IG1 (Element 3)

Managing Risk: Understanding People and Processes

Health and safety culture
The safety culture of an organisation is the way that all the people within the organisation think
and feel about health and safety. This becomes behaviour of the organization. It can be defined as
the shared attitudes, values, beliefs and behaviours relating to health and safety. There is a strong
connection between safety culture and health & safety performance. Organisations with a strong,
positive culture have good performance; where as those organizations with a negative culture have
poor performance. The safety culture of an organisation can be measured by looking at indicators
such as accidents, sickness rates, absenteeism, staff turnover rates, compliance with rules, and
worker complaints.

Relationship between safety culture and safety performance

Positive safety culture:
In an organisation with a positive safety culture, the majority of the workers think and feel that
health and safety is important. There is a strong policy and clear leadership from the top level,
which runs through the whole organisation, from top to bottom. Managers believe that their
decisions can affect the health and safety of the organization. Workers also share the same view
and do their works safely. Everyone works safely because they know it is the correct way of doing
things. So, there will be less number of accidents and ill health.

Negative safety culture:

In an organisation with a negative safety culture, the majority of workers think and feel that health
and safety is not important. They are poorly educated in health and safety and see it as
unnecessary or unimportant. There is a lack of clear direction and leadership from top
management. Managers do not think about health and safety while making decisions and let other
business priorities decide their actions. Workers work unsafely, because they do not know a better
way of doing it. In such an organisation there will be a lack of attention to health and safety
matters; standards will be low, behaviour will be poor and accidents occur frequently.
Factors that have a negative impact on safety culture in an organisation:
- Lack of visible leadership from management.
- Presence of a blame culture in the organization.
- Lack of management commitment to safety
- Health and safety receiving less importance than other business issues
- Organisational changes (frequent changes can result in confusions).
- High staff turnover rates.
- Lack of resources (lack of fund for health & safety, or staff shortage)
- Lack of worker consultation
- Interpersonal issues (peer-group pressure, bullying or harassment)
- Poor management systems and procedures.
- External influences, (economic crisis resulting in difficult operating conditions).

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Indicators used to assess safety culture

Accident: Accident records can be used to see the number of accidents occurring in the
organization. The accident rate for the organisation can be compared with the performance in
previous years which will indicate whether the accident rate is increasing or decreasing. A
decreasing rate can be seen as an indicator of a positive safety culture.
Absenteeism: A high number of worker absence indicates that workers are not able to, or not
willing, to go to work. If they are not able to, it may be due to ill-health caused or worsened by
work. If they are not willing to go to work, it may be due to some reason like poor morale of
workers due to poor safety culture of the organization.
Sickness rates: A lot of illnesses are caused, or made worse, by work. Sickness rates can be used in
the same way as accident rates, as an indicator of safety culture.
Staff turnover rate: An organisation with a positive safety culture is considered as a good place to
work. Workers feel safe, staff morale is good, training is available, and workers are consulted about
their working conditions. As a result, workers stay in the company for longer, so low staff turnover
rate may indicate a good safety culture, while high staff turnover may indicate a poor safety
culture.
Compliance with safety rules: In an organisation with a positive safety culture the majority of
workers want to work safely, so they comply with the safety rules and regulations put forward by
the organisation. Safety inspections or audits find that there is good level of compliance with rules.
The safety culture has influenced workers’ behaviour in a positive way. Where there is a negative
safety culture, workers do not follow the rules, because they do not know the rules due to poor
training or because they do not want to follow them because of poor attitude. Workers break the
rules because of poor supervision; they know that they will not be punished.
Worker complaints about working conditions: An organisation with a positive culture may
encourage complaints from workers about their working conditions as it will help improve the
conditions in the organization. An organisation with a negative safety culture usually discourages
workers from complaining, and many of the valid & serious complaints are neglected. Number of
complaints is also seen as an indicator of safety culture.

Influence of peers (peer group pressure)

When people are put together into groups they influence each other. Some persons will have a lot
of influence over the other people in the group while the others will have little or no influence. In
this way a ranking develops within the group. Certain ways of behaving or working will become the
norms or rules of the group, which will be established by the more influential members of the
group. A person wishing to become a member of the group will have to work by following these
group rules. The pressure to comply with group rules/norms is called peer group pressure. If a
group is already working safely then peer group pressure will keep most people in that group
working safely. But if the group is working unsafely then peer group pressure will force more and
more workers to work unsafely.

Improving health and safety culture

(i) Management commitment and leadership
Demonstration of commitment should start from the top management (CEO, MD etc.). Senior
Managers should be leading by example in order to motivate managers under them at all levels to
be complying with health & safety standards. This can be achieved through putting in place, the

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organization’s health & safety policy with clear aims and objectives. The middle managers/line
managers should be passing this commitment down to the junior level staff working under them.
Management should be making all efforts to improve health and safety in the organization. This
should be made visible to the whole organization so that the leadership role of top management is
seen by the whole organization, which boosts the safety culture of the organization.
Management leadership can be demonstrated by:
- Leading by example: behave safely and be a model for others
- Taking part in daily management of matters related to H & S: like attending HSE meetings
- Taking part in safety tours or audits
- Promoting changes to improve health and safety
- Enforcing company safety rules

(ii) Providing competent workers

A competent person is a person who has sufficient Skill Knowledge Experience & Training to be
able to carry out their work safely & without risk to health. The employer is responsible to make
sure that the workers hired by him are competent to carry out the works assigned. The more
competent the worker, the better will he be able to do his job safely. This will have a positive
influence on safety culture.
(iii) Effective communication
Communication is the process of delivering information from a sender to a recipient (receiving
party). A communication will be effective only if the correct information is transmitted, received
and understood. There three main media for communicating information are verbal, written and
graphic.

a) Verbal communication: 

Verbal communication is the type of communication that uses spoken words, like face-to-face
conversations, meetings, interviews, public address system etc. This is the easiest and most
commonly used form of communication but there are various weaknesses associated with this
method.

Merits - Advantages - Benefits Demerits - Disadvantages - Limitations

 It is a direct means of communication  Language may not be understood by receiving party
 Technical terms(jargon) may not be understood
 It is personal: between individuals
 Accent or dialect may not be understood
 Message is passed quickly
 Background noise may affect communication
 Can be checked if understood by receiving party  Poor hearing of receiving party
 Ambiguity of message(more than one meaning)
 Feedback can be given
 Missing or forgetting of information by receiving party
 Exchange of views are possible
 No proof: as no written record is available
 Tones or expressions can be used  Quality of transmission poor: telephone signal is weak

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b) Written communication: 
Written communication is the type of communication that uses written word, e.g. report, memo,
email, notice, policy document, operating instructions, risk assessment, minutes of meetings, etc.

Merits - Advantages - Benefits Demerits - Disadvantages - Limitations

 Written document is a permanent record  Indirect means of communication

 Can be referred to, at a later time  Writing takes a lot of time

 Jargons or short forms may be present
 Jargon, short forms, ambiguity can be avoided by plan
 It is not a personal means of communication
 It is a cheap means of communication  Message can become ambiguous
 Can be distributed easily to a wide range of audience  Message may not be read by the recipient
 The language may not be understood by recipient
 Recipient may not literate: cannot read
 Immediate feedback is not possible
 t possible to ask questions
 Recipient may have poor eyesight

c) Graphic communication:  

Graphic communication is the type of communication that uses pictures, symbols or pictograms,
e.g. safety signs (fire exit sign), hazard warning symbols (skull and crossbones), or photographs
(showing the correct usage of a guard in the operating instructions of a machine)

Merits - Advantages - Benefits Demerits - Disadvantages - Limitations

 Attractive: grabs attention  Can be used to convey simple messages only
 Is visual  It is costly to buy or make

 Can be understood quickly  People may ignore it

 Language is not needed for understanding  Recipient may not understand the symbols or pictures
 Does not contain jargons(technical terms)  Immediate feedback is not possible
 The message is delivered to a wide range of audience  Not possible to ask questions

 Recipient may have poor eyesight

(iv) Methods for broadcasting health and safety information

A mix of various broadcasting methods are used to convey health and safety information to
workers. This enables overcoming the limitations of these broadcasting methods and ensuring that
essential messages are transmitted and correctly understood by staff. This is achieved through
usage of notice boards, posters, videos, toolbox talks, memos, emails & handbooks.
a) Notice boards: Notice Boards should be “eye-catching” and fixed in areas used by all
workers, like rest rooms, central corridors, waiting area, canteens etc. Notices displayed
should be up to date, relevant and neat. Unorganized, out-of-date, irrelevant notices hide
the messages being conveyed. The contents on a notice board may include: safety policy,
copy of liability insurance, emergency procedures, details of safety representatives and first-
aiders, minutes of safety committee meetings; accident statistics, etc.

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b) Posters and videos: Posters and videos are used to provide safety information, drawing
attention to particular issues and supporting the safety culture. Films or videos are mainly
used in training programmes and can hold the audience’s attention.

c) Toolbox talks: Are short, practical safety briefings carried out routinely in the workplace,
mostly presented by the supervisor at the start of a shift. They can be useful for creating
awareness and discussion on safety precautions, but may be seen as a waste of time if
topics are not relevant or poorly presented.

d) Memos and emails: Are written notifications used to provide specific information about a
single issue, such as updating procedures, drawing attention to lapses in practice, etc. When
using memos there is no opportunity for feedback or questioning, so their use is really
limited to issuing clear and precise instructions or information.

e) Worker handbooks: used to set out the organisation’s health and safety policy. All
employees should be given a copy on joining the organisation, and updates are usually
circulated to inform staff of changes. This is a key document, containing such information as
site rules, reporting procedures, emergency arrangements, etc. It is standard practice to
issue this handbook as part of the worker’s induction and to get a receipt as proof of issue.

(v) Cooperation and consultation

Consultation is the two-way exchange of information and opinion between the employer and
workers so that the best course of action can be decided. This means that the employer listens to
the problems, interests & opinions of his workers and makes changes to his plans if needed. A
positive safety culture can only be created in an organisation with worker co-operation and
involvement. If workers feel that they are being forcefully ordered to do things without asking
opinions, they will not be interested to be part of health and safety. This creates a negative culture.
The best way to encourage worker interest and ownership is to involve workers in the decision
making process, which can be achieved through worker consultation.
Health and safety matters where an employer may consult with workers are:
- The introduction of measures that may affect the health and safety of the workers.
- The appointment of safety advisors and specialists.
- Health and safety training plans.
- The introduction of new technology that may affect health and safety of workers on the site.

Consultation with workers can be direct or through worker representatives via a safety committee.
Direct consultation: the employer talks directly to each worker and solves problems as they occur.
This type of consultation works well in very small organisations with a few workers but is not
possible in larger workplaces.
Through worker representatives: a health and safety committee is formed, which is made up of
representatives from the management and workers. This committee holds regular meetings to
discuss health and safety matters and solve issues.
A health and safety committee will be effective only if the following are ensured:
- Balanced representation: the right ratio of management and worker representatives
- Frequency of meetings: there should be meetings at regular intervals
- Availability of a committee chairman to lead and control the conduct of meetings

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- Authority: the committee should have power to make decisions through a powerful manager
- An agenda should be available, mentioning relevant topics that will be discussed in the meeting
- Ways to record topics discussed and agreed in the meeting: minutes of meeting
- Follow-up on agreed matters & timescales of last meeting; to be reviewed at start of a meeting
A health and safety committee may discuss the following matters in its meetings:
 Accident and ill-health statistics
 Inspection reports
 Health and safety audit reports
 Any report submitted by worker representatives
 Effectiveness of training programs conducted in the organization
 Effectiveness of methods of communication in the organization
 Ways of assisting the management in developing policies & procedure

(vi)Training
Training is defined the planned, formal process of acquiring and practising knowledge and skills in
a relatively safe environment. Training is essential for managing health and safety in the workplace.
Employers have a responsibility to train their staff to carry out their jobs in a safe way. Training is a
main part of competence. Without training it is difficult to develop or demonstrate competence
and, as a result, health and safety law in many countries requires employers to provide appropriate
training for their workers. Without training, workers try to do their jobs to the best of their ability
by copying others (may not be a safe way of doing it) or by doing the job the way that they think
is best.

A properly trained worker will be able to:

- Understand the hazards and risks associated with his work.
- Know the correct rules and precautions to adopt.
- Anticipate emergencies and the actions to be taken in such a situation
- Know the limitations and restrictions that apply to his work.

Situations where training may be required are:

 New employees: induction training should be given when workers join an organisation. This
allows the worker to gain knowledge about the organisation in a safe, structured manner and
ensures that critical information is delivered and understood. Since a worker is at risk in a
workplace from their first day of work induction training must be delivered as soon as they
start work and to cover safety-critical information first.
 Job change: training is necessary when a worker’s job changes in such a way that he is
exposed to new hazards and risks.
 Process change: when the way in which the work is done changes, workers may be exposed to
new hazards and risks that require additional training
 Introduction of new technology: new technologies adopted by organisations create different
hazards and risks that workers may not be familiar with. Training on the hazards associated
with the use of new technology equipment is required here.

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 New legislation: changes to the law related to a particular health and safety issue may create
a need to train workers on the affects of the new legislation, because working practices have
to change or to ensure that they understand the law and its requirements.

Induction training:
A safety induction is conducted for new workers, contractors or visitors to the workplace and
prepares them to work on the site. It ensures they are fully informed about the organization and
are aware of their work and responsibilities. It serves as a starting point for an organization to
introduce a culture of safety in the workplace.
Content of a general induction training course for new starters may include:
- The organisation’s health and safety policy.
- Fire and other emergency procedures.
- First-aid facilities and staff responsible for first aid.
- The location of welfare facilities.
- Safe movement around the workplace.
- Accident and incident reporting procedures.
- Worker consultation arrangements.
- General safety rules, such as no smoking areas.
- Personal protective equipment requirements.
- Introduction to the safe systems of work and permit systems.
- Introduction to the risk assessment system.

Human factors that influence safety related behaviour

The three important factors that influence the worker’s safety related behaviour are organizational,
job and individual factors:
1. Organizational factors:
It is the nature of the organization they are working in. The organizational factors affecting worker
behaviour are:
- Health and safety culture of the organization
- Leadership and commitment of the management in health & safety matters
- Resources to carry out the work safely (time, money, equipment, manpower)
- Working hours: shift duty, night work, overtime, may cause exhaustion(tiredness) to workers
- Communication: effective methods used to convey health & safety information to workers
- Supervision: availability of a supervisor to oversee critical activities & his competence
- Training: identification of training needs of workers.
2. Job factors:
It is the nature of the job the worker is doing. The job factors that affect worker behaviour are:
 The task: the nature of the work & ergonomic requirements(comfortable to do)
 Workload: the amount of work, pressure to meet deadlines, multiple jobs to be handled
 Environment: work conditions like space, lighting, noise, temperature & humidity
 Displays & controls: poor design of equipment displays & controls can lead to errors
 Procedures: quality work procedures: written, accurate, precise, in known language, doable.

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3. Individual factors:
People working on a workplace have their individual skills, knowledge, experience, attitudes,
motivations, habits and personality. These individual factors affect their behaviour in many ways.
Some of these traits cannot be changed, but others can be.
The various individual factors are:
Competence: Competence is a combination of knowledge, experience, training and ability that
brings a person to a level where they are able to perform to an acceptable standard and they are
aware of their own limitations. Employers must ensure that workers are competent for the job that
they carry out.
Skills: Individuals have skills that have been developed over time. Some of these skills are physical
like controlling equipment; other skills are mental skills like mathematical calculations in one’s
mind.
Personality: Various natural or inborn factors that form a person’s character like risk taking or
avoiding risk, shyness or social nature. Attitudes or point of view to health and safety can be
influenced, skills can be improved and competence can be developed; but a person’s personality
cannot be changed: it is who they are.
Attitude: Attitude is a person’s opinion of something; it is how they think and feel about it.
Attitudes develop with time; many attitudes start forming at young age, and have a tendency to
stay within the individual. Attitudes can be changed, but slowly and taking time. In workplace
behaviour, attitudes are important because a worker’s attitude will make them behave safely or
not.
Risk Perception: People see, hear, feel, understand and become aware of risks in different ways.
Some people are very good at identifying the risks around them while others are poor in this
capacity.
Factors that affect a person’s ability to perceive risk:
- Suffering from illness: This disables them from understanding information very well.
- Under stress: tension or anxiety will affect their way of thinking and understanding
- Fatigue: tiredness will make them lose their capacity to react quickly or understand things
- Use of drugs or alcohol: will seriously affect a person’s ability to think, understand and act
- Past experience: can make them have ideas about something, that will affect a fresh approach
- Poor quality of training: will not make them capable of identifying hazards and risks of the job
- PPE may interfere: with their ability to hear, feel or understanding the risk
- Conditions on the workplace: like high noise can affect their ability to identify hazards & its risks

How to improve perception of risk?

 Conduct safety awareness campaigns using posters, toolbox talks etc.
 Develop training programs: on hazard identification and controlling risks
 Highlight the hazards: using safety signs, warnings or bright paints and warning tapes.
 Provide sufficient light to enable workers see hazards clearly
 Eliminating distractions: like extreme noise, extreme heat etc.

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Risk Assessment
Hazard: Hazard is defined as something with the potential to cause harm.

Risk: Risk is defined as the likelihood that a hazard will cause harm, in combination with the
severity of injury, damage or loss that might occur. Risk can be described qualitatively using words
such as high – medium – low or quantitatively using hard data (using numbers).
(Risk = Likelihood x Severity)

Risk profiling: Risk profiling is the process used at the planning level to identify the range of risks
that exist in the organization and the likelihood and possible consequences of those risks. Risk
profiling examines the control measures that are already in place, its effectiveness and the need for
any additional risk control measures that are identified and the priority is decided. Every risk is
given a priority based on their likely impacts and the probability of occurring.

Risk profiling examines the following in an organization:

- Nature and level of risks that exist in the organization
- Possibility of those risks affecting the organization
- Level of interruption and costs associated with these risks
- Effectiveness of existing control measures

Steps of a risk profiling process:

- Identifying the health and safety risks that exist in the organization
- Identifying the effects of these risks on health, safety and business of the organization
- Identifying the effectiveness of present control measures in place
- Identifying the likelihood(chance) of each risk affecting the organization
- Identifying the priority to be assigned for each threat.

Risk Assessment: Risk assessment is defined as the formal process of identifying or selecting the
control measures by evaluating the risks created by a hazard considering the effectiveness of any
existing control measures and deciding whether the risk level is acceptable or not.
The objectives of a risk assessment (purpose of RA):
- To prevent death or personal injury
- To prevent other incidents that may result in losses
- To prevent violation of law that may lead to prosecution or enforcement action
- To prevent direct and indirect costs arising from an accident

A suitable and sufficient risk assessment will:

- Identify the important hazards and risks related to the work
- Identify people who could be at risk: workers, visitors & vulnerable people
- Evaluate the effectiveness of current controls measures.
- Identify additional measures needed to control the risk to an acceptable level.
- Helps the employer to identify & prioritise measures to protect people from harm
- Ensures compliance with law.
- Be suitable to the nature of the work &stay valid for a reasonable period of time.

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Five steps of risk assessment
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) Identify the hazards:

The first step in the risk assessment process is to identify all the important hazards associated with
the work. It is important to identify both the safety hazards that can cause physical injury (such as
moving parts of machinery), and the health hazards that might cause ill-health (such as asbestos,
loud noise etc). Hazard identification may be done by using task analysis, referring to information
provided by manufacturer (MSDS or Operating Manual), or by inspection of the workplace.
Methods of hazard identification
Task analysis:
Task analysis is the method used for identifying hazards. It looks for hazards before work starts.
Task analysis involves breaking a job down into simple steps and identifying the hazards
associated with each step, so that the safe working method can then be put in place to deal with
each hazard. The steps of a task analysis are: (S-R-E-D-I-M)
- Selection of task.
- Recording steps of the task.
- Evaluation of risks associated with each step.
- Developing a safe working method.
- Implementing the safe working method.
- Monitoring to ensure that the safe working method is effective.

Legislation:
Knowledge of the legal standards related to a workplace will help in identifying significant hazards.
For example, knowledge of the law relating to work at height will allow a competent assessor to
identify which tasks might be defined as work at height and which can be ignored.
Information provided by manufacturer:
When a new item of plant, machinery or equipment is purchased it usually comes with an
instruction book, which contains information about all the related hazards and instructions for safe
use, cleaning and maintenance. Similarly, when a new substance is purchased it comes with labels
and a Material Safety Data Sheet (MSDS), which clearly identifies the hazards of the substance.
Incident Data
Internal accident and near miss data can be useful in identifying hazards. External data, such as
national incident statistics published by the authorities, can be also be useful as they identify the
real hazards and risks based on a much larger population size.

2) Identify the people who might be harmed and how:

When identifying people at risk, consideration must be given to workers carrying out the work and
others who may be affected by their activities.

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Workers: They may be directly involved with the activity, working near other workers or passing
the area of work. Some hazards create risk only for the worker doing work (e.g. a worker working
on a ladder is at risk from falling) while others create general risk for all employees (e.g. a vehicle
traffic route that all employees may have to cross in order to reach a staff car park).
- Maintenance workers: They may have to remove safeguards normally present in the workplace
to control the risks. This is because maintenance work usually requires the removal of safety
measures to reach in to the operating parts of the machinery. If the normal safeguards are
being removed or bypassed, then risk to these workers increases and other methods have to
be found to control this risk.
- Cleaning staff: They may be exposed to greater risk because, cleaning work may involve the
removal of safety guards or work activities that create additional risk. Many cleaners also work
alone, outside normal working hours, and therefore lone working becomes an issue.
- Contractors: They may be doing their work independent of the work being carried out by
employees, or may be working along with employees. The workplace creates risks for these
contractors and the contractors create risks for the workplace. All these risks have to be
considered through the risk assessment process.
Visitors: They may come to the workplace and may not be working, but are still exposed to certain
types of risk (e.g. fire).
Members of the public: They may be close to the workplace, and may be affected by certain types
of hazards. For example, a release of toxic gases from an industrial site will affect passersby and
those who live near the site. In some instances, trespassers or unauthorized visitors may get on to
the site. This is particularly important in relation to the possibility of children coming onto the
workplace (e.g. playing on building sites, or near railway lines).

3) Evaluate the risk and decide the precautions needed

The next step in the risk assessment process is to answer a simple question: is the level of risk
generated by the hazard acceptable? or should it be reduced? Risk is a combination of the
likelihood (chance) that a hazard will cause harm and the predictable severity of injury if the harm
occurs. Risk can be qualitatively described using words such as very high, high, medium, low or
insignificant; or by simply assigning a score. In order to calculate a risk rating for a particular
hazard; the risk is broken down into its two component parts, likelihood and severity.

Risk = Likelihood × Severity

Benefits of a quantitative system over a qualitative system:

a) Clarity of thinking- people will think more carefully about likelihood and severity of a hazard
when they are asked to use this type of scoring system using numbers; this gives a more
accurate end result.
b) Consistency of approach - different people can use this system and will get similar results
c) Prioritisation - since risk is represented by a number, and the higher the number the greater
the risk, it is possible to easily separate risks and rank them in numerical order.
d) Timescale - it is possible to assign timescales to the risk ratings that are calculated using this
type of system.

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Residual risk: The risk that remains even after implementing control measures for reducing a risk is
called residual risk.

Acceptable risk: If the residual risk is low then it can be considered as acceptable - the existing
control measures are enough. Nothing more need be done and the risk assessment has confirmed
that the current situation is acceptable.
Tolerable Risk: If the residual risk is high, a decision has to be made whether this residual risk is
tolerable or unacceptable. Tolerable means that the risk level is not acceptable but it can be
managed for a short time with interim controls (temporary control measures).
Unacceptable: means that the residual 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.

General Hierarchy of Control

The hierarchy of control is a list of options in the order of importance, effectiveness or priority,
written so that the most extreme and effective method of control is at the top of the hierarchy,
with the least effective at the bottom.
The general hierarchy of control:
 Elimination.
 Substitution.
 Engineering controls.
 Administrative controls.
 Personal protective equipment.
1) Elimination:
If a hazard can be eliminated (removed) then, the risk created by that hazard disappears. This can
be done by completely avoiding an activity that gives rise to risk. For example, an assembly
workshop could stop welding of steel to avoid the risks associated with welding operations, and
could buy in pre-fabricated metal components.
2) Substitution:
If a hazard cannot be eliminated, it may be replaced with a hazard that creates less risk. For
example, a hazardous substance classified as toxic (deadly in small amounts) is substituted with
one that is an irritant (causes irritation/inflammation). The new substance is hazardous, but has far
less consequences.
3) Engineering controls:
Engineering controls use engineering solutions to prevent exposure to the hazard. This might be
done by:
- Isolation or total enclosure: The hazard is isolated physically so that nobody is exposed to it.
This might be done by total enclosure or containment of the hazard, e.g. total enclosure of a
process that generates dust to prevent its escape. Another example would be an enclosure of
a noisy machine to reduce the noise reaching those working nearby.
- Separation or segregation: Separation or segregation is done by placing the hazard in an
unreachable location. An example, overhead electric wires, that has been placed out of reach.

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- Partial enclosure: e.g. a hazardous substance might be handled in a fume hood or partial
enclosure which the worker can reach into for handling purposes; air is extracted from the top
or back of this partial enclosure so that any airborne contaminants are extracted from the
enclosure away from the worker.
- Safety devices: and features ensure that the item is used in the correct way and not an unsafe
way. For example, interlock switches are fitted to movable guards on machinery to ensure that
when the guard is open the machine will not operate (but when the guard is closed, it will).
With electrical systems reduced voltage devices, or residual current devices (RCD) could be
used as a safety measure.
4) Administrative Controls:
Administrative controls are those that rely on procedures and behaviour, such as:
Safe Systems of Work: A safe system of work is a formal procedure that defines a method of
working that eliminates hazards or minimises the risks associated with them. Safe systems of work
are necessary whenever hazards cannot be physically eliminated and some element of risk remains.
For example, there is a specified method for setting and detonating explosives in a quarry. The safe
system is essential to prevent accidents or other incidents.
Reducing exposure: If the degree to which a worker is exposed to a hazard can be reduced, then
that worker is far less likely to have an accident with that hazard. For example, an engineer who
spends all day working on machinery with hazardous moving parts is more likely to suffer injury
than an engineer who only spends one hour of their working day exposed to the same hazard. The
duration of each exposure (e.g. for 10 minutes, or for8 hours) and the frequency of exposure (e.g.
once a week, or 10 times a day) are both important– the less time and the less frequently, the
better.
Reducing time of exposure: many health hazards in the workplace cause a degree of harm that is
entirely dependent on the dose that a worker receives, e.g. the harm caused by noise, vibration,
radiation and most hazardous chemicals (such as lead). The dose is determined by two main
factors: Concentration, intensity or magnitude of the hazard present& the time of exposure.
Information, instruction, training and supervision: Training is helpful in enabling employees to
become competent. A competent employee is equipped with all relevant information and is fully
aware of the hazards and the use of appropriate preventative measures. One way that an employer
might provide basic health and safety information is through the use of safety signs. Supervision
means that the management is routinely checking workers and using their authority to control the
behaviour or workers.
Safety signs -
Safety signs combine shape, colour and pictograms to convey specific health and safety
information or instructions. The standard safety signs are divided into five categories:
a) Prohibition: For stopping dangerous behaviour, e.g. “No Smoking”. The signs are circular with
a black pictogram on a white background with a red border and red diagonal cross bar.
b) Warning: warns people to be careful of a particular hazard, e.g. “forklift trucks operating in the
area”. The signs are triangular with a black pictogram on a yellow background with a black
border.

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 IG1 (Element 3)
c) Mandatory action: To instruct people to take a specific action, usually to wear personal
protective equipment, e.g. “safety
safety helmets must be worn.” They are circular with a solid blue
background with a white pictogram.
d) Safe condition: To identify safe behaviour or places of safety, e.g. ““first
first-aid station”. They are
rectangular or square with a white pictogram on a green background.
e) Fire-fighting equipment: To identify particular itemss of equipment, e.g. “Fire
“ Extinguisher”.
They are rectangular or square with a white symbol or pictogram on a red background.

5) Personal Protective Equipment (PPE)

(PPE):
There are situations where none of the above control measures can be used, and there are times
when some of them can, but residual risk still remains. If this is the case then it may be necessary
to use personal protective equipment (PPE).

Different types of PPE are available,

vailable, such as:
- Ear defenders for protection from noise.
- Gloves to prevent contact with substances hazardous to the skin.
- Respiratory protection against hazardous substances that can be inhaled (breathed in).
- Eye protection against splashes of chemicals and projectiles
It is the duty of the employer to:
 Provide suitable PPE where risks cannot be controlled by other more effective methods.
- It should be appropriate
ppropriate for the risks and the conditions.
- It should be ergonomic ((user-friendly).
- It should be of correct fit.
- It should not increase overall risk.
- It should comply with relevant standards.
 Ensure that when two or more items of PPE have to be worn together they are compatible.
 Provide suitable storage facilities for PPE.
 Provide information, instruction and training to workers on the
he PPE they have to wear.
wear
 Enforce the use of PPE.
 Replace or repair damaged or lost items.
Benefits and limitations of PPE
Merits - Advantages - Benefits Demerits - Disadvantages -Limitations
- Can be used as a temporary control until expensive or - It only protects one person: the wearer.
difficult controls are implemented. - It may not protect adequately if it is not fitted correctly
- It may be the only control available in some situations
situations. - It may not be comfortable
- Needed as a back-up when other controls have failed. - It may interfere with the wearer’s ability to do the job.
- It is usually cheap. - It may increase overall risk
isk by impairing the senses
- It gives immediate protection - It may not be compatible with other items of PPE
- People do not like wearing PPE - may not be worn
- If it fails,
s, it exposes the wearer to danger.

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 IG1 (Element 3)
4) Record the significant findings & implement
The important findings of a risk assessment should be recorded to provide a statement of the
hazards in the workplace, the extent of the risks that they present, and the action taken to control
those risks.
Typical content of a risk assessment:
- Identification of the activity and area assessed and of the important hazards
- Identification of groups of people at risk and those especially at risk
- Evaluation of the risks and the efficiency of existing control measures.
- Action plans for implementing further precautions if needed.
- Date of assessment and name of the competent person carrying out the assessment.
- Date of next review.

5) Review and update

A risk assessment must be reviewed and amended as required. A number of situations can trigger
a review of a risk assessment:
- Changes to work processes or methods
- Introduction of new plant and equipment
- Changes in the work place
- The availability of new information regarding hazardous substances or processes
- Accidents or occurrences of ill health
- Results of monitoring, including inspections, audits and health surveillance
- Changes in legislation
- Changes affecting employees (to take particular account of vulnerable people)
- After the passage of a reasonable interval of time

Special cases and vulnerable category of workers

A risk assessment may have to focus on a person or a specific group of workers because they are
more vulnerable to particular hazards (or more at risk).These special cases or vulnerable category
of workers are: young workers, new or expectant mothers, disabled workers, lone workers etc.
Young persons:
There are several reasons why a young person might be more vulnerable to risk in a workplace:
- Lack of knowledge, experience or training
- Physical and mental immaturity
- Poor perception of risk
- Over enthusiasm and the tendency to respond quickly to peer group influences
- Eager to show a willingness to work.
- Less developed communication skills.
If a young worker is present on site, it may be necessary to do the following:
- Carry out risk assessments taking in to consideration, the young workers working on site.
- Prohibit the young person from carrying out high risk activities
- Limit their working hours (no night-shift or overtime).
- Impart special training and supervise them more than other workers.
- Provide mentors to monitor and supervise the young worker
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 IG1 (Element 3)
- Provide clear lines of communication.
- Conduct health surveillance.
New and expectant mothers:
Pregnant women and women who are nursing (breastfeeding) are more at risk from certain types
of hazards. In most cases, the hazard presents a risk not only to the woman but also to the baby.
Many of these hazards can cause miscarriage, birth defects, or ill-health in the baby. In all cases
where a woman reports that she is pregnant, a risk assessment should be carried out considering
the work that she is doing and the hazards that might increase risk to her and the child.
If necessary, it may be required to make the following changes:
- Change the type of work or the way that it is done.
- Change the hours of work.
- Suspend the woman from the workplace.
The hazards that present greater risk to pregnant women are:
- Hazardous chemicals like lead
- Biological agents like bacteria, virus etc.
- Manual handling, especially during later stages of pregnancy
- Extremes of temperature
- Whole-body vibration
- Ionising radiation
- Night-shift work
- Stress
- Violence

Disabled workers:
People with disabilities may be at greater risk from particular hazards depending on the nature
and extent of their disability.
During the risk assessment process it may be required to:
- Identify health and fitness criteria for jobs and evaluate staff against these criteria. This may
result in persons with a certain disability being avoided from doing these jobs, e.g. forklift-
truck drivers should have their eyesight checked before being allowed to drive.
- Identify workers with known disabilities and consider the affect of the type and level of
disability might be on the job.
Lone workers:
People who work entirely on their own for long periods of time, or those who are not alone but are
not with colleagues on whom they can depend for help might be classified as lone workers. Lone
workers are a group of workers who are especially vulnerable in certain situations:
- They may be more at risk of violence. If the worker is exposed to members of the public, has to
travel out into the community, or is involved in work that brings them into contact with violent
people.
- Lone workers may be more at risk if they are injured or become ill. Certain types of work
involve a high risk of personal injury or ill-health. In these situations lone working may be
inappropriate or additional precautions may be necessary to protect the individual. Examples:
confined space entry, truck drivers transporting goods over long distances etc.

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 IG1 (Element 3)
Management of Change
Workplaces go through changes all the time. These changes may be due to short term
construction work (temporary works), change in process, equipment & procedure.
Effects or impacts of change
Temporary works or changes bring with them their own hazards and risks. A temporary work on an
already operational site could result in the breakdown of control measures that are already in place
on the site. The effects of this disruption depend up on the nature of the existing workplace and
that of the temporary work being carried out. For example: Disruption of one-way traffic system on
a site due to the emergency repair of drainage system in a part of the route.
The effects / impacts of a change may be managed through the following:
Risk assessment:
Temporary works or other changes and how it affects the workplace need to be assessed well. The
people and especially vulnerable ones need to be considered when doing the risk assessment.
Communication and cooperation:
Effective communication and cooperation between parties engaged in works on the site is
essential. This can be achieved through proper planning of the change and exchange of
information on the hazards and associated risks of the temporary work.
Appointment of competent people:
It must be ensured that all workers appointed in the temporary works are competent.
Segregation:
The area where temporary works take place must be segregated (separated) from the existing
work place using physical barriers and signage. Access to this area must be controlled to prevent
unauthorized access.
Emergency procedures:
Consideration must be given to the development of emergency procedures for temporary works /
change. Existing emergency procedures will have to be adjusted to suit the temporary work.
Welfare provisions:
Sufficient welfare arrangements should be made for workers doing the temporary work.
Review:
There should be a review process to ensure that the planned changes are introduced and
implemented. There should be a regular review process to ensure health and safety risks are
controlled. The review process should include all the relevant interested parties.
A review process is needed after the completion of temporary change is because:
- It is to be ensured that that the problems presented by the change have been solved and
the opportunities to improve the Management of Change process is utilized properly.
- The mistakes are needed to be highlighted, so that changes can be made to the
Management of Change Process to ensure that the same mistakes are not repeated and the
process is made efficient.

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 IG1 (Element 3)
Safe Systems of Work (SSW)
A safe system of work is a formal procedure based on a systematic examination of work in order to
identify the hazards. It defines safe methods of working that eliminate those hazards, or minimise
the risks associated with them.
The three key elements or properties of a safe system of work (SSW) are:
• It is a formal document: it is documented or recorded in some way.
• It is the result of a systematic examination of work to identify hazards (risk assessment)
• It defines safe methods: It is the safe procedure to carry out work.
The employer should conduct a systematic risk assessment, identify the hazards, select suitable
control measures and formally record the safest way to carry out the task. It is the responsibility of
the employer to ensure that SSWs are available for all activities with high risk level. SSWs are
especially important where a high level of residual risk remains even after the control measures of
a risk assessment are implemented or control measures are temporarily disabled as a part of
cleaning or maintenance work.
Worker involvement
Persons preparing the SSW must work closely with the workers who are doing the work. The
workers should actively participate in all stages during the development and review of the SSW.
Their practical knowledge and skills provide a lot of information about the nature of risks and
methods of working. They can give their opinions on plans or written documents, and provide
feedback on how effective the system will be in practice. Involving workers will enable them to
gain a better understanding of the hazards and risks; and how the SSW will help to reduce those
risks. This encourages ownership and commitment to safe working methods among workers. As
the management have consulted with the workforce (rather than simply enforcing a procedure
they have developed) this can help develop a positive safety culture.
Written procedures
Documenting a SSW provides an accurate document for reference to all workers and ensures
consistency (uniformity) of method, especially if the procedure is complicated. Sharing information
verbally is not a dependable method of communication and may be filled with errors. Written
procedure can be used as a reference for use in training and instruction in safe procedures. SSWs
may be recorded in the form of short notes or as manuals. The SSW document can be provided
with checklists for employees to use as tools to ensure that all the correct steps are taken, that can
be ticked-off before continuing with the next step or starting the work. Written SSWs also present
a standard that can be audited, and provide the employer with a written record, which may be
required for legal reasons, such as in incident investigations or during enforcement action.
Technical, procedural and behavioural controls
A SSW will use all the elements of control of the general hierarchy of controls like:
a) Engineering controls: This control is applied directly to the hazard in order to minimise the
risk. This may involve fencing or barriers of different kinds to isolate workers from the hazard as
far as possible, or security devices designed into equipment to stop its operation if there is a
fault.
b) Procedural controls: This is the way in which work should be carried out in relation to the
hazard. They will specify the exact tasks involved, their sequence and the safety actions and

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 IG1 (Element 3)
checks that have to be taken. Usually, procedures will point at the correct operation of
engineering controls.
c) Behavioural controls: This is concerned about how the individual worker acts in relation to the
hazard. They include general points of good practice in the workplace, e.g. good housekeeping,
and specific measures such as the use of PPE.

To make an effective SSW, attention should be given to P-E-M-E:

People:
- Who is the safe system of work for?
- What level of competence should they have?
- Are there any vulnerable persons involved?
- How many people are working on the task?
Equipment:
- What plant or equipment will be worked on?
- What equipment will be used?
- What safety equipment will be required?
- What are the hazards associated with the job and the equipment?
Materials:
- What materials will be used or handled during the work?
- What are the hazards of the materials?
- How will waste be disposed of?
Environment:
- What will the work environment be like? (space, light and temperature)
- May any of these factors increase the risk or need to be controlled?

Development of a safe system of work

As a part of the planning process, SSWs are developed by task analysis before the work starts.
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. S-R-E-D-I-M is used here to analyse the task:
- Select the task to be analysed.
- Record the steps of the task.
- Evaluate the risks associated with each step.
- Develop the safe working method.
- Implement the safe working method.
- Monitor to ensure it is effective.

i) Introducing controls and formulating procedures

Once the risks have been evaluated, a suitable safe working method can be developed.
Implementing the safe system of work can be difficult, as it requires workers to accept the new
working procedures and use all the identified control measures. This is because people’s behaviour
can be difficult to control. One way of overcoming this difficulty is to involve and consult with
workers in the development process so that they are able to raise objections and concerns at an
early stage; they will feel to have some ownership of the new methods.

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 IG1 (Element 3)
ii) Instruction and training:
An important step in the implementation of any safe working method is to provide information,
instruction and training. If the workers have the competence to understand and follow new
methods correctly, just updating them about the changes made to present methods will be
enough. If the workers are not competent enough, detailed theoretical and practical training will
have to be provided to ensure that workers clearly understand and can apply the safe working
methods.
iii) Monitoring:
Once the safe working method has been put into place it should be checked periodically:
- To ensure that the new safe working method is being correctly followed and applied.
- If it is not followed correctly, then the level of supervision must be improved.
- To ensure that the working method is safe.
- If it is not safe, then it will have to be reviewed and changed accordingly.

Factors to be considered when developing a safe system of work:

- What task is being done? Analysis can be done through Job Safety Analysis (SREDIM method).
- What equipment/materials will be needed? These may hazards that need to be controlled.
- Who will be carrying out the work? How many people are working?
- What is their experience/ knowledge level? Are there vulnerable persons?
- What are the hazards associated with the job?
- What controls are recommended by the manufacturer?
- What emergency arrangements are in place?
- Are the control measures enough? Are additional controls needed?
- How will the system of work be monitored?

Permit to Work Systems (PTW)

A permit-to-work (PTW) system is a formal, documented safety procedure that is the part of a SSW
which ensures that all necessary actions are taken before, during and after high-risk work activity.
The high-risk nature of the work is the main feature which makes them to be under the control of
a permit. If the work is not carried out in the right way, then workers and others may get killed or
injured. The aim of the permit system is to bring everybody’s attention on the high-risk nature of
the work to ensure that:
• The correct safety precautions are put in place before, during and after the work.
• All the people who need to know about the work know about it.

The types of high-risk work activities that should be controlled by a PTW system:
 Hot work: involving naked flames or ignition sources
 High-voltage electrical systems.
 Confined space entry.
 Work at height
 Excavating near buried services.
 Operational pipelines
 Maintenance work on large, complex machinery.

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 IG1 (Element 3)
Operation and application
A permit-to-work system is a management system that uses, permits-to-work (which are sheets of
paper). Permits-to-work are formal documents specifying the work to be done, hazards, and the
precautions to be taken. The permit provides a clear written record; signed by a responsible
manager or supervisor confirming that all foreseeable hazards have been considered and all the
necessary precautionary actions have been taken. The PTW must be with the person in charge of
the work before work can start.
A permit-to-work usually has four main sections:
a. Issue of Permit
b. Receipt of Permit
c. Clearance of Permit
d. Cancellation of Permit

a. Issue of permit:
This section of the permit defines the work, identifies the hazards and determines the necessary
safety precautions.
An authorising manager must complete this section. After this, a risk assessment of the work is
conducted in order to identify all the relevant hazards and precautions required. The authorizing
manager must be competent enough to do this.
The authorising manager must specify:
- The exact nature of the work to be carried out.
- Where the work will take place.
- The names of workers authorised to carry out the work.
- The date and time that work will start.
- Validity of the Permit (period of time the PTW is valid for)
- The control measures that must be implemented before, during and after the work.
- Any restrictions that apply to the work
- Any other PTWs 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. The manager’s
name, signature, date and time should be provided in the PTW document.
b. Receipt of permit
In this step, the PTW is handed over to the applicant and the work is allowed to start. The workers
sign the permit to formally confirm that they understand all the hazards, risks and precautions and
they will comply with all necessary control measures. In this step, names should appear clearly in
capital letters with signatures, dates and times.
c. Clearance (return to service)
The workers sign this section of the permit to confirm that they have completed the work, the
workplace is confirmed safe and normal work operations may resume.
d. Cancellation
In this step, the authorising manager signs the cancellation of PTW to accept the takeover of the
workplace from the workers. This also means that the permit is cancelled and no further work can
take place under its authority.

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 IG1 (Element 3)
Extension of permit
This section is included in some permit systems in case there is any additional time requirement
for the work. It allows the authorising manager to grant an extension to the timescale of the
permit.
Permits are usually issued in triplicate (3 copies):
- One copy is displayed in the area where the work is taking place.
- One copy is kept with the authorising manager.
- One copy is displayed in a central location (on a permit board)

The general details to be included in a PTW:

In the issue section:
 Description of the work to be carried out (details of plant and location).
 Assessment of hazards associated with the job.
 Controls required, including:
- Additional permits.
- Isolation of services and supplies.
- PPE requirements
- Need of atmospheric monitoring, etc.
- Emergency procedures.

In the receipt section:

- Signature of the authorised person issuing the permit.
- Signature of the competent person accepting the permit (known as receipt of permit).
In the clearance section:
- 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.
In the cancellation section:
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.

Factors influencing effectiveness of a PTW system (limitations):

PTW is just a piece of paper; it cannot ensure safety. What ensures safety is the management
system that it represents.
For a PTW system to work effectively the following must be ensured:
- Only authorised persons should issue permits.
- Permit issuers must be familiar with the hazards & the job to be done on the workplace.
- Precautions must be checked before PTW authorization: site inspection to be completed
- Permits must never be amended (corrected).
- All conditions or requirements mentioned in the PTW must be strictly followed.
- Staff must be trained and competent.
- The system must be monitored to ensure that it is effective.
- The PTW system must be appropriate for the nature of work
- Issuance of PTW should be allowed enough time: required trainings to be provided to staff

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 IG1 (Element 3)
Typical permit systems
a) Hot work
Permit systems are used to control hot work where naked flames will be used; like propane/
butane torches or welding/grinding activities.
Precautions to control risks of hot work:
- Flammable materials are removed from the work area.
- Items that cannot be removed are covered with fire-retardant blankets.
- Floor is swept clean (housekeeping).
- Wooden floor is damped down using water.
- A suitable fire extinguisher is provided.
- A “fire-watcher” is posted in the area.
- Routine visit of area after work completion: to check for smouldering (smoke or fumes).
b) Work on live electrical systems
The high risk associated with working on/ near live electrical systems means that this type of work
is usually subject to permit control. Permits are common for work on or near high-voltage systems.
A permit system is used to ensure that:
- Working on live electric line is justified (it is not possible to work with the power turned off).
- All precautions are in place.
- The workers are competent to do the work.
c) Maintenance of machinery
Maintenance work often involves the removal or removal 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 create high risk that may be controlled
using a permit system.
A permit system is used here 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 (turned off) and locked off.
- Stored energy (air pressure, steam etc.) is released or secured.
- The workers are competent to do the work.
d) Confined space entry
Entry into confined spaces can be extremely dangerous due to poisonous gases, biological agents,
flooding etc. So, it should be under the control of a PTW system. This will require a competent
person to carry out risk assessment and then develop a SSW, which identifies all the necessary
precautions for entry and the emergency arrangements that must be put in place.
e) Work at height
Many workplace fatalities are caused by falls from height; this is considered a high-risk activity and
is usually covered by a PTW. 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. scaffold with adequate edge protection.
- Minimise the distance and consequences of falls using PPE or safety devices like safety nets
- Weather conditions like high wind, snow, rain etc.

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 IG1 (Element 3)
Emergency Procedures and First aid

The need for emergency procedures

Even if control measures are well implemented in a workplace, accidents are not avoidable. When
such an accident occurs, it is very important that the organisation has emergency procedures that
can be activated without delay, if not; the results would be disastrous. Having identified the
predictable incidents/accidents, the organisation should make internal arrangements to deal with
each of them, if they occur.
Procedures must be developed to deal with the following types of emergencies:
 Fire
 Bomb threat
 Spillage of a hazardous chemical
 Release of a toxic gas
 Outbreak of disease
 Severe weather or flooding
 Multiple casualty accident

Emergency procedure arrangements

Having identified the foreseeable incidents, the organisation should make internal arrangements
to deal with each of them, should they occur. These arrangements include:
a) Foreseeable emergencies: An outline of the foreseeable (predictable) emergencies along with
the circumstances under which they might occur and the possible consequences should be
understood.
b) Procedures for raising the alarm: Workers should have a clear understanding on what alarms
are to be raised in each type of emergency.
c) Following procedures: Workers should have a clear understanding on the procedures to be
followed during certain emergencies like a fire: the normal practice is for workers to exit the
building using the signed escape routes and assemble at an assembly point. In the event of a
bomb threat the procedure is just the opposite: to go to a room inside the building, away from
windows and external walls.
d) Providing suitable equipment: if there is a chemical spill, for example, absorbent granules
might be used to contain the spill and PPE is used to prevent harm to those involved in the
containment operation. In the event of a release of toxic gas, respiratory protective equipment
may be needed.
e) Nomination of responsible staff: in a fire situation there is likely to be a need for fire wardens
or marshals, who walk through the building to check that everyone is aware of the fire
evacuation. A fire team may also be required, whose job will be to check the area where the fire
is suspected to be.
f) Dealing with media: It is possible that some emergencies will attract media attention. Only
the staff trained in media handling techniques should be answering the questions from media
reporters.
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 IG1 (Element 3)

g) Arrangements for contacting emergency services: While internal emergency arrangements

are made by the organisation to deal with predictable incidents, it is also required to contact
external emergency services for help. There should be suitable arrangements in place like:
 Communication equipment: landline, mobile phones, satellite phones etc.
 Contact details of external or national emergency services.
 Responsible staff with the necessary information and knowledge, assigned to make the
emergency call. The emergency service can provide a more effective & quick response if
they are given important information quickly and clearly.
Training and testing: workers will know what to do in emergencies only if they have been
provided with information and training. Nominated staff will require additional training about their
roles during an emergency, and in the safe handling of any equipment (e.g. PPE) that they might
have to use. Members of the public may need information on emergency procedures, which might
be provided in the form of notices, or by means of public address system announcements.
Emergency procedures should be practised to ensure that people are familiar with the actions they
are expected to take. In this way, people’s responses become automatic. For example, fire
evacuation drills should be conducted routinely in all workplaces, and multiple casualty accident
exercises should be practised if they are a foreseeable event.

First-aid requirements
An employer has the duty to provide appropriate first-aid facilities for his employees. This is to
allow an immediate emergency medical response to foreseeable injuries that might occur in the
workplace. Three elements must be provided by the employer:
a) Facilities - an appropriate location where first-aid treatment can be given.
b) Equipment - suitably stocked first-aid kits and other equipment as necessary.
c) Personnel - staff with appropriate training to deliver first-aid treatment.

The employer must inform staff of these first-aid arrangements and, in particular, the identity of
trained first-aid personnel.
a) First aid facilities:
Suitable facilities should be provided where first-aid treatment can be given. As a minimum
requirement, this might consist of a room that may be normally used for other purposes but can
be quickly converted into a treatment facility. In a larger workplace a dedicated, full time treatment
room should be provided. This dedicated first aid room should be:
- Centrally located in an area that can be easily accessed by the external emergency services.
- Clean, ventilated, temperature controlled and sufficiently illuminated.
- Provided with hand-wash facilities, chair, clinical waste bin, etc

b) First aid equipment:

A fully stocked first-aid kit should be provided as a minimum requirement for a small, low-risk
workplace. In larger workplaces multiple first-aid kits should be positioned at various locations in
the workplace, as well as eye-wash stations, emergency showers, blankets, splints, resuscitation
equipment like AED, stretchers, wheelchairs and other equipment as per requirement.

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Items to be included in a first aid kit:
- Large triangular bandages
- Sterile plasters
- Disposable gloves
- Safety pins
- Sterile eye pads
- Large and medium size unmedicated wound dressings
c) First aid personnel:
Role or duty of first aiders
The basic role of first-aiders is to keep the injured person alive until professional medical
assistance can take over. (Their duty is known as the 3Ps)
 Preserve life
 Prevent deterioration (prevent worsening of condition)
 Promote recovery

First-aiders also provide simple treatment for minor injuries that do not require professional
treatment.
Types of first aid personnel
If sufficient numbers of first aiders are not available on the site, a person should be appointed to
take care of the first-aid arrangements made on the site. This means that he will be looking after
the first-aid equipment / facilities and calling the external emergency services when required. Such
an appointed person should be available at all times while people are at work. Such persons need
not be trained as first aiders, but it would be useful if they were trained to an EFAW level
(Emergency First Aid at Work). The number of such appointed persons or emergency first aiders
will depend on the first-aid needs assessment conducted.

If the first-aid needs assessment shows that there is a higher level of risk, sufficient number of first
aiders trained to the FAW level (First Aid at Work) should be appointed considering the risk level
and number of workforce. It is advisable that the first aid personnel has annual refresher training
to prevent fading of skills.

Selection of first aiders

When selecting staff to be trained as a first aider, the following factors are to be considered:
- He should be dependable, having a gentle nature and having good communication skills
- He should be aware of his limitations as well as the limitations of his training
- He should have the aptitude to absorb new knowledge and learn new skills
- He should be able to handle stressful situations and be able to take up responsibility
- He should be physically fit to handle the challenges faced during a first aid treatment
- Gender, ethnicity & religious aspects of the workplace should be considered when selecting him
- His normal duty should not restrict him when an emergency situation arises.

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First aid coverage
Employer should conduct a first-aid needs assessment in order to understand what first-aid
facilities, equipment and trained personnel are to be provided. Workplaces within easy reach of the
emergency services may provide minimal coverage, but workplaces in remote locations, where the
emergency services may take hours to reach, must have more facilities and skilled first aid
personnel available.
Factors to consider when deciding first-aid provision and the number of first aiders required:
- General risk level of the workplace
- Hazards present in the workplace
- Accident history of the workplace
- Specific procedures required, (toxic materials have specific antidotes or first-aid protocols)
- Presence of vulnerable persons.
- Number of workers in the workplace
- Work patterns and shift systems of workers
- Geographic location of the workplace
- Area of the workplace

Exam Prep Questions

Q1. What are the various methods of communicating health & safety matters?

Q2. What are the effective ways of communication in an organization?

Q3. Why should employers consult with workers on health & safety matters?

Q4. What are the situations where the employer may consult with workers?

Q5. What are the benefits of training employees/workers?

Q6. Why should employers train their employees?

Q7. What are the circumstances under which workers may need training?

Q8. What is induction training? What are the contents to be included in a general induction training?

Q9. Apart from induction, when will training be needed?

Q10. What are the factors that affect workers behaviour in a workplace?

Q11. What are the individual factors that affect positive behaviour of an individual at workplace?

Q12. Define Risk Perception. What are the factors that affect Risk Perception?

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Q13. What are the ways in which risk perception may be improved?

Q14. Define Risk Assessment. What are the steps of a Risk Assessment Process?

Q15. What are circumstances that may trigger the review of a Risk Assessment?

Q16. What are the objectives/purpose or Risk Assessment?

Q17. What are the factors that affect/decide effectiveness of a Risk Assessment?

Q18. What is Risk Profiling? What are the steps of Risk Profiling?

Q19. What are the factors to be considered during the Risk Profiling Process?

Q20. What are the steps of Hazard Identification?

Q21. What is the significance of ‘Evaluation’ in a Risk Assessment Process?

Q22. What is General Hierarchy of Control? What are the steps of a Hierarchy of Control?

Q23. Which are the special categories of people that require special attention in a Risk Assessment?

Q24. Why is PPE considered as the last resort? What are the benefits & limitations of PPE?

Q25. What are the precautions to be taken in a workplace that employs young workers?

Q26. What are the significant risks faced by pregnant women-expectant-nursing-new mothers?

Q27. What special consideration must be given to disabled persons in a workplace?

Q28. What special arrangements are to be made for truck drivers driving in long highway routes?

Q29. What are the affects / impacts of temporary works that may be happening on a workplace?

Q30. Define Safe System of Work. What are the elements of a SSW?

Q31. Why is it required to involve workers when making SSW?

Q32. What are the factors to be considered when making a SSW to make it effective?

Q33. What is a Permit to Work? What are the steps of a PTW system?

Q34. What are the details/content to be included in a PTW System?

Q35. Give examples of four types of work that may need a PTW System?

Q36. What is the need for emergency procedures in a workplace?

Q37. What is the significance of practising the live testing of emergency procedure for workers?

Q38. What are the situations in which an emergency procedure may be used at the workplace?

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Q39. Explain in detail, the arrangements for emergency procedure in a workplace.

Q40. What are the factors to be considered when providing first aid provisions in a workplace.

Q41. What are the three objectives of first aid (or) the 3 duties of a first aider?

Q42. What are the factors to be considered when selecting first aid personnel?

Q43. What are the factors to be considered when conducting a first aid assessment?

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