Reason for managing health and safety

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

Economic
● Direct costs are the calculable costs arising directly from the accident, e.g. sick pay, repairs to

damaged equipment, fines, and legal fees. Indirect costs are consequential but do not generally involve the
actual payment of monies, e.g. lost orders, business interruption.
○ Employers’ liability insurance.
○ Public liability insurance
○ Motor vehicle insurance.
● Indirect costs, though largely difficult to calculate, are often substantially more than direct costs.

Societal Factors Which Influence an Organisation’s Health and Safety Standards and
Priorities

Significant Factors

● Economic Climate
● Government Policy and Initiatives
● Industry/Business Risk Profile
● Globalisation of Business
● Migrant Workers
● Level of Sickness Absence

Uses of, and the Reasons for, Introducing a Health and Safety Management System
Health and Safety Management Models
What is a Management System?

Management involves:
• Policy-making.

• Setting objectives and performance standards.

• Providing resources.

• Making judgments - considering alternatives.

• Coming to decisions.

• Taking action.

• Accountability.

• Monitoring and control.

1
 Application of the PDCA Cycle

● Plan – implies having a considered policy.

● Do – concerns the arrangements for putting the plan into practice.
● Check – means it is necessary to assess or monitor performance.
● Act – means performance should be reviewed leading to continuous improvement in
the management system.

Plan

• Status review of where you are now and where you need to be.

• Policy and planning to establish:

– What you want to achieve.

– Who will be responsible for what.

– How to achieve your aims.

– How to measure your success.

• Establish how to measure performance (leading as well as lagging indicators).

Do

• Identify your risk profile:

– Assess your risks.

– Identify what could cause harm in your workplace.

2
 – Establish who it could harm and how.

– Decide what to do to manage the risk.

– Decide what the priorities are and identify the biggest risks.

• Organise your activities to deliver your plan:

– Involve workers and communicate.

– Provide adequate resources, including competent advice.

• Implement your plan:

– Decide on the preventive and protective measures you need and put them in place.

– Provide the right tools and equipment to do the job and keep them maintained.

– Train and instruct, to ensure everyone is competent to carry out their work.

– Supervise to make sure that arrangements are followed.

Check

• Measure your performance:

– Assess how well your risks are being controlled.

– Investigate the causes of accidents, incidents or near misses.

Act

• Review your performance:

– Learn from accidents and incidents, ill-health data, errors and relevant experience including from
other organisations.

– Re-visit plans, policy documents and risk assessments to see if they need updating.

• Take action on lessons learnt, including from audit and inspection reports.

The following are key issues that a health and safety management system is required to deliver:

• Appropriate Allocation of Resources

• Appropriate Allocation of Responsibilities

• Setting and Monitoring Performance Standards

• Feedback and Implementation of Corrective Action

Principles and Content of Effective Health and Safety Management Systems

Health and Safety Policy

● Health and Safety Management Systems

● Communication of Health and Safety Information

● Requirements for a Written Health and Safety Policy
● General Principles and Objectives of a Health and Safety Policy Document

Key Elements of a Health and Safety Management System

3
Nature, Benefits and Limitations of ‘Goal-Setting’and ‘Prescriptive’ Legal Models

Prescriptive legislation has clearly defined requirements which are more easily understood by the duty holder and enforced by
the regulator. It does not need a higher level of expertise to understand what action is required, and provides a uniform
standard to be met by all duty holders.

Limitations - it is inflexible and so depending on the circumstances may lead to an excessively high or low standard. Also it
does not take account of the circumstances of the duty holder and may require frequent revision to allow for advances in
knowledge and technology.

Goal-setting legislation allows more flexibility in compliance because it is related to the actual risk present in the individual
workplace. It is less likely to need frequent revision and can apply to a much wider range of workplaces.

Limitations – it is more difficult to enforce because what is “adequate” or “reasonably practicable” are much more subjective
and so open to argument, possibly requiring the intervention of a court to provide a judicial interpretation. Duty holders will also
need a higher level of competence in order to interpret such requirements.

Loss Events in Terms of Failures in the Duty of Care to Protect Individuals and

Compensatory Mechanisms that May be Available

● Compensatory Schemes
○ No fault compensation
■ Employer paid compensation through insurance - Employers scheme
■ Social insurance scheme - administered by government → employer, worker or both and further
from general tax

4
 ○ Fault compensation

The liability of the employer may come about in two ways:

● The employer is responsible for his or her own acts of negligence - often called primary
liability. •
● The employer may be vicariously liable for the negligent acts of his or her workers that are
committed in the course of their employment.

In an action for ​breach of statutory d​uty the claimant has to prove:

● The statute places the obligation on the defendant.

● The statutory duty was owed to that claimant (i.e. the claimant must show he is within the class of persons
whom the statute was intended to protect).
● The injury was of a type contemplated by the statute.
● The defendant was in breach of that duty.
● The breach of statutory duty caused the injury.

In an action for ​negligence th​e claimant must prove:

● The defendant owed the claimant a duty of care; it is well established that an employer owes a duty of care to
their workers and so if the defendant is an employer this element is unlikely to be contested. •
● The defendant was in breach of that duty - most negligence cases hinge on this point. The important point to
note is that the standard required of the defendant is an objective one, i.e. it depends on the standard of care
which would have been adopted by the reasonable man in the circumstances.
● The claimant suffered damage as a result of the breach.
● The harm was foreseeable.

● Damages

○ Economic
○ non-economic

&

○ Compensatory - inconsistency with the loss the claimant has suffers

● Special damage-​ Loss of earnings due to the accident or ill health before the trial.

○ – Legal costs.

○ – Medical costs to date.

○ – Building costs, if property has had to be adapted to meet the needs of the injured person.

○ – Necessary travel costs associated with the case.

● General damage ​These include future expenditure and issues which cannot be precisely

quantified, such as: – Loss of future earnings as a result of the incapacity.

○ – Future medical costs.

○ – Pain and suffering before and after the trial.

○ – Loss of quality of life, e.g. loss of mobility, inability to engage in sports which had been pursued

before the loss.

○ – Loss of future opportunity, e.g. reduced likelihood of being able to secure suitable employment.

○ ​ eneral Damages ​These include future expenditure and issues which cannot be precisely
Punitive G

5
 quantified, such as: – Loss of future earnings as a result of the incapacity.

○ – Future medical costs.

○ – Pain and suffering before and after the trial.

○ – Loss of quality of life, e.g. loss of mobility, inability to engage in sports which had been pursued

before the loss.

○ – Loss of future opportunity, e.g. reduced likelihood of being able to secure suitable employment.

Purpose of Enforcement and Laws of Contract

● Principles of Enforcement with Reference to the HSE’s Enforcement Policy Statement (HSE41​)

○ Proportionality of Enforcement

○ Consistency of Approach
○ Transparency
○ Targeting
○ Accountability
● Principles of Typical Laws of Contract

○ Employer↔ Employee,

○ Producer ↔ Vendor ↔ Consumer,

○ Employer ​↔ ​Contractor ​↔ ​Subcontractor

Role and Limitations of the International Labour Organisation in a Global Health and
Safety Setting

● Role of the United Nations -ILO Role and International Labour Conference

○ Roles and Responsibilities of ‘National Governments’, ‘Enterprises’ and ‘Workers’: R164

Occupational Safety and Health Recommendation 1981

○ Use of International Conventions as a Basis for Setting National Systems of Health and Safety

Legislation
○ Occupational Safety and Health Convention (C155) 1981

○ Promotional Framework for Occupational Safety and Health Convention

Role of Non-Governmental Bodies and Health and Safety Standards

● Relevant Influential Parties

○ Employer Bodies

○ Trade Associations

○ Trade Unions

○ Professional Groups
■ The Institution of Occupational Safety and Health (IOSH),

6
 ■ American Society of Safety Engineers (ASSE)
■ Board of Certified Safety Professionals (BCSP)

○ Pressure Groups

○ General Public

● Importance of Print, Broadcast and Social Media in a Global Economy -​In terms of occupational health and

safety the following points indicate some of the ways the media is used:
○ Making health and safety guidance easily accessible with minimal cost.
○ Publicising good and bad health and safety performance,
○ Assisting in educating members of the professional body and promoting good health and safety standards by
publishing professional journal
○ Assisting in educating members of the professional body and promoting good health and safety standards by
publishing professional journal
○ The media can be used to help change attitudes to occupational health and
■ Making the public, and in particular duty holders, aware of enforcement action such as prosecutions
■ Enforcement bodies making information on good health and safety practice easily accessible to duty
holders.
■ Companies publicising good health and safety performance to promote their services and to secure a
competitive advantage by being seen as good employers.

● Benefits of Schemes Which Promote Cooperation on Health and Safety Between Different Companies

○ The establishment of such schemes may be facilitated and encouraged by government bodies, or they may be set
up informally. An example of such a scheme is the so-called good neighbour scheme.
○ Advise on expertise by bigger company to smaller company
○ Cooperation on sharing of items (e.g. noise meter) in between the companies.
○ Supplier auditing is the process by which an organisation establishes that its existing and new suppliers meet their
requirements

● ​
Adverse Effects on Business Reputation - These are individuals who have an interest in the organisation and

include:
○ Workers who rely on the organisation for employment.
○ Other businesses, including suppliers and contractors who trade with the organisation.
○ Businesses that benefit indirectly from the presence of an organisation, e.g. local shops.
○ Shareholders who own the organisation and wish to see their investment yield a satisfactory financial return.

● Meaning of ‘Self-Regulation’​ - ​The benefit to the organisation of self-regulation is that it can set and maintainits own
standards without external interference. Accordingly if problems arise, it can more easily keep its own internal affairs
private. It also avoids the significant national expense of establishing an enforcement agency. In contrast, attempts to
self-regulate may fail because individual organisations may believe there is little advantage in establishing good
standards if similar organisations choose to ignore them. Workers in a self-regulated organisation may experience
poor standards with an increased frequency of accidents and ill health.

● Role and Function of Corporate Governance in a System of Self Regulation - ​the following matters are dealt

with throughout the organisation.

○ A demonstration of commitment by senior management to occupational health and safety
○ All staff, including board members, are trained and competent in their health and safety responsibilities.
○ Ensuring that the workforce, and in particular health and safety representatives, are adequately consulted and
that their concerns reach the right level within the organisation including, where necessary, the board. •
○ Systems are in place to ensure that health and safety risks are assessed and suitable control measures

7
 introduced and maintained.
○ An awareness of what activities take place in the organisation, including those of contractors. • Ensuring regular
information is received regarding matters such as accident reports and cases of work-related ill health.
○ The setting of targets which allow the organisation to improve standards and to benchmark the organisation’s
performance against others within the same business sector.
○ Ensuring that changes in working arrangements that have significant implications are brought to the attention of
the board

● A report from EU-OSHA, Leadership and Occupational Safety and Health (OSH) – An Expert Analysis, looks at
corporate leadership factors on which success depends and identifies the following five broad guiding
principles:
○ a positive prevention culture and employ leadership styles which take account of the cultural context in different
groups or nations​.
○ prioritise OSH policies above other corporate objectives
○ unequivocal commitment of an organisation’s board and senior management.4.
○ Leaders should set out to cultivate an open atmosphere in which all can express their experience,
views and ideas about OSH and which encourages collaboration between stakeholders, both internal
and external, around delivery of a shared OSH vision.
○ Leaders should show they value their employees, and promote active worker participation in the
development and implementation of OSH measures.

How Internal Rules and Procedures Regulate Health and Safety Performance - ​For a rule to be effective it has to be
enforced by the organisation. This requires monitoring by supervisors and managers who must have the
necessary authority to enforce the rules. This may include routine day-to-day monitoring, formal inspections and
random spot checks. Failure to comply with internal rules may lead to sanctions imposed by the employer which
may include:
○ • Informal verbal warnings.
○ • Formal verbal and written warnings.
○ • Temporary suspension from work.
○ • Demotion.
○ • Dismissal.

8
●

● Loss Causation Types

○ Linear
■ Domino
■ Bird & loftus

&

○ Multi causation the aspects are - Active failure & Latent Failure and the various studies are
■ Fault tree
■ Event tree
■ Swiss cheese model
■ Bow-tie is a combination of the above

● Single Cause Domino Theory tv

9
● Bird and Loftus extended Heinrich’s theory to take into account the influence of management

in the cause and effect of accidents, suggesting a modified sequence of events:

○ 1. ​Lack of control by management.
○ 2. This permits the existence of basic causes (i.e. personal and job factors).
○ 3. In turn, this leads to immediate causes (such as substandard practices, conditions or errors). 4. These are
subsequently the direct causes of the accident.
○ 5. Finally, this results in loss (which may be categorised as negligible, minor, serious, or catastrophic). This
modified sequence can be applied to every accident and is of basic importance

10
● Multi-Causal Theories

○ The multi-causal mo​del considers that there may be organisational, cultural, managerial, etc. causes that
interact and result in an accident. The model is more complex than the single-cause domino theory and can be
used not only for accident investigation, but also to prevent accidents if the outcomes of monitoring activities are
analysed. The model can also be linked to more advanced analysis techniques, such as fault trees and event
trees. The downside is that they are more complex and therefore take longer to carry out.

● Systems Theory - This is another way of looking at a multiple cause situation.

●
Immediate, Underlying and Root Causes

○ • Immediate cause refers to the direct cause of the accident, i.e. the actual agent of injury or damage,
such as the sharp blade of the machine.
■ An unsafe act is human performance that is contrary to accepted safe practice and which may, of
course, lead to an accident.
■ Unsafe conditions are basically everything else that is unsafe after you take away unsafe acts. So, this
is the physical condition of the workplace, work equipment, the working environment, etc. which might
be considered unsafe
○ • Underlying, or root causes are the less obvious systemic, or organisational reasons for the incident

● Fault Tree Analysis (FTA) ​.

○ The fault tree is a logic diagram based on the principle of multi-causality, which traces all branches of
events which could contribute to an accident or failure. A fault tree diagram is drawn from the top
down (like an upside down tree). The starting point is the undesired event of interest (called the Top
Event because it gets placed at the top of the diagram). You then have to logically work out (and
draw) the immediate and necessary contributory fault conditions leading to that event.

● Event Tree Analysis (ETA)

○ Unlike identifying the root causes of an event under consideration, ETA is concerned with identifying
and evaluating the consequences following the event.
○ In ​FTA the main event is called the Top Event, whereas in ETA it is called the Initiating Event.

11
 ○ Event trees are used to investigate the consequences of loss-making events in order to find ways of
mitigating, rather than preventing, losses.

● Bowtie Model

○ FTA is concerned with analysing faults which might lead to an event, whereas ETA considers
the possible consequences once an undesired event has taken place​.
○ Both can be combined into a bowtie diagram (illustrated below), where faults (initiating events) lead to
a critical event (a flammable gas release, for example). The critical event (release) then generates
consequences which need to be mitigated through the use of barriers designed to prevent catastrophic
fire and explosion.

● Swiss Cheese Model

○ In the Swiss Cheese model, an organisation’s defences against hazards are modelled as a series of
barriers, represented as slices of the cheese. The holes in the cheese slices represent weaknesses in
individual parts of the system, and are continually varying in size and position in all slices.

● Behavioural Root Cause

○ The aim of behavioural root cause analysis is to identify the behaviours that led to the unsafe acts.
○ The models of accident causation we have already considered (linear and multi-causal) can be used to
establish the causal chain. A simple method of asking ‘why?’ as the causal chain is investigated back
to source will eventually come up with an unsafe act of behavioural origin. Tools such as fault tree
analysis enable a multi-causal framework to be established with the human failings identified at the
start of each branch of the causal chain.
○ Behavioural change programmes attempt to change individual worker behaviour by positively
reinforcing desired behaviour and deterring undesired behaviour.

12
○

● Presenting and Interpreting Loss Event Data

○ Histogram
○ Pie chart
○ Line graphs

● Implied Legal Requirements - ​Depends up on the local law but some of the legal duties of the employer need

an investigation. The factors are

○ Risk assessment and review of health and safety arrangements - the accident implies that the control
measures are ineffective so an investigation is needed to be done
○ Statutory reporting of accidents - some kind of investigation needed to be done as part of the report
submission
○ Industrial injuries benefit or compensation

13
● Steps of investigation

○ • Step 1: Gathering the information.

○ • Step 2: Analysing the information.
○ • Step 3: Identifying risk control measures.
○ • Step 4: The action plan and its implementation.

● Reasons for Carrying Out Investigations

○ Legal Reason​s -So accident investigation enables the employer to explore and defend, if necessary,
the adequacy of their duty of care.
○ Data Gathering
○ Establishing Root, Underlying and Immediate Causes
■ Immediate cause: the most obvious reason why an adverse event happens, e.g. the
guard is missing; the employee slips, etc. There may be several immediate causes
identified in any one adverse event.
■ Underlying cause: ​the less obvious ‘system’ or ‘organisational’ reason for an
adverse event happening, e.g. pre-start-up machinery checks are not carried out by
supervisors; the hazard has not been adequately considered via a suitable and
sufficient risk assessment; production pressures are too great, etc.
■ Root cause: ​an initiating event or failing from which all other causes or failings
spring. Root causes are generally management, planning or organisational failings.

● Benefits of Carrying Out Investigations

○ Prevention of recurrence
○ Improve employee morale
○ Developing managerial skills

● Steps to Take Following an Adverse Event

○ Emergency response
○ Initial report
○ Initial assessment and investigation response
○ Decision to investigate
■ Minimal level investigation - supervisor looks into the circumstances to learn any
lessons which will prevent future occurrences.
■ Low level investigation - a short investigation by the line manager into the immediate,
underlying and root causes to prevent a recurrence and to learn any general lessons.
■ Medium level investigation - a more detailed investigation by the relevant supervisor
or line manager, the health and safety adviser and employee representatives which
looks for the immediate, underlying and root causes.
■ High level investigation - a team-based investigation, involving supervisors or line
managers, health and safety advisers and employee representatives. It will be carried
out under the supervision of senior management or directors and will look for the
immediate, underlying, and root causes.

● The Investigation process

○ Step 1: Gathering of Relevant Information

■ Promptness

14
 ■ Equipment - ​to be used for facilitating the collection of evidence
■ Inspection of the Scene - ​Emergency response, crime scene to be undisturbed for further
investigation by police if any, presence of investigator if any clean-up necessary to reinstate
the operations, severity of injury, damage of property and environment
■ Interviewing Witnesses -​ Not to blame but get causes
● Type of witnesse​s - Primary, secondary and Tertiary witnesses
● Putting the witness ease
● Interview location​ - at the incident place
● Question Phrasin​g-It is a good idea to start all questions with What, Where, When,
How or Who.
● Attitude- The investigator should be looking for the witness’s version of the accident
and should not disagree with any of the statements made
● Conclusion - When the witness has given their account of the accident, the
investigator should repeat it to the witness to make sure that he understands it. This
also allows the witness to add any details previously omitted or expand some points
to make them clearer.

● Step 2: Analysis of Information

○ examining all the fact​s, Assembling all your data or evidence, Extracting the information that is
relevant, Identifying any gaps, and following leads to fill those gaps, Discovering the immediate,
underlying and root causes by systematically plotting on ​Cause-and-Effect Diagrams
○ Cause-and-Effect Diagram​s - ​The purpose of a cause and effect diagram is to help people think through
the causes of a problem thoroughly,considering all the possible causes rather than just the most
obvious ones. It is often used in conjunction with a brainstorming session​.
forklift trucks overturning.

15
○

● Step 3: Identify Control Measures

○ Identify all possible control measures and then select the ones which are most suitable (taking account
of reasonable practicability and the effectiveness of different control types). This may involve justifying
selected controls using formal cost-benefit analysis.
○ Step 4: Plan and Implement ​- Long term and short term

● Involvement in the Investigation Process

○ Managers
○ Supervisors
○ Employees’ Representatives and Others
■ Employees’ Representatives
■ Safety Practitioner

● Meaning of Health and Safety Performance Measurement

○ Assess the effectiveness and appropriateness of health and safety objectives and arrangements in
terms of:
■ Hardware (plant, premises, substances).
■ Software (people, procedures, systems).
○ • Measure and reward success (not to penalise failure).

16
 ○ • Use the results as a basis for making recommendations for a review of current management
systems.
○ • Maintain and improve health and safety performance.

● Need for Active and Reactive Measures- ​Active means ‘before it happens’, while reactive means ‘after it has

happened’.

● Meaning of Key Performance Indicators -​Key Performance Indicators (KPIs) are quantifiable measures that an

organisation can use to assess the degree to which strategic and operational goals have been met.

● Types of monitoring

○ Active Monitoring
○ Reactive monitoring

● Control Measures

○ The ​formal control system can be either authoritarian or consultative. To be effective, each person
needs to know those areas where he must conform to a predetermined plan and those areas where he
can exercise some discretion.
○ There will also be an ​informal control system​, where working groups establish and enforce the group
norms. The ideal situation is where the individual and group targets coincide with the organisational
targets.
○ Review of achievement
■ Daily assessment
■ Monthly review
■ Quarterly review
■ Annual review

●
● Limitations of Accident and Ill-Health Data as a Performance

○ Accident are rare occurrence so less number of instance so may be the number might be less - we
cannot rely since the numbers were less so need to depend on the national 7 international standards
to implement active measures such as training etc
○ We cannot blame (occupational illness) a new strategy for not performing as well as it was intended,
since it would take a bit time to fruitful the outcome.
○ Accident recording therefore has some value, but it is of limited use in relation to assessing future risk.
○ There are problems with under-reporting of minor accidents. Time off work does not correlate well with
the severity of an injury, because some people will work with a broken arm, while others take a week
off with a cut finger.

● Distinctions Between, and Applicability of, Performance Measures

○ Active/Reactive
■ Active means ‘before it happens’, while reactive means ‘after it has happened’.
Measuring safety performance
○ Objective/Subjective

17
 ■ “How many enforcement notices have been issued to your company in the last
12-month period? ”
■ “Is housekeeping adequate?
● Qualitative/Quantitative
○ • Qualitative means that the data is not represented numerically, e.g. reports and commentaries, which
although useful, are difficult to treat as an accurate measure.
○ • Quantitative means that the data describes numbers, e.g. the number of accidents reported. In such
a case, we can see whether there has been an improvement or a reduction in standard.

● Range of Measures Available to Evaluate an Organisation’s Performance

○ Active Monitoring Data

●
○ Reactive Monitoring Data

● Active Monitoring Techniques

○ Health and Safety Audits ​- The purpose is to assess the extent to which the elements of the system are
still effective, and whether any action is necessary to avoid accidents and other losses. Limitations
are• Audits cover three types of evidence:
■ Documentation.
■ • Interviews.
■ • Observation.
○ Limitations
■ They are time-consuming and costly.
■ It is not feasible to carry out a full audit more than once a year.
■ There is likely to be a lot of things to correct, and some of these may take time to complete.
■ If there is a long time between the recommendation being made, and the solution being put

18
 into effect, the valueof the audit is reduced.
○ Workplace Inspections, Safety Tours, Safety Sampling-​A scoring system is required if comparisons over
time, or with other sections, are to be made. Such an inspection usually goes under the name of
safety sampling ​if it concentrates on a few specific points. A​ safety tour ​follows a set route.
○
○ Safety Surveys​Safety surveys make sure that aspects of safety are not overlooked in the general run
of inspections. A safety survey generally results in a formal report and an action plan to deal with any
findings.
○ Safety conversation​s provide the opportunity to respond to non-compliant behaviour in an effective but
non-confrontational manner.
○ Climate Surveys
○ Behavioural Observations ​are used in Behavioural Change Programmes with the aim of improving
individual behaviour.

● Comparisons of Performance Data

○ Previous Performance ​- It is always useful to compare present performance data with that obtained
over the last few months or last year.
○ Performance of Similar Organisations/Industry Sectors
○ National Performance Data

● Use and Benefits of Benchmarking

○ Analysis of processes and procedures in your own organisation.

○ Analysis of other enterprises.
○ Adaptation of the findings to make improvements.

● Formal and Informal Reviews of Performance

○ Review Process ​-
■ is a combined process in conjunction with audit,
■ after an incident with injury or loss,
■ periodic
○ The review would probably cover:
■ • Assessment of degree of compliance with set standards.
■ • Identification of areas where improvements are required.
■ • Assessment of specific set objectives.
■ • Analysis of accident and incident trends.

19
● Accident/Incident and Ill-Health Data and Rates

○ Incident data can be used to support hazard identification, risk assessment and risk factors.
○ Types
■ Incident rate
■ Frequency rate
■ Severity rate
■ Prevalence rate

● Source of information

○ Internal
■ Accident record
■ Absence record
■ Maintenance record
○ External
■ IOSH
■ BCSP

● Uses and Limitations of Information Sources

○ Internal information is obviously very relevant to risk assessments.

○ Care must be taken when using external sources of information. - The statistics from a large number
of sample so very relevant, but may deference in calculating the frequencies may only covers the
direct employees- culture deference (some are bringing back injured person to the workplace inorder
to avoid the LTI)

● Hazard Detection Techniques

○ Observation
■ Actual and potential hazards - by observation and questioning.
■ Less obvious ‘invisible’ hazards - such as health dangers
■ Behavioural aspects - rules and precautions for controlling any hazard
○ Task Analysis -​Task analysis is used to analyse all aspects of a task (including safety), often with the
intention of improving efficiency​.
○ Checklists - ​probably it covers every aspects to be checked so it is a comprehensive but if it lacks with
any area to be covered so there would be ineffectiveness\
■ 4 Ps of checklist preparation
● Premise
● Plant and service
● Procedure
● People
○ Incidents reports
○ Failure Tracing Techniques - HAZOP

20
● Key Steps in a Risk Assessment

○ • Step 1: Identify the hazards.

○ • Step 2: Decide who might be harmed and how.
○ • Step 3: Evaluate the risks and decide on precautions.
■ hierarchy of controls:
■ Elimination - can I remove the hazard altogether? If not, how can I control the risks so that
harm is unlikely?
■ Substitute the hazard - try a less risky option (e.g. switch to using a less hazardous
substance).
■ Contain the risk​ - prevent access to the hazard (e.g. by guarding).
■ Reduce exposure to the hazard - reduce the number of persons exposed to the hazard
and/or reduce the duration of exposure.
■ Personal protective equipmen​t - provide protection for each individual at risk.
■ Skill/supervisio​n - rely on the competence of the individual.
■ Welfare arrangements - provide washing facilities to remove contamination and first aid
facilities.
○ • Step 4: Record your findings and implement them.
○ • Step 5: Review your assessment and update if necessary.

● Use and Limitation of Generic, Specific and Dynamic Risk Assessment​s

○ Generic Risk Assessments -They give broad controls for general hazards but do not take into
account the particular persons at risk or any special circumstances associated with the work activity.
○ Specific Risk Assessments -These apply to a particular work activity and the persons associated
with it. Specific activities, processes or substances used that could injure persons or harm their health
are identified, along with exactly who might be harmed.
○ Dynamic Risk Assessments (DRA)-DRAs are needed when work activities involve changing
environments and individual workers need to make quick mental assessments to manage risks.
Police, fire-fighters, teachers and lone workers, for example,

21
● Limitations of Risk Assessment Processes

○ It is often assumed that an assessment of risks is scientific and objective whereas risk control is less
straightforward because it combines the findings of risk assessment with other inputs, such as cost,
risk perception, availability of technologies, etc. where there is more room for subjectivity.
○ There is also the public’s attitude to acceptance of risk to consider.In addition, there is some
scepticism about the meaningfulness of low probability estimations for high risk outcomes,
○ There are also issues regarding the general accuracy of risk estimations. Over (very unlike serious
consequence) or underestimation (occupational health issues)
○ Risk assessment relates to hypothetical rather than real persons and is inevitably based on
value-laden assumptions.

● Types of Risk Assessment

○ Quantitative - a measurement of magnitude is involved, e.g. there were four fatalities due to falls from
height over a 12-month period at Business X; the airborne concentration of formaldehyde in a
workplace was measured as 13ppm.
○ Qualitative ​- “The comprehensive identification and description of hazards from a specified activity, to
people or the environment. The range of possible events may be represented by broad categories,
with classification of the likelihood and consequences, to facilitate their comparison and the
identification of priorities.”

● Acceptability/Tolerability of Risk

○ Acceptable - ​no further action required. These risks would be considered by most to be insignificant or
trivial and adequately controlled. They are of inherently low risk or can be readily controlled to a low
level.
○ • Unacceptable - ​certain risks that cannot be justified (except in extraordinary circumstances) despite
any benefits they might bring. Here we have to distinguish between those activities that we expect
those at work to endure,and those we permit individuals to engage in through their own free choice,
e.g. certain dangerous sports/pastimes​.
○ • Tolerable - ​risks that fall between the acceptable and unacceptable. Tolerability doesn't mean
acceptable but means that society is prepared to endure such risks because of the benefits they give
and because further risk reduction is grossly out of proportion in terms of time, cost, etc. In other
words, to make any significant risk reduction would require such great cost that it would be out of all
proportion to the benefit achieved​.

● Boundary Between Acceptable and Tolerable

■ The UK’s HSE believes an individual risk of death of one in 1 million per year, or less for both
workers and members of the public, is broadly acceptable. This risk is very low; indeed using
gas or electricity, or travelling by air poses a much greater risk.

● • ​Boundary Between Tolerable and Unacceptable

■ Here there is a distinction between workers and the public.

■ – For workers, an individual risk of death of one in 1000 per year represents the dividing line
between what is tolerable for an individual for any large part of their working life and what is
unacceptable (apart from exceptional groups).
■ – For members of the public who have risks imposed on them who live, for example, next to a

22
 major accident hazard, the figure is an individual risk of death of one in 10,000 per year, i.e.
ten times less risk. This figure equates approximately to the individual risk of death per year
as a result of a road traffic accident.

● Principles of System Failure Analysis

○ Holistic ​-Holistic means trying to understand all the interactions between the separate components as
they work together as a whole - everything affects everything else.
○ reductionist. - ​This approach divides the system into its components for individual analysis to identify
system or subsystem failures, e.g. in a HAZOPS or FMEA study (see below).

● Analytical Considerations of Systems and Subsystems Failures - ​Given the need for a systems approach to risk

management and that a thorough investigation of an accident, incident or disaster requires a detailed analysis
of the underlying causes, we need to understand how complex systems such as organisations, process plant,
items of equipment or human/machine interfaces can be broken down into sub-elements for more detailed
investigatio​n.

● Hazard and Operability Studies (HAZOPS)

● Failure Mode and Effects Analysis (FMEA)

● Principles of Human Reliability Analysis

○ The methodology for HRA is similar in principle to task analysis:

○ • Determine the scope of the assessment (aim, tasks, etc.).
○ • Gather information (observation, etc.).
○ • Describe the tasks (goals, steps, interactions between person and system).
○ • Identify any potential human errors.
○ • Estimate overall human error probabilities for the task (if needed): measure, calculate, use of
experts, use of some formal methods (e.g. THERP, SLIM, HEART*). This area is based on some
judgment - it is not precise and involves estimates.
○ • Give the result to the system analyst to incorporate into the overall risk assessment of the system
and consider if human error has a significant impact on the system.

23
 ○ • Develop control measures (if there is significant risk).
○ * THERP is ‘Technique for Human Error Rate Prediction’, SLIM is ‘Success Likelihood Index Method’
and HEART is ‘Human Error Assessment Reduction Technique’. HEART is a technique to arrive at
the human error probabilities (HEPs) by matching the task being assessed to one of nine generic task
descriptions from a given database and then to modify the HEPs according to the presence and
strength of the identified error-producing conditions (EPCs).

● Methods for Improving System Reliability

○ Use of Reliable Components

○ Quality Assurance
○ Parallel Redundancy
○ Standby Systems
○ Minimising Failures to Danger
○ Planned Preventive Maintenance
○ Minimising Human Error

● Probability and Frequency

○ Probability of harmful event could occur is - 1/1000

○ Frequency (exposure) - 5000 occurrence/day
○ Number of harmful events/day are→ (1 / 1000) X 5000 = 5

● Risk​ ​Control

○ Loss control:

■ Risk avoidance.

● Risk avoidance is avoiding completely the activities giving rise to risk. For example,
never travel by air to avoid the risk of being involved in a mid-air collision.
● Risk elimination usually has a wider meaning; it implies removal of a risk without
necessarily ceasing an activity completely, e.g. redesign of a process to remove a
particular risk without stopping the activity.

■ Risk reduction (mitigation)-Often, avoidance or elimination may not be possible or reasonably

practicable or even desirable (if, for example, it would involve closing a factory with the loss of
all jobs and high associated cost of redundancy). Risk reduction, while not as effective, might be

24
 a more economically viable solution.

○ Risk financing:

■ Risk retention​. ​- ​Here the loss is to be financed from funds within the organisation, so we have to

consider where the funds are to come from.

● Pay losses from current operating funds.
● Use an unfunded reserve, such as depreciation.
● Use a funded reserve, e.g. a fund of cash or easily obtained cash. It could be a group
fund. There is no tax advantage.
● Insuring through a captive insurer (see
● Borrowing to restore losses, which is not easy after a loss occurs.
● Divert funds from planned capital investment;

■ Risk transfer.

● Insurance
● Specialist contractor

Risk avoidanc​e​[​edit​]

This includes not performing an activity that could present risk. Refusing to purchase a ​property or business
to avoid ​legal liability is one such example. Avoiding ​airplane flights for fear of ​hijacking​. Avoidance may seem
like the answer to all risks, but avoiding risks also means losing out on the potential gain that accepting
(retaining) the risk may have allowed. Not entering a business to avoid the risk of loss also avoids the
possibility of earning profits. Increasing risk regulation in hospitals has led to avoidance of treating higher risk

conditions, in favor of patients presenting with lower risk.​[14]

Risk​ ​reduction​[​edit​]

Risk reduction or "optimization" involves reducing the severity of the loss or the likelihood of the loss from
occurring. For example, ​sprinklers are designed to put out a ​fire to reduce the risk of loss by fire. This method
may cause a greater loss by water damage and therefore may not be suitable. ​Halon fire suppression
systems may mitigate that risk, but the cost may be prohibitive as a ​strategy​.

Acknowledging that risks can be positive or negative, optimizing risks means finding a balance between
negative risk and the benefit of the operation or activity; and between risk reduction and effort applied. By
effectively applying ​Health, Safety and Environment (HSE) management standards, organizations can
achieve tolerable levels of ​residual risk​.​[15]

Modern software development methodologies reduce risk by developing and delivering software
incrementally. Early methodologies suffered from the fact that they only delivered software in the final phase
of development; any problems encountered in earlier phases meant costly rework and often jeopardized the
whole project. By developing in iterations, software projects can limit effort wasted to a single iteration.

Outsourcing could be an example of risk sharing strategy if the outsourcer can demonstrate higher capability
at managing or reducing risks.​[16] For example, a company may outsource only its software development, the
manufacturing of hard goods, or customer support needs to another company, while handling the business
management itself. This way, the company can concentrate more on business development without having to

25
worry as much about the manufacturing process, managing the development team, or finding a physical
location for a center.

Risk​ ​sharing​[​edit​]

Briefly defined as "sharing with another party the burden of loss or the benefit of gain, from a risk, and the
measures to reduce a risk."

The term of 'risk transfer' is often used in place of risk sharing in the mistaken belief that you can transfer a
risk to a third party through insurance or outsourcing. In practice if the insurance company or contractor go
bankrupt or end up in court, the original risk is likely to still revert to the first party. As such, in the terminology
of practitioners and scholars alike, the purchase of an insurance contract is often described as a "transfer of
risk." However, technically speaking, the buyer of the contract generally retains legal responsibility for the
losses "transferred", meaning that insurance may be described more accurately as a post-event
compensatory mechanism. For example, a personal injuries insurance policy does not transfer the risk of a
car accident to the insurance company. The risk still lies with the policy holder namely the person who has
been in the accident. The insurance policy simply provides that if an accident (the event) occurs involving the
policy holder then some compensation may be payable to the policy holder that is commensurate with the
suffering/damage.

Methods of managing risk fall into multiple categories. Risk retention pools are technically retaining the risk for
the group, but spreading it over the whole group involves transfer among individual members of the group.
This is different from traditional insurance, in that no premium is exchanged between members of the group
up front, but instead losses are assessed to all members of the group.

Risk​ ​retention​[​edit​]

Risk retention involves accepting the loss, or benefit of gain, from a risk when the incident occurs. True
self-insurance falls in this category. Risk retention is a viable strategy for small risks where the cost of insuring
against the risk would be greater over time than the total losses sustained. All risks that are not avoided or
transferred are retained by default. This includes risks that are so large or catastrophic that either they cannot
be insured against or the premiums would be infeasible. ​War is an example since most property and risks are
not insured against war, so the loss attributed to war is retained by the insured. Also any amounts of potential
loss (risk) over the amount insured is retained risk. This may also be acceptable if the chance of a very large
loss is small or if the cost to insure for greater coverage amounts is so great that it would hinder the goals of
the organization too much.

● Preventive and Protective Measures

○ Recognise.
○ Measure.
○ Evaluate.
○ Control.
○ Monitor.

26
 ○ Review

○ Identify and assess hazards and risks to workers’ safety and health on an ongoing basis.
○ Implement preventive and protective measures in the following order of priority:
○ Establish hazard prevention and control procedures or arrangements which should:

● Preventive and Protective Measures

○ Avoiding risks - Not using the material (e.g. toxic chemicals) or carrying out the activity (e.g.

excavations) eliminates the need for control

○ Evaluating the risks which cannot be avoided. Risk evaluation is an essential part of the risk

assessment process. It is where the level of risk is compared against agreed risk criteria. This helps
you decide on the most appropriate risk control options.

○ Combating the risks at source​. Control the risk as close to the point of generation as possible to

prevent its escape into the workplace (e.g. extract dust directly from a circular saw blade using LEV).

○ Adapting the work to the individua​l. Especially as regards the design of workplaces, the choice of work

equipment and the choice of working and production methods, with a view to alleviating monotonous
work and work at a predetermined work-rate and to reducing their effect on health. The traditional
approach has always been for the person to adapt to the machine or process. This measure requires
the employer to carefully consider ergonomic principles and design the work to suit the person.

■ Behavioural - involves education and training of operatives, putting up notices and signs, using

protective ​equipment and generally making employees aware of the risks - changing the
‘safety culture’ of the organisation.

○ Adapting to technical progress​. Many risks disappear from the workplace as better processes and

methods are introduced. For example, the replacement of traditional machine tools by CNC
(Computer Numerical Control) machines, primarily for production efficiency, also removes the need for
manually adjusted guards on lathes and milling machines.

○ Replacing the dangerous with the non-dangerous or the less dangerous​. This is always a key aim, and

an example of this is the replacement of the metal-cased, hand-held mains electric drill by
rechargeable, battery-operated, plastic-cased drills.

○ Developing a coherent overall prevention policy​. This covers technology, organisation of work, working

conditions, social relationships and the influence of factors relating to the working environment. It
embodies the principles of risk management and requires the employer to look at all aspects of the
health and safety management system rather than simply concentrating on basic workplace
precautions.

○ Giving collective protective measures priority over individual protective measures​. A safe place of work

should be the main priority rather than a safe person, so control of noise at source should be the aim
rather than the issue of hearing protection.

27
 ○ Giving appropriate instructions to workers.

● General Hierarchy of Control Measures

○ Elimination​ (technical) - Stop using the process, substance, or equipment, or use it in a different form.

○ Substitution (technical/procedural) Replace a toxic chemical with one that is not dangerous or less

dangerous. Use less noisy pumps.

○ Engineered ​Controls (technical/behavioural) Redesign of the process or equipment to eliminate the

release of the hazard so that everyone is protected; enclosure or isolation of the process or use of
equipment to capture the hazard at source and release it to a safe place, or dilution to minimise
concentration of the hazard, e.g. acoustic enclosures, use of LEV.

○ Signage​/​Warnings an​d/or Administrative ​Controls ​(procedural/behavioural) Design work procedures

and work systems to limit exposure, e.g. limit work periods in hot environments, develop good
housekeeping procedures. Controls may also include: use of signs, training in specific work methods,
and supervision.

○ PPE (as a last resort) (technical/behavioural​) Respiratory protective equipment, gloves, etc. - only

protects the individual.

● Factors Affecting Choice of Control Measures

○ Long Term/Short Term, Applicability and Costs - Those points which appear earlier in the list of control

measures will be the most effective in reducing the risk, but are usually the more expensive and take
much longer to put in place, so can be viewed as long-term objectives. Although, in practice, it might
be technically possible to achieve total elimination of a hazard, the costs involved and the benefits
achieved may mean that it does not pass the test of “reasonably practicable”.

○ Proportionality It is the responsibility of organisations to take ownership of their risks and therefore to

take proportionate (sensible) steps to manage those risks. This means focusing attention on the
significant risks that cause injury and ill health, not the trivia or everyday low risks. Proportionality is
achieved by concentrating on the real risks - those that are reasonably likely to cause a significant
level of harm - and not wasting valuable time and resources on unlikely events with low level
outcomes.

○ Effectiveness ​of ​Controls No one control measure can be 100% effective, so when evaluating which

measure to adopt you have to take into account its effectiveness. PPE is of limited benefit because it
only protects the person wearing it and not necessarily all those at risk. It may be uncomfortable or
inconvenient to wear. The more effective the control, the greater consideration should be given to its
use.

○ Legal ​Requirements ​and ​Standards In some circumstances, legislation specifies the controls needed

for a particular hazard. In these situations any selected control measure will have to meet these
standards as a minimum.

○ Competence ​of ​Personnel and Training Needs Clearly the control measures adopted for a specific

28
 situation must be such that the user is competent to use them without them creating a risk to the
worker concerned or others. This may mean additional training and supervision which are an added
cost.

For example, Article 10 of the ILO Occupational Safety and Health Recommendation (R164) states the following
obligation on employers: “to provide and maintain workplaces, machinery and equipment, and use work methods,
which are as safe and without risk to health as is reasonably practicable”.

● Components of a Safe System of Work

○ People.

○ Equipment.

○ Materials.

○ Environment.

● 4 components of permit

○ Issue

○ Receipt

○ Clearance / return to service

○ Cancellation

● Essential Features of a Permit-to-Work System

○ Hazard Evaluation
○ Precaution Planning
○ Instructing the Supervisors
○ Issuing the Permit
○ Monitoring the Permit

● Use of Risk Assessment in the Development of Safe Systems of Work and Safe Operating Procedures

○ Analysing the Task - Identifying the Hazards and Assessing the Risks
○ Introducing Controls and Formulating Procedures
○ Instructing and Training People in the Operation of the System
○ Monitoring and Reviewing the System

29
 Meaning of Safety Leadership - ​Hersey and Blanchard define leadership as “the process of influencing the
activities of an individual or a group in efforts toward goal achievement in a given situation”.

● Types of Safety Leadership

○ Transformational - Transformational Leadership is based on the assumption that people will follow a

person who inspires them, and that the way to get things done is by generating enthusiasm and
energy; consequently the aim is to engage and convert the workforce to the vision of the leader.

○ Transactional - Transactional Leadership is based on the assumption that people are motivated by

reward and punishment and social systems work best with a clear chain of command. The prime
purpose of a subordinate is to do what their manager tells them to do, so the Transactional Leader
creates clear structures setting out what is required and the associated rewards or punishments.

○ Servant - Servant Leadership is based on the assumption that leaders have a responsibility towards

society and those who are disadvantaged, so the Servant Leader aims to serve others and help them
to achieve and improve. Key principles of Servant Leadership include personal growth, environments
that empower and encourage service, trusting relationships to encourage collaboration, and the
creation of environments where people can trust each other and work together.

○ Situational ​and ​Contextual (Hersey and Blanchard) ​- Rather than promote a particular leadership style,

Hersey and Blanchard recognise that tasks are different and each type of task requires a different
leadership approach. A good leader will be able to adapt leadership to the goals to be accomplished.
Consequently goal setting, capacity to assume responsibility, education and experience are identified
as key factors that make a leader successful.

30
● The core elements to effectively managing for health and safety rely on:

○ • Leadership and management.

○ • A trained and skilled workforce.

○ • An environment where people are trusted and involved.

○ • An understanding of the risk profile of the organisation.

● Internal Influences on Health and Safety

31
 ○ Finance

○ Production Targets

○ Trade Unions/Labour Unions

○ Organisational Goals and Culture

● External Influences on Health and Safety Within an Organisation

●
● Legislation
● Tribunals/Courts
● Enforcement Agencies
● Contracts/Contractors/Clients
● Trade Unions
● Insurance Companies
● Public Opinion

● Organisational Structures and Functions

○ Formal and I
○ nformal Structures

● Identifying Third Parties

○ Agency Workers
○ Other Employers (Shared Premises)

● Selection, Appointment and Control of Contractors

○ The Planning Stage

○ Choosing a Contractor
○ Contractors Working on Site
○ Checking on Performance
○ Review

32
● Formal Consultation

○ Worker Representatives
○ Health and Safety Committees
■ Union Committees -​There are several types of health and safety committee, one being a local
union committee. This has no employer involvement. According to the ILO training guide, the
role of the local union committee is to:
■ Joint Labour-Management Committees-​These involve management as well as workers. In
terms of membership, generally there should be at least two worker representatives, selected
with the agreement of the unions (where applicable), or possibly from the local union
committee.
■ Formal Consultation Directly with Workers-​The health and safety union committee is an
effective way to formally consult with representatives of the different unions that may be
recognised in a workplace. If the workplace does not have such representatives then there is
still the need for some form of formal consultation with the workforce. Employers can consult
with workers:
● through worker representatives elected by a group of workers, or
● Directly.

● Informal Consultation

○ Discussion Groups
○ Safety circles
○ Department meeting
○ Worker discussions
○ Email and web based forums

● Role of the Health and Safety Practitioner in the Consultative Process

○ Within the Organisation

○ Outside the Organisation

● “The safety culture of an organisation is the product of individual and group values, attitudes, perceptions,

competencies, and patterns of behaviour that determine the commitment to, and the style and proficiency of, an
organisation’s health and safety management. Organisations with a positive safety culture are characterised by
communications founded on mutual trust, by shared perceptions of the importance of safety and by confidence in
the efficacy of preventive measures.”

● Promoting a Positive Health and Safety Culture

○ Management Commitment and Leadership

○ High Business Profile to Health and Safety

33
 ○ Provision of Information
○ Involvement and Consultation
○ Training
○ Promotion of Ownership
○ Setting and Meeting Targets

● Factors that May Promote a Negative Health and Safety Culture or Climate

○ Organisational Change
○ Lack of Confidence in Organisation’s Objectives and Methods
○ Uncertainty
○ Management Decisions that Prejudice Mutual Trust or Lead to Confusion Regarding Commitment

● Effecting Cultural or Climate Change -​There are three factors that should be considered when managing a

change in culture:
○ Dissatisfaction with the existing situation, e.g. too many near misses.
○ A vision of the new safety culture.
○ Understanding how to achieve it​.

Change is an inherent part of modern life, but there are many people who find change difficult to deal with and who are
afraid of it. In order to effect change within an organisational culture, you have to plan the strategy and communicate
from the beginning in order to involve workers and not alienate them.

○ Planning and Communication

○ Strong Leadership
○ A Gradualist (Step-by-Step) Approach
○ Action to Promote Change
■ Direct
■ Indirect
○ Strong Worker Engagement
○ Ownership at All Levels
○ Training and Performance Measurements
■ Training courses
■ Performance measurements
○ Importance of Feedback

● Problems and Pitfalls Relating to Change

○ Changing Culture Too Rapidly

○ Adopting Too Broad an Approach
○ Absence of Trust in Communications
○ Resistance to Change

34
● Influences on Human Behaviour

○ Personality - ​The main dimensions of personality are:

■ – Extroversion/introversion – extroverts are more outgoing than
■ introverts.
■ – Neuroticism – neurotics have high levels of anxiety.
■ – Conscientiousness - such people tend to be well organised.
■ – Agreeableness – these people are more willing to co-operate with others and avoid conflict.
■ – Openness to experience – such people tend to welcome new experiences and are more curious.
○ Attitude – reflects how a person thinks or believes about something (often called the object of the attitude) and
this may then extend to how they behave. For example, as a result of experiencing a workplace transport
accident a person is more likely to become safety conscious (at least initially) in relation to work transport
hazards.
○ Aptitude – the ability of an individual to undertake a given task safely. Training and supervision usually increase
aptitude.
○ Motivation – the factors that influence an individual to behave in a certain way. Most people are generally
motivated to avoid accidents and ill health, although other motivators may conflict with the general principle. For
example, wearing PPE may be uncomfortable and interfere with the task and so may encourage people to take
greater risk by not using it.

● Key Theories of Human Motivation

○ Mayo (Hawthorne Experiments)

○ Maslow (Hierarchy of Needs)
○ Vroom (Expectancy Theory)
○ Blanchard

● Factors Affecting Behaviour

○ Experience
○ Social and cultural background
○ Education & training

35
● Errors

○ Skill-based errors - ​Possible prevention strategies for skill-based errors include: verification checks,
such as checklists; feedback, warning signals if wrong action is selected; design of routines to be
distinct from each other; and supervision​.
■ Slips of action
■ Lapses of memmory
○ Mistakes - Possible prevention strategies include: training; supervision; use of checking systems;
provision of sufficient time and knowledge.
■ Rule based mistakes
■ Knowledge based mistakes

● Violations -​ Violations are a deliberate deviation from a rule or procedure, e.g.

○ Routine
○ Situational
○ Exceptional

● Motivation and Reinforcement

○ Workplace Incentive and Reward Schemes

○ Job Satisfaction

○ Appraisal Schemes

● Selection of Individuals

○ Matching Skills and Aptitudes

○ Training and competence
○ On-job training

36
 ○ Off jib training
○ Fitness of work

● Effect of Weaknesses in the Health and Safety Management System on the Probability of Human Failure

○ Inadequacies in Policy
○ Setting of Standards
○ Information
○ Planning
○ Responsibilities
○ Monitoring

● Influence of Formal and Informal Groups

○ Formal Groups
■ Are established to achieve set goals, aims and objectives.
■ • Have clearly defined rules, structures and channels of communication.
■ • Are often divided into productive and non-productive, productive organisations being
involved in the production of goods and servic​es.
○ Informal group
■ Grapevine

● Organisational Communication Mechanisms and their Impact on Human Failure Probability

○ Modes of Communication
■ One way communication - Examples include: a tannoy message in a factory, a safety poster,
following written or e-mail instructions​.

37
 ■ Two way communication - Examples include: a one-to-one meeting, a tool box talk with the
opportunity for questions, etc., or a telephone call.
○ Shift Handover Communication

● Organisational Communication Routes

○ Vertical Communication - ​Downwards Whereas downwards communications are usually ‘directives’,

i.e. they initiate action by subordinates.
■ Upwords - ​upward ones are usually ‘non-directive’, i.e. they report results or give information,
but are not necessarily intended to prompt action.

● Horizontal ​Communication - Information is also channelled horizontally, both within a department and between

departments. We give information to and receive it from colleagues in our own department and we have
contacts with our opposite numbers in other departments. These communications are of the greatest value in
administration, particularly in effecting coordination (see the following figure).

● inward and Outward Communication​I

○ Inward Here we see the effect of all the personal face-to-face calls on people at all levels in the

organisation: the incoming telephone calls and e-mails from people of all kinds making contact with
various members of staff, and postal correspondence arriving daily.

● • ​Outward The amount of communication outwards from any organisation is sometimes grossly miscalculated.

Outgoing communications are both formal and informal, both explicit and implicit.

● Effect of Job Factors on the Probability of Human Error

○ Job factores

■ The equipment, e.g. design and maintenance of displays, controls, etc.

■ • The task itself, e.g. complexity.

■ • Workload.

■ • Procedures or instructions – clarity, completeness.

■ • Disturbances and interruptions.

■ • Working conditions – noise, temperature.

○ Task Complexity
○ Patterns of Employment
○ Payment Systems
○ Shift Work

● Application of Task Analysis - ​Task analysis is a process that identifies and examines tasks performed by

humans as they interact with systems. It is a means of breaking down a task into each individual step and is a

38
 technique that looks at an activity in detail. The activity in question may be one where a number of people
have injured themselves. By breaking the task down into each step then the cause of the injury may become
apparent and a better way of completing the task may be identified. Each step can be examined in detail to try
to identify where human error might occur.

● Role of Ergonomics in Job Design - Ergonomics is concerned with “fitting the job to the man”, rather than

expecting the individual worker to adapt to the job.

● Influence of Process and Equipment Design on Human Reliability Human beings are unreliable – how unreliable

depends on the individual and the work environment. Consider the effect that being in a very hot environment
has on your work performance; or, when you have had a large lunch, how your output is affected by a feeling
of sleepiness. However, much can be done to minimise such effects by improving the environment and
making the task such that errors are minimised. This is achieved by careful design of any controls. Man and
machine are each better at some things than the other. Ideally, you want to use the strengths of both to
minimise possible weaknesses; together they represent the ‘system’ for meeting the requirements. This can
be illustrated diagrammatically as in the following figure.

●
● The Worker and the Workstation as a System - In ergonomics, the man, the machine, and the working

environment may be considered as the elements that together comprise a system. When considering the
ergonomic ‘fit’ of the workplace to the worker, there are a number of factors to take into account.
○ Anthropometry - This is a study of human measurements, such as shape, size, and range of joint

39
 movements. A machine must be designed for the person. Since no two people are the same, a design
is required which will suit, or can be adapted for, a wide range of sizes of individuals.
○ Physiology- This is a study of the calorific requirements of work (how much energy is needed) and
body functions, the reception of stimuli, processing and response. The operator and machine must be
complementary. A person must not be expected to do more than the human body is capable of. Some
things are best done by a person; other things by a machine.

● Principles of Behavioural Change Programmes

● Behavioural programmes aim to change individual behaviour using a number

● of techniques including:
● • Observations.
● • Feedback.
● • Goal-setting.
● • Team-working.

● Risk​ ​Control

40
 ○ Loss control:

■ Risk avoidance.

■ vvvvv
● Risk avoidance is avoiding completely the activities giving rise to risk.

For example, never tra

41