induction training?
5. When, other than upon induction, should training be provided?

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3.3 Human Factors which Influence Safety-Related Behaviour

In this section, you will learn about:

3.3.1 Organisational Factors

3.3.2 Job Factors
3.3.3 Individual Factors

The manner in which working personnel act is a crucial issue in health and safety management. It is believed that unsafe
behaviors - worker misconduct linked to safety - cause more than half of workplace accidents. It is insufficient to evaluate
that neglect. This simply assigns blame to the actor and is unhelpful in determining underlying causes or corrective
actions. Rather, we should investigate how human variables influence work habits. We need to figure out why people
behave the way they do at work. It might be possible if we could understand it:

• Correcting poor behaviour when it is observed by removing the source of the behaviour.
• Anticipating undesirable behaviour and implementing changes to lessen the likelihood of it occurring.

The HSE identified three human elements in HSG48 that have a substantial impact on individual workplace behavior,
which are as follows:

• Organization Factors: For example, culture, leadership, resources, work styles and communication.
• Job Factors: For example, task, workload, environment, presentation and controls, procedures.
• Individual Factors: For example, competence, skills, personality, attitudes and perception of risk.

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3.3.1 Organisational Factors

Whereas organizational elements have the largest influence on individual and group behaviour, they are frequently
disregarded during work design and accident and incident investigation. Companies must develop their own excellent
health and safety culture. Employee engagement and commitment must be encouraged at all levels, but deviation from
established health and safety standards is unacceptable. The following are organizational characteristics that influence
human behaviour:

• The health and safety culture of the organisation – The way an individual absorbs this culture gradually.
• Commitment and leadership from the management - Management must show clear leadership and their actions
must speak louder than their words.
• Resources – Provide sufficient time, money, equipment, and personnel to manage and carry out work safely.
• Levels of supervision - Correct level and competent supervision act as a deterrent to unsafe behaviour. Most workers
do not want to be caught and reprimanded by supervisors.
• Work patterns such as shift systems - Work at night or work long hours. This can negatively affect the health of
workers and cause burnout, which in turn can lead to poor performance and increased risks associated with safety-
critical work.
• Peer group pressure - This was already discussed earlier.
• Consultation and workers involvement: keeping the workers involved in work related decisions ensures cooperation
and acceptance from the workers.
• Communication –How effectively the organization uses various communication methods to convey health and safety
messages and information to the workforce, and how successful the organization is in verifying that these messages
are understood.
• Training – How well the organization has identified health and safety training needs and opportunities, and how
successful it is in meeting those needs to create competent and knowledgeable employees.

3.3.2 Job Factors

Tasks should be designed according to the principles of ergonomics to take into account the limits and strengths of
human performance. Matching the job to the person will ensure that there are no excessive burdens on him and that
the most effective contribution to business results. Physical matching includes the design of the workplace and the
entire work environment. Mental matching includes an individual's information and decision-making requirements, as
well as his or her awareness of tasks and risks. A mismatch between job requirements and employee capabilities
creates the potential for human error. Following are the various job-related characteristics that influence human
behaviour:

• Task - The method of carrying out the work. If the job is very complex and requires the worker to bend a lot or reach
for controls out of his or her hands, he will likely find an easier way to do the job which may not be the safest way.
• Workload – The amount of work, the rate of work, deadlines, the variety of work individuals have to face, and the
degree to which they are under the direct control of the worker or imposed externally.
• Environment - If the job involves working in a noisy, dusty or hot environment, the worker needs to wear certain
personal protective equipment to take care of the adverse effects. Wearing PPE and doing physically demanding
work quickly tires workers and they will find ways to do the job without PPE and thus expose themselves to risks.
• Displays and controls – The design of these elements, and the way poorly designed displays and controls can
contribute to the potential for human error (eg critical screens that are outside the operator's normal field of view).

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• Procedures - Attendance and quality of procedures. Non-compliance by workers can be caused by lack of written
procedures or poor written procedures that have become outdated, too complex or impractical.

Subject Emphasis

ERGONOMICS

• The interaction between the worker and their work task, work equipment and work environment so as to achieve
the best match.

• One of the principles of good ergonomic design is to adapt the task, equipment and environment to suit the
needs of the individual worker.

• In the context of health and safety management ergonomics is concerned with reducing the stress and strain put
on the worker during work, so as to avoid injuries and ill health (e.g., upper limb disorders caused by repetitive
handling activities) and minimize the potential for human error.

3.3.3 Individual Factors

Individual employees at all levels will have different habits, attitudes, skills, personalities, knowledge, and physical and
mental abilities. Some of them will change from time to time as people are affected by various factors including:

✓ Physical characteristics: age, physique (size and strength), physical condition (health), and gender.
✓ Psychological traits: attitude, willingness, motivation, cognition, and personality.
✓ Social and Cultural Influences: Education. expertise; home life; Peer groups (co-workers); Job satisfaction and
security.

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People bring their own unique set of skills, knowledge, experience, attitudes, motivations, habits, and personalities to
their jobs. These individual features have a complex and considerable impact on behaviour. Some of these features are
unchangeable, while others are. It is critical to recognize where modifications to these qualities may be required and
what approaches may be best used to effect those changes. For example, if workers have a negative attitude toward
machine guards, they must modify their attitude, and there are numerous methods for attempting to achieve this
transition.

The personal factors that might place an individual at a greater risk of harm while at work are:

• A generally negative attitude about work

• A lack of motivation
• Physical capabilities or development issues (such as lack of size, strength, and/or stamina) and cerebral
capabilities (such as weak reasoning skills);
• Poor perception of risk, perhaps influenced by alcohol or drugs
• Age-related behavioural characteristics linked with immaturity;
• Inherited or medical disorders impacting physical or mental capacity; and the individual's level of training and
experience

Some characteristics such as personality are fixed and cannot be changed. Others, such as
skills and attitudes, may be changed or enhanced. Following are the individual related
characteristics that influence human behaviour:

• Attitude: is the tendency to behave in a particular way in a certain situation. Attitudes are influenced by the
prevailing health and safety culture within the organization, the commitment of the management, the
experience of the individual and the influence of the peer group. Peer group pressure is a particularly important
factor among young people and health and safety training must be designed with this in mind by using examples
or case studies that are relevant to them. Attitudes develop over time, many of the time quiet early in the life,
and they have a tendency to stay with us. Because of this particular reason it is very difficult to change attitude.
Changing the attitude can be done using a combination of all the methods stated below:
o Education and training: Workers' attitudes about safety regulations as something supplied for their own
good change when they are taught and made aware of the threats in the workplace and in the operation of
machines, as well as the accidents that can occur. Educating workers that working safely is a legal necessity
affects their mentality.
o High-impact intervention: Images of grievous bodily injuries caused by poor attitude towards health and
safety creates a lasting image on the minds of the workers thereby changing their attitude.
o Consultation and workers involvement: In this the workers are made part of the decision-making process
and therefore the decisions taken are more readily accepted by the workforce and safety critical decisions
are viewed with a positive attitude
o Enforcement: workers are forced to follow the rules and procedures laid out by the organization and the
managers should be seen as following it themselves and taking unbiased action on the workers if they
violate the rules laid out.

• Competence: Competence is a combination of knowledge, experience, training and ability that brings a person
up to a level where they are able to perform to an acceptable standard and are aware of their own limitations.

Employers must guarantee that their employees are qualified for the job. A worker must have the correct
combination of training and experience to be competent — simply obtaining a qualification does not constitute
a person 'capable.' Neither does doing the task for an extended period of time! A newly certified employee may

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conduct jobs more attentively than a more experienced employee or be more up to speed with current
technologies, but they may also lack the expertise that only comes with time.

• Personality: Various innate characteristics underpin a person's character, such as risk-taking or risk aversion,
introversion or extroversion, etc. Attitude to health and safety can be influenced, skills can be increased and
competence developed, but a person’s personality remains largely fixed – it’s who they are.

• Skills: Each person has acquired skills over time; some of these skills are physical (such as a crane operator's
ability to accurately control the movement of a load), while others are mental (such as the ability to do complex
mental arithmetic while working). A person with weak manual skills may be incapable of securely managing a
piece of machinery during a work activity because they lack the essential skill.

• Motivation: is the driving force behind the way a person behaves or the way people are motivated to act.
Therefore, if a worker has to work safely, he must have the motivation to do so. Here are the ways in which
workers can be motivated to work safely.
o Engaging in the decision-making process in a purposeful manner will improve motivation.
o Use incentive schemes to obtain good safety records. Here it is important to know that if production is
stimulated, workers may take shortcuts to achieve the goals and thus, they may be motivated to work
unsafely and incentive schemes must be chosen carefully.
o Recognize opportunities for promotion, job security and job satisfaction.

• Risk Perception: Different people perceive risks in different ways. Some people are very adept at correctly
identifying the real risks associated with work. Others are very poor at this and either perceive unreal or trivial
risks (which causes them to unnecessarily risk avoidance) or are unaware of the real risks that exist (which means
they may expose themselves or others to those real risks).

Various factors that can distort a person’s perception of hazard and risk, such as:
• They suffer from an illness (e.g. influenza) and therefore do not process information well.
• They are under pressure and therefore other issues may dominate their thinking.
• They may be exhausted, not alert or able to respond quickly to circumstances.
• They may be under the influence of drugs or alcohol.
• They have previous personal experiences that distort their thinking.
• They may not have been properly trained and educated about the risks and hazards of the job.
• They may be required to wear personal protective equipment that interferes with their ability to detect
hazards that create hazards.
• Workplace conditions, such as high levels of noise, may interfere with their ability to correctly identify
hazards that create hazards.

Other Factors that May Affect a Perception of Risk are:

• Illness.
• Stress.
• Fatigue.
• Drugs and alcohol.
• prior experiences.
• Training, knowledge and education.

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Ways of Improving Workers Perception of Risk:

• Implement safety awareness campaigns using posters, toolbox talks, etc.
• Develop training programs to increase awareness of the danger and its consequences.
• Highlight hazards, for example by using safety signs to inform employees that hearing protection is required,
or to warn of a danger, such as the presence of forklifts or wet floors. Paint and tape can be used to highlight
hazards such as low objects or changes in levels.
• Ensure that there is adequate lighting.
• Remove distractions such as noise (which may cause the operator not to hear the warning) or excessive
heat (which can cause fatigue).

Link between individual, job and organisational factors

• Individual: includes a person's competence, skills, personality, behavior and awareness of risks.
• Job: includes the nature of the task, workload and work environment
• Organization: Discuss work styles, workplace culture, resources, communications, and leadership.

Subject Emphasis

Link between individual, job and organisation factors can be explained with a below example.
Mutually complement each other

For example:
Visible leadership from management will motivate workers; Consultation and communication will improve
perception of risk, etc. (Organisational Vs Individual factor)
Demonstration of management’s commitment to safety such as availability of resources, setting realistic targets
will provide reasonable work load (Organisational Vs Job factor)
No distractions in terms of lighting/noise/temperature in working conditions will help to improve perception of risk
at work (Job Vs Individual factor)

Study questions from above Covered Topics

1. Identify the three factors that impact on a worker’s health and safety-related behaviour.
2. Outline four key job factors that can impact on safety-related behaviour.
3. Why might workers not correctly perceive risk at work?

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3.4 Risk Assessment

In this section, you will learn about:

3.4.1 Introduction to Key Words and Phrases

3.4.2 Risk Profiling
3.4.3 The purpose of Risk Assessment
3.4.4 The Five-Steps of Risk Assessment
3.4.5 Special Cases and Vulnerable Workers

The International Labor Organization (ILO) has developed a number of health and safety conventions, recommendations
and guidelines. Conducting health and safety risk assessments is part of the principles and practices established by these
requirements.

Article 6 - General Obligations of Employers:

3) Without prejudice to the other provisions of this Directive, the employer, taking into account the nature of the
activities of the enterprise and / or the enterprise:
a. Assessment of risks to the safety and health of workers, among other things in the selection of work equipment,
the chemicals or preparations used, and the preparation of workplaces.

After this assessment and as necessary, the preventive measures and methods of work and production
implemented by the employer should be:

a. Ensuring the improvement of the level of protection afforded to workers with regard to safety and health.
b. It is incorporated into all undertaking and/or organization activities and at all hierarchical levels.

Article 9 - Various obligations on employers

1) The employer shall:

a. Be in possession of an assessment of the risks to safety and health at work, including those facing groups of
workers exposed to particular risks.
b. Decide on the protective measures to be taken and, if necessary, the protective equipment to be used".

3.4.1 Introduction to Key Words and Phrases

Hazards
"Something that has the potential to cause harm".

The ISO 45001:2018 standard defines a hazard as “a source of potential injury or ill health”. Sources can include
potentially harm or dangerous situations, or conditions likely to lead to injury and ill health.

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Hazards can be broadly classified as:

• Physical – things which cause harm because of their physical
characteristics.
• Chemical – things which cause harm because of their chemical
characteristics.
• Biological – living micro-organisms that cause disease and ill
health.
• Ergonomic – stress and strain put on the body through posture
and movement.
• Psychological –things that have the potential to cause injury to
the mind rather than the body .

Note: Inhalation of chemical fumes will lead to ill health but may burn the skin if in contact. Hence it is classified as
Physiochemical hazard.

Risk:

The ISO 45001:2018 standard defines risk as “a combination of the probability of a hazardous work-related event(s)
or exposure(s) and the severity of injury and ill health that could result from the event(s) or exposure(s)

“The probability of occurrence of the risk and severity of injury or damage.”

𝑅𝑖𝑠𝑘 = 𝑃𝑟𝑜𝑏𝑎𝑏𝑖𝑙𝑖𝑡𝑦 × 𝑆𝑒𝑣𝑒𝑟𝑖𝑡𝑦

Whenever possible, risks can be eliminated through careful selection and design of facilities, equipment and process. If
risks cannot be eliminated, they must be reduced through physical controls. e.g.: The use of machine protectors, the use
of non-slip floor surface.

Harm may lead to imminent accidents and damage to property; Accidents that lead to injury; ill health and death. We
may describe the risk as 'high', 'medium' or 'low' and it will all depend on the probability of the risk and the severity of
the damage being high, medium or low.

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3.4.2 Risk Profiling

Risk Profiling means:

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

"At a strategic level, the process of recognizing the range of risks that affect an organization, as well as the possibility and
likely consequences of those risks." Risk profiling considers existing risk management controls in order to assess their
performance and identify and prioritize additional risk management controls."

An organization's risk profile refers to the variety of hazards that threaten the organization, as well as some recognition
of the possibility and likely consequences of those risks occurring. A risk profile investigates:
• the nature and severity of an organization's threats;
• the likelihood of unfavorable impacts occurring;
• the amount of disruption and expenses associated with each category of risk; and
• the effectiveness of controls in place to mitigate those risks.

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

Risk Profiling: Who should be involved?

Risk Assessors
• A team approach will be used, with the line
manager, supervisor, health and safety
specialist, technical expert, and workers
participating (representatives).
• The competence of the risk assessor is critical.
• Competence is measured by:
✓ Understanding of the RA process
✓ Plant and process knowledge
✓ Understanding of applicable standards
✓ observant and aware of constraints
✓ Communication abilities
✓ Report writing abilities
✓ Computer proficiency

The Risk Profiling Process

The method of risk profiling is, at its base, quite simple. It consists of identifying health and safety concerns to the
organization and then prioritizing those threats based on their potential consequences and likelihood of occurrence. This
procedure will be outlined simply below:

• Identify the health and safety threats faced by the organisation: All organizations face a variety of health and safety
issues. These hazards are caused by the nature of the organization's activities. Work at height, vehicle movements,
lifting activities, manual handling, noise, ionising radiation, and work-related violence will all be included. Many of
these risks are covered in further depth in Elements 5–11 of this course. Some businesses will just have a couple of
these. Others will have all of the major health and safety concerns covered, as well as a variety of additional risks
unique to their line of work.

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• Identify the health and safety impacts and the business impacts that might result:
Each highlighted hazard will have a potential impact on health and safety if it occurs. For example, if an unprotected
worker falls from a great height, he or she is likely to suffer. Workers who participate in heavy manual handling may
be hurt, but this will more likely result in lost time, which may be reportable as an injury lasting more than seven
days. These two effects are clearly of different magnitudes.

Each hazard will almost certainly have a business consequence. This goes beyond the physical and health effects to
consider the overall influence on the organization. A work-related fatality, for example, will result in an investigation
by authorities, huge business disruption as a direct result, the possibility of very harmful publicity, and a catastrophic
reduction in worker morale. These effects might last for weeks, months, or even years, causing substantial direct and
indirect financial damage to the organization's profits.

• Identify how well each threat is currently controlled

The reality is that many organizations will already have numerous control systems in place to decrease the risk of
these threats and their consequences if they occur. These control measures must be taken into account during the
risk profiling process to ensure that well-controlled hazards do not receive undue attention.

• Identify the likelihood of each threat occurring

One method for determining the possibility of any threat occurring is to consider the period over which that threat
could occur, given the control measures in place. For example, in an organization that undertakes a lot of work at
height but has extremely well-implemented control systems, the likely timeline for a fall from height may be between
one and five years. In another organization that does a lot of manual handling that isn't sufficiently controlled, a
manual handling accident could happen within days or weeks.

• Identify the priority of each threat

The final stage in the procedure is to prioritize the identified threats. This entails ranking them in order of priority
based on the information presented above. The goal is to identify the hazards that will have the greatest impact but
are not currently properly handled, so that they can be given the time and attention they need. While ensuring that
dangers that will have little impact or are already well controlled do not attract disproportionate attention.

3.4.3 The Purpose of Risk Assessment

Risk Assessment means:

A systematic process of evaluating the potential risks that may be involved in a projected activity or undertaking. It is a
formalized process of identifying preventive and protective measures by evaluating the risk(s) arising from a hazard(s),
taking into account the adequacy of any existing controls, and deciding whether or not the risk(s) is acceptable.

Purpose of a risk assessment:

• Determining the organizational steps required to comply with relevant health and safety legislation.
• Ensuring that risks are reduced through the proper application of risk control procedures.
• Ensuring legal compliance.
• To avoid incidents, as well as the resulting harm and illness.
• To avoid legal action against the corporation and its executives.
• To avoid the direct and indirect expenses of an accident.

The aim of risk assessment is to ensure that hazards are eliminated, or risks minimised, by the correct application of
relevant standards.

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The objectives of risk assessment are to prevent:

• Death and bodily harm.
• Incidents of other sorts of loss
• Violations of statute law, which may result in
enforcement action and/or prosecution.
• The direct and indirect expenses associated with
accidents.

Risk assessment involves:

• Identifying potential hazards.
• Identifying the vulnerable population, who might be harmed, and how.
• Evaluating the hazards' risks (likelihood and severity (consequence)) and deciding on precautions (adequacy of
current controls and need for additional controls).
• Recording significant findings and implementing.
• Reviewing and updating the risk assessment as needed (periodically or when there is a significant change, for
example, process or legislative change).

Risk assessment is something that most people do on a daily basis. Routine tasks like crossing the street and driving to
work necessitate a thorough examination of the hazards and risks involved in order to avoid harm and injury. As a result,
most people can identify hazards as they emerge and take corrective action. People's perceptions of risk vary greatly,
and it may be difficult to connect their experience to the official workplace risk assessments that are required.

Subject Emphasis

A suitable and sufficient risk assessment should:

• State the assessor's name and qualifications, as well as the name of any specialized assistance obtained
while preparing the risk assessment.
• Identifying the key hazards and risks associated with the work, i.e., those that are most likely to occur and
cause harm, with any residual risks kept to an acceptable low level.
• Identify all those who may be at danger, including workers and other visitors. Young individuals, in
particular, should be identified as vulnerable.
• Assess the efficacy of present control measures.
• Determine whether other control measures are required to reduce the risk to an acceptable level.
• Allow the employer to identify and prioritize the control measures that must be implemented to keep
people safe, including compliance with any legal requirements.
• Document the key findings of the risk assessment.
• Be proportionate to the risks and suited to the nature of the work.
• Specify the time frame during which it will be valid.

Proportionate risk assessment refers to risk assessment based on the level of risk. For a simple workplace where the risk
levels are normally low and the dangers are simple, risk control methods can be based on readily available simple
guidelines. However, in high-risk workplaces where complicated operations, such as chemical processing inside a reactor,
are undertaken, risk assessment should be based on professional competent advice.

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3.4.4 The Five Steps of Risk Assessment

Risk assessment can be described as a 5-step process:

• Identify the hazards.
• Identify the people who might be harmed and how.
• Evaluate the risk and decide on precautions.
• Record the significant findings and implement them.
• Review and update as necessary.

Step 1 – Identify the Hazards

This is the first and most critical step. In this section, the risk assessor must identify all significant hazards in the workplace.

This is the process of detecting all potential dangers in the workplace. You must be aware of all potential threats, but the
most major ones are critical.

As previously stated, risks are items that have the potential to cause harm. It is critical to identify both safety dangers
that could result in immediate physical injury and health hazards that could result in disease or ill health.

Sources and Form of Harm:

✓ Safety Hazards: There are numerous risks that might cause immediate physical harm:
o Work at a Height
o Materials stacked.
o Vehicles in Motion
o Operations requiring manual handling.
o Machine parts that move.
o Electricity.
o Chemicals that are toxic or corrosive.
o Extensive water.
o A naked flame, such as a lighted propane torch
o Dogs and other animals
o Violent individuals

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✓ Health Hazards: Some hazards can lead to occupational sickness or ill health. This can occur as a result of a single
event (such as a needlestick injury infecting a worker with the hepatitis virus), but it is more commonly the result
of weeks, months, or years of exposure to the hazard. These health risks are classified into five categories:
o Physical, e. g. radiation, vibration, noise, extremes of temperature, etc.
o Chemical, e. g. lead, mercury, sulphuric acid, silica, cement dust, etc.
o Biological, e. g. HBV, Legionella bacteria (responsible for Legionnaires’ disease), rabies virus, etc.
o Ergonomic, e. g. very repetitive movement, stooping, twisting, manual handling, etc.
o Psychological, e. g. stress and trauma

Sources Information to consult:

✓ Internal Information Sources: Internal information

sources provide insight into the nature of a local,
organizational health and safety issue. Among the
internal sources are:
• Accident reports
• Illness and absence records
• Medical history.
• Risk evaluations
• Maintenance logs and reports
• Inspections by safety representatives.
• Reports on audits and investigations
• Minutes of safety committee meetings.

✓ External Information Sources: External information sources are useful not only because they give an insight into
standards, but also because of the ‘bigger picture’ that can be gained. External sources include:
• National regulations (e.g. regulations).
• HSE and other authorities' approved codes of practice and guidance notes (such as fire authorities).
• British Standards Institution (BSI) or European and worldwide agencies such as the International
Organization for Standardization (ISO) standards (ISO).
• Manufacturers' information, such as plant and machinery operating instructions and material safety data
sheets from chemical suppliers.
• Trade organizations like the Chemical Industries Association (CIA).
• Safety periodicals and journals.
• International organizations and entities, such as the European Union (EU) and the International Labour
Organization (ILO), that establish international law.
• Industry or sector-specific trade unions (e. g. fire brigade union).
• Charities or non-profit organizations interested in a specific form of workplace or work activity (e.g., Suzy
Lamplugh Trust) and lone working.

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Hazard Identification Methods:

There are several approaches for identifying hazards, including task analysis, referencing legal guidelines, manufacturer
information, and event data.

✓ Task Analysis: This is a valuable strategy for finding dangers since it permits hazards to be identified before work
begins rather than afterward. Breaking down a job into component phases and recognizing the hazards connected
with each step allows a safe working technique to be devised to cope with each hazard. This can be done as part of
the planning process before work begins, and that is how safe work procedures are formed.

Subject Emphasis

There is a useful abbreviation for task analysis – SREDIM:

• Select the task.

• Record the steps or stages of the task.
• Evaluate the risks associated with each step.
• Develop the safe working method.
• Implement the safe working method.
• Monitor to ensure it is effective.

✓ Legislation: Certain activities, such as working on live electrical connections, are strictly regulated by municipal and
national legislation. Examining the law and applying the requirements of some legal advice materials also aids in the
identification of threats.

✓ Manufacturers’ Information: When you buy a new unit of plant, machinery, or equipment, it usually comes with an
instruction book that provides information on all the potential hazards as well as guidelines for safe use, cleaning,
and maintenance. Similarly, when a new chemical is purchased, it comes with labels and a safety data sheet outlining
the item's hazards.

✓ Incident data: This is internal data from the company. The incident reporting and investigation forms are also great
resources for identifying dangers. External data, such as national statistics, can also be valuable.

Step 2 – Identify the People at Risk

This is the process of determining who may be at risk from the hazards that is the groups of staff and others likely to be
affected in the case of an incident involving the hazard.

✓ Workers and Operators: These are the people who are on the front lines of operating the machine; they may be
affected both directly and indirectly by the hazard, for example, a drilling machine operator will be affected by the
noise emitted by the drilling machine during operation, but a co-worker who is working on a quieter machine nearby
may also be affected.

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✓ Maintenance staff: Because of the nature of maintenance

work, they are frequently implicated in the elimination of
standard workplace precautions (e. g. the lift engineer who
has to climb onto the top of a lift carriage in the lift shaft, or
the engineer who has to remove machine guards to repair a
breakdown). If typical safeguards are eliminated or bypassed,
the danger to these workers grows, and additional measures
of risk control must be developed.

✓ Contractors: They may work in collaboration with or

independently of the company's employees. In any case, their
operation will pose a risk to others while also being affected
by the various workplace risks that exist.

✓ Cleaners: may be at greater risk since cleaning activity may entail the removal of protections or other activities that
increase risk (e. g. window cleaning from an access cradle). Because many cleaners work alone outside of typical
working hours, lone working becomes a concern.

✓ Visitors/ Customers: The workplace will be visited on a regular basis. They must be furnished with the necessary PPE
while entering any PPE-required area and must be protected against hazards such as fire.

✓ Members of the public: may merely be in the neighbourhood of the workplace and nevertheless be exposed to
certain sorts of hazards A harmful chlorine gas leak from an industrial facility, for example, will have an impact on
passers-by and those who reside nearby. Trespassers (uninvited visitors) may get access to the site in some cases.
This is especially crucial given the risk of youngsters entering the premises (e. g. playing on building sites, or near
railway lines).

Step 3 – Evaluate the Risk and Decide on Precautions

In this step, put simply, we are going to measure the risk, check if is acceptable and if not decide on control measures to
either eliminate or reduce the risk. The risk is evaluated based on the likelihood of harm and severity of the harm. The
following should be considered.

Possible Acute and Chronic Health Effects

There are many hazards that create a risk to health. For example, many chemicals create health risks. These health risks
may be acute or chronic in nature.
✓ Acute health consequences are short-term effects that occur soon after being exposed to the hazard. For
example, large doses of carbon monoxide gas will induce immediate unconsciousness followed by death in a
matter of minutes.

✓ Chronic health consequences are long-term in nature. These are frequently the outcome of repeated exposure
to the hazard. Sounds-induced hearing loss, for example, can occur as a result of months or years of repeated
exposure to very loud noise.

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To begin measuring the risk, we must first develop a mathematical formula. We understand that risk is a combination of
the possibility of a hazard causing harm and the severity of the resulting injury. So, in mathematical terms, we can now
say:
Risk = Likelihood x Severity
Now if we put a number for the likelihood and for the severity and then multiply them, then we should be able to quantify
risk. For quantifying likelihood and severity we can use the following risk rating chart.

For quantifying likelihood and severity, we can use the following risk rating chart.
Likelihood Severity
1 = Very Unlikely 1 = Very minor injury
2 = Unlikely 2 = First aid injury
3 = Fairly Likely 3 = Lost – time injury
4 = Likely 4 = Hospital treatment
5 = Very likely 5 = Disabling injury

Using the above risk rating chart, the risk generated by a trailing electrical cord positioned across a busy corridor might
be calculated as 5 x 4 = 20 (very probable x hospital treatment).

After we have calculated the danger, we must determine whether it is acceptable. Obviously, a bigger danger would be
unacceptable, whereas a lesser risk would be acceptable. However, in order to estimate the risk, we must resort to the
risk assessment matrix.

Following is an example of a typical risk assessment matrix

Risk rating Action and timescale

1-3 Acceptable – No action required
4-6 Acceptable. If simple action can reduce further then must be done within one week
8-12 Tolerable however efforts should be made to reduce the risk
15-16 Unacceptable - immediate action required to reduce risk
Unacceptable - Work shall not be started or continued until the risk has been reduced. If
20-25
reduction is not possible, the activity shall be prohibited

Each organization is free to design and use its own risk matrix and risk rating chart, what we are trying to understand is
the methodology.

Applying Control Measures:

After estimating the risk, if it is determined to be high, we must reduce the risk by implementing control measures. These
risk-reduction techniques will reduce the risk in one of two ways:
• Bringing down the likelihood or,
• Bringing down the severity or,
• Bringing down both.

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Using a numerical risk rating system such as the example shown above can be useful for several reasons:
✓ Clarity of thought: when asked to apply this type of scoring system, people tend to think more carefully about
the possibility and severity of foreseeable injury, resulting in a more accurate end result.
✓ Approach consistency: different persons can apply this system and achieve similar outcomes.
✓ Prioritization: Because risk is now represented by a number, and the higher the number, the greater the
danger, it is simple to separate out the various risks provided by various hazards and rank them in order.

General Hierarchy of Control

When hazards are found during the risk assessment process, the precautions required to control those hazards to an
acceptable level must be determined. This is the most critical component of the risk assessment: determining what
additional action is required and executing it.

A risk control hierarchy can be beneficial for determining what further measures could be needed in a given situation.

Subject Emphasis

The general hierarchy of risk control (based on ISO 45001 and ILO-OSH 2001):

• Elimination.
• Substitution.
• Engineering controls.
• Administrative controls.
• PPE.

The following examples are given to illustrate measures that can be implemented at each level.

1. Elimination: If a hazard can be

removed, the risk posed by that
hazard is removed. This could be
accomplished by fully shunning a
risky activity. For example, an
assembly workshop could stop
welding steel to reduce the risks
associated with welding processes
and instead purchase pre-
fabricated metal components. The
obvious disadvantage of this
method is that it cannot be applied
to the majority of working
activities. In this instance, it may be
possible to eliminate one or more
of the risks associated with an
activity.

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2. Substitution: replacing hazardous with less hazardous (for example, solvent-based paint with water-based paint);
changing slippery floor material; lowering voltage requirements for equipment; and employing a permanently fixed
ladder system rather than temporary ladders.

3. Engineering controls, reorganization of work, or both: Engineering controls involve the use of an engineering solution
to prevent exposure to the hazard. This might be done by:

• Isolation or total enclosure – The goal here is to physically isolate the threat so that no one is exposed to it. This
could be accomplished by completely enclosing or containing the hazard (e. g. total enclosure of a process which
generates dust to prevent its escape, acoustic enclosure of a noisy machine to reduce the noise exposure of
those nearby, or guards around moving machinery to prevent contact).

• Separation or segregation – By placing the hazard in an unreachable area Overhead cable with an electrical
conductor positioned out of reach are one example. Precautions must be made in this scenario to ensure that
safe distances are maintained at all times (e. g. the use of goalposts to warn plant operators on a construction
site of the safety distances for live electrical overheads).

• Partial enclosure – A hazardous material, for example, might be handled in a fume hood or partial enclosure
that the worker can reach into for handling purposes. Air is evacuated from the top or back of this partial
enclosure, directing any airborne contamination away from the worker.

• Safety devices and features - that ensure the item is used correctly and not in a dangerous manner Interlock
switches, for example, are installed on movable guards on machinery to ensure that the machine does not
function when the guard is open (but when the guard is closed, it will).

4. Administrative controls including training: Administrative controls are those that rely on procedures and behaviour,
such as:
• Safe system of work – This is a formal procedure that outlines a method of working that avoids or reduces the
risks connected with hazards. When dangers cannot be physically eradicated and some element of risk remains,
safe work systems are required. This is true for any endeavour that involves a high level of risk. As a result, there
is a fixed procedure for setting and detonating explosives in a quarry. Accidents and other occurrences can be
avoided by using a safe system. As part of the safe system of work, certain high-risk work activities may be
governed by a permit-to-work system (explained later).

• Reduce exposure –If a worker's exposure to a hazard can be reduced, that worker is considerably less likely to
have an accident with that hazard. An engineer who spends all day working on machinery with hazardous moving
components, for example, is more likely to be injured than an engineer who only spends one hour of their
working day exposed to the same hazard. The duration of each exposure (for example, 10 minutes or 8 hours)
and frequency of exposure (for example, once a week or 10 times a day) will both play a role here - the less time
and the less frequently, the better.

• Reduce time of exposure – Many workplace health hazards induce a degree of injury that is solely reliant on the
dose that a worker receives (for example, noise, vibration, radiation, and most toxic substances (such as lead)).
The dose is governed mostly by two factors:
o The concentration, intensity or magnitude of the hazard present.
o The time ofexposure.

For example, the harm to hearing caused by exposure to loud noise is entirely determined by the noise
intensity (measured in decibels) and the duration of exposure:

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– Exposure to the same noise level for twice as long gives you double the dose of noise; exposure for half as
long gives you half the dose.
– The degree of noise damage is determined by the dose: the higher the dose, the greater the damage.

Limiting the time of exposure is an important control approach that can be employed in the workplace in all circumstances
where harm is dose-related.

• Information, instruction, training and supervision – Employee competence can only be achieved through
training. A competent individual is well-versed in all pertinent information, is completely aware of the threats,
and employs suitable preventive measures.

• Supervision – refers to management checking workers on a regular basis and exerting their authority to control
behaviour. Supervision, while necessary as a management control, does not always imply ongoing inspection of
personnel and the workplace. It is possible to oversee workers by establishing contact with them at appropriate
times throughout the working day, and it is also viable to supervise them remotely (i.e. from a distance).

5. Personal protective equipment (PPE) - providing adequate PPE, including clothing and instructions for PPE utilization
and maintenance (e.g., safety shoes, safety glasses, hearing protection, gloves).

Subject Emphasis

PERSONAL PROTECTIVE EQUIPMENT

Equipment or clothing that is worn or held by a worker that protects them from one or more risks to their safety or
health.

There are instances where none of the above control measures can be used and there are times when some of them can
but residual risk still remains. If this is the case, then it may be necessary to use PPE. Many different types of PPE are
available, such as:
• Ear defenders for noise.
• Gloves to prevent contact with substances hazardous to the skin.
• Respiratory protection against substances hazardous by inhalation (breathing in).
• Eye protection against splashes of chemicals and molten metals, mists, sprays and dusts, projectiles and
radiation including laser lights.

Advantage of PPE Disadvantage of PPE

Low cost Doesn’t reduce hazards at source.
Can be used as a short-term measure. Only protects the employee wearing the PPE.
It is portable Always fails to danger.
Disposable PPE reduces infection. May be introduced to new hazards.
E.g.: Inhibit hearing warning signs.
Relies on workers to use it.

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Use of Guidance and Legal Standards

The previously outlined numerical risk assessment method (Risk = Likelihood Severity) is extremely beneficial as a
practical tool for risk management on a daily basis in a fast-changing workplace. It enables a straightforward and
consistent approach to risk management and decision-making. However, one thing that this approach does not take into
account is legal norms. If there are clear legal criteria regarding the controls that should be applied to a certain danger in
the workplace, then the usage of a score system, risk prioritisation, timetables, and so on becomes completely obsolete.

The only question that matters is whether we are following the law?

If there is no clear legal standard, or if the legal standard is subject to interpretation, the authorities may still issue advise
that clearly outlines the controls that are required. Referencing the legislation, any semi-legal codes of practice, and
recommendations released by enforcement bodies is thus critical in establishing what safeguards should be taken for a
specific workplace hazard.

Source and Examples of Legislation

Where specific duties set out control measures that must be taken, the
risk assessment must consider if these are in place.

International and national legislation may contain duties to use specific

measures to control specific hazards. This can take the form of ILO
Conventions, such as the Chemical Convention C170, or national
legislation, such as the Occupational Safety and Health (Use and
Standards of Exposure to Chemicals Hazardous to Health) Regulations
2000, or national legal codes, such as the Abu Dhabi EHSMS Code of Practice
on Occupational Health and Safety, which includes requirements for desert
driving risks.

Residual Risk

This is the risk that remains even after precautions have been put
in place. While a guard rail, for example, may prevent a slip that
could result in a fall from a height, the possibility of sliding on the
level would remain, and this would be the residual risk after the
guard rail was built. Similarly, using local exhaust ventilation
equipment to remove a chemical from a workplace will only be
effective to a point. Although it may lower the amount of chemical
to slightly below the workplace exposure limit (WEL) set by
national or international standards, the amount of substance that
remains in the atmosphere poses a residual risk.

Acceptable / Tolerable Risk Levels

After controls have been implemented, the residual risk must be assessed to see whether it is at an acceptable level. This
may be influenced by how much knowledge people have about a particular hazard or the level of risk they expect to be
exposed to. Every year, societal norms shift and risk acceptance decreases. The noise action limits applicable in European
Union (EU) countries, for example, have recently been reduced, demonstrating this shift in acceptability.

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Many countries' health and safety legislation imposes a general duty to decrease the degree of risk to the greatest extent
reasonably achievable. Employers must use any new technological advances when applying for and satisfying the phrase
"practicable."

Distinction between Priorities & Time Scale

There may be a high priority to reduce a high danger, but the action required may take a long time to complete. As a
result, categorizing all high risks as requiring an immediate remedy is not always beneficial. It is critical not to overlook
the danger, and it is frequently viable to implement certain components of lesser control on an interim basis while the
longer-term solution is being developed.

Step 4: Record Significant Findings

A risk assessment's significant findings should be documented to offer a description of the hazards in the workplace,
the level of the risks that they provide, and the action taken to control those risks. Because there is no standard
structure for risk assessments, individual organizations can use the format that best suits their needs. The following
items must be noted for a risk assessment to be appropriate and sufficient:
• The name of the risk assessor and the date of the assessment.
• Identification of the activity/ location/ equipment for which the hazards are assessed.
• Identification of the groups of people at risk.
• Estimation and evaluation of the risk considering the current control measures
• Planning and implementing further precautions to bring down a high level or medium level risk.
• Noting a date on which the risk assessment needs to be reviewed.

Step 5: Reasons for Review

When conditions change as a result of the introduction of new machinery, processes, or risks, review and revision may
be required. There could be fresh data on dangerous drugs or new legislation. Changes in the workforce, such as the
introduction of trainees, may also occur. Only if significant changes have occurred since the prior evaluation should the
risk assessment be amended. An accident, event, or series of minor incidents is a good cause to revisit the risk assessment.

Subject Emphasis
Following are the situations which can trigger the review of a risk assessment:

Significant change to something that the risk assessment relates to:

– Process.
– Substances.
– Equipment.
– Workplace environment.
– Personnel.
– Legal standards.
There is reason to suspect that the assessment is not valid:
– Accident.
– Near miss.
– Ill health.
It is also good practice to review risk assessments on a regular basis. This is often done by determining a frequency of
review based on the level of risk associated with the activity in question. An annual review of risk assessments is
common practice in many workplaces.

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3.4.5 Special Cases and Vulnerable Workers

There are times when a risk assessment has to focus on one person, or one specific group of workers, because they are
more vulnerable to particular hazards (or more at risk).

Young person
The person who has not reached the age of 18 is termed as young person.

Young persons are at greater risk at work for the following reasons:
– Lack of knowledge, experience / training;
– The body has not fully developed and
– They are more likely to take risk respond to peer group pressure and be enthusiastic, excited.
– Physical and, perhaps, mental immaturity.
– Poor perception of risk.
– Heavily influenced by peer group pressure.
– Eager to show a willingness to work.
– Less developed communication skills.

The following precautions need to be considered for young workers. They should not be given work which:
– Is beyond their physical or mental capacity
– Subjects them to radiation
– Involves a danger of mishaps, which they are unlikely to identify due to factors such as inexperience.
– Poses a health risk due to excessive heat, noise, or vibration
– Involves working overtime or at night to avoid fatigue.

The special risk assessment needs to be done before allowing young workers in the workplace. The following things
to be taken into consideration:
– Specific details about the work activity, such as any equipment or hazardous substances;
– Information about any restricted equipment or processes;
– Specific details on the health and safety training that will be delivered;
– Specific details about the supervision arrangements.

The following control measures may be required to control the risk for young worker:
– induction training;
– close supervision or mentoring by an experience responsible fellow worker;
– Specific health observation.
– Provide mentors to monitor and supervise young person’s more closely than other workers and to provide clear
lines of communication
– Restricting the type of work carried out; and restricting the hours worked.
– Prohibit a young person from carrying out certain high-risk activities (e. g. operating complicated machinery).
– Any statutory restrictions on young person’s carrying out certain activities, e. g. driving;
– Ensuring that any PPE which is required is suitable for their size, shape, etc.; and insurance requirements
– The place of work & equipment where he will be working.
– The physical, chemical and biological agents which will be used.
– Carry out risk assessments specifically with young persons in mind.
– The organization of work and process involved.
– Provide senior workers to mentor them and keep a close eye on their activities.
– Provide specific health surveillance.

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Expectant and Nursing Mothers:

When a woman is pregnant or breast feeding then there are certain activities which cannot be performed by her due to
the additional hazards that they present to them. Certain hazards not only pose a risk to the woman but also to the
unborn child. If precautions are not taken, then it can lead to miscarriages or children born with certain genetic defects
or illnesses.

Subject Emphasis
Following are the typical factors that affect such women:
– Manual handling
– Chemical or biological agents
– Ionizing radiation
– Passive smoking
– Lack of rest room facilities
– Temperature variations
– Ergonomic issues related to prolonged standing, sitting or the need for awkward body movement
– Issues associated with the use and wearing of personal protective equipment
– Working excessive hours
– Stress and violence to staff

Employers should consider the above and implement additional control measure as follows:
• Change work hours, no night shifts, and manual handling
• Change the sort of job, such as no bending, stooping, or working near radiation.
• Allow for more break time.
• Allow the woman to take maternity leave.

Disabled Workers:
Risk assessment must take into account the needs of all those affected by the work, including disabled personnel. It is
essential to ensure that the health and safety of disabled workers are not jeopardized, especially in an emergency.
When making decisions about how to avoid hazards, disabled workers should be consulted. At work, the impaired
worker may be more vulnerable to the following:
• Reduced mobility for safe access and egress and emergency evacuation;
• Ability to access welfare facilities;
• Reduced sensory input & communication ability to recognise emergencies & hazards. e. g. eyesight,
hearing, speech.
• Reduced ability to lift, carry or move objects; and ergonomic hazards, e. g. reach distances.

Remember that other employment and anti-discrimination legislation should be considered alongside any relevant
health and safety legislation.

Lone Workers:

People who work fully on their own for extended periods of time, or who are not alone but do not have coworkers on
whom they may rely for assistance, may be classed as lone workers. A service engineer, for example, who spends four
hours alone in a plant room fixing machinery is a lone worker, but so is a healthcare professional who travels throughout
the community visiting elderly patients to provide care (even though they may be in sight of other people at all times
during their working day).

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They are found in a wide range of situations, including people in fixed establishments where:
• Only one person works on the premises, for example, at small workshops, gas stations, kiosks, shops, and
home-workers.
• Individuals work independently from others on the premises, such as factories, warehouses, some research
and training facilities, grounds maintenance, or recreation centres.
• People who work alone outside of typical business hours, such as cleaners, security, special production,
maintenance, or repair personnel;
• Mobile workers who work away from a permanent location, such as:
✓ people involved in construction, plant installation, maintenance and cleaning, electrical repairs, lift
repairs, painting and decorating, vehicle recovery, and so on;
✓ laborers in agriculture and forestry; and
✓ Postal employees, social workers, pest control workers, drivers, engineers, architects, real estate vendors,
sales representatives, and other professionals visiting residential and commercial properties

Lone workers may be at increased risk because of the hazards and risks associated with the work carried out:
• the working environment, for example, a real estate vendor visiting a decaying property;
• the tools to be utilized, such as a farmer employing agricultural equipment on a field;
• whether the lone worker is a new or pregnant mother, a young person, or a person with a disability;
• lack of emergency services;
• insufficient training or competence;
• a lack of oversight and/or communication with their employer

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

However, control measures and safe systems of work to reduce risks to lone workers may include:
• information and training about risks that may arise;
• a first-aid kit;
• supervisors periodically visiting and observing people working alone;
• regular contact between the lone worker and supervisor using either a telephone or radio;
• automatic warning devices that operate if specific signals are not received periodically from the lone worker;
• other devices designed to raise the alarm in the event of an emergency which are operated manually or
automatically by the absence of activity;
• checks that a lone worker has returned to their base or home on completion of a task;
• personal protective equipment to protect against the hazards identified; and
• actions to deal with a lone worker who becomes ill, has an accident, or other emergency

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Study questions from above Covered Topics

1. What is the purpose of risk assessment?
2. What techniques are used for identifying hazards?
3. Identify two internal and two external sources of information about health and safety.
4. What are the five categories of health hazard?
5. What are the five steps involved in risk assessment?
6. Apart from office workers, what particular people or groups might require special consideration during a risk
assessment in an office environment?
7. What two factors are used to estimate risk?
8. What is residual risk?
9. What is the general hierarchy of control?
10. What conditions might trigger a risk assessment review?

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3.5 The Management of Change

In this section, you will learn about:

3.5.1 Typical types of changes in the workplaces

3.5.2 Managing the impact of Change

3.5.1 Typical types of change in the workplaces

The workplace experience changes routinely. Changes may be due to construction work (often referred to as temporary
work), a change of process, a change of equipment, or a change in working practices.

Management of change also includes changes in process technology as well as modifications in equipment and
instrumentation. Process technology changes can occur as a result of changes in production rates, raw materials,
experimentation, equipment unavailability, new equipment, new product development, catalyst changes, and changes
in operating conditions to increase yield or quality.

Short-term building projects, building maintenance, renovation, demolition, and excavation work are examples of
temporary works. Temporary work can be as simple as painting and decorating a tiny office, repairing coping stones on
top of a brick wall, or excavating a shallow trench to gain access to underground telephone wires. Major construction
projects can also involve the construction of a significant addition to a distribution depot, the destruction of a derelict
building on factory grounds, or major renovation works to both the exterior and interior of a 100-year-old civic building.

The hazards of temporary works can present a risk to the workers and others affected by the temporary works. These
workers may be contractors working for an external employer engaged to undertake the work (such as a building
company engaged by a client to undertake construction work). They could be in-house staff (for example, the employer's
in-house building maintenance crew). The personnel could be a combination of in-house employees and outside
contractors.

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Most importantly, the risks of temporary works can endanger individuals who are working in the workplace while the
work is being done, as well as others who may be visiting or passing through or by the work area. For example, external
lamp cleaning and maintenance work undertaken by external contractors at a leisure centre run by a local council could
potentially present risk to:
✓ The workers themselves.
✓ Leisure centre staff.
✓ Leisure centre customers (including children, the elderly and the disabled).
✓ Members of the public passing by outside the site.

Creating a temporary workplace within the current workplace can disrupt the 'normal' control procedures that will
already exist within that workplace. Again, the disruption caused will depend to a large extent on the nature of the
present workplace and the nature of the temporary business. Examples include:
✓ The one-way system of the vehicular traffic lane has been disrupted at the site due to emergency drainage repair
work for a portion of the traffic lane.
✓ Isolation of part of the automatic fire detection system due to hot works in one part of a multi-storey building.
✓ The fire escape route has been closed due to renovation work on the driveway and stairs that are part of the
escape route.

3.5.2 Managing the impact of Change

Risk Assessment
Risks must be fully assessed for temporary business or any other change and its impact on the existing workplace. This
assessment should include consideration of the risks associated with the work and those resulting from the impact of the
work on the current workplace. Appropriate consideration should be given to all persons who may be affected by the
hazards with special consideration given to vulnerable groups such as children, elderly, disabled, etc.

It is the duty of the employer to make an adequate and adequate risk assessment of the business activity. Thus, this duty
falls to any contractor engaged in the business activity, but it also falls to any business owner who occupies a place of
business in which the work takes place. The requirement for risk assessment is, in fact, a common duty.

Communication and Co-operation

Effective communication and collaboration between the various parties doing the work and all those affected by the
work is essential. This should be achieved through proper planning of temporary business or change. Information should
be exchanged about the dangers and risks present in the present workplace and created by the temporary works. In this
way, the business owner who controls the present workplace can anticipate the expected risks that his employees may
be exposed to due to the business.

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This communication and collaboration is best achieved through prior action planning meetings for all parties involved. It
is best to conduct such meetings on the job site in order to anticipate the problems specific to the site.

Appointment of Competent People

All persons involved in temporary business or alteration
must be eligible. This includes not only the workers involved
in the work itself, but also those involved in the
management of the work. “Competent” means sufficient
training, skills, experience, and knowledge (and possibly
other capabilities such as posture and physical ability) to be
able to do their job safely.

Segregation
The area where temporary work or change will be carried
out must be effectively separated from the current
workplace. This should be accomplished by the use of
physical barriers and banners. Work site access points must
be controlled to prevent unauthorized access. Signs may be
required at these access points to indicate additional rules
that may apply within the work area (eg use of personal
protective equipment).

Separation is necessary to prevent unauthorized persons from entering the areas where temporary work is taking place.
This may include employees in the workplace where the work takes place, clients and members of the public who wish
to pass through the work area. Separation is also necessary to protect the worker involved in the work from other routine
work activities that occur in their surroundings, such as vehicular movements in the workplace.

Emergency Procedures
Consideration should be given to emergency procedures that may
have to be established due to the nature of temporary business or
change. For example, work involving the use of cherry pickers (a
mobile lifting work platform) may require the development of an
emergency procedure in the event that a worker is stranded in a
machine cradle. Inevitably, some emergency measures will involve
the current workplace where the work takes place. For example,
procedures for handling a chemical release may have to be approved
if a hazardous chemical is used as part of the work.

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Consideration must also be given to existing emergency procedures that have to be modified as a consequence of the
impact of the temporary works. For example:
• Alternative fire detection and alarm procedures that are established due to the temporary isolation of a part of
the automatic fire detection and alarm system during hot works.
• Alternative escape routes in emergency situations that must be identified due to the closure of the current
escape route. This may require the use of temporary signage and emergency lighting.

Welfare Provision
Adequate care must be provided to workers engaged in
temporary or shift work. This will include issues such as
accessing:
• Drinking water.
• Changing rooms.
• Storage for clothing.
• Sanitary conveniences.
• Washing facilities.
• Rest and eating facilities

Review
It is important that as changes are planned and implemented, there is a regular review process to ensure that health and
safety risks are under control. This review should include all relevant stakeholders and form an integral part of the
communication and collaboration process described above. It will also include reviewing and possibly updating relevant
risk assessments.

A review should also be done when the changes are finalized. This can be useful for two main reasons:
• address the problems and opportunities posed by the change made, and
• Highlight learning opportunities for the change management process so that future changes can be made in a
more effective manner.

Study questions from above Covered Topics

1. Identify five management controls that should be considered for the control of risks created by temporary
works.

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3.6 Safe Systems of Work

In this section, you will learn about:

3.6.1 Introduction to Safe Systems of Work

3.6.2 Worker Involvement
3.6.3 Written Procedures
3.6.4 Technical, Procedural and Behavioural Controls
3.6.5 Developing a Safe System of Work

3.6.1 Introduction to Safe Systems of Work

A Safe Work System (SSW) is a formal procedure based on a systematic

examination of work in order to identify hazards. Identifies safe ways of working
that eliminate those risks, or reduce the risks associated with them. We can
identify three basic elements from this definition of SSW:
• The SSW is formal – documented or recorded in some way.
• Itresultsfromasystematicexamination ofworkinordertoidentifythehazards–itis
theresultofrisk assessment.
• It defines safe methods – it is the safe procedure or work instruction.

So, simply put, the business employer should conduct a systematic risk
assessment, identify the necessary risks and precautions, and then formally
record the safe way to carry out the task, taking all this into account.

3.6.2 Worker Involvement

The participation of workers in the development of safe work

systems is essential to ensure their safe behavior when
working in the system. The worker knows all the practical
difficulties of working on theoretical work systems, such as
the lack of specific equipment or requirements which mean
that more workers are needed to do the job than is available.
They have often encountered conditions that make work
difficult and how to get around them, such as poor
access/exit. By discussing proposed work systems with
workers, it is possible to learn these practical aspects and
ensure that the work system takes them into account.
Participation in this way often ensures that the agreed-upon
system of work is followed.

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3.6.3 Written Procedures

Documenting Safe system of works (SSOW) provides an accurate

reference for all workers, and ensures consistency of the method,
especially since the procedure may be complex or detailed - passing
information through "word of mouth" is an unreliable and error-
prone communication method. It also provides a reference for use in
training and education in safe procedures, and since most procedures
will need to be referenced on more than one occasion, creating a final
document is a way to ensure consistency whenever the process is
performed.

Safe system of works (SSWs) may be recorded in the form of short notes, or perhaps manuals detailing exactly what steps
to take when carrying out more complex and lengthy procedures, such as calibrating and setting up grinding wheels. SSW
documentation can be accompanied by checklists for employees to use as aids to ensure that all the correct steps are
taken, and to tick off details before continuing with the next step or starting operations. Written SSWs also establish a
standard that can be audited, and provide the employer with a written record, which may be required for legal reasons,
such as in incident investigations or during enforcement action.

Subject Emphasis

To be effective, the SSOW must bring together people, equipment, materials and the environment in such a way as
to create a safe work method:

• People:
✓ Who is the Safe System of Work for?
✓ What level of competence or technical ability should they have?
✓ Are there vulnerable persons involved?
✓ How many people are working on the task?
• Equipment:
✓ What plant or equipment will be worked on?
✓ What equipment will be used?
✓ What safety equipment will be required?
✓ What are the hazards associated with the job and the equipment?
• Materials:
✓ What materials will be used or handled during the work?
✓ What are the hazards of the materials?
✓ How will waste be disposed of?
• Environment:
✓ In what type of environment will the work take place (e. g. space, light and temperature)?
✓ Might any of these environmental issues increase risk or need to be controlled?

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The following factors are to be considered while developing a SSOW:

• People: from whom the SSOW is developed. The level of competency involved and the presence of
vulnerable groups.
• Equipment: the equipment been used to accomplish the task and the hazards posed by them.
• Materials: the hazardous nature of the material handled. The disposal of waste and other residue safely.
• Environment: the factors like lighting, space, temperature, noise and dust and whether they will have an
impact on the operations.

3.6.4 Technical, Procedural and Behavioural Controls

In the workplace we use a variety of controls. In order to focus on them and to help determine the completeness of our
approach to health and safety, we group the controls into a number of categories. The categories tend to reflect the main
strategies used to improve health and safety.

An SSOW will involve all the elements of control that we identified earlier in the general hierarchy of controls:

• Technical controls – applied directly to the hazard in order to minimise the risk. This may involve fencing or barriers
of different kinds to isolate workers from the hazard as far as possible, or security devices built into equipment to
stop its operation if there is a fault.

Technical Risk control measures include:

✓ Equipment - design (eg, guarding) and maintenance.
✓ Access/egress - Provide wide aisles, keeping access clear of storage items.
✓ Materials (materials and objects) - selection of packaging to facilitate handling.
✓ Environment (temperature, light, dust, noise) - local exhaust ventilation (LEV).
✓ Issuance of personal protective equipment appropriate for the task.

• Procedural controls – The manner in which the work should be carried out in relation to the hazard. They will specify
the exact tasks required, their sequence, and the safety procedures and checks to be taken. Procedures are often
related to the correct operation of technical controls.

Procedural Risk control measures include:

✓ Procedures.
✓ Permit-to-work.
✓ Accident investigation and analysis.
✓ Policy and standards.
✓ Rules.
✓ Authorisation and co-ordination of actions.
✓ Purchasing controls.
✓ Emergency preparedness.
✓ Procedures in the issue, use and maintenance of PPE.

• Behavioural controls – how each individual worker responds to the hazard they cover a wide range of workplace
best practices (e.g., good housekeeping, and specific measures such as the use of PPE).

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Behavioral Risk control measures include:

✓ Knowledge, skill, and competence are all aspects of awareness.
✓ Attitude, perception, motivation, and communication are all factors to consider.
✓ Supervision.
✓ Surveillance of one's health.
✓ Training in the use of personal protective equipment.

In fact, the most effective businesses combine the three tactics, focusing on making the environment safe and sanitary
(by implementing technological controls) and following it up with actions and concern for the individual. Many
organizations that believe they have completed all of the necessary steps to ensure that the environment and procedures
are accurate are reexamining the procedures required to ensure that one's behavior is correct as well. This is also a key
part of good health and safety management, according to studies.

3.6.5 Developing a Safe System of Work

Task Analysis
Can you recall what the acronym SREDIM stands for? When we talked about danger identification and task analysis
before, we explained it.

✓ Select the task to be analysed. – A task, either new or old, is chosen. Priorities are frequently determined by
accidents or the significance of change.

✓ Record the steps or stages of the task. – From start to finish, the task is divided into sequential sub-tasks.

✓ Evaluate the risks associated with each step. – Each stage is taken into account in order to identify the specifics of
the work procedures, so that hazards can be detected at each level. Depending on the conditions, the task's hazards
may include:
▪ Materials, for example, product/service or maintenance materials;
▪ Tools, machinery, sterile packets, and display screen equipment are examples of equipment.
▪ Lighting, temperature, noise, and meteorological conditions are examples of environmental factors.
▪ People, for example, numbers, handicap, age, height, competency, and skills.

✓ Develop the safe working method. – A written safe system of work will then be produced, accounting for control of
the hazards and risks identified at each stage. Workers should again be consulted at this stage to ensure the safe
system of work is logical and workable.

✓ Implement the safe working method & Monitor to ensure it is effective. - Once consultation is complete:
▪ a written system of work will be issued to workers;
▪ precautions will be checked;
▪ Emergency procedures and equipment will be established, e.g. first-aid, fire precautions, rescue;
and relevant instruction, information and training in the safe system of work will be provided.

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So, for example, a vehicle breakdown and recovery company might perform task analysis on the job of changing the
wheel on a customer’s car. This analysis might identify the key steps of the task as:
✓ Step 1: Park breakdown vehicle.
✓ Step 2: Remove faulty wheel.
✓ Step 3: Fit spare wheel.
✓ Step 4: continued

Step Hazards Control measures Additional control

measures
1 Park vehicle • Vehicle too close to • Drive to area well clear Place blocks in front and
passing traffic. of traffic. back of the wheel
diagonally opposite the
• Vehicle on uneven • Choose a firm level wheel to be removed.
soft ground. parking area.

• Vehicle may roll. • Apply the parking

brake.
2 Loosen wheel • Injury to hands. • Correct design of Apply steady pressure,
nuts of wheel spanner that contacts slowly.
to be removed. • Muscle strain. all sides of the wheel
nut, to reduce slipping.

• Gloves for grip and to

protect.

• Long-handled spanner
to enable suitable force.
3 Raise vehicle • Difficulty in access • Suitable clothing or Use hand light to help see
with jacking under vehicle. sheet to enable you to position of jacking point.
device. get down to level to fit
• Jacking device could jacking device.
slip.
• Locate jacking device in
• Vehicle could jacking point.
overbalance.
• Raise vehicle only high
enough so wheel to be
remove clears the
ground and can be
removed.

If tyre of wheel being

removed is flat raise
sufficiently high to enable
spare wheel to be fitted.
Continued… Continued… Continued… Continued…

The results of job/task analysis can be used to create safe work systems that outline the correct sequence for the job/task
as well as the control measures to be utilized at each step to control the hazards. They may also provide a specialized
contribution to the risk assessment process, such as improving training, emergency procedures, information reporting,
or the layout of work areas.

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Introducing Controls and Formulating Procedures

Once the hazards have been assessed, a safe working procedure can be
devised. In our scenario, one of the controls would be for the worker to
ensure that the car's handbrake is firmly applied and that it works.
Another option is for the worker to always wear high-visibility attire.

Implementing the SSW is frequently more difficult than establishing the

safe working method, because it necessitates workers adopting the
new working procedures and employing all of the established controls.
As previously said, people's behaviour might be tough to regulate. One
strategy for addressing or minimizing this challenge is to communicate
with and involve workers in the development process early on, allowing
them to raise objections and concerns; they will then have some
ownership of the new procedures.

The following factors should be considered when deciding and defining safe and healthy methods:
✓ It should take into account the analysis, hazard identification, and risk assessment performed.
✓ The method should adequately control work-related dangers. Hazards should be eliminated at the source
whenever possible. The requirement for protective or special equipment, as well as the supply of temporary
protection, guards, or obstacles, should be identified.
✓ It should adhere to the organization's criteria.
✓ It should adhere to applicable legal or international best-practice standards.
✓ It should follow the manufacturer's and supplier's directions.
✓ It should be as straightforward as feasible and defined in a way that workers can grasp.
✓ The established technique should clearly indicate specific responsibilities at various phases of the task, as well
as the person in charge of the activity.
✓ The definition of who performs what, where, when, and how should be taken into account.
✓ The technique should accommodate for potential situations, such as fire or spilling. If there is a chance of injury
occurring during the work, the necessity for emergency and rescue techniques should be identified.
✓ It should be as straightforward as feasible and defined in a way that workers can comprehend, as well as in
several languages if necessary.

If the defined safe and healthy technique is sophisticated or represents a substantial change from current practice, it may
be evaluated in a simulated work setting and/or implemented with a pilot group of workers to validate its effectiveness.
This would occur prior to implementation and would entail the introduction and application of the control mechanisms
outlined in the safe and healthy working method.

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Instruction and Training in how to use the System:

A comprehensive training program must be created and implemented before

adopting an SSOW. The SSOW serves as the foundation for the training, and the
written protocol is thoroughly explained.

Even minor changes to an established SSOW must be communicated via formal

training. Some training programs may incorporate both theoretical and practical
components. Needless to say, the training records must be kept. As part of the
process, certain training may involve an assessment and formal certification.

Monitoring the System:

Once the workers have been trained and the SSOW is in place, it
is critical to monitor the system to guarantee the following:
• The SSOW is functional and simple to use.
• Workers have grasped the training and are correctly
implementing the control measures.
• SSOW is as safe as it was designed to be.
• The SSOW has considered all of the hazards that may exist
while doing the work.
• The level of supervision that will be required in the future
once the SSOW has been established and implemented in the
workplace.

Subject Emphasis

Factors to be considered when developing an SSW:

• What exactly is the work at site? Job safety analysis can be used to give analysis (the SREDIM method
mentioned earlier).
• What tools and supplies are needed for the task? These will present their own hazards that must be
managed.
• Who will be doing the work? How many persons are employed? What is their level of
experience/knowledge? Are there any vulnerable people?
• What are the potential hazards of the job?
• What controls does the manufacturer recommend?
• What emergency plans are in place?
• Are the control measures adequate, or do further controls need to be implemented?
• How will the work system be monitored?

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Study questions from above Covered Topics

1. Define the phrase ‘safe system of work’.

2. How does involving workers in the development of SSWs contribute to strengthening the health and safety
culture?
3. What is the difference between technical, procedural and behavioral controls?
4. Why do instruction, training and supervision form a part of safe systems? (Suggested Answers are at the end.)

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3.7 Permit-to-Work Systems

In this section, you will learn about:

3.7.1 Meaning of a permit-to-work system

3.7.2 Why permit-to-work systems are used
3.7.3 How permit-to-work systems work and are used
3.7.4 When to use a permit-to-work system, including: hot work, work on non-live (isolated) electrical
systems machinery maintenance, confined spaces, and Work at height.

3.7.1 Meaning of a permit-to-work system

The permit-to-work procedure is a type of specialized safe work system in which certain categories of high risk – potential
job may only be performed with the express consent of an authorized manager.

Permit – to – work systems and procedures are the most formal way of assuring safe working practices and safe work
systems. The goal is for an experienced and trained authorized person, who will sign the permit – to – work certificate,
to pre-assess the hazardous circumstances involved (with all necessary technical help) and then prescribe in writing.

Furthermore, the Permit to Work (PTW) is commonly seen as a component of an SSOW (Safe Systems of Work) that
necessitates additional restrictions due to the nature of the activity conducted. Typically, the permit document will state:
• the nature of the work;
• the plant or equipment involved, as well as how it is identified;
• who has the authority to conduct the work;
• the steps that have already been done to secure the plant;
• potential hazards that remain or may emerge as the work progresses;

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• the steps that must be taken to avoid these hazards;

• the duration of the permit's validity;
• that the equipment is made available to those who will be performing the work

Subject Emphasis

Examples of work that would generally qualify to be done under a PTW:

• Hot work, such as welding, gas cutting, and grinding
• Working at a height
• Working in a confined environment
• Equipment maintenance
• Troubleshooting electrical systems
• Working near proximity to functioning pipes or pressurized systems
• Excavation, particularly around buried utilities

3.7.2 Why permit-to-work systems are used

A permit-to-work system is an essential component of a safe

workplace and can aid in the effective management of work
activities. A permit-to-work system's role is to ensure that
complete and proper consideration is given to the risks of the
specific activity that it refers to, as well as to control the style of
working to ensure that a safe system of work is followed.

A permit-to-work system serves the following purposes.

• Confirm that the requested work is authorized.

• Determine the nature of the work and its constraints, then recommend appropriate control methods.
• Ensure that appropriate control measures are in place to deal with workplace hazards.
• Before doing high-risk work in a work area, ensure that all risks and residual hazards have been eliminated.
• Ensure that the work performed is safe and secure from start to finish.
• Control the location and equipment related to the work to avoid overuse and maltreatment.
• Document the steps involved in the work process.

3.7.3 How permit-to-work systems are used

A PTW is a format that is often created in triplicate and filled out by a senior level manager. It describes the hazards and
the methods to take to control them. The worker obtains a copy, which he brings to work with him, and completes the
task as specified in the PTW. In general, the PTW system follows the following procedure:
• Permit issuance
• Permit receipt.
• Permit clearance.
• Cancellation.
• Extending (Optional)

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Issue of permit.
This section of the permit defines the job, identifies the hazards, and specifies the safety precautions that must be taken.
This part must be completed by an authorising manager. This will necessitate
them conducting a risk assessment of the work to identify any relevant
hazards and measures. The management must be capable of doing so. The
authorising manager must include the following information:
• The specific nature of the work.
• The location of the work.
• The names of all workers authorized to perform the work.
• The start date and time of work.
• The duration of the permit's validity.
• The controls that must be in place before to, during, and after
the work.
• Any limitations.
• Any other permits that may be applicable.

Receipt
The handover process to allow work to begin is formalized here.
• The workers sign the permit to formally acknowledge that they are aware of all hazards, risks, and precautions
and that they will follow all essential control measures.
• Names should be written in capital characters, along with signatures, dates, and times.
• The signatures of the competent individuals accepting the permit (the workers).

Clearance/Return to Service
Workers sign this section of the permit to affirm that they left the workplace in a safe condition, that the task is finished,
and that normal operations can continue.

Cancellation
The approving manager signs this part to accept the workers' handover of the workplace. This also has the effect of
cancelling the permit, preventing any future work under its jurisdiction.

Extension
This part is included in various permit systems in case of work overruns. It enables the authorising management to give
an extension to the permit's timeframe. Permits are frequently issued in three copies:
• One copy is on display in the location where the work is being done.
• One copy is kept by the authorising management.
• For clear communication, one copy is displayed in a central area (typically on a permission board) among other
permits.

Limitations of Permit to Work System:

A PTW is simply a piece of paper, and relying on it too much might lead to problems that result in incidents. The approving
manager should understand that simply mentioning the relevant controls and signing the permit does not make the
activity safe. A permit should never be considered lightly as something that should be filled out more as a ritual than a
need. The following rules must be followed for PTW to function properly:
• Permits should only be issued by authorized individuals.
• Permit issuers must be familiar with the hazards of the workplace as well as the job at hand.
• Before permissions are issued, precautions must be taken.
• Permits may never be changed.

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• The permit must be handled with care.

• All permission criteria must be followed.
• Employees must be well trained and competent.
• The system's effectiveness must be monitored.
• The PTW system must be suited for the business (e.g., a bakery may require a less complex system than an oil
rig).
• Enough time must be granted to guarantee that permits are issued correctly, and staff must be trained in this
regard. Contractors, for example, may become agitated if the procedure is lengthy, but they must understand
that they must follow the system.

3.7.4 When to use a permit-to-work systems

A permit-to-work system is a formal health and safety control system meant to prevent accidental worker injury/illness,
damage to plant, premises, and product, especially when work with a high hazard content is conducted and the
precautions required are numerous and complex.

Hot work:
Hot work can be hazardous because:
• A source of ignition in any plant that handles combustible materials;
• A source of fires in all processes, regardless of the presence of flammable components.
Cutting, welding, brazing, soldering, and any other procedure that involves the use of a bare flame are examples of hot
work. Drilling and grinding should also be included if a potentially flammable environment exists. Permit systems are
widely used to control hot work that involves the use of bare flames (e.g., propane, butane, or oxyacetylene torches) or
the creation of a substantial ignition source (e.g. welding or grinding operations).

Typical precautions for control of hot work:

• Only qualified employees should perform the work.
• All combustible substances should be removed from the surrounding area.
• Fireproof blankets should be used to cover any equipment that cannot be removed.
• Fire extinguishers should be readily available.
• A firefighter should be present.
• Before beginning work, clear the area of any debris.
• Water should be used to dampen wooden floors.
• Smoldering embers should be properly disposed of after the work is completed.

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Work on Electrical Systems

Work on non-live electrical systems is frequently subject to permit-to-work control to ensure that the system has been
properly de-energized and safely disconnected. Because of the significant risk of working on or near live electrical
systems, this type of operation is frequently subject to permit management. Permits are typically necessary for any type
of work (live or non-live) performed on or near high-voltage systems (e.g., >1000 V AC). The electrical permit-to-work
should explicitly state:
• the person to whom the permit is directed, i.e., the group or working party leader who will be present
throughout the job;
• the particular location of the equipment that has been rendered inoperable;
• the points of separation;
• where the conductors are grounded
• when warning signs are displayed and special safety locks are installed;
• the nature of the work to be done;
• the presence of any other potential cause of danger, with a cross-reference to other applicable licenses;
• additional care should be taken during the work.

Machinery Maintenance
Maintenance work frequently entails the removal or deactivation of safeguards and control systems. More than one
person may be involved in the job for huge, complicated industrial machinery, and they may be required to work inside
the machinery. This can result in significant risk, which may be best managed through the use of a permission system. A
permission system is used to assure the following:
• Work is carefully planned and carried out.
• Power sources are completely isolated.
• Any potential energy that has been stored is released.
• Plant access and egress are restricted.
• Workers are informed about the nature of their work.
• The workers are qualified to complete the job.
• Adequate supervision is provided.

Confined Space:
Confined space refers to an enclosed or partially enclosed space with limited space and accessibility. Working in restricted
areas can result in death or a variety of injuries. When some sorts of activity, such as construction, fabrication, or
subsequent alteration, are performed, a regular location is transformed into a confined space.

E.g.: Storage tanks, silos (tall towers), underground drainage, hoppers (pyramidal-shaped containers), and manholes
are all examples of confined space.Some preventative measures should be addressed for a safe work system in tight
spaces.
• Examine the atmosphere for the presence of dangerous and combustible gases, as well as oxygen levels.
• Examine the workers' competency in relation to the task at hand.
• Remove any residues from the work area.
• Isolate electrical and mechanical devices to avoid ignition sources.
• Ensure that ventilation meets the needs of the job.
• Using specialized tools and personal protective equipment to support efficient and safe work practices.
• Ensure that there is enough lighting to work without strain.
• Ensure clear access and egress for secure and safe entry and exits.
• Ensure that emergency rescue and firefighting arrangements, as well as adequate communication systems,
are in place.

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Work At Height
Work above 2 metres has been identified as presenting a significant risk of major injury to workers that may fall this
height and it is recognised that control measures for this risk should be in place. However, statistics show that many
major injuries result from falls from heights of less than 2 metres. Thus, a permit-to-work should be issued when a person
could fall a distance liable to cause injury - no minimum height is specified. A height is classified as anything above floor
level. Working at height includes:
• Using ladders.
• Stepladders.
• MEWP (mobile elevated working platforms).
• Roof working.

Work at height is a high-risk activity as it has got the potential to cause maximum fatalities. Incidents can occur both with
people falling down as well as material falling down and both are high potential incidents. The PTW should consider the
following things:
• Avoid working at height.
• Prevent falls by providing a proper platform.
• Minimize the distance of the fall by providing full body harness.
• Minimize the consequences of the fall by providing soft landing systems like ‘netting’
• Ensure that the weather conditions like wind and visibility are at optimal levels.

Study questions from above Covered Topics

1. What is a permit to work?
2. What are the four key sections of a typical permit? (Suggested Answers are at the end.)

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3.8 Emergency Procedures and First Aid

In this section, you will learn about:

3.8.1 Why Emergency Procedures need to be developed

3.8.2 What to include in an emergency procedure
3.8.3 What to consider on First-Aid Requirements in a workplace
3.8.4 Why workers Need training for Emergency Procedures
3.8.5 Why Emergency Procedure need to be tested

3.8.1 Why Emergency Procedures need to be developed

Despite all of the preventative measures that an organization may initiate

and implement, some things may still go wrong, and in those cases, both
management and workers should take appropriate steps to prevent harm
to all those present in the workplace, and if that is not possible, to minimize
the injuries and act quickly to reduce the impact of the situation.

To prepare for the aforementioned, the business must design emergency protocols that ensure everyone understands
their duties and responsibilities in the event of an emergency.

Emergency procedures should be reviewed on a regular basis to see if any new circumstances are affecting their
effectiveness. Fire is a special danger that must be monitored on a regular basis during a significant construction or
remodelling project. Exit routes may need to be redesigned and signposted, and individuals affected may need to be
trained and drilled. Similarly, assembly points are subject to change. When contractors employ equipment that may
present a source of ignition, local arrangements should consider the provision of fire suppression equipment, such as
extinguishers.

3.8.2 What to include in an Emergency Procedure

After identifying the likely situations, the organization should establish internal plans to deal with each of them if they
occur. These arrangements should contain the following:

• Foreseeable emergencies: an outline of the predictable situations that may occur, as well as the circumstances under
which they may occur and their probable results. This will determine the nature of the emergency and why
procedures must be followed.

• Alarm procedures: personnel must understand how the relevant alerts are triggered for various sorts of situations,
as well as any escalation procedures that may apply. In the event of a fire, for example, manual call points may be
used to raise the alarm, whereas radio or telephone notification to a control center may be employed in the event
of a security crisis.

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• Procedures should be followed: in the event of a fire, for example, workers should depart the building via the
approved escape routes and congregate at a defined location. In the event of a bomb threat, the method is frequently
the inverse: go to an interior area away from windows and external walls.

• Provision of appropriate equipment: for example, if there is a chemical leak, absorbent granules or booms may be
used to contain the spill, and PPE may be used to protect people involved in the containment operation. In the event
of a poisonous gas discharge, respiratory protective equipment may be required.

• Appointment of responsible personnel: In the event of a fire, fire wardens or marshals may be required to walk
around the building to ensure that everyone is informed of the fire evacuation. A fire squad may also be needed to
inspect the area where the fire is suspected to be.

• Dealing with the media: Some emergencies are bound to garner media attention. Procedures for dealing with the
media should be devised, and designated personnel should be trained in media handling skills (such as how to answer
questions from newspaper and radio reporters).

• Emergency Procedure Requirements: Article 18 of the International Labour Organization's Occupational Safety and
Health Convention Cl55 requires employers to establish, if appropriate, procedures to cope with emergencies and
accidents/incidents, including proper first-aid arrangements. Furthermore, the International Labour Organization's
'Guidelines on Occupational Safety and Health Management Systems - ILO-OSH 2001' contain a specific clause
requiring organizations to establish and maintain emergency prevention, preparedness, and response arrangements
as part of their management system. As a result, implementing emergency procedures is a national legal requirement
in some countries, and emergency procedures are a common component of health and safety management systems.

• Arrangements for contacting emergency services: While the organization must make internal emergency
arrangements to deal with predicted incidents, these responses will typically include contacting external emergency
services for assistance. As a result, proper arrangements should be in place:
✓ Communication devices (e.g., landline and mobile phones, satellite phones, or VHF radio). Communication
becomes more challenging when the location becomes more remote.
✓ Contact information (e.g., national and local emergency-service numbers). This could also include international
medical evacuation.
✓ Nominated responsible personnel having the appropriate information and knowledge to make the call. In many
cases, emergency services can deliver a more efficient response if essential information is provided early.

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Training and Testing

Workers will only know what to do in the event of an emergency if they have been given information and training. Drills
and exercises should be conducted on a regular basis to test emergency procedures. Drills and exercises should be
recorded, and processes should be changed as needed to make them more successful. The procedures should also be
reviewed on a regular basis to see if any new factors are affecting them. Any persons chosen will need additional training
in their duties in the emergency and in the safe use of any equipment (e.g. PPE) that they may be required to use.
Members of the public may require information on emergency procedures, which might be provided in the form of
notices, or by means of public address system announcements.

3.8.3 What to consider on First-Aid Requirements in a workplace

The first aid coverage will depend upon the following factors:
• The general risk level of the workplace, for example, a building site requires more facilities than a warehouse.
• The accident history- Organizations can review the company's accident history to ensure that measures are
suitable for the most common types of accidents.
• The presence of vulnerable individuals. A company with a big number of lone workers may need to provide each
of them with a portable first aid kit.
• The number of first aid boxes will be determined by the number of workers in the workplace.
• Work schedules and shift systems
• The geographical location of the workplace, as well as the distance between the organization and the nearest
hospital, will influence whether the organization requires modest accommodations or more sophisticated
arrangements to ensure that the victim is cared for until he arrives at the hospital.
• Workplace spread- A large workplace that is spread out over a vast area must consider not just the quantity of
workers working in an area, but also how far they must go before receiving first aid.
• Specific operations, such as workers dealing with certain chemicals that may spill on the eyes and other body
parts, causing damage, will necessitate eye wash stations and full body showers.

First-Aid Requirements

An employer is responsible for providing appropriate first-aid

services to their employees. This is to provide for an immediate
emergency medical response to foreseeable occupational injuries.
Three components are required:

• Facilities – a suitable site where first-aid treatment can be

administered.
• Equipment — adequately supplied first-aid kits and other
necessary equipment.
• Personnel — personnel who have received appropriate
training to provide first-aid treatment.

The employer must notify staff of these first-aid arrangements and,

in particular, the identity of trained first-aid personnel.

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First-Aid Facilities
A suitable facility for first-aid treatment should be provided. This could be as simple as a room that is currently being
utilized for anything else but can be swiftly turned into a treatment area. In a larger workplace, a dedicated treatment
room should be provided. This room should be:

• Centrally positioned in an area accessible to emergency services.

• Clean, well-ventilated, and well-lit environment.
• Provided with hand-washing facilities, a chair, and a clinical waste bin, among other things.

Subject Emphasis

The HSE provides suggestions on what should be included in a first-aid kit, for example:
• Large triangular bandages (preferably sterile).
• Sterile plasters (individually wrapped; appropriate to the type of work).
• Disposable gloves.
• Safety pins.
• Sterile eye pads.
• Large- and medium-size unmedicated wound dressings (sterile; individually wrapped).

Role, Training & Number of First-Aiders and Appointed Persons

Role of First-Aiders
The role of first-aiders is to:
✓ Give immediate assistance to causalities with workplace injuries or
illness.
✓ To summon an ambulance or other professional help.

Training of First-Aiders
People appointed as first-aiders should be trained and able to provide first-aid
at the level required by their position. Some first-aiders may only be taught to
provide first-aid for frequent life-threatening crises, while others may be
trained to provide a broader variety of first-aid and still others may be trained
to provide first-aid for specialized purposes, such as antidotes to chemical
poisons or snake bites.

The Health and Safety Executive, the regulating body, is in charge of first-aider training (UK). It is divided into two degrees
of competence:

✓ Emergency First Aid at Work (EFAW) - EFAW training enables a first assistant to provide emergency first aid to
an injured or ill person on the job - at least 6 hours training over the course of one day covering competencies
in Sections A and B below .

✓ First Aid in Action (FAW) - Includes EFAW Fall Army Worm training and also provides first aider with first aid
application for a range of specific injuries and illnesses - At least 18 hours of training over 3 days covering
Competencies Sections (A) and (B) below.

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The company should conduct a first-aid needs assessment to determine the degree of training required for first-
aiders. Should they be trained in FAW or EFAW, for example - After completing training, the FAW applicant should be
able to:

a. Recognize the role of the first responder, including references to:

▪ The significance of avoiding cross-infection.
▪ The requirement to document incidences and acts.
▪ Make use of the available equipment.

b. Provide emergency first-aid at work in accordance with the lists below.

▪ In an emergency, assess the situation and conditions in order to respond safely, quickly, and
efficiently.
▪ Provide first aid to an unconscious casualty (including seizure).
▪ Apply cardiopulmonary resuscitation (CPR).
▪ Administer first aid to a choking sufferer.
▪ Provide first aid to a wounded and bleeding casualty.
▪ Provide first aid to a casualty who is experiencing shock.
▪ Minor injuries should be treated with appropriate first aid.

c. Administer first-aid to a causality with:

▪ Injuries to bones, muscles and joints, including suspected spinal injuries.
▪ Chest injuries.
▪ Burns and scalds.
▪ Eye injuries.
▪ Sudden poisoning.
▪ Anaphylactic shock.

d. Recognize the presence of serious illness and administer necessary first assistance.

Subject Emphasis

Selecting Staff to be First Aiders, for example:

There are a number of factors that should be taken into account when selecting persons to fulfil the role of a first
aider at work. These include:
✓ Being reliable, having a gentle disposition and good communication skills.
✓ Awareness of their own limitations and limitations of the training.
✓ Having the aptitude and ability to absorb new knowledge and learn new skills.
✓ Having the ability to cope with stressful situations and accept responsibility.
✓ Physically fit enough to deal with the demanding nature of some aspects of first aid.
✓ Consideration of the need for first-aiders considering gender, ethnicity and religious convictions.
✓ The person’s normal duties should be such that they can leave their work immediately at any time to attend
an emergency.

First-Aid Coverage
An employer should do a requirements assessment to establish what first-aid facilities, equipment, and trained staff are
required. All shifts working in the workplace should have adequate first-aid coverage, with weekend, morning, afternoon,
and night shift work patterns all adequately covered for.

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3.8.4 Why workers Need training for Emergency Procedures

Once the procedures have been developed, the equipment purchased, and the personnel have been identified, training
must be provided. All personnel receive emergency training because,

• Quick and effective actions may help to ease the situation and reduce the consequences.
• Everyone needs training to become familiar with protective actions for life safety (e.g., evacuation, shelter,
shelter-in-place, and lockdown) in the event of an emergency or disruption of business operations.
• Review life-safety considerations and conduct evacuation drills ("fire drills") as required by local regulations.
• Employees should be trained in safety, building security, information security, and other loss prevention
measures.
• To raise their awareness and understanding of the unique hazards and risks associated with their occupations
and working environments.
• There may be vulnerable people in businesses (such as visitors) who are unfamiliar with the alarm pattern and
what it means. Training can increase awareness as well as the actions to be taken.
• Aside from meeting legal duties, the company will get various benefits from providing accurate information and
training staff.

3.8.5 Why Emergency Procedure need to be tested

Finally, a company should undertake drills to simulate an emergency. These simulated drills will assist the organization in
understanding the following:
• Is the emergency procedure functioning properly?
• Have all levels of employees understood their roles and responsibilities?
• Did the emergency personnel correctly operate the emergency equipment?
• Did the device perform as expected?
Most organizations view mock drills as a way to keep their staff prepared and to use the lessons learned from these drills
to improve their processes and actions.

Study questions from above Covered Topics

1. What is the main objective of an emergency procedure?
2. Name three typical emergencies that may require the development of emergency procedures.
3. What factors might need to be considered when determining the first-aid facilities for a workplace? (Suggested
Answers are at the end.)

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NEBOSH INTERNATIONAL GENERAL

CERTIFICATE

UNIT IGC1: MANAGEMENT

OF HEALTH AND SAFETY

Element 4: Health and safety

Monitoring and Measuring

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Overall Aims
On completion of this element, you can understand:

• Discuss common methods and indicators used to monitor the effectiveness of management
systems.
• Explain why and how incidents should be investigated, recorded and reported.
• Explain what an audit is and why and how they are used to evaluate a management system.
• Explain why and how regular reviews of health and safety performance are needed.

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Element

Health and safety Monitoring and Measuring

4

4.1 Active and Reactive Monitoring

4.1.1 The Differences between Active and Reactive Monitoring .................................................................. 129
4.1.2 Active monitoring methods.................................................................................................................. 130
4.1.3 Reactive Monitoring Measures ............................................................................................................ 137
4.1.4 Why Lessons Need To Be Learnt From Beneficial and Adverse Events ................................................ 139
4.1.5 The Difference Between Leading and Lagging Indicators...................................................................... 140

4.2 Investigating Incidents

4.2.1 Function of Incident Investigation......................................................................................................... 141

4.2.2 Distinction between Different Types of Incident ................................................................................... 144
4.2.3 Basic Incident Investigation Steps ..........................................................................................................145
4.2.4 How Occupational Accidents and Diseases are Recorded and Notified ................................................. 151
4.2.5 Reporting of Events to internal Agencies ................................................................................................ 151
4.2.6 Reporting of Events to External Agencies ................................................................................................ 153

4.3 Health and Safety Auditing

4.3.1 Definition of the Term “Audit” ............................................................................................................... 154
4.3.2 Scope and Purpose of Auditing Health and Safety Management Systems.............................................. 155
4.3.3 Difference between Audits and Inspection ............................................................................................ 156
4.3.4 Types of Audits: Product/Services, Process, System ............................................................................. 157
4.3.5 Advantages and Disadvantages of External and Internal Audits ............................................................. 158
4.3.6 The Audit Steps ...................................................................................................................................... 159

4.4 Review of Health and Safety Performance

4.4.1 Purpose of Regular Reviews .................................................................................................................. 161
4.4.2 Issues to be Considered in Reviews...................................................................................................... 162
4.4.3 Outputs from the Reviews...................................................................................................................... 162

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Element

Health and safety Monitoring and Measuring

4

In this section, topics will learn about:

4.1 Active and Reactive Monitoring

4.2 Investigating Incidents
4.3 Health and Safety Auditing
4.4 Review of Health and Safety Performance

4.1 Active and Reactive Monitoring

In this section, you will learn about:

4.1.1 The Differences between Active and Reactive Monitoring

4.1.2 Active monitoring methods
4.1.3 Reactive Monitoring Measures
4.1.4 Why Lessons Need To Be Learnt From Beneficial and Adverse Events
4.1.5 The Difference Between Leading and Lagging Indicators

4.1.1 The Differences between Active and Reactive Monitoring

The Difference between Active and Reactive Monitoring

Measuring or monitoring performance is an essential step for managing any aspect of the business to identify strengths
and weaknesses and measure progress against objectives. Health and safety performance must be monitored at all levels
of the organization, from daily monitoring by line managers and supervisors, to periodic audits of management systems.

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The two types of monitoring are:

✓ Active Monitoring: Verify that health and safety standards are in
place in the workplace before accidents, accidents or ill health
occur. To monitor the health and safety of an organizational
process.
• Compliance with KPIs and procedures.
• Achieve annual plan objectives, eg, completed risk
assessments, training, etc.
• Bookmark
• Inspection of equipment and buildings
• Environmental monitoring, such as noise
• Sampling of the use of control measures, personal
protective equipment
• Tours of the workplace.
• Surveys, such as asbestos and machinery.
• Work Monitoring
• Audit Review

✓ Reactive Monitoring: using accidents, incidents and ill health as indicators of performance to highlight areas of
concern. To Monitor the Organizational Failures.
• Near misses’ occurrence/investigation of the accident.
• Serious accidents.
• Investigation of accidents and sick absences.
• Accident / ill health statistics.
• Enforcing Authority interference/enforcement of authority.
• Complaints of the workforce.
• Civil claims and insurance premiums.

Monitoring should be a function of executive management, but remember that senior management has a responsibility
to ensure that effective health and safety performance monitoring systems are in place.

4.1.2 Active monitoring methods

The primary objectives of active monitoring are to:

✓ Check that health and safety objectives and plans have
been implemented.
✓ Monitor the extent of compliance with the organisation's
systems/procedures, and with its legislative/technical
standards.

Active monitoring will inform the organization about the reliability

and effectiveness of its systems, before its limits become apparent
through incidents. This provides a good basis on which to make
decisions and recommendations for maintenance and improvement.

This is done actively before something goes wrong, and includes routine inspections and checks to ensure standards are
met, policies are implemented, and adequate controls are taken to take care of current risks and measure progress.

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Active monitoring is concerned with checking parameters before an undesirable event occurs. The intent is to specify:
• Compliance with standards, so that good performance is recognized and maintained.
• Non-conformity with standards, so that the cause of non-conformity can be identified and corrective actions
taken.

There are many different ways to effectively monitor health and safety performance (we will explain some of them in the
following sections). Various active monitoring methods are often called leading indicators.

Active monitoring provides an opportunity for management to confirm adherence to health and safety objectives. It also
promotes a positive health and safety culture by recognizing success and positive actions, rather than "punishing" failure
after an undesirable event.

Managers should be given the responsibility to monitor the objectives and comply with the performance standards that
they and their subordinates assume. The actual method of observing depends on the situation and the position occupied
by the person observing.

The various methods and levels of active monitoring include:

✓ Routine procedures for monitoring specific goals, e.g., quarterly or monthly reports or returns.
✓ Periodic examination of documents to verify compliance with regulations related to promoting a culture of
health and safety, for example, the method for setting or evaluating managers' goals, evaluating training needs
records and providing training.
✓ Systematic inspection of buildings, plant and equipment by supervisors, maintenance and management
personnel, health and safety representatives, and other workers to ensure the continued effective operation of
workplace precautions.
✓ Environmental and health monitoring to verify the effectiveness of health control measures and to detect early
signs of harm to health.
✓ Direct systematic observation of work and behaviour by first grade supervisors to assess compliance with risk
control systems (RCSs) and associated procedures and rules.
✓ Operation of audit systems.
✓ Studying periodic reports on health and safety performance by the Board of Directors.

Performance Standards

Effective health and safety monitoring requires defining exactly

what needs to be monitored and what level of performance is
acceptable, i.e., a performance standard.

Performance standards can be concerned with the physical control

of workplace hazards and conditions. For example, there are
criteria that a scaffold structure must meet (i.e., conform to)
regarding the work platform, footboards, and guardrails in order to
be considered safe (more on this later in the course in Item 8). This
can then be actively monitored (checked) with a routine check of
the scaffold in order to ensure that it meets the standard.

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In this way, active monitoring is concerned with examining the physical condition of the workplace and the way in
which risks are being controlled. But you can also actively monitor HSE activities to give a measure of compliance with
performance standards. for example:
• The number and quality of risk assessments covering business activities.
• Provide health and safety training to schedule.
• Completing the advisory committee meetings on time.
• Completion of workplace inspections to schedule.
• Completion of safety review meetings to schedule.

For example, a standard might be that when contractors start new work on site there should be suitable and sufficient
risk assessments to cover their work. The presence or absence of risk assessments can be checked. The number of risk
assessments can be measured to quantify conformance. The quality of each risk assessment can be judged. In this way,
a full picture of conformance can be built up.

For example, the standard may be that when contractors start new work on the site, there must be suitable and sufficient
risk assessments to cover their work. The presence or absence of risk assessments can be checked. The number of risk
assessments can be measured to determine conformance. The quality of each risk assessment can be judged. In this way,
a complete picture of compatibility can be formed.

Active monitoring methods (health and safety inspections, sampling and tours) and their
usefulness

Following is the list of different active monitoring methods.

• Safety Inspections
• Safety Tour
• Safety Sampling

Most active monitoring methods collect information by considering the following three
aspects:
• Documentation: By examining records, reports and documents.
• Interview: By talking to the people involved to gauge their views and opinions and,
• Observation: By looking at people's behaviour and prevailing conditions, in other works it looks at unsafe actions
and conditions.

Thus, active monitoring will help us in the active monitoring of the workplace and help us prevent any unwanted
incidents. Now the questions arise, what should be measured and how will it be measured.

Safety Inspections:

The term safety inspection means a regular and scheduled activity

and a comparison is made with some criteria to confirm acceptance.
Safety inspections can be 'routine' which can be done to check
housekeeping standards in the workplace. It can either be a
'periodic' check done at regular intervals or a 'pre-use check' that is
done at the beginning of each shift. It can also be a "legal"
inspection to fulfill a legal requirement.

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Types of Safety Inspections:

• General routine inspection in the workplace to determine if general standards of health and safety are
acceptable, or if corrective action is necessary. (For example, a quarterly home inspection in an office).
• Legal inspection is carried out by a competent person to fulfill legal requirements. (For example, annual
comprehensive inspection of an item of lifting equipment).
• Periodic inspection of plant and machinery as part of the Planned Preventive Maintenance (PPM) program. (For
example, a mechanic checks the brakes on a truck regularly to make sure they are not excessively worn.)
• Conducting pre-use checks by workers before they use some types of factories and machines. (For example,
start-up checks done by a forklift truck driver).

Systematic Inspections / General Workplace Inspections

To focus on the first of these active monitoring methods, one
common way to effectively monitor health and safety performance is
to conduct general workplace inspections and ensure that nothing is
lost while the inspection is being conducted, and one way to do this
is by using the concept of 4Ps.

• Plants and substances - includes work equipment, manual

and mechanical handling equipment, vehicles, hazardous
and flammable and hazardous materials.
• Buildings - which includes the workplace, work environment
and housekeeping areas.
• Procedures - which includes safe work systems, method
statements, work permits, etc.
• People - which primarily includes people's behaviour,
training, ability, and whether they are at risk.

Now, the 4Ps inspections mentioned above can be performed in such a way that they cover all four elements in a
single inspection. Systematic general workplace inspection systems usually exist in many different forms within
different workplaces and each of these elements can be examined separately, for example:
• The operator may perform a daily (factory) inspection of the forklift trucks prior to starting each day.
• Supervisors can check people's behavior once every one or two weeks.
• There may be a random check of the procedures used perhaps once per week.
• A weekly tour can be conducted to ensure that the normal entrances/exits and fire exits (buildings) are free from
any obstructions and hazards.

If this series of inspections is in place, it is possible to monitor the degree to which each is carried out successfully. In this
way, two different types of active monitoring are implemented: one directly in the workplace (four basic components)
and the other in the safety management system.

Who will do the inspection: Besides the type of inspection, it is also necessary to give specific responsibility to each type
of inspection. For example, pre-use inspection is carried out by the operators themselves, while the behaviour of workers
is monitored by supervisors and similarly a comprehensive inspection of portable electric machine is carried out by
maintenance.

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• Competence of the inspector - This is necessary to achieve control objectives. The person needs to be trained
in how to properly conduct the inspection and should be clear as to what is and is not acceptable. He may also
need to be certified and need to keep a record of any training that is offered.
• Objectivity of the inspector - the inspector needs to be biased and objective while conducting the inspection.

Subject Emphasis

The person carrying out an inspection should have the necessary:

• Training
• Knowledge and experience
• Certification to a specific standard
• Understanding the workplace
• Principles of Health and Safety
• Prepare to ask questions
• Impartiality and objectivity in their approach even in familiar territory

Frequency of Inspection:

This depends on the type of inspection and the risks involved. For
example, an office may require less frequent inspections compared
to a workshop, while inspections of a storage area for hazardous
chemicals may require them to be done more frequently. Other
things to consider are manufacturers' recommendations and if there
is any law governing redundancy, for example, a legal crane
inspection should be done once a year.

Subject Emphasis

Factors to be taken into Account while Determining the Frequency of Inspection:

• The level of risk in the activity.
• Manufacturers' recommendations.
• The companies' internal policy.
• In some cases, state laws may limit the frequency.
• Inspection and audit results may indicate a higher frequency.
• Record of previous accidents and results of investigations,
• Workers' complaints.
• Risk assessments may refer to inspections

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Tools Required for Inspection - The Checklist:

Checklists are good tools to ensure the systematicand correct inspection of the workplace. The following are the merits of
using the checklist:
▪ Checklists ensure that nothing is missed out during inspection.
▪ A lesser competent inspector can do the inspection, provided that the checklist is created by an expert.
▪ Checklists themselves become a standard, with which the actual situation can becompared with and there is
also consistency of approach.
▪ Finally, a filled-up checklist becomes a recordfor future reference.

However, there are certain flaws with checklists that we should be aware of:
▪ Checklists need to be reviewed and revised regularly as processes and procedures change. This may not happen
and old checklists can be used, thus overlooking some of the new risks.
▪ Checklists can be filled out form the office without any physical inspection.
▪ Inspectors may overlook some risks that are not mentioned in the checklist.

Example Inspection System

The head office of the bank offers an inspection system to effectively monitor public health and safety standards. A
range of formal arrangements are documented and included in the company's safety policy. These arrangements
describe:
▪ The purpose of the inspection system - to monitor public health and safety standards.
▪ Frequency of inspections - once a month for all regions.
▪ Competence of Inspectors - The need for inspection managers to attend a one-day course on the inspection system.
▪ Persons Responsible - Managers of a certain level to ensure that inspections are carried out, and managers of the
next level down to actually do the inspections.
▪ Inspection checklist - a general checklist suitable for all office areas, which may be designed by the inspector if
required.
▪ Follow-up arrangements - the work plan schedule is created and included in the inspection checklist.

Subject Emphasis

Typical Topics that might be Included in a Generic Safety Inspection Checklist

• Housekeeping- cleanliness of the aisle, proper storage of material.
• Fire- Escape routes, emergency procedures, fire detector, firefighting, Proper storage of flammable
materials.
• Chemicals- correct storage and usage, compliance to PPE.
• Electrical- proper usage of portable tools, use of protective devices.
• Environment- adequate lighting, noise and dust controls and space.
• Vehicles- segregation of pedestrians, pedestrian crossing zones, vehicle parking areas.

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Safety Sampling:
The role of sampling is to select a representative, partial quantity of a group of items, people or a region; which are
examined to identify facts about them and used to indicate a standard of compliance for the entire group. When a
representative sample is taken, this is considered a reasonable representation of the situation of the entire group.

A very small sample, such as an examination of three pieces of a lift handle, may give a rough, but acceptable, indication
of the situation relating to lift treatment as a whole.

Sampling is conducted relating to the following:

✓ Specific hazards - such as noise or dust - are usually undertaken by those trained in proper hygiene techniques.
✓ Good practice - such as wearing personal protective equipment - is usually conducted by first-line managers.
✓ General workplace hazards - such as those identified during a specific walk through the work area - are typically
undertaken by first-line managers and representatives of worker health and safety and workers.

Safety Tours:

This term refers to a routine, unplanned tour undertaken

by a high-ranking manager. The manager can accompany
the line manager, supervisor and worker representative.
The main objective of this tour is to observe the
behaviour of the workers, promote consultation and
show visible leadership to the management.

It should be noted that students will undertake a

workplace examination in the second half of their
studies to identify risks and corrective actions as part of
the practical assessment.

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4.1.3 Reactive Monitoring Measures

Reactive monitoring is the measurement of negative outcomes of an organization's efforts to ensure health and safety in
order to determine the importance of these outcomes and opportunities for improvement. To effectively conduct
interactive monitoring, there must be a system for event identification, recording and reporting.

Interactive monitoring uses accidents, ill health and other undesirable events and situations as indicators of health and
safety performance to highlight areas of concern. By definition, this means "to respond" after things have gone wrong.
This points to two weaknesses in interactive monitoring:
• Things really got worse. Objects are placed immediately after the event, not before it.
• Measures failure, which can be a downside to focus on.

Despite these weaknesses, interactive monitoring is a viable tool for an organization to use, as long as various forms of
active monitoring are also implemented. Interactive monitoring can be done by learning lessons:

• From a single individual

event, such as an accident,
serious or near miss, or ill
health.
• From data collected from
large numbers of the same
type of events.

The first method involves event reporting, recording and investigation (see later in this item). The second method
concerns the collection and use of statistics. This is done to learn from past events and prevent them from happening in
the future. Reports resulting from interactive monitoring indicate failure of systems and ineffectiveness of control
measures.

Subject Emphasis

Reactive monitoring examines the following to measure health and safety performance:
• Accident data
• Ill health data
• Absenteeism data
• Claims records
• Number of complaints reported
• Prosecutions
• Enforcement notices

Evaluation of Performance by using Incident Data Statistics:

Many organizations spend significant time developing data on their health and safety performance based on a variety of
incidents, including accidents, critical events, near misses, ill health, workforce complaints and enforcement actions.
While there is value in doing so, it is limited to being after the event. Incidents must happen to get the data, and therefore
tend to reverse the effort to prevent recurrence rather than taking action to prevent the event.

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Data related to the above-mentioned interactive methods can be analysed from:

• Lessons learned from one or more incidents
• Lessons learned from accidents as a whole that have
occurred, say, in the last three years.

The collected data must be converted into certain indicators to enable

meaningful comparison. There are different indicators produced by
industries for comparison. One of them is the "accident rate" or AIR.
Here is the formula:

AIR = (Number of accidents in the given period / the average

number of people in thegiven period) x 1000.

This formula converts the incident data into a figure that would be
equivalent for every 1000 workers, thus allowing for comparison of
data within each organization and across organization.

Complaints From Workforce

Legislation requires employers to provide a safe place of work. When
workers are dissatisfied with working conditions or the safety
management of risk they are likely to complain about it. Therefore, the
number of complaints from workers can be used as a reactive measure
of how well (or not) the organisation is doing.

Enforcement Action
The number of enforcement actions taken against the
organisation is an indication of the health and safety
performance of the organisation. Enforcement actions taken
against an organisation is often one of the questions asked on pre
tender qualification questionnaires. Where the organisation has
to report that action has been taken it will be seen as a negative
against the organisations’ bid for the work.

Performance by Looking at the Civil Claims:

Workers or others affected by the organizations activities can approach the civil court against the employer to claim
for compensation. Organizations may also track the number of civil claims year on year and the total amounts paid to
compare their performance reactively.

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Absence data:
Analysing absence data is important for two reasons:
• The process enables an organisation to determine whether it has a work-related absence problem.
• It can help the organisation to understand the causal effects of absenteeism.

Subject Emphasis
Accident Statistics Calculation Formula:
I𝑙𝑙 ℎ𝑒𝑎𝑙𝑡ℎ 𝑖𝑛𝑐𝑖𝑑𝑒𝑛𝑡 𝑟𝑎𝑡𝑒 = (Number of accidents in the given period / the average number of people in the given
period) x 1000.
𝐴𝑐𝑐𝑖𝑑𝑒𝑛𝑡 𝑓𝑟𝑒𝑞𝑢𝑒𝑛𝑐𝑦 𝑟𝑎𝑡𝑒 = (Number of accidents in the given period / the average number of people in the
given period) x 1000.
I𝑙𝑙 ℎ𝑒𝑎𝑙𝑡ℎ 𝑓𝑟𝑒𝑞𝑢𝑒𝑛𝑐𝑦 𝑟𝑎𝑡𝑒 = (Number of accidents in the given period / the average number of people in the
given period) x 1000.
• Accident severity Rates = (Total number of days lost / 𝑇𝑜𝑡𝑎𝑙 ℎ𝑜𝑢𝑟𝑠 𝑤𝑜𝑟𝑘𝑒𝑑) x 1000.
• 𝐼𝑙𝑙-ℎ𝑒𝑎𝑙𝑡ℎ 𝑠𝑒𝑣𝑒𝑟𝑖𝑡𝑦 𝑟𝑎𝑡𝑒 = (Total number of days lost / 𝑇𝑜𝑡𝑎𝑙 ℎ𝑜𝑢𝑟𝑠 𝑤𝑜𝑟𝑘𝑒𝑑) x 1000.
• 𝑀𝑒𝑎𝑛 𝑑𝑢𝑟𝑎𝑡𝑖𝑜𝑛 𝑟𝑎𝑡𝑒 = (𝑇𝑜𝑡𝑎𝑙 𝑛𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑑𝑎𝑦𝑠 𝑙𝑜𝑠𝑡/ 𝑇𝑜𝑡𝑎𝑙 𝑛𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑎𝑐𝑐𝑖𝑑𝑒𝑛𝑡𝑠 or ill-health)
• 𝐷𝑢𝑟𝑎𝑡𝑖𝑜𝑛 𝑟𝑎𝑡𝑒 = (𝑇𝑜𝑡𝑎𝑙 𝑛𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑑𝑎𝑦𝑠 𝑙𝑜𝑠𝑡/ 𝑇𝑜𝑡𝑎𝑙 𝑛𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑎𝑐𝑐𝑖𝑑𝑒𝑛𝑡𝑠 or ill-health)
Assessing the magnitude of absenteeism:
𝐷𝑎𝑦𝑠 𝑙𝑜𝑠𝑡 𝑝𝑒𝑟 𝑤𝑜𝑟𝑘𝑒𝑟 = (𝑇𝑜𝑡𝑎𝑙 𝑑𝑎𝑦𝑠 𝑙𝑜𝑠𝑡/ N𝑢𝑚𝑏𝑒𝑟 𝑜𝑓workers)
𝑃𝑒𝑟𝑐𝑒𝑛𝑡𝑎𝑔𝑒 𝑙𝑜𝑠𝑡 𝑡𝑖𝑚𝑒 = (𝑁𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑑𝑎𝑦𝑠 𝑙𝑜𝑠𝑡 𝑡ℎ𝑟𝑜𝑢𝑔ℎ 𝑎𝑏𝑠𝑒𝑛𝑐𝑒 × 100 / 𝑁𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑊𝑜𝑘𝑒𝑟𝑠 × 𝑁𝑢𝑚𝑏𝑒𝑟 𝑜𝑓
𝑊𝑜𝑟𝑘𝑖𝑛𝑔 𝑑𝑎𝑦𝑠)

4.1.4 Why Lessons Need to Be Learnt from Beneficial and Adverse Events

Organizations with a positive culture always strive to improve health and safety performance. Steps taken in this way
may improve safety performance, for example, reduce accidents to be reported, or lower compensation payments as a
result of reduced accidents, claims, etc. These events that improve performance are known as beneficial events.
Whereas, adverse events are those that deteriorate health and safety performance. For example, an increase in ill health
or a large number of fire accidents.
▪ Lessons from both beneficial and harmful events are the learning gained from the process in which they are applied.
▪ Every failure or success needs analysis, so that what has been done right and what is not is known to the
organization.
▪ Beneficial events will give confidence to the management to replicate the processes that lead to such benefits
throughout the organisation. For example, if an organization finds that implementing a new fire checklist has
significantly reduced the number of fire incidents, the same may be taken up by all departments.
▪ Likewise, adverse events are something that needs to be investigated and root causes need to be evaluated.
Learning from such events and ways to prevent it must be communicated across the organization so that it does
not happen again.
▪ Organizations realize that they will benefit from better knowledge of incidents if they, in turn, commit to improving
their investigative approaches, including the way they generate these recommendations and reports. The result
should be lessons learned, improvements made, fewer accidents and thus fewer losses.

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▪ Lessons learned should not only be from events within the organization but also from negative and beneficial
incidents outside the organisation.

Organizations, thus take advantage of the key learning opportunities given by both adverse and beneficial events. In Fact,
it is a key feature of the P-D-C-A cycle which leads to continual improvement.

4.1.5 The Difference Between Leading and Lagging Indicators

Sr. No. Internal Source of Information External Source of Information

1 • A leading indicator; is proactive in nature. • Lagging indicators are measurement that include
They include safety initiatives or reported data from the past. They include incidents and
activities, with the goal of preventing accidents statistics.
unfavourable events before they happen.
2 • Leading indicators are generated as a • Lagging indicators are generated as result of
result of active monitoring activities like reactive monitoring activities like measuring
safety inspections, preventive hours lost due to reportable injuries.
maintenance etc.
3 Leading indicators can include. Number and Example of lagging indicators:
type of safety training completed. • Injury frequency and severity Lost workdays
vs Reportable incidents employee’s compensation
Planned Result of behavioural audits result of cost chemical releases
safety audits Number of Tool box talks done.
vs
Planned Participation in safety committee
equipment / machinery-maintained.
vs
Planned Hazard indication & Risk assessments.
4 Leading indicators will help to improve safety The result of the lagging indicators will prove to the
through awareness and prevention and will management that the steps taken to improve
show stakeholders that the company is taking occupational health and safety is actually working.
proactive steps to achieve excellence in safety

Study questions from above Covered Topics

1. What is the difference between a safety inspection and safety tour?
2. What role does senior management have in workplace inspections?
3. What do we mean by systematic active monitoring?
4. What types of information that might be used in reactive monitoring?
5. Why are checklists used in inspections?
6. What is reactive and Active monitoring?
7. What is the purpose of workplace inspections?

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4.2 Investigating Incidents

In this section, you will learn about:

4.2.1 Function of Incident Investigation

4.2.2 Distinction between Different Types of Incidents
4.2.3 Basic Incident Investigation Steps
4.2.4 How Occupational Accidents and Diseases are Recorded and Notified
4.2.5 Reporting of Events to External Agencies

4.2.1 Function of Incident Investigation

So far, this course has concentrated on accident prevention, yet accidents still happen, and they can result in harm or
property damage despite our best efforts. When an accident occurs, it is critical for the organization to properly record
and investigate it in order to avoid a recurrence.

After an accident, the first priority should be to care for the victim. The business owner must next investigate what
occurred and act to prevent it from happening again. Learning from them and other accidents is essential for accident
prevention, thus precise information about them must be acquired and analyzed.

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There are various grounds for investigations, but one of the most essential is that if something happened once, it may
happen again; and if it happens again, the outcome may be as bad or worse than the first time. It is therefore critical to
understand why the disaster occurred so that corrective actions can be made to avoid it from happening again. Often,
luck is all that separates a near-miss or minor-injury accident from a serious-injury one (or chance). The same spot where
one person trips and stumbles on the steps one day could be where another worker trips, falls, and breaks their arm the
next. It follows that all accidents must be examined to determine the possibility of serious damage, injury or loss. If such
a possibility exists, a thorough investigation should be carried out to prevent this possibility from becoming actual.

The same incidents occur repeatedly, causing pain and sorrow to an ever-expanding circle of workers and their families.
Workplace accident and event investigation and analysis are critical components of health and safety management.
However, absorbing the lessons from what you discover is crucial to avoiding errors and accidents.

We will have a better grasp of the dangers involved with our company activities if we conduct our own health and safety
investigations. Individual blaming is ultimately unhelpful, as it perpetuates the notion that accidents and illness are
unavoidable, whereas the contrary is true. Well-planned risk-control measures, together with proper monitoring, control,
and effective management (i.e., our risk management system), will assure the safety of our business operations.
Investigations into health and safety are a key instrument in creating and strengthening our risk management system.

Subject Emphasis

Roles and Reasons for investigating incidents:

• To identify the immediate and root causes – Incidents are typically caused by risky acts and harmful working
conditions, but they frequently result from underlying, or fundamental causes.

• To enable risk assessments to be reviewed and updated – An incident indicates a problem in risk assessment,
which should be addressed.

• For disciplinary purposes – Though blaming employees for mishaps has a detrimental impact on safety culture
(see Element 3), there are times when an organization must reprimand a worker because their behaviour has
gone below an acceptable standard.

• For data-gathering purposes – Accident statistics can be used to determine trends and patterns; however, good
quality data must be collected.

• To identify corrective action to prevent a recurrence – a primary motivation for incident investigations

• To record the facts of the incident – Accident investigation reports document factual evidence for the future
because humans do not have perfect memory.

• For legal reasons – accident investigations are an implicit legal duty imposed on the employer, in addition to the
duty to report incidents.

• For claim management – if a claim for compensation is lodged against the employer, the insurance company will
examine the accident investigation report to help determine liability.

• For staff morale – non-investigation of accidents has a detrimental effect on morale and safety culture because
workers will assume that the organisation does not value their safety.

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A methodical, structured approach to information gathering, collation, and analysis is required for an effective inquiry.
The investigation's findings will serve as the foundation for a plan of action to avoid the accident or incident from
happening again and to improve our overall risk management. Our findings will also highlight areas of our risk
assessments that require revision. This connection with risk assessment(s) is also required by law.

Function of Investigation:

An incident investigation plays the following roles:

• It is a reactive monitoring tool; therefore, it provides significant data for analysis to the organization (trends).
• A thorough inquiry can help us understand why the incident occurred and what can be done to avoid it in the
future.
• An incident would normally refer to a failure in risk assessments; nevertheless, the results of an incident
investigation will inform us what modifications need to be made in the risk assessment through additional or
expanded control measures.
• An investigation guarantees that the occurrence does not demoralize the workforce.
• Internally a company has to decide on
disciplinary measures against workers
flow may have played a part in the
accident. Investigations are not to be
carried out for putting blame on
workers, but it definitely throws light on
who needs to be disciplined.
• An incident investigation is also a legal
requirement.
• To process a claim from the insurance
agency, an investigation is required.
• Incident investigation helps in
calculating the costs of accidents.

Reporting of Incidents Plays the following Role:

• To preserve the accident scene for future investigations.
• To meet the legal requirement to report incidents.
• To trigger the provisions of first-aid treatment.

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4.2.2 Distinction Between Different Types of Incidents

An incident can be defined as the outcome of an unplanned, uncontrolled event. This may include such things as injury,
ill-health, dangerous occurrence, near-miss or property damage.

Subject Emphasis

Accident

An accident can be defined as ‘an unwanted, unplanned event which results in a loss of some kind’, e.g., a person
tripping over an uneven surface and breaking their leg.

NEAR MISS

An unplanned, unwanted event that had the potential to lead to injury, damage or loss, but did not, in fact, do so.
e.g., dropping a tool box off a platform onto a walkway below, just missing an employee.

DANGEROUS OCCURRENCE

A specified event that has to be reported to the relevant authority by statute law. For example, under the UK’s
Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 (RIDDOR) certain types of events have
to be reported to the relevant authority, even though no injury or ill health may have resulted. For example, the
collapse of a scaffold or explosion of a boiler.

Ill-Health

"Harm to a person's health caused by their work". For example, dermatitis is a disease of the skin often caused by
work activities, especially when the handling of solvents, detergents or irritant substances is involved.

Occupational Ill-Health

Occupational ill-health includes any acute or chronic ill-health caused by physical, chemical or biological agents as
well as adverse effects on mental health.

Level of Investigation
The table below will assist you in determining thelevel of investigation
which is appropriate for the adverse event. Remember you must
consider theworst potential consequences of the adverse event(e.g. a
scaffold collapse may not have caused any injuries, but had the
potential to cause major or fatal injuries).
▪ In a minimal level investigation, the relevant supervisor will look
into the circumstances ofthe event and try to learn any lessons
which will prevent future occurrences.
▪ A low-level investigation will involve a shortinvestigation by the
relevant supervisor or linemanager into the circumstances and
immediate, underlying and root causes of theadverse event, to
try to prevent a recurrence and to learn any general lessons.

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▪ A medium-level inquiry will include a more extensive investigation conducted by the relevant supervisor or line
manager, the health and safety adviser, and employee representatives to identify the immediate, underlying, and
root causes.
▪ A high-level investigation will be team-based, incorporating supervisors or line managers, health and safety
consultants, and employee representatives. It will be conducted under the supervision of top management or
directors and will seek out the immediate, underlying, and root causes.

4.2.3 Basic Incident Investigation Steps

Before an incident investigation can start, the following

things needs to be considered:
1. Gathering the information
2. Analysing the information
3. Identifying risk control measures
4. The action plan and its implementation

Subject Emphasis

Items that could be included on an accident investigation checklist:

• Personal details of the person involved.
• Time and location of the accident.
• Type and severity of the injury sustained.
• Whether the injured person had been given first aid, had returned to work or had been sent to hospital.
• Underlying medical condition of the injured person.
• Task being undertaken at the time of the accident.
• Working environment as far as weather, standard of lighting and visibility were concerned.
• Condition of the floor or ground.
• The type and condition of any personal protective equipment that was being worn.
• Details of the training and information received.
• Details of any relevant risk assessments that had been carried out.
• Any previous similar accidents that had occurred.

Step 1: Gathering the Information

Information can be gathered by looking at the following three things:

▪ Observation.
▪ Interviews.
▪ Documentation.

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Observation:
The scene of the incident needs to be approachedand physical evidence
needs to be gathered, investigators may observe for ex; a patch of oil ora
broken tool or a tripped off circuit breaker etc. These will be vital clues and
aid finding out the root cause of the incident.

To aid in these observations an investigator needs to come prepared

with appropriate equipment like:
▪ Cameras to capture the scene.
▪ Measuring tape to take measurements.
▪ Pen and notebook to take down the observation and make sketches.

• Collect witnesses’ details quickly, before they start to move away. In some cases it may help to remove witnesses
from the scene and ask them to wait in a separate area. If there are many witnesses it may be better to separate
them from each other to prevent them from conferring with each other and developing an ‘agreed’ story.

• Collect factual information from the scene and record it. This might be done by means of:
✓ Photographs.
✓ Sketches.
✓ Measurements.
✓ Videos.
✓ Written descriptions of factors such as wind speed, temperature, etc.
✓ Physical evidence such as samples, or the equipment that has failed.
✓ Marking up existing site/location plans.

Interview:
There may be one or several witnesses to anincident.
Interviewing these witnesses provides with substantial
clues as to what caused the incident. Witnesses need to
be interviewed atthe appropriate time, some witnesses
may be in shock and, may not be able to respond to
queriesadequately- this needs to be considered by the
investigators. Following is the technique to be followed
while conducting a witness interview:

▪ Interview to be carried out in a quiet room away from the accident spot, so that there can be proper interaction
with minimum distractions.
▪ The interviewer should then introduce himself, and clear the purpose of the interview as something of a fact-
finding mission, rather than a fault-finding mission. Emphasis should be laid out on the fact that the interview is
important so as to find out the cause of the incident and avoid it from happening again.
▪ The interview is to be recorded and signed at the end of the session as a record.
▪ The interview should be carried out using open ended questions like 'What', 'where', 'why' etc. This is to prevent
putting words into the witnesses' mouth and allow him to openly express his opinion.
▪ The interviewer should keep an open mind and not jump into conclusions.
▪ End the interview by thanking the witness.

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Documentation:
Records and documentation will have to be referred so as to substantiate the
physical and verbal evidence with written records. The records could be varied and
exhaustive (depends upon the type of accident and the depth of investigation). In
general the following documents may be checked and examined:
▪ The relevant policies
▪ Employee training records
▪ Maintenance records
▪ Sickness and absenteeism records
▪ Risk assessments
▪ Safe system of work
▪ Site plans and layout
▪ Active monitoring records

Step 2: Analysing the Information

The information gathered from the above, and then needs
to be analyzed so as to find out the causes of the incident.
The causes of the incidentare most commonly divided into:
▪ Immediate causes
▪ Underlying causes
▪ Root causes

Immediate Causes and Root Causes

The ILO Code of Practice for Recording and Notification of

Occupational Accidents and Diseases 10.2 requires the
employer to, as far as possible:
▪ Establish what happened.
▪ Determine the causes of what happened.
▪ Identify measures to prevent a recurrence.

Immediate Causes:
This as the name suggests is the immediate reason for the
cause of the accident. Let's take that an operator hurt
his finger while operating machinery. This would have
been caused by a guard not present or the guard
removed. The immediate causes are the result of 'unsafe
acts' and 'unsafe conditions'. In this case the unsafe act
is removal of the guard, and the unsafe condition would
be guard not provided in the first place itself. These
unsafe acts and conditions result in workers being
exposed to uncontrolled hazards that present a risk of
injury/ill-health.

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Root and Underlying Causes

Many of the accidents that happen in workplaces have one immediate cause and one underlying or root cause. I f that
one root cause is identified and dealt with, then the accident should not happen again.
These are known as management system failures and occur when the organisation does not establish an adequate safety
policy, incorporating an appropriate approach to risk identification and control for the organisation’s activities.

Underlying Causes:
These are the causes which are behind the immediate causes. These could be like time pressures to complete the task,
not enough training or lack of maintenance. Often,rootcauseswillbefailuresin the management system, such as:
▪ Failure to adequately supervise workers.
▪ Failure to provide appropriate PPE.
▪ Failure to provide adequate training.
▪ Lack of maintenance.
▪ Inadequate checking or inspections.
▪ Failure to carry out proper risk assessments.

Root Causes:

These would normally point towards management

deficiencies like no provision for training, no
preventive maintenance of the machines, poor work
practices. Let's now take an example of an accident
and try to find out the root causes:

You're the manager of a delivery depot. It's Friday

afternoon, close to the end of the working day. One
of your warehouse operatives has had enough for the
day and decides to pack up early. Meanwhile, in the
warehouse one of your forklift truck drivers, who's
equally keen to finish his work, is driving his truck
loaded with boxes of paint.

The forklift truck turns a corner and heads at speed

along the aisle towards the loading bay. At that very
moment, the warehouse operative comes out of an
unauthorized access aisle, not looking where he's
going, and heads towards a fire exit — a short cut to
the car park.

The forklift truck driver sees the man at the last minute and brakes hard, but skids on a patch of oil left by a leaking
forklift. He comes to an abrupt stop and the load falls onto the warehouse operative, breaking his arm and bruising his
leg. In this example the immediate causes are:
• Struck by the load
• Load falling
• Forklift skidding
• Patch of oil
• Braking hard
• Using the unauthorized aisle
• Speed

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The underlying causes are:

• Forklift leaking
• Rushing to get the job done
• Speed limiter removed
• Lack of maintenance or inspection
• Taking a short cut
• Leaving work early

On investigation, each of these immediate causes might have their own separate root causes, such as:
• No training for the driver, who is new to the workplace, has not worked with this type of load before and is
unaware of the load-securing technique required.
• Lack of segregation of pedestrian and traffic routes; no barriers and no markings to separate the two.
• Lack of proper driver induction into their new workplace so they are unaware of the layout and position of
pedestrian exits, etc.
• Poor maintenance of the truck.
• No refresher training for existing staff, meaning that experienced staff have become complacent.

Step 3: Identifying Risk Control Measures

The analysis may have identified that there were: no control measures in place; control measures in place that were not
used; control measures in place that failed; or combinations of the above. Each possible risk control measure should be
evaluated for: their ability to prevent recurrences; whether they are practical; whether they will be used; and whether
they will remain effective.

Control measures now need to be identified to remedy the situation. These measures should take care of both the
immediate and root causes. These control measures should be well thought of for:
• No control measures in place or if so not used
• Prevent any wrong measures been implemented and
thereby loss of time, cost and effort
• Combinations of the above.

Each possible risk control measure should be evaluated for:

• Their ability to prevent recurrences
• Whether they are practical
• Whether they will be used
• Whether they will remain effective

It will be important to consider whether similar risks exist elsewhere in the premises or on another site. Information from
the event, etc. should be circulated to other areas. Organisations are particularly open to criticism if a series of similar
accidents occur.

Example:
• Immediate actions could be: cleaning up an oil spill, or replacing a guard.
• Long term measures could be like: Creating a housekeeping policy and daily cleaning regime, or preventive
maintenance of the machines at regular intervals.

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Underlying causes can be harder to determine because they reflect failure of the management system. However, it is
essential that the correct control measures to remedy the failure of the management system are identified because this
will help prevent similar accidents occurring in similar circumstance across the entire organisation. For example, if a
worker slips on some oil that has leaked out of a vehicle in the distribution depot, an employer may:

• Clean up the oil leaking out of the vehicle (the immediate cause), but fail to deal with the underlying cause (lack
of inspection and maintenance). This could lead to more leaks, which in turn may lead to more pedestrian slips
(and perhaps vehicle skids).
• Clean up the oil leaking out of the vehicle and deal with the underlying cause (by introducing a proper inspection
and maintenance system).

Step 4: The Action Plan and its Implementation

All recommendations should be ‘SMART’ (Specific, Measurable, Achievable and Time framed). Remedial actions should
be both corrective and preventive and they need to be recorded in a systematic way so as to make the plan actionable.
Action plan in simple words can be described as "who will do what and by when".

This action needs to be reviewed periodically so as to close out the action points within the stipulated period. The action
needs to be prioritized depending upon the severity of the incident. Those actions, if not taken can lead to legal action,
would obviously call for a higher priority.

Where risks are not high and immediate, control measures can be put into the action plan in order of priority over the
short, medium and long-term. A specific senior person, preferably a director, partner, or senior manager, should then be
made responsible for ensuring the action plan as a whole is put into place.

An incident investigation should lead to corrective action being taken, in just the same way as a workplace inspection
will. Remedial actions can be presented in an action plan:

Recommended Action Priority Timescale Responsible Person

Introduce induction
training for all new drivers Medium 1 month Warehouse manager

When the action plan is being prepared, appropriate immediate and interim control measures must be given suitable
priorities and timescales.

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Subject Emphasis

Following are the contents of a typical incident investigation form:

• Date and time of the incident.
• Location of the incident.
• Details of the injured person / persons involved.
• Details of injury sustained.
• Description of the activity carried out the time.
• Drawings or photographs used to conveyinformation on the scene.
• Immediate and underlying / root causes of theincident.
• Assessments of any breaches of legislation.
• Details of witnesses and witness statements.
• Recommended corrective action, with suggested costs, responsibilities and time scales.
• Estimation of the cost implications for the organization.

4.2.4 How Occupational Accidents and Diseases are Recorded and Notified

When an incident happens, it needs to be recorded and reported. An incident would require to be reported both:
• Internally within the organization and
• Externally to agencies.

Recording and Reporting

Requirements
Work-related incidents should be reported
internally by workers to management. The system
put in place by an organisation to allow for this
should be described in the Arrangements section
of the organization’s safety policy.

It is standard practice for workers to verbally report incidents to their immediate line manager, followed by completion
of an internal incident report form. There are occasions when this simple verbal reporting procedure is not appropriate,
and a more complex reporting procedure then has to be introduced. For example, a lone-working contractor visiting a
client’s premises may have to report their accident to the client as well as to their immediate line manager.

4.2.5 Reporting of Events to Internal Agencies

An organization through its incident reporting policy should put systems in place for incidents to be recorded and
reported internally. When establishing an incident-reporting policy, the organisation should be clear about the type of
incident that has to be reported by workers. It is usual to include a list of definitions in the policy so that workers
understand the phrases used. It should specify the different types of incidents that need to recorded, the means of
reporting and the responsibilities of reporting and recording the incident.

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Subject Emphasis

A typical internal incident report would contain the following:

• Name and address of the casualty
• Date and time of the incident
• Location of the accident
• Details of the injury
• Details of the treatment given
• Description of the event causing injury
• Details of any equipment or substances involved
• Witnesses' names and contact details
• Details of the person completing the record
• Signatures

An organisation having created a means of reporting the incidents should then go about encouraging the workers for
reporting the incidents. But unfortunately, there are a large number of barriers that may prevent a worker from
reporting incidents.

Subject Emphasis

A typical internal incident report would contain the following:

• No reporting policy in place.
• No reporting system in place.
• Workers not aware that reporting of incidents is part of their roles and responsibilities.
• Culture of not reporting incidents (perhaps due to peer group pressure).
• Overly complicated reporting procedures.
• Excessive paperwork.
• Takes too much time.
• Blame culture (where a worker feels that they may be treated detrimentally or disciplined for reporting any
accident or near miss that they were associated with).
• Belief that management does not take reports seriously.
• Concern over the impact on the company or departmental safety statistics (especially if this is linked to an
incentive scheme).
• Reluctance to receive first-aid treatment.

Internally an incident may have to be notified to a range of personnel, the more dangerous the incident the more higher
up it will be have to be reported. Generally following are the personnel who would be notified about the incident:
• The top management.
• The HR and personnel department.
• The health and safety specialist.
• Workers representative.

Externally:
• To the family of the casualty.
• Insurance companies.
• Public relations advisors

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4.2.6 Reporting of Events to External Agencies

Depending upon the type of incident, certain

incidents needs to be notified to the external
agencies particularly the enforcement agencies.
Most countries have statute law that requires
certain types of events to be reported to relevant
government appointed agencies. All countries agree
that fatal accidents must be reported, however the
level of detail of other types of events that need to
be reported differs between countries. Following
are the types of incidents that need to be reported
to the enforcement agency:
• Occupational accident – Accidents that
have resulted in major injuriesor "Loss
time injuries".
• Dangerous occurrence – Dangerous
occurrences as notified in the law.
• Occupational disease – "A disease
contracted as a result of an exposure to
risk factors arising from work activity".

These incidents need to be reported within a set time frame in the format prescribed by the enforcement agency.
The ILO has published several international standards on recommended reporting procedures. The principal reference
is the 2002 Protocol to the Occupational Safety and Health Convention 1981 (P155); this greatly expands the general
reporting standards of article 4 ofthe occupational Safety and Health Convention 1981 (C155). It is supported by
recommendation194, which lists types of diseases that should be reported to national governments.

Study questions from above Covered Topics

1. What is the main purpose of an accident investigation?

2. What are the four steps of the investigation process?

3. Identify the categories of staff who might be considered useful members of an internal accident investigation
team.

4. What types of record might be consulted during an accident investigation?

5. What are the two categories of immediate cause of accidents/incidents?

6. An employee has been hit by a reversing vehicle in a loading bay. What are the possible immediate causes and
root causes?

7. Who is usually initially responsible for reporting accidents and safety-related incidents?

8. What actions should be taken following a serious injury at work?

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4.3 Health and Safety Auditing

In this section, you will learn about:

4.3.1 Definition of The Term “Audit”

4.3.2 Scope and Purpose of Auditing Health and Safety Management Systems
4.3.3 Difference between Audits and Inspection
4.3.4 Types of Audits: Product/Services, Process, System
4.3.5 Advantages and Disadvantages of External and Internal Audits
4.3.6 The Audit Steps

4.3.1 Definition of The Term “Audit”

The term 'Audit' (as per clause 3.32, ISO 45001:2018)

An audit is a systematic, critical examination of an organization’s systems to determine the extent of compliance with a
set of agreed standards.

Subject Emphasis

Health and Safety Auditing:

Auditing is the systematic, objective, critical evaluation of an organisation’s health and safety management system.

It is normally a lengthy process carried out by a trained auditor, often someone from outside the organisation, looking
at the strengths and weaknesses of the organisation by using questionnaire.

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4.3.2 Scope and Purpose of Auditing Health and Safety Management Systems

The purpose of an audit is to assess how good health and safety is being managed compared with standards. The audit
process will identify strengths, weaknesses and areas of vulnerability. The outcome from the audit is a report to
management and an action plan which will allow health and safety to be managed successfully.

Health and safety audits share many common features with financial, quality and environmental management audits;
the basic principles are the same. Auditing is a mechanism for verifying that an organisation’s safety management system
is in place and operating effectively. It is:
✓ Systematic – the audit follows a series of logical steps and stages and follows a prepared plan.
✓ Objective – all findings are evidence-based.
✓ Critical – it highlights areas of non-compliance or non-conformance.

The intention of an audit is to provide critical feedback on the management system so that appropriate follow-up action
can be taken. The audit process can, therefore, be viewed as rather negative, since it will tend to focus on areas of
weakness and non-conformance. In fact, some audits do not make any mention of any positive aspects of the safety
management system at all; they focus entirely on the weaknesses. This is, however, inherent in the purpose of the audit
– to identify weaknesses so that they can be dealt with.

On the positive side, auditing is a very effective way of enhancing organisational learning. It is an opportunity to
improve:
✓ The management system.
✓ The safety policy.
✓ The arrangements made for specific issues.
✓ Health and safety performance.

Auditing is, in effect, another form of active monitoring. A positive audit report (or a verification audit that results in
certification) provides an assurance that health and safety management system is robust and effective.

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4.3.3 Difference between Audits and Inspection

Health and safety audits assess the health and safety

system, or parts of it, to determine if the system is
ensuring health and safety. An audit focuses on
management systems:
✓ It examines documents, such as the safety policy,
arrangements, procedures, risk assessments,
safe systems of work, method statements, etc.
✓ It looks closely at records, such as those created
to verify training, maintenance, inspections,
statutory examinations, etc.
✓ It verifies the standards that exist within the
workplace by interview and direct observation.

One of the parts of the system that may be examined by an audit is active monitoring methods like inspections. An
inspection is a simpler process of checking the workplace for uncontrolled hazards and addressing any that are found. It
is important that the term ‘audit’ is used correctly; an audit is the thorough examination of the management system,
from the documents through to what is happening in practice in the workplace.

Emphasis focus
Audit Inspection
• Examines documents • Checks the Workplace
• Examines procedures • Checks records
• Interviews workers • Usually, quick
• Verifies standards • Lower Cost
• Checks the workplace • May only require basic competence
• Can be a long process • May be part of an audit Done by a team
• Usually expensive (Manager, Safety rep)
• Requires a high level of competence Done by
Trained Auditor

4.3.4 Types of Audits: Product/Services, Process, System

Product/ Service Safety Audit:

This type of audit is an examination of a particular product or service, such as hardware, processed material or software,
to evaluate whether it conforms to requirements (i.e., specifications, performance standards, and customer
requirements).

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The goal of a product safety audit is to identify design defects, which comprise a high percentage of product liability
claims. Compliance with government or industry voluntary standards constitutes design minimums and may not be
sufficient to ensure a "reasonably safe" product. Furthermore, in addition to ascertaining the potential hazards of a
product when used as intended, auditing should attempt to identify Foreseeable misuses of a product as well. In addition,
auditing applies not only to the product itself, but also to accompanying instructions and warnings, though these should
only be used when a hazard cannot be eliminated or guarded against.

Some common causes of product design liability are: concealed or non-obvious hazards, lack of appropriate safety
devices, inadequate structural design, Failure to consider Foreseeable misuses, inadequate warnings/ instructions and
Failure to comply with relevant safety standards. Strategies For minimizing these defects include: incorporating guarding
and interlocks, structural analysis and testing and comparison with safety standards and applicable regulatory guidelines.
An effective product safety audit can identify many potential hazards, increasing customer satisfaction and reducing the
likelihood of injuries and safety recalls.

Process audit
This type of audit verifies that processes are working within established limits. It evaluates an operation or method
against predetermined instructions or standards to measure conformance to these standards and the effectiveness of
the instructions. A process audit may:
▪ Check conformance to defined requirements such as time, accuracy, temperature, pressure, composition,
responsiveness, amperage, and component mixture.
▪ Examine the resources (equipment, materials, people) applied to transform the inputs into outputs, the
environment, the methods (procedures, instructions) followed, and the measures collected to determine process
performance.
▪ Check the adequacy and effectiveness of the process controls established by procedures, work instructions,
Flowcharts, and training and process specifications.

System audit
An audit conducted on a management system. It can be described as a documented activity performed to verify, by
examination and evaluation of objective evidence, that applicable elements of the system are appropriate and effective
and have been developed, documented, and implemented in accordance and in conjunction with specified
requirements.
A safety management system audit evaluates an existing safety management program to determine its conformance to
company policies, contract commitments, and regulatory requirements.

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4.3.5 Advantages and Disadvantages of External and Internal Audits

Audits are often carried out by safety specialists from outside the organisation. They can also be done by in-house staff.
In many instances both types of audits are carried out at different frequencies by the organisation. There are advantages
and disadvantages to both types.

Advantages and Disadvantages of Internal Audits

Emphasis focus
Advantages Disadvantages
• Less expensive. • Auditors may not notice certain issues.
• Auditors already know the business so know • Auditors may not have good knowledge of
what can be realistically achieved. industry or legal standards.
• Improves ownership of issues found. • Auditors may not possess auditing skills so may
• Builds competence internally. need training.
• Auditors are not independent so may be subject
to internal influence.

Advantages and Disadvantages of External Audits

Emphasis focus
Advantages Disadvantages
• Independent of any internal influence. • Expensive.
• Fresh pair of eyes. • Time consuming.
• Already has audit experience. • May not understand the business and make
• May have wider experience of different impractical suggestions.
types of workplace. • May intimidate workers so get incomplete
• Recommendations often carry more weight. evidence.
• May be more up to date with the law and
best practice.
• May be more able to be critical, e.g. of
management

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4.3.6 The Audit Steps

The process of audits involves several stages. Though there are different types of audits but most would follow the
following typical process:

Pre-Audit Preparations
Before the audit starts, the following should be defined:
• The scope of the audit – will it cover just health and safety, or environmental management as well?
• The area of the audit – one department? One whole site? All sites?
• The extent of the audit – fully comprehensive (which may take weeks), or more selective?
• Who will be required – auditors will need to be accompanied during their visit and will need access to managers
and workers for information-gathering, therefore those required for interviews should be notified in advance.
• Information-gathering – it is common practice for auditors to ask for copies of relevant documentation before
starting the audit so that they can prepare.

The organisation will have to ensure that the auditor is competent, i.e., that they have the relevant qualifications,
experience and knowledge to do the job well. This can apply to both internal and external auditors. If internal staff are
used as auditors, sufficient time and resources will have to be allocated so that they can be trained and developed in that
role.

All of these elements of the audit process require the allocation of sufficient management time and resources.

During the Audit:

An audit would begin on the designated day at the designated time with an opening meeting. Depending upon the
schedule the auditor would then visit each department and conduct the audit. The auditor would gather factual
information by looking at the following evidences by use of three methods:
• Paperwork or documentation — the records would indicate how well the HSMS is working in the organization.
It would also indicate to potential gaps.
• Interviews – word-of-mouth evidence given by managers and workers.
• Direct observation – An auditor would take a round of the department audited and observe the behaviour of
the workers and also to verify the correct implementation of the SSOWs.

Subject Emphasis

Typically, an auditor may look at the following documents to gain evidence of conformity.
• Health and safety policy.
• Risk assessments and safe systems of work.
• Training records.
• Minutes of safety committee meetings.
• Maintenance records and details of failures.
• Records of health and safety monitoring activities (e. g. tours, inspections, surveys).
• Accident investigation reports and data, including near-miss information.
• Emergency arrangements.
• Inspection reports from insurance companies.
• Output from regulator visits (e. g. visit reports, enforcement actions).
• Records of worker complaints.

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End of the Audit:

The audit would come to an end with a closing meeting and the participants would generally be the same as that of the
opening meeting.

Verbal feedback is usually provided at the end of an audit; for some audits, this will involve a presentation to the
management team. This verbal feedback will be followed by a written report. The report will make recommendations for
improvement and indicate priorities and timescales. The verbal feedback and report are usually presented to senior
management for action and/or praise, as required. This is a demonstration of leadership and, in some cases, it is a
requirement in the standards being audited. The management team have the authority and resources to take action
where required, and may also need to adjust the organisational goals and objectives.

An audit report may list a number of findings as follows.

▪ Major non-conformance: These are significant issues which needs immediate attention. It would generally point
out to legal issues or major failures in the HSMS in avoiding accidents. In ISO terms, these would mean denial of
certification or even withdrawal of an already awarded certificate.
▪ Minor non- conformance: These are issues which are less serious and would generally do not point to any major
weaknesses in the HSMS. These would require corrective action to be taken in a set period of time. They would not
cause a failure, in the system.
▪ Observations: Auditors may put forward their opinions on certain issues pertaining to the HSMS. These may or may
not be implemented by the organization.

Study questions from above Covered Topics

1. Define the term ‘health and safety auditing’.
2. What are the differences between health and safety audits and workplace inspections?

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4.4 Review of Health and Safety Performance

In this section, you will learn about:

4.4.1 Purpose of Regular Reviews

4.4.2 Issues to be considered in reviews
4.4.3 Outputs from the Reviews

4.4.1 Purpose of Regular Reviews

The purpose of the health and safety performance review

is to evaluate the effectiveness of what is being done
when compared with experience and foreseeable factors
that might affect future performance. Further-more a
thorough review will identify substandard health and
safety practices and conditions.

Reviewing health and safety performance is a key part of

any health and safety management system. The purpose
of a review is to identify any key areas that need to be
addressed and should be carried out by managers at all
levels within the organisation on a routine basis. Each review is likely to
have a different focus and will be conducted at different planned intervals.

For example:
• A full review of safety management might be undertaken at the highest level of the organisation (board of
directors/senior management) on an annual basis.
• The management team may meet every quarter to carry out a review to ensure that performance remains on
track (clearly, reviewing progress only once a year is not enough!). This information will feed into the annual
review.
• A review of departmental performance might be conducted every month, with the information in the
departmental reviews being fed into the quarterly management team review

Subject Emphasis

Following are the main purposes of Health and Safety Performance review:
• Determine cause to prevent recurrence
• Identify weaknesses in management systems
• Identify weaknesses in risk assessment
• Demonstrate management commitment
• Comply with country's legal requirements
• Collect data to establish losses
• Provide information for Civil/Criminal actions
• Provide information to insurance company
• To meet the requirements of shareholders and stakeholders

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By ensuring that a cycle of continuous review takes place at all levels at desired frequencies, the following purposes
are achieved:
• The management keeps on continuously measuring its performance.
• It constantly updates their performance by comparing the set targets vs the achieved.
• It helps the management know whether enough is been done to achieve the targets or more needs to be done.
• It helps the management meet the commitments set towards both their internal and external stake holders.
• It demonstrates commitment of the management towards continual improvement and thus boosts morale of
the workmen and aid in the creation of positive health and safety culture.

4.4.2 Issues to be considered in reviews

A wide variety of issues may be considered during the review:

• Pending actions from previous reviews: The previous reviews would have a range of recommendations which
would have been converted into action plant. Whether the targets set in the action plan is achieved or not can also
be reviewed.
• Legal compliance: Any legal compliance still pending to be achieved should be reviewed and regularly followed up
for closure.

Findings of active monitoring: The findingsof safety inspections/ surveys/ tours and sampling will feed into the review
which helpthe organization understand its compliancewith the set standards.
• Reactive monitoring data such as:
– Accident and incident data: This is a major performance indicator for the organization and would always form
part of set targets. The number of incidents within the period of discussion would be taken up and ascertained
whether it is within the set limits and whether the trends are encouraging or otherwise.
– Absence and sickness data: This would help in understanding whether the sickness is because of occupational
related diseases or otherwise. Absence caused by workplace related stress could also be reviewed.
• Quality assurance reports: In this thecompany's rejection and rework rates couldbe discussed and even the
customer complaints. This helps the company perform the role in the supply chain.
• Audit reports: Both internal and external auditreports will be discussed and major, minor nonconformities whether
closed or yet to be closedwill be reviewed. Any worthwhile suggestionsby the auditors can also be taker; up and
decided on implementation.
• Monitoring data/records/ reports: Various survey reports could be presented. For e.g.if dust is considered to
be problem for the organization, then the dust survey results could be presented and discussed.
• External communications and complaints:Issues raised by the enforcement agencies or peopleliving in the vicinity
could bediscussed.
• Consultation: Issues discussed in the safety committee meeting can be summarized.
• Objectives met: A wide range of objectives setat the planning stage can be discussed. Objectives could be checked
for achievementor the gaps could be discussed and further course of action decided to achieve the same within the
set period.
• Legal and best practice developments: New national and international laws may have been passed and could
require organizations to implement them within the set time frame. These could be reviewed and plans to
implement them could be frozen during the review.

4.4.3 Outputs from the Reviews

Various outputs will arise from the review process. Records of management reviews should be retained. There may be
retention durations set within standards, but, in any case, the reviews should be recorded in order to demonstrate that
an adequate review was carried out in accordance with legal requirements (e.g. in Britain, the Management of Health

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and Safety at Work Regulations 1999). Records of reviews will often take the form of minutes of review meetings and
action plans showing that agreed actions have been completed.

Some organisations will also be required to report annually to shareholders on their health and safety performance
through the annual company report.

Finally, the review process should form part of the continual improvement process of the organisation. Strategic targets
are set by senior management – these targets are then channelled down through the organisation and reviewed by line
management at different levels:
• Senior management set strategic targets.
• Middle management review performance in the areas under their control and sets targets to bring their area in
line with the strategic targets.
• Junior management review performance and sets local targets that will collectively allow the strategic targets to
be achieved.

This means health and safety reviews, at all levels, must feed directly into action plans. These plans should identify the
actions to be taken by responsible persons by appropriate deadlines. In this way, continual improvement of health and
safety performance can be achieved.

Study questions from above Covered Topics

1. What is the purpose of reviewing health and safety performance?
2. Who should take part in reviews of the occupational health and safety management system?
3. What typical outputs from the management review need to be documented and maintained as a record of the
review process and as evidence of its effectiveness?
4. How often should reviews of the occupational health and safety management system take place?

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