~1~

10
 Foundation in Health and Safety (ILO-OSH 2001).
- REASONS for maintaining and promoting good standards of health and safety
- Barriers to Good Standards of Health and Safety
- ROLE OF NATIONAL GOVERNMENTS AND INTERNATIONAL BODIES
- ILO-OSH 2001 Safety and Health Management System
 Elements of health & Safety Management System (POPMAAR)
- 1. Policy
- 2. Organisation
- 3. Planning & Implementing
- 4. Measuring Performance/Evaluation
- 5. Action for improvement
- 6. Audit
- 7. Reviewing Performance for Continual Improvement

POLICY Policy Development

ORGANISING
Organisational
Development
Planing &
Implimentin
Developing
g
techniques of
planning, measuring
Evaluation and reviewing

Acion for
Feedback loop to
Improvmnt
improve performance

 Controlling Workplace Hazards

- Element 1: Workplace Hazards and Risk Control
- Element 2: Transport Hazards and Risk Control
- Element 3: Musculoskeletal Hazards and Risk Control
- Element 4: Work Equipment Hazards and Risk Control
- Element 5: Electrical Safety
- Element 6: Fire Safety
- Element 7: Chemical and Biological Health Hazards and Risk Control
- Element 8: Physical and Psychological Health Hazards and Risk Control
 ~2~

Element-1. Foundation in Health and Safety HSMS.

Safety: Safety is a state where the risk of harm has been eliminated or reduced to an
acceptable level.
Purpose of safety: To carry out any work in safe manners.
Safety procedure: Procedure is a written instruction of top management regarding the
task which is deal rules, regulation and limitation for all safe method.
HSE Orientation/Safety induction: Every employee or the workers has to undergo a
safety training to know the rules and regulation of the company at joining time to get ID.
The main reason behind this orientation is to give awareness of safety of the site to stop
all kind of incidents, accidents, property damages and environment issues.
 Health: Health relates to the condition/state in both physiological and psychological
sense, of all people at the workplace (workers, contractors and visitors) and their
protection from harm in the form of injury or disease.
For example: if we are exposed to asbestos, there is a risk we might contract lung
cancer.
In occupational terms, it would include not suffering for example from fatigue, stress
or noise induced deafness.
 Safety: Safety relates to the conditions at the workplace and applies to the pursuit of
a state where the risk of harm has been eliminated or reduced to an acceptable level.
 Incident: An undesired event which does not result in injury, damage or loss, but
which could have caused human injury, ill- health, death, property damage or any
other form of loss.
 Near-miss : An unplanned and unforeseeable event that could have resulted in
human injury, ill- health, death, property damage or any other form of loss., but did
not in fact do.
For example: The worker realizes that a machine guard is missing and pulls out his
hand, just getting a smear of oil on his fingers.
 Accidents: An unintended or unplanned event that result in personal injury, ill-
health, death, property damage or any other form of loss, work process stoppage or
interference, or any combination of these conditions.
e.g. a worker is injured when he puts his hand into a machine from which a guard has
been removed.
(Any deliberate attempt to cause injury or loss is therefore not an accident)
 Commuting accident: an accident resulting in death or personal injury occurring on
the direct way between the place of work and:
(i) The worker's principal or secondary residence; or
(ii) The place where the worker usually takes a meal; or
(iii) The place where the worker usually receives his or her remuneration.
 Occupational accident: an occurrence arising out of, or in the course of, work, which
results in fatal or non-fatal injury.
 Occupational disease: any disease contracted as a result of an exposure to risk
factors arising from work activity e.g. occupational cancer arising from exposure to
asbestos in the workplace.
 ~3~
 Dangerous occurrences : A specified event that may have to be reported to the relevant
authority by law.
o A readily identifiable event as defined under national laws and regulations, with
potential to cause an injury or disease to persons at work or to the public. These
events typically involve serious potential for injury, even though no injury in fact
resulted – though they usually involve some form of loss or damage to equipment.
Examples of this type might include explosions when a factory is empty of workers or
collapse of scaffolding during a night time gale.
 Work-Related Ill-Health
It is easy to equate personal injury with accidents, but work-related ill-health may
also be the outcome of a type of accident. Nobody sets out deliberately to create the
conditions which cause asbestosis, dermatitis or work-related upper limb disorder.
The main differences between health issues and safety issues are timescale and the
nature of the harm. Physical accidents happen very quickly, whereas health accidents
tend to occur slowly, often over a long period of time, and equally health issues relate
to illness whilst safety issues relate to injuries.
 Ill-health incident - an unplanned, unwanted event that leads to ill-health of some sort.
 Work-related ill-health may be either physiological or psychological:
 Physiological problems are those diseases or injuries suffered as a result of long-
term exposure to dangerous substances in the workplace (such as various types of
dust or fumes) or to damaging working practices (such as repetitive movements or
excessive noise).
 Psychological problems are usually related to stress and include such illnesses as
depression. Stress may be created by short-term, or even instant, events, where
the emotional shock of a particular incident or series of incidents (such as being
involved in or witnessing violence) may cause problems for workers. It may also be
the result of longer- term exposure to particular pressures at the workplace,
including excessive demands on performance or bullying.
 Hazards: Something with the potential to cause harm.
This can include substances or machines, methods of work and other aspects of
work organization.
The key word is potential. Not all hazards will cause harm all of the time. It depends
upon circumstances.
Typical workplace hazards include: Working at heights, Noise, Electricity, Machinery,
Chemicals, Poor lighting, Manual handling, cluttered walkways, and Fire.
These are just a few examples. In a normal workplace there may be many more
hazards. Hazards can be broadly classified as;
i. Physical (e.g. electricity), ii. Chemical (e.g. mercury), iii. Biological (e.g. hepatitis),
iv. Ergonomic (e.g. repetitive handling) v. Psychological (e.g. stress).
 Risk: The likelihood that a hazard will cause harm in combination with the severity of
injury, damage or loss that might foreseeably occur.
A risk is the likelihood of harm occurring. The degree of risk depends upon the
likelihood of harm happening and the severity of the outcome i.e. type of injury,
numbers involved, etc.
 Risk is the contribution of likelihood of a hazardous event occurring and the
 ~4~
consequences of the event.
Risk = Likelihood x Consequences
 What is PPE? Personal Protective Equipment include: safety shoes, hard hate, hand
gloves, safety glass, face shield, ear plugs or muffs and safety harness.
 Welfare facilities: The provision of facilities to maintain the health and well-being of
individuals at the workplace. Welfare facilities include washing and sanitation
arrangements, the provision of drinking water, heating, lighting, accommodation for
clothing, seating (when required by the work activity or for rest), eating and rest
rooms, and arrangements for First-aid.
 1. Drinking water – Access to wholesome drinking water. If non-potable water is also
available then supplies should be clearly labeled to distinguish between the two.
 2. Sanitary conveniences – access to a sufficient number of sanitary conveniences
(WCs) for the number of workers present with separate facilities for men and women.
They should be protected from the weather and adequately clean, lit and ventilated.
Special provision should be made for the disabled.
 3. Washing facilities – access to suitable washing facilities by sanitary conveniences,
changing facilities and as required in work areas. Showers may be necessary if the work
is dirty, strenuous or involves potential contamination with hazardous substances.
Washing facilities should have hot and cold (or warm) running water, soap, and towels
(or other means of drying).
 4. Changing rooms – suitable changing facilities if workers have to change into special
work wear and this involves significant undressing. These should be adequately lit,
clean and ventilated, with separate facilities for men and women.
 5. Accommodation for clothing – lockers or other storage facilities where workers
have to change for work so that their personal clothing can be kept clean and secure.
Separate storage for dirty work clothing may be necessary to prevent cross-
contamination.
 6. Resting and eating facilities – access to suitable rest areas where workers can take a
break from work. Such areas should have sufficient seating and be away from
hazardous work areas, allowing workers to remove PPE and relax. Eating facilities
should be provided so that food can be eaten in a hygienic environment. If hot food is
not provided at work then basic facilities might be provided so workers can make their
own hot drinks and food.
Outline possible consequences of not achieving good standards of health and safety.
Recognition of the financial and legal implications of poor health and safety performance
should be outlined with details of:
 ~5~
The ways in which an organization could encourage workers and motivate their
employees to be involved in setting and maintain high standards of health and
safety
1. Leadership: Clearly visible health and safety leadership
2. Resources: Provide resources towards H&S initiatives-budget and men power
3. Management System: Effective health and safety management system
4. Management Commitment: Lead by example. A clear and evident commitment
from the most senior manager downwards,
5. Effective monitoring systems to check the implementation of the procedures
and standards
6. Reporting and analysis: Insisting on effective incident reporting and analysis
7. Investigating accidents and near misses: the effective use of information drawn
from such investigations
8. Consultation: Consult with workers on issues related to H&S. –new procedures,
new equipment.
9. Involvement in the decision making:
10. Efficient communication systems and practices Consistent and clear
communication between management and staff.
11. Explaining: Certain actions have to be taken (why has the PPE got to be worn)
12. Praise and Encouragement: Recognizing and Rewarding efforts: Implement
reward system
13. ITIS: Improve Knowledge, Training, and other abilities
14. Acceptance of Responsibility:
15. Safety campaigns: Organize safety campaigns
16. Safety committees:
17. Targets: Set tangible SMART targets.
18. Listening to employees concerns:
19. Ensuring suitable work patterns are implemented
20. Adequate and effective supervision with the power to remedy deficiencies when
found.
21. Safety Culture: Encouraging a positive health and safety culture

Enforcement acts by HSE

1. Improvement notice
2. Prohibition notice
3. Prosecute companies or individual
Obstacles/ Barriers to Promote Good Standards of Health and Safety at workplace
 Health and safety is based on removing, or minimizing, the causes of accidents and
other events …..
 However, other obstacles arise from the nature of the workplace itself – the
characteristics both of the organisation within which work is carried out and of the
people who carry out the work.
 ~6~
 THE MORAL, LEGAL AND ECONOMIC REASONS FOR HEALTH AND SAFETY
1. The Moral Responsibility
 When health and safety is not managed properly people get killed and injured in
gruesome ways, or suffer terrible diseases that has a massive impact not only on them,
but also their dependents, families, friends and colleagues.
 Society as a whole considers these events to be morally unacceptable, and injury or ill-
health should not be a price that has to be paid in order for the worker to feed their
family, and society as a whole demands that people are safe while at work.
2. Legal
 The law requires responsible people in the organizations to assess reasonably
foreseeable risks for the company’s activities and to put in place (cost-effective) control
measures that will reduce the risk.
 If it’s shown that the accident happened because of a failure to manage health and
safety risks in the organization the regulator may take action which in turns may lead to
prosecutions fines and imprisonment.
 It is the duty of every employer, so far as is reasonably practicable, to ensure the
hSealth, safety and welfare at work of all his employees.
The legal responsibility for managing health and safety at work rests primarily on the
employer.
3. Financial
Indirect Costs: Indirectly, difficult to quantify precisely, hard to identify, no payment of money
 Medical: First-aid provision and training.
 Legal: Fines for Breaches of HS compliance, Investigation costs, legal defence costs,
possible imprisonment,
 Production:
Loss of Staff from productive duties in order to investigate the incident, prepare
reports, undertake hospital visits, deal with relatives, attend court proceedings.
 Wages:
Increased overheads if plant and men are idle, Extra Overtime payments;
 Organisational:
Cost of Recruitment and training, Loss of key personnel or even leaving the company
for safer environment, Loss of staff morale, Loss of goodwill and a poor corporate
image of customer following delays in production, Damage to industrial relation,
perhaps leading to industrial action (e.g. Strikes), Increased insurance premiums.
(Insurers charge based on your risk profile) — How likely they believe you are to make a
future claim. The less risky you appear, the lower your rate.

1. Policy (ILO-OSH 2001).

Outline: Key Elements of a Health and Safety Management System (POPMAAR)
1. Policy: A clear statement has to be made to establish health and safety as a prime
commitment of management at all levels of the organisation, but particularly at the top.
One foundation stone of health and safety management in any organisation is the health
and safety policy. A good health and safety policy
 Sets out the organization’s general approach to achieving particular;
Aims, Objectives and commitment that could be expected
 It provides a framework of general and specific health and safety responsibilities for staff,
 ~7~
 Guidance on the detailed operational arrangements to be taken to protect employees
and others from harm as a result of workplace activities.
2. Organising - A framework of roles and responsibilities for health and safety must be
created within the organisation, from senior management down to the front-line
workers, including the appointment of specialist staff.
3. Planning and Implementing
 This refers to the detailed specification of health and safety standards to be
applied in all areas and aspects of work,
 The measures taken to ensure that they are carried out.
 On the basis of risk assessment, safe systems of work and protective measures
should be identified and implemented.
4. Measuring/ Evaluation - Methods must be devised to monitor and review the
effectiveness of the arrangements put into place. This might be done reactively, e.g.
by reviewing accident and ill-health statistics, or actively, e.g. by reviewing
inspection reports.
5. Action for Improvement - Any shortcomings identified by the review process must
be corrected as soon as possible by making whatever adjustments are necessary to
the policy, organisation and arrangements for implementation.
6. Audit - Arrangements must be made for the independent, systematic and critical
examination of the safety management system to ensure that all parts are working
acceptably well.
7. Review & Continual Improvement/ (sharpen he saw) - The intention is that the
safety management system will not remain static but will develop over time to
become increasingly appropriate and useful to the organisation that it exists to
serve.

Explain: ILO-OSH 2001 SAFETY AND HEALTH MANAGEMENT SYSTEM

• Plan. • Do. • Check. • Act.
This general approach has been used in many recognized management systems, for
systematic management of health and safety including the
1. International Organisation for standardization
a. ISO45001 Occupational Health and Safety
b. ISO14001 Environmental Protection Management System
c. ISO12001 Machinery Safety
d. ISO9001 Quality Management System
2. OHSAS 18001 Occupational Health and Safety Assessment Series
3. HS(G)65 Successful Health and Safety Management Systems
All these safety management systems have common principles, which are
demonstrated in the
4. ILO-OSH 2001
 ~8~
ILO’s Occupational Safety and Health Management System
POLICY Policy
Development

ORGANISING
Organisational
Development
Planing &
Implimenti
Developing
ng
techniques of
planning,
Evaluation measuring and
reviewing

Acion for
Feedback loop to
Improvmnt improve
performance

What are the aims of Health and safety policy?

AIMS of Health and Safety Policy
An organisation's health and safety policy is a comprehensive written statement of
how it will deal with health and safety issues. In general terms, its objectives are to:
1. Legal Compliance: To comply with the relevant legislation
2. Identify the roles and responsibilities of managers, specialist health and safety
personnel and other workers.
3. Co-ordinate activities to identify, analyse and implement solutions to potential
safety problems.
4. Define arrangements for promoting, planning and controlling all aspects of health
and safety in the workplace.
5. Review policy for Continual Improvement
Objectives and Targets in G.S.I (General Objectives)
The Statement of Intent may recognize some general objectives that have to be achieved
by the organisation, such as:
1. Meeting Legal obligations.
2. Provision of a safe workplace, safe equipment and safe systems of work,
information, training, instruction, and supervision.
3. Risk assessment of all relevant workplace activities.
4. Performance monitoring.
5. Provision of adequate Resources, such as expert health and safety adviser.
6. Effective Communication and Consultation with workers.
Targets: (Accidents Rates, Active Monitoring, Regularity of review)
The Statement of Intent may also set quantifiable (SMART) targets for the organisation
to achieve. Targets are useful, as they allow performance to be measured and provide
a tangible goal for staff to aim for. They also help drive continual improvement.
Possible targets might relate to:
1. Accident rates: To achieve a reduction in the accident or ill-health rate. The
objective should be to see a continuous reduction in the number of accidents.
 ~9~
2. Active monitoring: To complete successfully a number of active monitoring
activities, such as:
i. Successful completion of 90% of all Supervisor safety inspections over a year.
ii. Carrying out risk assessments across the organization.
iii. Increase in Delivery of training to all workers.
iv. Development of a consultation process to engage the workforce.
v. Increase in reporting incidents/ near misses
vi. Improvement of H&S Audit score
Give: the meaning of the term “Benchmarking”
The process of comparing performance in this way is known as “benchmarking”. So, if
fatal road-accident rates in an industry as a whole are, for example, one for every
100,000 miles driven, the target for a particular organisation may be to achieve that
standard, or have a lower rate.
3. Regularity of review
All aspects of the policy, but particularly the operational safety arrangements, must be
reviewed to ensure that they remain effective in the light of changing circumstances.
The policy should specify how often this has to be done.
General Statement of Intent
Outline Imp Aims Objectives The Commitment Duties towards gen Signing Authority
that Org Places to Achieve Legal public & others & dated
on H & Safety compliance
Targets

2. ORGANISATION SECTION (HEALTH AND SAFETY ROLES AND RESPONSIBILITIES)

Provides a framework of general and specific responsibilities for staff. This section of the
health and safety policy
1. Identifies the roles and responsibilities of staff to enable clear delegation of
duties.
2. Deals with people and their operational duties in relation to health and safety. It
outlines the chain of command for health and safety management and
3. It is standard practice for this section to include an organisation chart showing
a. The lines of responsibility and accountability (in terms of health and safety
management).
b. This chart also shows the lines of communication and the feedback routes that
exist within the organisation for clear reporting.

The figure above shows a typical organisation chart for a company.

 ~ 10 ~
Management hierarchy with respect to responsibilities and accountabilities:
The Organisation section will usually reflect the management hierarchy within the
organisation and allocate responsibilities accordingly:
1. The CEO or MD - ultimately responsible and accountable for the entire organisation.
2. Management at all levels - responsible for ensuring that all appropriate safety
measures are in place and being carried out effectively within the part of the
organisation under their management control.
3. All employees - responsible for acting safely at all times for their duties at work.
4. Competent persons - have operational duties but are also considered competent to
carry out one or more specialist health and safety duties, e.g. as first-aiders, fire
marshals, etc.
5. Specialist health and safety practitioners -responsible for providing advice to
support management and employees in achieving safety.
1. ARRANGEMENTS SECTION (Arrangements, Systems and Procedures)
The Arrangements section is often the largest section of the policy. It deals with
 The general arrangements that exist to manage health and safety and
 The specific arrangements that is necessary to deal with particular risks relevant to
the organisation and its activities.
 The systems and procedures used to manage health and safety are contained in
this section.
HEALTH AND SAFETY POLICY – ARRANGEMENTS General Arrangements
The arrangements section of the health and safety policy document should state how
the organisation, through the responsibilities of the people identified in the
organisation section, will carry out the general intentions given in the statement.
This is the most company-specific part of the policy and should have details of
procedures for controlling risks identified by the risk assessments. 
REVIEWING POLICY: A health and safety policy should be subject to regular review
so that it remains current and relevant. In this way it can be kept a “live” document.
It is good practice to review policy on a regular basis, e.g. annually. However, there are
other circumstances which could give rise to reviews. The aim of the review is to make
sure that the policy is up-to-date and accurate. The date of the previous review should
be recorded on policy documents to indicate how current they are.
Reasons why Health & Safety Policy to be reviewed
Circumstances/ Influences that might require a review of policy:
External Influences:
1. Legal changes, such as the introduction of new legislation applicable to the
organisation.
2. Technological changes, e.g. introduction of new plant or processes.
3. Following enforcement action.
4. Where an audit, investigation or risk assessment suggests the policy is no longer
effective.
5. When requested by a third party, such as an insurance company or client.
6. Suggestions from professional bodies or trade unions
7. Information from manufacturers
8. Client considerations or complaints;
 ~ 11 ~
Internal influences:
1. Significant changes in the management structure of the organisation;
2. Organisational changes, e.g. changes to key personnel, such as a new CEO or MD,
3. Passage of time - at least annually is there have not been organisational changes.
4. Changes to the type of work that the organisation does.
5. Alterations to working arrangements;
6. After the introduction of new or changed processes or work methods;
7. Following consultation with the workforce.
8. Where risk assessments, monitoring exercises or accident investigations show that the
policy is no longer effective or relevant;
9. Accident patterns - if a pattern of accidents, accidents in a certain area have been
highlighted, a single significant accident – accidents tend to indicate a management
system failure.
10.Take-overs or mergers: the print room manager could be given additional
responsibilities for packing, following a merger with a distribution company.
11.Change of premises (which will alter such arrangements as fire safety procedures,
evacuation and assembly, or alarm testing)
The Concept and Significance of Health and Safety Culture
Safety culture can be defined as the result of shared attitudes, values, beliefs and
behaviors relating to health and safety.
o Its observable features of the way in which it works.
o It’s structure, how responsibilities are undertaken.
o Management style, how the organization gets things done, its particular way of doing
things.
o Ethics, how everyone within the organistaion thinks and feels about health and safety
and how this translates into their behavior e.t.c

Factors that have a negative impact on health and safety culture

1. Lack of clear direction and leadership from management.
2. Lack of management commitment to safety, e.g fail to provide and maintain safe
place , plant process, IT IS.
3. Lack of resources, e.g. too few workers due to downsizing. Or possibly due to a
harsh economic climate; conflicting demands with priority being given to
production targets and meeting deadlines;
4. Lack of worker consultation.
5. Poor management systems and procedures.
6. Poor communication and consultation with the workforce;
7. Poor morale among the workforce and a lack of motivation;
8. Failure to provide adequate training leading to a lack of awareness amongst
workers;
9. Failure to complete risk assessments and to produce SSW and method statements.
10.The need to Comply with different and conflicting standards.
11.Organizational Changes (frequent or poorly communicated change can result in
uncertainty).
12.Health and safety receiving lower Priority than other business issues.
13.Interpersonal issues, e.g. peer-group pressure, bullying or harassment.
 ~ 12 ~
14.Presence of a Blame culture.
15.High staff Turnover rates.
16.Behavioral issues; when workers sometimes make mistakes or deliberately act
unsafely
17.Deterioration in the standard of welfare facilities

PROMOTING A POSITIVE SAFETY CULTURE (4Co’s)

(CONTROL, COMPETENCE, CO-OPERATION , COMMUNICATION)
1) “Control’’ might help to promote a positive health and safety culture in the
workplace by for example:,
1. Demonstrate clear commitment and leadership, which usually includes
appointing a senior manager with responsibility for health and safety.
2. Senior and line management visibility on the shop floor
3. Monitor the implementation of the health and safety policy;
4. Ensuring health and safety management procedures are in place;
5. Allocating responsibilities to specific personnel with managers taking full
responsibility for controlling risk factors and reporting on performance;
6. Enforcing health and safety measures and taking disciplinary action where this is
thought to be necessary.
7. Sufficient resources devoted to health and safety
8. Ergonomic plant design and layouts
9. Encouraging safety representatives to promote both the policy and the
standards set;
10.Persuading employees to commit to clear health and safety objectives and
setting health and safety standards;
2) ‘’Competence‟ might be achieved by:
1. ITIS. The provision of the necessary instruction, information and training to
individuals with particular emphasis on that needed for high risk activities;
2. Quality training given to management and the workforce
3. Assessing the skills necessary to ensure tasks are carried out safely by careful
selection of the staff to be involved and identifying their training needs;
4. Making arrangements for employees to have access to advice and information
sources to assist in increasing their knowledge
5. High levels of job satisfaction
3) “Co-operation‟ is concerned with:
1. Consultation with the employees and their representatives to motivate them
and encourage their ownership of the control measures that have been put in
place;
2. Need of balance in production demands and health & safety requirements -
health and safety objectives should integrate with financial, operational and
business objectives so that there is no conflict of goals.
3. Involving the workforce in health and safety matters such as for example the
completion of risk assessments and workplace inspections;
4. Sharing information with them regarding loss and other health and safety
experiences.
 ~ 13 ~
4) “Communication‟ can play an important part in promoting a positive health and
safety culture by:
1. Clear and effective lines of communication established and any barriers
removed;
2. Frequent and informal communication between all levels
3. If information is provided by tool box talks for example and
4. Health and safety is discussed regularly not only at official safety committee
meetings but also at all team meetings;
5. If managers are seen to lead by example and to encourage two way
communication

How do an individual’s peers exert influence over his/her behavior?

Answer: Through the influence of groups and group norms.
TANGIBLE OUTPUTS OR INDICATORS OF A HEALTH AND SAFETY CULTURE:
It makes sense to try to assess an organisation’s safety culture to see whether it is
strong and positive, or if there is room for improvement. But the safety culture of an
organisation is quite difficult to assess directly because there is no one single feature
or item that can be measured. Safety culture is partly defined as how people think and
feel their attitudes, their beliefs and their priorities. These are intangible concepts and
almost impossible to measure. So, rather than trying to assess the safety culture
directly it is perhaps better to assess it indirectly by looking at the tangible outputs
that can be used as indicators. There is no single indicator that can be used to assess
safety culture; instead several indicators must be examined together.
They may be divided into two classes:
1. Active indicators – which show how successfully health and safety plans are being
implemented, mainly through the level of compliance with systems and
procedures.
2. Reactive indicators – which show the outcomes of breaches of health and safety
systems and procedures, mainly through accidents, etc.
1. Accidents
2. Absenteeism
3. Sickness Rates
4. Staff Turnover
5. Level of Compliance with Safety Rules and Procedures
6. Complaints About Working Conditions
7. The Influence Of Peers

We have to understand why people behave the way they do at work. If we can
understand that, then it may be possible to:
• Correct poor behaviour when it is identified, by removing the cause of that
behaviour.
• Anticipate poor behaviour before it occurs and introduce changes to reduce the
likelihood of it occurring.
 ~ 14 ~
Factors influencing safety related behavior
1. The Individual (People, Employees, contractors, sub-contractors etc)
i. Attitude
a. Education and training
b. High-impact interventions
c. Consultation and involvement in the decision making process
d. enforcement
ii. Competence: KETS Abilities
iii. Motivation
iv. Perception
a. Carrying out safety awareness campaigns using posters, toolbox talks
b. Highlighting hazards
c. Developing training programs
d. Ensuring that there is adequate lighting
e. Removing distractions
2. The Job/ (The Tasks Undertaken)
i. Task ii. Work load iii. Environment iv. Displays and controls v. procedures
3. Organisational/ (Organisational Controls form management)
i. Safety culture ii. Policies and procedures
iii. Clear commitment and leadership form management
iv. Consultation and worker involvement v. Communication
vi. Levels of supervision vii. Resources
viii. Training ix. Work patterns x. Peer group pressure.
1. Not been exposed to the situation in the past
2. Has worked in the same job without ill-effect
3. Their attitude – does not care
Reasons why the
4. The person may be tired
seriousness of a
5. Not had awareness training (initial or refresher)
hazard may be
6. Over-reliance on PPE
underestimated
7. Controls not functioning e.g. LEV 
by someone
8. Alarms not operational (CO H2S)
exposed to it
9. Effects of medication / drugs / Alcohol
10. Cumulative impacts of failures – one adding to another and
having more serious consequences
Reasons why it is important for an employer to keep the training records of his
employees?
1. May be legal requirements
2. May assist in developing training plans / identifying gaps
3. May be required for evidence following an incident / accident
4. May reduce penalties in a court of law
5. Insurance premium reviews
6. Completing risk assessments
7. To save duplication of training
8. Management system compliance
 ~ 15 ~
Emergency Procedures:
Why it is important for an organization to develop and maintain emergency
procedures.
• An organisation should develop emergency procedures to deal with foreseeable
incidents such as fire, bomb threat and chemical spill.
• These procedures should cover the internal arrangements for dealing with the
foreseeable incidents, which will include:
–– Procedures to follow.
–– Provision of suitable equipment.
–– Nomination of responsible staff.
–– Provision of training and information.
–– Contacting the emergency services.
–– Drills and exercises.
Foreseeable incidents
The foreseeable incidents will vary depending on many factors such as the type of
organisation and its location
An organisation has to develop procedures to deal with foreseeable incidents. Such
incidents might include:
• Fire. • Outbreak of disease.
• Bomb threat. • Severe weather or flooding.
• Spillage of a hazardous chemical. • Multiple casualty accident.
• Release of a toxic gas.
ARRANGEMENTS FOR CONTACTING EMERGENCY SERVICES
While internal emergency arrangements must be made by the organisation to deal
with foreseeable incidents, these responses will normally also involve contacting
external emergency services for help.
There should therefore be appropriate arrangements in place:
• Communication equipment, e.g. land-line and mobile phones, satellite phones, or
VHF radio. The more remote the location, the more difficult communication becomes.
• Contact details, e.g. national and local emergency service numbers. This may involve
international medical evacuation as well.
• Responsible individuals with the necessary information and knowledge nominated to
make the call. In many instances the emergency services can provide a more effective
response if they are given critical information quickly.
First Aid:
Article 18: Employers shall be required to provide, where necessary, for measures to deal
with emergencies and accidents, including adequate first-aid arrangements.
KEY INFORMATION
• An employer must provide appropriate first-aid services for his employees. This will
include first-aid equipment and appropriately trained personnel.
• To determine what needs to be provided, an employer will have to undertake an
assessment, which should consider various factors, such as the hazards and risks
inherent in the work, the number and work pattern of workers, and the geographic
location and spread of the workplace.
 ~ 16 ~
3. PLANING AND IMPLEMENTING (ILO-OSH 2001).
What are the organizational requirements for effective health and safety
management?
Answer: There should be a framework of roles and responsibilities for health and
safety allocated to individuals throughout the organization, including the appointment
of specialist staff and ensuring that general manage roles and arrangements address
health and safety issues.
 This refers to the detailed specification of health and safety standards
to be applied in all areas and aspects of work, and
Planning and
 The measures taken to ensure that they are carried out.
implementing
 On the basis of risk assessment, safe systems of work and protective
measures should be identified and implemented.

RISK A formalised process of identifying hazards, assessing the risk that they
ASSESSMENT generate and then either eliminating or controlling the risk.

A safe system of work is a formal procedure based on a systematic

Safe Systems examination of work in order to identify the hazards. It defines safe
of Work methods of working that eliminate those hazards, or minimise the risks
associated with them.

Permit-to- PTW System is a formal documented control procedure, forming a part

Work System of Safe System of Work, which ensures that all necessary actions are
PTW taken before, during and after particularly high risk work.

A risk assessment team might include:

1. Workers familiar with the tasks and areas to be assessed.
2. Health and safety specialists, such as safety practitioners and
Risk Assessor occupational health nurses.
3. Technical specialists, such as mechanical and electrical engineers.
4. Line managers responsible for the tasks or areas being assessed.
5. Worker safety representatives.
SETTING “SMART” OBJECTIVES
When health and safety objectives are set for an organisation, those objectives should
be “SMART”. The acronym SMART refers to the idea that objectives should be:
• Specific - a clearly defined, precise objective.
• Measurable - it is possible to measure achievement of (or towards) the target,
usually by quantifying the objective.
• Achievable - it can be done.
• Reasonable - within the timescale set and with the resources allocated.
• Time-bound - a deadline or timescale is set for completion of the objective.
Think about the two following objectives:
• “Improve the safety culture of the organisation.”
• “Review all 48 risk assessments within a 12-month period.”
What are the five categories of health and safety? Or Defined the terms hazard?
 ~ 17 ~
Something with the potential to cause harm. For example a lorry moving around a site
road is a hazard because it might run over a worker. Hazard can be classified as:
Hazard: Something with the potential to cause harm. For example a lorry moving
around a site road is a hazard because it might run over a worker. Hazard can be
classified as:
1. Physical – things which cause harm because of their physical characteristics e.g.
electricity, work at height, radiation, vibration, noise, heat, trip hazards.
2. Chemical–things which can cause harm because of their chemical characteristics e.g
lead, mercury, sulphuric acid, cement dust etc.
3. Biological – living micro organism that cause disease and ill health e.g. hepatitis B
virus, Legionella bacteria.
4. Ergonomic – stress and strain put on the body through posture and movement e.g.
frequent repetitive handling of small boxes.
5. Psychological – things that have the potential to cause injury to the mind rather than
the body e.g. exposure to highly traumatic event.

CARRYING OUT A RISK ASSESSMENT

Risk assessment can be described as a five-step process:
1. Identify the hazards. 2. Identify the people who might be harmed and how.
3. Evaluate the risk and decide on precautions.
4. Record the significant findings and implement them.
5. Review and update as necessary.
1. Inspections: A formal inspection can reveal the various hazards that are present and
Hazard Identification Methods

need to be considered in the risk assessment.

2. Job/Task Analysis: Task analysis involves breaking a job down into component steps
and identifying the hazards associated with each step, so that the safe working
method can then be established to deal with each hazard.
3. Legislation: Legislation is often accompanied by guidance documents, which can be
very useful in the identification of hazards. For example, in the UK guidance
documents exist to spell out all the hazards that exist in engineering workshops.
4. Manufacturers’ Information: Data Sheet (MSDS), which clearly identifies the hazards
of the substance.
5. Incident Data: Internal accident and near miss data can be useful in identifying
hazards.

EVALUATING THE RISK Likelihood Severity

Risk = Likelihood × Severity. 0 = almost impossible 0 = No harm
By simply assigning a score to 1 = extremely unlikely 1 = very minor injury
each word it is possible to 2 = unlikely 2 = first-aid injury
calculate a risk rating for a 3 = likely 3 = lost-time injury
particular hazard. 4 = extremely likely 4 = hospital treatment
For example: 5 = almost certain 5 = disabling injury

Using a semi- 1. Clarity of thinking - people tend to think more carefully about
quantitative likelihood and severity of foreseeable injury when they are asked to
 ~ 18 ~

use this type of scoring system, and so give a more accurate end result.
2. Consistency of approach - different people can use this system and will
risk rating
get similar results.
system such as
3. Prioritisation - since risk is now represented by a number, and the
our example
higher the number the greater the risk, it is possible to easily separate
above can be
out the various risks presented by several hazards and rank them in
useful for
order.
several
4. Timescale - it is even possible to allocate particular timescales to the
reasons:
risk ratings that are calculated using this type of system. This approach
is not universal, but is used by some organisations.

When existing controls are taken into account the current risk level can be
estimated as described above - Likelihood x Severity.
Residual risk: The risk that remains once these existing controls have been
taken into account.
• Acceptable If the residual risk is low - the existing controls are adequate.
Residual, • Tolerable or Unacceptable: If the residual risk is high, a decision has to be
Acceptable and made about whether this residual risk is tolerable or unacceptable:
Tolerable Risk Tolerable it is not acceptable but it can be tolerated for a short time while
interim controls are put into place.
Unacceptable the risk level is too high for work to be allowed.
In the case of both tolerable and unacceptable risk additional controls will need
to be put in place to reduce the risk down to an acceptable level. Once these
controls have been implemented a new residual risk level is created.

• Significant change to something that the risk assessment relates to:

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

DEVELOPING AND IMPLEMENTING SAFE SYSTEMS OF WORK

Define a safe system of work.
A safe system of work is a formal procedure based on a systematic examination of work
in order to identify the hazards. It defines a safe method of working that eliminates or
minimizes hazards associated with the work.
 ~ 19 ~
We can identify three key elements/ Key features from this definition of a safe system of
work (SSW):
• The SSW is formal - documented or recorded in some way.
• It results from a systematic examination of work in order to identify the hazards - it
is the result of risk assessment.
• It defines safe methods - it is the safe procedure or work instruction.
DEVELOPMENT OF A SAFE SYSTEM OF WORK
As a part of the planning process safe systems of work are developed by task analysis,
prior to work commencing.
Task analysis is the process of breaking a job down into its component steps and then
identifying the hazards associated with each step. The safe working method can then
be identified to deal with each hazard.
The acronym SREDIM represents hazard identification and task analysis.
1. Select the task to be analysed. 4. Develop the safe working method.
2. Record the steps or stages of the task. 5. Implement the safe working method.
3. Evaluate the risks associated with each step. 6. Monitor to ensure it is effective.
1.  Risk assess the task
2.  Gather information about the tas
3.  Analyse information gathered and produce and document the
system
Developmen
4.  Consult with system users and change as needed/ Develop the safe
t of safe
working methods
systems of
5.  Implement the system by way of training, record when and where
work steps to
it was issued
be taken.
6.  Monitor the systems to make sure it is being operated correctly, act
on positive and negative feedback.
7.  Keep the system under regular review to ensure continuing
suitability.

RESPONSIBILITIES OF THE EMPLOYER

 It is the responsibility of the employer to ensure that safe systems of work are
available for all work activities that create significant risk, just as it is the
responsibility of the employer to carry out risk assessment of all work activities.
 Safe systems of work become particularly important when significant residual risk
remains after control measures have been introduced into work processes.
 They are also particularly important when the normal control measures present in
the workplace are removed, as often happens during maintenance work, cleaning
or construction work.

Specific Examples of Safe System of Work

 Confined Spaces:
 LONE WORKER
 Working and Travelling Abroad:
 ~ 20 ~
Permit-to-Work
A permit-to-work (PTW) system is a formal, documented safety procedure, forming part
of a safe system of work, which ensures that all necessary actions are taken before,
during and after particularly high-risk work.
Key features/ Elements of PTW
• The high-risk nature of the work is the key feature that these types of work have in
common, which makes them subject to permit control. If the work is not carried out in
precisely the right way then workers and others may be killed. The aim of the permit
system is to focus everybody’s attention on the high-risk nature of the work to ensure
that:
• The correct safety precautions are in place before, during and after the work.
• All the people who need to know about the work do actually know about it.
• Permit-to-work systems rely on the use of paper permits, but ultimately they only
control risk properly when correctly used.
1) Issue:
1. Description of the work to be carried out (details of plant and location).
2. Assessment of hazards associated with the job.
3. Controls required, including:
– Additional permits. – Isolation of services and supplies. – PPE
– Atmospheric monitoring, etc. – Emergency procedures.
2) Receipt: 1• Signature of the authorised person issuing the permit.
2•Signature of the competent person accepting the permit (known as “signing onto
the permit”, or “receipt”).
3) Clearance: 1• Signature of the competent person stating that the area has been made
safe (e.g. work completed) and that they are leaving the area and isolations can be
removed (known as “sign off” from the permit, or “clearance”).
4) Cancellation: 1• Signature of the authorised person stating that the isolations have been
removed, the area has been accepted back and that the equipment can be restarted
(known as “cancellation” of the permit).
5) Extension: This section is included in some permit systems in case there is any overrun of
the work. It allows the authorizing manager to grant an extension to the timescale of the
permit. Permits are often issued in triplicate:
• One copy is displayed in the area where the work is taking place.
• One copy stays with the authorising manager.
• One copy is displayed in a central location (often on a permit board) where other
permits are also displayed for clear communication.
Outline: the general details that should be included in a permit to work (8)
The general details to be included in a permit-to-work system can be summarised as:
The authorising manager must specify:
• The exact nature of the work.
• Where the work can take place.
• The names of each of the workers authorised to carry out the work.
• The date and time that work can start.
• The period of time the permit is valid for.
• The control measures that must be in place before, during and after the work.
 ~ 21 ~
• Any restrictions.
• Any other permits that may be relevant.
The authorising manager signs the permit to formally confirm that all necessary
precautions have been taken and that work can now start, providing the necessary
precautions are adhered to. The manager’s name and signature, and the date and time
should be clear.

Task Required PTW

The sort of high-risk work that would normally be controlled by a permit system
includes:
1. To control hot work, (involving naked flames or creation of ignition sources).
2. Work on live electrical systems, high-voltage (HT) electrical systems.
3. Some forms of machinery maintenance work,
4. Confined spaces entry and
5. Work at height.
6. Work on operational pipelines.
7. Excavating near buried services.
Identify: the factors that may influence the effectiveness of a permit to work system
LIMITATIONS OF THE PERMIT-TO-WORK SYSTEM
Remember that a permit-to-work is just a piece of paper; it does not ensure safety.
What ensures safety is the management system that it represents. In some cases,
permits are treated simply as unnecessary paperwork - to be filled in because someone
at head office says so. This can encourage casual practices, such as authorizing
managers to issue permits without actually checking that control measures have been
put in place, which can lead to unfortunate consequences.
A good permit system is only as good as the persons using it. To work effectively:

TYPICAL PERMIT SYSTEMS

1. Hot Work: Any work in which we use energized equipment’s. There is a chance of
fire and producing sparks. e.g., welding, grinding, sand blasting, cutting by means of
power tools etc.
Work Procedure: Permit systems are commonly used to control hot work where naked
flames will be used (e.g. propane, butane or oxyacetylene torches) or where a
significant ignition source will be created (e.g. welding or grinding operations).
What are the safety Precautions/ Requirements for doing a hot work?
1. Issue a valid work permit.
2. Appoint a “fire-watcher” is present in the area.
3. Provide proper fire extinguisher in sufficient numbers available at hand.
4. Remove all combustible materials from the area (with 10 meters), possible.
5. Use fire retardant blanket to protect immovable materials and also for welding
slugs.
6. Wooden floor is damped down.
7. Floor is swept clean.
8. Barricade the area and post proper signage.
9. Use of proper PPE
10.Grounding of the equipment’s
 ~ 22 ~
11.Conduct gas test if presence of combustible gases expected prior to work.
12.Cutting with an oxyacetylene torch requires a permit-to-work
13.Keep distance 6m of fire extinguisher from a hot work activity
14.The work area is visited routinely after the work has finished to check the area for
smouldering.
Who is Fire watch? Fire watch is the person design to identify and eliminate fire
hazards, alert and extinguish fire in case of any outbreak of fire and to protect the
person and properties from fire.
Responsibilities of fire watchman:
1. Assure that hazardous situation do not arise
2. Be alert and remain on the job site
3. Assure that all required firefighting equipment are available and in working condition
4. Assure that all permit condition are maintain
At job completion, he remains at the site 30min
2. Work on Live Electrical Systems: The high risk associated with working on or near
live electrical systems means that this type of work is usually subject to permit control. In
particular, permits are usual for work on or near high-voltage systems.
A permit system is used to ensure that:
• Working live is justified (i.e. it is not possible to work with the power off).
• All precautions are in place.
• The workers are competent to do the work.
3. Machinery Maintenance: Maintenance work often involves the removal or
disabling of safeguards and control systems. For large, complex industrial machinery
more than one person may be involved in the work and they may be required to work
inside the machinery. This can generate high risk that might be best controlled using a
permit system.
A permit system is used to ensure that:
• Work is carefully planned, assessed and controlled.
• The nature of the work is communicated to those who need to know about it.
• Power sources are isolated and locked off.
• Stored energy is released or secured.
• The workers are competent to do the work.
4. Confined space: A space having limited access or egress but large enough to
bodily entrance and perform work is called confined space. For example vessels, pipes,
tank, boiler, sewer, deep excavation more than 1.2m in depth etc. chamber, tank, vat,
silo, pit, well, pipe, sewer, flue, or similar, in which by virtue of its enclosed nature there
is a foreseeable risk of:
1. Confined space Hazards: Oxygen deficiency and enrichment, presence of toxic or
flammable gasses, chemical hazards, fire or explosion hazards, sleeping, high
temperature and high noise, asphyxiation arising from, gas , fumes, vapours, or lacke
oxygen etc.
2. Toxic Gasses: H2S – Hydrogen Sulphide, CO – Carbon Monoxide, CH –
Chlorine, Ammonia.
3. Flammable Gasses: Acetylene, Propane, Hexane, Nonane, Methane.
4. Flammable Liquid: Any liquid having a flash point below 60C (140f).
 ~ 23 ~
5. Combustible Liquid: Any liquid having a flash point above 60C (140f) and
below 93c (200f).
6. Flash Point: The minimum temperatures, at which a substance
gives off a flammable vapor which in contact with a spark or flame, will ignite.
Note that a confined space has two characteristics:
• An enclosed nature (ventilation will be restricted and access/egress - getting in and out
- may be difficult).
• One or more of the foreseeable specified risks exist.
Remember that a confined space does not have to be small; an empty oil-storage tank
can be big enough to play a game of football inside, but it is still a confined space because
of its enclosed nature and the risk of fire, asphyxia and drowning (as a result of an inflow
of oil or other liquid while people are working in the tank, e.g. an in-feed pump might be
accidentally switched on).
5. Work at Height:
A large proportion of workplace fatalities are caused by falls from height; this is
considered a high-risk activity and is often covered by a permit-to-work. The permit
system will be used to ensure that the following factors are taken into consideration:
• Avoid working at height if possible.
• Prevent falls by providing a safe workplace, e.g. a platform with adequate edge
protection.
• Minimising the distance and consequences of falls using PPE to limit falls, or safety
devices, e.g. nets to “catch” anyone who does fall.
• Weather conditions, e.g. high wind, ice.

4. EVALUATION (ILO-OSH 2001).

To ensure that the organizational arrangements, health and safety standards and
operational systems and measures are working effectively and, where they are not, to
provide the information upon which they may be revised.
Methods must be devised to monitor and review the effectiveness of the
arrangements put into place. This might be done actively, e.g. by reviewing
Evaluation
inspection reports. or reactively, e.g. by reviewing accident and ill-health
statistics,

Measures of performance to monitor compliance with the OH&S

management arrangements, operational criteria and legislation
requirements.
This should contain the elements include:
1. Monitoring of the achievements of specific plans, established objectives.
Active
2. The systematic inspection of Plant, Equipment, Premises and work
monitoring
Systems (PEPS).
3. Surveillance of the workers' health and working environment,
4. Compliance with applicable national laws and regulations.
For Example: Safety Inspections, Sampling, Surveys, Tours, Health
Surveillance, and Benchmarking.
 ~ 24 ~

 Measures of performance to monitor accidents, ill-health, incidents,

near-misses and other historical evidences of deficient OSH performance.
This should include the recording, reporting and investigation of:
1. Work-related injuries, incidents, diseases and ill health (including monitoring
Reactive of aggregate sickness absence records)
monitoring
2. Other losses, such as damage to property
3. Deficient safety and health performance, and OSH management system
failures; and
4. Workers' rehabilitation and health-restoration programs.
For Example: review of Ill-health, Incident, and accidents statistics
ACTIVE MONITORING METHODS
Outline active monitoring methods that can be used when assessing health and safety?
Active Monitoring is intended to reveal hazards that are not controlled to a standard.
And to reveal non-compliance with standards and it relies heavily on visible evidence
only.
When assessing health and safety in the workplace active (proactive) monitoring can
be achieved using various methods. These methods include:
1. Documented Workplace Inspections which are conducted on a regular basis to
spot immediate hazards, unsafe acts and conditions and ensure action is taken for
remedial measure as soon as possible.
1. Safety Inspections of (peps) (ISST, BHP)
2. Safety Sampling
3. Safety Surveys
4. Safety Tours
5. Benchmarking
6. Health Surveillance
7. Performance Review
2. Risk Assessments is a major active monitoring tool as this systematic method
highlights hazards and risks and eliminates of or reduce them to as low as is reasonably
practicable (ALARP).
3. Auditing is also a voluble monitoring tool as this method examines the health and
safety management systems and outlines areas for improvement.
4. Checklists are often used for inspections, but care should be taken not to miss
'other' hazards that are not part of the generic checklist.
5. Reporting Near Misses / Incidents is very important as this can lead to prevention
of major accident in the future.
What do we mean by systematic monitoring? 4Ps
Systematic Inspections (4P’s + 5 Regimes)
One popular way to actively monitor health and safety performance is to carry out
systematic inspections. These inspections can focus on the four Ps:
• Plant – machinery and vehicles, as well as any statutory inspections and
examinations.
• Premises – the workplace and the working environment.
• People – working methods and behaviour
• Procedures – safe systems of work, method statements, permits-to-work, etc.
 ~ 25 ~
An inspection might concentrate on one, several or all four of these areas.
Systematic inspection regimes usually exist in many different forms within different
workplaces.
For example, in a distribution warehouse there might be:
1. A daily inspection regime, where forklift-truck drivers inspect their own vehicles at
the start of each shift – Plant.
2. A weekly inspection regime, where supervisors check that forklift trucks are being
driven safely – People.
3. A monthly inspection regime, where the manager checks the entire warehouse for
housekeeping – Premises.
4. A six-monthly thorough examination of each forklift truck by a competent
engineer to ensure safety of the load-bearing parts – Plant.
5. An annual inspection regime for the storage racking to ensure structural integrity –
Premises.
If this series of inspections is in place then it is possible to monitor the degree to which
each is being carried out successfully. In this way, two different types of active
monitoring are being carried out: one on the workplace directly (the 4 Ps), and one on
the performance of those checks.
A Generic Inspection Checklist
Typical topic headings that might be included in a generic inspection checklist:
i. Fire safety – including emergency escape routes, signs, and extinguishers.
ii. Housekeeping – general tidiness and cleanliness.
iii. Environment issues – such as lighting, temperature, ventilation, noise.
iv. Traffic routes – safety of both vehicle and pedestrian routes.
v. Chemical safety – appropriate use and storage of hazardous substances.
vi. Machinery safety – such as correct use of machine guards and interlocks.
vii. Electrical safety – such as portable electrical appliance safety.
viii. Welfare facilities – their suitability and condition.
ix. Means of access and aggress
x. Substances or Material
xi. Ergonomic Requirements

SAFETY INSPECTIONS, SAMPLING, SURVEYS AND TOURS

These are four slightly different methods of active monitoring, each of which has a
place in an active monitoring regime. (Remember that the actual names given to these
methods may vary between workplaces.)
1. Safety Inspections: The term “safety inspection” means a regular, scheduled activity,
with comparison to (aps) accepted performance standards. It can be applied to:
1. The routine inspection of a workplace to determine if general standards of health
and safety are acceptable, or if corrective action is necessary (e.g. a quarterly
housekeeping inspection in an office).
2. The statutory inspection of an item by a competent person to fulfil a legal
requirement (e.g. the annual thorough examination of an item of lifting equipment).
3. The periodic inspection of plant and machinery as part of a planned maintenance
programme (e.g. a mechanic inspects the brakes on a lorry on a regular basis to
ensure they are not excessively worn).
 ~ 26 ~
4. The pre-use checks carried out by workers before they use certain items of plant
and machinery (e.g. the start-up checks carried out by a forklift-truck driver).
All these inspections can be repeated routinely to form an inspection regime, and can
all be recorded to provide evidence of inspection.
SAFETY INSPECTIONS – THEIR ROLE
A workplace inspection is a general examination of health and safety performance at a
particular point in time.
May be used to improve health and safety performance within an organisation in a
number of ways including:
• demonstrating management commitment,
• Identify workplace hazards;
• Improving the morale of the workforce; enabling the involvement of workers in the
management of health and safety and
• Identifying trends and weaknesses in existing procedures, if carried out on a regular
basis,
• Implement immediate corrective action where this is possible;
• Ensure compliance with the law and with laid down standards;
• Recommend improvements and further controls when these are seen to be necessary;
• Observe employee behaviour, for example, in the use of personal protective
equipment;
• Listen to and consult with workers on health and safety issues; t
• Review previous findings and recommendations and
• Provide a summary report to individual managers on standards in their areas of
control.
INSPECTIONS – SKILLS AND KNOWLEDGE REQUIRED
Outline the skills and knowledge that are required of an employee who conducts
health and safety inspections.
There are a range of qualities expected of an employee who carries out health and
safety inspections including:
• Relevant Knowledge: The knowledge he/she should possess such as a general
knowledge of health and safety together with the legal requirements and any
published guidance;
• Knowledge of the workplace and the work activities carried out with the procedures
that have been introduced such as safe systems of work and the use of permits to
work;
• Knowledge as to whom he/she should report the results of the inspections.
Relevant skills:
• The ability to identify hazards and risks and to detect deficiencies in the control
measures provided;
• Observational skills together with the ability to record and report observations;
• Interpersonal skills including the ability to interview and question fellow employees
• The ability to recognise his/her own limitations.

Factors to take into account when determining the frequency of inspections:

1. Statutory requirements may dictate an inspection frequency.
2. Enforcement authorities may recommend inspections.
 ~ 27 ~
3. Manufacturers may make recommendations in relation to inspection frequency
and content.
4. Risk assessments may suggest inspections as a control measure.
5. The activities carried out and the level of risk.
6. The presence of vulnerable workers, e.g. young and inexperienced people.
7. How well established the process is, e.g. new equipment may require more
frequent monitoring.
8. Accident history and results of investigations.
9. Findings from previous inspections, which may suggest compliance concerns.
10. Whether workers have voiced concerns.
EFFECTIVE 1. Writing Style
REPORT i. The language used in the report must be formal and free of slang and
WRITING jargon.
ii. The tone of language must be factual and persuasive.
iii. The report must be concise.
2. Structure
i. Executive summary – a concise overview of the main findings and
recommendations.
ii. Introduction – a few sentences to outline where and when the
inspection took place, and reasons.
iii. Main findings –divided up into specific topic areas. described in a
factual manner and legal standard identified.
iv. Recommendations – the immediate, medium and long-term actions
needed to remedy, timescales and responsible persons. Actions
should be prioritised on the basis of risk. Justification of the
recommendations should be included.
v. Conclusions – a short section to end the report.
3. Content
i. The significant findings of the inspection.
ii. The report must be factual and concise.
iii. Evidence of what was observed might be presented.
4. Justified Recommendations:
i. Any recommendations made should be justified.
ii. A persuasive argument might be made based on the moral, legal and
economic arguments.
iii. Recommendations might be presented in an action plan:

OTHER ACTIVE MONITORING TECHNIQUES

Health Surveillance
Monitoring worker’s health can be considered an active monitoring measure, as
measuring things like hearing can indicate the effectiveness of controls.
Benchmarking: You will remember that the comparison of an organisation’s
performance with others in the industry or sector is known as “benchmarking”. This
 ~ 28 ~
provides an indication of how well the organisation is performing compared to similar
companies.
REACTIVE MONITORING:
 Measures of performance to monitor accidents, ill-health, incidents,
near-misses and other historical evidences of deficient OSH performance.
This should include the recording, reporting and investigation of:
5. Work-related injuries, incidents, diseases and ill health (including
Reactive monitoring of aggregate sickness absence records)
monitoring 6. Other losses, such as damage to property
7. Deficient safety and health performance, and OSH management system
failures; and
8. Workers' rehabilitation and health-restoration programs.
For Example: review of Ill-health, Incident, and accidents statistics
Six Reactive monitoring methods
1. Accident Investigation and Reviews 2. Insurance Claims Reviews
3. Defect Reports 4. Enforcement Action Follow-Up
5. Legal and Enforcement Actions 6. Legal mandates (notices)
In most workplaces both types of monitoring are useful.
Monitoring should be a line-management function, but remember that senior
management has responsibility for ensuring that effective health and safety
performance monitoring systems are in place.
REACTIVE AND PROACTIVE MONITORING
Proactive monitoring - which monitors the achievement of plans and the degree of
compliance with standards before an Accident, Incident on Ill Health.
Reactive monitoring - monitors after accidents, ill health and incidents.
Examples for Proactive Monitoring:
1. Performance Reviews,
2. Review of training assessments, records and needs,
3. Workplace Inspections,
4. Management system audits
5. Safety Survey
Examples for Reactive Monitoring:
1. Accident Incidence Rates,
2. Ill-Health incidence records and rate
3. Accident investigation reports
4. Accident frequency rates
5. Accident severity rates
6. Sickness and absence records
What is the purpose of analysing all information about accidents?
Answer: To identify underlying causes of accidents and to provide information about trends
and patterns in workplace accidents.
 ~ 29 ~
This data can then be analysed to see if there are any:
• Trends - consistent increases or decreases in the number of certain types of event
over a period of time.
• Patterns - collections or hot-spots of certain types of event.
This analysis usually involves converting the raw data (i.e. the actual numbers) into an
accident rate so that more meaningful comparisons can be made.
One popular accident rate used to measure an organisation’s safety performance is the
Accident Incidence Rate (AIR):
Number of accidents during a specific time period
IR = x 1000
Average number of workers over the same time period
(The answer is in units of ‘accidents per 1000 workers’.)
This allows meaningful comparison of accident statistics from one year
to the next even though more or fewer workers may be present in the workplace.

Element-5. 4. Auditing (ILO-OSH 2001).

DEFINITION OF HEALTH AND SAFETY AUDITING
Any shortcomings identified by the review process must be corrected
Action for
as soon as possible by making whatever adjustments are necessary to
Improvement
the policy, organisation and arrangements for implementation.

Review for The intention is that the safety management system will not remain
Continual static but will develop over time to become increasingly appropriate
Improvement and useful to the organisation that it exists to serve.
Audit - Arrangements must be made for the independent, systematic and critical
examination of the safety management system to ensure that all parts are working
acceptably well.
• Interviewing;
Identify TWO methods of
• Reviewing and assessing written procedures; and
gathering information
• Workplace observations to assess compliance with
during an audit.
relevant health and safety standards and guidance.
Pre-Audit Preparations:
 Before the audit starts the following should be defined:
• The scope of the audit – will it cover just health and safety, or environmental
management as well?
• The area of the audit – one department, one whole site, all sites?
• The extent of the audit – fully comprehensive (which may take weeks), or more
selective?
• Who will be required –managers and workers for information-gathering.
 ~ 30 ~
• Information-gathering –copies of relevant documentation
The organisation will have to ensure that the auditor is competent, i.e. that they have the
relevant qualifications, experience and knowledge to do the job well. This can apply to
both internal and external auditors. If internal staff is used as auditors sufficient time and
resources will have to be allocated so that they can be trained and developed in that role.
All of these elements of the audit process require the allocation of sufficient management
time and resources.
 During the Audit
Auditors use three methods to gather factual information:
1. Reference to paperwork – the documents and records
2. Interviews – word-of-mouth evidence given by managers and workers.
3. Direct observation – of the workplace, equipment, activities and behaviour.
Auditors will sometimes seek to collect evidence so that their findings cannot be refuted;
this can be done by copying paperwork, taking photographs and having a witness to
corroborate word-of-mouth evidence.
An auditor’s favourite phrases are: “Show me” and “Can you prove it?”
 At the End of the Audit
 Verbal feedback is usually provided at the end of an audit; for some audits this will
involve a presentation to the management team.
This verbal feedback will be followed by a written report
Typical Information Examined during the audit:
Arrangements
1. The H&S policy
2. The allocation of roles and responsibilities
3. The completion of risk assessments
4. SSW
5. 1ST aid and emergency arrangements
6. Fire protection and prevention
Records
1. Training record completed
2. Safety MOMs
3. Maintenance record and details of failures
4. Monitoring activities
5. Statutory inspection record
6. Record of workers complaints
7. Health surveillance record
Reports
1. Previous audit report
2. AI Report data
3. Insurance company’s inspections
4. Regulator visit reports
 ~ 31 ~
Actions Taken Following Audits – Correcting Non-Conformities
• Major non-conformance – a significant issue or breach, which requires urgent action.
This could result in the failure of the safety management system and/or result in injury.
In ISO terms, a major non-conformance would be grounds for refusing certification.
• Minor non-conformance – an issue that is less serious in nature and unlikely to result
in injury or a breakdown of the system. In ISO terms, a minor non-conformance would
require corrective action, but certification would be granted.
• Observations – an opinion given by the auditor, which the organisation could decide
to act on. The audit feedback session and report is usually presented to senior
management for action and/or praise, as required. This is a demonstration of leadership
and, in some cases, it is a requirement in the standards being audited. The management
team have the authority and resources to take action where required, and may also
need to adjust the organisational goals and objectives.’

INVESTIGATING INCIDENTS
ROLE AND FUNCTION OF INVESTIGATIONS:
Give Reasons why the near-miss/ incident should be investigated?
There are a range of benefits that result from investigating accidents, including:
1. • To identify the immediate and root causes of the incident – incidents are usually
caused by unsafe acts and unsafe conditions in the workplace, but these often arise
from underlying, or root causes.
2. • To identify corrective action to prevent a recurrence – a key motivation behind
incident investigations.
3. • To record the facts of the incident – people do not have perfect memories, and
accident investigation records document factual evidence for the future.
4. • For legal reasons - may be a legal requirement – accident investigations are an implicit
legal duty imposed on the employer in addition to any duty to report incidents.
5. • For claim management – if a claim for compensation is lodged against the employer
the insurance company will examine the accident investigation report to help determine
liability.
6. • For staff morale – non-investigation of accidents has a detrimental effect on morale
and safety culture because workers will assume that the organization does not value
their safety.
7. • For disciplinary purposes – though blaming workers for incidents has a negative effect
on safety culture, there are occasions when an organisation has to discipline a worker
because their behaviour has fallen short of the acceptable standard.
8. • To enable risk assessments to be updated (an incident suggests a deficiency with the
risk assessment, which should be addressed).
 ~ 32 ~
BASIC INVESTIGATION PROCEDURES
Step 1: Gather factual information about the event.
• Secure the scene as soon as possible to prevent it being altered.
• Collect witnesses’ details quickly, before they start to move away:
• Collect factual information from the scene and record it. This might be done by means of:
––Photographs. ––Sketches. –Measurements. –Videos. –Written descriptions of factors such
as wind speed, temperature, etc.
–– Taking physical evidence.
–– Marking up existing site/location plans.
Third source of information: documentation.
–– Site plans, area layout plans. –– Company policies. –– Risk assessments. –– Training
BSIC INVESTIGATION PROCEDURES

records. –– Safe systems of work.

–– Permits-to-work. –– Maintenance records.
Step 2: Analyse that information to draw conclusions about the immediate and root
causes.
For example, we might have the slippery oil (unsafe condition), and the worker walking
through it (unsafe act).
Underlying or root causes are the things that lie behind the immediate causes, such as:
• Failure to adequately supervise workers. • Failure to provide appropriate PPE.
• Failure to provide adequate training. • Lack of maintenance.
• Inadequate checking or inspections • Failure to carry out proper risk assessments.
Step 3: Identify suitable control measures.
• Perhaps the most important questions to ask when identifying control measures are:
–– If this action is taken, will it prevent this same accident from happening in exactly the
same way at this location?
–– If this action is taken, will it prevent other similar types of accident from happening in
similar locations in the future?
If the answer to both of these questions is “no”, then you need to identify other control
measures.
Step 4: Plan the remedial actions.
Recommended action Priority Time-scale Responsible person

Introduce Induction training for all new Medium 1month Warehouse manager
drivers

List the information that should be included in an accident investigation report.

• Date and time and location of the incident.
• Details of the injured person(s) involved (name, role, work history).
• Details of injury sustained.
• Details of witnesses and witness statements.
• Description of the activity being carried out at the time.
• Drawings or photographs used to convey information on the scene.
• Equipment / tools involved
• Immediate and underlying/root causes of the incident.
• Assessment of any breaches of legislation, likely enforcement action.
• Recommended corrective action, with suggested costs, responsibilities and
timescales.
• Estimation of the cost implications for the organisation.
• Who investigated and date investigated
 ~ 33 ~
• Any immediate actions taken to make safe the area
Good witness interview technique requires that the interviewer should:
1. One to one
2. Make sure it is competed soon after the event
3. Complete in private
4. Build rapport
5. Open ended questions
6. Take notes and reassure the interviewee about the process
7. Hold the interview in a quiet room or area free from distractions and interruptions.
8. Introduce themselves and try to establish rapport with the witness using
appropriate verbal and body language.
9. Explain the purpose of the interview (perhaps emphasising that the interview is not
about blaming people).
10. Use open questions, such as those beginning with What?, Why?, Where?, When?,
Who?, How?, etc. that do not put words into the witnesses’ mouths and do not
allow them to answer with a “yes” or “no”.
11. Keep an open mind.
12. Take notes so that the facts being discussed are not forgotten.
13. Ask the witness to write and sign a statement to create a record of their testimony.
14. Thank the witness for their help.
ACCIDENT INVESTIGATION TEAM – WHO TO INCLUDE
Giving reasons in EACH case identify FOUR Categories of persons who might be useful
in an internal accident investigation
Accident team members must be chosen for their knowledge, skill and experience in
certain areas.
Four members who could be useful are:
1. Health and Safety Manager - the individual would bring the skills and knowledge of
a health and safety professional and have in – depth knowledge of accident
investigation.
2. Supervisor - this individual would have first hand knowledge of the workers task and
activities and the 'on the job hazards'.
3. Worker Representative - this individual would bring the experience of the work and
have information gained via interaction with colleagues on a range of issues in the
workplace.
4. Worker – A person who was involved in the accident may be able to make useful
contributions to other members of the investigation team
5. Site Engineer - This person would probably be the most senior to lead the
investigation, the professional engineering background would bring a systematic
methodology of examining any mechanical failures etc.
6. Technical Expert – If the technical level of knowledge is not readily available there
may be a need to include such a person
7. Senior Manager – If a senior manager was involved then there is the availability of
authority that may enable quicker decisions to be made to off-set additional problems
arising and not having to wait the course of time to obtain permissions to have certain
works done, etc.
 ~ 34 ~
8. Health and Safety Practitioner – This person would be available to give advice on
matters relating to legislative requirements, good investigation techniques, etc.
9. Trade Union Representative (e.g. Safety Representative) – In some countries these
have a right in legislation to be involved in such matters to represent their members.
RECORDING AND REPORTING REQUIREMENTS:
 Work-related incidents should be reported internally by workers to management.
The system that is put in place by an organization to allow for this should be described
in the Arrangements section of the organization’s safety policy.
 It is standard practice for workers to report incidents to their immediate line
manager verbally, followed by completion of an internal incident report form. There
are occasions when this simple verbal reporting procedure is not appropriate, and a
more complex reporting procedure then has to be introduced. For example, a lone-
working contractor visiting a client’s premises may have to report their accident to the
client as well as to their immediate line manager.
Internal Incident Reporting Systems
 When establishing an incident reporting policy the organization should be clear
about the type of incident that has to be reported by workers.
 It is usual to include a list of definitions in the policy so that workers understand the
phrases used. If the organization wants workers to report near misses it must specify
this in the policy and be clear about what that phrase actually means.
 Having established an incident reporting policy, the organization must encourage
workers to report all relevant incidents. Unfortunately, there are many reasons why
workers do not report incidents.
 The organization should try to remove each of these barriers to ensure that every
relevant incident is reported in a timely manner. Most of these barriers can be dealt
with by having a well-prepared, clearly-stated policy, adopting user-friendly
procedures and paperwork, and training staff in the procedures. An organization can
take disciplinary action against workers who fail to report incidents if they have been
given the training and means to do so.
Reasons why workers might not report incidents:
1. Unclear organizational policy on reporting incidents.
2. No reporting system in place.
3. Culture of not reporting incidents (perhaps Peer pressure placed on persons
not to report)
4. Overly complicated reporting procedures, (Excessive paperwork, and takes too
much time.)
5. Belief that management does not take reports seriously.
6. Lack of management response to earlier reported accidents
7. Persons being ignorance of reporting procedures
8. Blame culture
9. The fear of possible retribution by management
10. Feeling of guild
11. Embarrassment
12. May be used as a poor example to others (pride)
13. Prone to disciplinary action
 ~ 35 ~
14. The preservation of the company’s or department’s safety record (particularly
where incentive schemes are in place)
15. A worker wanting to keep on the right side of a supervisor or manager
16. Jeopardises advancement / promotion
17.Avoidance of first-aid or medical treatment for fear of an individual being
considered a risk
18. Persons not being encouraged to report injuries
REPORTING OF EVENTS TO EXTERNAL AGENCIES:
Most countries have statute law that requires certain types of event to be reported to
relevant government appointed agencies. All countries agree that fatal accidents must
be reported; countries do not agree on the detail of the other types of event that
must be reported.
Four types of major injury which normally requires immediate reporting under
National Legislation?
(i) State the legal requirements for reporting a fatality resulting from an accident at
work to the enforcing authority?
(ii) Outline THREE further categories of work related injury (other than fatal injunes)
that are reportable?
Answer: The requirement to notify 'a fatality' to the enforcing authority by the quickest
practicable means and, to report the death formally within ten days by an approved
means (e.g on form F2508)
Delayed deaths, up to one year after the original accident, have to be reported
whether or not they have been
previously reported under another category
Other fatal Injury category are (over 7 day) injuries that result in the injured person
being away from, and unable to do normal work, (or more than three days)
• (hospitalization) injuries to -employees are taken to hospital for treatment
• (non-employee Injuries) and to injuries to non-employees iv/io are taken to hospital
for treatment
1. Accidents resulting in major injury, e.g.
i. An amputation, such as loss of a hand through contact with machine parts.
ii. Fractures (other than fingers, thumbs and toes)
iii. Loss of sight (including temporary)
iv. Broken bones
v. Electrocution requiring resuscitation
vi. Hospitalization overnight or for more than 24 hours
vii. Injury that required resuscitation
2. Dangerous occurrences, e.g. the failure of an item of lifting equipment, such as the
structural failure of a passenger lift during use.
3. Occupational diseases, e.g. mesothelioma, a form of cancer of the lining of the lung, as
might be contracted by someone exposed to asbestos.
4. Fatal injuries are a special case and DO NOT come under the definition of “major
injury”
Typical reportable events to National Agencies:
 ~ 36 ~
Element-6.
4.Review of Health and Safety Performance(ILO-OSH 2001).
 Purpose of Regular Reviews
 Personnel Involved in the Review Process
 Issues to be Considered in the Review
 Outputs from the Reviews
Role of the Board and Senior Managers
REGULARITY OF REVIEWS
Reviewing health and safety performance is a key part of any health and safety
management system. Reviews should be carried out by managers at all levels within
the organisation on a routine basis. Each review is likely to have a different focus and
will be conducted at different intervals. For example:
1. A full review of safety management might be undertaken at the highest level of
the organization (board of directors/senior management) on an annual basis.
2. The management team may meet every quarter to carry out a review to ensure
the performance remains on track (clearly, reviewing progress only once a year is
not enough!). This information will feed into the annual review.
3. A review of departmental performance might be conducted every month, with the
information in the departmental reviews been fed into the quarterly management
team review.
REASONS FOR REVIEWING HEALTH AND SAFETY PERFORMANCE
The reasons for an organisation reviewing and monitoring its health and safety
performance are:
1. • Assess compliance with legal requirements
2. • To check conformance with standards so that good performance is recognized
and maintained
3. • To check non-conformance so that reasons can be identified and corrective
action taken.
4. • To identify any sub-standard health and safety practices
5. • To compare actual performance against the established targets
6. • To compare actual performance with previously set targets; to "benchmark" the
organisation's performance against that of similar organisations or an industry
norm;
7. • Because reviews are a required part of accreditation to a management system
such as OHSAS 18001.
8. • Analyses of statistics on ill-health, accidents and near misses to identify
immediate and root causes, trends and common features.
ISSUES TO BE CONSIDERED IN THE REVIEW
• Legal compliance
• Accident and incident data
• Findings of safety surveys, tours and sampling and workplace or statutory inspections
• Absence and sickness data
• Quality assurance reports may also provide a source of information.
• Audit reports
 ~ 37 ~

• Monitoring data/records/reports – the findings of monitoring activities should be considered.

• External communications and complaints
• Consultation
• Objectives met
• Actions from previous reviews
• Legal and best-practice developments
Requirements of present day Machines and processes

RCS
Hazardous Element

RCS
Hazard Target
Initiative Mechanism

Integrity of the System (I) = OI + MI + HI Where as

OI = Operational Integrity (Procedural)
MI = Mechanical Integrity (Technical)
HI = Human Integrity (Behavioral)
RSC = Risk Control System
Initiative is behaving/ doing the way you designed for.
Safety Performance Indicators
Hazard initiating mechanisms (IM’s) are responsible for the incidents and associated consequences.
We put the risk control system to control this IM’s
How do we know whether these risk control systems are working good or not.
Safety performance indicators (SFI) will give this information
We have to find out these SFI, apply analytics for prevention and prescription.
Dual assurance – leading and lagging indicators measuring performance of each critical risk control
system Risk or Hazard Initiating Active monitoring
Mechanism Leading Indicators
Reactive monitoring Risk Control System Process or input
Lagging Indicators (RCS) Indicator
Outcome Indicator Processes or inputs are
An outcome is the the important actions
desired safety condition or activities within the
that the RCS is designed RCS that are necessary
Use the information
to deliver to deliver the desired
from indicator to:
System Weaknesses safety outcome
Follow-up adverse findings to
rectify faults in the safety
System
management system Effectiveness
Regularly review
performance against all
indicators to check
effectiveness of SMS and
suitability indicators

PERSONNEL INVOLVED IN THE REVIEW PROCESS

1. Line Managers
 ~ 38 ~
2. Health and Safety Specialist
3. Senior Management
Points to consider in a review would include:
i. Are the standards being achieved (legal or company imposed standards)? For
example, whether employees are wearing PPE or using control measures when
required may be identified in safety tours or behavioural observation tours.
ii. What do the trends (e.g. incident trends, safety tour trends, etc.)
indicate?
iii.How does this information compare to the targets?
iv.How does our performance compare to that of other businesses
(benchmarking)?
OUTPUTS FROM THE REVIEWS
Various outputs will arise from the review process. Records of the reviews must be
maintained (usually as minutes and action lists) and actions closed out. Some
organisations will also be required to report annually to shareholders on their health
and safety performance through the annual company report.
Finally, the review process should form part of the continual improvement process of
the organisation.
This means health and safety reviews, at all levels, must feed directly into action plans.
These plans should identify the actions to be taken by responsible persons by
appropriate deadlines. In this way continuous improvement of health and safety
performance can be achieved.

Give: Two examples of health and safety performance information that can be used for
benchmarking?
ANSWER: Any Two Leading Or Lagging Indicators>

Benchmarking Health and Safety Performance

Identifying Indicators and Improving Benchmarking health and safety performance at
work is vital to all organisations who want to excel beyond the threshold of legislative
compliance.
Safety practitioners whose aim is only to legally comply with legislation may be seen as
a re-active safety practitioner, scraping by rather than excelling as a proactive advocate
aiming to genuinely better their working environment. The motivation and goal should
be to make the workplace as safe and healthy as possible rather than avoiding
penalties.
As such it is imperative to ensure that appropriate benchmarking of health and safety
performance is in place, in order to accurately gauge where targets are being met and
where improvements need to made.