Nebosh International General Certificate Short notes

Unit IGC1: Management of international health and safety

Element 1: Foundations in health & safety
Key Learning Points:
The learning outcomes of this Element are that candidates should be able to:
1. Outline the scope and nature of occupational health & safety
2. Explain the moral, social & economic reasons for maintaining & promoting good standards of
health & safety in the workplace
3. Explain the role of national governments & international bodies in formulating a framework for
the regulation of health & safety
Basic definitions
Health: A state of both physiological and psychological well-being. In occupational terms, it would inclu
de not suffering (e.g.) from fatigue, stress or noise induced deafness
Safety: The absence of danger or physical harm to persons, extending in the workplace to things such as
equipment, materials and structures
Welfare: Relates to the provision of workplace facilities that maintain the basic wellbeing and comfort o
f the worker such as eating, washing and toilet facilities which enable them to fulfill their bodily function
s.
Environmental protection: A measure used to prevent harm to the environment of the world. It preven
ts harm to air, water, land and natural resources providing protection to flora, fauna and human beings
and their inter-relationships.
Hazard: Anything with a potential to cause harm
Risk: The chance that a hazard will cause harm and its possible consequence in terms of injury, damage.
Incident: Work related event(s) in which an injury or ill health (regardless of severity) or fatality occurred
, or could have occurred. Types of incidents include: accidents, near miss, dangerous occurrence and ill h
ealth.
Accident: An unplanned, unwanted event which leads to injury, damage or loss. There are two types
a) Injury accident – where the unplanned, unwanted event leads to some sort of personal injury,
e.g. a cut hand.
b) Damage only accident – where the unplanned, unwanted event leads to equipment or property
damage but not personal injury, e.g. a wall is demolished.
Near Miss: An unplanned, unwanted event that had the potential to lead to injury, damage or loss but di
d not.
Ill health: A disease or medical condition that is directly attributable to work, e.g. dermatitis as a result o
f exposure to skin irritants.
Dangerous occurrence:
A specified event that has to be reported to the relevant authority by statute law OR a readily identifiabl
e event, as defined under national laws and regulations, with potential to cause injury or disease to peo
ple at work or the general public. E.g. a major gas leak.
Qn. Outline why the management of an organization might not consider health and safety to be a prio
rity.
Competes with other business priorities such as production, which are the main aims of the organisation
May be seen as an unproductive cost to the business
Ignorance of legal duties
Lack of care for staff welfare
Focus on output and profitability at expense of worker well-being
Cost to the business – taking a short-term view
Ignorance of true cost to the business of worker ill health
Competition within the business for access to limited funds
Unwillingness or lack of resources to devote time to H&S management
Failure to perceive hazards in their operations
Cavalier attitude to the management of risks
Barriers to Good Standards of health and safety
The pressure of production or performance targets.
Financial constraints.
Complexity of the organization.
Organizational Culture & behavioral issues e.g. People failing to act as desired/mistakes
Conflicting demands e.g. timescales, standards
However, there are some powerful incentives for organizations to work on achieving high HS standards:
Three main reasons for maintaining good standards of health and safety
MORAL (protect people from injury & ill health)
ECONOMIC (cost effective objectives' achievement)
SOCIAL (societal expectations of good HS standards)
1. Moral:
The moral arguments are best reflected by the occupational disease and accident rate.
Healthy organizations hold their employees to the most valued asset and take every precaution known h
ow, to protect employees' health and safety. It is clear that occupational accidents and diseases have a h
uge negative feedback on productivity and morale.
What employers must provide (employer’s duty of care ILO C155 Article 16)?
• Safe place of work – and safe access and egress.
• Safe plant and equipment – the need to inspect, service and replace machinery will depend on
the level of risk.
• Safe system of work – should be safe in all circumstances – appropriate review, planning and
control ensure continued safety of methods.
• Information, Instructions, Training and Supervision (IITS) to ensure competency.
• Consultation with employees and safety representatives
• Undertake suitable & sufficient Risk Assessments & implement adequate control measures
Workers responsibility (employees duty of care) Article 19 of ILO C155
• Take reasonable care of their own safety and that of other people.
• Comply with safety instructions and procedures.
• Use all safety equipment properly.
• Report any situation that they believe could be a hazard and which they cannot themselves
correct.
• Report any work-related accident/ill health.
• Cooperate with employers assisting them to fulfill their legal duties.
2. Economic / Financial:
Any accident or ill-health will cost both direct/insured and indirect/uninsured loss.
Many employers believe most accident costs are covered by insurance. The opposite is usually true.
It is crucial that all costs (direct / indirect) are taken into account when the full cost of an accident is calc
ulated.
Note: Employer’s Liability Insurance:
• Is a legal requirement in many countries?
• Covers the employer’s liability in case of accidents and occupational diseases to employees or
others who may be affected by their activities.
• Covers compensations in case an employee sues his/her employer following an accident
regardless the financial status of the company.
Direct Cost (Measurable costs arising directly from the accident)
Product loss or Damage
Insurance claims and Compensation
Court costs and Fines
Fines in the criminal courts.
First-aid treatment and medical fees
Worker sick pay.
Repairs to, or replacement of, damaged equipment and buildings.
Lost production time while dealing with the injury.
Overtime to make up for lost time.
Costs associated with the rehabilitation of the injured worker and their return to work.
Indirect Cost (Costs which arise indirectly as a consequence of the event, difficult to Quantify)
Loss of staff from productive duties in order to investigate the incident, prepare reports, undertake hosp
ital visits, deal with relatives, attend court proceedings.
Loss of staff morale (which impacts on productivity, quality and efficiency).
Cost of remedial action following an investigation, e.g. change of process or materials and/or the introdu
ction of further control measures.
Compliance with any enforcement notice served.
Cost of recruiting and training temporary or replacement labour.
General difficulties in recruiting and retaining staff as an indirect result of the accident.
Loss of goodwill of customers following delays in production and fulfilling orders.
Activation of penalty clauses for failing to meet delivery dates.
Damage to public image and business reputation.
Damage to industrial relations, perhaps leading to industrial action (e.g. strikes).
Insured costs
Damage to Plant, Buildings and Equipment
Compensations paid to workers
Medical
Legal (Civil Claims)
Uninsured costs
Production delays Sick Pay
Loss of Raw Materials Overtime Pay
Investigation Time Hiring and Training New Employee
Criminal fines and Legal costs Loss of Business Reputation
3.Legal:
The role of enforcement agencies and consequences of non-compliance:
Enforcement in any government: The local authorities may send an inspector, under the Health & Safety
laws to shops, hotels, restaurants, garages, offices and residential homes.
The inspector has the right to:
• Enter premises at any reasonable time, accompanied by a police officer, if necessary.
• Examine, investigate and take samples and photographs.
• Seize, destroy or render harmless any substance or article.
Issue enforcement notices and initiate prosecution
There are two types of enforcement notices:
(1) Improvement Notice
(2) Prohibition Notice.
The inspector has the right to take any of the following actions:
Take no action
Give verbal advice
Give written advice
Formal caution
Serve an improvement notice
Serve a prohibition notice
Prosecute
Breach of H&S legislation is usually a criminal offence, leading to:
Formal enforcement action:
• Improvement notice
• Prohibition notice
Prosecution:
• Organisation may be fined.
• Individuals may be fined or imprisoned.
Compensation through the civil courts
4. DISCUSS THE SOCIETAL EXPECTATIONS OF GOOD STANDARDS OF
HEALTH & SAFETY.
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Note: Worldwide, there are variations in the level of implementation and enforcement of legislation dep
ending on:
Different standards & regulations in different countries
Different penalties in different regions
Cultural differences and the degree of reporting
Economic and Political status
Different laws and legislations
International Standards, Conventions and Sources of information for OHS:
The International Labor Organization ILO is affiliated to the UN, issued International
Labor Standards, including standards on OHS which are issued on the form of:
• Guidelines on OHS Managements systems ILO-OSH 2001
• Conventions; C155: OHS Convention 1981
• Recommendations; R164 OHS Recommendations
Occupational Safety & Health Administration OSHA in the US, under the Dept. of
Labor was founded in 1970 when the OSH Act was implemented. It is known for its rather prescriptive g
uidelines and Process Safety Management standard under the
Code of Federal Regulations 29. 1910.119
International Standards Organization ISO publishes international standards; ISO
12100-1: Safety of machinery, basic concepts, general principles for design, basic terminology and meth
odology 2003.
National Standards:
• BS OHSAS 18001: 2007 "Occupational Health & Safety Assessment Series" BSI
• HSG 65, 2003: "Successful Health & Safety Management Systems.
• European Union Agency for Safety & Health at Work & its directives.
Proposed External Sources of information on OHS:
National Safety Organizations e.g. IOSH Institution of Occupational Safety & Health
Professional Consultants and Consultancy bodies
Workers Unions & Governmental sources of laws & Regulations.
Suppliers and Manufacturers.
Internet:
a. The OSHA website: www.osha.gov
b. National Institute of Occupational Safety & Health USA: www.cdc.gov/niosh
c. The IOSH website: www.iosh.co.uk
d. The British Safety Council website: www.bscawards.org
e. The ILO website: www.ilo.org
f. The Health & Safety Executive UK website: www.hse.gov.uk
g. The European Agency for Safety & Health at Work: http://hwi.osha.europa.eu
Proposed Internal Sources of Information on OHS:
Policies & Internal Standards
OHS meeting minutes & recommendations
Audits/inspections' reports
Risk Registers & Risk Assessments
Incidents' records & accidents investigation reports
Element 2 health & safety management systems - PLAN
Key Learning Points:
On completion of this element, candidates should be able to demonstrate understanding of the content
through the application of knowledge to familiar and unfamiliar situations. In particular they should be a
ble to:
1. Outline the key elements of a health and safety management system.
2. Explain the purpose and importance of setting policy for health and safety.
3. Describe the key features and appropriate content of an effective health and safety policy.
Framework for OHS Management:
The key elements, which form the backbone of any OHS Management System, are very similar.
Whether set by OHSAS 18001: 2007, ILO – OSH.
Main elements of OHS Management System follows the PDCA cycle:
• Plan – what you’re going to do.
• Do – it!
• Check – that what you’re doing is working.
• Act – if what you’re doing isn’t working as well as it should.
Key Elements of ILO-OSH 2001
a. Policy.
b. Organising.
c. Planning and implementing.
d. Evaluation.
e. Action for improvement.
f. Audit.
Policy:
Clear statement of commitment to health and safety.
The typical policy consists of a "Statement of intent", "Organization" and "OHS Arrangements", along wit
h clear aims, objectives & targets.
Organising:
Roles and responsibilities for health and safety at all levels in the organisation.
OHS communication, competence, Commitment & promoting positive OHS culture.
Planning and implementing:
Detailed arrangements to manage H&S.
Risk assessments!
Implement safe system of work; PTW, LOTO. JSA
Develop arrangements to comply with national legislations & international standards.
Evaluation:
Methods to monitor and review the effectiveness of the arrangements.
Active (Proactive) monitoring; meeting annual objectives, legal compliance, planned preventive inspecti
ons and audits... etc.
Reactive monitoring: monitors failures to management controls; accidents investigations, incidents' stati
stics, lawsuits… etc.
Action for improvement:
Steps to correct issues found in the review.
Management system to be reviewed periodically (or under changing circumstances; legislations) to insur
e its existence, adequacy & effectiveness to deliver objectives.
Corrective, preventive actions & recommendations from Audits
Audit:
Independent, critical and systematic examination/review of the management system.
Qn. Outline the key elements of the ILO-OSH health and safety management system?
Outline the reason why the health and safety policy of two organizations might be different?
The OHS policy of an organization should reflect the particular circumstances of the individual organizati
on: the hazards and risks, the size and the complexity of the organization.
The policy must therefore be developed and tailored to fit the particular organization that it exists to ser
ve.
Reasons why an organization should have a written Policy
Legal compliance.
Meet management-systems standards (ILO-OSH 2001, OHSAS 18001).
Clear communication.
Continuous improvement.
Outline the importance of an organization’s health and safety policy.
The health and safety policy of an organization is an important document that sets out the organization’
s aims with regard to health and safety, who is responsible for achieving these aims, and how the aims a
re to be achieved (arrangements).
Qn. Outline the three key parts to a health and safety policy.
Key elements of a health and safety policy is usually found in three parts:
• Statement of Intent: What is going to be done?
• Organization: Who is going to do it?
• Arrangements: How they're going to do it.
General Statement of Intent
Setting overall aims and objectives.
Complying with law.
Achieving standards.
Reminds workers at all levels of their responsibilities.
Signed and dated by the most senior person.
Regular review.
Organization Section
Outlines the chain of command for health and safety management.
Identifies the roles and responsibilities of staff.
Usually includes an organizational chart relating to health and safety.
Shows lines of communication and feedback
Arrangements Section (two categories general and specific)
Describes how things are done.
Detailed description of policies and procedures.
Usually a long document.
Often separate from the policy document.
Unique to each organisation.
General Arrangements
Carrying out risk assessments.
Information, instruction and training.
Compliance monitoring, including auditing.
Accident and near-miss reporting, recording and investigation.
Consultation with workers.
Developing safe systems of work.
Welfare and first-aid provision.
Fire safety and prevention.
Emergency procedures.
Specific arrangements
Lone working.
Noise.
Vibration.
Hazardous substances.
Control of crowds.
Transport risks.
Waste disposal.
Some reasons for reviewing a health and safety policy:
Changes in key personnel e.g. the general manager or CEO.
Change in management structure.
Change in the company ownership.
Change in the work processes.
Change in technology.
Change in legislation.
After an incident e.g. an accident, near miss etc.
After receiving an enforcement action e.g. prohibition notice or improvement action.
After an audit of the health and safety management system.
After employee consultation.
Passage of time, e.g. annually.
Qn. Identify what type of targets might be referenced in the policy (and where)?
The Statement of Intent may also set targets for the organisation to achieve. Possible targets might relat
e 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, e.g. successful com
pletion of 90% of all supervisor safety inspections over a year.
Completion of key activities – such as the completion of risk assessments across the organisation
Delivery of training to all workers
Development of a consultation process to engage the workforce
Benchmarking against other organisations
Many reasons contribute to an ineffective HS Policy, among which we mention:
Policy not properly communicated to / not understood by the workforce.
Lack of leadership & commitment of top management.
Production or other business activities given priority over HS.
Minimal resources available to implement HS Policy.
No monitoring of objectives' achievement.
No proper training for management on leadership skills.
Lack of senior management involvement in HS.
Too much emphasis on rules for employees & little on senior management.
No clear organizational structure; role conflict.
Standards & Guidance relating to OHS Policy:
• OHSAS 18002: 2000 Guidelines for implementation of OHSAS 18001
• OHSAS 18001: 2007
• ILO-OSH 2001 Guidelines on Occupational Safety & Health Management
Systems, which states that, "The employer, in consultation with workers and their representatives, sh
ould set out in writing an OSH policy, which should be:
Specific to the organization and appropriate to its size and the nature of its activities;
Concise, clearly written, dated and made effective by the signature or endorsement of the employer or t
he most senior accountable person in the organization;
Communicated and readily accessible to all persons at their place of work;
Reviewed for continuing suitability; and
Made available to relevant external interested parties, as appropriate.
The OSH policy should include, as a minimum, the following key principles and objectives to which the
organization is committed:
Protecting the safety and health of all members of the organization by preventing work-related injuries,
ill health, diseases and incidents;
Complying with relevant OSH national laws and regulations, voluntary programs, collective agreements
on OSH and other requirements to which the organization subscribes;
Ensuring that workers and their representatives are consulted and encouraged to participate actively in
all elements of the OSH management system; and
Continually improving the performance of the OSH management system.
Element 3: Health & safety management systems - DO
Key Learning Points:
On completion of this element, candidates should be able to demonstrate understanding of the content
through the application of knowledge to familiar & unfamiliar situations. In particular they should be abl
e to:
a. Outline the health and safety roles and responsibilities of employers, managers, supervisors,
workers and other relevant parties.
b. Explain the concept of health and safety culture and its significance in the management of
health and safety in an organization.
c. Outline the human factors that influence behavior at work in a way that can affect health and
safety.
d. Explain how health and safety behavior at work can be improved.
e. Explain the principles and practice of risk assessment.
f. Explain the preventive and protective measures.
g. Identify key sources of health and safety information.
h. Explain what factors should be considered when developing and implementing a safe system of
work for general activities.
i. Explain the role and function of a permit-to-work system.
j. Outline the need for emergency procedures and the arrangements for contacting emergency
services.
k. Outline the requirements for, and effective provision of, first aid in the workplace
Planning is an integral part of all elements of an OH&S management system;
Effective planning is concerned with prevention through identifying, eliminating and controlling hazards
and risks.
Planning should be a collaborative effort involving individuals throughout the organization. This is a goo
d way of demonstrating and gaining commitment to continual improvement and promoting a positive h
ealth and safety culture.
The planning process should address the following key areas:
• Setting objectives
• Risk assessment and risk control
• Legal and other requirements
• OH&S management arrangements
A list of prospective objectives should be selected. These form the basis for decisions about improvemen
ts in an organization’s OH&S management system and in specific risk controls. Wherever possible objecti
ves should be SMART: Specific; Measurable; Achievable; Relevant; Timely.
Setting realistic and achievable goals helps a business in the following ways:
• Motivates workers by setting milestones to provide sense of achievement and recognition
• Helps stake holders make informed decisions
• Provides key performance indicators that help in measuring and evaluating performance
• Guides management on allocating resources needed for implementation
• Demonstrates top management commitment and boosts employee’s morale and productivity.
• What else?
Examples of HS targets/objectives:
• Reducing road traffic accidents by 20% by end of the year.
• 100% of employees to complete basic firefighting training by end of the current quarter of the
year.
• Achieving 10 OHS reports/stop cards per employee per month for the current year.
Organizational Health and Safety Roles and Responsibilities of:
1. Directors and senior managers
The main health and safety responsibilities of directors and senior managers are:
 Give an organization its direction in terms of health and safety.
 Set its health and safety priorities for the organization.
 Allocate adequate resources and appoint competent persons.
 Allocate health and safety responsibilities in an organization.
 Are responsible for ensuring that all of the legal requirements are met.
 To prepare and sign a health and safety policy and to set goals and objectives for the organization;
to lead by example and to demonstrate commitment;
 To allocate responsibilities for health and safety throughout the organization and
 To set aside sufficient resources such as for example for training those who have been allocated
special roles;
 To secure competent health and safety advice such as by appointing a Health and Safety Advisor;
 And to receive monitoring reports and instigate action to rectify any deficiencies that have been
found.
2. Supervisors
The main health and safety responsibilities of supervisors are:
 They should control work in their area of responsibility and set a good example.
 They should take part in carrying out risk assessments, in the development of consequent safe
systems of work and ensure that members of their teams are fully briefed on the systems once
they have been introduced.
 They should carry out inspections of their working areas and deal with any unsafe conditions or
actions, reporting to managers if in any situation they personally do not have the power to take
the necessary action.
 They finally have an important role to play in training, coaching and mentoring members of their
team.
3. Workers
The roles and responsibilities of workers include:
 Taking reasonable care of themselves and their fellow workers,
 Refraining from misusing equipment provided for their health and safety,
 Cooperating with their employer by following safe systems of work;
 And reporting accidents and unsafe situations to their supervisor or other nominated member of
management.
 They also have an important role to play in taking an active part in any consultation exercise set
up by the employer.
4. Person with primary health and safety functions, e.g. Health and Safety specialist.
The roles and responsibilities of health and safety specialists include:
 Providing advice and guidance on health and safety standards.
 Promoting a positive health and safety culture.
 Advising management on accident prevention.
 Developing and implementing health and safety policy.
 Overseeing the development of adequate risk assessments.
 Identifying health and safety training needs.
 Monitoring health and safety performance in an organisation.
 Overseeing accident-reporting and investigations.

5. Controllers of premises:
To ensure that there are no risks to the Health & Safety of people using the premises as a place of work?
People entering the premises to use machinery or equipment,
Access & egress from the premises,
And those using substances provided.
6. Self-employed:
Responsible of Health & Safety of themselves & others affected.
Need to carry out their own risk assessments.
Coordinate & cooperate with others working in the same premises.
7. Supply Chain (Suppliers, manufacturers & designers):
Have to ensure that items will be safe & free of risk to Health & Safety at all time: use, cleaning or maint
enance.
Should carry out any necessary testing & examination to ensure that it will be safe.
Provide adequate information (manuals, MSDS…etc.) about items' safe setting, use, cleaning, maintenan
ce & disposal.
It is a trend recently to involve the supplier in the design process which is a good practice to reduce the
number of suppliers and improve quality management.
Should take reasonable arrangements for continuous research & inform customers should any new serio
us risks are proven.
8. Contractors:
Employers are responsible for protecting people –including contractors & subcontractors- from harm ca
used by work activities.
Employees & contractors have to make sure not to endanger themselves, their colleagues or others affe
cted by their work activities.
Contractors have to comply with OHS laws & regulations.
Cooperation & coordination between contractors & employers is essential, to ensure all parties meet th
eir obligation in a safe manner.
Employees to be trained & clearly instructed in their duties & on matters of HS.
Joint Occupiers of Premises: where two or more employers share a workplace, both shall:
Communicate with on another Risks & Hazards related to each employer's scope of activity.
Cooperate to ensure effectiveness of OHS measure, procedures & controls.
Cooperate with one another to comply with legal requirements & work as a team.
The way that a client manages contractors can be broken down into four key areas:
Selecting the contractor.
Planning the work.
Co-ordinating the work.
Monitoring the work
Factors considered in the selection of a contractor
 Contractors should have a well-established & implemented HS management system.
 Top contractor management demonstrates commitment to HS.
 Contractors can prove competency of their personnel.
 Contractors are monitoring different KPI(s); accident rates, ill health data…etc.
 Have sufficient & suitable Risk Assessment & adequate control system in place.
 Contractors have a history & experience in the field.
 Contractor better to have an international certification of OHS e.g. OHSAS 18001: 2007.
 Provide method of statement for the project & demonstrate procedures for a safe system of
work.
  Contractor has to prove and show documented evidence of all of the above during tender.
 During the course of a certain project undertaken by a contractor, and till the end of the project,
the client has to:
 Provide adequate supervision to contractor's OHS performance.
 Monitor the contractor's performance; follow up on contractor's OHS reporting of incidents,
accidents' data & investigation reports, Sick leaves & ill health reports.
 Keep good OHS communication & get involved in the planning phase of the project.
 Ensure contractor's safe system of work & emergency procedures established & implemented.
 Continuously check on Risk Assessment records & dates of review.
 Review the contractor's OHS MS performance by conduction regular OHS
Information to be shared between client and contractor during the planning stage of the work:
Hazards posed by the site and work carried out.
Hazards posed by the contractor’s activities.
Risk assessments.
Method statements.
Definition of a health and safety Culture
The safety culture of an organisation is the shared attitudes, values, beliefs and behaviours relating to h
ealth and safety.
The health and safety culture of an organisation can be influenced by:
Management.
Communication.
Worker competence.
Co-operation.
Outline the relationship between HS culture and performance
In organisations with a positive safety culture:
Health and safety is important to everyone.
There is strong policy and leadership towards health and safety.
Managers and directors lead on safety and workers believe in it.
Health and safety performance is good:
People work safely.
There are fewer accidents and ill-health events.
In organisations with a negative safety culture:
Most feel safety isn’t important.
There is a lack of competence.
Safety is low priority.
Safety conscious workers are in minority.
Health and safety performance is poor:
There is a lack of attention to detail and procedure.
Lack of care and poor behaviour results in accidents.
Roles of HS Advisers: within the organization:
Must be competent; well trained, qualified, experienced with a positive attitude.
Must be able to advise management& employees with authority & independence; on creating & maintai
ning OHS MS, promoting OHS culture,
OHS planning & performance reviews & Audits.
Should keep up-to-date information systems on topics such as Labor law & know how to interpret the la
w as it applies to their own organization.
Contribute actively in developing & maintaining procedures to ensure reporting, investigating, recording
& analyzing accidents & incidents.
Responsible for professional standards & systems.
And outside the organization: Coordination with:
External Consultants & professional bodies.
HSE Authorities & Fire brigades.
Police & Ambulance.
Insurance companies & contractors.
Media & Public.
Clients, customers & suppliers.
Health and Safety Consultation with employees & their representatives: employer should consult on th
e following:
Risk Assessments & any information about the control measures.
Planning & organization for OHS training.
Introduction of new technologies, equipment or methodologies & the effects on employees.
Arrangements when appointing competent personnel to assist in complying with OHS laws & internation
al Regulations.
Any of the OHS issues which seem of importance to the employees or their safety Representatives.
While Consultation is an interactive process where workers provide feedback & reflect on information re
ceived by employers, "Informing" is more about one way method where employees receive information f
rom employers.
Employers need to consider confidentiality & security issues while consulting, not to disclose sensitive in
formation or documents.
• If the culture is one where safety is valued as much as production then safety performance is
likely to be better.
• If the norms of the company are that the workforce is involved in the decision-making about
safety issues then this will also have a positive impact on safety performance.
• On the other hand, if the culture of the company is one which supports the belief that accidents
are always the fault of negligent individuals, then it is unlikely that management will examine its
own role and take positive responsibility for accident prevention.
Components of a positive Health and Safety culture:
Leadership & Commitment to Health & Safety at all organizational levels.
High standards of HS are achievable as a part of a long term strategy.
Risk Assessments & Adequate controls.
A proper HS Policy.
Relevant HS training program, communication & consultation.
Prompt Investigation of all incidents & follow up on corrective actions.
Indications of a poor HS Culture:
High Staff turnover & lower staff morale.
Perception of a blame culture.
No adequate HS resources.
High accidents rate, Ill health reports and sick leaves.
Poor levels of communication, cooperation & control.
Higher insurance premiums
Poor HS competency levels.
Weak HS management structure.
One of the good indicators of a Health and Safety culture is the Incident rate:
Factors promoting a negative OHS culture:
Lack of leadership from management towards health and safety.
Presence of a blame culture within the organisation.
Lack of management commitment to safety.
Health and safety given a lower priority than other issues.
Organisational changes.
High staff turnover rates.
Lack of resources, e.g. too few workers, low investment.
Lack of worker consultation.
Interpersonal issues, e.g. peer-group pressure, bullying.
Poor management systems and procedures.
External influences, e.g. economic climate.
Lack of employee motivation
Unrealistic working procedures
Lack of management commitment
Peer group pressure
Lack of info, training & consultation
Job insecurity
Internal Influences on HS: External Influences on HS:
Management Commitment Economics & trade unions
Production/service demands Insurance companies
Communication & Competence Legislation & Enforcement
Employee’s representation
Societal expectations

Factors influencing safety related behaviour

Three significant factors influence worker behaviour:
The individual: The job: The organisation:
Personal characteristics. Nature of the job. Characteristics of the business.
Attitude. Task. Safety culture of the organisation.
Competence. Workload. Policies and procedures.
Motivation. Environment. Commitment and leadership from management.
Risk perception. Displays and controls. Levels of supervision.
Procedures. Peer-group pressure.
Consultation and worker involvement.
Communication.
Training.
Work patterns.

Attitude:
A person’s point of view, or way of looking at something; how they think and feel about it.
How to change a person’s attitude
Education and training.
High-impact intervention ("aversion therapy").
Enforcement.
Consultation.
Outline the meaning of term “COMPETENCE”
A combination of: Knowledge. Ability. Training. Experience. (KATE)
A competent person isn’t just one who is trained nor is it someone who has been there a long time!
Motivation:
A person’s drive towards a goal; what makes them do what they do.
Particular care needed with the use of financial incentives!
Perception – the way a person interprets information detected by their senses i.e. Sight, Hearing, Smell,
Taste, and Touch.

Factors that can affect perception of hazards and risk include:

The nature of the hazard
Previous experience
Familiarity with the situation
Memory; affected by experience & training.
The level & nature of training
Peer group influences
Confidence in others’ abilities & judgments
Age, attitude and sensory impairment
Illness.
Stress.
Fatigue.
Drugs and alcohol.
How to improve someone’s perception
Understand why hazards are not noticed by talking to workers.
Awareness campaigns/training.
Highlight hazards, e.g. signs.
Ensure adequate lighting is available.
Reduce distractions, e.g. noise.
Avoid excessive fatigue.
Motivation: the driving force behind the way a person acts.
Suggest reasons why two people may perceive hazards differently.
Sensory impairment/disability, senses impaired by PPE or background noise, etc., illness, stress, fatigue,
drugs/alcohol, previous experience, training and education.
Aptitude: Natural predisposition towards a specific ability.
Human Failures:
Errors (unintentional deviation from an accepted standard) &
Violations (deliberate deviation from the standard).
Errors:
• Slips & Lapse; memory problems, lack of attention or concentration.
• Mistakes: Rule based; incorrect application of rules. Knowledge based.
Violations:
• Routine,
• Situational &
• Exceptional.
How to reduce Human Failures:
Carefully assess & control workplace stressors; noise, poor light, climate…etc.
Reduce any organizational stressors.
Ensure staff competency.
Ensure supervision & giving clear information & work instructions/procedures.
Clear roles & responsibilities.
Prohibition of substance abuse.
Reduce monotonous work & fatigue.
The Motivation ABCs:
ACTIVATOR; time pressure, need for money, weather, supervisor, policies, standards…etc. [activators te
nd to direct behavior]
BEHAVIOR
CONSEQUENCE; rewards, supervisor approval, get done early, fit in with peer group… etc. [consequence
s tend to motivate a behavior]
The age & experience affect the way a human behaves; young employees usually lack experience & are
not fully developed, can be easily excited & affected by peer group pressure & are more vulnerable, alth
ough, they're more creative.
Elderly groups are more experienced, in control, but less creative and unable to fit into new technologie
s; sometimes causes knowledge based errors due to applying outdated knowledge.
At times, human beings are easily affected by peer group pressure (the herd effect); hence, promoting n
orms & values that in line with a positive OHS culture is crucial.
Employees need to be positively involved in OHS; in risk assessments, OHS training, loss prevention mee
tings, reporting, encourage new improvement ideas & contribute in accidents' investigation.
Factors affecting Cultural Change:
Senior Management commitment to OHS.
Promoting & positively enforcing Safe Human Behavior.
Motivation, Training & competence.
Promotion of risk perception & communication.
Effective internal standards & procedures.
Value OHS as much as Production.
Positive observation/intervention.
Providing adequate resources to OHS.
No blame culture while reinforcing Accountability concept at all organizational levels.
NOTE: Competency is known to be about skills, knowledge, attitude experience and proper training. Trai
ning develops the skills & provides knowledge needed for the job, thus, increases human reliability & re
duces the chance for human failure.
Health and Safety Training:
This is the planned, formal process of acquiring and practicing knowledge and skills in a relatively safe en
vironment.
Training is a key component of competence
Identifying training needs.
Setting training Objectives.
Assessing trainees.
Planning training program;
Decide proper delivery method.
Assessing trainees.
Evaluation of the training program.
Monitoring feedback on workplace.
When is Health and Safety Training needed in an organisation?
As induction Training; to new employees; includes company' policy, arrangements, summary of the MS,
employees HS role & responsibilities, reporting procedures and local risks/hazards & controls & First Aid
basics.
Job-related Training; workshop safety for mechanics, ergonomics & DSE for office employees, working a
t heights, Hazardous Materials handling… etc.
Supervisory, management & communication skills training; for employees being promoted to team lea
ders or managers.
Specialist Training; fire prevention, forklift driving, scaffolds inspection & mechanical lifting…etc.
Refresher Training; some training sessions expire & needs a refresher training e.g. First Aid & defensive
driving.
Additional Training; in case of introduction of new technologies, changes in legislations & regulations, a
udit recommendations… etc.
Training Opportunities: When is it necessary to Train?
Induction training − For new employees.

Job change − New hazards following a change in job.

Process change − New hazards associated with new ways of working.

New technology − New hazards associated with plant and machinery.

New legislation − Implications of the new legislation.

Factors considered when making a Training Needs Analysis (TNA)

The type and function of the organisation
The hazard and risk profile of the organisation – for example, if woodworking machinery is used, training
in its safe use should be provided.
The accident history of the organisation may indicate that there are areas where awareness is lacking or
training is needed
There may be statutory training requirements, e.g. for first-aiders, which need to be fulfilled.
The level of training previously provided, together with the detail of which employees have been trained
and when.
Post training activities include
1. Maintain training records:
 Who attended which sessions and
 When was the session attended?
2. Carry out evaluation of effectiveness of the training, look for indicators such as:
 Reduced incidents.
 Increased awareness.
 Improved compliance with rules.
Topics to be covered in a health and safety induction training session
 Health and safety policy of the organisation.
 Site or company emergency procedures.
 First aid procedures and location.
 Location availability of welfare facilities.
 Safe movement around the site.
 Accident and incident-reporting procedures.
 Consultation arrangements.
 Health and safety rules.
 Personal protective equipment use and issue.
 Safe systems of work e.g. permits.
 Risk assessment system.
What is the difference between “consulting” and “informing”?
Consulting - the two-way exchange of information and opinion between the employer and workers so th
at the best course of action can be agreed. This implies that the employer listens to the concerns of his
workers and changes his plans as necessary. True consultation therefore provides an opportunity for wo
rkers to feed back to management on their feelings and opinions on health and safety matters.
Informing - providing information to workers in a form that they can understand and then checking that
the information has been understood. The information flow is one-way and the employer does not have
to take any notice of feedback.
How can directors/managers demonstrate their commitment to health and safety?
Behaving safely.
Involvement in the day-to-day management of health and safety, e.g. by attending safety meetings.
Taking part in safety tours or audits.
Promoting changes to improve health and safety.
Enforcing the company safety rules.
Effective HS Communication; Communication can be Verbal, Written, Graphic
Methods of OHS communications can include:
Standards / codes of practice
Work instruction & Standard Operating Procedures
Posters & notices & OHS Library.
Emails & faxes & Video conferences/online meetings.
The safety policy
Induction & other training
Videos, Interactive Presentations & OHS Games.
Safety committee meeting
HSE representatives
Memos & Meeting minutes communication
Toolbox meetings & Briefings.
Limitations leading to ineffective communication:
The meeting place might be overcrowded, too cold, too hot, inadequately ventilated, and poor lighting, t
oo big… etc.
The presenter might be talking very fast, having problems pronouncing specific letters, is not reflecting o
n his audience, speaking in a monotonous manner, very low voice… etc.
The material presented might be irrelevant, full of technical terminology, too long, complex, boring, no v
isual aids, no means of interaction.
The language of communication might be a critical barrier.
PPE might interfere with understanding so as sensory impairment, lack of experience or lack of motivati
on of the receiver.
It's always a good practice to know your audience prior to giving any training session or conducting any
HS meeting.
HS Committees: to discuss, share experience & provide recommendations on HS issues at different orga
nizational levels.
Effective HS committee meetings
Brainstorm HS issues in a Proactive manner.
Encourage Lateral Thinking.
Respect Commitment of Management.
Selected diversity of members.
Good communication & control of communication barriers.
Meeting minutes to be recorded & communicated.
Recommendations & corrective actions to be considered & followed up by Management.
Ineffective HS committee meetings
Infrequent meetings.
Lack of commitment & Respect of management.
No OHS Advisors attending
No recommendations or poor follow up on corrective actions.
Lack of authority to make decisions.
No diversity of members.
No minutes produced or recorded.
Language problems or other communication barriers (see above).
Outline the meaning of the term reasonable practicability
This is the balance between cost and risk of harm where cost is time, effort and money.
It’s the main basis of a risk assessment.
Categories of hazards around the workplace
• Physical: E.g. electricity, noise, vibration, radiation, machinery.
• Chemical: E.g. mercury, solvents, carbon monoxide.
• Biological: E.g. viruses, bacteria, fungi.
• Ergonomic: E.g. manual handling, repetitive tasks.
• Psychological: E.g. stress, violence.
Outline the main objective of a risk assessment
The main objective of a risk assessment is to prevent death and personal injury; other types of loss incid
ent; breaches of statute law, which might lead to enforcement action and/or prosecution; the direct and
indirect costs that follow on from accidents.
Risk assessors may include:
Competent people:
Training, knowledge, experience and ability.
Team approach is very good and the following should be on the team:
Employees familiar with tasks.
Health and Safety practitioners/specialists.
Technical specialists.
Line managers and supervisors.
Worker safety representatives.
A suitable and sufficient risk assessment should have:
State the name/competence of the risk assessor.
Identify significant hazards and risks.
Identify persons at risk and state how they are at risk.
Workers and others, e.g. visitors and vulnerable.
Evaluate effectiveness of existing controls and identify additional controls where necessary.
Enable employer to prioritise controls.
Record significant findings.
Appropriate to nature of work.
Proportionate to risks.
State validity period.

Five steps of a risk assessment

1. Identify the hazards
2. Identify the people at harm and how
 3. Evaluate the existing controls and identify additional controls
4. Record the significant findings
5. Review the risk assessment
The difference between Qualitative and Quantitative risk assessments
Qualitative Risk Assessments is where a judgment is made as to whether the risk level is high, medium o
r low in the terms of the risk of somebody being injured.
Quantitative & Semi-quantitative Risk Assessments: attempts to quantify the risk level in terms of numer
ical values of the likelihood & the severity of an incident, resulting in risk ranking.
Qualitative risk assessment (based on opinion) uses words to describe likelihood and severity, e.g. high,
medium, and low.
Semi-Quantitative risk assessment uses words and numbers to describe likelihood and severity.
The assessment of risk is the most important aspect of a safety management system.
By performing risk assessments valuable information can be obtained to assist planning & the formati
on of procedures, policies and strategies for:
1. Changing or modifying dangerous or unsafe working practices.
2. The suitability and effectiveness of current control measures (supervision, machinery guarding,
personal protective equipment, etc.)
3. Identifying groups at risk (members of staff, contractors, visitors, etc.)
4. Identifying specific hazards that may need specialist assistance (hazardous substances, asbestos,
radiation, etc.)
5. Current and future training needs
Legal & Other Requirements:
It is worth noting that risk assessments are the first piece of 'evidence' sought in the event of an acciden
t investigation.
Many prosecutions been made on the basis that a risk assessment has been not been made or has been
insufficient.
It's a Legal Requirement to have written, updated, sufficient & suitable Risk
Assessments for all work activities; routine & non routine.
Requirement of BS OHSAS 18001: 2007 (4.3.1 Hazard identification, risk assessment and determining co
ntrols).
Risk Assessments have to be Suitable & Sufficient:
 All aspects of work activity to be considered; Routine and Non Routine operations.
 Identify significant hazards and risks.
 Evaluate the risks.
 Identify control measures in place and planned / prevention and mitigation.
 Consider risks to public.
 Ensure the risk assessment is regularly reviewed.
Risk Assessments to be done by:
Team with experience and training in hazard identification and risk assessment.
Knowledge of the process or activity.
Good communication and reporting skills.
Ability to interpret legislation and guidance.
Attention to detail.
Managerial influence to implement change.
1. Identify the hazards:
HS Inspection Checklist
Close Observation of tasks
Accident, ill health or near miss data.
Job safety analysis.
Legal standards.
Guidance; ILO, OSHA, ISO, HSE... etc.
Consultation

2. Identify who/what might be harmed & How:

• All Employees
• Visitors & Public.
• Contractors.
• Cleaning & Catering Staff.
• Trainees & Vulnerable groups; Pregnant/nursing women, young workers, disabled & lone
workers.
There are numerous ways in which a person can be harmed at work; Electrocuted, fall from a height, get
sick, poisoned, burned, cut, stressed… etc.
3. Risk Evaluation/Estimation:
A. Probability or Likelihood of Incident Occurring:
1. 1 Highly Unlikely
2. 2 Reasonably Likely
3. 3 Even Chance
4. 4 Highly Likely
5. 5 Almost Certain
B. Consequences or Severity of Harm
1. Minor Injury: Cuts and abrasions, minor skin or eye irritations, etc.
2. Injury requiring first aid: Any injury that requires first aid.
3. Injury or industrial disease requiring medical treatment: Deep wounds, fractures, scalds, burns, eye
injuries, respiratory infections, temporary blindness or hearing loss, etc.
4. Serious injury or long term medical effects (industrial disease): Loss of fingers, toes, damage to
eyes, serious medical effects.
5. Major Injury or Fatality: Loss of limbs, sight, hearing, long term illness or death.
• Potential Risk: The original risk with no control measures in place.
• Residual Risk: The remaining risk after all adequate, actual and planned control measures.
Risk Assessments should be then used to decide control measures in order to control the risk to an accept
able level; As Low As Reasonably Practicable (ALARP). Levels of
Tolerability & acceptance of risk varies widely between organizations according to size, policies & legal li
abilities.
Risk based Prioritization: High-risk activities require immediate action, while low risk activities might be
allowed some time as long as there is no imminent danger.
Hierarchy of controls:
• Elimination; get rid of the hazard altogether – if possible.
• Substitution; replace a hazard with something less hazardous e.g. lead free flux.
• Engineering controls / Isolation; Machine guarding, Sound proof control rooms… etc.
• Administrative controls; Job rotation, Training, Work Instructions, Supervision, Information, Safe
System of Work, Emergency preparedness, Signs, Good House keeping
• Personal Protective Equipment; last line of defense.
Prevention controls: Proactive control measures which help prevent accidents before happening e.g. Tr
aining, Supervision… etc.
Mitigation controls: Control measures which help in reducing the severity & consequences of accidents
after occurrence e.g. PPE, Fire Extinguishers… etc.
4. Why record risk assessments?
Accident Investigation.
Future reference.
Audits.
Duty of care / Legal requirements.
5. Review Risk Assessments in case of:
Significant change in: Process, substances, equipment, workplace environment, personnel, law.
After Audits.
New Activities
New info available / new technologies.
If it is no longer valid e.g. after an accident, near-miss, ill health.
Periodically, e.g. annually & If It is no longer valid.
 Special Cases of Risk Assessments
Pregnant/Nursing Females: Need special Risk Assessment:
Pregnant women cannot deal with manual handling, chemicals, biohazards, and physical risks.
Require special working conditions; comfortable place of work, rest rooms, no stress and no lone workin
g, less working hours… etc.
Employers should give pregnant women a paid leave or find them a best alternative risk free job till they
get back to being capable of doing their routine job.
Employers need to consider that pregnant women will be increasing in size, using toilets more frequentl
y, will have morning sickness, will have mood swings, get easily irritated and tired etc.
Young Workers: Need special Risk Assessment:
More likely to be easily exited & take Risks.
Lack of experience & Knowledge.
Affected by peer group pressure.
Not yet physically fully developed.
More vulnerable to radiation & carcinogens… etc.
They need more training, more supervision & continuous communication.
Disabled Workers: Need special Risk Assessment:
Cannot respond normally in emergencies & evacuations.
Lack ability to access welfare facilities.
Should be located on ground floors, with special exits & entrances.
Need special ergonomics' considerations, in their work place.
Need continuous consultation & to be considered in any Management system Reviews.
Elderly Employees: In organizations that hire very old employees:
Weaker bones; easily to get broken.
Weaker eyesight & hearing; affects the perception of depth, sounds & such.
Over confidence & Over familiarization with some tasks.
Using out dated methods to perform tasks can lead to errors.
Incapable of adapting to new technologies & new theories.
Lower Immunity; more vulnerable to diseases & heart attacks.
Weaker physical capabilities; should be eliminated from high-risk tasks.
What about Lone workers?
All Vulnerable groups are to be taken into account when performing & reviewing
Risk Assessments, & proper control measures to be taken.
Residual, Acceptable and Tolerable Risk
If risk is unacceptable, more action is needed.
If risk is lower, it may be tolerable for a short period of time.
If risk is acceptable, the risk is adequately controlled.
General Principles of Prevention
 a. Avoid Risk: stop doing the task, using different processes or eliminate the hazard altogether if
possible.
b. Evaluate Risks that cannot be avoided: Carry out Risk Assessment.
c. Combat Risk at Source: Remove the cause rather than providing protection e.g. using Local
Exhaust Ventilation systems instead of providing PPE.
d. Adapting the work to the individual: Consult affected employees to improve design of
workplace, work equipment, working hours & patterns.
e. Adapting to technical progress: it is crucial to take advantage of new technologies & stay
updated to reduce risk to humans, save time & effort.
f. Replace the dangerous by non-dangerous or the less dangerous: using less hazardous
substances e.g. using water based solvent instead of solvent based.
g. Develop a coherent overall prevention Policy: OHS policy should be prepared & applied by
reference to factors relation to the working environment, technologies, social relations &
organization of work… etc.
h. Giving collective protective measures priority over individual protective measures: Provision of
a safe place of work, with hazard control at the source to protect all employees rather than
providing individual PPE.
i. Giving appropriate instructions, Training & provide supervision to employees: ensure
employees' awareness of the company's safety procedures, good practice, legal requirements,
work instructions & safe systems of work… etc.
General Hierarchy of Control:
There is a preferred method of controlling risk known as the hierarchy of risk control.
a) Elimination: Eliminate the hazard/risk altogether or stop doing a specific high-risk task – if
possible.
b) Substitution: use less hazardous method to perform a task or use a less hazardous substances
e.g. use non-breakable glass.
c) Engineering controls / Isolation: control risk by means of design, adding physical barriers, guards,
isolate worker from the hazard/risk e.g. use of glove boxes… etc.
d) Administrative controls: Reduce time of exposure, Job rotation, Signs, Emergency Response Plan,
supervision, Housekeeping, Provision of safe system of work; Permit to Work, Job Safety Analysis,
Changing work methods or patterns, provision of adequate work instructions… etc.
e) Training & Information: Induction HS Training, basic First Aid, Refresher training & Job related HS
training… etc.
f) Welfare Facilities: Good air quality, Comfortable working environment, Provision of drinking
water, rest rooms, bathrooms, first aid stations, restaurants, coffee stations & washing
facilities…etc.
g) Personal Protective Equipment PPE: last line of defense.
Benefits of PPE Limitations of PPE
 Can be the only practical way during Em Only protects the person using it.
ergency evacuation or rescue. It does not control hazard at source.
Can be used in confined spaces where o Must be used properly; can be uncomfortable or not fittin
ther alternatives are not practical. g, need proper training & instructions.
Can be portable, easy to use Must be taken care of; regularly inspected, cleaned, store
Disposable PPE reduce chance of infecti d properly, reported & replaced when needed.
on. Might interfere with sensory input e.g. Ear protection mig
Interim control. ht reduce hearing which increases risk in cases of emergen
Some hazards – only control option. cy alarms or warning horns.
Emergency back-up. Doesn’t remove the hazard.
Cheap (short-term). May increase overall risk.
Immediate protection. Incompatibility.
Unpopular, so often unworn.
Not good if wrongly selected.
Might get contamination and it is expensive in long-term.
Requirements: the employer must ensure that suitable PPE is provided:
• Appropriate for the risks involved.
• Take into account ergonomic requirements & state of health.
• Be capable of fitting the wearer.
The employees are required to:
• Use any PPE provided according to instructions & training.
• Ensure PPE returned to accommodation provided after use.
• Report to employer any loss of or obvious defect in PPE.
Sources of Information
Internal sources of information External sources of information
Accident records. National legislation.
Medical records. Safety data sheets.
Risk assessments. Codes of practice.
Maintenance reports. Guidance notes.
Safety inspections. Operating instructions.
Audit reports. Trade associations.
Safety-committee minutes. Safety publications.

Safe Systems of Work

Written procedures:
Ensure consistency.
Provide a basis for training.
Establish a standard (can be checked).
Provide a written record for incident investigations/regulatory inspections.
Can be in many forms:
Checklists.
Short notes.
Detailed manuals.
SSWs require the integration of controls: Technical, Procedural and Behavioural
Technical: • Safe systems of work Behavioural:
Equipment and • Policy and standards Awareness, knowledge,
Procedural: • Rules skill, competence
engineered solutions. • Procedures • Attitude, perception,
• Access/egress • Permit-to-work motivation,
• Materials • Authorisation and coordination of actions communication
• Environment • Purchasing controls • Supervision
• Correct PPE • Accident investigation and analysis • Health surveillance
• Emergency preparedness • Training in the issue of PPE
• Procedures in the issue, use and
maintenance of PPE
Developing SSoW we follow PEME
People – competence, ability.
Equipment – plant, equipment, PPE.
Materials – substances, articles, waste.
Environment – space, lighting, heating.
Analysing the task
Hazard identification and risk assessment
Introducing controls and formulating procedures
Instruction and training in the operation of the system
Monitoring the system
Job Task/Hazard/Safety Analysis or Safe system of work
 Select the task.
 Record the stages of the task.
 Evaluate risks associated with each stage.
 Develop the safe working method.
 Implement the safe working method.
 Monitor to ensure effectiveness.
Method for doing a job in a safe way, it takes account of all foreseeable hazards to
HS & seeks to eliminate or minimize these. Safe systems of work are formal & documented.
 Employer is required by law to provide safe system of work and safe plant-
Role of competent Persons in the development of safe systems:
• Should advise management on the adequacy of the safe system of work.
• Assist managers to draw up guidelines for safe systems of work.
• Should knowledgeable of the hazards & risks of all work activities.
• Communicate findings with workforce.
 The safe system of work should be based on a thorough analysis of the job to be carried out e.g. Job
Safety Analysis.
 Results of this analysis are then used to draw up safe operating procedures.
 Workers are to be involved & consulted; they are the operators & the experts, they will be facing the
real risk, hence, those are the best people to help with the development of safe system of work.
 Safe systems of work need to be written & documented in an easy to read format, integrated into
SOP(s) & signed by relevant managers to indicate approval, this is so that:
• The need for operators & supervisors to refer to separate manuals is minimized.
• Health & Safety are perceived as an integral part of normal production procedures.
 Safe system of work needs to be communicated to the work force.
 Adequate training should be given to make sure Safe systems of work is understood not only by
those directly involved in the doing the job but also to supervisors & mangers.
 Training might include: Need for safe system of work, hazards involved, precautions; isolation, lock
out tag out, permit to work, PPE & emergency procedures… etc.
 Safe Systems of work should be monitored to ensure they’re effective in practice, this involves:
• Inspection to identify how fully they are implemented.
 • Reviewing the systems themselves, to ensure they stay up-to-date.
• Monitoring of implementation is a part of line managers' responsibilities.
All organizations must ensure their safe system of work is reviewed as appropriate.
When preparing a safe system of work, the following need to be considered:
 Identify the task to be done & break it down to steps.
 Identify potential hazards & carry out a sufficient & suitable Risk assessment.
 Personnel involved in the task & their competence; proper Training, knowledge & experience..
 Specific available work instructions or SOP(s)
 The supervisor & scope of responsibility.
 Any special tools, equipment or PPE.
 Precautions needed: Isolation, Lock out tag out (LOTO)… etc.
 Permit-To-Work if required.
 Informing other involved or affected departments.
 Communication of personnel involved.
 Emergency plans & arrangements.
 Planned precautions should account for all foreseeable risks & checked if more controls are
needed.
 Assess the environment; lighting, air quality, weather, pressure, vibration, working surface… etc.
 Documentation, review & monitor safe systems of work.
 Involving employees & managers & consultation.
Permits – To – Work
A formal, documented safety procedure, forming part of a safe system of work.
Typical applications:
Hot work (involving naked flames or creation of ignition sources).
High-voltage electrical systems.
Confined-space entry.
Operational pipelines.
Excavation near buried services.
Complex machinery.
Working at height.
The PTW is issued before conducting any hazardous work and it:
Defines the scope of the work to be done.
Identifies hazards and assesses risk.
Establishes control measures to prevent and mitigate risks.
Links the work to other associated work permits.
Is authorized by responsible person(s).
Communicates above to all involved in the work.
Ensures adequate control over a return to normal operation.
PTW consists of 4 elements/parts:
1. Issue.
2. Receipt.
3. Clearance/return to service.
4. Cancellation.
There may also be an extension
 1. Issue – Pre-Job Checks 2. Receipt – handover of permit:
Description of work to be carried out. Competent and authorised person issues permit
Description of plant and location. to workers; workers sign to say they accept contr
Identify hazards and assess risks. ols.
Identification of controls. Work can now start:
Additional permits, e.g. hot work. Plant/work area is now under the control of the
Isolation of services. workers.
PPE.
Emergency procedures.
3. Clearance – return to service: 4. Cancellation:
Workers sign to say they have left the workplace Authorised person accepts plant back and can re
in safe condition, work is complete and operatio move isolations, etc. Cancels permit.
ns can resume. Plant is now returned to the control of the “site”.

Caution:
a) A good permit system is only as good as the persons using it. To work effectively:
b) Only authorised persons should issue permits.
c) Permit issuers must be familiar with the hazards of the workplace and the job to be carried out.
d) Precautions must be checked before permits are authorised (no issuing of permits from the desk!).
e) Permits must never be amended.
f) All permit conditions must be adhered to
g) Staff must be trained and competent
h) The system must be monitored to ensure that it is effective
i) The PTW system must be appropriate for the nature of the business e.g. a bakery may require a
less complex system than an oil rig
j) Sufficient time must be allowed to ensure permits are issued correctly, and staff trained to
appreciate this. Contractors, for example, may become stressed if the process is time-consuming,
but must appreciate that they are required to adhere to the system.
Below are the main types of Permit & the work to be covered by each
General Permit: other than HOT work such as:
Work at Heights / Roof work
Work near overhead cranes
Repairing railway tracks
Work with Asbestos
Work on pipelines with hazardous materials
Excavation… etc.
Confined Space Permit: Confined space can be defined as:
"Area with limited access or egress, not designed for continuous human occupancy & in which there is a
Risk of injury due to fire, explosion, overcome by gas, fumes, and vapours, lack of Oxygen, drowned, or o
vercome due to high temperature… etc."
Controls & Precautions for confined space entry: Safe system for confined space work
 • Avoid work in a confined space if possible. • Supervision.
• Carry out a risk assessment. • Competency.
• Have emergency and first aid arrangements in place • Communication.
before the work begins. • Atmospheric testing/monitoring.
• Trained personnel. • Ventilation.
• Develop and follow a Safe System of Work & Issue a PTW • Removal of residues.
• Carry out proper analysis of the task & Risk Evaluation • Isolation, lock off of in-feeds and
• Assign a competent supervisor & Conduct a Safety out-feeds.
briefing • Isolation, lock off of
• Isolate energy & check air quality electrical/mechanical hazards.
• Provide adequate ventilation & Gas Purging • PPE.
• Provide adequate tools & PPE • Access/egress.
• Arrange for adequate communication • Fire prevention.
• Minimize the working time & regularly test air quality • Lighting.
• Suitability of individuals.
• Emergency/rescue procedures.

Hot Work Permit:

a) Hot Work is potentially hazardous as a source of ignition in any plant in which flammable materials
are handled.
b) Hot Work includes cutting, welding, brazing, soldering & any process involving the application of a
naked flame.
c) Hot Work should therefore be done under the terms of a Hot Work Permit & a Safe System of Work
is followed.
Hot-Work Controls
Remove flammable materials.
Ensure the provision of fire-retardant blankets/screens.
Ensure the floor is swept of debris.
Ensure floors damped down, if necessary.
Fire extinguishers at hand.
Ensure a “Fire-watcher” present.
Post-work checks to ensure no smouldering embers.
Work on High Voltage apparatus: work on voltage over 600 volts is very high risk:
Work must be justified that it’s not possible to work dead.
Must ensure that all the necessary precautions are in place.
Ensure all the workers to carry out the job are competent.
• Fatal electric shock/burns.
• Electric Fires/Explosions
• Safe System of work must be followed, PTW issued.

Machinery Maintenance
Work is carefully planned and controlled: It may involve several people working.
Ensure all the hazards are communicated.
Services e.g. water and electricity are isolated and locked off.
Stored energy is released before work commences.
Workers are competent.
Lone Workers: people working by themselves without close or direct supervision, they need specific saf
ety procedures:

Lone working examples

Maintenance workers.
Service engineers, e.g. gas, appliance.
Garage forecourt attendants.
Trainers/tutors.
Security guards.
Receptionists (sometimes).
Social workers/careers.
Health visitors/district nurses.
Painters/decorators.
Sales representatives (on the road).
Safe system for lone working
No lone working for high-risk activities, e.g. confined spaces.
Remote supervision.
Logging workers’ locations.
Lone-worker alarm systems.
Procedures for lone workers.
Training for workers.
Special arrangements for First Aid & Emergencies
Reliable means communication e.g. mobile phones or radios.
Frequent visits by supervisors
Follow up with the lone worker till he returns back safe to base
Automatic warning devices & alarms
Always follow a Safe system of work / JSA & carry out Risk Assessment
Emergency procedures & arrangements
FIRE: the employer has to develop, communicate & implement a fire emergency response plan addressi
ng at least the following:
Action to be taken on discovering fire.
Method of operating the fire alarm.
Arrangements for calling fire brigade.
Emergency shutdown procedures.
First-stage firefighting by employees.
Evacuation of the premises.
Assembly of staff, customers & visitors; roll call account for everyone on premises.
Fire plan has to be well understood, communicated, practiced & posted in every office
& room.
Proper Emergency response training, alarm testing & fire drills need to be conducted frequently, monito
red & reviewed.
Emergency procedures
The organisation needs to arrange:
•
• Procedures to be followed.
• Suitable emergency equipment.
• Responsible staff.
• Training and information needs.
• Drills and exercises.
1. Procedures to be followed: in the event of a fire, for example, normal practice is for workers to exit
the building using the signed escape routes and assemble at a designated place. In the event of a
bomb threat the procedure is often the exact opposite: to go to a room inside the building away
from windows and external walls.
2. Provision of suitable equipment: if there is a chemical spill, for example, absorbent granules or
booms might be used to contain the spill and PPE used to prevent harm to those involved in the
containment operation. In the event of a release of toxic gas, respiratory protective equipment may
be needed.
3. Nomination of responsible staff: in a fire situation there is likely to be a need for fire wardens or
marshals, who walk through the building to check that everyone is aware of the fire evacuation; a
fire team may also be required, whose job will be to check the area where the fire is suspected to
be.
4. Provision of training and information: workers will only know what to do when these various
emergencies occur if they have been provided with information and training. Any nominated
individuals will require additional training on their roles in the emergency and on the safe handling
of any equipment (e.g. PPE) that they might have 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.
5. Drills and exercises: emergency procedures should be practised to ensure that people are familiar
with the actions they might be expected to take. In this way, people’s responses become automatic.
For example, fire-evacuation drill should be conducted routinely in all workplaces and multiple-
casualty accident exercises should be practised if they are a foreseeable event.
FIRST AID:
Employers are required to provide adequate & appropriate equipment, facilities & personnel to enable Fi
rst Aid to be given to employees if they are injured or become ill at work.
A suitably stocked First Aid box & an appointed person to take charge of First Aid arrangements are the
minimum First Aid provision on any worksite.
Basic principle of first aid is to keep the injured person alive until professional medical assistance arrives,
sometimes called 'The 3 Ps':
• Preserve life.
• Prevent deterioration.
• Promote recovery.
• Also provide treatment for minor injuries.
First Aid Box: should not contain any medications or tablets, quantities & contents depend on the needs
of the organization; Medical Adhesive plasters, Sterile eye pads,
Elastic Bandages, Wound dressings, Pairs of examination gloves, eye wash bottles, burn jell… etc.
Trained personnel for first aid include:
1. First aider – full training.
2. Appointed person – basic training only.
1. Appointed Persons:
Take charge when someone is injured or falls ill e.g. calls an ambulance.
Look after the First Aid equipment.
Keeping records of treatment given.
Should not attempt to provide First Aid if not properly trained
Should be available at all times (appoint more than one).
2. First Aider:
Someone with valid & approved training in First Aid.
Number will depend on the size of the organization & the nature of its activities.
Provision must be sufficient to cover for absences & annual leaves.
Coverage will depend on:
The general risk level of the workplace.
The hazards present in the workplace.
Accident history.
Vulnerable persons.
The number of workers.
Work patterns and shift systems.
Workplace location (geographic).
The spread of the workplace.
Suitable First Aid rooms should be provided when appropriate. Where possible the room should be excl
usive for First Aid purposes. The appointed person should be in charge of the room.
The size of First Aid provisions is to be decided based on an assessment, the following aspects should
be considered:
 Hazardous substances & High risk tasks at workplace.
 Different levels of Risk at premises.
 Records of accidents, ill-health & past Emergencies.
 Total number of occupants likely to be on site.
 Vulnerable groups.
 Size of the building; one or more.
 Working hours & patterns.
 If the site is remote from nearest emergency medical service.
 Members of public, visitors & contractors affected.
 Absence & annual leaves of First Aiders.
 Coordination with Emergency services, ambulances & near hospitals.
 Frequency & quality of practicing Medical Evacuation Drills.
NOTES:
Any Emergency response plan has to be communicated, written & posted,
Practiced & supported by adequate resources & top management commitment.
A proper translation of the Emergency Response Plan to the local country's language needs to be serious
ly considered.
Safety Signs:
Stop / Prohibition: Red colour e.g. stop signs of No Smoking
Caution / risk of danger: Yellow colour e.g. warning signs of electric current
Mandatory action: Blue colour e.g. obligation to wear PPE signs
Safe condition: Green colour e.g. fire exits signs
ELEMENT 4 HEALTH & SAFETY MANAGEMENT SYSTEMS - PLANNING
Health & Safety Managements Systems 3 - CHECK
Key Learning Points:
On completion of this element, candidates should be able to demonstrate understanding of the content
through the application of knowledge to familiar and unfamiliar situations. In particular they should be a
ble to:
 Outline the principles, purpose and role of active and reactive monitoring.
 Explain the purpose of, and procedures for, investigating incidents (accidents, cases of work-
related ill health and other occurrences).
 Describe the legal and organisational requirements for recording and reporting incidents.
Active/proactive HS monitoring before the event:
Ensure health and safety standards are correct and being met before accidents, etc. are caused.
Measures progress.
Involves identification through regular, planned observations of workplace conditions, systems and the a
ctions of people.
To ensure that performance standards are being implemented and management controls are working.
Reactive HS monitoring after the event:
Using accident, incident and ill-health data to highlight areas of concern.
Measures failure.
Involves learning from mistakes.
Whether they result in injuries, illness, and property damage or near-misses.
Active monitoring methods
Safety Inspection
Examination of workplace, statutory inspection, plant and machinery, pre-use checks.
Safety Sampling
Representative sample to judge compliance.
Less time-consuming.
Safety Survey
Detailed examination of one issue, topic.
Safety Tour
High-profile inspection by managers.
Can be used to observe behaviours, too.
Health Surveillance
Monitoring worker health – a proactive measure.
Shows effectiveness of controls.
Benchmarking
Comparison to other organisations.
Can compare between sectors.
Factors to consider when taking a workplace inspection:
 Type of inspection.
 Frequency of inspection.
 Allocation of responsibilities.
 Competence of the inspector.
 Objectivity of inspector.
 Use of checklists.
  Action planning for problems found.
 Training for inspectors.
Some factors to consider during the planning stage are:
What needs inspecting?
Who is to conduct the inspections and are they competent?
When should inspections be conducted?
What standards are to be used?
Is a checklist required?
What equipment is to be used?
Is any PPE required?
Where are findings recorded?
Who will prepare the inspection report?
Who will be responsible for ensuring that any remedial action is carried out?
Factors that influence timescales:
Changing nature of the workplace
Manufacturer’s recommendations
Type and frequency of use
Environmental conditions
Severity
Previous inspection results
Presence of vulnerable workers
Workers voicing concerns
Sampling
The role of sampling is to select, examine and establish the facts about a representative, partial amount
of a group of:
 Items
 People
 Areas
Representative Sampling is used to indicate the standard of compliance of the whole group
Sampling is conducted relating to the following:
 Specific hazards - noise or dust
 Good practice - wearing PPE
 General workplace hazards –walk through
Safety surveys
The role of a survey is to examine a narrow field of health and safety on an exploratory basis
The term ‘survey’ is usually applied to an exercise that involves a limited number of critical aspects, for e
xample:
 Noise survey
 Lighting survey
 Temperature survey
 PPE needs survey
Can also be interviews where information is gathered
Examples might be:
 Training needs
 Attitudes to health and safety
 Rules for specific tasks
Safety tours
Opportunity for management to explore effectiveness of risk control measures through planned visits
Management commitment visible which develops a positive health and safety culture
Gives an accurate picture of work conditions
Can indicate deficiencies or success in managers
Provides a forum for gaining the viewpoint of workers
Details of the tour and outcomes
The topics that should be included on a workplace inspection checklist.
Fire safety
Escape routes, signs, extinguishers
Housekeeping
General tidiness, cleanliness
Environment issues
Lighting, temp, ventilation, noise
Traffic routes
Vehicle and pedestrian
Chemical safety
Use, handling, storage
Machinery safety
Use of guards, interlocks, PPE
Electrical safety
Portable appliances, trailing leads, overloaded sockets, etc.
Welfare facilitates
Suitability, condition
Competence and objectivity of inspector
Inspections normally involve a physical examination of the workplace or equipment
Identifying hazards and determining if they are effectively controlled
Usually carried out by a manager, worker health and safety representative, equipment user or technical
specialist
The inspector must be competent to inspect what it is that they are inspecting
The qualifications, knowledge, skill and experience may be set out in national legislation
Impartial approach critical
Competence and objectivity of inspector
Advantages and disadvantages of checklist use during safety inspections

Advantages Disadvantages
 Enables prior preparation and planning  Does not encourage the inspector to think
beyond the scope of the checklist
 Quick and easy to arrange
 Items not on checklist are not inspected
 Brings a consistent approach
 May tempt people who are not
 Clearly identifies standards
authorised/competent to carry out the
 Thorough inspection
 Provides readymade basis for inspection  Can be out of date if standards change
report
 Inspectors might be tempted to fill in the
 Provides evidence for audits checklist without checking the work
area/equipment

Effective Report-Writing
Style – formal, free of jargon or slang, factual, persuasive, clear, and concise.
Structure – executive summary, introduction, main body, recommendations, conclusions.
Content – significant findings, evidence of findings.
Justified recommendations – moral, legal, economic arguments, action plan.

Reactive monitoring
Dealing with things that went wrong!
Accidents, incidents, ill health, other unwanted events and situations:
 Highlights areas of concern.
 Things that have already gone wrong.
 Measures failure.
It uses mainly two methods:
 Lessons from one specific event, e.g. an accident.
 Data collected over a period.
Methods of reactive monitoring
Identification
Reporting
Investigation
Collation of data and statistics, on the events (historical)
Complaints from the workforce
Enforcement action
Civil claims
Objectives of reactive monitoring
To measure the negative outcomes from the organisation’s efforts
Identify the significance of these outcomes and opportunities for improvement
Systems must be in place to identify the event, record it and report it
If reporting etc. is planned and encouraged it is not uncommon to find a large increase in recorded event
s
Events contribute to the ‘corporate memory’, helping to prevent a repeat in another part of the organisa
tion or at a later time
Potential issues with the statistics:
Data may be manipulated.
Incidents may go unreported.
Sudden increase in reporting of incidents can suggest a decrease in performance or could be due to impr
oved reporting
Enforcement actions
Often required during pre-tender qualifications.
Civil claims
Total cost of claims can be calculated.
This may be affected by:
 Advertising campaigns.
 Dissatisfaction with organisation.
Outline the meaning of active and reactive health and safety monitoring
a) Active monitoring - Active monitoring is concerned with checking standards before an unwanted
event occurs. E.g. tours, inspections.
The intention is to identify conformance with standards, so that good performance is recognised and ma
intained; non-conformance with standards, so that the reason for that non-conformance can be identifie
d and corrective action put in place to remedy any shortfall.
b) reactive monitoring is the monitoring of data generated after something has gone wrong and
learning from mistakes

Investigating Incidents
Reasons for reporting incidents:
To trigger the provision of first-aid treatment, etc.
Preserve the accident scene for the investigators
Enable the investigation to be carried out to prevent recurrences
Meet any legal requirements to report incidents
To record that an incident has occurred in the event of subsequent civil claims
Reasons why we carry out incident investigations:
Identify both direct, underlying and root causes.
Prevention of recurrence.
Data gathering and collection of evidence.
Insurance purposes.
Determine the economic loss caused.
Increase staff morale.
Establish if internal disciplinary procedures are necessary
To update risk assessments.
Discover trends.
Establish legal liability, prepare defence, and meet legal obligations.
Identification of trends
Demonstrate commitment
Identify weaknesses
Types of incidents
1. Accident.
• Injury accident.
• Damage-only accident.
2. Near-miss.
3. Dangerous occurrence.
4. Work-related ill health.
1. Accident
An unplanned, unwanted event which leads to injury, damage or loss:
• Injury accident – where the unplanned, unwanted event leads to some sort of personal injury,
e.g. a cut hand.
• Damage only accident – where the unplanned, unwanted event leads to equipment or property
damage but not personal injury, e.g. a wall is demolished.
2. Near-miss
An unplanned, unwanted event that had the potential to lead to injury, damage or loss but did not.
3. Dangerous occurrence:
A specified event that has to be reported to the relevant authority by statute law, e.g. a major gas leak.
4. Ill health:
A disease or medical condition that is directly attributable to work, e.g. dermatitis as a result of exposur
e
to skin irritants.
Discuss the first thing you should do when arriving at an accident scene, and then the later steps.
First actions:
Safety of the scene:
Is the area safe to approach?
Is immediate action needed to eliminate danger before casualties are approached?
Casualty care:
First-aid treatment.
Hospitalization if necessary
Also consider that by-standers may be in shock.
Select the accident investigation team.
How to determine the level of Investigation
More minor incidents can be investigated by a line manager.
Major incidents, more complex events or incidents with high potential should be investigated by a team:
• Safety specialist.
• Senior manager.
 • Technical specialist.
• Worker representative.
Start with the investigation process using a step by step approach as indicated below
1. Gather factual information
2. Analyse the information and draw conclusions
3. Identify suitable control measures
4. Plan the remedial actions
The following equipment will be necessary during the investigation process
• PPE
• Camera
• Measuring tape
• Plans of area
• Pens and pencils and paper
Step 1: Gathering information
Determine who should be involved in the investigation process
Ensure accident scene remains undisturbed
Collate all relevant documents
Collect factual information e.g. photo/sketch, measurements, notes, mark-up plans, samples.
Identify witnesses
Notify relatives of injured person
Legal reporting requirements met
Ascertain equipment needed
Determine style and depth of investigation
Interview witnesses.
Examine documents.
Golden rules for interviewing accident witnesses
 Interviewing witnesses promptly after the event
 The interview should be in a quiet room with no distractions, one person at a time
 Ensure the establishment of a rapport between the witness and the interviewer.
 Explain the purpose of the interview and highlight that it’s not about blaming anyone.
 Use open questions, e.g. Who? What? Where? When? Why? How?
 Keep an open mind during the whole procedure.
 Explanation that notes will be taken.
 Ask for a written statement from the witness.
 Recording the details
 Summarising your understanding of the matter
 Expressing appreciation by thanking the witness.
Identify the documents to be examined during an incident investigation
 Site plans.
 Company health and safety policy.
 Risk assessments.
 Training records.
 Safe systems of work.
 Permits-to-work.
  Maintenance records.
 Previous accident reports.
 Sickness records.

Step 2 – Analysing Information

Immediate causes are mainly divided into two i.e. unsafe acts and unsafe conditions.
Unsafe acts e.g.
• Operating equipment without authority
• Failure to warn O secure
• Operating at improper speed
• Making safety devices inoperable
• Removing safety devices
• Using defective equipment
• Using equipment improperly
• Failing to use personal protective equipment
• Working under the influence of
• Alcohol/drugs
Unsafe conditions e.g.
• Inadequate guards or barriers
• Inadequate or improper protective equipment
• Defective tools, equipment or materials
• Fire and explosion hazards
• Poor housekeeping
• Hazardous environmental conditions; gases, dusts, smokes, fumes, vapors
• High and low temperature exposures /illumination
Personal Factors
• Physical incapacity
• Mental incapacity
• Lack of motivation
• Lack of knowledge/skill
• Lack of training
Job/System Factors
• Lack of safe System of Work
• Lack of maintenance
• Inadequate standards
• Inadequate work instructions
• Inadequate purchasing system
• Physical stress
• Psychological stress
• Lack of inspection
• Wear & tear
Underlying/root causes:
Reasons behind the immediate causes.
Often failures in the management system e.g.
• No supervision.
 • No PPE provided.
• No training.
• Lack of equipment maintenance.
• No checking or inspections.
• Inadequate or no risk assessments.
• Lack of HS Policy
• Lack of top management commitment
• Non-compliance with legal requirements
• Non-compliance with standards & procedures
• Lack of leadership training & skills
• Lack of emergency preparedness
• No HS management system in place
• HS management system not implemented
• HS MS audits & reviews' recommendations not followed up
• Inadequate reporting & remedial actions system
Step 3 – Identifying Suitable Control Measures
So, for the oil spill example, cleaning up the oil is a short-term fix for this incident only – action needs to
be taken to prevent spills, e.g. by implementing a planned maintenance inspection, safety tours, etc. Th
e action should prevent not only incidents in this area but repeat incidents across the site.
Step 4 – Plan the Remedial Actions
Dangerous conditions must be dealt with immediately.
SMART recommendations to be set by the end of the Investigation
Responsibilities & deadlines to be clearly identified
Recommendations to be classified according to causes
Interim actions may be possible if permanent solutions will take long to be implemented.
Underlying causes will require more complex actions e.g. they will take time, effort, disruption, money; t
here is need for prioritisation.
Follow up by responsible parties & supervisors is crucial, to ensure implementation & effectiveness of re
commendations
Reasons why workers might not report accidents has appeared as an exam question:
Unclear organisational policy on reporting incidents.
No reporting system in place.
Culture of not reporting incidents (perhaps peer-pressure involvement)
Overly-complicated reporting procedures.
Excessive paperwork.
Takes too much time.
Blame culture.
Apathy due to management’s perceived response in the past.
Concern over the impact on the company or departmental safety statistics (especially if this is linked to a
n incentive scheme)
Reluctance to receive first-aid treatment.
Most of these barriers can be dealt with by having a well-prepared, clearly-stated policy, adopting user-fr
iendly procedures and paperwork, and training staff in the procedures. An organisation can take disciplin
ary action against workers who fail to report incidents if they have been given the training and means to
do so.
Internal accident Record Contents
Name and address of casualty.
Date and time of accident.
Location of accident.
Details of injury.
Details of treatment given.
Description of event causing injury.
Details of any equipment or substances involved.
Witnesses’ names and contact details.
Details of person completing the record.
Signatures.
Some incidents need to be reported to regulator by law, e.g.:
Fatality.
Major injury.
Dangerous occurrence.
Disease.
Lost-time injuries.
Methods of data analysis & presentation:
• By nature of injury; cuts, abrasions, amputation… etc.
• By part of the body injured; head, hands, arms, feet… etc.
• By age & experience at the job
• By type of equipment use
• By type of loss; environmental, information, financial… etc.
• By location of the job
• Trends can be shown against
• Some indices can be calculated e.g. Incidence Rate (see element 4)
• Reports should be produced; simple tables, graphs & other charts showing trends &
comparisons
• All analysis reports should be available to employees as well as managers monthly, quarterly or
annually past performance of the same organization (or other organizations for benchmarking)
• Data to be communicated effectively; meetings, emails, websites… etc.
• Implement any recommendation based on the data analysis reports
• There is a variety of up-to-date computer software to analyze & manipulate data & produce
statistical reports in case significant numbers are involved.
Lessons learnt
It is important that lessons learned from accidents/incidents are shared with as many people who would
benefit from it as is possible
As a minimum this must include different departments within an organisation
The more that the root causes are examined the more likely the lessons are to be relevant to other depa
rtments
An incident in one department may reveal a need to improve job induction processes
Trade associations often take the lead in collating data on a non-attributable basis.

ELEMENT 5 HEALTH & SAFETY MANAGEMENT SYSTEMS – ACT

Key Learning Points:
On completion of this element, candidates should be able to demonstrate understanding of the content
through the application of knowledge to familiar & unfamiliar situations. In particular they should be abl
e to:
a) Explain the purpose of, and procedures for, health and safety auditing.
b) Explain the purpose of, and procedures for, regular reviews of health and safety
performance.
Health and Safety Auditing
HS auditing is the systematic, objective, and critical evaluation of an organisation’s health and safety ma
nagement system.
OR
The structured process of collecting independent information on the efficiency, effectiveness and reliabil
ity of the total health and safety management system and drawing up plans for corrective action”.
Purpose of health and safety auditing
Ensure HS Management System is in place.
Ensure adequate risk control systems & workplace precautions exist, implemented & consistent with org
anizational hazards.
Ensure that the HS MS is actually helping the organization to achieve the framework of objectives stated
in its policy.

The difference between an audit and an inspection

Health and Safety audit Health and Safety 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 Part of an audit
Usually expensive
Requires high level of competence

1. Pre-Audit Preparations
The following should be defined:
Timescales.
Scope of the audit.
Area and extent of the audit.
Who will be required?
What documentation will be required?
Auditor competence.
Time and resources for auditors.
How to determine the competence of auditors; auditors should be able to:
Familiar with audit techniques
Familiar with work practices
Able to interpret standards
Up to date with new information and standards
2. During the Audit
Auditors use three methods to gather information:
Paperwork - documents and records.
Interviews - managers and workers.
Observation - workplace, equipment, activities and behaviour.
Typical documents examined during an audit:
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, etc.
Accident investigation reports and data including near-miss information.
Emergency arrangements.
Inspection reports from insurance companies, etc.
Output from regulator visits, e.g. visit reports, enforcement actions, etc.
Records of worker complaints
3. The End of the Audit
Verbal feedback session:
To managers.
Highlights of the audit.
The final written report to management should:
Give a clear assessment of the overall performance
Identify system deficiencies
Identify observed strengths
Make recommendations for improvement
Be accurately and clearly communicated
Prioritise significant findings and give appropriate timescales.
Correcting non-conformities:
Management - must take ownership of the audit report and recommended actions
Responsibility should be assigned to those in line management responsible for them, together with com
pletion dates
Progress on correcting non-conformities should be monitored through reports or feedback.
Major non-conformance:
Significant issue, needs urgent action.
Minor non-conformance:
These are less serious issues which are unlikely to result into injury or failure of the HS management syst
em.
They are mainly observations discovered during the audit process. The opinion given by auditor will be a
dequate.
Discuss the advantages and disadvantages of an external and an internal audit.
External audits
Advantages Disadvantages
• Independent of any internal influence • Expensive
• Fresh pair of eyes • Time-consuming
• May have wider experienced at auditing • May not understand the business, so make
• Experience of different types of workplace impractical suggestions
• Recommendations often carry more weight • May intimidate workers, so get incomplete
• Up to date with law evidence
• More able to be critical
Internal audits
Advantages Disadvantages
• Less expensive • Auditors may not notice certain issues
• Auditors are already familiar with the • Auditors may not have good knowledge of
workplace and what is practicable industry or legal standards
• Can see changes since last audit • Auditors may not possess auditing skills, so
• Improves ownership of issues found may need training
• Builds competence internally • Auditors are not independent, so may be
• Workplace more at ease subject to internal influence
• Familiarity with workplace and individuals
Review of Health and Safety Performance
Qn. What measurements of health and safety performance should be included in the annual review?
Annual plans, targets and key performance indicators
 Compliance with legal and organisational requirements, new developments.
 Accident and incident data, and corrective actions.
 Inspections, surveys, tours, sampling.
 Absence and sickness data.
 Quality assurance reports.
 Audit reports.
 Monitoring data/records.
 External communications and complaints.
 Consultation results.
 Achievement of objectives.
 Actions from previous management reviews.
 Legal and best practice developments.
Maintenance of records of management review
Every organisation must establish and maintain procedures for the maintenance of records of the mana
gement review
They should be maintained as appropriate to the system and the organisation
Provides evidence of compliance with legal requirements
Records provide the necessary evidence that effort is being applied to ensure health and safety perform
ance levels are being met
They should be legible, identifiable and traceable to the particular review activity in question
Reporting on health and safety performance
Reported at senior management level
Situations where the review has been conducted by a work group drawn from the senior management t
eam
The results of the review should be communicated widely in the organisation
It is customary to include a statement of health and safety performance, along with other risks, within th
e annual report
Such reports should be available to all workers and other stakeholders
Feeding into plans as part of continuous improvement
It is important that health and safety reviews take place in an analytical way questioning actions taken ar
e effective
The strategic level plans enable the production of local level plans through information cascade (to prom
ote dynamic development)
Health and safety objectives should be established for all development/improvement plans
Should be subject to key performance indicators (KPI’s)
Active reporting at meetings should be established for health and safety items such as the status of insp
ections and risk assessments
Role of senior management
Carry the responsibility, on behalf of the organisation, to ensure reviews of performance are conducted
Treat health, safety and the environment as equal partners to other business issues such as production (
service) and quality
Reasons why an organisation should review its health and safety performance
 To identify if the organisation is on target,
 If the organisation is not, why not?
 What do we have to change so that we continually improve? For example, are there risks that
aren’t being controlled adequately? What needs to be done about them?
 Because monitoring is an essential part of any management system (as the saying goes, “if you
aren’t monitoring, you aren’t managing!”)
 Because reviews are also a required part of accreditation
Identify issues be considered in the management review of health and safety performance.
 Legal compliance
 Accident and incident data
 Findings of surveys/tours/audits
 Absence and sickness data
 Quality assurance reports
 Audit reports
 Monitoring data/records/reports
 External communications and complaints
 Consultation
 Objectives met
 Action from previous reviews
 Legal and best practice developments

GC3 REPORT STRUCTURE

Report structure:
Title page
Title & subtitle (if there is one)
Name of the writer
Name of the person / organization to whom the report is addressed
Date of submission
Executive Summary
Provides a brief outline on what was achieved/decided/concluded in your report placed on a separate p
age before the contents page
Can be written last so that every bit of necessary detail is taken from the finished report
It is about half a page in length
Table of Contents
Helps the reader to find a specific topic easier
Can give the reader a grasp of the overall content
Should be in the beginning but might be in the end of the report
Introduction
States the purpose of the report
Lists the objectives
Methodology used in analysis
Problems & methods used to tackle them
Main Body of the report
Detailed description of the findings
Significance of what was found
Graphs, tables & charts should be used
Better if divided into sections using numbering & bullet points
Keep It Short & Simple (KISS)
Conclusion
Demonstrates an understanding of what you achieved
Outline how you reached the conclusion
Recommendations / Corrective actions • Very crucial in OHS inspection reports
Have to be specific & achievable
Responsible parties must be assigned
Time limit must be set clear; according to the risk level
Based on the findings (to rectify violations)